TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT ARIZONA BOARD OF REGENTS Arizona State University Northern Arizona University The University of Arizona For the fiscal year ended June 30, 2006, as required by A.R.S. §15-1648(D). September 1, 2006 Arizona Board of Regents 2020 North Central Avenue, Suite 230 Phoenix, AZ 85004-4593 602-229-2500 Fax 602-229-2555 www.azregents.edu Arizona State University Northern Arizona University University of Arizona September 1, 2006 Governor Janet Napolitano Senate President Ken Bennett Speaker of the House of Representatives James Weiers Arizona State Capitol 1700 West Washington Street Phoenix, AZ 85007 Dear Governor Napolitano, President Bennett, and Speaker Weiers: On behalf of the Arizona Board of Regents, Arizona State University, Northern Arizona University, and The University of Arizona, and in accordance with A.R.S. §15-1648(D), I am pleased to submit this Annual Report for the Arizona Board of Regents Technology and Research Initiative Fund (TRIF) for the fiscal year ended June 30, 2006. TRIF is continuously appropriated to the Arizona Board of Regents with Education 2000 (Proposition 301/November 2000) sales tax revenues pursuant to A.R.S. §425029(E)(2). As required, ABOR has adopted rules to administer TRIF and has incorporated these rules into Board Policy 3-412 found in the appendix to this report. This Annual Report provides budget and expenditure information on each TRIF initiative. These initiatives are consistent with statutory language calling for TRIF funds to support university research, development, and technology transfer related to the knowledge-based global economy; to expand access to baccalaureate or postbaccalaureate education for time- and place-bound students; to implement recommendations of the Governor’s Task Force on Higher Education and the Arizona Partnership for the New Economy; and to develop programs that will prepare students to contribute in high technology industries located in Arizona. Board Members: President Robert B. Bulla, Scottsdale Fred T. Boice, Tucson Ernest Calderón, Phoenix Dennis DeConcini, Tucson Jack B. Jewett, Tucson Anne L. Mariucci, Phoenix Christina A. Palacios, Phoenix Gary L. Stuart, Phoenix Governor Janet Napolitano Superintendent of Public Instruction Tom Horne Student Regents: Edward Hermes, ASU Mary Venezia, NAU Executive Director: Joel Sideman Governor Napolitano, President Bennett, Speaker Weiers September 1, 2006 Page Two Our FY 2006 TRIF budget supported initiatives in biosciences and biotechnology; information science and technology; access and workforce development, including Arizona Universities Network (AZUN) and preparation of math and science teachers; and optical sciences, water sustainability, and environmental research and development. These projects have been designed and implemented to better position Arizona as a major player in the global marketplace. Detailed business plans for each initiative have been developed and approved by the Arizona Board of Regents and are available on our website at: www.azregents.edu Please contact me at 602-229-2505 or jsideman@asu.edu if I can answer any questions or provide additional information about these important and exciting initiatives. Sincerely, Joel Sideman Executive Director c: The Honorable Jan Brewer, Secretary of State Ms. GladysAnn Wells, Director, Arizona State Library, Archives and Public Records Members of the Arizona Board of Regents Dr. Michael Crow, President, Arizona State University Dr. John Haeger, President, Northern Arizona University Dr. Robert Shelton, President, The University of Arizona ARIZONA BOARD OF REGENTS TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT For the Fiscal Year Ended June 30, 2006 TABLE OF CONTENTS Executive Summary .....................................................................................................................................ii Arizona University System Summary FY 2006 Actual / FY 2007-2011 Budgets Summary................................................................................. 1 FY 2006 Actual System Summary by Program Area ............................................................................... 2 FY 2006 Actual / FY 2007 Budget Capital Expenditures.......................................................................... 3 Arizona State University Summary................................................................................................................................................... 5 Biodesign Institute at Arizona State University......................................................................................... 7 Campus Capital Infrastructure Development (ASU Polytechnic) ........................................................... 11 Classroom Laboratory/Computer Classroom II Building and Central Plant Expansion (ASU West) ..... 12 Northern Arizona University Summary................................................................................................................................................. 13 Access/Workforce Development............................................................................................................. 17 e-Learning............................................................................................................................................... 21 Environmental Research, Development, and Education for the New Economy (ERDENE).................. 25 Growing Biotechnology Initiative (GBI)................................................................................................... 29 University Initiatives ................................................................................................................................ 33 Arizona Universities Network (AZUN) .................................................................................................... 37 The University of Arizona Summary................................................................................................................................................. 41 Anyplace Access for Arizonans .............................................................................................................. 43 Arizona Center for Information Systems and Technology (ACIST)........................................................ 47 BIO5 Institute .......................................................................................................................................... 51 Critical Core Infrastructure...................................................................................................................... 55 Optical Sciences and Technology .......................................................................................................... 59 Technology Transfer Infrastructure ........................................................................................................ 63 Venture Fund .......................................................................................................................................... 67 Water Sustainability ................................................................................................................................ 69 Workforce Initiative: Educator Development Plan .................................................................................. 73 Arizona Board of Regents Central Office Summary................................................................................................................................................. 77 Regents Innovation Fund Summary ....................................................................................................... 79 Learner Centered Education (LCE).................................................................................................... 81 The University of Arizona College of Medicine–Phoenix Planning .................................................... 87 Information Technology Collaborative (IT) ......................................................................................... 90 Arizona Water Institute (AWI)............................................................................................................. 94 Arizona University System Redesign Study....................................................................................... 97 Operating............................................................................................................................................ 99 Arizona Regents Reach Out (ARRO) Grants ....................................................................................... 101 Appendix Arizona Board of Regents Policy 3-412................................................................................................ 107 i ARIZONA BOARD OF REGENTS TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT For the fiscal year ended June 30, 2006 EXECUTIVE SUMMARY ► Education 2000 (Proposition 301), passed by Arizona voters in November 2000, approved a 0.6 cent increase in the state sales tax to be dedicated to the universities, the community colleges, and K-12. Collection of the tax began on June 1, 2001. ► A.R.S. §15-1648 establishes the Technology and Research Initiative Fund (TRIF) to receive Proposition 301 revenue and gives the Arizona Board of Regents the authority to administer the fund. To date, $265,300,932 in revenue from Proposition 301 has been received into TRIF. ► In March 2001 the Arizona Board of Regents approved a five-year TRIF budget plan for FY 2002-FY 2006, along with guidelines for implementation of the budget. The Board annually approves a revised budget and detailed performance measures for each initiative. ► A.R.S. §15-1648(D) requires the Board to submit to the Governor and the Legislature by September 1 of each year a report to include “a description of the amount and duration of each new award distributed and a description of the purpose and goals for each award. For existing awards, the Arizona Board of Regents shall use a detailed set of performance measures to determine the overall effectiveness of each award.” ► All FY 2006 TRIF-funded initiatives, with the exception of Regents Innovation Fund projects, which are responsive to emerging issues, were “existing awards,” i.e., they were continuing projects included in the five-year budget plan approved by the Regents in March 2001. Detailed business plans for each initiative have been developed by the universities and central office and are available on the Arizona Board of Regents web site at: www.azregents.edu ► The original FY 2006 TRIF revenue budget totaled $55,322,900. Total actual TRIF revenue received during FY 2006 was $67,519,943, resulting in over-realized revenue of $12,197,043 (22%). ► An expenditure plan for this FY 2006 over-realized revenue is being developed by the Arizona Board of Regents and the universities at the time of this writing, and will be approved by the Board at its September 27-28, 2006, meeting. Expenditures will be reported in the FY 2007 TRIF Annual Report. ii ► Total TRIF expenditures in FY 2006 were $58,456,161, representing 64% of total revenue available (including carryforward amounts from the prior year). Recognizing the timing under which these revenues flow to the Arizona Board of Regents from the Arizona State Treasurer’s Office, that is, on a monthly basis and even after fiscal year end, along with the larger-than-expected revenue amount, this expenditure rate is not unexpected. ► Recognizing the volatility and unpredictability of the TRIF revenue stream, the universities and central office exercised sound budgetary and financial management in the expenditure of TRIF funds throughout FY 2006. ► TRIF budget guidelines adopted by the Board call for full expenditure of FY 2006 funds by December 31, 2006. The universities and central office may then request that any unexpended funds be reallocated for the same or a different use. ► Expenditure detail by university and central office and by initiative is presented in this report. For the first time, TRIF project brochures are included in this Annual Report, presenting in a concise format a description of each TRIF-funded project, project goals, performance analysis, financial information, management and advisory boards, and contact information to “Learn More” about each project. ► Detailed performance measures for evaluating individual initiatives were approved by the Board, as required by statute. Performance measures and outcomes have been compiled by each university and the central office for each TRIF initiative and, as mentioned above, are included in the project brochures. ► This report reflects the statutorily required funding for costs of Certificates of Participation (COPs) issued for the lease-purchase of buildings and associated infrastructure at ASU at the Polytechnic campus and ASU at the West campus. ► This report reflects compliance with the statutory 20% limitation on use of TRIF funds for capital projects expenditures. In FY 2006, 8.5% of TRIF expenditures were used for capital projects. ► This FY 2006 TRIF Annual Report is available on the Arizona Board of Regents website at: www.azregents.edu iii ARIZONA UNIVERSITY SYSTEM TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL / FY 2007 - 2011 BUDGETS SUMMARY FY 2006 REVISED BUDGET REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Grants/Projects TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service ASU Polytechnic/West COPs NAU Conference Center TOTAL CAPITAL BUDGET $ $ $ EXPENDITURES TOTAL AZUN EXPENDITURES GRAND TOTAL $ 30,509,536 7,442,570 20,753,542 2,189,227 60,894,875 $ $ 24,183,588 67,519,943 91,703,531 $ 24,269,595 6,395,084 17,031,630 988,562 48,684,871 $ $ FY 2008 BUDGET 33,421,631 58,293,884 91,715,515 $ 29,816,569 7,808,697 15,009,599 14,232,784 66,867,649 $ $ FY 2009 BUDGET 2,771,913 61,317,778 64,089,691 $ 24,316,695 6,420,469 12,196,620 1,500,000 44,433,784 $ $ 1,903,829 63,946,817 65,850,646 25,516,766 6,765,568 13,012,900 1,500,000 46,795,234 FY 2010 BUDGET $ $ $ FY 2011 BUDGET 1,459,772 67,635,073 69,094,845 $ 26,780,684 7,129,019 13,876,735 1,500,000 49,286,438 $ $ 1,459,772 71,059,509 72,519,281 28,111,864 7,512,158 14,790,719 1,500,000 51,914,741 3,118,365 5,140,000 3,781,700 12,040,065 592,200 4,047,000 3,790,300 8,429,500 4,720,100 7,506,520 3,791,000 2,000,000 18,017,620 3,171,300 7,562,144 3,790,000 14,523,444 3,394,100 7,929,656 3,787,000 15,110,756 3,260,500 8,686,082 3,786,000 15,732,582 3,507,400 9,096,232 3,786,700 16,390,332 72,934,940 57,114,371 84,885,269 58,957,228 61,905,990 65,019,020 68,305,073 4,562,942 1,341,790 4,058,332 3,128,634 2,384,884 2,516,053 2,654,436 $ 77,497,882 $ 58,456,161 $ 88,943,601 $ 62,085,862 $ 64,290,874 $ 67,535,073 $ 70,959,509 $ 35,685,051 8,658,226 4,301,188 1,260,048 2,076,480 5,269,662 4,494,514 1,718,965 749,262 3,781,700 4,939,844 - $ 28,179,253 8,417,643 3,869,831 1,086,949 1,890,041 5,140,423 3,813,224 829,777 369,595 3,790,300 (272,665) - $ 33,092,448 10,554,198 1,003,176 2,539,478 3,434,063 3,944,871 1,896,983 862,554 3,791,000 11,808,786 11,957,712 $ 26,170,880 8,795,423 800,000 1,872,092 3,200,000 3,200,000 600,000 3,790,000 9,628,833 - $ 27,285,080 8,915,621 800,000 1,872,092 3,200,000 3,200,000 600,000 3,787,000 11,346,197 - $ 28,460,480 9,042,430 800,000 1,872,092 3,200,000 3,200,000 600,000 3,786,000 13,158,018 - $ 29,700,580 9,176,214 800,000 1,872,092 3,200,000 3,200,000 600,000 3,786,700 15,069,487 - EXPENDITURES TOTAL AZUN EXPENDITURES GRAND TOTAL 21,831,590 55,672,162 77,503,752 FY 2007 REVISED BUDGET $ 72,934,940 57,114,371 84,885,269 58,057,228 61,005,990 64,119,020 67,405,073 4,562,942 1,341,790 4,058,332 3,128,634 2,384,884 2,516,053 2,654,436 77,497,882 $ 58,456,161 $ 88,943,601 $ 61,185,862 $ 63,390,874 $ 66,635,073 $ 70,059,509 1 Arizona University System System Summary SUMMARY BY PROGRAM AREA Biodesign/BIO5/GBI Access/Workforce Development/e-Learning Information Technology Technology Transfer ERDENE Optical Sciences Water Sustainability Regents Innovation Fund Arizona Regents Reach Out (ARRO) Grants ASU Polytechnic/West COPs Capital Projects (NAU, UA) Over-realized Revenue Proposals TBD FY 2006 ACTUAL 2 ARIZONA UNIVERSITY SYSTEM TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL / FY 2007 - 2011 BUDGETS SUMMARY FY 2006 REVISED BUDGET REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Grants/Projects TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service ASU Polytechnic/West COPs NAU Conference Center TOTAL CAPITAL BUDGET $ $ $ EXPENDITURES TOTAL AZUN EXPENDITURES GRAND TOTAL $ 30,509,536 7,442,570 20,753,542 2,189,227 60,894,875 $ $ 24,269,595 6,395,084 17,031,630 988,562 48,684,871 3,118,365 5,140,000 3,781,700 12,040,065 592,200 4,047,000 3,790,300 8,429,500 72,934,940 57,114,371 4,562,942 1,341,790 77,497,882 $ 58,456,161 $ 35,685,051 8,658,226 4,301,188 1,260,048 2,076,480 5,269,662 4,494,514 1,718,965 749,262 3,781,700 4,939,844 - $ 28,179,253 8,417,643 3,869,831 1,086,949 1,890,041 5,140,423 3,813,224 829,777 369,595 3,790,300 (272,665) - AZUN $ 72,934,940 57,114,371 4,562,942 1,341,790 77,497,882 $ FY 2006 SYSTEM ACTUAL TRIF EXPENDITURES 24,183,588 67,519,943 91,703,531 $ EXPENDITURES TOTAL EXPENDITURES GRAND TOTAL 21,831,590 55,672,162 77,503,752 58,456,161 (in millions) Biodesign/BIO5/GBI $28.2 49.1% Access/Workforce Development/ e-Learning $8.4 14.7% IT $3.9 6.7% Tech Transfer $1.1 1.9% ASU COPs $3.8 6.6% ARRO Grants $.4 0.6% Regents Innovation Fund $.8 1.4% Water $3.8 6.6% Optical Sciences $5.1 9.0% ERDENE $1.9 3.3% Arizona University System Initiative Expenditures SUMMARY BY PROGRAM AREA Biodesign/BIO5/GBI Access/Workforce Development/e-Learning Information Technology Technology Transfer ERDENE Optical Sciences Water Sustainability Regents Innovation Fund Arizona Regents Reach Out (ARRO) Grants ASU Polytechnic/West COPs Capital Projects (NAU, UA) Over-realized Revenue Proposals TBD FY 2006 ACTUAL Arizona University System Capital Expenditures ARIZONA UNIVERSITY SYSTEM TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET CAPITAL EXPENDITURES ($ in thousands) Revised FY 2006 Budget • R&D: ASU Biodesign Institute at ASU • ASU Poly/West COPs* Total Capital Capital as % of Total ASU Budget • Access/Workforce Development/e-Learning • R&D: $592 FY 2007 Budget $3,900 n/a n/a n/a $1 $592 $3 900 $3,900 0.0% 3.0% 15.0% $0 $0 $2,071 $3,117 $0 $3,700 Growing Biotechnology Initiative (GBI) $0 $0 $0 e-Learning $0 $0 $0 Environmental (ERDENE) $0 $0 $0 Capital Projects $3,117 $0 $0 NAU University Initiatives $0 $0 $3,700 Total Capital $3,117 $0 $5,771 Capital as % of Total NAU Budget 16.8% 0.0% 27.8% • Access/Workforce Development/e-Learning $360 $262 $0 • Technology Transfer $160 $119 $0 $4,555 • R&D: UA $4,620 $3,666 BIO5 Institute I tit t $1 698 $1,698 $1 688 $1,688 $0 ACIST $952 $418 $0 Optical Sciences $1,118 $1,000 $0 Water Sustainability $852 $560 $293 Critical Core Infrastructure $0 $0 $4,262 Venture Fund $0 $0 $0 Total Capital $5,140 $4,047 $4,555 Capital as % of Total UA Budget 19.8% 17.1% 19.2% $0 $0 $0 • Arizona Reach Out (ARRO) Grants ABOR $1 FY 2006 Actual • Regents Innovation Fund Total Capital Capital as % of Total ABOR Budget • Access/Workforce Development/e-Learning • Technology Transfer • R&D: SYSTEM $0 $0 $0 $0 $0 $0 0.0% 0.0% 0.0% $360 $262 $2,071 $160 $119 $0 $7,738 $4,258 $8,455 $3,900 Biodesign/BIO5/GBI $1,699 $2,280 Information Technology $952 $418 $0 ERDENE (Environmental) $0 $0 $0 Optical Sciences $1,118 $1,000 $0 Water Sustainability $852 $560 $293 Capital Projects (NAU)/Critical Core Infrastructure (UA) $3,117 $0 $4,262 University Initiatives (NAU)/Venture Fund (UA) $0 $0 $3,700 Total System Capital $8,258 $4,639 $14,227 20% Statutory Limit on Capital $14,743 $10,933 $17,031 11.2% 8.5% 16.7% Capital as % of Total System Budget *Not applicable. TRIF allocations for ASU Polytechnic and ASU West debt service are directed by statute. Therefore, these amounts are excluded from both the calculation of the total system capital and the 20% statutory limitation on capital expenditures. 3 This page intentionally left blank. 4 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL / FY 2007 - 2011 BUDGETS SUMMARY FY 2006 REVISED BUDGET REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET $ $ $ FY 2006 ACTUAL 8,462,600 21,874,400 30,337,000 $ 10,572,600 2,199,900 13,781,600 26,554,100 $ $ 1,200 3,781,700 3,782,900 FY 2007 REVISED BUDGET 8,462,600 21,874,400 30,337,000 $ 9,500,300 2,207,300 7,464,300 19,171,900 $ $ 592,200 3,790,300 4,382,500 FY 2008 BUDGET 6,782,600 * $ 23,000,600 29,783,200 $ 24,047,000 24,047,000 11,691,900 2,665,500 7,734,600 22,092,000 8,746,500 2,011,700 5,447,400 16,205,600 $ 3,020,100 880,100 3,791,000 7,691,200 FY 2009 BUDGET $ $ $ 3,171,300 880,100 3,790,000 7,841,400 FY 2010 BUDGET 25,158,200 25,158,200 $ 9,183,800 2,112,300 5,800,900 17,097,000 $ $ 3,394,100 880,100 3,787,000 8,061,200 26,332,600 26,332,600 9,643,000 2,217,800 6,176,500 18,037,300 FY 2011 BUDGET $ $ $ 3,260,500 1,248,800 3,786,000 8,295,300 27,573,400 27,573,400 10,125,200 2,328,800 6,575,400 19,029,400 3,507,400 1,249,900 3,786,700 8,544,000 EXPENDITURES GRAND TOTAL $ 30,337,000 $ 23,554,400 $ 29,783,200 $ 24,047,000 $ 25,158,200 $ 26,332,600 $ 27,573,400 ARIZONA STATE UNIVERSITY TEMPE $ 26,555,300 $ 19,764,100 $ 25,992,200 $ 20,257,000 $ 21,371,200 $ 22,546,600 $ 23,786,700 ARIZONA STATE UNIVERSITY POLY 2,116,100 2,121,100 2,123,000 2,121,000 2,122,400 2,122,000 2,119,700 ARIZONA STATE UNIVERSITY WEST 1,665,600 1,669,200 1,668,000 1,669,000 1,664,600 1,664,000 1,667,000 EXPENDITURES GRAND TOTAL $ 30,337,000 $ 23,554,400 $ 29,783,200 $ 24,047,000 $ 25,158,200 $ 26,332,600 $ 27,573,400 * The FY 2007 Carryforward, adjusted for the impact of $264,200 in FY 2006 year-end encumbrances, equals $6,518,400. Arizona State University Summary 5 6 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL / FY 2007 - 2011 BUDGETS SUMMARY FY 2006 REVISED BUDGET REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET FY 2006 ACTUAL (in millions) $ $ $ 8,462,600 21,874,400 30,337,000 $ 10,572,600 2,199,900 13,781,600 26,554,100 $ $ 1,200 3,781,700 3,782,900 8,462,600 21,874,400 30,337,000 592,200 3,790,300 4,382,500 $ 30,337,000 $ 23,554,400 ARIZONA STATE UNIVERSITY TEMPE $ 26,555,300 $ 19,764,100 ARIZONA STATE UNIVERSITY POLY 2,116,100 2,121,100 ARIZONA STATE UNIVERSITY WEST 1,665,600 1,669,200 $ 30,337,000 Biodesign Institute at ASU $19.8 83.9% 9,500,300 2,207,300 7,464,300 19,171,900 EXPENDITURES GRAND TOTAL EXPENDITURES GRAND TOTAL FY 2006 ASU ACTUAL TRIF EXPENDITURES $ CLCC II Building and Central Plant Expansion (ASU West COPs) $1.7 7.1% Campus Capital Infrastructure Development (ASU Polytechnic COPs) $2.1 9.0% 23,554,400 Arizona State University Summary TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) The Biodesign Institute at Arizona State University is ASU’s flagship TRIF initiative focusing on useinspired, collaborative research to improve human health and the quality of life. The research agenda emphasizes translation (the application of discoveries to commercial uses and societal benefits) and impact (the quest for effective innovation). Making these dreams a reality requires a bold new approach. To accelerate the pace of discovery, the Biodesign Institute merges formerly distinct fields of research, including biology, chemistry, physics, medicine, agriculture, environmental science, electronics, materials science, engineering and computing. The Institute’s interdisciplinary research engages diverse capabilities including directed self assembly of macromolecules (top) and pulsed laser analysis of bio-energy transfer processes (middle). The new facilities are designed to enhance communicat ion and collaboration (bottom). The Biodesign Institute received R&D Magazine’s 2006 Lab of the Year Award. The Biodesign Institute is organized into a growing number of centers that link collaborators within ASU and affiliated institutions. Twelve centers were in operation at the beginning of FY06. Three new centers were recently established: 1) the Center for BioEnergetics focuses on energy metabolism and its relationship to human health, and seeking solutions to rare mitochondrial diseases afflicting children; 2) the Center for Systems and Computational Biology focuses on systems biology, an integrative approach leveraging advancements in genomics and proteomics, coupled with the latest computational technologies, to identify the molecular pathways relevant to disease; and 3) the Center for EcoGenomics focuses on developing tools and microscale devices for monitoring biological activity in various ecosystems to learn how organisms respond to changes in their environment. ASU has also made complementary strategic investments in capacity building project areas such as information technology and materials to advance faculty groups and provide support functions for research that demonstrates promise for high impact economic development and projected future integration with the major Biodesign Institute initiatives. Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals 4 Management 4 Advisory Board 4 Learn More 4 Dr. George Poste Director, The Biodesign Institute & Del E. Webb Distinguished Professor of Biology September 1, 2006 7 39 9 -21 32 50 20 2 large Approved 88 32 4 25 30 4 1 large 2 small Completed Partially x x 9 5 29 8 FY03 91 106 17 3 1.29 .09 3 .40 7.34 Actual 1 large 3 small x x 30 40 6 7 40 10 50 5 45 0 large 2 small 227 88 6 Partially 13 10 - 33 84 48 19 120 9 3 20 2 6 x In Progress In Progress Completed Completed 6 5 6 2 3 6 1 10 13 20 10 2 1 x 5 2 5 27 8 2 1 3.20 .12 3 .42 8.50 Proj FY03 1 large 2 small 75 90 4 10 60 15 20 60 10 8 50 24 8 x 6 3 15 109 117 20 3 2.50 .24 4 .50 11.00 Proj FY04 Note: The above amounts include the Biodesign Institute and capacity building project investments. expanding in AZ Companies identifying ASU as a factor for relocating or Economic Development Tier 1 Introduction to Information Technology for all students Completed FY 2002 Tier 2 package of 3 courses Tier 3 concentration for BIS degree BS Applied Computing (ASU West) Begins Fall 2005 High school students completing software design material Internships w/ industry New courses introduced (Bio, Info, Nano) Curriculum Innovations The number of Biodesign Institute research grants/contracts involving funding from non-government entities The number of Biodesign Institute research grants/contracts involving subcontracts to non-ASU researchers New research collaborations with industry and national laboratories Partnerships/Collaborations Post-doctoral appointments Post-doctoral researchers leaving to enter the workforce Graduate students employed Graduate students earning degrees and entering the workforce Undergraduate students involved Increase in number of teachers who graduate with math/science certification Growth in CS/CSE Graduates Work Force Contributions New invention disclosures New patent applications filed New patents issued Total start-up companies licensing ASU technology Licenses or options signed (as indication of technology adoption by industry) New software packages distributed Form industry-university nationwide research consortium Create research road map in collaboration with industry Fund proof of concept grants to faculty Business plans written Technology transfer portal inquiries from industry Technology Transfer 97 108 11 3 1.06 .05 5 .42 1.30 .06 2 .12 15 22 3 2 10.86 9.85 Return on Investment ($ amounts in millions) Annualized total funding associated with federal awards Annualized total funding associated with non-federal contract awards Value of new startups to ASU New products in marketplace Value of new products to ASU Total licensing/other revenue associated with intellectual property FY02 Actual FY02 Proj 8 PERFORMANCE MEASURES/DELIVERABLES FY04 1 large 3 small 200 136 16 Partially Partially 19 37 7 67 139 44 24 106 24 10 4 4 5 9 15 98 128 18 4 5.75 1.40 5 1.40 21.34 Actual 1 large 3 small 75 128 18 19 40 25 67 139 32 24 101 28 15 2 4 14 10 15 120 140 20 4 5.53 2.20 8 2.20 29.00 Proj FY05 FY05 7 large 3 small 71 13 Partially Partially 14 53 (14) 63 177 64 32 121 28 2 2 1 9 8 20 166 168 41 4 4.70 2.53 10 2.53 31.18 Actual FY06 3 large 4 small 50 5 4 large 4 small N/A 75 24 Partially Partially X 49 30 7 71 160 88 39 103 6 2 27 N/A X 26 50 8 74 170 37 26 112 N/A 2 4 11 11 15 N/A 32 N/A 32 152 82 22 4 6.24 3.8 7 3.8 40.76 Actual N/A 144 154 20 4 5.60 3.00 10 3.00 37.40 Proj FY06 17 18 18 75 173 38 27 114 33 17 75 172 37 26 113 32 147 157 20 4 1.54 1.51 145 156 20 4 8.06 53.86 Proj FY08 6.72 44.88 Proj FY07 18 17 76 175 38 27 115 33 148 159 21 4 1.57 9.68 64.63 Proj FY09 19 18 77 177 39 27 117 33 150 160 21 4 1.60 11.61 77.55 Proj FY10 19 18 78 179 39 27 118 34 151 162 21 4 1.63 13.93 93.06 Proj FY11 PAGE 2 P e r f o r m a n c e a n a lys i s PAGE 3 E x p l a n a t i o n o f P e r f o r m a n c e a n a lys i s • The Return on Investment measures and deliverables include federal and non-federal awards, along with the value and number of new products in the marketplace. Additional measures such as total licensing/other revenue associated with intellectual property also provide a benchmark for measuring this performance. • Partnerships/Collaborations are an important component for growth of the Biodesign Institute. Increasing involvement with non-government and non-ASU researchers such as the Mayo Clinic and Barrows Neurological Institute provides additional opportunities to expand and enhance ASU research. • Technology Transfer measures provide results for ASU’s newly structured technology transfer initiative, Arizona Technology Enterprises (AzTE). Measures for inventions, patents and licensing activity are included. The Biodesign Institute provides a primary focus for AzTE as it facilitates the development of intellectual property, promotes industrial linkages, drives technology marketing, and accelerates the successful transition of ASU discoveries into the marketplace. • Curriculum Innovations and Economic Development measures, along with selected measures in the other categories, were used for the first TRIF funding cycle (FY02 - FY06). For the second funding cycle (FY07 - FY11), several of these measures were no longer applicable or were replaced with more current and meaningful measures. • Workforce Contributions measures show the impact of TRIF funding and research participation by undergraduate students, graduate students, and postdoctoral appointments. The measures also include the number of graduate students and post-doctoral researchers leaving ASU to enter the workforce. Financials FY02 FY03 FY04 FY05 FY06 FY06 FY07 FY08 FY09 FY10 FY11 Actual Actual Actual Actual Rev Budget Actual Rev Budget Budget Budget Budget Budget REVENUE Carry Forward New TRIF Revenue TOTAL REVENUE $ 15,217,000 $ 10,391,900 $ 5,108,200 $ 8,517,200 $ 8,355,300 $ 8,355,300 $ 6,791,200 14,850,600 16,112,500 18,692,900 18,200,000 18,200,000 $ 19,201,000 $ 20,257,000 $ 21,371,200 $ 22,546,600 $ 23,786,700 $ 15,217,000 $ 25,242,500 $ 21,220,700 $ 27,210,100 $ 26,555,300 $ 26,555,300 $ 25,992,200 $ 20,257,000 $ 21,371,200 $ 22,546,600 $ 23,786,700 OPERATING BUDGET Personal Services $ 1,492,100 $ 5,907,800 $ 7,120,900 $ 9,136,400 $ 10,572,600 $ 9,500,300 $ 11,691,900 $ 8,746,500 $ 9,183,800 $ 9,643,000 $ 10,125,200 Employee Related Expenses 221,700 938,900 1,386,700 2,048,700 2,199,900 2,207,300 2,665,500 2,011,700 2,112,300 2,217,800 All Other Operating Expenses 2,150,700 10,760,500 3,853,700 6,994,000 13,781,600 7,464,300 7,734,600 5,447,400 5,800,900 6,176,500 6,575,400 3,864,500 17,607,200 12,361,300 18,179,100 26,554,100 19,171,900 22,092,000 16,205,600 17,097,000 18,037,300 19,029,400 960,600 2,527,100 342,200 675,700 1,200 592,200 3,020,100 3,171,300 3,394,100 3,260,500 3,507,400 880,100 880,100 880,100 1,248,800 1,249,900 3,900,200 4,051,400 4,274,200 4,509,300 4,757,300 Total Operating Budget 2,328,800 CAPITAL BUDGET Building Renovation Debt Service Total Capital Budget TOTAL EXPENDITURES 960,600 2,527,100 342,200 675,700 1,200 592,200 $ 4,825,100 $ 20,134,300 $ 12,703,500 $ 18,854,800 $ 26,555,300 $ 19,764,100 $ 25,992,200 $ 20,257,000 $ 21,371,200 $ 22,546,600 $ 23,786,700 Note: The above amounts include the Biodesign Institute and capacity building project investments. 9 PAGE 4 Goals & Results Management The ASU strategic decision to invest its TRIF allocation in the biosciences and supporting technology areas resulted in the formation of the Biodesign Institute and the strategic selection of complementary capacitybuilding projects for funding. Consistent with the TRIF goals, the Biodesign Institute will accelerate ASU's participation in the biomedical/biotechnology research enterprise. The Institute provides the catalyst for discovery and innovation in a physical and intellectual environment that promotes communication, collaboration, and integration of resources. Office of the Vice President for Research and Economic Affairs Jonathan Fink: Vice President for Research and Economic Affairs Stephen Goodnick: Associate Vice President for Research This initiative will provide an essential component for the ascendance of a globally competitive biosciences cluster in Arizona. Our expectation is to make Arizona a leader in the development and practice of predictive, preventative, and personalized medicine. A d v i s o ry B o a r d Goals: • Increase the governmental and private funding of research connected with the Biodesign Institute by 25 percent annually • Increase the rate of technology transfer and commercial development coming from the bioscience/ biotechnology/biomedicine areas • Identify opportunities where recent IT developments can enable the successful growth of novel transdisciplinary areas of research • Enhance interdisciplinary collaborative research in nanotechnology and advanced materials Indicative Results: • FY06 TRIF related Federal and non-federal awards increased to $47M, 31% over FY05. • Biodesign Building A opened in December 2004; Building B opened in January 2006. The new facilities play an important role in recruitment efforts. In FY06, Biodesign recruited 3 senior faculty, 3 junior faculty, 2 research professors and 17 additional research faculty. Total staffing is now over 500. • Dr. Joseph Wang, Director, Bioelectronics and Biosensors, was recognized by the American Chemical Society as the 2006 Electrochemist of the Year. • MacroTechnology Works (MTW) was formed to leverage ASU’s investment in the $44M/5-year Army Flexible Display Center grant and facility. MTW provides a vehicle to take new discoveries rapidly to the prototype production phase and works closely with ASU’s TRIF initiatives. • Frederic Zenhausern, Director, Applied NanoBioscience, was awarded a $5.9 million grant for developing means to monitor the effects of low dose radiation exposure. 10 The Biodesign Institute George Poste: Director, the Biodesign Institute and Del E. Webb Distinguished Professor of Biology Michael Tracy: Deputy Director = National Academy Member = Nobel Laureate Chairman: Dr. Stephen Benkovic, Professor; Eberly Chair in Chemistry — Penn State Members: Dr. Allen J. Bard, Director, Laboratory of Electrochemistry — UT at Austin Dr. Carolyn Bertozzi, T. Z. & Irmgard Chu Distinguished Professor, Department of Chemistry — University of California, Berkeley Dr. Charles R. Cantor, CSO — SEQUENOM, Inc. Dr. John Donoghue, Professor of Neuroscience Division of Biology & Medicine — Brown University Dr. David Eisenberg, Director, Institute for Genomics and Proteomics — UCLA-DOE Dr. Larry Gold, Chairman and CSO — SomaLogic, Boulder, CO Dr. Lee Hartwell, President and Director — Fred Hutchinson Cancer Center, Seattle, WA Dr. Sidney Hecht, John W. Mallet Professor of Chemistry; Professor of Biology — Univ. of Virginia Dr. Daniel Nocera, W. M. Keck Professor of Energy & Professor of Chemistry — MIT Dr. Michael T. Osterholm, Director, Center for Infectious Disease Research and Policy; Professor, School of Public Health — University of Minnesota Dr. Lucy Shapiro, Director, Beckman Center for Molecular and Genetic Medicine; Ludwig Professor of Cancer Research — Stanford University School of Medicine Dr. James Wells, President and CSO — Sunesis Pharmaceuticals Learn More Office of the Vice President for Research and Economic Affairs 480.965.1225 http://ovprea.asu.edu/ The Biodesign Institute 480.727.0370 http://www.biodesign.asu.edu ARIZONA STATE UNIVERSITY POLYTECHNIC TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL / FY 2007-11 BUDGET Campus Capital Infrastructure Development REVENUE Carryforward TRIF Revenue TOTAL REVENUE $ $ EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service y COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ FY 2006 FY 2006 FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 REV BUDGET ACTUAL REV BUDGET BUDGET BUDGET BUDGET BUDGET 31 000 31,000 2,085,100 2,116,100 $ $ 31 000 31,000 2,085,100 2,116,100 $ $ (5 000) (5,000) 2,128,000 2,123,000 $ $ 2,121,000 2,121,000 $ $ 2,122,400 2,122,400 $ $ 2,122,000 2,122,000 $ $ 2,119,700 2,119,700 - - - - - - - 2,116,100 2,116,100 2,121,100 2,121,100 2,123,000 2,123,000 2,121,000 2,121,000 2,122,400 2,122,400 2,122,000 2,122,000 2,119,700 2,119,700 2,116,100 $ 2,121,100 $ 2,123,000 $ 2,121,000 $ 2,122,400 $ 2,122,000 $ 2,119,700 Note: ASU East's name was changed to ASU Polytechnic (ASUP) effective July 1, 2005. INITIATIVE OVERVIEW The ASU Polytechnic Proposition 301 initiative funds $27.5 million of Certificates of Participation (COPs) for infrastructure development, including multiple building renovations, campus infrastructure improvements and a new campus student union. The building renovations prepared academic space, including classrooms, faculty and staff offices, and student support services to meet anticipated growth. The infrastructure improvements continued the transition of the former Williams Air Force Base to an attractive university campus. The major projects included campus street and roadway improvements, new campus malls, lighting and emergency telephones, and campus landscape improvements. 11 Arizona State University Polytechnic Capital Infrastructure Development The COPs were issued in June, 2002. Scheduled payments run through 2021. Approximately $26.8 million (98%) of the COPs was committed to building renovation and campus infrastructure projects at ASUP. Completed projects include the Administration Building, the Simulator Building renovations, the renovation of Wanner and Sutton Halls, as well as the North and South Pedestrian Malls. Both the new Union Building and the Agribusiness Center renovation projects were completed in August 2004 and were fully operational for the fall semester. ASUP completed all TRIF funded capital improvement projects by June 2005. 12 ARIZONA STATE UNIVERSITY WEST TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL / FY 2007-11 BUDGETS Classroom Laboratory / Computer Classroom II Building and Central Plant Expansion REVENUE Carryforward TRIF Revenue TOTAL REVENUE $ $ EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service y COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ FY 2006 FY 2006 FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 REV BUDGET ACTUAL REV BUDGET BUDGET BUDGET BUDGET BUDGET 76 300 76,300 1,589,300 1,665,600 $ $ 76 300 76,300 1,589,300 1,665,600 $ $ (3 600) (3,600) 1,671,600 1,668,000 $ $ 1,669,000 1,669,000 $ $ 1,664,600 1,664,600 $ $ 1,664,000 1,664,000 $ $ 1,667,000 1,667,000 - - - - - - - 1,665,600 1,665,600 1,669,200 1,669,200 1,668,000 1,668,000 1,669,000 1,669,000 1,664,600 1,664,600 1,664,000 1,664,000 1,667,000 1,667,000 1,665,600 $ 1,669,200 $ 1,668,000 $ 1,669,000 $ 1,664,600 $ 1,664,000 $ 1,667,000 INITIATIVE OVERVIEW The ASU West Proposition 301 initiative funds $21.6 million of Certificates of Participation (COPs) for two campus improvement projects, a 104,400 gross square foot (GSF) Laboratory/Computer Classroom Building (CLCC II) and a Central Plant expansion. The CLCC II building includes approximately 42,000 net assignable square footage (NASF) of instructional space with a 150 seat lecture hall, two 80 seat classrooms, ten 60 seat classrooms, two 40 seat computer classrooms, five science labs and one computer lab. The Central Plant expansion added 4,800 GSF for a new 1,000 ton chiller, a thermal storage tank, and utility line extensions required to service the CLCC II building. The COPs were issued in June, 2002. Scheduled payments run through 2021. Construction on the projects was complete for the Spring 2004 semester. Arizona State University West Classroom Laboratory / Computer Classroom II Building and Central Plant Expansion NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL / FY 2007 - 2011 BUDGETS SUMMARY FY 2006 REVISED BUDGET REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service Conference Center TOTAL CAPITAL BUDGET $ $ $ FY 2006 ACTUAL 6,730,914 11,848,500 18,579,414 $ 6,179,939 1,595,458 3,123,909 10,899,306 $ $ 3,117,165 3,117,165 FY 2007 REVISED BUDGET 9,196,033 11,871,286 21,067,319 $ 4,950,234 1,311,816 2,467,489 8,729,539 $ $ - FY 2008 BUDGET 10,995,990 12,500,168 23,496,158 $ 7,036,737 1,818,036 2,039,648 10,894,421 $ $ 1,700,000 2,071,491 2,000,000 5,771,491 FY 2009 BUDGET 2,771,913 13,187,673 15,959,586 $ 5,588,350 1,278,391 1,874,959 8,741,700 $ $ 2,185,423 2,185,423 FY 2010 BUDGET 1,903,829 13,468,941 15,372,770 $ 5,601,684 1,283,070 2,337,739 9,222,493 $ $ 2,305,621 2,305,621 FY 2011 BUDGET 1,459,772 14,678,215 16,137,987 $ 5,615,747 1,288,011 2,825,974 9,729,732 $ $ 2,432,430 2,432,430 1,459,772 15,485,517 16,945,289 5,630,584 1,293,225 3,341,058 10,264,867 2,566,214 2,566,214 EXPENDITURES GRAND TOTAL $ 14,016,471 $ 8,729,539 $ 16,665,912 $ 10,927,123 $ 11,528,114 $ 12,162,162 $ 12,831,081 AZUN $ 4,562,942 $ 1,341,790 $ 4,058,332 $ 3,128,634 $ 2,384,884 $ 2,516,053 $ 2,654,436 $ 2,905,637 806,400 3,478,110 2,076,480 3,474,445 1,275,399 $ 3,346,794 819,980 3,013,512 1,890,041 765,204 (1,105,992) $ 6,215,103 1,255,127 2,266,204 2,539,478 4,390,000 $ 5,185,423 913,880 1,810,000 1,872,092 1,145,728 $ 5,305,621 913,880 1,810,000 1,872,092 1,626,521 $ 5,432,430 913,880 1,810,000 1,872,092 2,133,760 $ 5,566,214 913,880 1,810,000 1,872,092 2,668,895 $ 14,016,471 $ 8,729,539 $ 16,665,912 $ 10,927,123 $ 11,528,114 $ 12,162,162 $ 12,831,081 SUMMARY BY INITIATIVE Access/Workforce Development Growing Biotechnology Initiative (GBI) e-Learning ERDENE (Environmental) Capital Projects University Initiatives EXPENDITURES GRAND TOTAL 13 Northern Arizona University Summary Note: FY 2006 revenue/expense reported prior to official fiscal year close. 14 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL / FY 2007 - 2011 BUDGETS ARIZONA UNIVERSITIES NETWORK (AZUN) SUMMARY FY 2006 REVISED BUDGET REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service Conference Center TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ $ $ FY 2006 ACTUAL 2,531,942 2,031,000 4,562,942 $ 1,460,141 501,924 2,600,877 4,562,942 $ $ $ 4,562,942 FY 2007 REVISED BUDGET 2,534,652 2,034,906 4,569,558 $ 167,912 64,664 1,109,214 1,341,790 $ $ $ 1,341,790 FY 2008 BUDGET 3,227,768 2,142,705 5,370,473 $ 1,086,139 316,393 2,655,800 4,058,332 $ $ $ 4,058,332 FY 2009 BUDGET * 1,312,141 2,260,550 3,572,691 $ 973,664 281,407 1,873,563 3,128,634 $ $ $ 3,128,634 FY 2010 BUDGET * 444,057 1,940,827 2,384,884 $ - $ $ $ 2,384,884 FY 2011 BUDGET * 2,516,053 2,516,053 - $ $ $ $ 2,516,053 2,654,436 2,654,436 - $ 2,654,436 * AZUN FY 2009-2011 assumes renewal of Memorandum of Understanding between ABOR and NAU. Current MOU is set to expire June 30, 2008. Northern Arizona University AZUN Summary NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL / FY 2007 - 2011 BUDGETS SUMMARY FY 2006 REVISED BUDGET REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service Conference Center TOTAL CAPITAL BUDGET $ $ $ FY 2006 ACTUAL 6,730,914 11,848,500 18,579,414 $ 6,179,939 1,595,458 3,123,909 10,899,306 $ $ 3,117,165 3,117,165 9,196,033 11,871,286 21,067,319 4,950,234 1,311,816 2,467,489 8,729,539 $ 14,016,471 $ 8,729,539 AZUN $ 4,562,942 $ 1,341,790 EXPENDITURES GRAND TOTAL $ $ (in millions) Growing Biotechnology Initiative (GBI) $.8 7.3% e-Learning $3.0 27.0% - EXPENDITURES GRAND TOTAL SUMMARY BY INITIATIVE Access/Workforce Development Growing Biotechnology Initiative (GBI) e-Learning ERDENE (Environmental) Capital Projects University Initiatives FY 2006 NAU ACTUAL TRIF EXPENDITURES 2,905,637 806,400 3,478,110 2,076,480 3,474,445 1,275,399 $ 14,016,471 $ 3,346,794 819,980 3,013,512 1,890,041 765,204 (1,105,992) Access/ Workforce Development $3.3 29.9% ERDENE (Environmental) $1.9 16.9% AZUN $1.3 12.0% Capital Projects $.8 6.8% 8,729,539 Northern Arizona University Summary 15 This page intentionally left blank. 16 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) Access / t n e m p o l ve e D e c r Workfo September 1, 2006 Access/Workforce Development The Northern Arizona University Access and Workforce Development (A/WD) initiative addresses the needs of Arizona employers and their current and future employees. A/WD is focused on areas of demonstrated need as defined by the Governor’s Taskforce on Education and the Arizona Partnership for a New Economy with support from the Technology and Research Initiative Fund. The Northern Arizona University’s E-Learning and Access and Workforce Development Initiatives are closely aligned, sharing staffing and leveraging limited funding to accomplish workforce development goals. Similarly, the NAU efforts are in synergy with the efforts of the Arizona Universities Network (AZUN). Contents Introduction 1 Performance Analysis: 2 Financial Information 3 Infrastructure 4 Advisory Board 4 Learn More 4 The Access and Workforce Development initiative represents a major commitment by Northern Arizona University to provide education services to Arizona citizens who are time- or place-bound. This initiative: 1. Addresses the teacher shortage with emphases on alternative certification and preparation of mathematics and science teachers 2. Provides engineers with advanced training to support business and industry 3. Increases the number of advance-trained nurses and other health professionals to maintain quality of life 4. Educates information technology professionals to serve the new economy needs of the state 5. Prepares post-baccalaureate business/non-profit managers to be leaders in existing and new businesses 6. Develops and maintains the support infrastructure for future development of degree and certificates responsive to the needs of the new economy. Fred Hurst, Vice President for Extended Programs, and Dean for Distance Learning 17 18 20 44 Engineers with Advanced Training Business/Non-Profit Managers 3 30 2 Tri-University (ASU,NAU,U of A) Number K-12 Partners (Schools/Districts) Number Industry Partnerships 5 30 3 15 80 Yes Yes 12 50 N/A 200 460 2 FY 03 Proj 21 51 3 16 72 Yes Yes 19 5 30 3 15 100 Yes Yes 15 60 N/A Rprtd in AZUN 182 200 545 2 FY 04 Proj 266 542 5 FY 03 Act 42 119 3 17 105 Yes Yes 37 303 N/A 414 807 0 FY 04 Act 25 60 3 16 80 Yes Yes 20 200 N/A 300 600 2 FY 05 Proj Proposed metrics are based on the expectation of continuous growth in initiative funding over the period FY 2007- FY 2011. 14 75 Yes Yes Partners Number Community College Partnerships/Collaborations Number New/Revised Courses Regional/National Global Access Statewide Access (Rural and Urban) (Yes/No) 11 120 Nurses/Health Professionals Curriculum Innovations Number Degree/Certificate Programs 250 0 FY 02 Act New Teachers Potential New Students Served Workforce Contributions Courses/Modules Sold/Brokered Technology Transfer and Industry Collaborations FY 02 Proj 75 127 3 17 153 Yes Yes 41 442 N/A 464 679 0 FY 05 Act 50 120 3 16 180 Yes Yes 40 350 N/A 350 700 2 FY 06 Proj 125 53 50 3 17 40 Yes Yes 120 3 3 127 80 17 40 Yes Yes 42 400 400 40 N/A 500 400 N/A 700 1 FY 08 Proj 700 1 FY 07 Proj 19 176 Yes Yes 41 528 N/A 540 773 0 FY 06 Act 56 130 3 17 40 Yes Yes 44 450 N/A 500 750 1 FY 09 Proj 59 135 3 17 40 Yes Yes 46 450 N/A 600 750 1 FY 10 Proj 61 140 3 17 40 Yes Yes 48 500 N/A 600 750 1 FY 11 Proj PAGE 2 ACCESS / WORKFORCE DEVELOPMENT P e r f o r m a n c e a na lys i s ACCESS / WORKFORCE DEVELOPMENT PAGE 3 P e r f o r m a n c e a na lys i s Work Force Contributions: FY 2006 Objectives and Accomplishments The objectives for FY 2006 included the expansion of existing programs, development or conversion of programs to the web, increasing student capacity in new and existing programs, and incremental growth in enrollment for the following areas: Education, Health Professions, Business and Public Service. Overall, FY 2006 enrollments surpassed projections with the expansion of face-to-face programs, creation of new cohorts, growth in web enrollments, more focused marketing and recruitment efforts, and the expansion to new locations and partnerships all contributing factors in the success of these programs. • • • Education saw an average growth of 14% in enrollments over FY 2005, with some programs more than doubling enrollments over the prior academic year. New cohorts continue to be established in the Phoenix Metro and Tucson areas to meet student needs. The Health Professions also saw an increase in enrollment across the board with the RN to BSN and the Master of Nursing increasing by nearly 20%. The Accelerated BSN doubled the number of students enrolled from 34 to 74 students, and the BAS/BS in Health Sciences increased enrollments by 9% from 175 to 191 students. Business and Public Service programs likewise experienced an increase in demand for their programs with the BAILS/BAS in Public Agency Service and the Master of Administration continuing to have strong interest. The latter program responded to student needs by adding the Community Planning emphasis, increasing the total number of emphases offered to seven. F i na n c i a l FY 2002 Actual I N F O R M AT I O N FY 2003 Actual FY 2004 Actual FY 2005 Actual FY 2006 Budget FY 2006 Actual FY 2007 Budget FY 2008 Budget FY 2009 Budget FY 2010 Budget FY 2011 Budget REVENUE Carry Forward $0 $1,490,660 $2,074,249 $1,637,061 $0 $1,579,182 $1,143,612 $0 New TRIF Revenue 3,780,744 3,716,346 3,958,296 2,767,273 2,905,637 2,911,225 5,071,491 5,185,423 TOTAL REVENUE 3,780,774 5,207,006 6,032,545 4,404,334 2,905,637 4,490,407 6,215,103 Personal Services $1,758,482 $2,309,262 $2,758,700 $2,485,637 $1,514,252 $2,453,798 Operating 531,632 823,495 1,636,784 644,637 1,391,385 Debt Services * - - - - - TOTAL EXPENDITURES $2,290,114 $3,132,757 $4,395,484 $3,130,274 $0 $0 $0 5,305,621 5,432,430 5,566,214 5,185,423 5,305,621 5,432,430 5,566,214 $3,277,086 $2,540,800 $2,540,800 $2,540,800 $2,540,800 892,997 866,526 459,200 459,200 459,200 459,200 - $2,071,491 $2,185,423 $2,305,621 $2,432,430 $2,566,214 $2,905,637 $3,346,795 $6,215,103 $5,185,423 $5,305,621 $5,432,430 $5,566,214 OPERATING BUDGET Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a six-tenths-cent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. *Debt Service will be used to cover bond payments associated with the renovation of the Health Professions/Nursing Building 19 PAGE 4 ACCESS / WORKFORCE DEVELOPMENT P e r f o r m a n c e A na lys i s Infrastructure: FY 2006 Objectives and Accomplishments Objectives were established and met in the following areas to support the A/WD initiatives and to keep pace with the demands of program expansion. Student Services –Assistance is available to students inperson at over 37 offices around the state, by toll-free phone and online chat. Regular contact with current and prospective students has expanded and includes advising calls to students new to web-based degree programs, distributing guidelines for a successful online experience to all web students, and service satisfaction follow-up surveys. Technical Infrastructure –High-bandwidth demand is satisfied by 200 Mbps bandwidth; Internet 2 connectivity supports the national exchange of instructional and research data; and modem pools serve rural students. Over 3,452 students with limited computer power accessed complex software through the Citrix server. The all-digital ITV System and three digital ITV classrooms at North Tucson, Central Phoenix, and Signal Peak were successfully installed. Faculty Support – 176 web courses have been developed since FY 2003 with TRIF funding. Over 696 Web classes were taught during Academic Year 2005-2006 using a combination of TRIF and Distance Learning funding with approximately 16% growth in Web enrollments. Marketing – Conducted comprehensive marketing campaigns to promote TRIF programs through print, radio, web, and cinema advertising in local, statewide and national media; conducted Internet promotional campaigns through web banners and postcards. Contracted with online lead-generation companies for new, qualified leads, and initiated contracts to improve search engine rankings for TRIF online program search. Developed, produced, and distributed brochures promoting A/WD programs. . A DV I S O RY B OA R D The A/WD Advisory Board provides guidance on certificate, degree program and student service needs. The January 2006 meeting of the board was productive, generating many ideas that were shared with the academic departments and members of Distance Learning advising and marketing teams. Key points of discussion centered around the following topics: • Program needs in the areas of Leadership, Education, Engineering, and the Public Sector; • Modes of delivery, including a discussion of the pros and cons of web and hybrid courses, as well as cohort programs, with suggestions on how to improve each type of delivery; and • Suggestions for reaching diverse and prospective student populations. AWD Advisory Board Members: Tacy Ashby Ed.D., Superintendent, Cave Creek Unified School District; Paul Brynteson Ph.D., Professor, Health Sciences; Gypsy Denzine Ph.D., Associate Dean, College of Education; Paul Kessel Vice President, Yavapai College; Pete Hatfield C.M.E., Honeywell Global Repair Development Engineering; Colleen McGregor B.S., Designation Specialist, Health Systems Development, Arizona Department of Health Services and current NAU student; Raul Sandoval Ed.D., Executive Assistant to the President, South Mountain Community College; and Lt. Jeri Williams M.Ed., Operations Lieutenant, City of Phoenix Police Department Planning & Research Bureau. M a nag e m e n t Programmatic oversight is in the NAU Distance Learning department with the vice president for extended programs and dean of distance learning directly responsible for activities. Due to the size of this initiative, a single point of contact (SPOC) was assigned to coordinate each program and each college also assigned a SPOC to coordinate with Distance Learning. This new management scheme has resulted in a high level of coordination. Integration with ongoing operations helps ensure sustainability. LEARN MORE 20 Contact Fred Hurst, Vice President for Extended Programs and Dean for Distance Learning, at Fred.Hurst@nau.edu, or call 928-523-6598. Or Visit the Distance Learning website at http://www.distance.nau.edu/ TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF ) g n i n r a e-Le September 1, 2006 e-Learning A recent U.S. Department of Education report to the nation on technology and education calls technological literacy “as fundamental to a person’s ability to navigate through society as traditional skills like reading, writing, and arithmetic.” (Journal of Educational Computer Research. Volume 24, Number 4/2001) Northern Arizona University’s (NAU) e-Learning initiative addresses this issue through effective and innovative use of information technology to support student learning, providing wider access to education, and infusing technological skill development into all aspects of learning. The e-Learning initiative contributes directly to the increased access to education across Arizona. Technological skills learners develop will be critical to future success in the new, knowledge-based economy. e-Learning will prepare residential and distance students with essential skills for the workplace in our increasingly technology-sophisticated world. We will establish NAU as a leading institution for using e-Learning to enhance educational quality and access. Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals 4 Management 4 Advisory Boards 4 Learn More 4 Don Carter, e-Learning Director 21 Partnerships Number of private sector partnerships Number of scholarly publications/conference presentations 0 0 1 1,750 0 889 84% 5% 663 1,703 9,476 117 32 101/14 0 FY 03 Act 1 2,000 85% 0 150 600 4,500 190 30 130 FY 04 Proj 0 1,633 89.2% 9% 793 136 10,133 155 42 121 FY 04 Act 1 1,500 90% 5% 750 500 11,000 120 50 90 FY 05 Proj 120 60 80 FY 06 Proj 241 7 22 FY 06 Act 2 1,919 87% 16% 1,268 980 1 1,500 90% 5% 750 500 0 2,238 87% 16% 844 568 12,381 12,000 14116 126 53 141 FY 05 Act 1,200 1,000 1 5 1 3 2 1 2,050 2,000 92% 5% 5% 91% 5% 3,000 1,300 75 175 12,750 5% 2,000 1,000 350 150 12,500 225 20 15 200 25 25 15 20 95 FY 08 Proj 100 FY 07 Proj 1 1,500 0 0 500 4,000 175 20 150 FY 03 Proj Number undergraduate students in internship programs 0 0 0 0 7,110 150 0 0 25 0 125 FY 02 Act 0 10 FY 02 Proj Number graduate students in internship programs Percentage of students satisfied with Web learning Number of graduates with technical literacy skills Number of graduates w/advanced technical literacy skills Number student enrollments in enhanced courses Increase student academic success in Web courses Increase in student success in enhanced & redesigned courses Number of student enrollments in hybrid courses Increase in residential student enrollments in online courses Number of new student enrollments in online courses Increase in distance student enrollments in online courses Number of new faculty participating in Web development Number of new Web courses developed and offered Number of new Hybrid courses developed Number of new IT – enhanced courses developed Number of courses redesigns 22 Work force Contributions METRICS 7 1 2 1 1,500 2,100 93% 5% 5% 4,000 1,600 50 200 13,000 250 25 30 35 90 FY 09 Proj 10 1 2 1 1,600 2,150 94% 5% 5% 5,000 2,000 200 300 13,500 300 30 35 45 85 FY 10 Proj 10 1 2 1 1,700 2,200 95% 5% 5% 6,000 2,500 200 300 14,00 0 350 35 40 55 80 FY 11 Proj PAGE 2 e-Learning P e r f o r m a n c e A na lys i s e-Learning PAGE 3 Performance The e-Learning Initiative has a clear focus on workforce development. Enhancement of technological skills as a result of the integration of technology across the curriculum with a sharpened focus on student learning will prepare NAU graduates for a knowledge and innovation-based Arizona economy. • Curriculum innovations are critical to developing students’ technological skills. These innovations include the development and offering of new online courses, hybrid courses, and course redesign at the undergraduate level. A majority of course offerings at NAU will integrate a technology component into the classroom. • Advances in student centered e-Learning occur through research and development activities. The e-Learning Center's R&D efforts are reflected in support of faculty through innovation funds and a best practices laboratory. New technologies, teaching practices, and standards of quality centered on learning in a technological environment are a focal point for the e-Learning Initiative. • and-place bound will be able to enroll in NAU courses and degree programs through improved access to the University. • The impact of the e-Learning “Technological literacy is Initiative is measured by the fundamental to Arizona’s number of innovation economy.” students with enhanced and advanced technical literacy skills. Multiple indicators (e.g., observations, questionnaires, test score data, interviews, etc.) are characterizing the level of student technological skills. • Partnerships and collaborations supported by The e-Learning Center are between academic units and distance learning programs at NAU. The e-Learning Center is an integral part of the Arizona Universities Network and provides support for the creation and continuous improvement in online, hybrid, and on-site courses. As new e-Learning technologies emerge, partnerships with corporations are likely to occur to serve business training Increasing access to higher education for Arizona’s citizens is a major goal for e-Learning. Through information and instructional technology, enrollment in online, hybrid, and technology enhanced courses are expected to greatly increase over the next five years. Students who are time- needs. F i na n c i a l I n f o r m at i o n FY 2002 Actual FY 2003 Actual FY 2004 Actual FY 2005 Actual FY 2006 Budget FY 2006 Actual FY 2007 Budget FY 2008 Budget FY 2009 Budget FY 2010 Budget FY 2011 Budget REVENUE Carry Forward $0 $674,138 $637,033 $831,019 $1,210,110 $1,197,355 $456,204 $0 $0 $0 $0 New TRIF Revenue 1,354,355 1,161,953 1,704,522 2,160,000 2,268,000 2,272,361 1,810,000 1,810,000 1,810,000 1,810,000 1,810,000 TOTAL REVENUE 1,354,355 1,836,091 2,341,555 2,991,019 3,478,110 3,469,716 2,266,204 1,810,000 1,810,000 1,810,000 1,810,000 Personal Services $567,521 $1,103,269 $1,310,577 $1,525,599 $2,921,612 $1,697,066 $2,014,112 $1,608,092 $1,608,092 $1,608,092 $1,608,092 Operating 112,696 95,789 199,959 470,437 1,316,446 252,092 201,908 201,908 201,908 201,908 TOTAL EXPENDITURES $680,217 $1,199,058 $1,510,536 $1,996,036 $3,478,110 $3,013,512 $2,266,204 $1,810,000 $1,810,000 $1,810,000 $1,810,000 OPERATING BUDGET 556,498 Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. 23 e-Learning PAGE 4 M a nag e m e n t G oa l s Through e-Learning, NAU strives to increase access and quality of education for all Arizona citizens, thereby developing our workforce and addressing the needs of the Innovation Economy. Specific goals include: ♦ Integrate web technology into the learning experience at NAU to enhance technological skills and access to knowledge, and ensure that all NAU graduates achieve a fundamental level of technological competency. ♦ Provide technical support and training for faculty in the integration of technology into the classroom. ♦ Continue to assess effectiveness of e-Learning technology and develop and implement new strategies to identify and use best practices to take advantage of new technologies. ♦ The e-Learning Center is managed by the Director of e-Learning , Don Carter, who reports to Karen Pugliesi. Karen reports to Bill Grabe the Interim Vice Provost for Undergraduate Studies, for TRIF related activities. A dv i s o ry B oa r d s There are two advisory boards for the e-Learning Initiative, one internal and one external. The e-Learning Internal Advisory Board consists of administrative and faculty leaders on campus who have a vested interest in the success and implementation of the Initiative. Membership includes the e-Learning Director, the Director of Faculty Development, six faculty (one from each college), two students (one on the Mountain Campus and one Distance Learning), and representatives from each of the following: Academic Chairs Council, Cline Library, Council of Deans, Distance Learning, Information Technology Services, and the Provost’s Academic Computing Advisory Committee. Market and promote e-Learning to students wishing to access educational opportunities via the internet. Vice Provost Internal Advisory Board e-Learning Director External Advisory Board e-Learning Faculty Committee LEARN MORE Contact Don Carter, Director of the e-Learning Initiative, at don.carter@nau.edu, or 928-523-1605. Or Visit the e-Learning Center website at http://www.nau.edu/elearning 24 The e-Learning Faculty Committee, composed of the faculty on the advisory board, is responsible for recommending baseline learning outcomes, addressing standards, selecting courses for redesign, and reviewing internal grant projects. The External Advisory Board is composed of three members who are leaders in the field of e-Learning to provide guidance and national perspective on teaching and learning using technology. TECHNOLOGY AND RESEACH INITIATIVE FUND (TRIF) opment, l e v e D , h c al Resear t n e nomy m o n c E o ir w e N En v e ion for th t a c u d E d an (ERDENE) September 1, 2006 ERDENE Long-term environmental and human health depends on ecological understanding, economic vitality and social values. Environmental Research, Development, and Education for the New Economy (ERDENE) integrates ecological understanding, business acumen and technological ingenuity to sustain the health of our environment and the vitality of our communities. ERDENE focuses on Northern Arizona University’s (NAU) environmental research strengths in five major areas including ecological restoration, water resources, renewable energy technologies, applied research for sustaining rural communities, and comprehensive monitoring and management of complex systems. ERDENE applies ecological research and knowledge to lessen human impact on the natural world, mitigate previous actions detrimental to our natural heritage, and stimulate economic and community development. The program promotes environmental, economic and ERDENE faculty member and community health by addressing real problems in NAU students working on the Wind Turbines innovative ways. Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals 4 Management 4 Advisory Boards 4 Learn More 4 Dr. Gary Deason, ERDENE Director 25 $.2 10 0 0 0 0 2 Other Dollars Qualitative Returns Including Presentations & Publications Products Generated and in the Marketplace Business Spinoffs Patent Apps Generated Conferences Sponsored Business Expansions 23 n/a 0 0 0 High End Baccalaureates in Specific Disciplines Baccalaureates Produced in Related Disciplines Certificates Granted Undergrad Students in Pipeline Continuing Ed Professionals 5 5 0 Revised Courses New Courses (full time students) New Programs – Participating Professionals 13 8 5 Industry/Private Sector Collaborations Community-based (including tribes) Regional, Nat’l, International Research and Linkages 0 4 Tri-University (ASU, NAU, UofA) Companies identifying the university as a reason to relocate 2 Community College 2+2 Programs Partnerships 5 New Programs such as Certificates (full time students) Specific Curriculum Innovations 35 Graduate/Postdoc Students in Pipeline or Graduated Work Force Contributions Technology Transfer $.1 Industrial Dollars FY 02 Proj $4.5 26 Federal and State Funds Return on Investment METRICS ($ in millions) 0 20 34 17 4 2 0 2 10 3 85 26 0 n/a 38 56 2 14 1 1 0 121 $.6 $.4 $5.5 FY 02 Act 0 20 25 18 3 3 0 7 6 5 85 30 5 n/a 33 50 2 15 1 1 0 120 $.2 $.1 $4.3 FY 03 Proj 0 22 30 18 3 3 0 10 6 6 85 32 5 n/a 38 56 3 15 1 1 0 120 $.2 $.1 $4.3 FY 04 Proj 0 54 51 58 7 7 0 29 16 1 1361 63 3 n/a 47 102 5 21 0 1 49 138 $.5 $.5 $4.4 FY 04 Act 0 25 30 24 4 4 0 10 8 6 90 35 7 n/a 45 60 4 17 1 1 0 130 $.3 $.1 $5.7 FY 05 Proj 0 72 60 79 10 8 0 31 22 0 142 40 73 n/a 23 35 16 28 0 1 6 305 $.5 $.5 $12.9 FY 05 Act 0 15 46 27 5 5 0 15 9 9 46 35 8 n/a 84 61 8 8 2 2 2 27 $.3 $.2 $6.3 FY 06 Proj $.5 $.9 120 265 35 35 48 76 0 0 35 5 9 69 2 1 0 1 8 9 12 6 0 50 231 2 5 40 6 0 n/a 15 60 0 5 38 3 0 0 1 26 0 1 12 140 $.3 $.1 119 $5.0 FY 07 Proj $3.8 FY06 Act 0 38 38 38 8 4 2 2 3 1 130 55 5 42 6 62 1 5 1 0 3 150 $.6 $.3 $5.5 FY 08 Proj 1 40 40 40 12 6 2 3 4 1 140 60 5 45 6 65 2 10 2 1 6 160 $.7 $.4 $6.0 FY 09 Proj 2 42 42 42 15 8 2 3 4 1 150 65 5 48 6 68 3 15 3 2 8 170 $.8 $.4 $6.5 FY 10 Proj 3 45 45 45 18 10 2 3 4 1 160 70 5 50 6 70 4 20 4 3 10 180 $.9 $.5 $7.0 FY 11 Proj Anticipated FY 06 Actual are due to increase for Final print by end of August. Awaiting final reporting. 0 41 58 73 6 9 0 9 14 1 312 126 0 n/a 27 87 1 19 0 0 0 180 $.3 $.4 $4.3 FY 03 Act PAGE 2 Environmental Research, Development, and Education for the New Economy (ERDENE) P e r f o r m a n c e a na lys i s Environmental Research, Development, and Education for the New Economy (ERDENE) PAGE 3 P e r f o r m a n c e a na lys i s • ERDENE will focus its efforts on securing new funding in five areas: ecological restoration, renewable energy technologies, rural and tribal community development, water resource management, and environmental monitoring. • Technology transfer performance covers a broad spectrum of activities including patents, spin-off companies, products, and business expansions. A significant measure of ERDENE’s technology transfer productivity is through sponsored conferences and workshops for business, industry, and government agencies. • ERDENE works closely with the Greater Flagstaff Economic Council and the Northern Arizona Technology and Business Incubator to develop and recruit new sustainable resource focused companies to northern Arizona. • Workforce contributions are measured by undergraduate and graduate students in the pipeline or graduated with degrees or certificates relevant to area and the number of continuing education professionals participating in training programs offered through ERDENE. • ERDENE supports student research and critical skill development to enhance preparedness for Arizona’s workforce opportunities. • ERDENE collaborations are measured by the number of partnerships with community colleges, universities, industries, communities, and regional/national/international organizations. The Ecological Restoration Institute F i na n c i a l i n f o r m at i o n FY 2002 Actual FY 2003 Actual FY 2004 Actual FY 2005 Actual FY 2006 Budget FY 2006 Actual FY 2007 Budget FY 2008 Budget FY 2009 Budget FY 2010 Budget FY 2011 Budget REVENUE Carry Forward $0 $175,540 $224,067 $254,812 $0 $476,956 $667,386 $0 $0 $0 $0 New TRIF Revenue 1,450,500 1,551,412 1,681,405 1,977,600 2,076,480 2,080,472 1,872,092 1,872,092 1,872,092 1,872,092 1,872,092 TOTAL REVENUE 1,450,500 1,726,952 1,905,472 2,232,412 2,076,480 2,557,428 2,539,478 1,872,092 1,872,092 1,872,092 1,872,092 Personal Services $1,062,225 $1,260,419 $1,426,244 $1,639,348 $1,965,615 $1,425,695 $2,387,108 $1,759,766 $1,759,766 Operating 212,735 242,466 224,416 259,376 110,865 464,347 152,370 112,326 112,326 TOTAL EXPENDITURES $1,274,960 $1,502,885 $1,650,660 $1,898,724 $2,076,480 $1,890,042 $2,539,478 $1,872,092 $1,872,092 OPERATING BUDGET $1,759,766 $1,759,766 112,326 112,326 $1,872,092 $1,872,092 Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. 27 Environmental Research, Development, and Education for the New Economy (ERDENE) PAGE 4 g oa l s ERDENE goals specifically include: ♦ Promote environmental, economic and community health through research, outreach, and education. ♦ Address Arizona’s environmental and economic issues with a focus on sustainable systems. ♦ Support initiatives with specific environmental, economic and social benefits to Arizona citizens. ♦ Continue to identify and capture new funding to further the economic development of Arizona. Wind Resource Modeling A dv i s o ry B oa r d A new Research and Development Advisory Board has been formed to oversee Growing Biotechnology (GBI) and Environmental Research, Development, and Education for the New Economy (ERDENE) initiatives. This board consists of deans, faculty, and people from off campus with expertise in environmental and biotechnology. M a nag e m e n t ERDENE director, Gary Deason, reports through the Center for Sustainable Environments to Bill Grabe, Interim Vice Provost for Research & Graduate Studies for TRIF related activities. Michael Bittner Translational Genomics Research Institute Will Ott Northern Arizona Technology and Business Incubator Barry Gold Gordon and Betty Moore Foundation Laura Huenneke NAU College of Engineering and Natural Sciences Vice Provost for Research David LaRoche, U.S. Environmental Protection Agency Edwin Lewis NAU Department of Chemistry and Biochemistry Advisory Board Stephanie McKinney, Greater Flagstaff Economic Council GBI ERDENE Director Director Mary O’Connell New Mexico State University Plant and Environmental Science Department David Patton NAU Consortium of Professional Schools Thomas Whitham NAU Department of Biological Sciences LEARN MORE Contact Dr. Gary Deason, ERDENE Director, at the Center for Sustainable Environments at Gary.Deason@nau.edu, or 928-523-4889, or visit any of the following websites to learn more about individual initiatives: ♦ Center for Sustainable Environments ♦ Sustainable Energy Solutions ♦ Ecological Restoration Institute ♦28 Merriam Powell Center for Environmental Research http://www.environment.nau.edu http://ses.nau.edu http://www.eri.nau.edu/cms/ http://www.mpcer.nau.edu/smallindex.html TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ogy l o n h c e t o i Growing B I) B G ( e v i t a i t Ini September 1, 2006 Growing Biotechnology The Growing Biotechnology Initiative (GBI) enables outstanding research and development in biosciences at Northern Arizona University (NAU) to be translated rapidly and effectively to address critical health issues at the forefront of modern life. GBI will continue its focus on research in new and emerging diseases and vaccines, forensic genetics, cancer, musculoskeletal and cardiopulmonary rehabilitation, and endocrine systems. It is also expanding specific funding opportunities for product development based on research that has been previously funded. Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals 4 Management 4 Advisory Boards 4 Learn More 4 These research areas address issues identified by United States Environmental National Institutes of Health (NIH), Environmental Protection Agency (EPA), Monica Yazzie, an undergraduate student studies the role of heavy metals in Centers for Disease Control cancer biology. (CDC), and other leading organizations as being among the most important health concerns today. Not surprisingly, these issues are also among the “biotechnology platforms” identified in the 2002 Arizona’s Bioscience Roadmap. GBI’s vision is to position Arizona as a global leader in the fast-growing biotechnology industry through research, technology transfer, business recruitment, and workforce development. An emphasis on student participation in research combined with the high productivity of university researchers, gives NAU a unique position in Arizona to provide cutting-edge research, educate a workforce for the growing bioscience industry, and contribute directly to the growth of the state’s industry. Dr. Richard Coast, Growing Biotechnology Director 29 New Research Collaborations Specific Collaborations M.S./Ph.D. Graduate Increases Undergraduate Students with Research Experience Graduate/Postdoc Students in Pipeline Work Force Contributions Incubation/Formation of Biotech Concerns in Flagstaff/Northern Arizona Economic Development 4 2 76 57 0 0 0 0 0 2 7 n/a $1.4 FY 02 Proj 6 1 80 60 0 0 0 0 0 1 12 n/a $1.4 FY 02 Act 6 3 80 60 1 0 0 2 1 1 15 n/a $1.5 FY 03 Proj 29 12 79 62 0 2 2 0 5 2 0 n/a $6.3 FY 03 Act 6 3 80 60 1 0 0 2 1 1 18 n/a $2.0 FY 04 Proj 3 5 43 60 0 2 1 0 0 2 59 n/a $5.6 FY 04 Act 1 3 65 60 2 2 0 2 1 1 20 n/a $2.0 FY 05 Proj 17 8 53 25 2 2 0 2 2 1 3-8 n/a $1.3 FY 05 Act 2 5 110 70 1 3 0 1 1 1 20 n/a $1.5 FY 06 Proj 28 10 90 29 2 8 1 1 1 3 47 n/a $6.0 FY 06 Act 2 3 70 10 0 1 0 1 1 2 20 $.3 $1.7 FY 07 Proj 2 3 80 20 0 1 1 1 2 2 30 $.5 $2.5 FY 08 Proj 5 3 100 20 1 2 0 1 1 2 30 $.5 $2.5 FY 09 Proj 5 3 110 25 1 1 0 1 2 2 40 $1.0 $3.0 FY 10 Proj 7 3 125 30 2 2 1 1 2 2 40 $1.0 $3.0 FY 11 Proj 2 Industry Partnerships Technology Transfer: startup companies created Business Expansions Products Generated and in the Marketplace Patents Generated Technology Transfer Increased Number of Scholarly Publications Increased External Funding Other-Private Increased External Funding Federal 30 Return on Investment METRICS ($ in millions) PAGE GROWING BIOTECHNOLOGY INITIATIVE (GBI) P e r f o r m a n c e a na lys i s GROWING BIOTECHNOLOGY INITIATIVE (GBI) PAGE 3 P e r f o r m a n c e A na lys i s • them for the biotechnology workforce is a high priority. TRIF funds will be leveraged as a result of anticipated new dollars received from agencies, industry, and business. • • Technology transfer measures are based largely on the development and licensing of new technologies and products. GBI will provide specific grant support to faculty for intellectual property development. GBI is committed to developing new partnerships with industry, business, universities, national laboratories, and governmental agencies. The number of new collaborations and partnerships in joint research ventures is expected to increase over the next five years as the bioscience industry in Arizona continues to grow. • GBI works closely with the Greater Flagstaff Economic Council and the Northern Arizona Technology and Environmental Genomics and Genetics Business Incubator to Laboratory assist in the incubation, formation, and recruitment of biotechnology companies to northern Arizona. • Workforce development is a major emphasis area for GBI. Recruiting undergraduate and graduate students into the bioscience pipeline and preparing F i na n c i a l I n f o r m at i o n FY 2002 Actual FY 2003 Actual FY 2004 Actual FY 2005 Actual FY 2006 Budget FY 2006 Actual FY 2007 Budget FY 2008 Budget FY 2009 Budget FY 2010 Budget TFY 2011 Budget REVENUE Carry Forward $0 $363,216 $510,270 $18,410 $0 $353,276 $341,247 $0 $0 $0 $0 New TRIF Revenue 967,002 1,123,132 817,501 768,000 806,400 807,951 913,880 913,880 913,880 913,880 913,880 TOTAL REVENUE 967,002 1,486,348 1,327,771 786,410 829,063 $1,161,227 1,255,127 913,880 913,880 913,880 913,880 Personal Services $216,402 $377,561 $706,203 $696,382 $111,000 $345,031 $866,035 $630,577 $630,577 $630,577 $630,577 Operating 387,384 598,517 603,157 67,366 695,400 474,949 389,092 283,303 283,303 283,303 283,303 TOTAL EXPENDITURES $603,786 $976,078 $1,309,360 $763,748 $806,400 $819,980 $1,255,127 $913,880 $913,880 $913,880 $913,880 OPERATING BUDGET Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. 31 Growing Biotechnology Initiative (GBI) PAGE 4 G oa l s GBI will foster biotechnology innovation, discovery, technology transfer, and workforce development. Specific goals include: ♦ Facilitate technology transfer including patents, licenses, and new businesses based in the biosciences. ♦ Work closely with the Greater Flagstaff Economic Council and the Northern Arizona Technology and Business Incubator in recruiting and developing new biotechnology business in Northern Arizona. ♦ ♦ The NAU Greenhouse M a nag e m e n t GBI’s director, Richard Coast, reports to Dr. Bill Grabe Interim Vice Provost for Research and Graduate Studies for TRIF related activities. Research initiatives within GBI report to Dr. Coast. Create and refine courses in biotechnology and related fields to provide the training and experience NAU graduates will need to be productive members of Arizona’s biotechnology workforce Create and maintain partnerships with government, business, and research institutions. Focus on our relationships with University of Arizona and Arizona State University to build the State’s bioscience capacity. A dv i s o ry B oa r d A new Research and Development Advisory Board has been formed to oversee Growing Biotechnology and Environmental Research, Development, and Education for the New Economy (ERDENE) Initiatives. This board will consist of deans, faculty, and people from off campus, with expertise in environmental biotechnology areas. Michael Bittner Translational Genomics Research Institute Will Ott Northern Arizona Technology and Business Incubator Vice Provost for Research Barry Gold Gordon and Betty Moore Foundation Laura Huenneke NAU College of Engineering and Natural Sciences David LaRoche, U.S. Environmental Protection Agency Advisory Board Edwin Lewis NAU Department of Chemistry and Biochemistry Stephanie McKinney, Greater Flagstaff Economic Council GBI Director ERDENE Director LEARN MORE Contact Dr. Richard Coast at the Department of Biological Sciences at Richard.Coast@nau.edu, or call 928-523-8018. 32 Mary O’Connell New Mexico State University Plant and Environmental Science Department David Patton NAU Consortium of Professional Schools Thomas Whitham NAU Department of Biological Sciences TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) s e v i t a i t i n I y t i s r e v Uni September 1, 2006 University Initiatives Today's rapidly evolving, competitive, and dynamic world requires nations, states, and universities to be flexible, responsive, and innovative within a very short time frame. NAU is prepared for the opportunities and challenges of this environment by setting aside funds for university initiatives and scenarios that may arise. As with all NAU TRIF initiatives, these funds will be directed to meet the goals of the TRIF legislation and state economic development priorities. It is anticipated that investments will be made within the general context of the four NAU TRIF business plans focused on access/workforce development, E-learning, biotechnology and environmental research, development, and education. University Initiatives will ensure that NAU is positioned to both quickly take advantage of new developments in the research arena, and to provide the infrastructure support needed to ensure the continued growth and success of NAU’s TRIF initiatives. Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals 4 Management 4 Advisory Boards 4 Learn More 4 Dr. John Haeger, President of Northern Arizona University 33 NAU’s proposed Hotel and Conference Center PAGE 2 UNIVERSITY INITIATIVES P e r f o r m a n c e a na lys i s New Laboratory Facility Expected Completion: January, 2007 Health Professions Renovation Expected Completion: Winter, 2008 Engineering Building Occupied: Spring 2005 34 UNIVERSITY INITIATIVES PAGE 3 “BIO5 scientists are addressing cancer, diabetes, heart and respiratory diseases…” P e r f o r m a n c e a na lys i s Applied Research and Development Building Expected Date of Completion: Spring, 2007 F i na n c i a l i n f o r m at i o n FY 2002 Actual FY 2003 Actual FY 2004 Actual FY 2005 Actual FY 2006 Budget FY 2006 Actual FY 2007 Budget FY 2008 Budget FY 2009 Budget FY 2010 Budget FY 2011 Budget $1,522,437 $2,988,861 $3,054,613 $5,159,772 $1,459,772 $1,459,772 $1,459,772 $1,459,772 REVENUE Carry Forward $0 $206,744 $664,608 New TRIF Revenue 298,203 590,810 938,517 2,552,961 1,760,983 1,764,371 690,000 1,145,728 1,626,521 2,133,760 2,668,895 TOTAL REVENUE 298,203 797,554 1,603,125 4,075,398 4,749,844 4,818,984 5,849,772 1,145,728 1,626,521 2,133,760 2,668,895 Personal Services $36,174 $72,666 $62,927 $385,155 $1,262,918 $340,462 $310,432 $327,506 $345,519 $364,523 $384,574 Operating 55,285 60,280 17,761 43,618 369,761 (681,250) 379,568 818,222 1,281,002 1,769,237 2,284,321 3,117,165 0 1,700,000 0 2,000,000 ($340,788) $4,390,000 $1,145,728 $1,626,521 $2,133,760 $2,668,895 OPERATING BUDGET Building Renovation Conference Center TOTAL EXPENDITURES $91,459 $132,946 $80,688 $428,773 $4,749,844 Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. 35 University Initiatives PAGE 4 G oa l s University Initiatives will provide coordinated oversight of all NAU TRIF Initiatives. This oversight will support our established programs, and ensure flexibility to respond to new demands. Our overall goal is to provide infrastructure that enables a coordinated and integrated approach to research, education, connections with business and practical applications in the face of our changing economy, NAU student researching data for Paul Specifically we will: ♦ Support the Applied Research and Development Building, a showcase for our commitment to sustainability. ♦ Support the biology and chemistry laboratory building to meet the rapidly expanding needs of our Growing Biotechnology initiative. ♦ Support efforts to expand allied health care program options beyond NAU’s campus for Arizona’s citizens. ♦ Renovate the Health Professions and Nursing buildings, which have been significantly affected by the success of our Access/Workforce Development Initiative. ♦ Construct a conference center and hotel complex, which will expand our academic reputation throughout the nation, and will demonstrate our commitment to sustaining and improving economic and community relationships. Isolate of Bacillus Anthracis Ov e r s i g h t B oa r d The NAU TRIF Oversight Board will provide general direction and guidance to the President regarding NAU’s TRIF programming including University Initiatives. President Oversight Board membership: Oversight Board M a nag e m e n t NAU President, Dr. John D. Haeger, will oversee the University Initiatives activities. He will be assisted in this effort by the Oversight Board, Provost and Vice Provost for Research & Graduate Studies. Appropriate Vice Presidents and Deans will also participate in specific project management. Provost LEARN MORE Contact: Bill Grabe, Interim Vice Provost for Research, Dean of Graduate Studies at William.grabe@nau.edu or 928-523-4340 36 Vice Provost for Research Saundra Johnson Flinn Foundation Gary Smith Greater Flagstaff Economic Council Donna Cobb Arizona Public Service Paul Begovac W.L. GORE & Associates, Inc. TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) Arizona Universities Network (AZUN), from its statewide perspective, combines areas of strength within each of the state universities, to make available unique programs that represent multi-university efforts and capabilities. The initiative creates educational opportunities that can be delivered to new populations of potential students, including those in rural areas or who are place-bound and/or time-bound; and those with physical disabilities that prevent residence on campus. AZUN provides a high level of innovative student services that enable distance learning students to be successful in completing their chosen degree programs. Arizona Universities Network offers students access to distance-delivered degrees and certificates through the public higher education system now and to meet increased demand in the future. Students can earn an undergraduate degree, graduate degree, or professional certification from one of the three state universities. AZUN also serves students who seek non-degree options and those taking classes for personal or professional enrichment. Students benefit from the many options offered by AZUN: • Access to easily transferable classes from all three state institutions • Wide selection of accredited degree programs offered online • Ease of cross-institution enrollment once admitted to a participating AZUN university • Ability to select a degree or non-degree track, with a full- or part-time course load • Automatic transfer of credits earned from the provider institution to the student’s home institution • Flexible learning formats providing anywhere, anytime access • Consultation via email or phone with a home-institution coordinator when selecting classes or a program of study • Payment of one tuition bill for classes taken at all three participating institutions • Use of financial aid for classes taken through AZUN • Graduation with a degree or certification conferred by the student’s home institution. September 1, 2006 Contents Introduction 1 Performance Analysis 2 Financial Information 3 Management 4 Learn More 4 Fred Hurst, Vice President for Extended Programs, and Dean for Distance Learning 37 38 - Fire Science Baccalaureate Completers Law Enforcement Baccalaureate Completers 5 New/Revised Courses Reflects NAU completion rates only; information unavailable for ASU and UA. FY 2005 Actuals revised to reflect academic year numbers only for reporting consistency. 3 TBD TBD 48 1,800 Currently recruiting faculty, building courses, and structuring programs for online delivery. TBD - 49 1,170 44,000 TBD 400 1 30 15 40 - 9(4) 50 50 80 100 FY 06 Proj 2 TBD TBD 45 1,715 40,615 TBD 331 0 127 17 30 yes 9(6) - - 73 11 FY 05 Act 1 Satisfaction and Quality Measures (Experience Rated as Good or Very Good) Number of New Enrollments System-Wide Number of Electronically-Delivered Programs System-Wide Number of Electronically-Delivered Courses (on and off campus) 3 42,799 TBD Web Course Completion Rates2 Enrollment System-Wide in ElectronicallyDelivered Courses (on and off campus) 3 250 Students Cross-Registering (per year) Growth Indicators 0 127 K-12 Partners (schools/districts) Out-of-State Partners 17 Community College Partners Partnerships/Collaborations - Regional/National Global Access Degree/Certificate Programs (new) 9(4) 10 Nurses Curriculum Innovations 20 FY 05 Proj Teachers Potential New Students Served Workforce Contributions METRICS 91% 8,908 56 1,860 49,523 91% 370 0 127 19 13 yes 9(3) In Progress In Progress 50 293 53 50 - 9,000 58 2,200 58,500 - 400 1 127 19 30 - - 9,450 61 2,310 61,425 - 420 1 127 19 30 - 9(4) 53 50 1 9(4) 63 315 FY 08 Proj 60 300 FY 07 Proj 1 FY 06 Act - 9,923 64 2,426 64,496 - 441 1 127 19 30 - 9(4) 55 55 66 331 FY 09 Proj PAGE 2 ARIZONA UNIVERSITIES NETWORK P e r f o r m a n c e a na lys i s ARIZONA UNIVERSITIES NETWORK PAGE 3 P e r f o r m a n c e a na lys i s Program Development: FY 2006 Objectives and Accomplishments Nursing: Increased capacity, one full-time funded AZUN faculty member. Fall 2005 cohort with Tucson Medical Center started with 10 students; Fall 2006 and beyond will have capacity for 20 students per semester. Teacher Education: Increasing capacity through the hire of three new faculty members: Early Childhood Education serving the north Phoenix area; B.S. Elementary Teacher Education serving the Central Valley and South Mountain area; and B.S. Elementary Teacher Education serving the Tucson area. Fire Science and Law Enforcement: Capacity in the Northern Arizona University Bachelor of Applied Science and Bachelor of Arts in Liberal Studies Public Agency Service degree completion programs increased to meet need. Commitment to increase capacity as needed for the future. Degree completion students may now be admitted to the Bachelor of Applied Science and Bachelor of Arts in Liberal Studies Public Agency Service programs. They may complete that program with a concentration in law enforcement or fire science. BAILS/BAS in Administration of Justice approved to be offered as an online degree, and courses are in the initial stages of being developed for online delivery. Quantitative Math Course Development: Quantitative Reasoning is the new required course, replacing College Algebra, which provides students with a practical understanding of how math is used in business, the humanities and social sciences, and other programs. Northern Arizona University developed a Web-based Quantitative Reasoning course, MAT 114, which was taught in Fall 2005 and Spring 2006 and is scheduled for Fall 2006. Nurse EDucator Program (NED): The second year of the ASU Nurse Educator initiative saw the creation and approval of a Graduate Certificate in Nursing Education. A concentration in the Master's Program for Nurse Educators was also redesigned and approved. The PDA patient tracking system will go-live in Fall 06 which will enhance students' use of technology for clinical purposes. Secondary Math & Science Teacher Certification Program: Second student cohort implemented in FY 2006 with 10 students successfully completing the program and receiving teacher certification. The electronic portfolio system was created and implemented by all cohort members. This initiative ended effective June 30, 2006; however, the teacher certification program will continue for the 2006-2007 Academic Year under the ABOR ARRO grant titled SOLISTC - Secondary Online Integrated Science Teacher Certification Program. (Performance Analysis, continued on page 4) F i na n c i a l FY 2005 Budget I N F O R M AT I O N FY 2005 Actual FY 2006 Budget FY 2006 Actual FY 2007 Budget FY 2008 Budget FY 2009 Budget TOTAL REVENUE Carry Forward $1,615,559 $1,615,559 $2,531,942 $2,534,652 $3,227,768 $1,312,141 $444,057 New TRIF Revenue $1,228,962 $1,228,962 $2,031,000 $2,034,906 $2,142,705 $2,260,550 $2,384,884 TOTAL REVENUE $2,844,521 $2,844,521 $4,562,942 $4,569,558 $5,370,473 $3,572,691 $2,828,941 Personal Services $798,925 $2,232 $1,460,141 $167,912 $1,086,139 $973,664 $676,312 $2,906,259 ERE $208,958 $751 $501,924 $64,664 $316,393 $281,407 $191,132 $854,347 All Other Operating $807,659 $306,886 $2,600,877 $1,109,214 $2,655,800 $1,873,563 $1,961,497 $7,906,960 TOTAL EXPENDITURES $1,815,542 $309,869 $4,562,942 $1,341,790 $4,058,332 $3,128,634 $2,828,941 $11,667,566 $11,667,566 OPERATING BUDGET Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a six-tenths-cent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. 39 PAGE 4 ARIZONA UNIVERSITIES NETWORK P e r f o r m a n c e A na lys i s Program Development (continued) Infrastructure (continued) SOLISTC— Secondary Online Integrated Science Teacher Certification Program: NAU program courses have been formatted into VISTA and are in the process of being revised. The NAU and UA Student Practicum Handbooks have been combined into the AZUN Student Practicum Handbook. Speech Language Pathology certification needs are being met with a full-time faculty member funded by AZUN. AZUN Website: AZUN launched www.azun.net in September 2005. The class/program search has been greatly improved with course feeds from all three universities occurring nightly. The website offers live chat, information on financial aid, billing, and advising. Development and Delivery of Shortened-Format Web Courses: Twenty-two web courses will be offered in the new 7-week format for the first time in Fall 2006. Courses are broadly representative of university academic programs and range from Heath Science to Education and Social and Behavioral Sciences. Development and Delivery of High Capacity Undergraduate Web Courses: Approaches and support mechanisms have been developed to ensure high capacity in critical Webdelivered courses, including high capacity in single-section courses with lead faculty supported by graduate teaching assistants; multiple sections of the same course taught by qualified instructors under the mentoring and supervision of regular faculty; and enrollment management strategies for Web sections to maximize available capacity. Continue the Development of Competency-Based and Experiential Learning: Competency-based and experiential learning allows students to receive credit for life experience towards degree or certificate completion. Career and technical education, as well as nursing, accept non-credit training and professional experience in lieu of having students complete courses that would be redundant with their prior training and experience. Impediments to expansion of competency-based and experiential learning include a lack of administrative infrastructure, academic standards, and cost implications. Infrastructure: FY 2006 Objectives and Accomplishments AZUN Portal Project: The AZUN Web portal project is designed to interconnect the universities’ student information systems (SISs) to provide automated admissions, registration, tuition/fee payments and financial aid information for current and prospective students interested in taking courses from the three universities. Phase One of the project, automated student admissions, started in January 2006 with an anticipated revised completion date of November 2006. As of the report date, the universities have completed their definition of requirements, and the vendor was beginning to deliver software interfaces. An evaluation of Phase One will examine proof of concept and performance of participants. Phase Two will consist of the automation of admissions, registration, tuition/fee payments, and financial aid information functions with a tentative completion in the winter of 2008. LEARN MORE Contact Fred Hurst, Vice President for Extended Programs and Dean for Distance Learning, at Fred.Hurst@nau.edu or 928523-6598. Visit the AZUN website at http://www.azun.net. 40 Student Services: Advising for prospective and current students in online programs has grown significantly over the past academic year. The NAU Distance Learning Service Center advised 36% more enrolled students in Fall 2006 than in Fall 2005. This increased load reflects a growing interest in online programs and the need for non-traditional educational formats. Assistance is available to students by toll-free phone, email, and online chat. Regular contact with current and prospective students has expanded and includes distributing guidelines for a successful online experience to all web students and service satisfaction follow-up surveys. Articulation: Each of the universities has tables published on the Course Applicability System (CAS) website to show equivalent classes at the other two institutions. Provider credits are automatically sent to the student’s home institution and appear as transfer credits on the student’s transcript. Technology: The AZUN website is supported with fully redundant servers as well as a Microsoft IIS web server cluster and a Microsoft SQL server cluster. All AZUN-related data files are stored on an EMC SAN (Storage Area Network). A Cisco Hardware Firewall has been purchased, and implementation is underway. AZUN has established a Tandberg videoconference endpoint at the new North Tucson facility, and a new computer lab at the Signal Peak expansion site. Marketing: AZUN began advertising in magazines and newspapers around Arizona and in Harkins Theaters, Sky Harbor Airport and malls in the Phoenix area. AZUN promoted AZUN through representation at recruitment events and information meetings. Several billboards were placed at locations around Phoenix and Tucson. Lead generation companies were contracted to provide AZUN with local and national leads. AZUN advertised with KZON and KTAR and underwrote programming on NPR stations from Flagstaff to Tucson. AZUN produced collateral including brochures, promotional/giveaway items, folders, and exhibits. M a nag e m e n t Programmatic oversight is in the NAU Distance Learning department of Northern Arizona University, with the vice president for extended programs and dean of distance learning directly responsible for activities. Integration with ongoing operations helps ensure sustainability and provides a high level of coordination. The Arizona Board of Regents provides ultimate oversight. THE UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL / FY 2007 - 2011 BUDGETS SUMMARY FY 2006 REVISED BUDGET REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL SUMMARY BY INITIATIVE BIO5 Institute Optical Sciences and Technology Water Sustainability Anyplace Access for Arizonans Educator Development Plan Technology Transfer Infrastructure Critical Core Infrastructure ACIST Venture Fund * EXPENDITURES GRAND TOTAL $ $ $ FY 2006 ACTUAL 5,913,242 20,200,000 26,113,242 $ 13,681,997 3,638,205 3,653,040 20,973,242 $ $ 5,140,000 5,140,000 FY 2007 REVISED BUDGET 5,800,121 20,238,847 26,038,968 $ 9,704,632 2,851,350 7,028,078 19,584,060 $ $ 4,047,000 4,047,000 2,407,908 21,311,000 23,718,908 10,989,132 3,303,561 4,871,286 19,163,979 FY 2008 BUDGET $ $ $ 4,554,929 4,554,929 22,483,105 22,483,105 9,981,845 3,130,378 4,874,261 17,986,484 FY 2009 BUDGET $ $ $ 4,496,621 4,496,621 FY 2010 BUDGET 23,719,676 23,719,676 $ 10,731,282 3,370,198 4,874,261 18,975,741 $ $ 4,743,935 4,743,935 25,024,258 25,024,258 11,521,937 3,623,208 4,874,261 20,019,406 FY 2011 BUDGET $ $ $ 5,004,852 5,004,852 26,400,592 26,400,592 12,356,080 3,890,133 4,874,261 21,120,474 5,280,118 5,280,118 $ 26,113,242 $ 23,631,060 $ 23,718,908 $ 22,483,105 $ 23,719,676 $ 25,024,258 $ 26,400,592 $ 8,323,351 5,269,662 4,494,514 1,185,212 1,089,267 1,260,048 4,301,188 190,000 $ 7,595,173 5,140,423 3,813,224 1,195,801 861,536 1,086,949 3,869,831 68,123 $ 5,845,121 3,434,063 3,944,871 1,030,394 1,042,497 1,003,176 5,230,200 2,188,586 $ 5,000,000 3,200,000 3,200,000 1,000,000 800,000 800,000 5,464,621 3,018,484 * $ * * 5,000,000 3,200,000 3,200,000 1,000,000 800,000 800,000 5,711,935 4,007,741 * $ * * 5,000,000 3,200,000 3,200,000 1,000,000 800,000 800,000 5,972,852 5,051,406 * $ * * 5,000,000 3,200,000 3,200,000 1,000,000 800,000 800,000 6,248,118 6,152,474 $ 26,113,242 $ 23,631,060 $ 23,718,908 $ 22,483,105 $ 23,719,676 $ 25,024,258 $ 26,400,592 * * * * Venture Fund money will be incorporated into one of these research initiatives. The University of Arizona Summary 41 42 THE UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL / FY 2007 - 2011 BUDGETS SUMMARY FY 2006 REVISED BUDGET REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL SUMMARY BY INITIATIVE BIO5 Institute Optical Sciences and Technology Water Sustainability Anyplace Access for Arizonans Educator Development Plan Technology Transfer Infrastructure Critical Core Infrastructure ACIST Venture Fund EXPENDITURES GRAND TOTAL $ $ $ 5,913,242 20,200,000 26,113,242 13,681,997 3,638,205 3,653,040 20,973,242 FY 2006 ACTUAL $ $ $ 5,140,000 5,140,000 9,704,632 2,851,350 7,028,078 19,584,060 (in millions) Optical Sciences and Technology $5.1 22% BIO5 Institute $7.6 32% 4,047,000 4,047,000 $ 26,113,242 $ 23,631,060 $ 8,323,351 5,269,662 4,494,514 1,185,212 1,089,267 1,260,048 4,301,188 190,000 $ 7,595,173 5,140,423 3,813,224 1,195,801 861,536 1,086,949 3,869,831 68,123 26,113,242 $ $ FY 2006 UA ACTUAL TRIF EXPENDITURES 5,800,121 20,238,847 26,038,968 Water Sustainability $3.8 16% Venture Fund $.1 0% ACIST $3.9 16% Technology Transfer Infrastructure $1.1 5% Anyplace Access Educator for Arizonans Development Plan $1.2 $.9 5% 4% 23,631,060 The University of Arizona Summary TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ans n o iz r A r o ccess f A e c a l p y n A September 1, 2006 Anyplace Access for Arizonans responds to workforce and workplace needs within the State of Arizona, exploiting new information and communication technologies to extend valuable education and outreach activities to a broad and diverse constituency. With long traditions of statewide cooperative extension and advanced distance education, The University of Arizona has unique opportunities to serve the state through electronically delivered content that can increase people’s lifelong earnings, improve their productivity on the job, and solve practical problems in their daily lives. Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals 3 Management 4 Advisory Boards 4 Learn More 4 Our vision is to extend access to the best that public higher education can offer to all Arizonans, regardless of place. Both formal and informal education are within the scope of this initiative, which aims to benefit all Arizonans, including not only those who seek higher education for themselves, but also those who seek knowledge and information for use in ordinary work and life settings. The “RangeView” website, one of many resources providing what Arizonans need when and where they need it. Dr. Sally Jackson Vice President for Learning & Information Technologies 43 44 0 0 Number continuing education professional students 0 0 0 Number new certificates offered Number new online courses offered Number new online degree programs offered 0 0 0 0 Electronic extension & workplace resources created Number of users of extension & workplace resources Number enrollments in revised courses New instructional tools acquired or created 2 20 FY 2004 projected 24,528 2083 2 0 58,000 2 17 $0 2 19 0 0 0 0 0 19 $0 $33K $339K FY 2004 actual 2 40 FY 2005 projected 35,353 2127 2 5,300 103,000 1 13 $179K 1 28 2 8 0 0 0 37 $0 $0 $945K FY 2005 actual Note: Projections through FY 2005-2006 based on Business Plan approved January 2003; new metrics have been added reflecting new goals and expectations. 20,450 1856 2 0 493 1 19 $0 0 10 0 0 0 0 0 0 $10K $15K $302K FY 2003 actual 37,400 2200 2 11,000 154,000 1 12 $240K 1 33 1 4 70 0 0 73 $0 $0 $1.0M FY 2006 projected 77,557 3177 2 13,684 156,055 1 5 $243K 1 28 1 10 224 9 0 161 $0 $0 $848K FY 2006 actual 39,100 2300 2 15,000 200,000 1 12 $240K 0 30 1 4 120 50 19 147 $10K $0 $1.1M FY 2007 projected 40,800 2400 2 19,000 250,000 1 12 $240K 1 30 0 4 200 50 18 177 $20K $0 $1.2M FY 2008 projected 42,500 2500 2 21,000 300,000 1 12 $240K 0 30 1 4 200 100 25 200 $30K $0 $1.3M FY 2009 projected 42,500 2500 2 23,000 350,000 1 12 $240K 1 30 0 4 200 100 30 210 $40K $0 $1.4M FY 2010 projected 42,500 2500 2 24,000 400,000 1 12 $240K 0 30 1 4 200 100 35 220 $50K $0 $1.5M FY 2011 projected FOR Number enrollments in web & hybrid courses Total supported web & hybrid courses 693 14 Number undergraduates employed in TRIF projects 0 0 FY 2003 projected ANYPLACE ACCESS Other University-wide Impacts of Initiative $0 Special program fees collected Other Performance Metrics for this Initiative 0 Number of newly revised courses offered 0 0 Number certificates granted Curriculum Innovations 0 Number graduate degrees awarded Number graduate students enrolled within initiative 0 $0 Corporate funds awarded Access/Workforce Contributions $3K State funds awarded FY 2002 actual $0 Return on Investment FY 2002 projected Federal funds awarded Metrics PAGE 2 ARIZONANS P e r f o r m a n c e a na lys i s PAGE 3 P e r f o r m a n c e a na lys i s During fiscal years 2002 through 2006, Anyplace Access to Arizonans contributed all of the following to the local and statewide infrastructure for workforce and workplace support. ♦ Introduced important new tools for online learning that now support over 77,000 enrollments in more than 3000 individual courses ♦ Recruited 12 technical experts with varied specialities needed for producing high quality distance education and high value information resources ♦ ♦ Created an online PHD in Nursing, the first such program in the US, plus other nursing programs Created web pages and web-enabled databases to support working professionals, such as an interactive Emergency Medicine website, in Spanish, that now offers over 500 educational programs to more than 150,000 users ♦ Assisted grant-funded projects bringing more than $2.7M to the University and the State, including projects to preserve endangered Native American languages, projects to improve science instruction, projects to develop health education programs, and others ♦ Created a rich online collection of active learning objects to support science teachers at middle-school and high-school levels ♦ Developed digital library resources and introduced innova- tive new library services such as online reference Resourcesand forStudents water management Active Learning Objects for K12 Teachers F i na n c i a l i n f o r m at i o n FY 02 FY 03 Actual Carry Forward New TRIF Revenue Total Revenue Personal Services Operating $0 $972,919 FY 05 FY 06 Actual Actual Actual Budget $907,668 $187,618 $103,886 $25,212 FY 06 FY 07 FY 08 FY 09 FY 10 FY 11 Actual Revised Budget Budget Budget Budget Budget $33,570 $0 $0 $0 $0 $0 $959,744 $1,004,778 $1,003,088 $1,160,000 $1,162,231 *$1,030,394 $1,000,000 $1,000,000 $1,000,000 $1,000,000 $972,919 $1,867,412 $1,192,396 $1,106,974 $1,185,212 $1,195,801 $1,030,394 $1,000,000 $1,000,000 $1,000,000 $1,000,000 $8,251 $703,016 $785,471 $952,071 $903,288 $913,877 $960,394 $930,000 $930,000 $930,000 $930,000 $57,000 $976,778 $303,039 $129,691 $81,924 $138,324 $70,000 $70,000 $70,000 $70,000 $70,000 $0 $0 $0 $0 $200,000 $143,600 $0 $0 $0 $0 $0 Capital Total Expenditures FY 04 $65,251 $1,679,794 $1,088,510 $1,081,762 $1,185,212 $1,195,801 $1,030,394 $1,000,000 $1,000,000 $1,000,000 $1,000,000 *To match HB 2661 General Adjustments given to state-funded employees, $30,394 from the Venture Fund was allocated to this initiative for its personnel.. Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. g oa l s Goal 1. Making advanced degrees and certificates available at a distance from the campus, as in: • Nursing & other Health Sciences • Optical Sciences & Engineering • Biological Sciences & Biotechnology • Information Resources in Library Science • Business, Law, and Education (continued on page 4) Emergency Medicine courses in Spanish Online Nursing graduate programs 45 PAGE 4 G oa l s (continued from page 3) Goal 2: Creating specialty information resources that can increase on-the-job productivity, as in resources such as: • Electronic agricultural extension • Arizona Electronic Atlas • Active learning objects for K12 teachers • Online library reference & digital collections • Ask-an-expert web sites Screenshot for interactive Arizona Electronic Atlas, a rich repository of information about the state. m a nag e m e n t All UA TRIF initiatives report to Dr. Leslie Tolbert, Vice President for Research, Graduate Studies, and Economic Development. Direct oversight of this initiative is assigned to Dr. Sally Jackson, Vice President for Learning and Information Technologies and Chief Information Officer. Project Teams are composed of faculty and other academic personnel, and Technical Support Teams are formed from expert technical staff within the Learning Technologies Center and other academic support units. a dv i s o ry b oa r d s Executive Team: Sally Jackson (chair), Carla Stoffle (Dean, University Libraries), Jim Christenson (Director, Cooperative Extension), Lori Tochihara (Director, Early Outreach) Executive Committee Deans’ Advisory Committee Deans’ Advisory Committee: Charles Albanese (CALA), Jack Elliot (CALS), Marjorie Isenberg (Nursing), Toni Massaro (Rogers Law), Tom Peterson (Engineering), Marie Swanson (Zuckerman Public Health) Initiative-wide Advisory Board: Elizabeth R. Miller (Assistant City Manager, Tucson), Betsy StunzHall (Tucson-Pima County Public Library, retired), Gladys Ann Wells (State Librarian & Archivist), new members to be named Initiative-Wide Advisory Board Project Team Project Audience Advisory Board Technical Support Team Jim Austin (Director of Learning Technologies), technical staff as needed Project-specific Advisory Boards with members from the project’s target audience; Board must be named during proposal process and participate in design of project LEARN MORE Contact Dr. Sally Jackson, Vice President for Learning & Information Technologies, at sjackson@u.arizona.edu or 520-626-7418, or visit http://trif.arizona.edu/access. Contact Dr. Leslie Tolbert, Vice President for Research, Graduate Studies, and Economic Development, at tolbert@u.arizona.edu or 520-621-3513. 46 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ACIST September 1, 2006 The ubiquitous use of computer systems in modern society has led to a vast array of data, from multiple sources and in multiple forms, that must be acquired, integrated, manipulated, transmitted, and used by a wide variety of users. Thus, data management and storage, cyber security, and human-computer interaction have become significant challenges. From 2001 to 2006, the Arizona Center for Information Systems and Technology (ACIST) brought researchers from multiple colleges in the University of Arizona together for research, design, and development of computer and software systems that manage complex data, ensure integrity of the data as they are transmitted in cyber space, and support their presentation and manipulation through mechanisms for user-friendly visualization and “smart” comprehension. Contents Introduction 1 Goals 1 Performance Analysis 2 Financial Information 3 Management 4 Advisory Board 4 Learn More 4 The vision for ACIST was to develop world-class expertise and capabilities in the design and development of systems that manage complex data while supporting its presentation through better user visualization and understanding. g oa l s The goals of ACIST were: ♦ generating grant as well as industry funding to advance research along three dimensions, ♦ supporting workforce development in new disciplines (Geographical Information Systems and Linguistics), ♦ establishing labs in new areas to support future research collaborations in human computer interaction, and ♦ supporting outreach through conferences, workshops, and student expos and camps. 47 48 5 P1 0 Growth in ACIST related graduate enrollment Curriculum innovations program implemented Government project grants obtained $1.0M 50 Undergraduates taking non-technical minor Value of Sponsorship obtained 25 ACIST graduates benefiting from minors in related areas $120K 0 New graduates from ACIST related programs Grants/Contracts from industry 0 Actual FY 2002 Number of new faculty experts attracted PERFORMANCE MEASUREABLES/DELIVERABLES P e r f o r m a n c e a na lys i s $4.8M $234K 0 39 5 100 50 69 2 Actual FY 2003 $2.1M $1.3M 0 40 5 150 100 256 0 Actual FY 2004 0 $310K $3.5M 6 4 111 77 224 5 Actual FY 2005 0 $460K $1.6M 2 6 75 75 100 2 Actual FY 2006 PAGE 2 PAGE 3 P e r f o r m a n c e a na lys i s ♦ ♦ ♦ ♦ ♦ ♦ ♦ Generated over $16M in grant funding by leveraging Prop 301 funds. Established a MS program in Geographical Information Systems. Established 3-D modeling and prototyping facility at Triestman Center. Received Congressional funding in the amount of $1M for a National Network Security Testbed. Leveraged $700K grant from the National Science Foundation for an Active Object-Based Digital Library for Microeconomics Education. Disseminated Experiments in Economics with the Econport Digital Library. Work from this seed grant resulted in a $382K grant from NSF. Leveraged a $122k grant using grant of $30k from ACIST under "Intelligent Topology Control and Energy Provisioning.” Activities since 2005 August, when ACIST initiative was formally closed and activities phased out: Trained 10 Life Science and IT students in summer 2006, by pairing them into two person teams on 5 life science projects (sponsored by ACIST and BIO5). ♦ Generated $460K matching grants for $300K of Prop 301 investment. Funds received from GM, Ford, SAP, Raytheon, Kaiser Permanente, Flandrau Science Center, and US State Department. ♦ Trained 220 K-12 students (from 6 years to 17years) through 6 summer camps and exposed them to Information Technology applications. The Hispanic population was significantly serviced through these programs. ♦ Funded over 10 students, under summer internship programs, who provided support to small business and not-for-profit organizations in Tucson. ♦ Developed a web-based faculty expertise database for access by students and the business community. • F i na n c i a l I N F O R M AT I O N FY2002 Actual Carry forward New TRIF Revenue Total Revenue $0 $3,864,703 $3,864,703 FY2003 Actual $1,682,413 $4,131,026 $5,813,439 FY2004 Actual $1,526,929 $4,220,089 $5,747,018 FY2005 FY2006 Actual Rev. Budget $887,541 $921,188 $4,383,731 $3,380,000 $5,271,272 $4,301,188 FY2006 Actual $921,188 $3,386,500 $4,307,688 Actual Revenue Personal Services ERE Operations Debt Service Capital Total Expenditures $3,864,703 $556,463 $74,656 $1,551,171 $5,813,439 $1,882,241 $190,774 $2,213,495 $5,747,018 $2,342,309 $535,383 $1,981,785 $5,271,272 $2,629,665 $623,331 $1,097,088 $4,301,188 $2,749,502 $500,000 $100,000 $951,686 $2,072,524 $498,204 $880,803 $418,300 $2,182,290 $4,286,510 $4,859,477 $4,350,084 $4,301,188 $3,869,831 Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a six-tenths-cent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. 49 PAGE 4 M a nag e m e n t The Arizona Center for Information Science and Technology (ACIST), formerly known as the Internet Technology Design and Commerce Institute (ITCDI), was established by the University of Arizona in 2001 and initially managed by Dr. Tom Peterson, Dean of the College of Engineering, and a management committee from five colleges. In March 2005, Dr. Mohan Tanniru, Head of the Management Information System Department, assumed the direction of ACIST. Dr. Tanniru reported to Dr. Leslie Tolbert, the Vice President for Research, Graduate Studies, and Economic Development. Reporting to Dr. Tanniru were: Assistant Director of Operations and Finance, and ACIST Program Coordinator. In fall 2005, the decision was made to close the ACIST program. No new projects were begun and existing projects were gradually phased out during FY 2006. AC I S T B oa r d m e m b e r s (March 2005—September 2005) Mr. Chris Verne, Storage and Software Development Executive, IBM Mr. Jerry Brown, VP of Engineering, Raytheon Missile Systems Mr. Mike Snow, Senior VP of Development, Misys Healthcare Mr. David Aungle, VP, Global Infrastructure, CISCO Systems Mr. Steven O'Neil, Tech Transfer, University of Arizona Mr. Larry Aldridge, Partner, Valley Ventures Mr. Bob Hagen, President, Southern Arizona Technology Council Mr. Bill Roach, SCORE Mr. Ron Schott, Thought Leader Executive - Arizona Technology Council Mr. Steve Peters, President, Community Information and Telecommunications Alliance Mr. German Fuentes, Engineer/Scientist for Avionics Communication Systems Design, Boeing Mr. Anthony King, Senior Director, Information Technology, Ventana Medical Systems Ms. Stephanie Bader, QBG Service and Technical Support Leader, Intuit Dr. Bernd Fisher, Director of Science and Technology, German Embassy Mr. Jim Connelly, Director of Library Production and QC, Sanofi-Aventis Dr. Jose Santiago, Senior Vice President and Chief Medical Officer, Carondelet Hospital Mr. Gordon Bennett, President, AMIT (Aerospace, Manufacturing, IT Cluster) (Merger of ITASA and SAIAA) Mr. Steven Gordon, Technology Specialist, NY - Microsoft Mr. Robert Pinkham, VP of Marketing, Calance Mr. Ted Fechtl, Fort Huachuca Dr. Vicki Chandler, Director, BIO5, U of Arizona Dr. Michael Grieves, CEO, Interactive Frontiers Mr. Alex Mautner, Arizona MicroSystems LEARN MORE Contact Dr. Mohan Tanniru, former ACIST Director, at mtanniru@eller.arizona.edu or 520-621-2784; or Dr. Leslie Tolbert, Vice President for Research, Graduate Studies, and Economic Development, at tolbert@email.arizona.edu or 520-621-3513 . Visit the ACIST website at www.acist.web.arizona.edu 50 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) September 1, 2006 By bringing together some of the world’s top scientists in agriculture, medicine, pharmacy, basic science, and engineering, BIO5 encourages significant scientific achievement that improves lives and stimulates economic development. BIO5 faculty member Dr. Rod Wing (left) collaborates on the sequencing of the maize and rice genomes to improve the yield and nutritional quality of crops. BIO5 will house the Arizona Proteomics Consortium, one of only a handful of such facilities in the United States, which is available to academic and private sector investigators. BIO5 supported the Summer FUSION program, which introduces youngsters to the many wonders of science. BIO5's new home, the Thomas W. Keating (TWK) Bioresearch Building, opening fall 2006, sets a new standard in design and research interaction, fostering interdisciplinary, translational research among diverse fields in a single facility. The confluence of research normally housed separately sparks ideas and solutions that might not otherwise develop and that research -- combined with BIO5’s industry and K-12 education partnerships -accelerates the process of discovery and the growth of Arizona’s biotechnology industry. Researchers associated with BIO5 tackle complex and pressing problems: how to diagnose, treat and prevent disease; how to better feed the world; and how to maintain livable environments. Through its programs in bioengineering, drug discovery, genome structure and function, and quantitative biology, BIO5’s scientists address cancer, diabetes, heart, neurological and respiratory diseases; develop new diagnostic tools; improve yield and nutritional quality of crops; and develop plants as sources of pharmaceuticals. Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals 3 Management 4 Advisory Boards 4 Learn More 4 Dr. Vicki Chandler BIO5 Director 51 PAGE 2 52 P e r f o r m a n c e A na lys i s PAGE 3 P e r f o r m a n c e a na lys i s BIO5 continues to significantly leverage TRIF funds to improve Arizonans’ lives by conducting cutting edge research, driving discoveries to market, and preparing students for careers in science and technology. Our reported accomplishments have met or exceeded the metrics from the first 5-year and current business plan. companies. Nearly two-thirds of the invention disclosures and patent activity in life sciences are by BIO5 faculty. Return on Investment (ROI): Our faculty continue to be nationally competitive in garnering research dollars. During the first 5 years, $8.6 million in TRIF funds recruited 35 and retained 7 faculty—these faculty brought in $89.5 million in research dollars over this period, better than 10-fold leveraging of these funds. Previously, we only projected and reported dollars for these faculty directly supported by TRIF funds. However, BIO5 activities impact all of our faculty’s abilities to garner research support. This year we begin to report dollars obtained for all BIO5 faculty, including dollars obtained by faculty directly supported by TRIF. Technology Transfer and Industry Collaboration: BIO5 facilitates the commercialization of new products and processes, as well as the development of the biotechnology industry by promoting interactions among faculty, students, and industrial scientists. We partner with the Office of Technology Transfer and UA Eller College of Management. This year one startup company was ABOR approved and our faculty are actively engaged in establishing 6 additional Workforce Contributions: A critical component of economic development is a workforce to meet the needs of Arizona’s growing bioscience industry. Our workforce initiatives from undergraduate through post-graduate are developed in direct response to industry needs and provide students with exciting experiences that enhance their learning and career opportunities. BIO5 sponsors internships that expose students to industry settings and community college, high school students and teachers to cutting-edge research. BIO5 seeds new training programs (several of which are now federally funded) and develops new courses. Newly implemented online systems are attracting more top bioscience students to the UA and expanding interactions among UA scientists and other researchers in academia and industry. K-12 Science and Math Education: To enhance K-12 science and math curricula, BIO5 is providing teachers and students in schools all over Arizona access to UA science and math resources. In addition to continuing its successful programs that impacted 177 teachers and 25,650 students throughout the state this year, BIO5 introduced Science Source, a public science outreach database that provides an easy-to-use webbased portal to all of the UA science and math resources for parents, teachers, and the young people they influence. F i na n c i a l i n f o r m at i o n FY 2002 Actual Carry Forward $0 FY 2003 Actual $2,761,724 FY 2004 Actual $365,463 Revised FY 2007 Budget FY 2005 Actual FY 2006 Budget FY 2006 Actual $1,764,660 $2,523,351 $2,521,226 $737,208 FY 2008 Budget FY 2009 Budget FY 2010 Budget FY 2011 Budget New TRIF Revenue $4,837,623 $4,803,518 $5,251,866 $6,976,943 $5,800,000 $5,811,155 * $5,107,913 $5,000,000 $5,000,000 $5,000,000 $5,000,000 TOTAL REVENUE $4,837,623 $7,565,242 $5,617,329 $8,741,603 $8,323,351 $8,332,381 $5,845,121 $5,000,000 $5,000,000 $5,000,000 $5,000,000 Personal Services Operating Capital TOTAL EXPENDITURES $620,100 $3,325,935 $308,333 $2,594,735 $4,541,950 $3,604,324 $4,871,121 $4,026,000 $4,026,000 $4,026,000 $4,026,000 $1,195,799 $3,713,844 $1,544,336 $1,475,642 $2,083,811 $2,303,030 $974,000 $974,000 $974,000 $974,000 $974,000 $260,000 $160,000 $2,000,000 $2,150,000 $1,697,590 $1,687,819 $2,075,899 $7,199,779 $3,852,669 $6,220,377 $8,323,351 $7,595,173 $5,845,121 $5,000,000 $5,000,000 $5,000,000 $5,000,000 *To match HB 2661 General Adjustments given to state-funded employees, $107,913 from the Venture Fund was allocated to this initiative for its personnel. Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. g oa l s Launched with funds from a voter-approved tax in 2001, BIO5 fuels economic development and helps grow Arizona’s knowledge-based economy by: ♦ ♦ Conducting state-of-the-art biological research that can be translated into tangible human benefit; Facilitating interactions between researchers and industry to foster the development of biotechnology companies in Arizona; and ♦ Developing educational programs for undergraduate and graduate students, and K-12 teachers and students programs to develop a bioindustry workforce and enhance science literacy. BIO5 research initiatives, identified by external reviewers as strengths at UA, have high potential for federal funding, (Continued on page 4) 53 PAGE 4 g oa l s (Continued from page 3) provide crucial technology platforms, and address problems of critical importance to Arizona and the nation. BIO5 Partners include Arizona Cancer Center, Arizona Respiratory Center, Arizona Research Laboratories, eight UA colleges (medicine, pharmacy, agriculture and life sciences, engineering, public health, science, optical sciences, and business), the Translational Genomics Research Institute (TGen), and the Critical Path Institute (C-Path). The Thomas W. Keating Bioresearch Building (left) and adjacent Medical Research Building, set a new standard in high-tech design. Dedication of the two buildings will take place on December 1, 2006. m a nag e m e n t BIO5 Director, Dr. Vicki Chandler, reports to Dr. Leslie Tolbert, the Vice-President for Research, Graduate Studies and Economic Development. Reporting to Dr. Chandler are: Associate Director, Director for Business Development, Director of Marketing and Communications, Director for Workforce Development, Operations Manager, and the five scientists who coordinate the five research initiatives. Dr. Chandler and Dr. Tolbert are Regents Professors of The University of Arizona, and Dr. Chandler is a member of The National Academy of Sciences. a dv i s o ry b oa r d s Two internal advisory committees provide guidance to BIO5: Executive Committee: Dr. Michael Cusanovich, Professor Biochemistry and Director, Arizona Research Laboratories; Dr. Fernando Martinez, Professor Pediatrics and Director, Arizona Respiratory Center; Dr. John McGrath, Professor Aerospace & Mechanical Engineering; and Dr. Roy Parker, Professor Molecular Cellular Biology. Dean’s Advisory Committee: Dr. Lyle Bootman, Pharmacy; Dr. Keith Joiner, Medicine; Dr. Tom Peterson, Engineering; Dr. Joaquin Ruiz, Science; and Dr. Eugene Sander, Agriculture and Life Sciences. Vice President for Research Deans’ Advisory Committee BIO5 Director Faculty Executive Committee External Business Advisory Board External Scientific Advisory Board Two external boards provide oversight: Business Advisory Board: Chair Thomas W. Keating, Loma Catalina Company; Vice-Chair Robert Morrison, Executive Director, Desert Angels; Robert Ashley, CEO, AmpliMed; Robert Barkley, CEO, Barkley Ag Enterprises; David Cohen, Managing Director, Technology Network International; Jack E. Davis, CEO, APS; Robert Davis, First Vice-President, CB Richard Ellis Tucson; Jack Dean, President of U.S. Science and Medical Affairs, Sanofi-Aventis Pharmaceuticals; Burt Ensley, CEO, Matrix Design; Bernd Fischer, Minister of Economics, Embassy Federal Republic of Germany; Stephen Goff, Senior Fellow, Syngenta Biotechnology; Lisa Haile, Partner, DLA Piper Rudnick Gray Cary US LLP; Joseph Jasinski, Program Director, IBM Health Care & Life Sciences; Lynn Kirkpatrick, CEO, Prolx Pharmaceuticals; Michael Murphy, Legal Counsel, Beaudry Motors; Kathleen Perkins, CEO, Breault Research; and James Randolph, Retired, Pacific Gas & Electric. Scientific Advisory Board: This board will consist of five nationally and internationally renowned scientists, each with expertise in one of BIO5’s target research initiatives. LEARN MORE ♦ Contact Dr. Vicki Chandler, BIO5 Director, The University of Arizona, at chandler@ag.arizona.edu or 520-626-4272 ♦ Contact Dr. Leslie Tolbert, Vice-President for Research, Graduate Studies and Economic Development, The University of Arizona, at tolbert@email.arizona.edu or 520-621-3513 ♦ 54 Visit the BIO5 website at www.bio5.org TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ture c u R t s a r f ore In C l a ic it r C September 1, 2006 CRITICAL CORE INFRASTRUCTURE Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals 3 Management 4 Advisory Boards 4 Learn More 4 Building University research and education programs in selected high technology fields is a strategic investment for the state and the region. The University of Arizona is concentrating its research investments from the Technology and Research Initiative Fund in Biotechnology, Optics, and Water Sustainability. These and virtually all other high technology research fields depend on laboratory facilities and on advanced computing resources and high bandwidth connectivity, While TRIF investments in infrastructure were made throughout the first five years, these investments were made one initiative at a time. Because infrastructure expenditures are better handled centrally, these have now been gathered into a separate initiative. Investments in research buildings, assuring appropriate laboratory space, occur as debt service. Investments in computing and communications infrastructure occur within the central computing organization, CCIT. The goal is to enable research, and by enabling research, to contribute to regional economic development. Dr. Sally Jackson Vice President for Learning & Information Technologies 55 PAGE 2 CRITICAL CORE INFRASTRUCTURE P e r f o r m a n c e a na lys i s Building networks brought to standard Supercomputer usage Supercomputer users (PIs) Grant expenditures by supercomputer users AZLIVE users (PIs) Grant expenditures by AZLIVE users Percentile-ranked access to advanced networks FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 1 1 1 1 1 85-90% 85-90% 85-90% 85-90% 85-90% 50 50 50 50 50 $18M $18M $18M $18M $18M 12 13 14 15 16 $1.2M $1.3M $1.4M $1.5M $1.6M 75th or better 75th or better 75th or better 75th or better 75th or better Notes on metrics: ♦ Network standards defined in the Network Master Plan and tri-University network architecture require 1 Gb to the building, inside wiring at Cat 5e or better, and redundant connections. TRIF funding is sufficient for 1 building per year. ♦ Supercomputer usage is as a percent of available computing capacity measured in “CPU Days.” High usage levels indicate good use of the resources, but usage close to 100% indicates insufficient capacity. Usage during last complete fiscal year was 87% and increasing. ♦ Number of supercomputer users and grant expenditures by supercomputer users are measures of the importance of the supercomputer to the overall research mission. Use is measured in terms of project leads (PIs) rather than individual accounts. ♦ Number of AZLIVE users and total grants supported are measures of the importance of AZLIVE to the overall research mission. ♦ Percentile-ranked access to advanced networks compares UA to other doctoral institutions. Our goal is to rise to and remain in the top quartile. Although this is a new initiative, investments in Critical Core Infrastructure were made throughout fiscal years 2002 through 2006, funded through a proportional tax on the budgets of all other initiatives. These investments produced the following results: Route map for National Lambda Rail, an advanced research network. UA and ASU joined through CENIC, the regional network serving California, Nevada, and Arizona. 56 ♦ Completely renovated building network cabling and equipment for the Meinel Optical Sciences Building ♦ Elevated The University of Arizona’s Internet2 bandwidth from 155 Mbps to 1Gbps. ♦ Allowed The University of Arizona to join CENIC, a California based research and education network that provides access to National Lambda Rail ♦ Doubled the University’s supercomputing capability ♦ Brought immersive 3D visualization technology to campus as a shared resource PAGE 3 F i na n c i a l i n f o r m at i o n Personnel FY 2007 $5,230,200 FY 2007 Budget - FY 2008 $5,464,621 FY 2008 Budget - FY 2009 $5,711,935 FY 2009 Budget - FY 2010 $5,972,852 FY 2010 Budget - FY 2011 $6,248,118 FY 2011 Budget - Operating $968,000 $968,000 $968,000 $968,000 $968,000 Capital $4,262,200 $4,496,621 $4,743,935 $5,004,852 $5,280,118 Totals $5,230,200 $5,464,621 $5,711,935 $5,972,852 $6,248,118 Revenue Expenditures Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. Note: This is a new initiative for FY 2007, and so we do not report any values for “FY 2006 Actual”. From FY 2007 through FY 2011, $968,000 per year will be allocated among projects as follows: ♦ $268,000 per year in Operations for research building infrastructure improvements ♦ $300,000 per year in Operations for advanced networking (CENIC, Internet 2) ♦ $400,000 per year in Operations for high performance computing (supercomputer, visualization, etc.) Over $4M per year in Capital will be allocated to debt financing for new research-intensive buildings. g oa l s The Critical Core Infrastructure initiative will: ♦ Continuously upgrade Internet connectivity to research buildings ♦ Provide access for researchers to high performance networks such as CENIC, Internet2, and National Lambda Rail ♦ Provide more, better supercomputing capability ♦ Introduce important new technologies that enable cutting edge research ♦ Develop new research space for TRIF activities 3D data visualization—a critical new tool—in use to examine the physics of dust storms Panoramic view of AZ-LIVE, the environment used for immersive data visualization such as the dust storm project shown above. This new research facility serves not only advanced science and engineering, but also arts and humanities. 57 PAGE 4 m a nag e m e n t All UA TRIF initiatives report to Dr. Leslie Tolbert, Vice President for Research, Graduate Studies, and Economic Development. Direct oversight of the computer infrastructure portion of this initiative is assigned to Dr. Sally Jackson, Vice President for Learning and Information Technologies and Chief Information Officer. Direct oversight for the capital investments will be by Dr. Tolbert and Dr. George Davis (Executive Vice President & Provost). Investment decisions are made by the UA TRIF Executive Committee: Dr. Tolbert (chair), Provost Davis , and all TRIF initiative leaders: Drs. Vicki Chandler (BIO5), Sally Jackson (Access), Pat Jones (Technology Transfer), Ron Marx (Workforce), Gene Sander (Water Sustainability), and Jim Wyant (Optics). a dv i s o ry b oa r d s There is no external advisory board for the Critical Core Infrastructure investments, since these investments are all in service of initiatives that have their own advisory boards. All IT projects are managed within the Center for Computing and Information Technology, under the direction of Michele Norin for network projects and under the direction of Mike Torregrossa for computing projects, both Co-Directors of CCIT reporting to the CIO. Guidance on broad strategic decisions is provided by the TRIF Executive Committee and on more tactical decisions by the Campus IT Advisory Boards shown in the diagram below. TRIF Executive Committee Leslie Tolbert, VP Research I Sally Jackson Vice President & CIO Network Advisory Committee High Performance Computing Committee Network Master Plan Workgroups Research Computing Advisory Committee Michele Norin I Co-Director, CCIT Mike Torregrossa I Co-Director, CCIT LEARN MORE Contact Dr. Sally Jackson, Vice President for Learning & Information Technologies, at sjackson@u.arizona.edu or 520-626-7418, or visit http://trif.arizona.edu/. Contact Dr. Leslie Tolbert, Vice President for Research, Graduate Studies, and Economic Development, The University of Arizona, at tolbert@email.arizona.edu or 520-621-3513 58 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) y Initiative g o l o n h c e nces and T ie c S l a ic t p O September 1, 2006 Optical Sciences and Technology Initiative The University of Arizona College of Optical Sciences is home to the TRIF Optical Sciences and Technology Initiative. The initiative is multidisciplinary, with the College of Optical Sciences forming the core of the initiative. Through joint faculty appointments, cooperative research initiatives, and multidisciplinary outreach events, the optics college partners with the College of Science, the College of Engineering, and the College of Medicine to develop new technologies that will power the future of nearly every field of science and technology. The impact of optics on the economy of the State of Arizona and the country as a whole in the coming years is staggering. The market for optics in communication, medical care, heavy industry, sensing and security, and military exceeds $200 billion per year. Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals 3 Management 4 Advisory Boards 4 Learn More 4 The mission of the TRIF Optical Sciences and Technology Initiative is to further enhance the University’s international preeminent optics program through the development of novel initiatives in optics education, research, workforce development, and industry outreach. The optics initiative is multidisciplinary, with the College of Optical Sciences forming the core. The initiative targets three critical areas: photonics (red), imaging (blue), and astronomical optics (green). Dr. James C. Wyant, Dean, College of Optical Sciences 59 60 6 $3.398 2 FY 03 Actual 2 FY 04 Proj 0 $19.940 11 FY 04 Actual 2 FY 05 Proj 1 $2.428 2 FY 05 Actual 2 $1.500 1 FY 06 Proj $3.000 2 $6.044 2 3 $4.500 3 FY 08 Proj $1.000 $1.500 2 5 $3.633 FY 07 Proj FY 06 Actual 3 $6.000 4 FY 10 Proj $1.500 $1.500 3 $4.500 3 FY 09 Proj $2.000 4 $6.000 4 FY 11 Proj 10 5 Growth in optics-related graduate enrollment Growth in optics-related distance learning enrollment 4 3 4 2 Public workshops, seminars and presentations K-12 outreach presentations and summer camps Website enhancements Educational Outreach 13 2 Industry Outreach Activities 2 Number of optics-related patent filings 2 3 30 12 $0.096 11 Number of optics-related provisional patent filings 2 Number of optics-related start-up companies Technology Transfer and Industry Outreach 10 Growth in optics-related undergraduate enrollment Workforce Development New affiliate sponsors obtained in dollars New affiliate sponsors obtained New faculty hired 2 1 10 10 15 4 3 2 4 9 6 1 48 15 25 $0.019 3 2 0 10 10 15 2 4 2 5 7 3 0 32 21 44 $0.110 14 2 0 10 0 0 2 2 4 2 4 15 2 0 32 0 25 2 4 1 4 5 2 1 5 0 0 $0.019 $0.017 3 2 4 2 2 4 5 12 5 22 1 2 1 3 0 5 23 1 3 23 $0.017 $0.080 4 2 6 -12 2 1 2 4 1 4 6 2 1 8 4 6 $0.034 4 2 2 4 1 4 6 4 0 8 3 4 $0.034 4 2 2 4 2 4 6 4 1 10 4 6 $0.051 6 2 2 4 2 4 7 5 1 10 4 4 $0.051 6 2 $9.000 $29.000 $20.000 $20.300 $20.600 $20.900 $21.200 4 FY 03 Proj Optics major research proposals submitted 3 $11.325 2 FY02 Actual $1.000 4 FY 02 Proj New industrial funded major optics projects (in $s) New industrial funded major optics projects New federally funded major optics projects (in $s) New federally funded major optics projects Performance Metrics ($ in millions) PAGE 2 P e r f o r m a n c e a na lys i s OPTICS PAGE 3 P e r f o r m a n c e a na lys i s Research and Technology Development portion of the TRIF Optical Sciences and Technology Initiative focuses on development of novel photonic and imaging/sensor components along with state of the art astronomical optics through the use of seed funding and matching funds for projects that are designed for prototyping and/or proof of concept for early stage technologies. The number of externally funded research awards and technology transfer transactions are direct measures of this activity. Workforce Development is a major objective of the TRIF Optical Sciences and Technology Initiative at the University of Arizona. The measures of the optics workforce development include the development of two-year degree programs at community colleges, expansion of undergraduate/ graduate and distance learning programs, fellowships to support graduate research projects, development of new courses for industrial training purposes, and outreach to K-12. F i na n c i a l i n f o r m at i o n FY 02 Actual FY 03 Actual FY 04 Actual FY 05 Actual Technology Transfer and Industry Outreach is defined by collaborations with our optics industry partners in the development and commercialization of new technology, affiliate sponsorships, development of industry related training courses and distance learning program, and new start-up companies. Optics professor Alan Kost hosts educational outreach programs to young women, Native Americans, Educational Outreach is Hispanics, and other historically intended to introduce students underrepresented groups. to various career opportunities in Optics through visits to K-12 and community colleges with a special focus on under-represented populations, workshops and optics summer camps, and symposiums in imaging and photonics. FY 06 Budget FY 06 Actual Revised FY 07 Budget FY 08 Budget FY 09 Budget FY 10 Budget FY 11 Budget REVENUE - $1,535,952 $324,825 $366,298 $1,229,662 $1,230,225 $137,571 TRIF Revenue $4,500,000 $5,000,000 $4,500,000 $4,200,000 $4,040,000 $4,047,769 *$3,296,492 $3,200,000 $3,200,000 $3,200,000 $3,200,000 TOTAL REVENUE $4,395,646 $6,339,470 $4,846,348 $4,858,145 $5,269,662 $5,277,994 $3,434,063 $3,200,000 $3,200,000 $3,200,000 $3,200,000 $1,004,904 $1,632,856 $2,195,760 $1,654,884 3,232,004 1,997,379 1,242,724 1,092,000 1,146,583 1,203,928 1,264,112 Carry Forward $ EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET - 148,414 492,654 554,182 859,482 578,519 337,919 321,910 338,000 354,905 372,646 854,790 854,790 3,233,375 3,233,375 791,636 791,636 418,854 418,854 59,862 1,564,525 1,853,420 1,786,090 1,715,417 1,641,167 1,563,242 1,859,694 5,014,645 3,480,050 2,627,920 4,151,348 4,140,423 3,434,063 1,000,000 1,000,000 1,000,000 1,000,000 1,118,314 1,000,000 $3,200,000 $3,200,000 $3,200,000 $3,200,000 CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET TOTAL EXPENDITURES 1,000,000 1,000,000 1,000,000 1,000,000 1,118,314 1,000,000 $2,859,694 $6,014,645 $4,480,050 $3,627,920 $5,269,662 5,140,423 $3,434,063 *To match HB 2661 General Adjustments given to state-funded employees, $96,492 from the Venture Fund was allocated to this initiative for its personnel. Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. g oa l s The TRIF Optical Sciences and Technology Initiative will promote the field of optics by: • • The development of new technologies in Photonics, Imaging and Sensors and Astronomical Optics Working closely with our industry partners and the • University Office of Technology Transfer to identify research products that have potential for technology transfer Increasing the number of Optics related spin-off companies (Continued on page 4) 61 PAGE 4 g oa l s (Continued from page 3) • • Supporting workforce development through continued expansion of instructional and outreach programs in K-12 and community colleges, providing fellowships to support graduate student research in imaging and photonics, expansion of the undergraduate, graduate and distance learning Optics programs, development of new course curriculums to meet industry needs, and further m a nag e m e n t • expansion of the MBA/Masters in Optics program Developing a special focus on under-represented populations to introduce them to optics careers Increasing the number of world-class faculty in Optics and the number of major optics research projects Professor Jose Sasian develops innovative course material for the Opti 517, Lens Design class. Dr. James C. Wyant, Chair of the TRIF Optics Committee, reports to Dr. Leslie Tolbert, the Vice-President for Research, Graduate Studies and Economic Development, for the TRIF Optics Initiative. a dv i s o ry b oa r d s TRIF Optics Committee James C. Wyant (Chair): Dean and Professor; Optical Sciences, Professor; Electrical & Computer Engineering. Arthur F. Gmitro: Professor; Radiology and Optical Sciences. Thomas Peterson: Dean; Engineering, Professor; Chemical & Environmental Engineering. Nasser Peyghambarian: Professor; Optical Sciences, Materials Science & Engineering, Chair; Lasers & Photonics. Joaquin Ruiz: Dean; Science, Professor; Geosciences. External Review Committee Bruce Wright (Chair): UA Associate Vice President; Economic Development. Robert Breault: CEO; Breault Research Organization. Richard Juergens: Engineering Manager; Raytheon. Glenn Sincerbox: Professor Emeritus; Optical Sciences. TRIF Optics/Imaging Faculty Advisory Committee Arthur F. Gmitro (Chair): Professor; Radiology and Optical Sciences. J. Roger P. Angel: Regents Professor; Astronomy and Optical Sciences. Jennifer K. Barton: Associate Professor; Biomedical Engineering, Electrical & Computer Engineering, Optical Sciences. Robert H. Brown: Professor; Planetary Sciences. Eustace L. Dereniak: Professor; Optical Sciences. Michael R. Descour: Associate Professor; Optical Sciences. James T. Schwiegerling: Associate Professor; Ophthalmology and Optical Sciences. TRIF Optics/Photonics Faculty Advisory Committee Nasser Peyghambarian (Chair): Professor; Optical Sciences, Materials Science & Engineering, Chair; Lasers & Photonics. Neal R. Armstrong: Professor; Chemistry and Optical Sciences. Jerome V. Moloney: Professor; Applied Mathematics and Optical Sciences. Joseph Simmons: Department Head TRIF Astronomical Optics Faculty Advisory Committee and Professor; Materials Science & Engineering, Professor; Peter Strittmatter (Chair): Department Head; Astronomy, Optical Sciences. Masud Mansuripur: Professor; Optical Regents Professor; Astronomy, Director; Steward Sciences, Chair; Optical Data Storage Center. Observatory. J. Roger P. Angel: Regents David Mathine: Assistant Professor; Vice-President for Research Professor; Astronomy and Optical Sciences. Optical Sciences and Electrical & James H. Burge: Associate Professor; Computer Engineering. TRIF Optics Committee Optical Sciences and Astronomy. Jose Sasian: Professor; Optical Sciences and Astronomy. TRIF Astronomical Faculty Advisory Committee TRIF Optics/Photonics Faculty Advisory Committee External Review Committee TRIF Optics/ Imaging Faculty Advisory Committee LEARN MORE • Contact James C. Wyant, Dean, College of Optical Sciences at jcwyant@optics.arizona.edu or 520-621-2448 • Contact Dr. Leslie Tolbert, Vice-President for Research, Graduate Studies and Economic Development, at tolbert@u.arizona.edu or 520-621-3513 . 62 • Visit the College of Optical Sciences Website at www.optics.arizona.edu TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ructure t s a r f In r y Transfe g o l o n h c e T September 1, 2006 Technology transfer’s emergence with entrepreneurship as one of the organizing principles of activity within universities coincides with the growth in importance of knowledge-based industries to the health of local and state economies. The technology transfer infrastructure plan is building the necessary infrastructure to move research activity from the laboratory to the marketplace, supporting UA’s goal to be a driver of Arizona’s knowledgebased economy. By integrating technology transfer into university activities, it enhances Arizona’s knowledge-based workforce development and the creation of new knowledge-based industries. The technology transfer infrastructure plan supports the creation of a thought-leading, nationally-recognized technology transfer dMetrix, a UA startup, is a Tucson-based program bringing UA innovations into broad developer of digital pathology instruments public and commercial use. This infrastructure initiative supports the collaborative environment for research within UA exemplified by the TRIF Research Programs. Working together with those programs, the plan integrates their translational efforts with economic development and market activities driven by UA’s Office of Economic Development (OED) and Office of Technology Transfer (OTT). Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals 3 Management 4 Advisory Boards 4 Learn More 4 Dr. Patrick Jones, Director Technology Transfer Bruce A. Wright Associate Vice President For Economic Development 63 64 N/P N/P 57 9 128 N/P 1 TTIP Plan Metrics Licenses & Options Executed Major Agreements Executed Patent Applications Filed U.S. Patents Issuing Disclosures Received % Disclosures Licensed Strategic Partnerships 0 1 0 0 OED Reports Workforce Development Student Interns Specialized Programs Or Workshops Courses Offered Economic Analysis N/P UA Tech Licensed to AZ Companies 0 0 1 0 18 25 62 8 109 N/P 1 6 5 5 3 N/P Economic Development Total Startup Companies AZ-based Startups FY 02 Act $714,415 $68,968 N/A $30,000 $813,383 $367,735 FY 02 Proj $575,515 N/P N/P N/P Total TRIF Expenditures Contributions to Revenue Gross Royalty Revenues License-Based Cost Recovery Sponsored Research Contracts Direct Grant Support OTT&OED Total Revenues 0 0 1 1 N/P N/P 69 10 154 N/P 1 N/P 4 N/P FY 03 Proj $720,645 N/P N/P N/P 0 0 1 0 24 27 77 12 111 N/P 1 14 1 0 $577,644 FY 03 Act $1,076,870 $277,401 $615,527 $30,000 $1,999,798 1 0 2 0 N/P N/P 83 15 185 N/P 1 N/P 5 N/P FY 04 Proj $900,804 N/P N/P N/P 1 0 2 1 25 39 91 18 95 N/P 2 5 4 3 $558,834 FY 04 Act $1,008,621 $332,075 $847,175 $30,000 $2,217,871 1 1 2 1 30 N/P 100 18 125 N/P 1 N/P 6 N/P FY 05 Proj $1,126,007 $325,000 $600,000 N/P 1 1 2 1 32 47 106 10 102 N/P 2 18 5 4 $762,795 FY 05 Act $1,175,915 $280,486 $610,000 $30,000 $2,096,401 2 1 3 1 35 N/P 105 20 125 N/P 1 N/P 8 4 FY 06 Proj $1,407,509 $357,500 $600,000 $150,000 $2,515,009 2 1 5 0 26 42 109 13 88 N/P 1 11 3 3 $1,086,949 FY 06 Act $1,688,857 $423,302 $768,900 $202,817 $3,083,876 2 1 4 1 38 58 105 20 135 50% 1 N/P 8 6 $826,810 FY 07 Proj $1,520,000 $393,250 $600,000 $200,000 $2,713,250 2 1 4 1 40 60 110 23 150 55% 1 N/P 8 6 $800,000 FY 08 Proj $1,670,000 $432,575 $600,000 $200,000 $2,902,575 2 1 5 1 43 63 115 26 165 60% 1 N/P 9 7 $800,000 FY 09 Proj $1,820,000 $475,833 $600,000 $200,000 $3,095,833 2 1 5 1 45 65 120 29 180 65% 1 N/P 9 7 $800,000 FY 010 Proj $1,970,000 $523,416 $600,000 $200,000 $3,293,416 2 1 6 1 45 68 125 32 195 70% 1 N/P 9 7 $800,000 FY 011 Proj $2,110,000 $575,757 $600,000 $200,000 $3,485,757 PAGE 2 P e r f o r m a n c e a na lys i s PAGE 3 P e r f o r m a n c e a na lys i s •Contributions to Revenue are the number of dollars accrued through licenses, options, sponsored research support to university researchers through OTT agreements and direct grant dollars to OTT and OED in support of their programs. The measures listed above are estimated based on our performance through FY 2006. •Economic development measures are based upon startups licensing UA technology that is fundamental to their formation, the number of those start-ups choosing to operate in Arizona, as well as, the number of UA Technologies licensed by existing companies in Arizona. In 1989, Evan Hersh, M.D., of the Arizona Cancer Center, founded a new company, Amplimed. Years later he and his colleagues rediscovered a drug that showed great promise in stimulating the body's immune response. Now the drug, called Amplimexon, has been approved for Phase I clinical trials for patients with multiple myeloma, malignant melanoma and pancreatic cancer. • TTIP plan metrics include a variety of metrics that capture operational scope, efficiency and relevance of OTT. This includes agreements executed, patents and patent applications, and disclosures received. For some of the measures provided here no projections (N/P) were made in the original planning or metrics for the renewal are “The Office of Economic Development changing to better provides critical data and analysis for reflect the proposed assessing the impact of TRIF dollars. activities. •Economic analysis by OED is designed to measure the effectiveness of the University’s TRIF initiatives as well as their economic impact on Arizona’s economy and its industry clusters. •Workforce contributions occur in a variety of ways, however for purposes of this initiative we count only those who intern in either OED or OTT, or take part in educational efforts directly created and supported by OTT and OED. F i na n c i a l i n f o r m at i o n FY 2002 Act FY 2003 Act FY 2004 Act FY 2005 Act FY 2006 Proj FY 2006 Act Revised FY 2007 Proj FY 2008 Proj FY 2009 Proj FY 2010 Proj FY 2011 Proj Carryforward $ New TRIF Funding Total TRIF Funding $ 0$ 484,815 484,815 $ 117,080 $ 576,422 693,502 $ 115,858 $ 703,348 819,206 $ 260,372 $ 803,892 1,064,264 $ 300,048 $ 960,000 1,260,048 $ 301,469 $ 961,846 1,263,315 $ 176,366 $ 826,810 1,003,176 $ 0$ 800,000 800,000 $ 0$ 800,000 800,000 $ 0$ 800,000 800,000 $ 0 800,000 800,000 Personnel OTT $ Operating OTT Patenting OTT Expenditures OTT $ 72,731 $ 33,800 207,918 314,449 $ 219,485 $ 68,696 15,437 303,618 $ 198,453 $ 34,638 18,503 251,594 $ 267,930 $ 38,155 98,483 404,568 $ 396,431 $ 56,000 173,367 625,798 $ 354,832 $ 98,634 125,553 579,019 $ 338,379 $ 38,607 196,150 573,136 $ 273,240 $ 56,000 149,660 478,900 $ 273,240 $ 56,000 149,660 478,900 $ 273,240 $ 56,000 149,660 478,900 $ 273,240 56,000 149,660 478,900 Personnel OED $ Operating OED Expenditures OED $ 10,220 $ 43,066 53,286 $ 114,394 $ 159,632 274,026 $ 170,953 $ 136,287 307,240 $ 208,038 $ 150,189 358,227 $ 360,567 $ 113,683 474,250 $ 205,138 $ 183,992 389,130 $ 378,231 $ 10,609 388,840 $ 237,600 $ 83,500 321,100 $ 237,600 $ 83,500 321,100 $ 237,600 $ 83,500 321,100 $ 237,600 83,500 321,100 Capital Expenditure Total TRIF Expenditure $ 367,735 $ 577,644 $ 558,834 $ $ 762,795 $ 160,000 1,260,048 $ 118,800 1,086,949 $ 41,200 1,003,176 $ 800,000 $ 800,000 $ 800,000 $ 800,000 *To match HB 2661 General Adjustments given to state-funded employees, $26,810 from the Venture Fund was allocated to this initiative for its personnel.. Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. g oa l s The Technology Transfer Infrastructure Plan goals are to: ♦ assist efforts to commercialize university technology ♦ enhance the technology transfer infrastructure ♦ ♦ increase significantly the level and breadth of technology transfer from the university connect these efforts into both State and local community economic development efforts ♦ increase engagement in technology transfer by the faculty, staff and students Building upon the success of the first phase of TRIF support, the second phase of funding will solidify the creation of a scalable infrastructure for technology (Continued on page 4) 65 PAGE 4 g oa l s (Continued from page 3) transfer, support the implementation of value-added partnerships with other TRIF initiatives and further link activities in technology transfer within UA and in the community, especially through Arizona’s economic clusters. About the Technology Transfer Infrastructure Plan: The Technology Transfer Infrastructure Plan is a two-part initiative under the TRIF program to continue to enhance the University of Arizona’s infrastructure for technology transfer and enhancing associated economic development in Arizona. The Technology Transfer Infrastructure Plan provides support for both the UA Office of Technology Transfer and the UA Office of Economic More than 20 years of research by UA Pharmacy Professors Elaine and Myron Jacobson have produced an innovative product to treat sun damaged skin. “The UA fosters great research that leads to innovative technologies,” Dr. Jacobson says. “And researchers here are encouraged to take the next step to turn discoveries into products that help people and boost the local economy.” m a nag e m e n t Bruce Wright, Associate Vice President for Economic Development , and Patrick Jones, Director of Technology Transfer, report to Dr. Leslie Tolbert, Vice President for Research, Graduate Studies and Economic Development. Reporting to Mr. Wright are the Directors of the Office of Economic Development, the Office of Economic and Policy Analysis, the UA Science and Technology Park, and the Arizona Center for Innovation. Reporting to Dr. Jones are the Internal Patent Counsel, Manager of Outreach, and a group of four licensing professionals. a dv i s o ry b oa r d s TTIP Review Committee: Mr. Larry Aldrich, General Programs, Pima Community College ● and other Partner, Valley Ventures ● Dr. Gary Libecap, Professor of members of the economic clusters of Southern Arizona. Economics and Entrepreneurship, University of Arizona Center for Innovation Advisory Board: Larry California—Santa Barbara ● Dr. Colin Kaltenbach, Aldrich, General Partner, Valley Ventures ● Kendall Burt, Professor and Director of Extension, College of City of Tucson ● Eugene Agriculture and Life Cochran, RCT ● Mike Office of the Vice President for Sciences Research, Graduate Studies and DeConcini, Sr. VP, Economic Development Technology Transfer Advisory Committee: Robert Hagen, Chair, Office of Economic Southern Arizona Tech Development Council ● Prabhu Dayal, Campus Research Corp. EUEC and Chair, Environmental Cluster ● Robert Breault, CEO, Arizona Center For Innovation Breault Research ● Bruce AZCI Advisory Board Wright, AVP for UA Science & Technology Park Economic Development, University of Arizona ● Nick Soloway, Partner, Hayes Soloway, LLP ● Nancy Russell, Dean of Business Office of Technology Transfer Intellectual Property Committee TTIP Review Committee Unisource Energy ● Steven Fell, President, Bank One ● Robert Fortuno, Esq. ● Harry George, Solstice Capital ● and other community members Intellectual Property Committee : An internal board of faculty from Engineering, Science and Medicine providing policy oversight of OTT appointed by the OVPR and the Faculty Senate. Technology Transfer Advisory Committee LEARN MORE ♦ Contact Dr. Patrick Jones, Director, Office of Technology Transfer, at pljones@ott.arizona.edu or 520621-5000. ♦ Contact Mr. Bruce Wright, Associate Vice President for Economic Development, The University of Arizona, wrightb@u.arizona.edu or 520-621-4088. ♦ 66 ♦ Contact Dr. Leslie Tolbert, Vice-President for Research, Graduate Studies and Economic Development, The University of Arizona, at tolbert@email.arizona.edu or 520-621-3513. Visit the OTT or OED websites at www.ott.arizona.edu or www.oed.arizona.edu TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) d n u F e r u Vent September 1, 2006 Contents The Venture Fund becomes the seventh initiative in our work with TRIF funding due to our elimination of the Arizona Center for Information Systems and Technology (ACIST) Initiative. While other initiatives have defined projects, these funds will be distributed annually on a competitive basis for new projects that relate to existing TRIF initiatives. Introduction 1 Goals 1 FY07 Projects 2 Financial Information 2 Learn More 2 g oa l s The goals of Venture Fund will be to: ♦ support new exciting projects outside the current scope of, but complementing, existing initiatives ♦ build creatively on work completed in the first five-year phase of TRIF initiatives (FY02—FY06) ♦ open new avenues to interdisciplinary research that cross initiative boundaries. George H. Davis Executive Vice President for Academic Affairs and Provost Leslie P. Tolbert Vice President for Research, Graduate Studies, and Economic Development 67 PAGE 2 F Y 0 7 P ro j e c t s • • • • Phasing out commitments to ACIST-supported faculty in FY07; Budget — $1,129,410 Biodiversity Informatics Project — this work, building in part on ACIST accomplishments, will form a framework to solve key problems of integrating complex data sets that support biological research and medical care; Budget — $636,150 McKnight Brain Institute — new optical imaging equipment will allow researchers to develop new methods for studying the neural basis for cognitive changes that occur during aging; Budget — $350,500 Arizona Center for Mathematics and Education — this center will lead the nation in mobilizing high-level collaborations among mathematicians, scientists, and educators; Budget — $50,000 F i na n c i a l I N F O R M AT I O N Carry forward New TRIF Revenue Total Revenue Actual Revenue Personal Services ERE Operations Debt Service Capital Total Expenditures FY2007 Budget $437,857 *$1,750,729 $2,188,586 FY2008 Budget FY2009 Budget FY2010 Budget FY2011 Budget $0 $3018,484 $3,018,484 $0 $4,007,741 $4,007,741 $0 $5,051,406 $5,051,506 $0 $6,152,474 $6,152,474 $2,188,586 $1,678,493 $510,093 $3,018,484 $2,286,731 $731,753 $4,007,741 $3,036,168 $971,573 $5,051,406 $3,826,823 $1,224,583 $6,152,474 $4,660,966 $1,491,508 $2,188,586 $3,018,484 $4,007,741 $5,051,406 $6,152,474 *To match HB 2661 General Adjustments given to state-funded employees, funds were allocated to each of the existing six initiatives from Venture Fund revenue ($2,080,800 — $330,071) in FY 2007. The commitment is ongoing through FY 2011. Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. Learn more Contact Dr. Leslie P. Tolbert, Vice President for Research, Graduate Studies, and Economic Development, at tolbert@email.arizona.edu or 520-621-3513. 68 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) y t i l i b a n i a t Water Sus September 1, 2006 Contents A sustainable, high-quality water supply is essential for economic development and enhanced quality of life in Arizona. Competing demands for water due to unprecedented population growth, emerging contaminants, high-tech industry needs, ecological concerns about habitat and species conservation, drought, and the uncertainties of climate change all contribute to the growing need for improved water science, new technologies, and the tools and policies for real-world application. WSP supports research to determine water resources in the Verde Valley. Photo Credit: James Hogan Introduction 1 Performance Analysis 2 Financial Information 3 Goals 3 Management 4 Advisory Boards 4 Learn More 4 The Water Sustainability Program (WSP) is creating a collaborative environment to leverage the UA’s recognized excellence in water expertise to enhance water research, education and outreach that will produce exportable knowledge and techniques that benefit Arizona and have global application. The focus of WSP is to enhance opportunities for students, build new education and research programs, and partner with industry to stimulate economic development. WSP’s vision is to be a world leader in interdisciplinary, cutting-edge water resources research and in applying results to resolve water resource challenges at the state, national, and international level. Dr. Eugene Sander WSP Director WSP products: arizonawater.org site, research bulletin, rainlog.org site, water quality booklet. 69 70 2 Number of post graduate employment/research opportunities 2 9 26,000 40 700 3 50 22 30 3 1 5 1 1 1 201/2595 1 200/1500 2 34/1000 7/67/4790 33,480 58 905 3 89 40 36 4 4 $3.0M $155,500 $258,200 Act FY06 4,500 130 25,000 40 780 4 85 42 100 6 3 9 $1.2M $2.5M Proj FY07 0 2 0 2 0 2 50 50 2 2 8 3 1 7 2 4,600 134 26,000 45 800 4 85 42 110 7 3 2 $1.3M $2.6M Proj FY08 ² Metrics in blue text are new or revised measures devised for the second Business Plan to reflect program growth and change. 50 2 3 10 3 1 8 2 4,700 138 27,000 50 820 4 85 42 120 8 4 2 $1.4M $2.7M Proj FY09 ¹ Water Center leveraged funds refers to external funding to the four coordinating Water Centers that was a match to TRIF funded activities, In the second Business Plan this component is folded into the first 2 ROI metrics. Number of presentations 2 2 Number of other knowledge transfer products 2 5 2 2 2 Number of publications produced Number of new rural water centers Number of communities assisted in water management 1 2 Number of water conferences/national meetings supported Other Knowledge Transfer 1 1 3 200/1500 29,000 41 790 4 85 45 36 4 5 $3.5M $250,000 $500,000 Proj FY06 6/33/2920 6/56/4750 29,230 41 790 3 75 40 36 4 1 $3.0 M $180,000 $260,000 Act FY05 6 1 $500,000 $250,000 2/18/1700 5/27/2300 26,340 40 735 3 54 22 75 20/800 105/1490 40 2 37 22 72 1 $1.7M $75,000 $350,000 Proj FY05 Number of new water related courses/certificates/degrees 1 9/390 7 26,500 40 475 2 16 Act FY04 $275,000 $450,000 Proj FY04 Number of communities participating in outreach activities 1 1 4 $1.5M $88,000 $244,700 Act FY03 1 1 2 1 0 1 $1.5M Proj FY03 Number of new activities developed for K-12 outreach Number of K-12 students participating in outreach activities Number of teachers involved in outreach activities Number of teachers trained/student contacts on modules Interdisciplinary curriculum modules developed Number of Water festivals held/# schools/#students Number of K-12 students benefiting from training Number of facilitators trained Number of teachers trained Curriculum Innovations/Education 0 1 Number of graduate employment/research opportunities 1 $400,000 Act Proj $400,000 FY02 FY02 Number of undergraduate employment/research opportunities Workforce Contributions Number of industry collaborators Number of new collaborations Number of workshops/seminars on tech transfer² Number of patent applications in process Technology Transfer & Industry Collaborations New faculty hired Water Center Leveraged Funds¹ Additional funding obtained Government grants obtained/retained Return on Investment Performance Measures 50 2 3 12 4 1 9 2 4,800 140 28,000 55 840 4 88 45 130 9 4 2 $1.5M $2.8M Proj FY10 50 2 4 14 4 1 10 2 4,900 150 29,000 60 860 4 88 45 140 9 5 2 $1.6M $2.9M Proj FY11 PAGE 2 WATER SUSTAINABILITY P e r f o r m a n c e A na lys i s PAGE 3 P e r f o r m a n c e a na lys i s ● WSP completed a very productive year. Over 35 projects addressing Arizona specific water issues that included development of new water technologies, products, services and information were supported. These projects provided research opportunities for 129 students and resulted in 36 new external partnerships. Twenty new projects were selected through a competitive review process and 9 new Fellowship students were chosen to receive awards in FY07. ● Four new faculty hires strengthened expertise in hydrology and law, and recruitment of 9 new world class faculty in atmospheric science, chemical & environmental engineering, political science, natural resources, geography, water quality and environmental and community health disciplines will bring a wealth of new water expertise and research dollars to campus in FY07. As part of the recruitment and research initiative, WSP will be providing seed money to develop proposals for 2 new centers; a World Health Organization Collaborative Center in Water and an international Hydrological Synthesis Center. Start-up for 3 stateof-the-art infrastructure projects in FY07 to enhance the ability of UA to compete for major federal grants was also supported. ● The WSP Executive Committee members coordinated multiple directed initiatives through their respective centers that serve as hubs to strengthen and expand cross-disciplinary efforts in water management, policy, supply and quality. ● Education and outreach funds supported delivery of water education programs to over 1,000 teachers and more than 33,000 K-12 students in a number of different venues, aligned with state science and math curriculum requirements. Water education for legislators was promoted through a Water Expo event at the capitol. The first in a series of WSP workshops was successfully launched to expand tech transfer to the water industry. Arsenic was the first topic, one of particular concern to rural Arizona. WSP research, products and services were showcased through a Water Forum and poster session. This year’s event will focus on new tools and technology for water sustainability that have been developed through TRIF. Web site improvements, new reports and publications, and outreach through the Cooperative Extension statewide network will continue to enhance accessibility to WSP accomplishments. ● Actual performance measures in FY06 were close to projected figures. External funding from both public and private sources was less than expected. F i na n c i a l I n f o r m at i o n Carry Forward FY 2002 FY 2003 FY 2004 FY 2005 FY 2006 FY2006 Revised FY2007 FY 2008 FY 2009 FY 2010 FY 2011 Actual Actual Actual Actual Budget Actual Budget Budget Budget Budget Budget $0 $442,080 $95,320 $437,798 $594,514 $595,950 $690,226 New TRIF Revenue $474,283 $480,352 $2,009,566 $2,460,948 $3,900,000 $3,907,500 *$3,254,645 $3,200,000 $3,200,000 $3,200,000 $3,200,000 TOTAL REVENUE $474,283 $922,432 $2,104,886 $2,898,746 $4,494,514 $4,503,450 $3,944,871 $3,200,000 $3,200,000 $3,200,000 $3,200,000 Personal Services $28,757 $502,244 $1,135,364 $1,585,695 $2,989,533 $1,924,105 $3,197,142 $2,745,000 $2,745,000 $2,745,000 $2,745,000 $3,446 $324,868 $531,724 $717,101 $652,571 $1,329,438 $455,000 $455,000 $455,000 $455,000 $455,000 $852,410 $559,681 $292,729 $4,494,514 $3,813,224 $3,944,871 $3,200,000 $3,200,000 $3,200,000 $3,200,000 Operating Capital TOTAL EXPENDITURES $32,203 $827,112 $1,667,088 $2,302,796 * To match HB 2661 General Adjustments given to state-funded employees, $54,645 from the Venture Fund was allocated to this initiative for its personnel.. Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. g oa l s WSP‘s goal is to strengthen research, education, and outreach efforts in the water resources area at the University of Arizona to help ensure a sustainable, highquality water supply for economic development and enhanced quality of life for all of Arizona. WSP will accomplish this goal by working to: ♦ Produce a high quality work force ♦ Develop and evaluate new water technologies ♦ Provide direction for the development of sound water policy WSP is leveraging its strengths in academia, research, and environmental technology industries to create several outcomes that include: (a) practical education for grades K-12 to create general awareness of issues, problems, and career-related training; (b) internationally (Continued on page 4) 71 PAGE 4 Water Sustainability G OA L S (Continued from page 3) recognized research and technology transfer initiatives; (c) a thriving industry cluster, which includes both private sector and public sector entities, supported by a skilled workforce that is educated at the University of Arizona; and Water Quality Center techni(d) stronger relationships cian analyzing water samples across disciplines within the University of Arizona, which will result in research innovations to create new business initiatives. These efforts build on the extensive expertise among over 300 UA faculty and staff in 10 colleges and 60 departments and help to promote UA as a national m a nag e m e n t and global leader in research, technology development, and economic development. WSP will continue to pursue these goals and address water quality, supply and policy issues in Arizona through a recruitment and research initiative; a competitive grants program; a Student Fellowship program; directed interdisciplinary initiatives; education and outreach programs; and the activities of the four founding water centers. WSP Executive Committee L-R: Farhang Shadman, Ian Pepper, Sharon Megdal, and Jim Shuttleworth WSP Director, Vice-Provost and Dean of the College of Agriculture and Life Sciences, Eugene Sander, reports to Leslie Tolbert, Vice-President for Research, Graduate Studies and Economic Development. Reporting to the Director is the WSP Executive Committee, comprised of the directors of the four coordinating water centers: Sharon Megdal, Water Resources Research Center; Ian Pepper, NSF Water Quality Center; Farhang Shadman, NSF Engineering Research Center for Environmentally Benign Semiconductor Manufacturing; and Jim Shuttleworth, NSF Center for Sustainability of semi-Arid Hydrology and Riparian Areas. WSP Director a dv i s o ry b oa r d s Two advisory committees provide guidance: Academic Advisory Committee: Dean Eugene Sander, Agriculture and Life Sciences, Chair ● Assoc Dean Beth Mitchneck, Social and Behavioral Science ● Dean Toni Massaro, Law ● Dean Tom Peterson, Engineering ● Dean Joaquin Ruiz, Science ● Dean Marie Swanson, Public Health. External Advisory Committee: Amy Belger, Environmental Health and Safety Manager, Freescale Semiconductor ● Thomas Buschatzke, Water Advisor, City of Phoenix ● Joan Card, Water Quality Division Director, Arizona Department of Environmental Quality ● Prabhu Dayal, CEO, C Trade, Chair, Environmental Technology Industry Cluster ● Vladimir Drobny, Development Manager, Texas Academic Advisory Committee External Advisory Committee WSP Executive Committee Instruments ● Carol Erwin, Area Manager, Bureau of Reclamation ● Jim Holway, Assoc Director, Global Institute for Sustainability, ASU ● Nick Melcher, Director, Arizona Water Science Center, USGS ● David Modeer, Director, Tucson Water ● Errol Montgomery, President, Errol L. Montgomery & Associates ● Karen Smith, Deputy Director, Arizona Department of Water Resources ● John Sullivan, Associate General Manager, Salt River Project ● Dick Walden, Chairman, Farmers Investment Company ● Sid Wilson Jr., General Manager, Central Arizona Project. LEARN MORE ♦ Contact Dr. Eugene Sander, WSP Director, at egsander@cals.arizona.edu or 520-621-7621. ♦ Contact Dr. Leslie Tolbert, Vice-President for Research, Graduate Studies and Economic Development, at tolbert@email.arizona.edu or 520-621-3513. ♦ Visit the WSP website at www.uawater.arizona.edu for program details and visit the WSP ArizonaWater.org website, your first stop for state water information. 72 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) itiative Workforce In pment Plan r Develo The Educato September 1, 2006 Without continued workforce development programs, the economic development of Arizona will depend primarily on out-of-state resources. Arizona’s children must receive quality instruction in math and science The Workforce Initiative: The Educator Development Plan addresses critical workforce shortages in Arizona for math, science, and agricultural science educators through recruiting, preparing, and retaining teachers. This interdisciplinary initiative is a collaboration among faculty in the Colleges of Education, Science, and Agriculture and Life Sciences. To support a technologically advanced economy in Arizona, Arizona’s children must receive quality instruction in math and science. One of the most critical elements of student success in school is quality teaching. These teachers motivate and prepare students to pursue careers in math, science, and agricultural science, which ultimately increases economic development potential. Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals 3 Management 4 Advisory Board 4 Learn More 4 Dr. Ronald W. Marx 73 WORKFORCE INITIATIVE PAGE 2 P E R F O R M A N C E A NA LYS I S METRICS FY 02 FY 03 FY 04 FY 05 FY 06 Actual Actual Actual Actual Actual FY 07 FY 08 Proj Proj FY 09 Proj FY 10 Proj FY 11 Proj Teachers Certified Secondary Math & Science Master’s Level Secondary Math & Science Agriculture 7 12 22 20 24 40 40 45 45 45 28 25 26 40 24 30 30 30 30 30 8 13 16 16 12 15 17 19 20 20 K-12 Students Impacted** 2,150 2,500 3,200 3,800 3,000 4,250 8,600 13,300 18,050 22,000 * Based on federal grants received during Phase I and estimates of grant applications during Phase II ** Assumes 50 students per certified teacher • The Educator Development Plan will prepare teachers for mathematics, sciences, and agriculture science certification for K-12 schools. These teachers will be employed in schools throughout Arizona. We exceeded our targets for producing certified teachers in our first 5 years and have built the infrastructure to sustain this program in the next phase. Thus the estimates of numb of teacher produced increase only very modestly. • The graduates of the teacher preparation programs funded by this project will impact K-12 students directly. We estimate each teacher will impact 50 students annually. This is a conservative estimate—some teachers will have more students, other will have less or will leave teaching. Our estimates are cumulative, because most teachers will stay in teaching, thus each year we add more teachers and impact increasingly more students. 74 WORKFORCE INITIATIVE PAGE 3 F i na n c i a l i n f o r m at i o n FY 2002 FY 2003 FY 2004 FY 2005 FY 2006 FY 2006 Revised FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 ACTUAL ACTUAL ACTUAL ACTUAL BUDGET ACTUAL BUDGET BUDGET BUDGET BUDGET BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE $ - $138,457 $261,542 $189,172 $129,267 $128,370 $769,523 $803,831 $801,574 $960,000 $961,846 *$813,817 $800,000 $800,000 $800,000 $800,000 $775,705 $907,980 $1,065,373 $990,746 $1,089,267 $1,090,216 $1,042,497 $800,000 $800,000 $800,000 $800,000 $275,689 $273,316 $48,319 $45,599 $313,240 $327,523 $775,705 $228,680 $ - $ - $ - $ - EXPENDITURES OPERATING BUDGET Personal Services ERE Operating $394,516 $393,949 $477,667 $325,954 $599,535 $405,802 $405,802 $405,802 $405,802 $93,405 $119,778 $81,126 $178,662 $129,857 $129,857 $129,857 $129,857 $402,734 $375,022 $331,822 $335,656 $264,300 $264,341 $264,341 $264,341 $264,341 $160,000 $118,800 $861,536 $1,042,497 $800,000 $800,000 $800,000 $800,000 $78,951 Capital EXPENDITURES GRAND TOTAL $637,248 $646,438 $876,201 $862,376 $1,089,267 *To match HB 2661 General Adjustments given to state-funded employees, $13,817 from the Venture Fund was allocated to this initiative for its personnel.. Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. G oa l s The primary goals of the Workforce Initiative are: • Create a seamless progression in math and science from elementary through secondary school. • Build incentives and support for students to enter math, science, and agricultural science teacher preparation programs. • Establish incentives and support for math, science, and agricultural science teachers to stay in teaching locally. • Mature programs that will accomplish quantitative goals of graduating 456 math, science, and agricultural science 75 WORKFORCE INITIATIVE PAGE 4 m a nag e m e n t Dr. Leslie Tolbert, Vice President for Research, Graduate Studies, and Economic Development is responsible for overall management of the University’s TRIF activities. The organizational management structure for the Workforce Initiative consists of leadership from the three colleges under which these programs are developed and executed, overseen by Dr. Ron Marx, Dean of the College of Education. Additionally, a multi-college management committee will oversee the implementation of the plan to ensure that the goals are met. Office of the Dean College of Education Oversight Role College of Education Teach for Tucson College of Science • Science Teacher Preparation Program • Mathematics Teacher Preparation Program • Center for Recruitment and Retention of Mathematics Teachers College of Agriculture Agricultural Education Program • Office of the Dean of the College of Education: Ron Marx, Dean • College of Education: Teach for Tucson: Bob Hendricks, Associate Dean • College of Science: Gail Burd, Associate Dean Science Teacher Prep: Ingrid Novodvorsky, Assistant Professor of Physics Math Teacher Prep: Virginia Horak, Associate Professor of Mathematics Center for Recruitment: Fred Stevenson, Professor of Mathematics • College of Agriculture and Life Sciences: Dave Cox, Associate Dean Agriculture Education: Jack Elliot, Professor of Agriculture Education A dv i s o ry b oa r d Through the auspices of the College of Education, the Professional Preparation Board (PPB) serves as a P12 and community college liaison organization. Members include administrators (e.g., superintendents or associate superintendents) from all Tucson area schools, representatives from each CoE department, representatives from all UA colleges engaged in and related to teacher preparation, and Pima College administrators. The executive director of the PPB is Carolyn Dumler, Assistant Superintendent of the Marana School District. The PPB meets monthly through the academic year and ensures a close working relationship among all represented parties to improve teacher education and develop collaborations among member organizations to advance P-12 effectiveness. A subcommittee from the PPB serves in advisory capacity to the Workforce Initiative: • Jeannie Favela, Director of Bilingual Education, Sunnyside School District • Thomas Drexel, Director, Presidio Charter Schools • Debbie D’ Amore, Chief Deputy, Office of the Pima County Superintendent • Carolyn Dumler, Assistant Superintendent, Marana School District LEARN MORE ♦ ♦ ♦ 76 Contact Dr. Ronald W. Marx, Dean, The University of Arizona College of Education, at ronmarx@email.arizona.edu or 520-621-1081. Contact Dr. Leslie Tolbert, Vice President for Research, Graduate Studies, and Economic Development, The University of Arizona, at Tolbert@email.arizona.edu or 520-621-3513. Visit the College of Education at www.coe.arizona.edu and read the complete business plan for the Workforce Initiative: The Educator Development Plan. ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL / FY 2007 - 2011 BUDGETS SUMMARY FY 2006 REVISED BUDGET REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET GRANTS/PROJECTS Regents Innovation Fund Arizona Regents Reach Out (ARRO) Grants Over-realized Revenue Proposals TBD TOTAL GRANTS/PROJECTS EXPENDITURES GRAND TOTAL SUMMARY BY INITIATIVE Regents Innovation Fund: Learner Centered Education UA College of Medicine-Phoenix Planning Information Technology Arizona Water Institute University Redesign Operating Emerging Issues Total Regents Innovation Fund Arizona Regents Reach Out (ARRO) Grants Over-realized Revenue Proposals TBD EXPENDITURES GRAND TOTAL $ $ $ FY 2006 ACTUAL 724,834 1,749,262 2,474,096 $ 75,000 9,007 194,993 279,000 $ $ 1,589,227 600,000 2,189,227 FY 2007 REVISED BUDGET 724,834 13,709,670 14,434,504 $ 114,429 24,618 71,763 210,810 $ $ 726,008 262,554 988,562 13,235,133 1,482,116 14,717,249 98,800 21,600 364,065 484,465 FY 2008 BUDGET $ $ $ 1,512,518 762,554 11,957,712 14,232,784 FY 2009 BUDGET 1,600,000 1,600,000 100,000 $ $ $ 1,000,000 500,000 1,500,000 FY 2010 BUDGET 1,600,000 1,600,000 $ 100,000 $ $ 1,000,000 500,000 1,500,000 FY 2011 BUDGET 1,600,000 1,600,000 100,000 $ $ $ 1,000,000 500,000 1,500,000 1,600,000 1,600,000 100,000 1,000,000 500,000 1,500,000 $ 2,468,227 $ 1,199,372 $ 14,717,249 $ 1,600,000 $ 1,600,000 $ 1,600,000 $ 1,600,000 $ 820,393 250,000 180,000 150,000 64,738 253,834 1,718,965 749,262 - $ 278,172 200,011 127,894 150,000 8,884 64,816 829,777 369,595 - $ 839,013 100,000 180,000 200,000 73,465 504,505 1,896,983 862,554 11,957,712 $ - $ - $ - $ - 2,468,227 $ 1,199,372 $ 14,717,249 $ $ 1,000,000 600,000 1,600,000 1,000,000 600,000 $ 1,600,000 1,000,000 600,000 $ 1,600,000 1,000,000 600,000 $ 1,600,000 ABOR Central Office Summary 77 78 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL / FY 2007 - 2011 BUDGETS SUMMARY FY 2006 REVISED BUDGET REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET GRANTS/PROJECTS Regents Innovation Fund Arizona Regents Reach Out (ARRO) Grants Over-realized Revenue Proposals TBD TOTAL GRANTS/PROJECTS EXPENDITURES GRAND TOTAL SUMMARY BY INITIATIVE Regents Innovation Fund: Learner Centered Education UA College of Medicine-Phoenix Planning Information Technology Arizona Water Institute University Redesign Operating Emerging Issues Total Regents Innovation Fund Arizona Regents Reach Out (ARRO) Grants Over-realized Revenue Proposals TBD EXPENDITURES GRAND TOTAL FY 2006 ACTUAL FY 2006 CENTRAL OFFICE ACTUAL TRIF EXPENDITURES (in thousands) $ $ $ 724,834 1,749,262 2,474,096 $ 75,000 9,007 194,993 279,000 $ $ 1,589,227 600,000 2,189,227 $ $ $ 2,468,227 724,834 13,709,670 14,434,504 114,429 24,618 71,763 210,810 726,008 262,554 988,562 $ 820,393 250,000 180,000 150,000 64,738 253,834 1,718,965 749,262 - $ 2,468,227 $ 1,199,372 278,172 200,011 127,894 150,000 8,884 64,816 829,777 369,595 - Regents Innovation Fund $829.8 69% ARRO Grants $369.6 31% Operating $64.8 8% University Redesign $8.9 1% Arizona Water Institute $150.0 18% REGENTS INNOVATION FUND (in thousands) Learner Centered Education $278.2 34% UA College of MedicinePhoenix Planning $200.0 Information 24% Technology $127.9 15% 1,199,372 ABOR Central Office Summary ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND REGENTS INNOVATION FUND SUMMARY FY 2006 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Learner-Centered Education The University of Arizona College of Medicine-Phoenix Planning Information Technology Collaborative Arizona Water Institute (AWI) Emerging Issues Subtotal Grants/Projects EXPENDITURES GRAND TOTAL EXPENDITURES GRAND TOTAL 75,000 9,007 45,731 129,738 $ $ $ 803,893 212,500 169,000 150,000 253,834 1,589,227 FY 2007 BUDGET 724,834 1,001,926 1,726,760 $ 69,824 15,661 18,284 103,769 $ $ 264,880 191,245 119,883 150,000 726,008 896,983 1,000,000 1,896,983 71,100 14,100 299,265 384,465 539,013 100,000 169,000 200,000 504,505 1,512,518 $ 1,718,965 $ 829,777 $ 1,896,983 $ 820,393 250,000 180,000 150,000 64,738 253,834 $ 278,172 200,011 127,894 150,000 8,884 64,816 $ 839,013 100,000 180,000 200,000 73,465 504,505 $ 1,718,965 $ 829,777 $ 1,896,983 79 ABOR Central Office Regents Innovation Fund Summary SUMMARY BY INITIATIVE Learner-Centered Education The University of Arizona College of Medicine-Phoenix Planning Information Technology Collaborative Arizona Water Institute (AWI) Arizona University System Redesign Study Operating Emerging Issues 724,834 1,000,000 1,724,834 FY 2006 ACTUAL This page intentionally left blank. 80 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) CATION U D E D E R CENTE LEARNER September 1, 2006 LEARNER CENTERED EDUCATION (LCE) Initiative In 2001, the Arizona Board of Regents authorized $500,000 of the TRIF Regents Innovation Fund from Proposition 301 monies for grants to faculty to improve and expand learner centered education throughout the university system. The purpose of learner centered education is to change the dynamics of studentfaculty interaction to optimize student learning and learning outcomes (focusing on what is learned rather than on what is taught); to utilize technology to create opportunities for student learning; to utilize student peer interaction (collaborative learning); and to create more active learning venues for students beyond the standard lecture and discussion method. Contents Introduction Award Data 2002-2006 FY 2006 Awards Financial Information Impact 1 2 3-4 5 5-6 Advisory Boards 6 Learn More 6 Beginning in 2002, 11 to 20 grants have been awarded annually to faculty in the university system in one of these funding ranges: Up to $24,999: Individual faculty, course, or program projects. Up to $49,999: Multiple departments, university-wide, or campus-wide projects. Up to $100,000: Multiple university projects. The highest funding level is awarded only to substantial tri-university initiatives. Projects are 18 months in length and are awarded for faculty development; course or program modification; assessment; or research. Funding began on April 1, 2006 for the 11 projects awarded in 2006. During the first four grant cycles (2002-2005), it is estimated that more than 429 faculty teaching 397 courses to 32,750 students have been directly impacted through 68 LCEfunded projects. The Tri-University collaboration on learner centered practice (2004). 81 PAGE 2 L E A R N E R C E N T E R E D E D U C AT I O N AWA R D S 2 0 0 2 - 2 0 0 6 AWARDS BY INSTITUTION 2005 2006 2004 2003 2002 TOTAL ASU 2 4 3 8 4 21 NAU 5 4 5 2 7 23 UA 3 4 6 5 8 26 1 NAU/UA ASU/UA 1 1 1 NAU/ASU TRI-U 1 1 2 0 2 1 1 1 5 11 14 16 18 20 79 FUNDING BY INSTITUTION 2006 2005 2004 2003 2002 Total ASU $49,911 $120,432 $99,690 $214,191 $90,000 $524,313 NAU 165,536 124,888 104,985 60,319 141,922 432,114 84,948 97,916 141,139 125,930 195,137 560,122 49,400 50,000 99,400 24,883 24,883 UA ASU/NAU NAU/UA TRI-U 48,871 195,700 99,997 95,555 100,000 491,252 Total $349,266 $538,936 $495,211 $570,878 $527,059 $2,481,350 BY FUNDING LEVEL 2005 2006 2004 2003 2002 Total Up to $24,999 4 5 10 7 11 37 Up to $49,999 7 7 5 8 7 34 Up to $100,000 0 2 1 3 2 8 11 14 16 18 20 79 Learner centered education has been a high priority for the Arizona Board of Regents, as reflected in the Arizona University System’s Strategic Directions. 82 P age 3 Learning Centered Education (LCE) FY 2006 Awards Online LCE Idea Book: Integrating LCE, Learning Styles, and Technology La Verne Abe Harris, Department of Technology Management, ASU Polytechnic Campus, $24,911 The focus of the proposed project is the creation of a multimedia learner centered knowledge community center called "LCE IDeaBook”. The initial targeted recipients of the research in this study are faculty, who have the charge of creating the ASU Polytechnic Core curriculum, developed with the intent of portability across disciplines. Podcasts for Learner Centered Education: Choosing the Time and Place for Faculty Development Susan Ledlow, Teaching Consultant, CLTE & DMIT, ASU Tempe Campus, $25,000 The Center for Learning and Teaching Excellence and the Center for Learning and Teaching Excellence and the Digital Media Studio within Digital Media and Instructional Technologies propose the development of a series of podcasts for faculty development. The project primarily addresses the ABOR funding priority of faculty development, but is also related to the LCE research priority. During the first half of the project, we will develop approximately 20 audio programs that relate to learner centered strategies such as interactive lecture, cooperative learning, writing to learn, classroom assessment techniques, and active engagement strategies for large classes. In the second half of the project, we will distribute and assess the impact of these programs. TIMES: Training Intuition in Math for Engineering Success Phillip A. Mlsna, College of Engineering & Natural Sciences, NAU, $42,565 The TIMES project will be an initial pilot test of a set of dedicated training activities and tools designed to improve student performance in their entry-level engineering foundation courses. The goal is to improve student success and retention in engineering by improving their abilities to apply key numerical and mathematics skills. The results will be measured and compared to establish the degree of effectiveness of the TIMES project overall. The plan is to broaden the scope in a future implementation to include other scientific disciplines whose students often have difficulty in their entry-level courses. Art Education Student-to-Student Mentorship Project Pamela Geiger Stephens, Art Education, NAU, $25,000 The Art Education Student-to-Student Mentorship Project brings together novice art education students with their senior-level colleagues in a model program that will provide learner centered activities for both groups. This model project is devised to address the changing needs of teacher preparation programs and the students enrolled in them. It will serve as a replicable learner centered model for other teacher training programs. Learner Centered Transformation of Freshman Circuits Course Elizabeth J. Brauer, Electrical Engineering, NAU, $24,803 Because they are difficult to conceptualize and harder to comprehend, electric circuits have confounded many beginning engineering students, leading to problems in retention. We propose a transformation of the freshman electric circuits course using learner centered principles to develop an effective, personalized learning environment. Our effort focuses on the modification of the introductory EE course, EE188 Electrical Engineering I, and the associated laboratory, EE188L EEILab, using learner centered education techniques. Incorporating Learner Centered Education Strategies in Large Enrollment Biology Lectures Catherine Ueckert, CSTL, NAU, $24,999 Using an action research model, biology faculty will examine, implement, and evaluate learner centered instructional strategies to reach the goal of increasing the level of student achievement in the introductory biology course, BIO 181: Unity of Life I, which is characterized by both high enrollments and a high DFW rate. Outcomes will include the creation and implementation of an assessment tool for biology content knowledge and attitudes, a modification of BIO 181 to include LCE-based instructional strategies, pre/post data on the success of the modification, and a dissemination plan for faculty development in biology and the other science department. 83 P age 4 Increasing Student Engagement and Success in Large General Education Class Settings Karen Pugliesi, Office of the Vice Provost for Undergraduate Studies, NAU, $48,169 This is a faculty development program that will promote the use of learner centered pedagogical strategies in the large lower division liberal studies classes. Twelve faculty who teach large lower division liberals studies classes and three faculty with experience in integrating learner centered pedagogy in large classes (project fellows) will participate in a year-long professional development program leading to the incorporation of learner centered pedagogical practices in their classes. The project will involve cohort faculty in seminars and work sessions, including peer consultations, throughout the year to examine the implications of LCE for large class settings and to implement course and curricular innovations. Besides offering peer consultation to other cohort faculty, project fellows will undertake research on the impact of learner centered pedagogy in a large class setting. The World We Create: Studying the Efficacy of an Innovative Approach to Foster Learning for Both Non-Science Majors and Prospective Science Teachers Vicente Talanquer, Dept of Chemistry & Science Teacher Preparation Program in the College of Science, UA, $24,948 The central goal of this project is to investigate the educational impact of an innovative teaching model that will involve prospective secondary school science teachers in the planning, implementation, and evaluation of a learner centered Tier I natural science course for nonscience majors. The requested resources will allow us to analyze the data collected during two test periods, to design and implement necessary changes based on the evidence obtained, and to build a solid teaching model for improving both general education and the preparation of future science teachers. Learner Centered Engineering: Integrating Product Dissection into the Engineering Foundation Course R. Reid Bailey, College of Engineering, UA, $25,000 The purpose of this proposal is to enhance the University of Arizona engineering foundation course by incorporating a new, hands-on product dissection project that will increase student-faculty contact, encourage cooperation among students, and promote active learning. In addition, a 84 Learner Centered Education (LCE) workshop will be developed to teach foundation course faculty members (twenty sections of the course are taught by faculty each year) to effectively utilize LCE techniques in the foundation course as well as other courses within the college. Finally, an improved method for assessing the learning outcomes for the foundation course will be developed. Consistent with the 2006 priorities, this project is specifically designed to enhance student learning in a foundation course that enrolls a high number of students. University of Arizona Focus on LCE: Preparing Faculty to Lead Learner Centered Teaching Practices Julie F. Padgett, University Teaching Center, UA, $35,000 The intent of the project is two-fold: (1) to develop a critical mass of faculty who will engage collaboratively in the study of learner centered instructional practice, apply what they learn, assess the impact of what they learn, and share their learning with other faculty and graduate teaching assistants, and (2) for those faculty to develop and implement an LCE advocacy plan for each of their departments that will ultimately bring faculty and institutional culture to actively embrace more learner centered approaches to college education. Engineering Connections Environments: Developing Learner Centered Interfaces to Technical Content Modules Darryl Morrell, Department of Engineering, ASU Polytechnic Campus, $48,871 We propose a joint project between ASU and UA that builds upon the existing Engineering Science Course Modules developed by the UA College of Engineering and Mines. We propose to develop interfaces to the modules in the form of Engineering Connection Environments that embed the modules within a project-based learning environment and integrate them with problem-based learning exercises, background prerequisite material, and additional real world applications. This structure will be piloted in the ASU engineering program's sophomore curriculum during the 2006/2007 academic year. PAGE 5 F i na n c i a l i n f o r m at i o n FY 2002 ACTUAL REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ GRANTS/PROJECTS: FY 2002 LCE Grants FY 2003 LCE Grants FY 2004 LCE Grants FY 2005 LCE Grants FY 2006 LCE Grants FY 2007 LCE Grants TBD Subtotal Grants/Projects EXPENDITURES GRAND TOTAL $ FY 2003 ACTUAL FY 2004 ACTUAL FY 2005 ACTUAL - $ 969,239 969,239 $ 297,864 $ 560,008 857,872 $ 307,772 $ 516,500 824,272 $ 293,560 500,000 793,560 3,113 $ 744 2,469 6,326 12,962 $ 2,461 5,254 20,677 9,365 $ 1,491 2,121 12,977 5,180 828 1,575 7,583 567,107 567,107 272,290 282,198 554,488 (15,354) 282,199 247,367 514,212 (12,322) (38,896) 248,626 257,258 454,666 573,433 $ 575,165 $ 527,189 $ 462,249 FY 2006 REV BUDGET $ $ $ FY 2006 ACTUAL 718,965 101,428 820,393 $ 9,400 1,600 5,500 16,500 $ $ 53,249 36,895 4,008 226,241 483,500 803,893 $ 820,393 $ FY 2007 BUDGET 718,965 $ 101,428 820,393 $ 539,013 300,000 839,013 9,959 $ 2,502 831 13,292 12,100 3,000 284,900 300,000 (9,779) 244,759 29,900 264,880 53,249 36,895 13,787 (18,518) 453,600 539,013 278,172 $ 839,013 Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a six-tenths cent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. I M PAC T EXEMPLAR PROJECTS Communication Assessment and Learning Lab -- ASU West This project has leveraged initial funding from an LCE grant to produce a campus asset that now receives university funding and has managed to attract outside investment in the form of contracts with state and corporate entities. This lab provides an opportunity for student mentors to work with other students facing public speaking, professional interview, classroom assignment, and other communication occasions. This example of leveraging grant funds provides an exemplar of one desirable outcome of the LCE Grant Program. Tri-University Assessment of Writing Another example of successful leveraging of LCE grant funds is reflected in the swirl of follow-on activities growing out of the tri-university grant awarded to the writing programs of the three universities. Building upon the momentum established as faculty from each of the campuses convened to compare outcomes and philosophies, the group developed a common rubric for reviewing student papers and inspired an examination of the link between campus philosophy and the support role the programs play across the curriculum. The grant funded an opportunity for the group to review between 700 and 1,000 writing portfolios from first-year composition students. As one example of the follow-on activity, the UA Writing Program took the initial grant-funded activity and extended the analysis to include a follow-up content analysis of what people were talking about at each of the discussion tables during the grant-funded retreat. Later, an analysis of the high-performing and low-performing portfolios provided an opportunity to identify what defines these levels of performance. The analysis further revealed what instructors value in the review of papers, along with the areas where students are having challenges. This analysis was followed by focus groups with teaching assistants and instructors, a group including over 160 teachers, who directly impact 12,000 students annually. "Writing makes learning visible in the classroom; it also makes learning visible in the institution," so this investment in focusing on how students were doing and how the program might have more impact suggests tremendous reach from a relatively small financial investment Science Learning Center -- NAU Focusing upon the faculty professional development priorities of learner centered education and melding that with a need to help faculty develop assessment expertise, the Science Learning Center at NAU leveraged its LCE grant to move beyond working with faculty on revising their syllabi to make courses more learner centered, to a follow(Continued on page 6) 85 PAGE 6 I M PAC T (Continued from Page 5) values promoted in discussions by the Arizona Board of Regents leading up to the creation of the LCE Grant Program. on set of workshops that coached them on developing assessment strategies that would articulate with the new learning outcomes and course strategies. This work is groundbreaking in higher education and has attracted requests and contracts for the services offered by the center from other states. *Excerpt from “Evaluation of the Arizona Board of Regents Learner Centered Education Initiative,” Dr. Melvin Hall, Consultant. February 2006. Across the system, these stories abound, bring exposure and influence to the learner centered initiative, and address the core FY 2006 PERFORMANCE MEASURES / DELIVERABLES Curriculum Innovations Number of courses modified to LCE focus Faculty addressing curriculum through LCE grants Workforce Contributions Students affected by LCE grant projects FY 2002 ACTUAL FY 2003 ACTUAL FY 2004 ACTUAL FY 2005 PROJECTED FY 2006 PROJECTED 95 188 123 147 104 111 68 141 72 133 14,000 5,362 6,392 8,491 10,500 a dv i s o ry b oa r d s LCE Team Functions: Provides oversight of LCE program Approves funding for grants Approves substantive changes to grant process/criteria Members: 2 Regents Jack Jewett Benjamin Graff 3 Provosts Milt Glick, ASU Liz Grobsmith, NAU George Davis, UA 3 Arizona Faculties Council Members Ernest Hirata, ASU Charles Connell, NAU Robert Mitchell, UA LCE Advisory Council Functions: Develops grant review process and reviews rubric Revises grant processes annually Reviews, revises RFP; recommends substantial changes to LCE Team Participates in grant review and serves as training coordinators for their campus Members: Provost Appointees Ruth Jones, ASU Susanna Maxwell, NAU Jerry Hogel, UA 3 Arizona Faculties Council Members Richard Morris, ASU Charles Connell, NAU Jennifer Jenkins, UA LCE Review Panel (Organized by University-Based Teams) Functions: Review and rank grants in teams. Each team has a team leader. Co-coordinators (LCE Advisory Council) for each campus provide training. Selection Committee: Team leaders and training coordinators comprise the committee to select grants to recommend for funding to LCE Team, based on team rankings. Members: Team Composition: 1 Provost Appointee and 2 Arizona Faculties Council appointees per team. Each student government president may appoint 2 student reviewers as well. Fall 2006: 9 Teams, 2 per university: Each provost to appoint 3 faculty. Each Arizona Faculties Council to appoint 6 faculty. LEARN MORE • Contact Stephanie Jacobson, Associate Executive Director, Academic and Student Affairs, Arizona Board of Regents, 2020 North Central Avenue, Suite 230, Phoenix, Arizona 85004, (602) 229-2529, Stephanie.Jacobson@azregents.edu. • Contact Mark Denke, Assistant Executive Director, Academic and Student Affairs, Arizona Board of Regents, 2020 North Central Avenue, Suite 230, Phoenix, Arizona 85004, (602) 229-2503, mark.denke@azregents.edu. 86 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND The University of Arizona College of Medicine-Phoenix Planning FY 2006 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ EXPENDITURES GRAND TOTAL 250,000 250,000 $ 37,500 37,500 $ $ 72,000 140,500 212,500 $ 250,000 FY 2007 BUDGET 250,000 250,000 $ 8,766 8,766 $ $ 112,996 78,249 191,245 $ 200,011 100,000 100,000 - 100,000 100,000 $ 100,000 87 ABOR Central Office Regents Innovation Fund UA College of Medicine-Phoenix Planning GRANTS/PROJECTS: Molera Alvarez Group Smith Group To be determined Subtotal Grants/Projects FY 2006 ACTUAL 88 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND The University of Arizona College of Medicine-Phoenix Planning FY 2006 INITIATIVE OVERVIEW Funding will be provided to support planning for The University of Arizona College of Medicine in Phoenix. Renovation work is almost complete on the three former Phoenix Union High School buildings at the Phoenix Biomedical Campus site between 3rd and 7th Streets and Van Buren and Fillmore Streets in downtown Phoenix. Ceremonies are scheduled for October 10, 2006. Groundbreaking for the Arizona Biomedical Collaborative 1 (ABC 1) research facility took place in November 2005 with completion scheduled in March 2007. The first class of 24 medical student is scheduled to begin in July 2007. Planning for the Campus is being coordinated by the Governor's Arizona Commission on Medical Education and Research (ACMER). At build-out in 2025, the Phoenix Program will have 150 students in each class. When combined with the 110 students in the Tucson Program, The University of Arizona College of Medicine will be on par with the nation's largest medical schools, making it more competitive for federal grants and contracts, as well as helping to meet the critical shortage of physicians in Arizona. FY 2006 GOALS/OBJECTIVES 1. By June 30, 2006, complete all renovation work on the former Phoenix Union High School buildings (preliminarily designated COM 1, COM 2, and COM 3). 2. Break ground for ABC 1 in November 2005. FY 2006 PERFORMANCE MEASURES/DELIVERABLES 1. 2. 3. 4. 5. 6. Return on Investment Complete COM, 1, 2, 3 renovations Break ground on ABC 1 in November 2005 Master Plan for site Curriculum Innovations Potential for medical classes and research Partnerships/Collaborations Collaborative effort between UA and ASU Collaborative effort with City of Phoenix FY 2007 PROJECTED Completed Completed Completed Ongoing Ongoing Ongoing Ongoing Ongoing Ongoing ABOR Central Office Regents Innovation Fund UA College of Medicine-Phoenix Planning FY 2006 PROJECTED ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND The University of Arizona College of Medicine-Phoenix Planning FY 2006 RESULTS AND ACCOMPLISHMENTS On August 4, 2004, then-Regents President Gary Stuart, then-UA President Peter Likins, and ASU President Michael Crow signed an historic Memorandum of Understanding (MOU) Regarding the Expansion of Medical Education and Research in Phoenix. Renovation of the three former Phoenix Union High School buildings began in April 2005 on the Phoenix Biomedical Campus, and dedication ceremonies are scheduled for October 10, 2006. ABC 1, to house UA and ASU researchers, broke ground in November 2005 and is scheduled for completion in March 2007. Planning has begun for ABC 2 and the Education building for the campus. The first class of 24 medical students in the UA College of Medicine-Phoenix Program is scheduled to begin in July 2007. All ABOR reports submitted to the legislature relating to The University of Arizona College of Medicine-Phoenix are available at: www.azregents.edu. ABOR Central Office Regents Innovation Fund UA College of Medicine-Phoenix Planning 89 90 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND Information Technology Collaborative FY 2006 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ EXPENDITURES GRAND TOTAL 180,000 180,000 $ 10,000 1,000 11,000 $ $ 100,000 40,000 29,000 169,000 $ 180,000 FY 2007 BUDGET 180,000 180,000 $ 7,031 571 409 8,011 $ $ 75,000 44,883 119,883 $ 127,894 180,000 180,000 10,000 1,000 11,000 169,000 169,000 $ 180,000 ABOR Central Office Regents Innovation Fund Information Technology Collaborative GRANTS/PROJECTS: Network Management System SharePoint Project Other Projects to be determined Subtotal Grants/Projects FY 2006 ACTUAL ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND Information Technology Collaborative FY 2006 INITIATIVE OVERVIEW The Arizona Auditor General has recommended that the Board of Regents exercise more oversight of university information technology. An IT project approval process and extensive reporting requirements for IT expenditures are now in place. Collaborative IT projects that can improve service and/or result in cost savings hold ongoing particular interest to the Regents. Numerous possibilities exist for the efficient and effective use of seed money, including the continued use of consultants to update the architecture developed for planning future IT development. Other examples include implementation of a central office SharePoint collaborative site, with active pilot sites for the Audit and Capital Committees, and IT projects at the three universities. FY 2006 GOALS/OBJECTIVES 1. Begin a tri-university effort to adopt and implement a trusted tri-university federated identity architecture, which would also provide the opportunity to establish identity trust relationships with other federal, state, and higher education IdM systems; includes training and consultant assistance. 2. Development of an Information Technology Architecture facilitates the application of IT to university initiatives and projects. Its goal is to aid in the efficient and effective implementation of technology at our universities by describing a direction for current and future IT activities, supported by underlying principles, standards, and best practices. 3. SharePoint project - server, training, pilot projects. 1. 2. 3. Return on Investment SharePoint assessment and design of pilot projects Information Technology Architecture Maintenance Tri-University Identity Federation for the Arizona University System (ATIF) FY 2006 PROJECTED FY 2006 ACTUAL Completed Completed Completed Completed Completed Completed 91 ABOR Central Office Regents Innovation Fund Information Technology Collaborative FY 2006 PERFORMANCE MEASURES/DELIVERABLES 92 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND Information Technology Collaborative FY 2006 RESULTS AND ACCOMPLISHMENTS 1. The design, training, and implementation of SharePoint for the central office and related university departments has begun with the Audit and Capital Committees collaborative work sites, installation of a dedicated server, and training for key staff. Other Committee sites, central office collaborative worksites, and a Regents Resource Center site are being implemented on a sequential plan. 2. The Tri-University Architecture document will remain highly flexible to accommodate the ever-changing nature of IT. Its goal is to aid in the efficient and effective implementation of technology at our universities, supported by underlying principles, standards, and best practices. It will further facilitate tri-university collaboration efforts by establishing a common vision for the future of IT at our universities. The use of technology is a large and growing element of the universities' environment and overall expenditures. Arizona’s universities collectively are interested in increasing service quality and saving money through the best possible use of IT. FY 2007 GOALS/OBJECTIVES Additional goals and objectives will be provided when final IT projects are selected. 1. Implementation of SharePoint 2. Oversee ongoing IT Architecture development 3. Consultant for OASIS implementation at ASU ABOR Central Office Regents Innovation Fund Information Technology Collaborative FY 2007 INITIATIVE OVERVIEW An IT project approval process and extensive reporting requirements for IT expenditures are now in place to facilitate Board oversight of university IT projects. Collaborative IT projects that can improve service and/or result in cost savings continue to be of particular interest to the Regents. A consultant has been engaged to facilitate ASU's implementation of its HR and Student Information Systems (OASIS). The OASIS system is a version of PeopleSoft, installed at NAU. The design, training, and implementation of SharePoint for the central office and related university departments has begun with the Audit and Capital Committees collaborative work sites. Other Committee work sites and a Regents Resource Center site are being implemented on a sequential plan. Numerous possibilities exist for the efficient and effective use of seed money, such as the continued use of a consultant to maintain and support the architecture for planning future IT development at the three universities. $9,000 has been budgeted for such a consultant in FY 2007. The progress toward ATIF implementation will continue. ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND Information Technology Collaborative 4. Tri-University Identify Federation for Arizona University System (ATIF) will continue FY 2007 PERFORMANCE MEASURES/DELIVERABLES FY 2007 PROJECTED 1. 2. Return on Investment Performance measures will be provided when final IT projects are selected. Continued oversight of IT Architecture development Implementation of major central office functions using SharePoint, including Regents Resource Center Partnerships/Collaborations Performance measures will be provided when final IT projects are selected. TBD TBD ABOR Central Office Regents Innovation Fund Information Technology Collaborative 93 94 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND Arizona Water Institute (AWI) FY 2006 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: The University of Arizona Subtotal Grants/Projects EXPENDITURES GRAND TOTAL FY 2006 ACTUAL 150,000 150,000 $ - $ $ 150,000 150,000 $ 150,000 FY 2007 BUDGET 150,000 150,000 $ - $ $ 150,000 150,000 $ 150,000 200,000 200,000 - 200,000 200,000 $ 200,000 ABOR Central Office Regents Innovation Fund Arizona Water Institute (AWI) FY 2006 INITIATIVE OVERVIEW $150,000 of FY 2006 TRIF Regents Innovation Funds was approved by the Board for allocation to The University of Arizona to support the hiring of an Executive Director and Administrative Assistant for the Arizona Water Institute (AWI). ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND Arizona Water Institute (AWI) Arizona’s three state universities, The University of Arizona, Arizona State University, and Northern Arizona University, each have world-class expertise that can be harnessed to support water policy, planning, and technology development. Under the leadership of Governor Janet Napolitano, AWI was formed to unite the cutting-edge work of the universities in a single supercenter of information and technology focused on water education, research, community assistance, and economic development. The mission of AWI is three-fold: • Serve as the hub of research and technology development to give Arizona the tools to assure clean and sustainable water resources for the next century; • Provide education, information, and analytical support to the public, government decision makers, water professionals, industry, and others about using, conserving, and managing water in arid environments; • Be a resource for new water management technologies that produce new products and services for Arizona companies to export worldwide, thus creating a major new economic driver for Arizona. AWI will also enhance the universities’ abilities to attract top students from around the world by providing a mechanism through which the universities can offer collaborative and innovative, multidisciplinary water curricula. AWI’s Core Group, comprising representatives from ASU, NAU, UA, SRP, Intel, the Arizona Departments of Water Resources, Environmental Quality, and Commerce, and the Governor’s Office, determined that a business plan for AWI was a critical first step and engaged the services of the Battelle Technology Partnership Practice Group to perform this work. The final business plan will soon be released. FY 2006 RESULTS AND ACCOMPLISHMENTS The work of AWI during FY 2006 is well documented and available at: www.azregents.edu 95 ABOR Central Office Regents Innovation Fund Arizona Water Institute (AWI) FY 2007 INITIATIVE OVERVIEW $200,000 will be allocated to The University of Arizona in FY 2007 to support the Executive Director and Administrative Assistant at AWI. Arizona State University, Northern Arizona University, and The University of Arizona are working with the Governor's Office, the Arizona Departments of Water Resources, Environmental Quality, and Commerce, and private sector partners Intel and SRP to continue work on selected AWI projects. Each of the three universities received $500,000 from the State General Fund in FY 2007 to support the AWI campus coordinators and AWI projects. 96 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND Arizona Water Institute (AWI) FY 2007 GOALS/OBJECTIVES 1. To continue financial support for the AWI Executive Director and Administrative Assistant. ABOR Central Office Regents Innovation Fund Arizona Water Institute (AWI) ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND Arizona University System Redesign Study FY 2006 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Subtotal Grants/Projects EXPENDITURES GRAND TOTAL FY 2006 ACTUAL - $ - $ $ $ - FY 2007 BUDGET 8,884 8,884 $ 8,884 8,884 $ $ $ 8,884 - - $ - 97 ABOR Central Office Regents Innovation Fund Redesign Study FY 2006 INITIATIVE OVERVIEW At its April 2005 meeting, the Board approved the proposed redesign recommended by the ABOR Feasibility and Planning Work Group. The final report, titled “A Redesigned Public University System,” was published and distributed in July 2005. At the September 2005 Board meeting, the universities’ implementation plans for the redesign initiative were approved. 98 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND Arizona University System Redesign Study Reports generated during the feasibility and planning study are available online at www.abor.asu.edu. The website presents the products of the Work Group’s four subcommittees, and contains copies of the Board of Regents’ original redesign proposal, plus the 15 alternatives. The website also presents the reports of the Stakeholder Groups and comments made during public hearings. The FY 2007 expenditures for this project supported printing costs invoiced after June 30, 2005. ABOR Central Office Regents Innovation Fund Redesign Study ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET REGENTS INNOVATION FUND Operating FY 2006 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Subtotal Grants/Projects EXPENDITURES GRAND TOTAL FY 2006 ACTUAL 5,869 318,572 324,441 $ 55,600 7,407 1,731 64,738 $ $ $ 64,738 FY 2007 BUDGET 5,869 311,614 317,483 52,834 12,588 (606) 64,816 $ $ $ 64,816 73,465 73,465 49,000 11,100 13,365 73,465 $ 73,465 99 ABOR Central Office Regents Innovation Fund Operating FY 2007 OVERVIEW The Operating budget supports implementation of Regents Innovation Fund projects, as well as administration of the system's TRIF fund, including budget preparation, accounting, and reporting functions. This page intentionally left blank. 100 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET ARIZONA REGENTS REACH OUT (ARRO) GRANTS FY 2006 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: FY 2007 Grants FY 2006 Grants Subtotal Grants/Projects EXPENDITURES GRAND TOTAL FY 2006 ACTUAL 749,262 749,262 $ 149,262 149,262 $ $ 600,000 600,000 $ 749,262 FY 2007 BUDGET 750,032 750,032 $ 44,605 8,957 53,479 107,041 $ $ 262,554 262,554 $ 369,595 380,438 482,116 862,554 27,700 7,500 64,800 100,000 500,000 262,554 762,554 $ 862,554 101 ABOR Central Office Regents Innovation Fund ARRO Grants Summary FY 2006 INITIATIVE OVERVIEW The Arizona Regents Reach Out (ARRO) grant program was established by the Regents, through the IT/AZUN Committee, to offer faculty an opportunity to receive funding for proposals for innovation in distance learning. 102 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET ARIZONA REGENTS REACH OUT (ARRO) GRANTS FY 2006 GOALS/OBJECTIVES Grants are solicited in the following categories considered critical to the full implementation of distance-learning education throughout the university system: • Promote educational merit, feasibility, demonstrate collaborative elements of the proposal and its benefit to the Arizona higher education environment • Promote rapid development of high quality online, distance learning, or technology assisted projects • Develop projects that meet a demonstrated demand or need in Arizona • Develop projects that are transferable, portable, sharable, and scalable • Develop projects that are in short supply but needed for graduation • The collaboration, matching, and/or leverage funds on project offerings with other partners • Apply existing innovations in new areas • Explore opportunities for competency or performance-based assessment • Are programs as contrasted to individual courses only • Have not been previously funded by Arizona Regents University (ARU), Arizona Universities Network (AZUN), or Arizona Regents Reach Out (ARRO) • Utilize inter- or intra-institutional collaboration Priority is given to proposals that are collaborative across campuses and among the universities. FY 2006 PERFORMANCE* MEASURES/DELIVERABLES (Estimated Numbers) FY 2006 Cycle PROJECTED** ABOR Central Office Regents Innovation Fund ARRO Grants Summary 1. Number of courses developed or near completion 2. Number of course enhancements 3. Number of enrollments 4. Curriculum innovations 5. Partnerships and collaborative entities 6. Number of students affected 7. Number of faculty/peers affected *This is a new grant program with first awards issued in January 2006. Actual statistics are not available at this time. ** Final reports are due July 31, 2007. ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET ARIZONA REGENTS REACH OUT (ARRO) GRANTS FY 2006 RESULTS AND ACCOMPLISHMENTS 60 proposals were submitted for the 2006 grant cycle: 9 were approved for funding from ARRO sources and 3 were approved for funding from AZUN sources. Projects are funded for an 18-month period. Approximately one-half of the funds were released during FY 2006. The remainder will be released during FY 2007 upon receipt of the progress reports required of each grantee on or before December 2006. ARRO GRANT AWARDS ARRO Project Title Project Summary Grant Award Creation of an Online Masters of Advanced Studies Degree in Geographic Education ASU’s Geography Department partners with ASU-Tempe College of Education, ASUWest's College of Teacher Education and Leadership, and Geography Faculty at the University of Arizona and NAU to complete a new on-line Master in Advanced Studies (MAS) in Geography Education. Surveys of K-12 teachers reveal a strong and growing demand for this program. The first-year class of fall 2007 would be held to a pilot of 20 students in year 1, growing to 50 by fall 2010. The demand for this program comes from rural and urban teachers needing advanced degrees for professional growth, middle school teachers lacking the 24 hours needed to be "highly qualified" under the No Child Left Behind legislation, and small-town and rural teachers looking for discipline-specific instruction. The ARRO grant would provide the last bit of funding needed to complete an on-line, innovative, and self-sustaining MAS in Geographic Education. $93,675 ASU UA NAU Preparation of BSN/MS Nursing Students with Second Degrees through an Online Accelerated Program The purpose of this project is to envision and develop a program to prepare 2nd degree students for bachelor’s and master’s degrees in nursing using an online, hybrid approach. The targeted populations are those with previous college degrees who wish to begin a nursing career. In this proposal, focus groups will be held with currently enrolled second degree students to help guide the curriculum content and organization. Six courses for the first semester of the BSN generalist program will be developed in consultation with an instructional design media specialist. The total $49,810 ASU 103 ABOR Central Office Regents Innovation Fund ARRO Grants Summary University 104 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET ARIZONA REGENTS REACH OUT (ARRO) GRANTS curriculum will be submitted for approval to appropriate bodies. This program will increase ASU nursing graduates by 14 percent. NAU NAU NAU UA The purpose of this project is to prepare teacher candidates from Northern Arizona University for the upcoming Arizona Teacher Performance Based Assessment requirement, which will impact all new teachers in the state beginning June 2006. NAU will engage 40 pre-service secondary education teachers in a project designed to give them the knowledge and skills so they can create multi-media artifacts as performance assessments. Students will enhance their electronic portfolios to include performance based assessment evidence of teaching excellence. Development of an Allied Health 2+2+2 Educational Model This project will increase accessibility of bachelor’s and master’s degree programs for individuals in high demand allied health professions by expanding “anytime, anyplace” degree options through rapid, simultaneous development of two high quality online programs and modification of an existing 2+2 program. Degree articulations will be developed and implemented at the bachelor’s and master’s level in several allied health fields with multiple community college partners. Reaching Out to Native Americans: Creating a WebBased Liberal Studies and Diversity Course The primary goal of this project is the creation of a Web-Based Native Peoples of North America course that will enable NAU to reach out to Native American students and increase their university enrollments statewide. The development of this online course will help fulfill components of NAU’s mission and strategic plan “to be the nation’s leading university serving Native Americans”. UA General Education Online: Anytime Learning About Plants and Our World This grant would fund the comprehensive revision of Nats 104 Plants and Our World Online at the University of Arizona. The course will be revised with creative, interactive exercises, activities, and content assessment tools, in addition to adopting a new textbook and converting from WebCT to D2L web-based course management system. Plants and Our World is a distance learning Tier One Natural Science option that fulfills General Education graduation requirements at UA. ArizonaNativeNet Tribal Leadership Distance Learning Education Project This proposal seeks funding support for the development of two distance learning courses produced especially for Arizona’s Native American Communities: “Nation Building for Native Nations: NNI EdVenture Curriculum,” and “Indian Law for Tribal Leaders: IPLP Tribal Leadership Curriculum.” The project’s integrated executive education curriculum will offer an online, cutting-edge, learner-centered, distance learning experience focused on developing advanced tribal leadership skills. $49,995 $49,580 $4,219 $28,922 $49,413 ABOR Central Office Regents Innovation Fund ARRO Grants Summary UA Preparing Prospective Teachers for Performance-Based Assessment and Their Futures ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2006 ACTUAL/FY 2007 BUDGET ARIZONA REGENTS REACH OUT (ARRO) GRANTS ASU UA NAU ASU UA NAU Expansion of Gerontology Programs: Online Coursework Autism Spectrum Specialist Program The program meets a demonstrated need in Arizona. It will increase the number of online gerontology courses statewide, and market graduate level gerontology certificates and PhD minors throughout the state. Financial incentives will be offered to faculty to move current courses into the online format, and to create new online gerontology courses. These new offerings will permit greater enrollments in all gerontology programs statewide, resulting in a workforce that is better trained and more sensitive to the needs of the largest growing group in the state – those over 65 years. This multi-university collaborative and non-duplicative development creates offering of a 12-credit online graduate program of studies in Autism Spectrum Disorder (ASD) for Arizona’s educators. Course content will be transferable, portable, shareable, and scalable. The proposed courses in ASD are in short supply while the number of students with ASD is growing. The project will collaborate with ASU, NAU, UA, and ADE as well as partners in Kansas, Kentucky, Ohio, and Nebraska. $100,000 $99,494 ABOR Central Office Regents Innovation Fund ARRO Grants Summary 105 This page intentionally left blank. 106 APPENDIX Arizona Board of Regents Policy 3-412 107 Policy Number: 3-412 Policy Revision Dates: 3-412 A. Policy Name: 3/01 Administration of Technology and Research Initiative Fund Page 1 Administration of Technology and Research Initiative Fund Authority As authorized by Proposition 301 approved by the voters in November 2000, the Board shall establish and administer a technology and research initiative fund (TRIF), beginning July 1, 2001. The TRIF will consist of sales tax revenues generated through Proposition 301 and other private or public sources of funding which are received by the Board for purposes which are consistent with the proposed uses described herein. B. Funding Criteria The TRIF will be used to support projects and initiatives that meet one or more of the following criteria: C. 1. Promote university research, development and technology transfer related to the knowledge based global economy; 2. Expand access to baccalaureate or post-baccalaureate education for time-bound and place-bound students; 3. Implement final recommendations from the Governor's Task Force on Higher Education and/or the Arizona Partnership for the New Economy. 4. Develop programs that will prepare students to contribute in high technology industries located in Arizona. Calendar and Guidelines The Board shall establish an annual calendar for the allocation of Proposition 301 funding, including guidelines for the submission and evaluation of proposals, and final decisions by the Board. The calendar will incorporate a process to receive and consider input from the Arizona Partnership for the New Economy (APNE) or a successor agency as may be designated by the Governor. 108 Policy Number: 3-412 Policy Revision Dates: D. Policy Name: 3/01 Administration of Technology and Research Initiative Fund Page 2 Formats for Submission of Proposals Funding requests shall be submitted by the university Presidents, or prepared by the Central Office on behalf of the Board, in a format to be approved by the Executive Director, to include the following elements: A description of the proposed need, purpose and goals for each proposed project or activity, an explanation as to the ways in which the project promotes the purposes of the legislation, and/or an explanation of the relationship of the proposed project or activity to the foundation or clusters which are part of the state's overall economic development program; E. 1. The requested duration of the proposed project or activity; 2. Proposed detailed performance measures, desired outcomes, and proposed methodology for evaluating progress in attaining the desired outcomes; and 3. A detailed budget for each proposed project or activity, including the identification of funds which are intended to be either continuing, multiyear, or one time only. Special Factors The Board shall take into account several additional factors in determining its allocations from this fund: 1. Priority shall be given to proposals that involve collaboration between and among the universities and/or collaboration with private industry or public sector agencies. 2. The Board may authorize awards for an annual or multi-year basis, but in no event will the Board make an award on a multi-year basis without incorporating specific requirements regarding periodic review and assessment or progress in implementing the proposed project or activity and in attaining the desired outcomes. 3. Funding may be used to pay salaries only for persons directly involved in projects or activities funded under this program that would otherwise not be funded through general fund appropriations. 109 Policy Number: 3-412 Policy Revision Dates: 110 Policy Name: 3/01 Administration of Technology and Research Initiative Fund Page 3 4. The Board may allocate up to 20% of annual funding for capital projects relating to new economy initiatives, including the payment of debt service; capital projects must be clearly identified with each university's submission of proposals. 5. The Board will honor the legislative intent as described in Proposition 301 that a portion of the revenues in the fund shall be allocated on an annual basis to pay Certificates of Participation costs for leasepurchase of buildings and associated infrastructure at ASU East and West campuses.