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, 2008, as required by A.R.S. §15-1648(D). September 1, 2008 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, 2008 Governor Janet Napolitano Senate President Tim Bee Speaker of the House of Representatives James Weiers Arizona State Capitol 1700 West Washington Street Phoenix, AZ 85007 Dear Governor Napolitano, President Bee, 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, 2008. 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 use of 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. The FY 2008 TRIF budget supported development of The University of Arizona College of Medicine-Phoenix, in partnership with Arizona State University on the Phoenix Biomedical Campus; the biosciences and biotechnology; information science and technology; access and workforce development, including expansion of the Board Members: President Fred T. Boice, Tucson Robert B. Bulla, Scottsdale Ernest Calderón, Phoenix Dennis DeConcini, Tucson Fred P. DuVal, Phoenix LuAnn H. Leonard, Polacca Anne L. Mariucci, Phoenix Bob J. McLendon, Yuma Governor Janet Napolitano Superintendent of Public Instruction Tom Horne Student Regents: David Martinez III, UA Ross Meyer, ASU Executive Director: Joel Sideman Governor Napolitano, President Bee, Speaker Weiers September 1, 2008 Page Two NAU-Yuma campus, Arizona Universities Network (AZUN), and preparation of math and science teachers and healthcare workers; and optical sciences, water sustainability, and environmental research and development. ABOR funded a significant, new, multi-year TRIF initiative in mid-FY 2008—the Arizona Solar Energy Initiative, a joint effort of Arizona State University and The University of Arizona. The goal is to establish a world-renown, highly interdisciplinary environment and structure that develops and translates research into useful applications in solar renewable energy. Close synergy among academia, industry, power utilities, and policymakers will accelerate the creation and adoption of distributed renewable power integrated into the electric grid and homes. ABOR also funded a new initiative at Northern Arizona University in mid-FY 2008— Promoting Forest Health in Arizona. This project is designed to provide the scientific support and leadership required to help solve the wildfire and forest health problem throughout Arizona. All TRIF-funded 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 We believe that you will find the project brochures included in this report helpful and informative. They provide a snapshot of each TRIF-funded initiative, including performance measures and metrics, financial information, and project management and advisory boards. Please contact me at 602-229-2505 or jsideman@azregents.edu if I can answer any questions or provide additional information. 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, 2008 EXECUTIVE SUMMARY ► Education 2000 (Proposition 301), passed by Arizona voters in November 2000, approved a six-tenths-cent increase in the state sales tax to be dedicated to K-12, the community colleges, and the universities. Pursuant to A.R.S. §§42-5010, 425029, and 42-5155, collection of the tax began on June 1, 2001, and will continue through June 30, 2021. ► 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. As of June 30, 2008, $406.9 million in revenue from Proposition 301 has been received into TRIF. ► In March 2007 the Arizona Board of Regents approved a five-year TRIF budget plan for FY 2007-2011. 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.” ► 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 Project brochures fully describing each project have also been developed and are included in this Annual Report and are also available on the Arizona Board of Regents web site. ► Actual TRIF revenue received during FY 2008 totaled $69.6 million. ► Actual TRIF expenditures in FY 2008 totaled $74.7 million, representing 76.3% of total available revenue (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, 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 2008. i ► TRIF budget guidelines adopted by the Board call for full expenditure of FY 2008 funds by December 31, 2008. 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. 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 Arizona State University at the Polytechnic campus and Arizona State University at the West campus. ► This report reflects compliance with the 20% statutory limitation on use of TRIF funds for capital projects. In FY 2008, 7.7% of TRIF expenditures were for capital projects. ► This FY 2008 TRIF Annual Report is available on the Arizona Board of Regents website at: www.azregents.edu ii ARIZONA BOARD OF REGENTS TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT For the Fiscal Year Ended June 30, 2008 TABLE OF CONTENTS Executive Director’s Letter Executive Summary ..................................................................................................................................... i Table of Contents ........................................................................................................................................ iii Arizona University System Summary FY 2008 Actual / FY 2009 Budget Summary............................................................................................ 1 FY 2008 Actual System Summary by Program Area ............................................................................... 2 FY 2008 Actual / FY 2009 Budget Capital Expenditures .......................................................................... 3 Arizona State University FY 2008 Actual / FY 2009-2011 Budgets Summary................................................................................. 5 FY 2008 Budget / Actual Summary by Program Area .............................................................................. 6 ASU TRIF Program ................................................................................................................................... 7 The Biodesign Institute at Arizona State University................................................................................ 11 Biomedical Informatics ............................................................................................................................ 15 ASU-UA Solar Energy Initiative…… ....................................................................................................... 19 Campus Capital Infrastructure Development (ASU Polytechnic) ........................................................... 23 Classroom Laboratory/Computer Classroom II Building and Central Plant Expansion (ASU West) ............................................................................................................. 24 ASU-UA Joint Biomedical Research Fund ............................................................................................. 25 Planning for the Phoenix Biomedical Campus ....................................................................................... 27 Northern Arizona University FY 2008 Actual / FY 2009-2011 Budgets Summary............................................................................... 29 FY 2008 Actual / FY 2009-2011 Budgets Summary – AZUN ................................................................. 30 FY 2008 Budget / Actual Summary by Program Area ............................................................................ 31 NAU TRIF Program ................................................................................................................................ 33 Access and Workforce Development ..................................................................................................... 37 The Arizona Universities Network (AZUN) ............................................................................................. 41 e-Learning ............................................................................................................................................... 45 Environmental Research, Development, and Education for the New Economy (ERDENE) ......................................................................................................................... 49 Growing Biotechnology Initiative (GBI) ................................................................................................... 53 Healthcare Program Expansion .............................................................................................................. 57 Statewide Expansion .............................................................................................................................. 61 NAU-Yuma Expansion ............................................................................................................................ 65 Promoting Forest Health in Arizona ....................................................................................................... 69 University Initiatives ................................................................................................................................ 73 The University of Arizona FY 2008 Actual / FY 2009-2011 Budgets Summary............................................................................... 77 FY 2008 Budget / Actual Summary by Program Area ............................................................................ 78 UA TRIF Program ................................................................................................................................... 79 Bioresearch Program .............................................................................................................................. 83 Optical Sciences and Technology Program ........................................................................................... 87 Water and Environmental Sustainability Program .................................................................................. 91 Education and Infrastructure Program .................................................................................................... 95 UA-ASU Solar Energy Initiative .............................................................................................................. 99 iii Higher Education in Rural Southern Arizona ........................................................................................ 103 Venture Fund ........................................................................................................................................ 107 ASU-UA Joint Biomedical Research Fund ........................................................................................... 109 Expansion of the Phoenix Biomedical Campus .................................................................................... 111 Planning for the Phoenix Biomedical Campus ..................................................................................... 113 Arizona Board of Regents Central Office FY 2008 Actual / FY 2009-2011 Budgets Summary............................................................................. 115 FY 2008 Budget / Actual Summary by Program Area .......................................................................... 116 Regents Innovation Fund FY 2008 Actual / FY 2009 Budget Summary .............................................. 117 Learner Centered Education Course Redesign Initiative (LCE-CRI) ............................................... 118 The University of Arizona College of Medicine–Phoenix, in partnership with Arizona State University-Planning ............................................................................................... 123 Information Technology Collaborative .............................................................................................. 128 Statewide Transfer Articulation System ........................................................................................... 131 Arizona Water Institute (AWI) ........................................................................................................... 134 Emerging Issues: .............................................................................................................................. 138 Arizona Academic Scholars Program .......................................................................................... 139 Beat the Odds Institute................................................................................................................. 146 Health Research Alliance Arizona (HRAA) Clinical and Translational Science Award (CTSA) Effort ................................................................................................. 151 ASU Decision Theater Support for System Strategic Plan .......................................................... 154 Arizona Algebra II End-of-Course Assessment Pilot ................................................................... 156 Operating ..................................................................................................................................... 158 TRIF Strategic Investments (TSI) ......................................................................................................... 159 Arizona Regents Reach Out (ARRO) Grants ....................................................................................... 160 Appendix Arizona Board of Regents Policy 3-412 ................................................................................................ 167 iv ARIZONA UNIVERSITY SYSTEM TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 - 2011 BUDGETS SUMMARY FY 2007 ACTUAL 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 AZUN Build Out TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL SUMMARY BY PROGRAM AREA Access/Workforce Development/e-Learning Biodesign/Bioresearch/GBI Biomedical and Health Sciences Environmental Sustainability Infrastructure Optical Sciences Regents Innovation Fund EXPENDITURES GRAND TOTAL 1 $ $ $ FY 2008 REVISED BUDGET 32,465,192 71,922,360 104,387,552 $ 28,331,875 7,838,610 23,199,744 1,812,640 61,182,869 $ $ 209,107 8,333,939 3,650,200 4,071,491 16,264,737 FY 2008 ACTUAL 26,338,535 75,548,237 101,886,772 $ 41,543,578 11,470,035 30,052,442 2,743,436 85,809,491 $ $ 4,174,820 7,562,144 3,751,800 15,488,764 27,009,237 70,818,544 97,827,781 29,784,082 8,508,401 25,496,155 1,702,337 65,490,975 FY 2009 REVISED BUDGET $ 1 $ $ 347,337 4,430,248 3,721,800 162,830 500,000 9,162,215 FY 2010 REVISED BUDGET 22,864,097 74,430,148 97,294,245 $ 41,658,369 12,084,309 23,796,533 2,255,596 79,794,807 $ $ 2,274,400 9,830,551 3,748,800 15,853,751 FY 2011 REVISED BUDGET 1,645,686 78,806,364 80,452,050 $ 33,447,339 9,372,136 18,882,913 1,781,671 63,484,059 $ $ 3,394,100 8,913,773 3,747,800 16,055,673 940,239 82,009,679 82,949,918 34,778,047 9,775,927 19,648,497 1,864,359 66,066,831 3,614,900 6,884,418 3,748,600 14,247,918 $ 77,447,606 $ 101,298,255 $ 74,653,190 $ 95,648,558 $ 79,539,732 $ 80,314,749 $ 21,415,578 34,530,399 1,199,372 5,440,997 10,408,324 3,187,607 1,265,329 $ 35,225,269 37,695,018 5,050,628 10,697,524 6,085,392 4,350,138 2,194,286 $ 24,020,841 32,014,985 2,345,392 7,168,372 4,328,140 3,340,957 1,434,503 $ 27,977,324 35,926,523 3,708,436 11,346,761 10,435,092 4,328,463 1,925,959 $ 22,521,352 33,721,957 2,027,921 8,436,055 8,000,535 3,678,161 1,153,750 $ 22,924,204 35,087,813 2,027,921 8,618,613 6,594,472 3,825,288 1,236,438 $ 77,447,606 $ 101,298,255 $ 74,653,190 $ 95,648,558 $ 79,539,732 $ 80,314,749 Includes $1.2 million of FY 2007 TRIF revenue that exceeded the June 30, 2007, revenue accrual and, therefore, was not reported in FY 2007. 1 ARIZONA UNIVERSITY SYSTEM TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 BUDGET / ACTUAL SUMMARY BY PROGRAM AREA FY 2008 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 AZUN Build Out TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL SUMMARY BY PROGRAM AREA Access/Workforce Development/e-Learning Biodesign/Bioresearch/GBI Biomedical and Health Sciences Environmental Sustainability Infrastructure Optical Sciences Regents Innovation Fund EXPENDITURES GRAND TOTAL $ $ $ 26,338,535 75,548,237 101,886,772 41,543,578 11,470,035 30,052,442 2,743,436 85,809,491 FY 2008 ACTUAL $ $ $ 4,174,820 7,562,144 3,751,800 15,488,764 27,009,237 70,818,544 97,827,781 29,784,082 8,508,401 25,496,155 1,702,337 65,490,975 $24.0 Access/ Workforce Development/ e-Learning 32% $32.0 Biodesign/ Bioresearch/GBI 43% 347,337 4,430,248 3,721,800 162,830 500,000 9,162,215 $ 101,298,255 $ 74,653,190 $ 35,225,269 37,695,018 5,050,628 10,697,524 6,085,392 4,350,138 2,194,286 $ 24,020,841 32,014,985 2,345,392 7,168,372 4,328,140 3,340,957 1,434,503 101,298,255 $ $ FY 2008 SYSTEM ACTUAL TRIF EXPENDITURES (in millions) $1.4 Regents Innovation Fund 2% $3.3 Optical Sciences 4% $4.3 Infrastructure 6% $7.2 Environmental Sustainability 10% $2.3 Biomedical and Health Sciences 3% 74,653,190 2 ARIZONA UNIVERSITY SYSTEM TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 BUDGET CAPITAL EXPENDITURES ($ in thousands) TRIF INITIATIVE $3,024 n/a n/a n/a $0 $4 $28 Total Capital Expenditures $4,059 $911 $3,052 Capital as % of Total ASU Expenditures 13.0% 3.7% 9.9% $2,185 $562 $0 Arizona Universities Network (AZUN) $0 $500 $500 Capital Projects $0 -$163 $0 University Initiatives $0 $0 $3,809 $500 $500 $0 Total Capital Expenditures $2,685 $1,399 $4,309 Capital as % of Total NAU Expenditures 10.3% 9.4% 17.6% Bioresearch Program $350 -$316 $0 Water and Environmental Sustainability Program $146 $30 $0 $4,497 $3,416 $4,744 Total Capital Expenditures $4,992 $3,131 $4,744 Capital as % of Total UA Expenditures 13.4% 10.6% 13.9% $0 $0 $0 0.0% 0.0% 0.0% Total System Capital Expenditures $11,737 $5,440 $12,105 20% Statutory Limit on Capital Expenditures $19,509 $14,186 $18,380 12.0% 7.7% 13.2% Solar Energy Access/Workforce Development NAU-Yuma Expansion UA ABOR FY 2009 Budget $907 ASU Poly/West Certificates of Participation (COPs) * NAU FY 2008 Actual $4,059 Biodesign Institute at ASU ASU FY 2008 Revised Budget Education and Infrastructure Program Total Capital Expenditures Capital as % of Total ABOR Expenditures Capital Expenditures as % of Total System Expenditures * Not applicable. TRIF allocations for ASU Polytechnic and ASU West debt service (FY 2008 actual of $3.7 million) 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 2008 ACTUAL / FY 2009 - 2011 BUDGETS SUMMARY FY 2007 ACTUAL REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL SUMMARY BY INITIATIVE Biodesign Institute (BDI/CBPI) Biomedical Informatics (BMI) ASU-UA Joint Biomedical Research Fund Planning for Phoenix Biomedical Campus ASU-UA Solar Energy ASU Polytechnic COPs ASU West COPs EXPENDITURES GRAND TOTAL $ $ $ FY 2008 REVISED BUDGET 11,111,300 27,041,400 38,152,700 $ 13,276,700 3,368,900 11,166,300 27,811,900 $ $ 40,100 777,600 3,650,200 4,467,900 FY 2008 ACTUAL 5,872,900 29,137,200 35,010,100 $ 12,474,700 2,794,200 11,930,100 27,199,000 $ $ 3,179,200 880,100 3,751,800 7,811,100 FY 2009 REVISED BUDGET 6,536,600 27,223,000 33,759,600 $ 11,615,800 3,008,600 8,892,500 23,516,900 $ $ 133,300 777,600 3,721,800 4,632,700 FY 2010 REVISED BUDGET 5,610,100 28,895,000 34,505,100 $ 14,620,700 3,931,800 9,151,800 27,704,300 $ $ 2,274,400 777,600 3,748,800 6,800,800 FY 2011 REVISED BUDGET 30,543,900 30,543,900 $ 11,814,400 3,133,400 7,350,900 22,298,700 $ $ 3,394,100 1,103,300 3,747,800 8,245,200 31,774,900 31,774,900 12,407,900 3,294,900 7,604,300 23,307,100 3,614,900 1,104,300 3,748,600 8,467,800 $ 32,279,800 $ 35,010,100 $ 28,149,600 $ 34,505,100 $ 30,543,900 $ 31,774,900 $ 27,734,500 551,200 210,700 133,200 2,046,100 1,604,100 $ 25,853,400 2,448,800 1,289,300 616,800 1,050,000 2,082,800 1,669,000 $ 22,354,500 446,400 858,100 616,800 152,000 2,082,800 1,639,000 $ 25,721,500 3,005,600 431,200 1,598,000 2,084,200 1,664,600 $ 24,496,100 1,000,000 500,000 800,000 2,083,800 1,664,000 $ 25,726,300 1,000,000 500,000 800,000 2,081,600 1,667,000 $ 32,279,800 $ 35,010,100 $ 28,149,600 $ 34,505,100 $ 30,543,900 $ 31,774,900 5 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 BUDGET / ACTUAL SUMMARY BY PROGRAM AREA FY 2008 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 EXPENDITURES GRAND TOTAL SUMMARY BY INITIATIVE Biodesign Institute (BDI/CBPI) Biomedical Informatics (BMI) ASU-UA Joint Biomedical Research Fund Planning for Phoenix Biomedical Campus ASU-UA Solar Energy ASU Polytechnic COPs ASU West COPs EXPENDITURES GRAND TOTAL $ $ $ FY 2008 ACTUAL 5,872,900 29,137,200 35,010,100 $ 12,474,700 2,794,200 11,930,100 27,199,000 $ $ 3,179,200 880,100 3,751,800 7,811,100 $ $ $ 35,010,100 FY 2008 ASU ACTUAL TRIF EXPENDITURES (in millions) 6,536,600 27,223,000 33,759,600 $22.4 Biodesign Institute (BDI/CBPI) 79% 11,615,800 3,008,600 8,892,500 23,516,900 133,300 777,600 3,721,800 4,632,700 $ 25,853,400 2,448,800 1,289,300 616,800 1,050,000 2,082,800 1,669,000 $ 35,010,100 $ 28,149,600 22,354,500 446,400 858,100 616,800 152,000 2,082,800 1,639,000 $1.6 ASU West COPs 6% $.4 Biomedical Informatics (BMI) 2% $2.1 ASU Polytechnic COPs 7% $.2 ASU-UA Solar Energy 1% $.6 Planning for Phoenix Biomedical Campus 2% $.9 ASU-UA Joint Biomedical Research Fund 3% 28,149,600 6 REPORT FOR THE FISCAL YEAR ENDING JUNE 30, 2008 The Biodesign Institute (top) includes laboratories (below) that are designed to enhance communicati on and collaboration. TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) The Biodesign Institute at Arizona State University (BDI) is ASU’s flagship TRIF initiative focusing on use-inspired, 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). To accelerate the pace of discovery, BDI merges formerly distinct fields of research, including biology, chemistry, physics, medicine, agriculture, environmental science, electronics, materials science, engineering and computing. ASU has also made complementary strategic investments in capacity building project areas such as information tec hnolog y, wireless communications, materials, renewable energy and technology transfer 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 BDI initiatives. The Department of Biomedical Informatics (BMI) was established in 2005 within the School of Computing and Informatics at Arizona State University and began receiving TRIF funds in FY 2007. BMI is playing an important role in expanding the understanding of disease prevention and treatment and improving patient care through realizing the vision of personalized medicine. Their mission is to prepare individuals to make major contributions to the creation and evaluation of computational and informatics tools and their application to biomedical and clinical research, health care practice, public health and education of health professionals and patients. Also beginning in FY 2007, TRIF supports the Joint ASU-UA Biomedical Research Fund in providing combined ASU-UA TRIF resources for collaborative university and other organizational biomedical projects. Beginning in FY 2008, TRIF funded a joint ASU-UA initiative in Solar Energy. ASU established the Solar Power Laboratory (SPL) to manage and direct the Solar Energy Initiative. Its mission is to advance the science, innovation development and education training in solar power utilization to provide abundant, clean, sustainable power to Arizona and society. ASU is unique in that it uses an integrated science-to-commercialization-to-policy structure, which is particularly critical to success in the worldwide renewable energy field. TRIF also provides annual debt service funding for ASU Polytechnic and ASU West infrastructure and campus improvement projects, including multiple building renovations and a laboratory/computer classroom building. ASU TRIF PROGRAM Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals and Results 4 Management 4 Advisory Board 4 Learn More 4 Dr. Rick Shangraw Vice President for Research and Economic Affairs September 1, 2008 7 PAGE 2 C o n s o l i d a t e d P e r f o r m a n c e a n a lys i s PERFORMANCE MEASURES/DELIVERABLES FY02 FY03 FY04 FY05 FY06 FY07 FY07 FY08 FY08 FY09 FY10 FY11 Actual Actual Actual Actual Actual Proj Actual Proj Actual Proj Proj Proj 11.92 8.63 27.09 35.88 47.00 51.60 0.50 0.47 52.57 52.09 0.48 0.57 53.14 56.76 0.52 0.50 57.78 80.88 1.05 10.70 92.63 62.44 0.55 0.52 63.50 68.68 0.57 0.55 69.80 75.55 0.60 0.57 76.73 .05 5 .42 .09 3 .40 1.40 5 1.40 2.53 10 2.53 3.8 7 3.8 97 108 11 3 91 106 17 3 98 128 18 4 166 168 41 4 152 82 22 4 145 156 20 4 158 140 15 7 147 157 20 4 145 83 12 0 148 159 21 4 150 160 21 4 151 162 21 4 24 10 4 4 5 9 15 28 2 2 1 9 8 20 32 N/A N/A N/A 6 2 27 32 22 33 43 33 33 34 Biodesign Institute and Capacity Building Project Investments Return on Investment ($ amounts in millions) Federal and non-federal awards Royalty incom e Foundation funding Return Total Value of new s tartups to ASU New products in m arketplace Value of new products to ASU Technology Transfer New invention dis clos ures New patent applications filed New patents is s ued Total s tart-up com panies licens ing ASU technology Licens es or options s igned (as indication of technology adoption by indus try) New s oftware packages dis tributed Form indus try-univers ity nationwide res earch cons ortium Create res earch road m ap in collaboration with indus try Fund proof of concept grants to faculty Bus ines s plans written Technology trans fer portal inquiries from indus try 9 20 6 In Progress In Progress Completed 6 6 2 6 1 13 Work Force Contributions Pos t-doctoral appointm ents Pos t-doctoral res earchers leaving to enter the workforce Graduate s tudents em ployed Graduate s tudents earning degrees and entering the workforce Undergraduate s tudents involved Increas e in num ber of teachers who graduate with m ath/s cience certification Growth in CS/CSE Graduates 5 29 48 19 120 44 24 106 64 32 121 88 39 103 37 26 113 56 26 324 38 27 114 110 53 404 38 27 115 39 27 117 39 27 118 39 33 84 67 139 63 177 71 160 75 172 95 157 75 173 136 645 76 175 77 177 78 179 17 25 17 37 17 18 18 18 35 18 22 18 19 19 0.80 0.02 0.03 0.85 1.76 0.00 0.00 1.76 2.00 0.02 0.04 2.06 8.13 0.00 0.02 8.15 2.83 0.03 0.04 2.90 4.71 0.03 0.05 4.80 6.10 0.04 0.06 6.20 11 6 5 1 14 7 8 2 16 8 10 3 20 30 15 30 96 9 - 7 (14) 7 -21 10 37 53 30 Partnerships/Collaborations The num ber of Biodes ign Ins titute res earch grants /contracts involving funding from non-governm ent entities The num ber of Biodes ign Ins titute res earch grants /contracts involving s ubcontracts to non-ASU res earchers New res earch collaborations with indus try and national laboratories 9 13 19 14 49 Partially Partially Partially Partially Partially 227 88 6 200 136 16 71 13 Partially Partially X N/A 50 5 0 large 2 small 1 large 3 small 7 large 3 small 3 large 4 small Curriculum Innovations Tier 1 Introduction to Inform ation Technology for all s tudents Com pleted FY 2002 Tier 2 package of 3 cours es Tier 3 concentration for BIS degree BS Applied Com puting (ASU Wes t) Begins Fall 2005 High s chool s tudents com pleting s oftware des ign m aterial Interns hips w/ indus try New cours es introduced (Bio, Info, Nano) Completed Partially Approved 88 32 4 Economic Development Com panies identifying ASU as a factor for relocating or expanding in AZ Biomedical Informatics Return on Investment ($ amounts 2 large in millions) Federal and non-federal awards Royalty incom e Foundation funding Return Total Economic Impact BMI tenure-track faculty hired by the Department [FTE] BMI research faculty hired by the Department [FTE] New invention disclosures and patent applications filed Total start-up companies licensing ASU technology 2 3 2 3 N/A N/A 7 4 3 7 2 3 N/A N/A N/A N/A Work Force Contributions Graduate students earning concentrations in BMI Graduate students earning masters degrees in BMI Graduate students earning doctoral degrees in BMI Undergraduate students earning concentrations in BMI Medical students trained in informatics 10 Begin Fall 07 N/A Begin Fall 07 10 10 13 0 N/A N/A N/A N/A 10 13 5 N/A N/A N/A N/A N/A N/A N/A 24 24 48 20 20 10 20 72 4 2 6 1 8 4 12 2 12 8 14 12 16 15 N/A N/A N/A N/A N/A N/A N/A N/A 4.10 0.10 0.10 4.30 11.20 0.25 0.20 11.65 10.70 0.50 0.30 11.50 N/A N/A N/A N/A 0 0 0 0 6 3 2 0 6 4 3 1 6 5 4 2 N/A 0 1 2 3 N/A N/A N/A 0 0 0 2 0 10 4 2 20 8 4 30 N/A N/A 0 0 2 6 5 6 10 6 1.25 Partnerships/Collaborations Number of parternships with biomedical providers Number of parternships with industry Solar Energy Return on Investment ($ amounts in millions) Federal and non-federal awards Royalty incom e Foundation funding Return Total Technology Transfer New invention dis clos ures New patent applications filed New patents is s ued Total s tart-up com panies licens ing ASU technology Licens es or options s igned (as indication of technology adoption by indus try) Work Force Contributions Pos t-doctoral appointm ents Pos t-doctoral res earchers leaving to enter the workforce Graduate s tudents em ployed Graduate s tudents earning degrees and entering the workforce Undergraduate s tudents involved Joint ASU-UA Biomedical Research Fund Return on Investment ($ amounts Federal and non-federal awards Royalty incom e Foundation funding Return Total in millions) N/A N/A 1.25 0.87 1.25 1.25 N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A N/A 0.00 0.00 1.25 0.87 1.25 1.25 1.25 8 PAGE 3 Explanation of P e r f o r m a n c e a n a lys i s The FY07-FY11 Return on Investment measures include federal and non-federal awards, royalty income and foundation funding. The sum of these three components (the Return Total) is then divided by the related TRIF expenditures for the fiscal year to arrive at the Return on Investment ratios included in the financial table below. For the initial five year TRIF funding period FY02-FY06, the return on investment was 1.7:1. FY02FY06 ROI calculations do not include royalty income and foundation funding. Workforce Contributions measures show the impact of TRIF funding and research participation by undergraduate students, graduate students, and postdoctoral appointments in the Biodesign Institute and Biomedical Informatics. The measures also include the number of graduate students and post-doctoral researchers leaving ASU to enter the workforce. Partnerships/Collaborations are an important component for growth of the Biodesign Institute and BMI. Increasing involvement with non-ASU researchers such as the Mayo Clinic, Barrows Neurological Institute, the Translational Genomics Research Institute and the University of Arizona College of Medicine provides additional opportunities to expand and enhance ASU research in the biomedical areas. 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. The Department of Biomedical Informatics is located in the Arizona Biomedical Collaborative building (left) in downtown Phoenix and on the Tempe campus in the Brickyard building in Downtown Tempe. F i n a n c i a l I N F O R M AT I O N FY02 FY03 FY04 FY05 FY06 FY07 FY08 FY08 FY09 FY10 FY11 Actual Actual Actual Actual Actual Actual Rev Budget Actual Rev Budget Rev Budget Rev Budget ASU CONSOLIDATED TRIF FINANCIAL SCHEDULE Biodesign Institute & Capacity Building Project Investments Revenue Expenditures Return On Investment $ 15,217,000 $ 25,242,500 $ 21,220,700 $ 27,210,100 $ 26,555,300 $ 30,611,700 $ 25,853,400 $ 24,700,800 $ 25,721,500 $ 24,496,100 $ 25,726,300 4,825,100 2.5:1 20,134,300 0.4:1 12,703,500 2.1:1 18,854,800 1.9:1 19,764,100 2.4:1 27,734,500 1.9:1 25,853,400 2.2:1 22,354,500 4.1:1 25,721,500 2.5:1 24,496,100 2.8:1 25,726,300 3.0:1 2,000,000 2,448,800 2,384,600 3,005,600 1,000,000 1,000,000 551,200 3.2:1 2,448,800 0.8:1 446,400 18.3:1 3,005,600 1.0:1 1,000,000 4.8:1 1,000,000 6.2:1 1,050,000 1,050,000 N/A 1,050,000 152,000 N/A 1,598,000 1,598,000 2.7:1 800,000 800,000 14.6:1 800,000 800,000 14.4:1 1,289,300 1,289,300 1,255,600 858,100 1.0:1 431,200 431,200 2.5:1 500,000 500,000 2.5:1 500,000 500,000 2.5:1 Biomedical Informatics Revenue Expenditures Return on Investment Solar Energy Revenue Expenditures Return on Investment ASU-UA Joint Biomedical Research Fund Revenue Expenditures Return on Investment 1,000,000 210,700 N/A N/A 750,000 133,200 N/A 616,800 616,800 N/A 616,800 616,800 N/A Phoenix Biomedical Campus Planning Revenue Expenditures Return on Investment ASU Polytechnic & ASU West Certificates of Participation (COPS) Revenue Expenditures 2,500,000 - 6,100,000 6,128,000 3,572,000 3,356,200 3,815,800 3,708,500 3,781,700 3,790,300 3,791,000 3,650,200 3,751,800 3,751,800 3,751,800 3,721,800 3,748,800 3,748,800 3,747,800 3,747,800 3,748,600 3,748,600 17,717,000 4,825,100 31,342,500 26,262,300 24,792,700 16,059,700 31,025,900 22,563,300 30,337,000 23,554,400 38,152,700 32,279,800 35,010,100 35,010,100 33,759,600 28,149,600 34,505,100 34,505,100 30,543,900 30,543,900 31,774,900 31,774,900 Grand Total Revenue Expenditures 9 PAGE 4 Goals & Results (cont) 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. The Master’s degree program in Biomedical Informatics received 19 applications and admitted 9 students. The PhD degree program had 13 applicants and admitted 7 students, with 2 transfers from the MS program. The ASU-UA Joint Biomedical Research Fund has awarded a total of $2M in collaborative grants for in FY07 and FY08. The Polytechnic campus Student Union (above left) provides a central meeting place for students. TRIF funds have provided for campus infrastructure improvements at both ASUP and ASUW. The West campus Classroom Laboratory / Computer Classroom Building II (above right) provides much needed instructional space, science and computer labs. ASU is among the top three universities in the United States (along with Stanford and Penn State) in the number of Solar America Initiative R&D Grants for photovoltaics module testing, advanced solar cell materials and next generation photovoltaic devices. 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 capacity-building projects for funding. The recently added Biomedical Informatics initiative is part of an emerging scientific discipline that deals with the storage, retrieval, sharing and optimal use of biomedical information, data, and knowledge for problem solving and decision making. The study of biomedical informatics is interdisciplinary, drawing upon many diverse fields including medicine, genetics, biology, engineering, computing and information sciences. Office of the Vice President for Research and Economic Affairs Rick Shangraw: Vice President for Research and Economic Affairs Stephen Goodnick: Associate Vice President for Research Goals: Increase the governmental and private funding of research connected with the Biodesign Institute. Increase the rate of technology transfer and commercial development coming from the bioscience/biotechnology/ biomedicine areas. The Biodesign Institute, the Department of Biomedical Informatics (BMI) and the Solar Energy have established advisory boards that include nationally and internationally renowned industry and academic members. These groups provide an extensive breadth of knowledge, experience and advice to the initiatives. Enhance interdisciplinary collaborative nanotechnology and advanced materials. Learn More research in Focus on use-inspired research that will result in demonstrable improvements in patient care and biomedical research. Train a new generation of physicians and other health care professionals facile in biomedical computing. Indicative Results: FY08 TRIF related Biodesign and Capacity Building Project federal and non-federal awards increased to $81M, a 55% increase over FY07. The Biodesign Institute George Poste: Director, the Biodesign Institute and Del E. Webb Distinguished Professor of Biology A d v i s o ry B o a r d s 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 Department of Biomedical Informatics 480.727.7747 http://bmi.asu.edu 10 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) The Biodesign Institute is ASU’s flagship TRIF initiative. The hundreds of researchers at the Biodesign Institute are driven by a passion to solve some of the world’s most urgent problems affecting human health and the well-being of our planet. Today’s scientific discoveries are increasingly dependent on large, interdisciplinary teams working together to solve well-defined problems. The Biodesign Institute is committed to: improving health care through more personalized diagnostics and treatment; providing renewable sources of energy and cleaning our environment; and outpacing the global threat of infectious disease and enhancing national security. The Institute’s interdisciplinary research engages diverse capabilities including directed self assembly of macromolecules (top) and pulsed laser analysis of bioenergy transfer processes (middle). John Chaput, asst. professor at the Biodesign Institute, has used molecular biology tricks to rapidly evolve proteins that have improved stability when compared to naturally occurring proteins (bottom). REPORT FOR THE FISCAL YEAR ENDING JUNE 30, 2008 Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals and Results 4 Management 4 Advisory Board 4 Learn More 4 Our Global Public Health initiative focuses on outpacing the world’s most virulent infectious diseases through improved vaccines and rapid methods for disease detection. Personalized Medicine identifies the unique signatures to diseases such as cancer to provide early detection and aid the discovery of new preventions and cures. Energy and the Environment efforts secure alternative, bio-inspired sources of energy and bioremediation systems. The Institute is also developing new sensors and monitoring technologies to mitigate possible biological, chemical and radioactive threats and thereby Secure a Safer World. Success hinges on the convergence of new technologies from vastly different fields of science, and translating these discoveries to commercial uses for societal benefit. Dr. George Poste Director, The Biodesign Institute & Del E. Webb Distinguished Professor of Biology Complementary investments in capacity building project areas support research that demonstrates promise for high impact economic development and future integration with the major Biodesign Institute initiatives. September 1, 2008 11 FY02 FY03 91 106 17 3 97 108 11 3 FY04 2 large Approved 88 32 4 Completed Partially 0 large 2 small 227 88 6 Partially 13 10 9 -21 9 7 33 84 39 1 large 3 small 200 136 16 Partially Partially 19 37 67 139 48 19 120 44 24 106 24 10 4 4 5 9 15 98 128 18 4 1.40 5 1.40 27.09 Actual 5 29 9 20 6 In Progress In Progress Completed 6 6 2 6 1 13 .09 3 .40 8.63 Actual .05 5 .42 11.92 Actual 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 Royalty income Foundation funding Return Total Value of new startups to ASU New products in marketplace Value of new products to ASU Federal and non-federal awards Return on Investment ($ amounts in millions) PERFORMANCE MEASURES/DELIVERABLES 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 2.53 10 2.53 35.88 Actual FY06 3 large 4 small 50 5 N/A Partially Partially X 49 30 7 71 160 88 39 103 6 2 27 N/A N/A N/A 32 152 82 22 4 3.8 7 3.8 47.00 Actual FY07 25 35 18 95 157 56 26 324 22 158 140 15 7 52.09 0.48 0.57 53.14 Actual 17 75 172 37 26 113 32 145 156 20 4 51.60 0.50 0.47 52.57 Proj FY07 18 17 75 173 38 27 114 33 147 157 20 4 56.76 0.52 0.50 57.78 Proj FY08 FY08 22 37 136 645 110 53 404 43 145 83 12 0 80.88 1.05 10.70 92.63 Actual 18 17 76 175 38 27 115 33 148 159 21 4 62.44 0.55 0.52 63.50 Proj FY09 19 18 77 177 39 27 117 33 150 160 21 4 68.68 0.57 0.55 69.80 Proj FY10 19 18 78 179 39 27 118 34 151 162 21 4 75.55 0.60 0.57 76.73 Proj FY11 PAGE 2 P e r f o r m a n c e a n a lys i s 12 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 FY07-FY11 Return on Investment measures include federal and non-federal awards, royalty income and foundation funding for the Biodesign Institute and capacity building project investments. The sum of these three components (the Return Total) is then divided by the related TRIF expenditures for the fiscal year to arrive at the Return on Investment ratio included in the financial table below. For the initial five year TRIF funding period FY02-FY06, the cumulative return on investment was 1.7:1. FY02-FY06 ROI calculations do not include royalty income and foundation funding. Partnerships/Collaborations are an important component for growth of the Biodesign Institute and capacity building project initiatives. Increasing involvement with non-government and non-ASU researchers such as the Mayo Clinic, TGen and Barrows Neurological Institute provides additional opportunities to expand and enhance ASU research. 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. Technology Transfer measures provide results for ASU’s technology transfer initiative, Arizona Technology Enterprises (AzTE). Measures for inventions, patents and licensing activity are included. AzTE facilitates the development of ASU’s intellectual property, promotes industrial linkages, drives technology marketing, and accelerates the successful transition of ASU discoveries into the marketplace. Workforce Contributions measures show the impact of TRIF funding and research participation by undergraduate students, graduate students, and postdoctoral appointments within the TRIF projects. The measures also include the number of graduate students and post-doctoral researchers leaving ASU to enter the workforce. Drs. Bruce Rittmann and Wim Vermaas are researching the use of photo synthetic bacteria to produce diesel fuel at the Biodesign Institute. Financials FY02 FY03 FY04 FY05 FY06 FY07 FY08 FY08 Actual Actual Actual Actual Actual Actual Rev Budget Actual FY09 FY10 FY11 Rev Budget Rev Budget Rev Budget REVENUE Carry Forward $ - $ 10,391,900 $ 5,108,200 $ 8,517,200 $ 8,355,300 $ 8,869,900 $ 2,877,200 $ 2,874,000 $ 2,346,300 New TRIF Revenue 15,217,000 TOTAL REVENUE $15,217,000 $25,242,500 $21,220,700 $27,210,100 $26,555,300 $30,611,700 $25,853,400 $24,700,800 $25,721,500 $24,496,100 $25,726,300 14,850,600 16,112,500 18,692,900 18,200,000 21,741,800 22,976,200 21,826,800 23,375,200 24,496,100 25,726,300 OPERATING BUDGET Personal Services $ 1,492,100 $ 5,907,800 $ 7,120,900 $ 9,136,400 $ 9,500,300 $ 13,147,900 $ 10,930,900 $ 10,812,900 $ 12,096,300 $ 10,598,800 $ 11,192,300 Employee Related Expenses 221,700 938,900 1,386,700 2,048,700 2,207,300 3,334,300 2,500,600 2,761,100 3,165,400 2,767,000 All Other Operating Expenses 2,150,700 10,760,500 3,853,700 6,994,000 7,464,300 10,434,600 8,362,600 7,873,700 7,436,000 6,632,900 6,886,300 3,864,500 17,607,200 12,361,300 18,179,100 19,171,900 26,916,800 21,794,100 21,447,700 22,697,700 19,998,700 21,007,100 960,600 2,527,100 342,200 675,700 592,200 Total Operating Budget 2,928,500 CAPITAL BUDGET Building Renovation Debt Service Total Capital Budget TOTAL EXPENDITURES Return On Investment 960,600 2,527,100 342,200 675,700 592,200 40,100 3,179,200 129,200 2,246,200 3,394,100 3,614,900 777,600 880,100 777,600 777,600 1,103,300 1,104,300 817,700 4,059,300 906,800 3,023,800 4,497,400 4,719,200 $4,825,100 $20,134,300 $12,703,500 $18,854,800 $19,764,100 $27,734,500 $25,853,400 $22,354,500 $25,721,500 $24,496,100 $25,726,300 2.5:1 0.4:1 2.1:1 1.9:1 2.4:1 1.9:1 2.2:1 4.1:1 2.5:1 2.8:1 3.0:1 Note: The above amounts include the Biodesign Institute and capacity building project investments. 13 PAGE 4 Goals & Results Management ASU has invested its TRIF allocation in a select number of highly-integrated science and technology projects to ensure the critical mass and focus that will produce results. Because the Biodesign Institute is the cornerstone of this funding, the goals & results below focus on it. However, other capacity building projects, including the Arizona Institute for Nano-Electronics (AINE), the Decision Theater, Wireless Integrated Nano Technology (WINTech) and the Arizona Institute for Renewable Energy (AIRE) are included in the financial and performance metrics. Goals: Increase governmental and private funding of research at the Biodesign Institute by 15 percent annually Office of the Vice President for Research and Economic Affairs Rick Shangraw: Vice President for Research and Economic Affairs Stephen Goodnick: Associate Vice President for Research Increase the rate of technology transfer development from the bioscience / biotechnology / biomedicine areas Provide educational and workforce impact for the State Enhance interdisciplinary collaborative research in nanotechnology and advanced materials Indicative Results: The Biodesign Institute consists of 53 faculty and 144 academic professionals. Total staffing approximates 550. The Biodesign Institute received the platinum certification for “Leadership in Energy and Environmental Design” (LEED) for Building B, which opened in 2006. Dr. Stuart Lindsay, a professor in physics and chemistry and the Edward and Nadine Carson Presidential Chair in Physics, received the “Regents’ Professor” title which is the highest faculty honor awarded at ASU. Dr. Neal Woodbury has been selected as the recipient of the 2008 Gary Krahenbuhl Difference Maker Award from the College of Liberal Arts and Sciences. In FY08, the Biodesign Institute received the Virginia G. Piper Trust award of $10.0 million for the creation of the Center for Personalized Diagnostics. World-renowned scientist Lee Hartwell has been recruited to serve as chair of this effort. In FY08, Dr. Stephen Albert Johnston, Innovations in Medicine, received a $6.9 million Innovator Award from the Department of Defense for a vaccine against breast cancer. In FY08, Drs. Bruce Rittman and Wim Vermaas received a $4.4 million award from Science Foundation Arizona & British Petroleum to develop biodiesel fuel from photosynthetic bacteria. For FY08, the Biodesign Institute posted $40 million in research contracts & grants awards which is $16.4 million or 69% greater than the prior year. The ASU Flexible Display Center successfully completed a midterm review of their performance by the US Army and a review team composed of experts from academic, industry and the Department of Defense, that will extend their partnership with the US Army through the full 10 year period of the agreement. The Biodesign Institute George Poste: Director, the Biodesign Institute and Del E. Webb Distinguished Professor of Biology Biodesign Institute A d v i s o ry B o a r d  = National Academy Member  = Nobel Laureate Chairman:  Dr. Stephen Benkovic, Professor; Eberly Chair in Chemistry — Pennsylvania State University Members:  Dr. Allen J. Bard, Director, Laboratory of Electrochemistry — University of Texas 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. Drew Endy, Assistant Professor, Department of Biological Engineering— Massachusetts Institute of Technology  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 — University of Virginia  Dr. Daniel Nocera, W. M. Keck Professor of Energy & Professor of Chemistry — Massachusetts Institute of Technology  Dr. James Rothman, Professor of Physiology & Cellular Biophysics, Columbia University.  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 14 REPORT FOR THE FISCAL YEAR ENDING JUNE 30, 2008 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) The Department of Biomedical Informatics (BMI) was established in 2005 as a new initiative within the School of Computing and Informatics (SCI) at Arizona State University. The Department is playing an important role in expanding our understanding of disease prevention and treatment and improving patient care through realizing the vision of personalized medicine. The Department of Biomedical Informatics in collaboration with The University of Arizona supports a partnership between academic researchers, clinical practitioners and regional health care providers to advance research and education in the science and practice of biomedical informatics. The Department’s mission is to prepare students to make major contributions for the creation and evaluation of computational and informatics tools and their application to biomedical and clinical research, health care practice, public health and education of health professionals and patients. The application of informatics and computing to bioscience will enable physicians and other h e a l t h c a r e practitioners to replace ‘off-the-shelf’ medical treatments with courses of treatment customized for the individual patient. Contents Introduction 1 Performance Analysis 2 BMI Research Foci 3 Financial Information 3 Goals & Results 4 Management 4 Advisory Board 4 Biomedical informatics is an emerging scientific discipline that deals with the storage, retrieval, sharing and optimal use of biomedical information, data, and knowledge for problem solving and decision making. The study of biomedical informatics is interdisciplinary, drawing upon many diverse fields including medicine, genetics, biology, engineering, computing and information sciences. The Department has begun to offer a wide array of academic degrees and programs in biomedical informatics, including a masters degree program and an informatics immersion and scholarly projects for medical students at the University of Arizona College of Medicine (UACOM) that began in Fall 2007, a doctoral degree program in that will begin in Fall 2008, undergraduate concentrations beginning in Fall 2009, and continuing education courses for health care professionals as scheduled. Dr. Sethuraman Panchanathan Professor and Director, School of Computing and Informatics September 1, 2008 15 PAGE 2 P e r f o r m a n c e a n a lys i s PERFORMANCE MEASURES/IMPACT Return on Investment ($ amounts in millions) FY07 Proj Federal and non-federal awards Royalty income Foundation funding Return Total Economic Impact BMI tenure-track faculty hired by the Department [FTE] BMI research faculty hired by the Department [FTE] New invention disclosures and patent applications filed Total start-up companies licensing ASU technology Students Trained Graduate students earning concentrations in BMI Graduate students earning masters degrees in BMI Graduate students earning doctoral degrees in BMI Undergraduate students earning concentrations in BMI Medical students trained in informatics Partnerships/Collaborations Number of parternships with biomedical providers Number of parternships with industry FY07 Actual 0.80 0.02 0.03 0.85 FY08 Proj 1.76 0.00 0.00 1.76 2 3 2 3 N/A N/A FY08 Actual 2.00 0.02 0.04 2.06 FY09 Proj 8.13 0.00 0.02 8.15 N/A 7 4 3 7 2 3 N/A N/A N/A FY10 Proj 2.83 0.03 0.04 2.90 FY11 Proj 4.71 0.03 0.05 4.80 6.10 0.04 0.06 6.20 11 6 5 1 14 7 8 2 16 8 10 3 20 30 15 30 96 16 15 10 Begin Fall 07 N/A Begin Fall 07 10 10 13 0 N/A N/A N/A N/A 10 13 5 N/A N/A N/A N/A N/A N/A N/A 24 24 48 20 20 10 20 72 4 2 6 1 8 4 12 2 12 8 14 12 The FY07-FY11 Return on Investment measures include federal and non-federal awards, royalty income and foundation funding. The sum of these three components (the Return Total) is divided by TRIF expenditures for the fiscal year to arrive at the Return on Investment ratio included in the financial table on page 3. Discussion of Performance Return on Investment The Department of Biomedical Informatics investigators and affiliated SCI faculty currently hold significant grants from agencies including NIH, NSF, and Banner Health, including a $5 million James S. McDonnell Foundation grant and funding from Science Foundation Arizona. Initial awards total $1.6 million with several in process. BMI faculty and affiliated researchers and have submitted over $23.6 million in proposals in FY 08, and proposal activity will continue to increase as newly recruited senior faculty transfer current projects to ASU, additional research centers are developed (see page 3) and new junior faculty arrive and become research productive. Economic Impact The department will generate research and clinical partnerships that significantly impact our local economy. The department is hiring world -class biomedical informatics researchers and practitioners who are becoming research productive. University-industry collaborations in biomedical, clinical and bioinformatics augment existing strong public health collaborations already in place. The BMI program is positioned to be a top five program and will draw significant external funding. Its collaborations will generate intellectual property and are well positioned to be competitive in an aggressively growing, venture friendly market niche. Students Trained The department offers BMI Masters and Doctor of Philosophy (Fall 2008) degrees, with current . MS students completing their second year. Two students applied and were accepted for transfer into the PhD program. Although first year students have been outstanding, selection criteria continue to rise to establish BMI’s reputation as a high quality research-focused program. Overall, the MS and PhD application acceptance rate in FY 08 was approximately 50% with offers to 9 MS candidates and 7 PhD candidates. In addition, BMI faculty provide immersive informatics instruction for cohorts of UACOM medical students, including 48 FY08 first year students plus 24 second year students. BMI continues development of a highly selective undergraduate biomedical informatics program initially targeting honors students or other highly qualified applicants is progressing with ABOR approval expected in December 2008. Partnerships/Collaborations Partnerships and collaborative relationships will play a critical role in the success of BMI. Collaborative partnerships are in place with the University of Arizona College of Medicine, Banner Health, Barrow Neurological Institute, The Critical Path Institute, Mayo Clinic—Scottsdale, the Translational Genomics Research Institute, the state Medicaid Agency (AHCCCS), and Maricopa Integrated Health Services. These and future partnerships include joint hires, joint research projects, and planned internships and projects for BMI students. 16 PAGE 3 BMI Research Foci Clinical Informatics focuses on maximizing the use BMI is building core research strengths in Bioinformatics, Imaging Informatics, Clinical Informatics, and Public Health Informatics. We are also pursuing crosscutting recruiting in structured knowledge/natural language processing and data mining. of biomedical information in patient care, clinical research and biomedical education. Focuses this year included efforts to develop broad-based approaches to health information exchange, clinical data capture, and clinical decision support. We also participated in developing a proposal for resubmission to NIH for a statewide Clinical and Translational Science Award program grant, which will include a prominent BMI component. Bioinformatics focuses on the development and application of computational tools to analyze biomedical data and study biological systems to advance understanding variations of disease and developing targeted therapies. ASU BMI investigators work on projects such as modeling of gene regulatory networks to decipher cancer pathways. Plans are underway to develop a Center for Bioinformatics that will work closely with TGen, the Biodesign Institute, the new Partnership in Personalized Medicine, and other entities. BMI is recruiting a senior bioinformatics faculty member to lead this effort. Public Health Informatics focuses on applying information science and technology to public health practice and research. The Center for Health Information and Research (CHIR), led by Dr. William G. Johnson, has developed a comprehensive database of health information for the entire population of Arizona that is used extensively in a variety of health services research, health economics, and epidemiological studies. CHIR received the 2008 ASU President’s Gold Medal for Social Embeddedness. Imaging Informatics focuses on the developing information technology and computational tools to manage and analyze medical images to support decision-making and patient care. BMI leverages ASU’s School of Computing and Informatics research strength in Imaging Informatics. Our investigators work on projects such as identifying brain aneurysms using computer tomography angiography. Cognition & Decision Making research focuses on the analysis of medical errors, developing and using clinical guidelines, models for problem solving and decisionmaking and the evaluation of human-computer interactions. Dr. Vimla L. Patel leads the BMI Collaborative for Decision Making and Cognition. Current projects include a $5M James S. McDonnell Foundation grant to develop a cognitive framework for understanding and reducing medical errors in critical care environments. Financials FY07 FY08 FY08 FY09 FY10 FY11 Actual Rev Budget Actual Rev Budget Rev Budget Rev Budget $ 1,452,000 $ 1,938,200 REVENUE Carry Forward 1,000,000 $ 1,448,800 New TRIF Revenue 1,000,000 1,000,000 932,600 1,067,400 1,000,000 1,000,000 TOTAL REVENUE $2,000,000 $2,448,800 $2,384,600 $3,005,600 $1,000,000 $1,000,000 200 721,100 300,300 2,021,900 672,700 672,700 0 79,400 91,800 618,100 205,700 205,700 551,000 1,648,300 54,300 365,600 121,600 121,600 $551,200 $2,448,800 $446,400 $3,005,600 $1,000,000 $1,000,000 OPERATING BUDGET Personal Services Employee Related Expenses Operating Expenses Total Operating Budget CAPITAL BUDGET Building Renovation Debt Service Total Capital Budget TOTAL EXPENDITURES Return On Investment $551,200 3.2:1 $2,448,800 0.8:1 $446,400 18.3:1 $3,005,600 1.0:1 $1,000,000 4.8:1 $1,000,000 6.2:1 17 PAGE 4 Goals & Results Management Goals: The goals of the Department of Biomedical Informatics include: Ira. A. Fulton School of Engineering Deirdre Meldrum, Dean Focusing on use-inspired research that will result in demonstrable improvements in patient care and biomedical research. Becoming a nationally recognized leader in biomedical informatics research. Embracing new types of collaborations with local and regional partners. School of Computing & Informatics Sethuraman Panchanathan, Director Robert Greenes, Ira A. Fulton BMI Chair and Professor of Biomedical Informatics Leveraging research expertise in Arizona. A d v i s o ry B o a r d Providing an educational experience that is truly interdisciplinary by bridging traditional boundaries in scientific and medical education.  = American College of Medical Informatics Fellow  = BMI Department Chair Training a new generation of physicians and other health care professionals facile in biomedical computing. Serving as a resource to Arizona’s biomedical/bioscience community and public health agencies. Contributing to the economic development and well-being of the community by supporting and advancing bioscience and biomedical research in Arizona. Results and Updates: Robert A. Greenes, MD, PhD, Ira A. Fulton Chair and Professor of Biomedical Informatics, from Harvard University joined the Department in September, 2007. Douglas Fridsma, MD, PhD, from University of Pittsburgh was hired as Associate Professor. Assistant Professor Shu-Chuan Chen, a joint appointee, is returning to Mathematics at 100%. The department is negotiating with a senior candidate to participate in Center for Health Information and Research management, and another to lead Department bioinformatics initiatives. Other assistant/associate-level candidates are under active consideration in knowledge management, robotics, imaging informatics, clinical research informatics, and telemedicine/decision support. The Master’s degree program in Biomedical Informatics received 19 applications and admitted 9 students. The PhD degree program had 13 applicants and admitted 7 students, with 2 transfers from the MS program. Three new BMI courses were offered in the Spring and three new courses are slated for offering in Fall 2008. In our first year, faculty have secured a $5,000.000 grant from the James S. McDonnell Foundation for Dr. Vimla Patel’s Collaborative for Decision Making and Cognition, an Interagency Service Agreement for $500,000 from AHCCCS, the state Medicaid agency, $490,000 from Science Foundation Arizona, and approximately $3,000,000 in research agreements with data partners for, Dr. William Johnson’s Center for Health Information and Research, as well as several smaller awards. BMI partnering relationships were extensive during FY08, reflected in proposals for the NIH Clinical and Translational Science Award (CTSA) program with the University of Arizona and other partners, joint projects with AHCCCS, Banner, Mayo, Maricopa Integrated Health Services, and TGen, and several proposals involving other ASU departments and schools. Chairman:  J. Robert Beck, MD — VP Information Technology and CIO, Fox Chase Cancer Center Members:  Suzanne Bakken, RN, DNSc — Professor of Biomedical Informatics and Alumni Professor of the School of Nursing, Columbia University Michael Bittner, PhD — Director and Sr. Investigator, Translational Genomics Research Institute  Christopher G. Chute, MD, DrPh — Professor and Chair of Biomedical Informatics, Mayo Clinic Medical School  Joyce A. Mitchell, PhD — Professor and Chair, Department of Medical Informatics, University of Utah  Mark A. Musen, MD, PhD — Head, Stanford Medical Informatics and Professor of Medicine, Stanford University George Poste, DVM, PhD, DSc — Director, The Biodesign Institute at Arizona State University and Dell E. Webb Distinguished Professor of Biology Kristen B. Rosati, JD — Partner, Coppersmith Gordon Schermer Owens & Nelson, PLC  Edward H. Shortliffe, MD, PhD — Dean, University of Arizona College of Medicine Gustavo Stolovitzky, PhD — Manager, IBM Functional Genomics and Systems Biology Group, IBM Research, TJ Watson Research Center Building Locations The BMI Department is located in the Arizona Biomedical Collaborative Building 1 (ABC1) in downtown Phoenix and in the Brickyard Building on the Tempe campus of ASU. Learn More Department of Biomedical Informatics Telephone: 480.727.7747 Web: http://bmi.asu.edu Email: bmi@asu.edu 18 REPORT FOR THE FISCAL YEAR ENDING JUNE 30, 2008 High Resolution Solar Spectrum PTL Solar Panels Solana APS Plant Advances in solar power technologies for the electric grid, distributed generation will provide the major source of renewable energy in Arizona reducing our reliance on fossil fuels. New space and military applications will enhance National Security. Industry and consumers will benefit by reduced electricity costs and a cleaner, sust ainable environment. TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) The Solar Power Laboratory (SPL) was established in December 2007 as a new initiative within ASU’s Global Institute of Sustainability (GIOS) to manage and direct the ABOR Solar Energy Initiative. Its mission is to advance the science, innovation development and educational training in Solar power utilization to provide abundant, clean, sustainable power to Arizona and Society. ASU is unique in that it adopts an integrated science-to-commercialization-to-policy structure which is particularly critical to success in the worldwide Renewable Energy field. The Solar Energy Initiative at Arizona State University and the University of Arizona was started with Technology and Research Initiative Funds. The joint business plan activities are in three major interrelated thrusts: (1) research and development, (2) economic and policy analysis, and (3) education, outreach and marketing. These thrusts will accelerate the growth of solar energy in the State of Arizona and stimulate the economic growth that will result. Research and Development will proceed along the lines recommended by the Arizona Solar Electric Roadmap at both universities. ASU has over 20 years of experience in Solar Energy and has achieved either leadership or uniqueness in certain solar areas. Solar Energy related researchers and Centers will be merged into an interdisciplinary umbrella organization that spans the Colleges of Engineering, Liberal Arts and Sciences and Design. Its home in GIOS provides strong, functional links to Departments in Business and Energy Policy. Innovation, Solar industry and Power Utility relations will be a major focus of SPL and support economic development efforts to locate companies to AZ. ASU - UA ARIZONA SOLAR ENERGY INITIATIVE Contents Introduction 1 Performance Analysis 2 Solar Research Foci 3 Financial Information 3 Goals & Results 4 Management 4 Advisory Board 4 Dr. George Maracas, Professor and COO Solar Power Laboratory September 1, 2008 19 PAGE 2 P e r f o r m a n c e a n a lys i s FY08 PERFORMANCE MEASURES/IMPACT (1) Proj FY08 FY09 FY10 FY11 Actual Proj Proj Proj Return on Investment ($ amounts in millions) Federal and non-federal awards Royalty income Foundation funding Return Total N/A N/A N/A N/A N/A N/A N/A N/A 4.10 0.10 0.10 4.30 11.20 0.25 0.20 11.65 10.70 0.50 0.30 11.50 N/A N/A N/A N/A 0 0 0 0 6 3 2 0 6 4 3 1 6 5 4 2 N/A 0 1 2 3 N/A N/A N/A 0 0 0 2 0 10 4 2 20 8 4 30 N/A N/A 0 0 2 6 5 6 10 6 Technology Transfer 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) Work Force Contributions 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 (1) Due to the late (Spring 2008) FY startup of the Solar initiative, FY08 projected and actual measures w ere not available. Discussion of Performance Return on Investment The Solar Power Labora- Students Trained SPL extends the newly formed tory is well-poised to begin generating substantial re- education program which offers Associate of Applied search dollars from federal and non-federal awards. Science, certificate, BS and MS Programs with SPL investigators and affiliated faculty currently hold Alternative Energy Technology Concentration. The more than 10 grants totaling nearly $2 million and number of these technical degree programs will have submitted 10 proposals totaling over $36 mil- increase to generate employees for the growing local lion. SPL proposal activity will continue to increase as solar industry. New interdisciplinary curricula in the newly recruited senior faculty, new research centers School of Sustainability will offer academic and industry and new junior faculty arrive and become research students’ new degree options to educate the next- productive. generation workforce and prepare citizens for the renewable energy society. Economic Impact Arizona’s abundance of sunlight available for power generation is a draw to Partnerships/Collaborations The University of the solar industry. ASU’s strengths in solar energy Arizona and Arizona State University are partners in provide workforce, innovations and research for this the industry. SPL’s consolidated solar activities will help emphasis on use-inspired research has resulted in win major research grants and increase industry part- many nerships. Successes will grow new Centers and at- collaborations. The planned Industrial Collaboration tract world class faculty. Arizona will establish an inter- Laboratory (ICL) will increase industry partnerships, nationally competitive solar industry which will expand provide the tax base and create new jobs. The impact to soci- research ety will be to accelerate the adoption of sustainable, technology transfer. Solar Energy Initiative. industry, academic student/industry will produce ASU’s and internships. intellectual long-standing government Solar property power and renewable energy technologies. 20 PAGE 3 SPL Research Foci For four decades, ASU has been a leader in research related to virtually all aspects of solar energy including creating new materials and devices for generating electricity from sunlight, improved methods of photovoltaics testing, design of advanced power systems, and laying the groundwork for sound energy policies. Approximately twenty faculty and their research groups are involved in the Solar Power effort with plans to include others. Photovoltaics (PV) work at ASU has achieved prominence in solar cell testing, advanced materials and devices and nanotechnology for PV applications. Emphasis will be on high efficiency and low cost solar cells that have over 50% efficiency. New low cost semiconductor thin film solar cells have strong industrial interest as being the next generation following current silicon. Research includes thin films on inexpensive substrates (i.e. glass) and organic thin films on low cost flexible substrates. Solar cell testing ASU Polytechnic’s Photovoltaics Test Laboratory (PTL) is one of three facilities in the world currently certified for solar cell module performance qualification and reliability. PTL is currently working with nearly all major solar module manufacturers worldwide, as well as the National Renewable Energy Laboratory (NREL). Bio-inspired solar energy research seeks power generation solutions using biological processes that nature has developed over 3.4 billion years of evolution. Approaches include light conversion by molecules that imitate the photosynthesis process and use of microorganisms as power generating fuel cells. Advanced Power Systems is collaborative research through the Power Systems Energy Research Center (PSERC), a 12 university consortium with over 40 utility and power industry members. Research spans individual design of high efficiency DCAC converters for solar cell modules, design and analysis of ‘mini-grids’ for medium scale distributed power systems and analysis of the integration of intermittent sources (e.g. solar) into the existing power grid. Building Integrated Photovoltaics is in collaboration with the ASU College of Design. Work focuses on incorporating existing solar modules into commercial and residential structures and adopting solar components as building materials. Integrating PV into the design of a building so that solar components also serve as structural or design elements will improve building aesthetics, system reliability and market acceptance of solar energy technology. Financials FY08 FY08 FY09 FY10 FY11 Rev Budget Actual Rev Budget Rev Budget Rev Budget REVENUE Carry Forward $ 898,000 New TRIF Revenue 1,050,000 1,050,000 700,000 800,000 800,000 TOTAL REVENUE $1,050,000 $1,050,000 $1,598,000 $800,000 $800,000 200,000 250,000 250,000 250,000 50,000 70,000 70,000 70,000 OPERATING BUDGET Personal Services Employee Related Expenses Operating Expenses Total Operating Budget 800,000 147,900 1,249,800 480,000 480,000 $1,050,000 $147,900 $1,569,800 $800,000 $800,000 CAPITAL BUDGET Building Renovation 4,100 28,200 4,100 28,200 Debt Service Total Capital Budget TOTAL EXPENDITURES Return On Investment $1,050,000 N/A $152,000 N/A $1,598,000 2.7:1 $800,000 14.6:1 $800,000 14.4:1 21 PAGE 4 Goals & Results Management Goals: The goals of the Solar Power Laboratory include: Ira. A. Fulton School of Engineering Deirdre Meldrum, Professor and Dean Establish ASU as the pre-eminent academic solar energy research, development and training program in the United States, and one of the top such programs in the world. Accelerate ASU's participation in the US renewable energy research enterprise by constructing a major Solar Sustainability Program. Discover, innovate and develop to market, evolutionary and revolutionary science and technology in solar energy generation and utilization. Establish cross-disciplinary educational programs in solar renewable energy to prepare citizens for the renewable energy society. Develop the workforce of the future to meet the explosive demand for trained personnel and research staff in solar energy development and deployment Be a key component in attaining commercial global competitiveness of solar energy industry in Arizona Serve as a resource to the solar industry and government agencies. Results and Updates: The Solar Power Laboratory within the Global Institute of Sustainability (GIOS) was established in a collaboration partnering between GIOS and the Ira A. Fulton School of Engineering in affiliation with the College of Liberal Arts and Science and College of Design. College of Liberal Arts and Sciences Quentin Wheeler - Professor, Vice President and Dean College of Design Wellington Reiter, Professor and Dean ASU Polytechnic Lakshmi Munukutla, Dep’t Chair Electronics Systems, A d v i s o ry B o a r d Chairman: TBD Members: Bud Annan, Former Director at the Department of Energy Barry Broome, President and Chief Executive Officer, Greater Phoenix Economic Council Dr. David Eaglesham, Chief Technology Officer, First Solar, Inc. Dr. Henk de Waard, President, NanoVoltaix Inc. Edward Fox – Vice President and Chief Sustainability Officer, Arizona Public Service Building Locations SPL headquarters is located in the GIOS building on the ASU Tempe Campus. Laboratories are in Engineering Research Center, Goldwater, Physical Sciences and Chemistry buildings. Three prominent scientists and engineers have been hired in Electrical Engineering and School of Sustainability to help lead SPL’s research endeavors. Professors Christiana Honsberg, Stuart Bowden and George Maracas have been hired for the venture. Honsberg will be Chief Scientist, Bowden will be Industrial Liaison, and Maracas will be Chief Operating Officer. Faculty in SPL have secured $2 million in funding. ASU is among the top three universities in the United States (along with Stanford and Penn State) in the number of Solar America Initiative R&D Grants for photovoltaics module testing, advanced solar cell materials and next generation photovoltaic devices. ASU Polytechnic recently received a $1M NSF grant to establish the Consortium for Alternative and Renewable Energy Technologies Advanced Technological Education. ATE will develop curricula for the high tech work force and let students pursue Certificate Degrees in Alternative Energy including Solar. Learn More Solar Power Laboratory Telephone: 480.965-2852 Web: http://solar.asu.edu Email: SolarASU@asu.edu 22 ARIZONA STATE UNIVERSITY POLYTECHNIC TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009-11 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 COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ FY 2007 FY 2008 FY 2008 FY 2009 FY 2010 FY 2011 ACTUAL REV BUDGET ACTUAL REV BUDGET BUDGET BUDGET (5,000) 2,128,000 2,123,000 $ $ 76,900 2,005,900 2,082,800 $ $ 76,900 2,005,900 2,082,800 $ $ 2,084,200 2,084,200 $ $ 2,083,800 2,083,800 $ $ 2,081,600 2,081,600 - - - - - - 2,046,100 2,046,100 2,082,800 2,082,800 2,082,800 2,082,800 2,084,200 2,084,200 2,083,800 2,083,800 2,081,600 2,081,600 2,046,100 $ 2,082,800 $ 2,082,800 $ 2,084,200 $ 2,083,800 $ 2,081,600 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. 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. 23 ARIZONA STATE UNIVERSITY WEST TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009-11 BUDGET Classroom Laboratory / Computer Classroom II Building and Central Plant Expansion REVENUE Carryforward TRIF Revenue TOTAL REVENUE $ $ EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ FY 2007 FY 2008 FY 2008 FY 2009 FY 2010 FY 2011 ACTUAL REV BUDGET ACTUAL REV BUDGET BUDGET BUDGET (3,600) 1,671,600 1,668,000 $ $ 63,900 1,605,100 1,669,000 $ $ 63,900 1,605,100 1,669,000 $ $ 30,000 1,634,600 1,664,600 $ 1,664,000 1,664,000 $ 1,667,000 1,667,000 - - - - - - 1,604,100 1,604,100 1,669,000 1,669,000 1,639,000 1,639,000 1,664,600 1,664,600 1,664,000 1,664,000 1,667,000 1,667,000 1,604,100 $ 1,669,000 $ 1,639,000 $ 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. 24 Arizona State University FY 2007-2011 ASU-UA Joint Biomedical Research Fund September 1, 2008 Arizona State University and The University of Arizona jointly administer the TRIF-funded Collaborative on Biomedical Research Grant Program with awards totaling $2,000,000 ($1,000,000 each) in FY07 and $1,000,000 ($500,000 each) per year in FY08-FY11. These projects are collaborative in nature and may also include other biomedically oriented organizations such as the Translational Genomics Research Institute (T-Gen), the Critical Path Institute (C-Path), the many health-related institutions in the state, and Northern Arizona University. This investment will accelerate development of the research enterprise associated with The University of Arizona College of Medicine-Phoenix in partnership with Arizona State University and the state-wide development of biomedical research. The funds are targeted to support joint research ventures among the institutions, and translating from basic to clinical research. The main objectives of the program are to provide seed funding to: 1. Support the development and strengthening of collaborative research ties between ASU and UA as a basis for enhancement of state-wide interaction among research institutions; and, 2. Support the development and submission of proposals for external funding of research from competitive granting agencies (e.g., NSF, NIH, DOE, etc.) and industry. To administer these funds, ASU and UA have established a coordinating committee to set the scientific and technical criteria for selection and to make the awards. The coordinating committee includes the Presidents and Vice Presidents for Research from ASU and UA. Review of proposals includes input from faculty at these universities. While some projects in the first year were selected specifically to enhance collaborative ties between ASU’s Biodesign Institute and UA’s BIO5 Institute, as a general practice, projects are solicited through a broad Request for Proposals, and are selected according to the following criteria: Scientific excellence Collaboration of faculty members from more than one institution as principal investigators Likelihood of success in securing long-term, significant federal or other (e.g., Science Foundation Arizona) funding Clear demonstration of the value-added significance of the inter-institutional collaboration required Potential for significant impact on our understanding of basic biomedical mechanisms or translation of research results to the clinical setting Potential for impact on overall State-wide strength in the biomedical sciences. 25 Thus far the program has awarded $1,999,977 in FY07 and $1,000,000 in FY08 for the following projects: Title FY07 FY08 Proteomic and Metabolomic Biomarker Investigation of Type 2 Diabetes Geno- and Immuno-Signatures in Acute Asthma Development of a Rapid Immunosignature Diagnostic Test for Valley Fever Molecular Therapeutics Collaborative Program between BIO5 and BioDesign Institutes Rapid Biomarker Analysis for Emergency Medicine A Network-Science Approach to Normal- Tissue Organization and Carcinogenesis $250,000 $157,141 $141,562 $196,682 $180,468 A Digital Media Based Biofeedback System for Neural Rehabilitation Evaluating the Role of VDR Polymorphisms and B-Catenin Signaling in Colorectal Adenoma Risk Selective Modulation of Basal Ganglia Excitability: A Potential Gene Therapy for Parkinson’s Disease Novel Superluminescent LEDs and Ultrahigh-resolution for OCT for Medical Imaging Applications $147,309 $184,057 $65,414 $81,642 $151,685 $178,441 $143,889 $178,710 $297,977 $320,000 $325,000 We plan to postpone the next round of awards until FY10 and use unspent funds from FY 08 and/or revenue from FY09 ($500,000 from each university) to offset the current TRIF revenue shortfall, using the funds to cover existing TRIF programs. We propose to announce consideration of proposals for FY10 in the spring of 2009. We would fund those new projects for two years, which would take us through the current five-year funding cycle. CONTACT: Richard Shangraw (480) 965-1225 Vice President for Research and Economic Affairs Rick.Shangraw@asu.edu Leslie P. Tolbert (520) 621-3513 Vice President for Research, Graduate Studies, and Economic Development tolbert@email.arizona.edu 26 PLANNING FOR PHOENIX BIOMEDICAL CAMPUS (PBC) Status Report on Activities Related to the Health Sciences Education Building (HSEB), Arizona Biomedical Collaborative II (ABC II), and the Phoenix Biomedical Campus Comprehensive Development Plan September 1, 2008 1. Project Status: Planning for the Phoenix Biomedical Campus (PBC) projects has progressed considerably over the past year, with the guidance and participation of representatives from The University of Arizona, Arizona State University, Northern Arizona University, the Arizona Board of Regents, the City of Phoenix, and other stakeholders. Following is a summary of related events and accomplishments: In June 2008, the Arizona Legislature approved the Stimulus Plan for Economic and Education Development (SPEED) initiative that will provide $470 million of funding for the PBC projects. This funding will allow both the HSEB and ABC II projects to move forward; CO Architects, in association with Ayers Saint Gross, the master planners for the site, were selected as the Design Consultants for the PBC project. They are working with the Executive Committee and user groups to refine the project space program that will form the basis of the project design; The selection process has begun for the Construction Manager at Risk (CMR) for the project. We hope to have the CMR under contract and ready to work with the design team by early September; The University of Arizona (UA) will have primary responsibility for project administration with regard to project contracting and financial management. The UA will provide project management support as needed to Dave Harris, who will lead the overall on-site PBC project management team; and, The PBC projects were included in the June, 2008 Capital Development Plans of each of the three universities and were approved by the Board of Regents. We expect SPEED project funding approval at a July 24th Board meeting. 27 2. Proposed Schedule: Programming for the project is scheduled for completion in the fall of 2008. Schematic design will begin as the programming is being completed. We will expedite the remainder of the design process to allow construction to begin as soon as possible. The construction documents may be prepared in as many as six separate bid packages to allow for the most effective fast-tracking process. We currently anticipate that construction will begin as soon as July 2009, with required site preparation and utilities work. Considering the size and complexity of these projects, we anticipate that construction of the HSEB building will be completed in the spring of 2012, and that the ABC II building will be completed in the spring of 2013. We will review and confirm these dates with the construction manager upon his selection. 3. Issues to be Resolved: Role of private sector in developing the PBC campus; Funding or financing of the needed parking structure; and, Funding, financing and cash flow strategies for the 20% portion of this SPEED funded project that the universities must provide. 4. Use of $1.5 Million in ABOR Planning Funds: ASU and UA were each allocated $750,000 in TRIF planning funds by the Arizona Board of Regents. In FY 2007, $344,300 was expended. In FY 2008, $972,700 was spent on construction manager fees, consultant fees, and project management fees. We will utilize the remaining $183,000 of TRIF funding for the next steps of programming and design of the MEB and ABC II projects until the SPEED project funding becomes available. 28 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 - 2011 BUDGETS SUMMARY FY 2007 ACTUAL 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 AZUN Build Out TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL SUMMARY BY INITIATIVE Access and Workforce Development Growing Biotechnology e-Learning ERDENE (Environmental) Capital Projects University Initiatives AZUN Healthcare Program Expansion NAU Statewide Expansion NAU-Yuma Expansion Promoting Forest Health in Arizona EXPENDITURES GRAND TOTAL $ $ $ FY 2008 REVISED BUDGET 13,264,390 14,612,967 27,877,357 $ 6,413,799 1,820,063 3,558,889 11,792,751 $ $ 3,091,339 4,071,491 7,162,830 FY 2008 ACTUAL 10,186,141 16,033,055 26,219,196 $ 9,411,705 2,778,820 11,093,247 23,283,772 $ $ 500,000 2,185,423 2,685,423 FY 2009 REVISED BUDGET 10,185,986 15,159,929 25,345,915 $ 6,369,877 1,983,389 5,178,742 13,532,008 $ $ 500,000 236,179 162,830 500,000 1,399,009 $ 18,955,581 $ 25,969,195 $ $ 5,556,985 917,127 2,041,506 1,967,092 2,824,999 2,904,282 2,320,413 32,165 391,012 - $ 5,923,899 881,211 2,122,232 2,533,668 1,552,549 5,198,656 3,182,990 2,823,990 1,750,000 - $ $ 18,955,581 $ 25,969,195 $ 14,931,017 3,977,466 659,596 1,939,262 1,790,130 (162,821) 309,530 2,732,934 965,052 2,219,868 500,000 14,931,017 FY 2010 REVISED BUDGET 10,414,898 15,647,265 26,062,163 $ 9,317,888 2,677,289 8,140,205 20,135,382 $ $ 4,309,016 4,309,016 FY 2011 REVISED BUDGET 1,617,765 16,614,155 18,231,920 $ 7,192,408 1,851,248 5,470,325 14,513,981 $ $ 2,805,621 2,805,621 912,318 17,394,322 18,306,640 7,258,796 1,874,706 6,037,969 15,171,471 500,000 500,000 $ 24,444,398 $ 17,319,602 $ 15,671,471 $ 3,175,627 604,298 1,905,436 2,723,528 6,416,175 2,956,235 3,154,182 1,658,917 1,500,000 350,000 $ 3,000,000 913,880 1,810,000 1,872,092 3,932,142 3,079,047 1,156,220 1,156,221 400,000 $ 3,000,000 913,880 1,810,000 1,872,092 2,133,760 3,201,859 1,169,940 1,169,940 400,000 $ 24,444,398 $ 17,319,602 $ 15,671,471 Note: Above numbers include revenue and expenditures for Arizona Universities Network (AZUN) detailed on the following page. 29 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 - 2011 BUDGETS ARIZONA UNIVERSITIES NETWORK (AZUN) SUMMARY FY 2007 ACTUAL 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 AZUN Build Out TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ $ $ FY 2008 REVISED BUDGET 3,115,813 2,142,705 5,258,518 $ 721,011 236,840 1,362,562 2,320,413 $ $ $ 2,320,413 FY 2008 ACTUAL 2,938,106 2,260,550 5,198,656 $ 1,611,583 520,000 3,067,073 5,198,656 $ $ $ 5,198,656 FY 2009 REVISED BUDGET 2,938,105 2,108,279 5,046,384 $ 888,896 306,859 1,037,179 2,232,934 $ $ 500,000 500,000 $ 2,732,934 FY 2010 REVISED BUDGET 2,313,450 2,260,550 4,574,000 $ 977,785 337,550 1,140,900 2,456,235 $ $ 500,000 500,000 $ 2,956,235 FY 2011 REVISED BUDGET 1,617,765 2,373,600 3,991,365 $ 1,026,674 354,428 1,197,945 2,579,047 $ $ 500,000 500,000 $ 3,079,047 912,318 2,492,280 3,404,598 1,075,564 371,305 1,254,990 2,701,859 500,000 500,000 $ 3,201,859 Note: AZUN FY 2010 and FY 2011 budgets assume renewal of MOU between ABOR and NAU. Current MOU was extended to 6/30/09. 30 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 BUDGET / ACTUAL SUMMARY BY PROGRAM AREA FY 2008 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 AZUN Build Out TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL SUMMARY BY INITIATIVE Access and Workforce Development Growing Biotechnology e-Learning ERDENE (Environmental) Capital Projects University Initiatives AZUN Healthcare Program Expansion NAU Statewide Expansion NAU-Yuma Expansion Promoting Forest Health in Arizona EXPENDITURES GRAND TOTAL $ $ 10,186,141 16,033,055 26,219,196 FY 2008 ACTUAL $ $ FY 2008 NAU ACTUAL TRIF EXPENDITURES (in millions) 10,185,986 15,159,929 25,345,915 $4.0 Access/ Workforce Development 27% $.5 NAU-Yuma Expansion 3% $ 9,411,705 2,778,820 11,093,247 23,283,772 $ 500,000 2,185,423 2,685,423 $2.2 NAU Statewide Expansion 15% 500,000 236,179 162,830 500,000 1,399,009 $ 25,969,195 $ $ 5,923,899 881,211 2,122,232 2,533,668 1,552,549 5,198,656 3,182,990 2,823,990 1,750,000 - $ 25,969,195 $ $ 6,369,877 1,983,389 5,178,742 13,532,008 $.7 Growing Biotechnology 4% 14,931,017 3,977,466 659,596 1,939,262 1,790,130 (162,821) 309,530 2,732,934 965,052 2,219,868 500,000 - $1.0 Healthcare Program Expansion 7% $2.7 AZUN 18% $1.9 e-Learning 13% $.3 University Initiatives 2% -$.2 Capital Projects -1% $1.8 ERDENE (Environmental) 12% 14,931,017 31 This page intentionally left blank. 32 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) M A R G O R P TR I F September 1, 2008 The Northern Arizona University TRIF Program In the first 7 years of TRIF funding, from FY 2002 to FY 2008, Northern Arizona University made significant strides in all areas funded. Two of our eight projects, Growing Biotechnology Infrastructure (GBI) and Education and Research for the New Economy (ERDENE), together represent progress in environmental issues, policies, and biotechnology all of which are areas of concern to Arizona’s policymakers and citizens. Another three projects, Access & Workforce Development (AWD), e-Learning , and the Arizona Universities Network (AZUN) together have resulted in substantial expansion in educational opportunities to the state’s time and place bound students, involvement of Flagstaff based faculty in web course development, and improvement in technology enhanced instruction. AZUN, from its statewide perspective, particularly combines areas of strength within each of the state universities to make available unique programs that represent multi-university efforts and capabilities. The remaining projects, University Initiatives, Healthcare Program Expansion, Statewide Expansion, NAU-Yuma Expansion and Building Healthy Forest have allowed (or will allow) Northern Arizona University to invest in facilities and projects related that would not have otherwise been possible. ABOR and the university can take pride in the contributions TRIF funds have made to the High Country Conference Center, the Applied Research and Development building and the Laboratory Science building. Using TRIF funds, NAU is fulfilling its promise to expand health care programming and the university has been able to create an anchor facility in North Phoenix as well as investing to help NAU-Yuma achieve its considerable progress. The ERDENE faculty member and Health Forest initiative in FY09; we will report on it next year. NAU students working onbegins the Wind Turbines More detail about all of these initiatives can be found in the individual project brochures. NAU is grateful to the Arizona Board of Regents for its support, and will continue to work hard to make the best use possible of TRIF funds allocated to it. Contents Introduction 1 Performance Analysis 2 –3 Financial Information 3 Advisory Boards 4 Learn More 4 Dr. John Haeger, President Northern Arizona University 33 0 Products Generated and in the Marketplace 205 312 105 104 106 85 58 23 Undergrad Students Trained Continuing Education Professionals Government/University collaborations Industry/Miscellaneous collaborations 266 182 19 120 44 11 Business/Non-Profit Managers Number Degree/Certificate Programs 51 19 21 5 30 17 2 0 Number K-12 Partners (Schools/Districts) Higher Education Partnerships Private Sector Partnerships Technology Transfer Courses/Modules Sold/Brokered 9,476 117 7,110 Partnerships 150 Number New Faculty Participating Web Development Student Enrollments In Online Courses 125 Web-IT/Enhanced Courses Developed Student Course Involvement Enhanced Courses Developed 101 542 250 Nurses/Health Professionals New Students Served New Teachers 63 112 1361 106 162 7 49 2 197 21 3.72 : 1 $11.00 98 142 142 93 60 21 8 1 373 28 5.71 : 1 $15.20 84 154 274 135 67 10 13 3 166 26 3.28 : 1 $8.90 143 86 42 119 58 5 5 2 286 21 5.1 : 1 $14.90 41 84 132 135 82 3 5 3 180 5 2.91 : 1 $8.10 86 143 142 175 137 10 4 5 42 3137 (inc. web accesses) 6.1:1 $15.20 47 92 142 160 85 5 7 4 190 10 3.19 : 1 $8.90 48 99 152 175 93 7 10 5 210 15 3.63 : 1 $10.10 54 108 162 195 100 11 12 6 220 20 3.91 : 1 $10.90 0 42 20 119 10,133 155 121 37 303 414 807 0 77 20 127 12,381 126 141 41 442 464 679 0 80 22 127 14116 241 22 41 528 540 773 0 80 22 127 20,526 325 80 41 673 721 804 1 54 20 125 12,750 225 95 42 400 500 700 0 85 23 126 31,568 210 67 41 725 640 1019 1 57 20 130 13,000 250 90 44 450 500 750 1 60 20 135 13,500 300 85 46 450 600 750 1 62 20 140 14,000 350 80 48 500 600 750 FY 02 Act FY 03 Act FY 04 Act FY 05 Act FY 06 Act FY 07 Act FY 08 Proj FY08 Act FY 09 Proj FY 10 Proj FY 11 Proj 149 116 Graduate/Postdoc Students Trained Access and Workforce Development / e-Learning Specific Collabora- 3 3 Workforce Contribu- 2 2 Patent Applications/Patents Generated Business Expansions/Spinoffs/Creations 180 133 Presentations/Publications 5 19 14 4.56 : 1 4.20 : 1 ROI ratio Conferences Sponsored $11.30 FY 02 Act FY 03 Act FY 04 Act FY 05 Act FY 06 Act FY 07 Act FY 08 Proj FY08 Act FY 09 Proj FY 10 Proj FY 11 Proj $7.90 GBI / ERDENE Leveraged dollars ($M) Economic Development Tech Transfer Publications/Conferences ROI PAGE 2 TRIF PROGRAM P e r f o r m a n c e a na lys i s 34 TRIF PROGRAM PAGE 3 P e r f o r m a n c e a na lys i s In addition to the Initiative successes described on page 1 and 2 of this brochure, Northern Arizona University takes particular pride in its achievements in the area of health care education. Funds from TRIF combined with funds allocated by the Arizona Legislature are allowing NAU to make significant strides in expanding health care education opportunities to citizens throughout Arizona and preparation for offering programs currently not available at any Arizona public institution . Please see our “Expanding Health Care” brochure for more information. F i na n c i a l i n f o r m at i o n FY 2 0 0 2 FY 2 0 0 6 F Y 2 0 10 F Y 2 0 11 734,337 $ 497,302 $ 830,232 $ 1,008,633 $ 915,238 $ 828,184 $ - $ - New TRIF Revenue $ 2,417,502 $ 2,674,544 $ 2,498,906 $ 2,745,600 $ 2,888,423 $ 2,790,824 $ 2,362,672 $ 2,499,642 $ 2,785,972 $ 2,785,972 $ 2 ,4 17,50 2 $3 ,2 13 ,3 0 0 $ 3 ,718 ,6 55 $ 3 ,79 9 ,4 57 Per sonal Ser vi ces $ 1,278,627 $ 1,637,980 $ 2,132,447 $ 2,335,730 $ 1,770,725 $ 2,418,854 $ 1,645,776 $ 2,399,700 $ 2,390,343 $ 2,390,343 Other Oper ating $ 600,119 $ 840,983 $ 827,573 $ 368,742 $ 939,297 $ 465,365 $ 803,950 $ 928,126 $ 395,629 $ ######## $3 ,2 4 2 ,9 0 2 395,629 $ - $ 2,164,798 $ 2,711,282 $ 2,263,265 $ 2,776,537 $ 1,680,175 $ 1,050,709 $ 1,894,656 $ - $ - $ 5,135,129 $ 4,878,299 $ 5,662,818 $ 4,927,273 $ 5,183,586 $ 6,969,025 $ 6,760,675 $ 6,995,423 $ 7,115,621 $ 7,242,430 $7,0 4 3 ,0 9 7 2,326,003 $ Other Oper ating $ 644,328 $ Debt Ser vice $ - $ $2 ,9 70 ,3 3 1 $8 ,3 74 ,10 0 3,412,531 $ 919,284 - $ $ $ 7,9 6 0 ,12 3 $8 ,6 4 9 ,2 0 0 $2 ,4 4 9 ,72 6 $ 7,8 11,3 8 4 4,150,863 $ 4,703,165 $ 4,378,113 $ 1,836,743 $ 942,881 $ 2,129,085 $ 823,835 $ 976,785 $ 859,342 $ 2,071,491 $ 561,830 $ 3,809,016 $ - $ - $ $6 ,2 79 ,9 4 8 $ $5,9 0 6 ,0 2 0 $ 4 ,9 54 ,117 206,744 $ 664,608 $ 1,674,629 $ 3,054,612 $ 5,159,771 New TRIF Revenue $ 298,203 $ 590,810 $ 938,517 $ 2,552,961 $ 1,764,371 $ 690,001 $ $ 79 7,554 $ 1,6 0 3 ,12 5 $ 4 ,2 2 7,59 0 $ 4 ,8 18 ,9 8 3 Per sonal Ser vi ces $ 36,174 $ 72,666 $ $ $ Oper ating $ 55,285 $ 60,280 $ 17,761 $ 62,927 266,070 188,050 $ $ 7,59 8 ,4 9 1 $ 5,9 16 ,72 8 $ $ 5,8 4 9 ,772 $ 1,3 2 1,8 10 364,523 483,950 $ 90,491 $ 2,383,059 $ 1,281,002 $ 1,769,237 - $ - $ - $ - $ - $ - $ - $ 3,091,339 $ - $ - $ - $ 2,000,000 $ $ ( 3 4 0 ,78 8 ) $0 $ 14 6 ,70 9 $ $ 2 ,6 0 7,159 $ 1,6 2 6 ,52 1 - $ 2,299,998 $ 3,897,233 $ 2,703,507 $ 2,299,998 $ 2,020,412 $ 1,991,194 $ 2,109,592 $ $2 ,2 9 9 ,9 9 8 - Oper ating $0 - $ $ $0 $ 5,72 9 ,2 8 1 (162,821) $ $ $0 $0 $2 ,13 3 ,76 0 $ $ T OT A L E X P $ 1,6 2 6 ,52 1 (681,250) $ $0 2,133,760 $ - $0 $ 345,519 - $0 $ 2 ,6 0 7,159 - 1,626,521 $ $ Per sonal Ser vi ces $ $ 224,100 $ 4 54 ,12 0 1,432,058 $7,2 4 2 ,4 3 0 - $ - $ 2,432,430 219,039 - 8 0 ,6 8 8 661,108 2,305,621 $ $ 7,115,6 2 1 4,148,892 $ $ $ $ 153,992 $ 13 2 ,9 4 6 661,108 $ Conf er ence Center $ $ 1,175,101 $ $ $7,2 4 2 ,4 3 0 4,148,892 340,462 Debt Ser vice 9 1,4 59 1,201,319 4,221,721 $ $8 ,8 9 0 ,0 79 120,491 $ $2 ,78 5,9 72 $ 7,115,6 2 1 $ $ $ $8 ,8 9 0 ,0 79 4,011,236 - T OT A L E X P $2 ,78 5,9 72 $ $ $ 2 9 8 ,2 0 3 $3 ,3 2 7,8 2 6 4,069,277 Car r y For war d T OT A L E X P $ 4 ,3 3 1,8 15 $ 7,19 0 ,53 8 $ 2 ,8 8 4 ,2 19 $2 ,78 5,9 72 New TRIF Revenue $ $ 2 ,710 ,0 2 2 $2 ,78 5,9 72 Car r yf or war d Per sonal Ser vi ces $ 2 ,70 4 ,4 72 $3 ,3 2 7,8 2 6 $2 ,4 78 ,9 6 3 $ 5,13 5,12 9 ######## $ 3 ,2 77,9 10 $ 1,8 78 ,74 6 T OT A L E X P T OT A L R E V $0 $ 4 ,3 2 0 ,4 10 $ 5,8 8 8 ,4 2 7 $ 4 ,8 13 ,0 9 9 $ - $ 914,583 $ 2,534,321 $ $ 423,177 $ 2,270,337 $ 2,064,178 $ 4 2 3 ,177 $ 3 ,18 4 ,9 2 0 $4 ,59 8 ,4 9 9 $2 ,13 3 ,76 0 $ - 2,312,441 $ 214,600 2,339,880 $ 2 ,52 7,0 4 1 # # # # # # # # $ $ 432,875 2,099,241 $ 427,800 1,907,005 $ 2 ,52 7,0 4 1 # # # # # # # # Car r y For war d $ - $ 1,500,000 $ - $ - New TRIF Revenue $ 2,000,000 $ 350,000 $ 400,000 $ 400,000 $0 T OT A L R E V $0 $0 $0 $ - $ - $2 ,0 0 0 ,0 0 0 $ 1,8 50 ,0 0 0 $ 4 0 0 ,0 0 0 $ 4 0 0 ,0 0 0 Per sonal Ser vi ces $ - $ 1,300,000 $ 350,000 $ 350,000 Oper ating $ - $ 550,000 $ 50,000 $ 50,000 Debt Svc/ Bui ld-out $ 500,000 $ - $ - $ - T OT A L E X P 0 0 0 0 Car r y For war d New TRIF Revenue T OT A L R E V N/A N/A Per sonal Ser vi ces All Other Oper ating $ - $ - $3 ,115,8 13 T OT A L E X P N/ A N/ A $ 50 0 ,0 0 0 $2 ,53 4 ,6 52 $1,228,962 $2,034,906 $2,142,705 $2,108,279 $2,260,550 $2,844,521 $4,569,558 $5,258,518 $5,046,384 $2,983 $344,531 $957,851 $1,195,755 $306,886 $1,109,214 $1,362,562 $3 0 9 ,8 6 9 $1,4 53 ,74 5 $2 ,3 2 0 ,4 13 $2 ,9 3 8 ,10 5 $ 1,8 50 ,0 0 0 $1,6 15,559 Debt Svc AZUN FY 2 0 0 9 $ New TRIF Revenue T SI - Y U M A / HEA L T HY F OR EST S FY 2 0 0 8 538,756 Car r y For war d HEA LT HC A R E AND ST A T EW ID E EX PA N SION FY 2 0 0 7 $ T OT A L R E V U N IV ER SIT Y IN IT IA T IV ES AND C A PIT A L FY 2 0 0 5 - T OT A L R E V A W D / ELEA R N IN G FY 2 0 0 4 $ T OT A L R E V GB I/ ER D EN E FY 2 0 0 3 Car r yf or war d $2 ,3 13 ,4 50 $ 4 0 0 ,0 0 0 $ 4 0 0 ,0 0 0 $ 1,6 17,76 5 $ 9 12 ,3 18 $ 2,373,600 $ 2,492,280 $4,574,000 $ 3,991,365 $ 3,404,598 $1,315,335 $ 1,381,102 $ 1,446,869 $1,037,179 $1,140,900 $ 1,197,945 $ 1,254,990 $500,000 $500,000 $ 500,000 $2 ,73 2 ,9 3 4 $2 ,9 56 ,2 3 5 $ $3 ,0 79 ,0 4 7 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. 500,000 $ 3 ,2 0 1,8 59 35 PAGE 4 TRIF PROGRAM ADVISORY BOARDS NAU TRIF OVERSIGHT BOARD NAU TRIF OVERSIGHT BOARD MEMBERS: All Northern Arizona University TRIF Initiatives are principally overseen by Dr. John D. Haeger, assisted by Provost Liz Grobsmith and Dr. Laura Huenneke, Vice President for Research. Appropriate Vice Presidents and Deans also participate in specific project management. Saundra Johnson, Chair, Flinn Foundation Paul Begovac, W.L. GORE & Associates, Inc; Julie Pastrick, Flagstaff Chamber of Commerce; Gary Smith, Unisource; Carl Taylor, Coconino County Board of Supervisors; Nat White, Lowell Observatory. GROWING BIOTECHNOLOGY (GBI) E-LEARNING ENVIRONMENTAL RESEARCH, DEVELOPMENT, AND EDUCATION FOR THE NEW ECONOMY (ERDENE) ACCESS and WORKFORCE DEVELOPMENT (AWD) GBI Director Dr. Tim Porter and Director of Strategic Environmental Initiatives Shelley Silbert report Dr. Laura Huenneke, Vice President for Research. Research Initiatives within GBI and ERDENE report to their respective directors. GBI and ERDENE Advisory Board Members: AWD is managed by Fred Hurst, Vice President for Extended Programs and Dean of Distance Learning, who reports to President John Haeger. e-Learning is managed by Director Don Carter, who reports to the Vice Provost for Undergraduate Studies, Dr. Karen Pugliesi. The Vice Provost for Undergraduate Studies reports to Provost Liz Grobsmith. e-Learning and AWD Advisory Board Members: Thomas Whitham, Regents’ Professor, NAU, Department of Biological Sciences Tacy Ashby, Ed.D., Superintendent, Cave Creek Unified School District; Barry Gold, Gordon & Betty Moore Foundation Jane Bristol, Director of Economic Development, City of Prescott; David LaRoche, U.S. Environmental Protection Agency Edwin Lewis, NAU Professor of Chemistry and Biochemistry Michael Bittner, Translational Genomics Research Institute Mary O’Connell, New Mexico State University, Plant & Environmental Science Will Ott and Tom Rainey, Northern Arizona Technology and Business Incubator Gypsy Denzine, Ph.D., Associate Dean, NAU College of Education; Pete Hatfield, C.M.E., Honeywell, Global Repair Development Engineering; Mike Kearns, Chancellor-Elect, Mohave Community College Colleen McGregor, B.S., Designation Specialist & NAU Student, Health Systems Development, AZ Department of Health Services; Mike Paredes, Greater Yuma Economic Council; Raul Sandoval, Ed.D., Executive Assistant to the President, South Mountain Community College LEARN MORE ⇒ To learn more about TRIF at NAU, contact Dr. Laura Huenneke , Vice President for Research at Laura.Huenneke@nau.edu or (928) 523-4340 ⇒ To find out more about GBI, contact Dr. Tim Porter in the Department of Physics, at Tim.Porter@nau.edu or 928-523-2540. ⇒ To find out more about ERDENE, contact Shelley Silbert in the office of the Vice President for Research, at Shelley.Silbert@nau.edu or (928) 523-4340 ⇒ To find out more about E-Learning, contact Director Don Carter at Don.Carter@nau.edu, 928-523-1605. or go to www.nau.edu/elearning ⇒ To find out more about AWD or Statewide Expansion, contact Fred Hurst, Vice President for Extended Programs and Dean of Distance Learning, at Fred.Hurst@nau.edu, or call 928-523-6598, or go to www.distance.nau.edu ⇒ To find out more about Health Care Program expansion, contact Dr. M.J. McMahon, Executive Vice President, at mj.mcmahon@nau.edu, (928) 523-6515, or http://jan.ucc.nau.edu/~hp-p/. ⇒ To find out more about general TRIF projects and research at NAU, go to www.research.nau.edu. 36 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) t n e m p o l e Deve c r o f k r Wo & s s e c Ac September 1, 2008 Access & Workforce Development The Northern Arizona University’s 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 (TRIF). The Northern Arizona University’s ELearning and Access and Workforce Development Initiatives are closely aligned, sharing staffing and leveraging limited funding to accomplish goals. Similarly, the NAU efforts are in complete synergy with the efforts of the Arizona Universities Network (AZUN). 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, dental hygienists 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 entry-level 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 state. Contents Introduction 1 Performance Analysis: 2 Financial Information 3 Infrastructure 4 Advisory Board 4 Learn More 4 Fred Hurst Vice President, Extended Programs Dean, Distance Learning 37 120 20 44 Nurses/Health Professionals Engineers with Advanced Training Business/Non-Profit Managers Yes Yes 75 Statewide Access (Rural and Urban) (Yes/No) Regional/National Global Access Revised Courses 3 30 2 Tri-University (ASU,NAU,U of A) K-12 (Schools/Districts) Business/Government 21 51 3 16 72 Yes Yes 19 182 Rprtd in AZUN 266 542 5 42 119 3 17 105 Yes Yes 37 303 N/A 414 807 0 75 127 3 17 153 Yes Yes 41 442 N/A 464 679 0 80 127 3 19 176 Yes Yes 41 528 N/A 540 773 0 19 3 127 80 3 120 50 206 40 17 Yes Yes Yes Yes 41 657 400 40 N/A 585 400 N/A 910 0 700 1 53 125 3 17 40 Yes Yes 42 400 N/A 500 700 1 85 126 3 20 225 Yes Yes 41 725 N/A 640 1,019 0 56 130 3 17 40 Yes Yes 44 450 N/A 500 750 1 59 135 3 17 40 Yes Yes 46 450 N/A 600 750 1 Proposed metrics are based on the expectation of continuous growth in initiative funding over the period FY 2007- FY 2011. 2 FY08 Actuals reported using new reporting procedure for improved tracking of students eligible to enroll by program. 1 61 140 3 17 40 Yes Yes 48 500 N/A 600 750 1 FY07 Actuals adjusted using new reporting procedure developed during FY08 for improved tracking of students eligible to enroll by program. 14 Community College Partnerships/Collaborations 11 Degree/Certificate Programs Curriculum Innovations 250 0 FY 02 Act FY 03 Act FY 04 Act FY 05 Act FY 06 Act FY 07 Proj FY 07 Act 1 FY 08 Proj FY 08 Act 2 FY 09 Proj FY 10 Proj FY 11 Proj New Teachers Potential New Students Served Workforce Contributions Courses/Modules Sold/Brokered Technology Transfer and Industry Collaborations METRICS ($ in millions) PAGE 2 ACCESS & WORKFORCE DEVELOPMENT P e r f o r m a n c e A n a lys i s 38 ACCESS / WORKFORCE DEVELOPMENT PAGE 3 P e r f o r m a n c e a n a lys i s Work Force Contributions: FY 2008 Objectives and Accomplishments The objectives for FY 2008 included consolidation of growth and expansion of existing programs, development or conversion of courses and 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. Enrollments for FY 2008 continued to grow with the on-going expansion of hybrid programs, establishment of new cohorts, sustained growth in web enrollments, strategic marketing and recruitment efforts, and the expansion to new locations and partnerships all contributing factors in the success of these programs. Programs to prepare and serve new teachers grew by almost 12% in FY 2008. The largest growth area was in the master’s program in Educational Technology, which grew to 288 admitted students from 237 in FY 2007. The B.S. in Elementary Education was another strong program with a surprising 52% growth over the prior year. Funding for full time anchor faculty members has proven to be an effective model for growth with quality. Two Health Professions programs were able to consolidate their growth from the prior year, maintaining steady enrollment in both the Dental Hygiene degree completion program and the BAS/BS Health Science/Community Health program. New program options provided expanded choices for professionals in allied health fields wishing to complete the baccalaureate. Nursing programs, including the RN to BSN, the Accelerated BSN, and the online Master of Science in Nursing grew by a total of 26%. Aggressive marketing contributed to a high of 189 admitted students to the online RN to BSN program, over 20% growth in one year. Programs serving business and the public sector grew by more than 10% in FY 2008. The Bachelor of Applied Science in Computer Technology admitted 43 students, an increase of almost 60% in one year. The Master of Administration program grew to 418 active students, after record growth the prior year. Both online and face to face models are used to deliver these popular programs for early and mid-career working Arizonans. 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 Actual FY 2007 Actual FY 2008 Rev Budget FY 2008 Actual FY 2009 Rev Budget FY 2010 Rev Budget FY 2011 Rev Budget $1,490,660 $2,074,249 $1,604,439 $1,579,182 $1,223,971 $738,477 $738,477 $1,799,220 $0 $0 REVENUE Carry Forward New TRIF Revenue $3,780,774 $3,716,346 $3,958,296 $2,767,273 $2,911,225 $5,071,491 $5,185,423 $5,038,209 $5,185,423 $5,305,621 $5,432,430 TOTAL REVENUE $3,780,774 $5,207,006 $6,032,545 $4,371,712 $4,490,407 $6,295,462 $5,923,900 $5,776,686 $6,984,643 $5,305,621 $5,432,430 $1,758,482 $2,309,262 $2,758,700 $2,485,637 $2,453,797 $2,973,241 $2,878,625 $2,840,013 $2,716,427 $2,540,800 $2,540,800 $531,632 $823,495 $1,636,784 $644,637 $812,639 $512,253 $859,851 $575,623 $459,200 $459,200 $459,200 $0 $0 $0 $0 $0 $2,071,491 $2,185,423 $561,830 $3,809,016 $2,305,621 $2,432,430 $2,290,114 $3,132,757 $4,395,484 $3,130,274 $3,266,436 $5,556,985 $5,923,899 $3,977,466 $6,984,643 $5,305,621 $5,432,430 OPERATING BUDGET Personal Services Operating Debt Svcs/Proj Buildout* TOTAL EXPENDITURES 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 completion of the new Health Professions/Nursing Building 39 PAGE 4 ACCESS & WORKFORCE DEVELOPMENT P e r f o r m a n c e a n a lys i s Infrastructure: FY 2008 Objectives and Accomplishments The following objectives were met in FY 2008: Student Services – Arizona students can visit any of the 14 urban and 24 rural locations for assistance with admission, enrollment, payment, and advising. The Distance Learning Service Center is available to support students who are unable to visit a campus or attend classes on-line. The Service Center is available by tollfree phone, email, and online chat. Ninety percent of individuals who rate their experience using the live chat service report a satisfaction level of 4 or 5 on a 5 point scale, 5 being excellent. Technical Infrastructure – High-bandwidth Internet-access demand is satisfied by 200 Mbps leased connections. Internet 2 connectivity supports the national exchange of instructional and research data. Modem pools are maintained in rural areas to serve students, with the pools moving to new locations as expansion/relocation activity occurred. The Distance Learning network infrastructure and server hardware were upgraded to include increased data storage capacity in the storage area network (SAN); higher capacity data backup library; improved firewall security configuration; and new servers for the DL web sites. New sites were located or enhanced in Phoenix in the North Valley, East Valley, and South Mountain, and around the state at Verde Valley, Globe, Keams Canyon, and Kayenta. Faculty Support – 225 web courses have been developed since FY 2003 with TRIF funding. Over 900 Web classes were taught during Academic Year 2007-2008 using a combination of TRIF and Distance Learning funding with approximately 20% growth in Web enrollments. Marketing – A comprehensive advertising campaign themed, “Everywhere you want to learn,” continued to aggressively promote TRIF programs. Print, radio, web advertising, and high-quality glossy brochures were designed and produced for targeted markets. A DV I S O RY B OA R D The A/WD Advisory Board provides guidance on program development and student support needs. For the Fall 2008 meeting, topics will include: The process for developing and delivering new programs including needs assessment, modes of delivery and how best to reach diverse student populations. Incentives to pursue advanced education Matching employer needs for professional and workforce development with student demand Employer perspectives on non-credit continuing professional development AWD Advisory Board Members Tacy Ashby, Ed.D. Superintendent Cave Creek Unified School District Jane Bristol Director of Economic Development City of Prescott Gypsy Denzine, Ph.D. Associate Dean NAU College of Education Barbara Feth, P.T. Western Region Director and Associate National Director of Therapy Operations HealthSouth Pete Hatfield, C.M.E. Project Engineer Honeywell Global Repair Development Engineering Michael Kearns,M.B.A., D.D.S. Chancellor Mohave Community College Mike Paredes Greater Yuma Economic Council Raul Sandoval, Ed.D. Associate Dean, Enrollment Services South Mountain Community College 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, close coordination with each program is facilitated by Distance Learning. Fiscal management is centrally controlled to maximize the efficacy of the limited budget. Academic departments are reimbursed for expenses. Integration with ongoing operations helps ensure sustainability. LEARN MORE Lt. Jeri Williams, M.Ed. Commander City of Phoenix Police Department 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/ 40 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) The Arizona Universities Network (AZUN), is an innovative, cooperative agreement between Arizona State University, Northern Arizona University, and the University of Arizona. AZUN gives students access, in one location, to many courses and programs offered online by the three universities, either individually or cooperatively. The multi-university initiative combines the strengths of each institution to bring unique educational opportunities to Arizona students in varying circumstances: place or time-bound students, those living in rural areas of the state, or students unable to reside on a university campus because of cost, family obligations, disabilities or other challenges. Students can earn an undergraduate degree, graduate degree, or professional certificate in a wide variety of fields. AZUN also serves those who desire classes for personal or professional enrichment. AZUN students receive personalized service through a central service center and coordinators located on each university campus. Students are counseled by advisors via phone or e-mail, pay only one tuition bill, and have automatic transfer of credits once a course is completed. The innovative AZUN structure created by the Arizona Board of Regents, provides the capability for meeting both present needs and future demand as more students across the state realize the benefits of further education and seek access to their public universities. 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 September 1, 2008 Contents Introduction 1 Performance Analysis 2 Financial Information 3 Infrastructure 4 Management 4 Learn More 4 Fred Hurst Vice President for Extended Programs and Dean for Distance Learning Northern Arizona University 41 - Fire Science Baccalaureate Completers Law Enforcement Baccalaureate Completers 5 New/Revised Courses 250 TBD 91% 8,908 56 1,860 49,523 91% 370 0 127 19 16 yes 9(3) - 9,000 58 2,200 58,500 - 400 1 127 19 30 - 9(4) 2 Mean = 7.2 15,416 89 2,362 64,939 91% 379 0 127 19 13 yes 9(3) 16 In Progress 50 50 92 209 FY 07 Act 60 200 FY 07 Proj - 9,450 61 2,310 61,425 - 420 1 127 19 30 - 9(4) 53 53 63 315 FY 08 Proj Currently recruiting faculty, building courses and structuring program for online delivery. Reflects NAU completion rates only; information unavailable for ASU and UA. Survey tool being revised to evaluate cross-registration student experience and effectiveness of marketing and recruiting efforts 2 3 4 Funding for three-year grant for Nursing education ended in FY2007; support of Nursing programs continues through the TRIF Allied Health initiative. TBD TBD TBD 2 In Progress2 In Progress 42 40 FY 06 Act 1 - TBD New Enrollments System-Wide Satisfaction and Quality Measures (Experience Rated as Good or Very Good) 48 1,800 1,170 49 44,000 40,615 45 TBD 400 1 30 15 40 - 9(4) 50 50 80 100 FY 06 Proj TBD 331 0 127 17 30 yes 9(6) - - 73 11 FY 05 Act Electronically-Delivered Programs System-Wide Web Course Completion Rates3 TBD Enrollment System-Wide in Electronically-Delivered Courses (on and off campus) 4 42,799 Electronically-Delivered Courses (on and off campus) 1,715 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 Nurses1 Curriculum Innovations 20 FY 05 Proj Teachers METRICS ($ in millions) Workforce Contributions Potential New Students Served 9,923 - In Progress4 64 2,426 64,496 - 441 1 127 19 30 - 9(4) 55 55 66 331 FY 09 Proj 15,593 113 3,610 80,892 91% 527 0 126 20 9 yes 8 153 32 - 293 FY 08 Act PAGE 2 ARIZONA UNIVERSITIES NETWORK—AZUN P e r f o r m a n c e a n a lys i s 42 ARIZONA UNIVERSITIES NETWORK—AZUN PAGE 3 P e r f o r m a n c e a n a lys i s Program Development: FY 2008 Objectives and Accomplishments Teacher Education: The Early Childhood Education and the B.S. Elementary Teacher Education programs are now active and growing. A combined enrollment of 64 students are being served in the Elementary Education program through the South Mountain, North Valley, East Valley and Tucson site offices. The Early Childhood program graduated its first cohort at the Paradise Valley location this year and will move to Scottsdale to start a second cohort in Fall 2008. A new faculty member was hired and will start a cohort program in Elementary/Special Education in partnership with Flowing Wells Unified School District (Tucson) in Fall 2008. Law Enforcement: The Bachelor of Applied Science (B.A.S) in Administration of Justice emphasis has admitted 62 students with 47 students in the East Valley. In Tucson, students have the option of the Justice Systems Policy & Planning emphasis or the B.I.S in Criminal Justice, and 65 students have been admitted to date. Instruction for these programs also supports the well-established law enforcement program in Yuma. Fire Science: The B.A.S. Fire Science emphasis will transition to a new Emergency Services Administration emphasis this year to meet both firefighter needs and broader emergency responder requirements. Courses within both programs are being developed for online delivery, and 32 students have been admitted to the Fire Science program so far this year. Speech/Language Pathology Assistant Certificate: A full time faculty member based at the North Valley office teaches online courses for the certificate program which serves both the education and nursing sectors across the state. Currently 37 students are active in the program. Nursing: The B.S. Nursing program based at Tucson Medical Center will be relocated to the Tucson North facility this year. The new facility will allow for consolidation of all faculty, video conference classrooms, computer labs, and clinical laboratory equipment to one location. Legislative Allied Health funding provides additional support for this program. Leadership and Public Management: A Master of Administration cohort program serves business and public sector professionals with advanced training in leadership and public management. The program is available in both a fully online format, and in locally offered cohorts in Maricopa and Pima counties. F i na n c i a l FY 2005 Actual REVENUE Carry Forward New TRIF Revenue TOTAL REVENUE OPERATING BUDGET Personal Services Operating Debt Service AZUN Build Out I N F O R M AT I O N FY 2006 Actual FY 2007 Actual FY 2008 Revised Budget FY 2008 Actual FY 2009 Budget FY 2010 Revised FY 2011 Revised $1,615,559 $2,534,652 $3,115,813 $2,938,106 $2,938,105 $ 2,313,450 $ 1,617,765 $ 912,318 $1,228,962 $2,034,906 $2,142,705 $2,260,550 $2,108,279 $ 2,260,550 $ 2,373,600 $ 2,492,280 $2,844,521 $4,569,558 $5,258,518 $5,198,656 $5,046,384 $ 4,574,000 $ 3,991,365 $ 3,404,598 $ 2,983 $306,886 $ 344,531 $ 957,851 $2,131,583 $1,195,755 $ 1,315,335 $ $1,109,214 $1,362,562 $3,067,073 $1,037,179 1,381,102 $ 1,446,869 $1,140,900 $1,197,945 $1,254,990 $500,000 500000 $500,000 $500,000 TOTAL EXPENDITURES $ 309,869 $1,453,745 $2,320,413 $5,198,656 $2,732,934 $ 2,956,235 $ 3,079,047 $ 3,201,859 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. 43 PAGE 4 ARIZONA UNIVERSITIES NETWORK—AZUN P e r f o r m a n c e A n a lys i s Program Development Continued... Infrastructure continued... Development and Delivery of Shortened-Format Web Courses: The number of web courses in the 7-week format increased from 59 to 71 courses from FY07 to FY08, including three new course developments. Courses are representative of a range of university academic programs at both the undergraduate and graduate levels. Student Services: The AZUN Service Center continues to serve students from all three institutions. A recent upgrade to the phone system provided improved tracking capabilities as well as improved service to incoming callers. Prospective students are offered assistance with navigating the application process at the institution of their choice (NAU, ASU, UA) by phone, email, and live chat. Ninety percent of individuals who rate their experience using the live chat service report a satisfaction level of 4 or 5 on a 5-point scale, 5 being excellent. Development and Delivery of High Capacity Undergraduate Web Courses: Support mechanisms and new approaches have been developed to ensure high capacity in critical webdelivered courses. High capacity in courses is provided by lead faculty and supported by teaching assistants. Multiple sections of the same course are taught by instructors under the mentoring and supervision of regular faculty. Effective enrollment management strategies maximize web course capacity. The number of high capacity sections offered grew from 170 to 196. 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 courses that would be redundant with the student’s prior training and experience. In 2008, an agreement made with the Service-Persons Opportunity College (SOC) provides opportunities for armedforces personnel to transfer in non-credit courses from their military careers. Impediments to expansion of competencybased and experiential learning include a lack of administrative infrastructure, academic standards, and cost implications. Infrastructure: FY 2008 Objectives and Accomplishments AZUN Portal Project: The AZUN Web portal project was designed to interconnect each university’s student information system (SIS). It provides automated admission, registration, tuition/fee payment and financial aid information for current and prospective students interested in taking courses from any of the three universities. Phase I of the Portal replicated the functions of the original AZUN Web site (course and degree search with articulation information) and implemented the online admission function. Phase I was completed in December of 2006. The Board approved delaying the implementation of Phase II of the Portal until the number of students using AZUN to cross-register among the universities increases to 1,000 per semester. Until that time, the universities believe that it is more cost effective to manually cross-register students. The universities continue to monitor the student services provided by the AZUN Portal to ensure seamless and efficient operation. Technical staff at the AZUN and university levels continue to meet to enhance the Portal’s capacities and to develop new functionalities. Articulation: Each of the universities has program information published on the AzTransfer.com website. This tool helps transfer students obtain accurate information about requirements and how courses apply to degree programs at each institution. When a student completes an AZUN class, the transcript is automatically sent to the student’s home institution and posted as transfer credits on the student’s transcript. Access to AzTransfer.com is available through the AZUN Web Portal. Technology: The AZUN web server hardware was upgraded to provide enhanced redundancy. A higher capacity data backup library was installed, allowing for daily data backups of the AZUN portal site. A number of software enhancements that improved the student experience on the AZUN portal site were implemented. Marketing: A new advertising campaign aimed at informing NAU, UA, and ASU students of cross-registration opportunities was researched, designed, tested, and presented to ABOR’s IT/AZUN oversight committee. Prospective student advertising continued throughout FY08, with AZUN ads appearing in magazines and newspapers around Arizona, on kiosks in Sky Harbor Airport, billboards in Phoenix, transit shelters and malls in the Phoenix/Tucson area, and in underwriting for Public Radio stations in Flagstaff, Phoenix and Tucson. Current university students were targeted through campus newspapers, social media, local print and outdoor advertising, while influencers were targeted in print, public radio, and online. New print, online, radio, and outdoor materials supporting these campaigns are being developed. An on-the-ground campaign will target current students on all three campuses beginning in October 2008. M a nag e m e n t Programmatic oversight is provided by 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 final oversight. LEARN MORE Contact Fred Hurst, Vice President for Extended Programs and Dean for Distance Learning, at Fred.Hurst@nau.edu, or 928523-6598. Or Visit the AZUN website at http://www.azun.net. 44 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) g n i n r a e-Le September 1, 2008 e-Learning Northern Arizona University's e-Learning Initiative promotes effective and innovative use of information technology to support student learning, provide educational access, and develop technology skills among students and faculty. NAU's e-Learning Center supports the TRIF initiative in the following ways: Educates faculty and students in methods and skills required by today's technology based economy, Develops, in collaborative support with faculty, engaging and effective web-based and technology enhanced courses, Promotes a learning-centered approach to increase student success, Provides expanded access to pursuing an education regardless of students' locations. The e-Learning Center works with faculty to evaluate emerging technologies and new teaching practices. Promising technologies, such as live web-based video conferencing, classroom response systems, and social software, including wikis, blogs, and podcasts, are incorporated into pilot courses, studied, assessed, and where appropriate, promoted across the curriculum. The e-Learning Center's programs actively involve faculty and students in the use of technology. For example, as of fall 2006, the e-Learning Center and NAU's Information Technology Services (ITS) group collaborated to offer online access to course materials for every class taught at NAU. This approach allows faculty to provide students easy access to syllabi, readings, assignments, and grades, and it also gives students and faculty new and effective ways to communicate. Other programs developed and supported by the e-Learning Center include: 1. ongoing faculty development events, such as round-table forums and focus groups, 2. showcases highlighting faculty achievements in the use of instructional technologies, 3. the e-Learning Institute, an annual 3-day conference that promotes technology and learning centered “best practices” at NAU and colleges and universities in the southwest, 4) faculty curriculum redesign supported by min-grants, and 5) faculty research to examine effective practices that support student success. Contents Introduction 1 Performance Analysis 2—3 Financial Information 3 Goals 4 Management 4 Advisory Boards 4 Learn More 4 Don Carter, e-Learning Director 45 0 1,500 0 889 0 1,633 89.2% 2 1,919 87% 16% 2 2,238 87% 5.3% decrease 14,116 12,500 200 1 1,000 2,000 91% 5% 5% 2 282 1995 86% (B) First Year Baseline 5% 2769 36 (A) 20,526 325 5 80 2 (c ) 78 FY 07 Act 1 1,200 2,050 92% 5% 5% 3,000 1,300 12,750 225 20 25 25 95 FY 08 Proj 15 2 625 2,100 96% 0% (F) 0% >10,000 (E) 1350 31,568 210 12 >1500 (D) 9 67 FY 08 Act (D) All courses now have a Blackboard Vista shell for web enhancement, well over 1500 are using the shell, most with our assistance, some without (C) Of the 13,068 classes offered at NAU in FY07, 7,333 or 56% of them used the course shell for some class activities. Number of scholarly publications/conference presenta3 8 5 tions (A) This measures depend on course descriptors in the class schedule. These policies are currently in the approval process. (B) 86% satisfied or very satisfied with web learning at NAU, 89% say NAU has successfully or very successfully integrated learning technology Number of private sector partnerships Partnerships Number of graduates with advanced technical literacy skills Number of graduates with technical literacy skills 84% Increase in student success in enhanced & redesigned courses Percentage of students satisfied with Web learning 0 5% Increase student academic success in Web courses 9% 12,381 241 15 2,000 10,133 126 7 Number student enrollments in enhanced courses 9,476 155 53 100 FY 07 Proj 1,000 7,110 Number of student enrollments in online courses 117 42 22/471 FY 06 Act Number of student enrollments in hybrid courses 150 Number of faculty participating in Web development Number of courses redesigns 32 141 FY 05 Act 20 0 121 FY 04 Act Number of new IT – enhanced courses developed 101/140 FY 03 Act 15 125 FY 02 Act Number of new Hybrid courses developed Number of new Web courses developed and offered Work force Contributions METRICS 46 (F) The DFW rate did not decrease but overall the gradepoint average did increase. (E) More than 50% of the courses use a web enhanced format, thus an estimate that about 50% of the students use such a resource is reasonable 7 1 1,500 2,100 93% 5% 5% 4,000 1,600 13,000 250 25 30 35 90 FY 09 Proj 10 1 1,600 2,150 94% 5% 5% 5,000 2,000 13,500 300 30 35 45 85 FY 10 Proj 10 1 1,700 2,200 95% 5% 5% 6,000 2,500 14,000 350 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 P e r f o r m a n c e A na lys i s technical literacy skills. Multiple indicators (e.g., observations, questionnaires, test score data, interviews, etc.) are used to characterize the level of student technological skills. DFW (Drop, Failure, Withdrawal) rates are one measure of course effectiveness. In 2008, the DFW rate in web courses remained constant at 15.2%. A 56% percent increase in web course enrollment, providing greater educational access by time and place bound students. As students and faculty embrace online access to course materials, the demand for hybrid and web-enhanced courses has increased. ELC’s response has been to broaden support for all types of technology enhanced courses. Over 100 faculty new to using web technology to enhance their traditional courses. Other programs developed and supported by the e-Learning Center include: Ongoing development support to faculty creating fully-online and hybrid courses Daily training opportunities for faculty in the use of course management tools and other instructional technologies Just-in-time technical support for faculty including Phone Help, email help, convenient satellite ELC offices, searchable Frequently Asked Questions on the ELC web site, and "Tech Buddies" (trained student workers) to help faculty troubleshoot problems. Review of fully-online and hybrid courses for technical quality and accessibility. Our e-Learning Initiative has a clear focus on workforce development. Enhancement of technological skills as a result of the technology integration across curriculums 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. Advances in student centered e-Learning occur through research and development (R&D) activities. The e-Learning Center's R&D efforts are reflected in support for faculty through innovation funds and a “best practice” laboratory. New technologies, teaching practices, and standards of quality centered on learning in a technological environment are core to the e-Learning Initiative. Increasing access to higher education for Arizona’s citizens is a major goal for e-Learning. Through information and instructional technology, students who are time-restricted or place-bound, will be able to enroll in NAU courses and degree programs through improved University access. The e-Learning Center supports partnerships and collaborations between academic units and distance learning programs at NAU. For example, the e-Learning Center provides support for the creation and continuous improvement in online, hybrid, and on-site courses. Many of the online courses are offered through the Arizona Universities Network (AZUN). Impact of the e-Learning Initiative is measured by the number of students with enhanced and advanced F i na n c i a l I n f o r m at i o n FY 2002 Actual REVENUE Carry Forward New TRIF Revenue TOTAL REVENUE $1,354,355 $1,354,355 FY 2003 Actual FY 2004 Actual FY 2005 Actual FY 2006 Actual FY 2007 Actuals FY 2008 Revised Budget FY 2008 Actuals FY 2009 Rev Budget $674,138 $637,033 $658,826 $1,197,355 $456,204 $312,232 $312,232 $95,436 $1,161,953 $1,704,522 $2,160,000 $2,272,361 $1,897,534 $1,810,000 $1,722,466 $1,810,000 $1,836,091 $2,341,555 $2,818,826 $3,469,716 $2,353,738 $2,122,232 $2,034,698 $1,905,436 FY 2010 Rev Budget FY 2011 Rev Budget $1,810,000 $1,810,000 $1,810,000 $1,810,000 OPERATING BUDGET Personal Services $567,521 $1,103,269 $1,310,577 $1,525,599 $1,697,066 $1,729,924 $1,803,897 $1,538,100.00 $1,505,294 $1,608,092 $1,608,092 Operating $112,696 $95,789 $199,959 $298,244 $1,316,446 $311,582 $318,335 $401,162 $400,142 $201,908 $201,908 TOTAL EXPENDITURES $680,217 $1,199,058 $1,510,536 $1,823,843 $3,013,512 $2,041,506 $2,122,232 $1,939,262 $1,905,436 $1,810,000 $1,810,000 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. 47 e-Learning PAGE 4 G oa l s M a nag e m e n t The "e" in e-Learning means more than electronic or online courses. The "e" includes our ability to create engaging, effective, and efficient teaching and learning environments. NAU’s goals include: Increase NAU’s capacity to serve local and distance students by bringing affordable and convenient courses to those who cannot attend classes on campus or need more schedule flexibility. Use learner centered principles and information technology to accommodate varied teaching and learning styles, providing motivation and support for continued student success. A guarantee that ALL students who graduate from NAU, regardless of their entering preparation, are technically literate and prepared for a lifetime of learning. Establish NAU as a leader in applying e-Learning practices to enhance educational quality and access. NAU Vice Provost for Undergraduate Studies Internal Advisory Board NAU e-Learning Director e-Learning Faculty Committee External Advisory Board The e-Learning Center is managed by the Director of e-Learning, Don Carter, who reports to Dr. Karen Pugliesi, Vice Provost for Undergraduate Studies. A dv i s o ry B oa r d s The e-Learning Center is guided by two advisory boards, one internal and one external. The Internal Advisory Board consists of administrative and faculty leaders on campus who have vested interest in the success and implementation of the Initiative. Membership includes the e-Learning Center 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. The External Advisory Board is composed of three members who are leaders in the field of e-Learning and who provide guidance and national perspective on teaching and learning using technology. The e-Learning Faculty Committee, composed of the faculty who serve on the internal advisory board, is responsible for recommending baseline learning outcomes, addressing standards, selecting courses for redesign, and reviewing internal grant projects. LEARN MORE Contact Don Carter, Director of the NAU 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 48 TECHNOLOGY AND RESEARCH 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 Env e ion for th t a c u d E d an (ERDENE) September 1, 2008 ERDENE The pressing needs of the 21st century require economic and community structures that sustain Arizona’s rich environment while simultaneously expanding our state’s economy. Environmental Research, Development, and Education for the New Economy (ERDENE) sparks university-community partnerships to integrate technological ingenuity and business acumen with ecological and social understanding. This inspires triple bottom line thinking, yielding regional economic performance that is financially profitable, socially beneficial, and ecologically sustainable. ERDENE enhances opportunities to adapt to emerging business sectors, reach untapped market potential, and pursue innovation from the earliest design phase. ERDENE focuses on NAU’s environmental research strengths in five major areas: ecological restoration, water resources, renewable energy technologies, applied research for sustaining rural communities, and comprehensive monitoring and management of complex systems. The program also builds on NAU’s strong connection with rural Arizona and success in building collaborative partnerships with private, public, tribal, and non-profit entities. ERDENE initiatives cross disciplines and bridge the gap between academic, business and public sectors. Some examples include developing a marketable product from the sludge byproduct of a local paper manufacturer, creating ultrasound technologies to assess forest insects within trees and chemical traps for the most aggressive varieties, and designing and testing NAU Faculty and Students Working on Wind Turbines in Northern Arizona strategies for ultra energyefficient systems for a new generation of wireless sensor network technology. The program promotes environmental, economic and community health by addressing real problems in innovative ways. Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals 4 Management 4 Advisory Boards 4 Learn More 4 Shelley Silbert Director of Strategic Environmental Initiatives 49 n/a n/a 0 26 85 Certificates Granted Undergrad Students in Pipeline Continuing Ed Professionals 58 34 20 Regional, Nat’l, International Research and Linkages 41 73 9 2 17 0 0 6 9 2 4 1 14 3 10 312 126 Tri-University (ASU, NAU, UofA) Industry/Private Sector Collaborations Community-based (including tribes) New Programs such as Certificates (full time students) Revised Courses New Courses (full time students) New Programs – Participating Professionals Partnerships Community College 2+2 Programs Specific Curriculum Innovations 27 38 0 87 56 0 19 1 0 0 0 1 1 14 2 180 $4.30 $0.40 $0.30 FY 03 Act 121 $5.50 $0.40 $0.60 FY 02 Act Graduate/Postdoc Students in Pipeline or Graduated High End Baccalaureates in Specific Disciplines Baccalaureates Produced in Related Disciplines Patent Applications Generated Conferences Sponsored Business Expansions Work Force Contributions Qualitative Returns Including Presentations & Publications Technology Transfer Products Generated and in the Marketplace Business Spinoffs Return on Investment Federal and State Funds Industrial Dollars Other Dollars METRICS ($ in millions) 54 51 58 7 7 0 29 1 16 1361 63 3 n/a 47 102 0 21 5 49 1 138 $4.40 $0.50 $0.50 FY 04 Act 72 60 79 10 8 0 31 0 22 142 40 73 n/a 23 35 0 28 16 6 1 305 $12.90 $0.50 $0.50 FY 05 Act 69 76 48 9 8 9 12 2 6 265 45 0 n/a 15 38 0 26 5 12 1 119 $3.30 $0.10 $0.40 FY 06 Act 35 35 35 5 2 0 2 0 2 250 50 5 50 8 65 0 3 0 3 0 150 $5.00 $0.20 $0.50 FY 07 Proj 75 78 55 2 6 4 5 2 6 42 78 0 15 3 32 1 21 4 5 4 221 $8.30 $0.07 $0.40 FY 07 Act 38 38 38 8 4 2 2 1 3 130 55 5 42 6 62 1 5 1 3 0 150 $3.90 $0.30 $0.60 FY 08 Proj 75 45 81 8 5 0 3 2 7 142 325 0 N/A 21 104 4 42 8 40 40 40 12 6 2 3 1 4 140 60 5 45 6 65 2 10 2 6 1 160 3127 (includes web-site access) 4 2 $4.20 $0.40 $0.70 FY 09 Proj $7.59 $0.12 $3.20 FY08 Act 42 42 42 15 8 2 3 1 4 150 65 5 48 6 68 3 15 3 8 2 170 $4.50 $0.40 $0.80 FY 10 Proj 45 45 45 18 10 2 3 1 4 160 70 5 50 6 70 4 20 4 10 3 180 $4.80 $0.50 $0.90 FY 11 Proj PAGE 2 Environmental Research, Development, and Education for the New Economy P e r f o r m a n c e a na lys i s 50 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 Flagstaff businesses and civic organizations to develop and recruit new sustainable resource based 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. Students and Faculty from the Ecological Restoration Institute on a forest restoration field trip. F i na n c i a l i n f o r m at i o n FY 2002 Actual FY 2003 Actual REVENUE Carry Forward FY 2004 Actual FY 2005 Actual FY 2006 Actual FY 2007 Actual FY 2008 Revised FY2008 Actual FY 2009 Budget FY 2010 Budget FY 2011 Budget $0 $0 $0 $175,540 $224,067 $296,812 $476,956 $667,386 $572,386 $572,386 $611,421 New TRIF Revenue $1,450,500 $1,551,412 $1,681,405 $1,977,600 $2,080,472 $1,872,092 $1,961,282 $1,829,165 $2,112,107 $1,872,092 $1,872,092 TOTAL REVENUE $1,450,500 $1,726,952 $1,905,472 $2,274,412 $2,557,428 $2,539,478 $2,533,668 $2,401,551 $2,723,528 $1,872,092 $1,872,092 Personal Services $1,062,225 $1,260,419 $1,426,244 $1,639,348 $1,425,694 $1,902,726 $2,381,647 $1,437,357 $2,206,300 $1,759,766 $1,759,766 Operating $212,735 $242,466 $224,416 $301,376 $464,348 $64,366 $152,021 $352,773 $517,228 TOTAL EXPENDITURES $1,274,960 $1,502,885 $1,650,660 $1,940,724 $1,890,042 $1,967,092 $2,533,668 $1,790,130 $2,723,528 ROI * 5.1 : 1 3.4 : 1 3.0 : 1 7.2 : 1 2.0 : 1 3.0 : 1 3.1 : 1 4.8:1 3.2 : 1 OPERATING BUDGET $112,326 $112,326 $1,872,092 $1,872,092 3.3 : 1 3.4 : 1 * New ROI methodology used in FY 2007, and will continue to be used for all future years. This is an ABOR requested calculation change from FY 2002-2006. 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. 51 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 Director of Strategic Environmental Initiatives Shelley Silbert, reports to Dr. Laura Huenneke, Vice President for Research, for TRIF related activities. Michael Bittner Translational Genomics Research Institute Will Ott and Tom Rainey Northern Arizona Technology and Business Incubator Barry Gold Gordon and Betty Moore Foundation NAU VP David LaRoche U.S. Environmental Protection Agency for Research Edwin Lewis NAU Department of Chemistry and Biochemistry Stephanie McKinney Greater Flagstaff Economic Council Advisory Board Mary O’Connell New Mexico State University Plant and Environmental Science Department NAU GBI NAU ERDENE Director Director Thomas Whitham NAU Department of Biological Sciences LEARN MORE Contact Shelley Silbert at (928) 523-7635 or Shelley.Silbert@nau.edu or visit any of the following websites to learn more about individual initiatives: Sustainable Energy Solutions http://ses.nau.edu Ecological Restoration Institute http://www.eri.nau.edu/cms/ Merriam Powell Center for http://www.mpcer.nau.edu/smallindex.html Environmental Research 52 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 Growing Biotechnology September 1, 2008 The Growing Biotechnology Initiative (GBI) enables outstanding interdisciplinary research and development in biosciences, biotechnology, and bioengineering at Northern Arizona University (NAU) to be translated rapidly and effectively to address critical health, technology, and education issues essential for the Arizona New Economy. GBI, and its associated center SABRE (Strategic Alliance for Bioscience Research and Education) will continue its focus on research in new and emerging areas in the biosciences, including infectious diseases, medical instrumentation, forensic genetics, cancer, musculoskeletal and cardiopulmonary rehabilitation, endocrine systems, biomaterials, and respiratory failure. It is also expanding specific funding opportunities for product development based on research that has been previously funded. Research areas supported by GBI and SABRE focus primarily on strategic initiatives identified in the revised 2007 Arizona Bioscience Roadmap, and specifically areas to be identified in the forthcoming Northern Arizona 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 at both undergraduate and graduate levels in research, combined with the high productivity of university researchers, gives NAU a unique position in Arizona to provide cutting-edge research while providing education and workforce development at all levels for the growing bioscience and biotechnology industries in the State of Arizona. Contents Introduction 1 Performance Analysis 2-3 Financial Information 3 Goals 4 Management 4 Advisory Boards 4 Learn More 4 Dr. Tim Porter, Director Growing Biotechnology (GBI) 53 Technology Transfer Collaborations New Research Increases Specific Collaborations M.S./Ph.D. Graduate Undergraduate Students with Research Experience Graduate/Postdoc Students in Pipeline Work Force Contributions Flagstaff/Northern Arizona Incubation/Formation of Biotech Concerns in Economic Development Industry Partnerships startup companies created Technology Transfer: 6 1 80 60 0 0 0 0 0 1 12 n/a $1.40 FY 02 Act 29 12 79 62 0 2 2 0 5 2 0 n/a $6.30 FY 03 Act 3 5 43 60 0 2 1 0 0 2 59 n/a $5.60 FY 04 Act 17 8 53 25 2 2 0 2 2 1 8-Mar n/a $1.30 FY 05 Act 28 10 90 29 2 8 1 1 1 3 47 $0.90 $4.20 FY 06 Act 2 3 70 10 0 1 0 1 1 2 20 $0.30 $2.50 FY 07 Proj 13 0 41 26 0 4 1 1 0 1 65 $0.05 $4.10 FY 07 Act 2 3 80 20 0 1 1 1 2 2 30 $0.50 $2.80 FY 08 Proj 10 0 10 24 0 5 0 0 0 1 10 $0.00 $3.10 FY09 Act 5 3 100 20 1 2 0 1 1 2 30 $0.50 $3.10 FY 09 Proj FY 11 Proj 5 3 110 25 1 1 0 1 2 2 40 7 3 125 30 2 2 1 1 2 2 40 $1.00 $1.00 $3.40 $3.70 FY 10 Proj 2 Business Expansions Products Generated and in the Marketplace Generated Patent Applications Publications Number of Scholarly Other External Funding Federal, State & Local External Funding METRICS ($ in millions) Return on Investment PAGE GROWING BIOTECHNOLOGY INITIATIVE (GBI) P e r f o r m a n c e a na lys i s 54 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. 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. 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. Selected accomplishments this previous year include genetic studies into drought and pest resistance in Arizona forests, development and business formation related to cell signaling and its relation to disease pathways, acquisition of instrumentation for isotopic analysis, and mass spectrometry to be used for research and student training, and studies related to lateral flow assays. GBI works closely with the City of Flagstaff and the Northern Arizona Technology and Business Incubator to Environmental Genomics and Genetics assist in the incubation, Laboratory 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 Actual FY 2007 Actual FY2008 Rev Budget FY2008 Actual FY 2009 Rev Budget FY 2010 Rev Budget FY 2011 Rev Budget $363,216 $510,270 $200,490 $353,276 $341,247 $342,851 $342,852 $216,763 $0 $0 New TRIF Revenue $967,002 $1,123,132 $817,501 $768,000 $807,951 $918,732 $538,360 $533,507 $387,535 $913,880 $913,880 TOTAL REVENUE $967,002 $1,486,348 $1,327,771 $968,490 $1,161,227 $1,259,979 $881,211 $876,359 $604,298 $913,880 $913,880 Personal Services $216,402 $377,561 $706,203 $696,382 $345,031 $516,128.00 $609,790 $208,419 $193,400 $630,577 $630,577 Operating $387,384 $598,517 $603,157 $67,366 $474,949 $400,999.00 $271,421 $451,177 $410,898 $283,303 $283,303 TOTAL EXPENDITURES $603,786 $976,078 $1,309,360 $763,748 $819,980 $917,127 $881,211 $659,596 $604,298 $913,880 $913,880 2.3 : 1 6.4 : 1 4.2 : 1 1.8 : 1 6.2 : 1 9.8 : 1 10.2 : 1 8.8:1 10.4 : 1 10.6 :1 10.6 : 1 REVENUE Carry Forward OPERATING BUDGET ROI * * New ROI methodology used in FY 2007, and will continue to be used for all future years. This is an ABOR requested calculation change from FY 2002-2006.. 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. 55 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 City of Flagstaff and the Northern Arizona Technology and Business Incubator in recruiting and developing new biotechnology business in Northern Arizona. 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. The NAU Greenhouse M a nag e m e n t GBI’s director, Dr. Tim Porter, reports to Dr. Laura Huenneke, Vice President for Research . For TRIF related activities. Research initiatives within GBI report to Dr. Porter. 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 and Tom Rainey Northern Arizona Technology and Business Incubator NAU Vice President for Research Barry Gold Gordon and Betty Moore Foundation David LaRoche U.S. Environmental Protection Agency Edwin Lewis NAU Department of Chemistry and Biochemistry Advisory Board Stephanie McKinney Greater Flagstaff Economic Council NAU GBI Director NAU ERDENE Director Mary O’Connell New Mexico State University Plant and Environmental Science Department Thomas Whitham NAU Department of Biological Sciences LEARN MORE Contact Dr. Tim Porter at the Department of Physics at Tim.Porter@nau.edu, or call (928) 523-2540. 56 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF ) E HEALTHCAR SION N A P X E M A PROGR September 1, 2008 Healthcare Program Expansion Health Care Program Expansion directly supports Arizona Board of Regents initiatives for health workforce planning. In addition, Northern Arizona University‟s request responds to the Joint Conference Committee (JCC) recommendations to provide convenient, affordable access to baccalaureate education throughout the state. These programs complement the professional medical / health program degrees offered by UA, ASU, and the new College of Medicine in Phoenix. The North Phoenix building, just off I-17 has consolidated all of NAU‟s current operations in Maricopa County and provides a place to implement the Health Care Program Expansion plan. A new program in Dental Hygiene degree completion is active at this site. Other programs at other sites are growing. Contents Introduction 1 Strategies and Goals 2—3 Performance Analysis 3 Financial Information 4 Learn More 4 According to Stephen N. Collier, PhD, Director and Professor, Office of Health Professionals Education and Workforce Development, The University of Alabama at Birmingham, “Most states in the U.S. are experiencing significant shortages of health professionals. Arizona is no exception. Because the physicians workforce determines much of what happens in the overall health care system, other health professional groups are often overlooked.” They include a variety of disciplines, some of which are currently offered by Northern Arizona University, and others that could be added to our program portfolio. To fully develop this initiative will require state support, student tuition and fee adjustments, and contributions from NAU‟s regular TRIF allocation. 57 HEALTHCARE PAGE 2 S t r at e g i e s a n d g oa l s This college realignment plan not only advances an important strategic initiative for the university and the state, but also opens the door to further interdisciplinary collaboration. John D. Haeger, NAU President, March 2007 Liz Grobsmith, Provost and Vice President for Academic Affairs The goal of this project is to expand access to and availability of Health Care Education in Arizona. Northern Arizona University has a three-part strategy for helping to address the need for health care professionals in Arizona: 1. Enhance existing programs at Flagstaff where it results in increases in the number of health care professionals, 2. Make existing programs directly available in metropolitan and rural areas of Arizona to increase the number of health care professionals, 3. Institute new programs in health care disciplines currently underserved by existing public university programming. The TRIF over-attainment dollars currently allocated to NAU are allowing the university to make progress on the first two of these strategies. A source of ongoing support is required to continue progress, and an investment of significant additional funds will be required in order to make progress on the third. STRATEGY 1: Enhance existing programs at Flagstaff where it results in increases in the number of health care professionals. Supports Four ABOR Strategic Planning Goals: 1. Increase Student Participation in University Education, 2.Enhance the Quality of Student Education, 3.Increase Affordable Education for Students, 4.Provide an Educated Competitive Workforce. Goal #1: Increase capacity in the Flagstaff-based entry-level Doctor of Physical Therapy (DPT) program For FY 2006, the current entry-level Doctorate of Physical Therapy (DPT) program admitted cohort of 40 students annually. For FY08, through the use of expansion dollars to hire an additional faculty member, a cohort of 48 was admitted — a 25% increase. Goal #2: Implement a health sciences degree completion program for students with Associate in Applied Science (AAS) degrees in technical health care areas. Northern Arizona University first AAS degree completion program was with Gateway Community College‟s Diagnostic Medical Imagining Training program. Building on planning done with the help of an ARRO grant and using dollars from this initiative to hire an additional faculty and an additional staff member, NAU now has partnerships offering an on-line AAS-to-BS degree in Respiratory Care, Physical Therapy Assisting, Surgical Technology, Paramedic Care and Medical Assisting. Enrollment in these programs has grown from 50 in the DMIT program in Fall „06 to 149 in all programs in Spring, 2008. Goal #3: Expand the existing master‟s degree in clinical speech pathology. Speech Pathologists continue to be in demand throughout Arizona. In FY 2007, Northern Arizona University hired a clinic director and an additional faculty member. NAU also developed a plan to prepare a cohort in Yuma to enter the master‟s program by providing “leveler”, or pre-requisite courses. These students are now eligible to apply for the degree program. The university intends to invest in additional faculty for the Master‟s program, further enhancing its ability to expand. Goal #4: Increase capacity in the Flagstaff-based Athletic Training program In FY 2007, Northern Arizona University hired one full-time faculty member, and has expanded the bachelor‟s-level program in Athletic Training from 16 students annually, to 24 students in Fall, 2007. Given the solid base of faculty and facilities currently available on the Flagstaff campus, this is the most economical 58 HEALTH CARE PROGRAMS PAGE 3 S t r at e g i e s a n d g oa l s Continued from page 2 way to produce additional athletic trainers. STRATEGY 2: Make existing programs directly available in metropolitan and rural areas of Arizona to increase the number of health care professionals in these areas. Supports Four ABOR Strategic Planning Goals: 1. Increase Student Participation in University Education, 2.Enhance the Quality of Student Education, 3.Increase Affordable Education for Students, 4.Provide an Educated Competitive Workforce. Goal #1: Relocate the existing Post-Professional Doctor of Physical Therapy Program to Phoenix. In FY 2007, the Post-Professional Doctor of Physical Therapy Program was relocated to Phoenix and one fulltime faculty member was hired. The program is building and transitioning seamlessly in NAU‟s new I-17 facility. The Post-Professional DPT program is a 36 credit hour program that enable licensed professionals to attain doctoral status. Relocating the program to Phoenix has had two major benefits: (1) it makes doctoral education more easily accessible to the large population of physical therapists in a major metropolitan area, and (2) it will provide a platform for development of a Phoenix-based cohort for the entry-level DPT program, to be implemented in phase #2 of our planned health-care program expansion. Enrollment in this program grew for the first time since 2003. By achieving these goals, Northern Arizona University will: Goal #2: Expand the existing Dental Hygiene completion program to include either a hybrid or face-to-face cohort program in Phoenix. In Spring, 2008, the first “on-the-ground” BSDH completion program opened for business, offered by faculty hired through these “health care expansion” funds.. Seven students are enrolled in the initial cohort, which makes use of the North Phoenix facility. allow more students to participate in an affordable, public-university based program, enhance the education they will receive, and expand the number of health care professionals in the Arizona workforce Goal #3: Expand the existing nursing cohort in Tucson and establish a new cohort-based program in partnership with the Yuma Regional Medical Center. In FY 2007, NAU leadership continued to expand their nursing program in Tucson. In addition, Northern Arizona University‟s School of Nursing strategically partnered with Yuma Regional Medical Center, Arizona Western College, and statewide program personnel to investigate the feasibility of a four year nursing program in Yuma. Northern Arizona University has already built successful nursing satellite programs on the Navajo Reservation and in Tucson, and with additional investment could double the number of students educated annually in Tucson and develop a similar program in Yuma. Enrollment in the BSN program at statewide locations has grown from 37 in Fall, 2006 to 97 in Spring, 2008. Perform an c e Analysi s METRICS Pgm Enrollments Degree Awards FY 02 Act FY 03 Act FY 04 Act FY 05 Act FY 06 Act FY 07 Proj FY 07 Act FY 08 Proj FY 08 Act FY 09 Proj FY 10 Proj FY 11 Proj 104 205 168 228 238 71 123 166 186 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. 59 HEALTHCARE PAGE 4 FI NANCIAL IN FORMATI ON FY 2005 Actual FY 2006 Actual FY 2007 Actual FY08 Rev Budget FY 2008 Actual FY 2009 Rev Budget FY 2010 Rev Budget FY 2011 Rev Budget REVENUE Carry Forward $2,099,386 $0 $0 $936,398 $1,054,796 $1,156,220 $1,169,940 $0 $1,149,999 $2,160,205 $3,182,990 $3,064,438 $3,154,182 $1,156,220 $1,169,940 Personal Services $0 $0 $1,200,270 $659,318 $2,144,800 $427,800 $432,875 Operating $0 $0 $32,165 $1,982,720 $305,734 $1,009,382 $728,420 $737,065 $0 $0 $32,165 $3,182,990 $965,052 $3,154,182 $1,156,220 $1,169,940 New TRIF Revenue TOTAL REVENUE $0 $0 $1,149,999 $2,128,194 $2,128,040 $0 $1,149,999 $1,010,206 $1,054,796 OPERATING BUDGET Debt Service TOTAL EXPENDITURES “Northern Arizona University’s health professions expansion initiative meets the public agenda and an extraordinary state need” John D. Haeger, NAU President, October 2006 With an Executive Dean in place since January, 2008 and a new Dean of Nursing arriving in September, the newly-organized College of Health and Human Services is prepared to move forward in health care education.. ABOR‟s funds for expanding existing health care programs, the state legislature‟s allocation for new programming and the SPEED and TRIF dollars that will be used to build a new Health Professions facility on the Flagstaff campus are all facilitating progress. Northern Arizona University is prepared to bring up new programs at the North Phoenix facility while waiting for the Phoenix Medical Center complex to come to fruition. Faculty are in place and students are enrolling. Planning for Occupational Therapy and Physician Assistant programs is underway. A new biomedical sciences program in the Department of Biological Sciences, complementing these efforts, opens on the Flagstaff campus n Fall, 2008. LEARN MORE For on-campus programs, contact Leslie Schulz, Executive Dean, College of Health & Human Services For off-campus programs, contact Fred Hurst, Vice President for Distance Learning Initiatives or 928-523-6515. http://jan.ucc.nau.edu/~hp-p/ 60 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF ) N O I S N A P X E E D I W E T A ST September 1, 2008 NAU’s STATEWIDE EXPANSION Northern Arizona University has a long history of providing Arizonans with access to higher education in their home communities. While Northern Arizona University remains committed to bringing educational opportunities to rural Arizonans where they live and work, the need for access is equally important in urban areas for specific academic programs addressing workforce needs and the different demographics presented by non-traditional students. With Board approval the University entered into a long-term lease of a high profile commercial building on I-17 between Bell and Greenway Roads. Signage is clearly visible from I-17 to the north, south, and east. This an anchor facility that allows Northern Arizona University to: consolidate existing offices and academic programs, serve new students by expanding existing and launching new academic programs in high demand workforce development areas such as nursing, doctorate of physical therapy, dental hygiene, teacher education, and provide advanced training for managers in rapidly growing non-profit and business fields. Contents Introduction 1 Current Academic Programs with Headcount by Location 2 Narrative 3 Financial Information 3 Learn More 4 Statewide Expansion Supports Five of ABOR „s Strategic Plan Goals: 1. Increase Student Participation in University Education 2. Enhance the quality of Student Education 3. Increase Affordable Education for Students 4. Provide an Educated, Competitive Workforce 5. Optimize University Resource Acquisition and Work Environment Northern Arizona University — North Valley The TRIF monies have funded lease payments, furniture, fixtures, and equipment (FF&E) including high The allocated and requested TRIF funding was used to speed connections for voice, video, and data, establish a lasting NAU presence in Maricopa County. as well as other information technology equipment. The University successfully relocated offices and classrooms from leased space at Third Street and Thomas. Programs offered in the new facility draw students from throughout the Valley. 61 Unduplicated Campus Headcount Faculty Amenities Computer Lab Student Lounge Practicum Lab VC classroom Wireless internet throughout facility Full time advisor Full time program coordinator Nursing bed lab Sim Man lab Facility Size (sf) Degrees Undergraduate B.A./B.S. Interdisciplinary Studies - Administration of Justice B.A./B.S. Interdisciplinary Studies - Criminal Justice B.A./B.S. Interdisciplinary Studies - Organizational Communication B.A./B.S. Interdisciplinary Studies - Public Management (90/30) B.A./B.S. Interdisciplinary Studies - Sociology B.A.S. Administration of Justice B.A.S. Early Childhood Education B.A.S. Fire Science Administration B.A.S. Justice Systems Policy and Planning B.B.A. Business Administration B.S. Ed. Early Childhood Education B.S. Dental Hygiene - Degree Completion Program B.S. Ed. Career and Technical Education - Occupational Education B.S. Ed. Elementary Education B.S. Hotel & Restaurant Management B.S. Interior Design B.S. Parks and Recreation Management B.S. Speech Communication B.S.N. Nursing Graduate Bilingual Education Endorsement Ed.D. Educational Leadership English as a Second Language Endorsement M. Administration - Leadership M.A. Counseling M.A. English - General English Emphasis M.Ed. Bilingual/Multicultural Education M.Ed. Counseling/School Counseling M.Ed. Early Childhood Education M.Ed. Educational Leadership M.Ed. Elementary Education with Certification Emphasis M.Ed. Elementary Education-Continuing Professional Emphasis M.Ed. Human Relations M.Ed. in Secondary Education-Continuing Professional Emphasis M.Ed. Secondary Education with Certification Emphasis M.Ed. Special Education: Cross-Categorical (noncertified) Non Degree - Personal Enrichment (Graduate) Post-Professional Doctor of Physical Therapy Principal Certificate Reading Endorsement Superintendent Certificate Notes * Instruction offered off campus until space is available ** 1 faculty shared with Pima CC Northwest campus Chandler Gilbert X X X 100 X 113 2 East Valley X X X X X X X X X X X X X X X X X 9,827 X X X 1,083 12 Estrella Mountain * X 130 X GateWay X X 96 8 Glendale X X X X 225 47 Mesa X X X X X X 89 106 North Valley X X X X X X X X X X X X X X X X X X X X X X X X X 39,950 X X X X X 785 7 Paradise Valley Phoenix X X X X X X X X X X X X X X 518 X X X 90 X 265 1 X X X X X 35 Scottsdale X X X X 600 X 231 2 South Mountain 48 X X 3,000 X 1 Tucson X X X X X X X X X X X X X X X X X X X X X 5,485 X X 945 11 Tucson North X X X ** X X X X X X X X X X X X X X X X X X 8,535 X X 277 4 West Valley X X X X X X X X X X X X X 2,613 X X 498 1 NAU Tucson Medical Center X X 2,040 4 PAGE 2 NAU’s STATEWIDE EXPANSION C u r r e n t a n d f u t u r e ac a d e m i c p ro g r a m s 62 NAU’s STATEWIDE EXPANSION PAGE 3 n a r r at i v e Expansion Activity In just two short years, a farsighted agreement between the Maricopa Community Colleges and Northern Arizona University set the stage for growth of undergraduate programs. A memorandum of understanding, signed by Chancellor Rufus Glasper and President John Haeger in April of 2006, opened the door for NAU to have a presence on each of the Maricopa campuses, and to expand transfer programs for Maricopa students. Since the signing, NAU has opened or expanded offices at every Maricopa campus with one or more full time staff members. The partnership, called the “NAU-Maricopa Connection,” provides 22 on-site bachelor‟s completion programs on Maricopa campuses, along with a wide variety of baccalaureate and certificate programs available online through the university. The new North Valley facility provides classroom, video conference, office and meeting space for university departments and programs. NAU North Valley houses10 full time faculty members and 27 staff, and boasts a cutting edge high speed computer lab free of charge to students, In the first year of operation the facility hosted over 50 meetings and events, and had over 1,200 visitors to the building, serving community groups such as Arizona Town Hall, Maricopa Small Business Development Center, the Arizona Department of Education, Arizona State University Workforce Development, and St. Joseph‟s Hospital, to name a few. Programs based at the North Valley campus serve health professionals with a Dental Hygiene degree completion program, a post-professional Doctor of Physical Therapy, and a Speech Language Pathology Assistant certificate. Other programs include a Master of Administration degree and a broad array of preservice and professional programs for educators. In 2006, the Arizona Board of Regents (ABOR) designated NAU-Yuma as a branch campus. This provided an opportunity for the Yuma faculty to more effectively serve the needs of students around the state. Their first major initiative was to create a Bachelor of Business Administration program approved by ABOR in 2007. The program is delivered via video conference to students in Coolidge, Phoenix, Prescott, Thatcher and Tucson. Advisors and coordinators supported by expansion funds assist with recruiting and advising for the new program, which admitted 76 students in its first year of operation. F i na n c i a l I N F O R M AT I O N FY 2005 Actual REVENUE Carry Forward New TRIF Revenue TOTAL REVENUE FY 2006 Actual $ - $ - $ - OPERATING BUDGET Personal Services $ - Operating $ - $ FY 2007 tual FY 2008 Revised Budget FY 2008 Actual $ 1,769,193 $ $ 1,149,999 $ 1,010,206 $ 1,054,796 $ 1,054,796 $ 1,054,796 $ 1,156,221 $1,169,940 $ 1,149,999 $ 2,160,205 $ 2,823,990 $ 2,823,989 $ 1,658,917 $ 1,370,821 $1,169,940 $ - $ 391,012 $ - $ 2,823,990 $ - $ - $ 391,012 $ 2,823,990 $ 255,265 $ 389,521 $ 1,964,603 $ 1,054,796 $0 $0 $ 2,219,868 $ 1,444,317 $ FY 2011 Budget $ 1,769,194 - 604,121 FY 2010 Budget 1,149,999 Debt Service TOTAL EXPENDITURES FY 2009 Budget $ $ - Ac- $ 214,600 - $ $ - - $ 1,370,821 $1,169,940 $ 1,370,821 $1,169,940 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. 63 NAU’s STATEWIDE EXPANSION PAGE 4 S u p p o rt o f a b o r ’ s S t r at e g i c G oa l s Quality NAU has made significant progress toward enhancing the quality of education delivered off the Flagstaff campus. Expansion of facilities, partnerships, and degrees set the stage for considerable advancements. The North Valley facility, opened October 2007, is NAU‟s second highvisibility, stand-alone facility outside of the Flagstaff area. This facility provides the institution with 40,000 square feet of classroom and faculty office space. Faculty members based at the North Valley location teach in both traditional classrooms, on the Web and via videoconferencing. Classrooms contain state of the art equipment, faculty have adequate space in which to meet with students or student groups, and the computer lab is available to students when they are most likely to use it. The facility also hosts a student practicum lab that allows for student counseling sessions conducted under the supervision of full-time clinical faculty. In the last two years the student lab has provided Spanish language counseling sessions to community members free of charge. This learning centered environment and its prominent location supports accessible, high-quality learning experiences and is a complement to NAU‟s other locations on community college campuses. Affordable Education Through Partnerships By strengthening our partnerships with Arizona community colleges, NAU has succeeded in increasing student access to four year degrees. The partnerships also enhance continued development of new programs that articulate with associate‟s degrees. A new Bachelor of Interdisciplinary Studies allows for the transfer of up to 90 units of coursework from the local community college. Students can then earn a bachelor‟s degree by completing only 30 units at NAU. This is the most affordable four year degree option in the state of Arizona. Student interest in NAU programs has increased markedly in the last year with 46.9 percent growth in undergraduate programs offered at a distance and 13.8 percent growth in new undergraduate students. These outcomes are evidence of NAU‟s ability to advance ABOR‟s goals of providing affordable university education for Arizona students. Workforce Development Northern Arizona University remains focused on the workforce needs in the state by advancing the accessibility to degrees in health care, business, and education. Degrees in physical therapy and dental hygiene are currently being offered, and degrees in occupational therapy and physician assistant are being developed for offering in the North Valley facility. These recent efforts to increase the number of highly skilled medical technicians in Arizona illustrate NAU‟s commitment to workforce development. Seventy-one percent of Distance Learning students work more than 32 hours per week. Flexible delivery methods allow these students to complete university classes regardless of their work schedule. Thirty-seven new online programs were made available during the past year, providing even more opportunities for students to earn degrees or certificates while remaining in the workforce. LEARN MORE Contact Fred Hurst, Vice President for Extended Programs, and Dean of Distance Learning, at fred.hurst@nau.edu, or 928-523-6598. www.distance.nau.edu 64 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF ) n o i s n a p x E A M U Y U NA September 1, 2008 Business Plan: $2 million Introduction The university is able to meet the most pressing educational needs of most Arizona’s rural areas thanks to the university’s flexibility in strategically managing limited resources. However, the population growth of the urban areas is far outpacing the university’s capacity to serve Maricopa, Pima, and Yuma Counties adequately. While Arizona’s citizens of Maricopa and Pima Counties have multiple choices to earn baccalaureate or higher degrees—from both private and public institutions, for the population of Yuma County (and neighboring areas), NAU remains the only option to access a baccalaureate-degree-granting institution locally. According to the 2006 Mission: To meet the educational needs of the Educational Needs Report lower Colorado River region by fostering published by the Lumina scholarly, intellectual, and cultural activities in Foundation, Yuma County collaboration with the local community colhas the 26th highest leges and business and governmental entities. education need among 3,040 counties nationwide—a clear indication that a four-year education is crucial for Yuma’s competency to sustain healthy economic growth. To provide the community with the opportunities that will ensure prosperity of the region, NAU-Yuma will invest in baccalaureate programs that meet current market demands and provide the necessary human capital to diversify the economy. The programs include public administration, business, and engineering. The applied research center, already under construction, will complement the science classroom instruction and provide the necessary laboratory equipment and space to foster undergraduate research. In addition, it will serve as a base for visiting faculty from the Flagstaff campus involved in applied research in relevant to the Lower Colorado region. To improve student success, the branch campus will invest, jointly with Arizona Western College, in a Writing Center—a much needed student support service that will improve student persistence and graduation. The Writing Center, as envisioned, will serve the students through their entire academic career, as they are moving from the community college to the university Contents Introduction 1 Market Conditions 2 Strategic Initiatives 3 Learn More 4 Project’s most relevant ABOR issues: Increase Student Participation in University Education Enhance the quality of Student Education Increase Affordable Education for Students Provide an Educated, Competitive Workforce Optimize University Resource 65 NAU-YUMA Expansion PAGE 2 Market conditions Degree Opportunities NAU-Yuma is currently the only option for college-bound students of all ages to pursue locally-delivered baccalaureate degrees.. For the last 20 years NAU has been committed to meet the needs of Locally Available NAU-Yuma Programs: the Yuma region by providing high-quality pro- B.A. Interdisciplinary Studies - Criminal Justice grams and student services by leveraging the B.A. Interdisciplinary Studies - Environmental Sciences partnership with AWC. B.A. Interdisciplinary Studies - Learning & Pedagogy Other options available to local residents are B.A. Interdisciplinary Studies - Psychology NAU online programs as well as online and hybrid programs of other public and private B.A. Interdisciplinary Studies - Sociology institutions. B.A. Psychology B.A. Spanish Demographics B.B.A. Business Administration - Yuma The Yuma-El Centro designated market area has a population of more than 363,000 and is expected to grow by almost 15 percent by 2012. B.S. Criminal Justice B.S. Ed. Elementary Education B.S. Ed. Secondary Education-Earth Science It is pre-dominantly a Hispanic community with B.S. Ed. Secondary Education-Spanish B.S. Environmental Sciences the population of Hispanic origin comprising 66 percent—a proportion that is expected to B.S. Interdisciplinary Studies - Criminal Justice grow to 69 percent by 2012. B.S. Interdisciplinary Studies - Environmental Sciences Approximately 26 percent of the population in B.S. Interdisciplinary Studies - Learning & Pedagogy Yuma County is either non-US citizen or naturalized, compared with 15 percent in Arizona. B.S. Interdisciplinary Studies - Psychology B.S. Interdisciplinary Studies - Sociology With six percent, Yuma’s proportion of adult population enrollment in college or graduate B.S. Psychology school is significantly below the national norm of nine and Arizona’s 8.8 percent. Only 11 per- B.S.W. Social Work cent of Yuma’s population (age 25+) has a bachelor’s degree or higher, compared with 26 percent statewide and 27 percent nationwide. The unique demographic composition of the region provides many opportunities and challenges that NAU-Yuma has been addressing for more than 20 years. Economic Base Yuma-El Centro is an $18.5 billion market with the top industries by sales volume, including fresh fruit and vegetable merchant wholesalers, farm supplies merchant wholesalers, new car dealers, and supermarkets and other grocery stores. It is obvious that Yuma’s economic base is heavily dependent on water-intensive agriculture, with a very few other industries: This lack of economic diversity may pose significant problems for the region should environmental conditions changed dramatically. Baccalaureate education in business, engineering, computer and applied sciences will play a major role in diversifying local economy—the path to assuring the region’s long-term prosperity. Total number of businesses: Total sales volume: Total number of employees: Top industry (by # of employees): Top industry (by sales volume): 8,844 $18.5 billion 111,706 National Security Fresh Fruit and Vegetable Merchant Wholesalers 66 Strategic Plan PAGE 3 S t r at e g i c i n i t i at i v e s Applied Research Center: $500,000 The Center, currently under development, will foster regional economic development and provide students and faculty the opportunity for enhanced teaching and learning. As a shared facility with AWC it will further promote collaboration in physical sciences, specifically in biology and chemistry. $500,000 in TRIF dollars were expended in FY 2008 on the infrastructure upgrades necessary for the $6.5 million construction to start. Academic Programs Expansion: $1,250,000 Engineering Considering Yuma-El Centro designated area’s economic base and partnership and employment opportunities, there is an unmet need to establish a four-year engineering baccalaureate program. Discussions among NAU, the .S. Army Yuma Proving Ground—one of the largest military installations in the world—,Arizona State University and University of Arizona are currently underway to develop the program. Business The Bachelor of Business Administration was developed to provide graduates with the skills necessary to work effectively in large or small organizations, to start small businesses, or to continue with a graduate-level degree. Emphasis areas include global business, small business, and management, addressing issues such as ethics and social responsibility, environmental sustainability, and profitability. To advance the program, a new program coordinator/advisor and two support positions are needed. Public Administration Many of the current baccalaureate programs are built as liberal arts programs while the current market demand calls for more applied science degrees. To provide major local employers—national security, police protection, legislative bodies, and correctional institutions—with an access to qualified local workforce, the Bachelor of Applied Science in Public Agency Service will be offered in addition to the existing interdisciplinary studies. Other Programs NAU-Yuma’s current baccalaureate in-person programs are already focused on much needed social sciences. However, there is an emerging need to provide the community with access to natural and health sciences and computer technology education. Part of the academic programs expansion funding will be used to conduct needs assessment study and to ensure sustainability and enrollment growth of all newly developed as well as existing programs. Program/ Student Enrollment 2005 2006 2007 2008 2009 2010 2011 2012 2013 Management (BSBA) 42 44 61 70 80 100 100 100 100 B.S. Engineering 8 12 16 20 22 B.A.S. Public Agency Administration 12 16 18 20 20 Student support services including Writing Center: $250,000 Forty five percent of the Yuma County population speaks Spanish at home, compared with 21 percent in Arizona and 12 percent nationwide. This presents both opportunities and challenges to NAU and AWC. While having a good command of Spanish is extremely useful, making business proceedings and social interactions in this bilingual environment easier, for many local students, growing up with English as a second language creates a potential barrier on the path toward educational success. Written and oral communication skills are essential learning outcomes students must master in order to succeed in both college studies and workplace: 73 percent of employers nationwide want colleges to place more emphasis on these soft skills. Establishing a joint writing center—in partnership with AWC—is a crucial endeavor to support students from the very beginning of their academic career at AWC and as they progress through NAU programs. The continuity of the Center’s services throughout the student’s career, the familiar and nurturing staff, the high quality tutoring and coaching, are the key elements of the program. NAU’s successful writing center on the Flagstaff campus will serve as a model. 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. 67 NAU-YUMA Expansion PAGE 4 Learn More Strategic Initiatives—Budget Summary Strategic Initiative Applied Research Center Academic Program Expansion Student Support Services - Writing Center Total Budget FY 2008 $500,000 $0 $0 $500,000 FY 2009 $0 $500,000 $250,000 $750,000 FY 2010 Total Budget $0 $500,000 $750,000 $1,250,000 $0 $250,000 $750,000 $2,000,000 NA-YUMA Proposed Organizational Chart Northern Arizona University has been serving the educational needs of rural Arizona for more than 25 years. With 39 campuses across the state—many established in partnership with community colleges—and implementation of NAU’s signature Expand on Demand model, the university has been able to continuously improve the access of Arizona citizens to higher education. LEARN MORE Contact Fred Hurst, Vice President, at fred.hurst@nau.edu, or 928-523-6598. 68 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF ) a n o z i r A n i h t l st Hea e r o F g n i t o Prom September 1, 2008 Business Plan: $1.15 million Introduction In 2003, Governor Janet Napolitano created the Forest Health Advisory Council and the Forest Health Oversight Council in response to the escalating number, frequency, and intensity of wildfires threatening Arizona’s forests and communities. The councils were directed to develop policy recommendations in the area of forest health, severe forest fires, and community protection. In 2005, the Councils established a sub-committee to begin work on a 20-year strategy to restore forest health, protect communities from fire, and encourage appropriate forestbased economic development. The report from that committee, “A Statewide Strategy for Restoring Arizona’s Forests”, released in June, 2007, identified five key strategies: • increase the human and financial resources dedicated to restoring Arizona’s forests and protecting communities, • coordinate and implement action at the landscape-scale, • increase the efficiency of restoration, fire management, and community protection activities, • encourage ecologically sustainable, forest-based economic activity, and Contents Introduction 1 Introduction 2 Operational Strategies 3 Financials 4 Project’s most relevant ABOR issues: • Increase Student Participation in University Education • Enhance the quality of Student Education • Increase Affordable Education for Students • Provide an Educated, Competitive Workforce • Optimize University Resource 69 Healthy Forest PAGE 2 I n t ro d u c t i o n • build public support for accomplishing restoration, community protection, and fire management across the state. Dr. W. Wallace Covington, director of NAU’s Ecological Restoration Institute (ERI), co-chaired the Governor’s Forest Health Advisory Council, and was a member of the Strategy Subcommittee. Many of the tenets embedded in the strategies and recommendations of the subcommittee emerged as a result of Dr. Covington’s research. ERI employees and resources played a significant role in the development of the strategy. This is the first coordinated strategy to be developed in the West and positions the State of Arizona to attract more human and financial resources for innovative approaches to forest restoration, wildfire avoidance, and the development of restoration-based economic opportunities. Participation and leadership to develop the strategy is one illustration of the commitment of NAU to use the unique assets of the University to help the citizens of Arizona solve contemporary problems. The ERI is a nationally acclaimed program with a proven track record of working with others to restore forests, identify economic development opportunities and develop strategies for community protection. The financial support from the ABOR Innovation Fund will allow NAU to provide the scientific support and leadership required to contribute to the implementation of the strategy and to help solve the wildfire and forest health problem throughout Arizona. Mission: To serve as an objective leader in research, scholarship, and education, and in collaborative efforts to plan and implement restoration treatments for frequent-fire forest and woodland landscapes of the Interior West. Rodeo-Chediski fire, Arizona, 2002, 468,638 acres. Loss to Arizona residents: $400 million 70 Strategic Plan PAGE 3 O p e r at i o n a l s t r at e g i e s a n d g oa l s For the statewide strategy to be successful coordinated action is needed by federal agencies, communities, businesses, citizens, and decision-makers. During the next year the ERI will play a leadership role in the Governor’s Forest Health Council. In addition, the ERI will: • Provide support for a wood characterization study that will identify the amount and type of wood that is available for mechanical thinning and private utilization for wood products and biomass energy. This action is essential to provide the private sector the information they need for business planning and investment. • Support communities that are planning projects. This effort includes community consultations, presentations and field trips. • Provide technical assistance to translate and transfer research to land managers on fire behavior and forest restoration for application in the design and implementation of restoration and hazardous fuel reduction treatments. This includes: consultations and field trips with land managers; rapid ecological assessments and fulfilling information requests. ABOR Innovation Funds will also be used to build upon the extensive investment already made in applied NAU research. These activities include: • Synthesis of research findings and transfer of information for practical application on restoration treatment effects on reducing the hazard of severe crown fires, and ecological restoration of pinyon-juniper woodlands—the largest forested vegetation type in Arizona and a potential source of biomass • Prevention of loss to wildfire of natural resources and communities through testing and application of forest restoration techniques • Development of trained professionals for the Arizona workforce in restoration and forest health — undergraduate research assistants, forestry focus area students in ecological restoration, and graduate students at the M.S. and Ph.D. levels) • Development of Arizona based public and private sector native plant restoration capabilities for reseeding or replanting following wildfires and other damage, thereby reducing the costly and dangerous effects of invasion by non-native plant species. 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. 71 Healthy Forest PAGE 4 Financials The state funding provided to the ERI in the past has enabled state resources to be leveraged with federal funding to make significant advancements towards restoring Arizona’s forests. The Innovation Fund support will permit the ERI to increase the scope and extent of our outreach activities. This support is in line with recommendation #1 of the sub-committee: to invest additional resources in restoring forests and protecting communities. NAU was awarded $1.15 million to allow ERI to expand its research, education and outreach activities so that the benefits of forest health are made available to the people, communities, and governments of Arizona. The funding will be allocated over three fiscal years beginning in fiscal year 2009. The majority of the budget is dedicated to supporting the personnel required to carry out the research, education, and outreach activities articulated in this plan. The remaining budget supports the travel to communities and national forests, supplies and equipment necessary to complete the goals. This funding will leverage other state and federal funds to maximize leverage and value to all NAU-ERI customers (people, communities, and governments). Budget Summary Budget Summary Salary ERE Travel Operations & Supplies Total Budget FY09 FY10 FY11 Total $ 231,378 $ 262,906 $ 262,906 $ 757,190 $ 99,162 $ 112,674 $ 112,674 $ 324,510 $ 11,676 $ 14,652 $ 14,652 $ 40,980 $ 7,784 $ 9,768 $ 9,768 $ 27,320 $ 350,000 $ 400,000 $ 400,000 $ 1,150,000 The ERI was formally established by the Arizona Board of Regents in 1997 and by federal legislation in 2004. The ERI is funded by a combination of programmatic state and federal funding and through competitive grants programs. LEARN MORE Contact W. Wallace Covington, director of NAU’s Ecological Restoration Institute (ERI), at 928-523-7182. 72 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, 2008 Northern Arizona 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 opportunities that may arise. As with all NAU TRIF initiatives, these funds have been and 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 and environmental and biotechnological research, development, and education. University Initiatives ensures 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—3 Financial Information 3 Goals 4 Management 4 Advisory Boards 4 Learn More 4 Dr. John Haeger, President Northern Arizona University Photo credit Tom Alexander 73 PAGE 2 UNIVERSITY INITIATIVES P e r f o r m a n c e a na lys i s Exterior of New Laboratory Facility Occupied: January, 2007 Interior of New Laboratory Facility Occupied: January, 2007 Existing Health Professions Bldg. New Health Professions Bldg is in Initial Planning Phase Expected Completion: FY 2010 74 UNIVERSITY INITIATIVES PAGE 3 P e r f o r m a n c e a na lys i s Applied Research and Development Bldg Occupied: April 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 Actual FY 2007 Revised Budget FY 2007 Actual FY 2008 Revised Budget FY 2009 Budget FY 2010 Budget FY 2011 Budget REVENUE Carry Forward $0 $206,744 $664,608 $1,674,629 $3,054,612 $5,159,771 $120,491 $120,491 $1,175,101 $0 $0 TRIF Revenue TOTAL REVENUE $298,203 $590,810 $938,517 $2,552,961 $1,764,371 $690,001 $1,432,058 $1,201,319 $1,432,058 $1,626,521 $2,133,760 $298,203 $797,554 $1,603,125 $4,227,590 $4,818,983 $5,849,772 $1,552,549 $1,321,810 $2,607,159 $1,626,521 $2,133,760 OPERATING BUDGET Personal Services $36,174 Operating Building Renovation Conference Center $72,666 $62,927 $266,070 $340,462 $153,992 $434,713 $219,039 $224,100 $345,519 $364,523 $55,285 $60,280 $17,761 $188,050 ($681,250) $483,950 $1,117,836 $90,491 $2,383,059 $1,281,002 $1,769,237 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $3,091,339 $0 ($162,821) $0 $0 $0 Debt Service $0 $0 $0 $0 $0 $2,000,000 $0 $0 $0 $0 $0 TOTAL EXPENDITURES $91,459 $132,946 $80,688 $454,120 ($340,788) $5,729,281 $1,552,549 $146,709 $2,607,159 $1,626,521 $2,133,760 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. 75 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. Initiatives that have been funded so far include Investment in the Applied Research and Development and Laboratory Sciences buildings, helping to advance research and scientific education Support of TGen North and the Keim laboratory in advancing scientific research in Northern Arizona. Investment in the High Country Conference Center, a facility that is already exceeding expectations in the economic benefits it is bringing to Northern Arizona, in the form of conference attendees and their families. 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. On the near horizon are projects such as: Supplement legislatively allocated (SPEED) funds to build a showcase Health Professions Education building to accommodate expanded and new health care programs NAU President Fund an innovative, interdisciplinary Health Policy Institute to complement the investment in health care programming. Continue to improve science facilities and broaden faculty research opportunities to compete for Science Foundation Arizona Grants. NAU TRIF Oversight Board NAU Provost NAU VP for Research Oversight Board Membership: Paul Begovac W.L. GORE & Associates, Inc. Saundra Johnson, Chair Flinn Foundation Julie Pastrick Flagstaff Chamber of Commerce Gary Smith Unisource Carl Taylor Coconino County Board of Supervisors Nat White Lowell Observatory M a nag e m e n t NAU President, Dr. John D. Haeger, oversees University Initiative activities. He is assisted in this effort by the Oversight Board, Provost and Vice President for Research. Appropriate Vice Presidents and Deans will also participate in specific projects. LEARN MORE Contact: Dr. John Haeger, President at John.Haeger@nau.edu or (928) 5233232 76 THE UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 - 2011 BUDGETS SUMMARY FY 2007 ACTUAL 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 Bioresearch Program Optical Sciences and Technology Program Water & Environmental Sustainability Program Higher Education in Rural Southern Arizona Education and Infrastructure Program Planning for Phoenix Biomedical Campus Expansion of Phoenix Biomedical Campus ASU-UA Joint Biomedical Research Fund ASU-UA Solar Energy Venture Fund EXPENDITURES GRAND TOTAL $ $ $ FY 2008 REVISED BUDGET 6,812,073 25,351,822 32,163,895 $ 8,486,483 2,606,677 8,410,706 19,503,866 $ $ 169,007 4,465,000 4,634,007 FY 2008 ACTUAL 9,005,784 28,202,982 37,208,766 $ 19,507,736 5,857,258 6,851,531 32,216,525 $ $ 495,620 4,496,621 4,992,241 FY 2009 REVISED BUDGET 9,005,784 26,384,855 35,390,639 $ 11,666,431 3,476,967 11,262,728 26,406,126 $ $ (285,963) 3,416,469 3,130,506 FY 2010 REVISED BUDGET 5,854,007 28,212,883 34,066,890 $ 17,564,781 5,430,220 6,327,954 29,322,955 $ $ 4,743,935 4,743,935 FY 2011 REVISED BUDGET 29,894,559 29,894,559 $ 14,440,531 4,387,488 6,061,688 24,889,707 $ $ 5,004,852 5,004,852 31,004,019 31,004,019 15,111,352 4,606,321 6,006,228 25,723,901 5,280,118 5,280,118 $ 24,137,873 $ 37,208,766 $ 29,536,632 $ 34,066,890 $ 29,894,559 $ 31,004,019 $ 5,878,772 3,187,607 3,473,905 8,160,936 211,146 2,009,192 187,472 1,028,843 $ 10,960,407 4,350,138 6,063,856 500,000 10,203,132 538,854 1,448,808 1,312,528 1,050,000 781,043 $ 9,000,889 3,340,957 5,001,366 9,100,061 447,332 920,628 1,040,892 224,876 459,631 $ 9,600,725 4,328,463 5,150,109 810,594 10,429,549 91,522 1,589,051 271,636 1,525,124 270,117 $ 8,311,977 3,678,161 4,563,963 250,000 10,329,865 1,140,000 500,000 800,000 320,593 $ 8,447,633 3,825,288 4,746,521 10,832,465 1,140,000 500,000 800,000 712,112 $ 24,137,873 $ 37,208,766 $ 29,536,632 $ 34,066,890 $ 29,894,559 $ 31,004,019 77 THE UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 BUDGET / ACTUAL SUMMARY BY PROGRAM AREA FY 2008 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 Bioresearch Program Optical Sciences and Technology Program Water & Environmental Sustainability Program Higher Education in Rural Southern Arizona Education and Infrastructure Program Planning for Phoenix Biomedical Campus Expansion of Phoenix Biomedical Campus ASU-UA Joint Biomedical Research Fund ASU-UA Solar Energy Venture Fund EXPENDITURES GRAND TOTAL $ $ $ FY 2008 ACTUAL 9,005,784 28,202,982 37,208,766 $ 19,507,736 5,857,258 6,851,531 32,216,525 $ $ 495,620 4,496,621 4,992,241 9,005,784 26,384,855 35,390,639 11,666,431 3,476,967 11,262,728 26,406,126 $3.3 Optical Sciences and Technology Program 11% $5.0 Water & Environmental Sustainability Program 17% (285,963) 3,416,469 3,130,506 $ 37,208,766 $ 29,536,632 $ 10,960,407 4,350,138 6,063,856 500,000 10,203,132 538,854 1,448,808 1,312,528 1,050,000 781,043 $ 9,000,889 3,340,957 5,001,366 9,100,061 447,332 920,628 1,040,892 224,876 459,631 37,208,766 $ $ FY 2008 UA ACTUAL TRIF EXPENDITURES (in millions) $9.0 Bioresearch Program 30% $.5 Venture Fund 2% $.2 ASU-UA Solar Energy 1% $9.1 Education and Infrastructure Program 31% $.9 Expansion of $1.0 ASU-UA Phoenix Joint Biomedical Biomedical Research Fund Campus 4% 3% $.4 Planning for Phoenix Biomedical Campus 1% 29,536,632 78 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) AM TRIF PROGR September 1, 2008 THE UNIVERSITY OF ARIZONA TRIF PROGRAM The Technology and Research Initiative Fund (TRIF) is a special investment in higher education made possible by the passage of Proposition 301 by Arizona voters in 2000. The TRIF portion of the proceeds from a six-tenths of a cent increase in state sales tax are administered by the Arizona Board of Regents and given to the state’s public universities. At the University of Arizona, TRIF funds support creative research efforts in critical high-technology areas, translation of research results to clinical or commercial application, and education of a workforce prepared for the knowledge-based economy of the 21st Century. Funds also support specialized research facilities, enhancement of technology transfer, and distancelearning activities. Contents Introduction 1 Performance Measures 2 Financial Information 3 Advisory Boards 4 Learn More 4 Research-intensive TRIF activities fall under Programs that capitalize on broad research and teaching strengths that meet important community needs: • Bioresearch, which includes the BIO5 Institute for bioscience and biotechnology, the McKnight Brain Institute, and the Arizona Clinical and Translational Research and Educational Consortium; • Optical Sciences and Technology, which has especially strong ties with industry; and • Water and Environmental Sustainability, which includes Water Sustainability and Translational Environmental Research initiatives. Two additional programs are funded by ABOR’s TRIF Strategic Investments fund. The UA-ASU Solar Energy Initiative, collaborative with Arizona State University, provides funds for new research, develops existing knowledge for industrial enterprise, and develops educational and outreach programs related to solar energy. Higher Education in Rural Southern Arizona delivers training and border commerce programs in Arizona’s border countries in a hybrid of on-site and distance education. Our final Program, in Education and Infrastructure, includes the Educator Development Plan, distance education through Anyplace Access for Arizonans, and on-line degree and certificate programs of the College of Nursing. Cross-cutting, foundational support for many activities is provided through Critical Core Infrastructure and Technology Transfer Infrastructure. Meredith Hay, Ph.D. Executive Vice President and Provost Leslie P. Tolbert , Ph.D. Vice President for Research, Graduate Studies, and Economic Development 79 12 0 New Start-up Companies Economic Impact Studies 0 8 Teachers Certified in Agriculture Supercomputer Usage Building Networks Brought to Standards DATA AND RESEARCH ACCESS & NETWORK Enrollments in Web & Hybrid Courses Communities Assisted Users of Extension & Workplace Resources Workshops, Seminars, & Conferences Supported K-12 Students Benefitting & Participating Teachers/Educators Trained OUTREACH & EDUCATION Curriculum Innovations program implemented Number of Online Courses Offered Number of Newly Revised Courses Offered CURRICULUM INNOVATIONS & STUDENTS SERVED New Faculty Hires Number of Affiliate Clinical Partners in ACTREC Clinical Scholars Circle Members Number of New Certificates Offered Number of Certificates Granted 80 Percentile-ranked access to advanced networks 0 0 11 2,150 0 P1 0 11 28 Teachers Certified in Master's Level Math & Science Total Student Credit Hours Produced 7 Teachers Certified in Undergraduate Level Math & Science 50 Postdoctoral Trainees Undergraduates taking non-technical minor Graduate Trainees 25 1 2 Undergraduate Trainees ACIST graduates benefitting from minors in related areas 3 0 Growth in Optics-Related Distance Learning Enrollment 0 12 Number of Undergraduate Degrees Awarded Growth in Optics-Related Undergraduate Enrolment New Graduates from ACIST related programs Number of Graduate Degrees Awarded Growth in Graduate Enrollment Number of Undergraduates Enrolled Number of Graduate Students Enrolled 35 78 Patent Applications WORKFORCE CONTRIBUTIONS 18 109 0.71 Licenses & Options Invention Disclosures TECHNOLOGY TRANSFER & COLLABORATIONS $ Patent Royalty Income 1.17 $ 14.78 $ Gifts & Other Sources RETURN ON INVESTMENT (IN MILLIONS) Sponsored Awards FY02 Actual $ $ 20,450 493 9 29,390 524 39 10 16 13 25 12 100 50 2 16 9 48 658 25 69 266 20 1183 0 2 129 99 168 1.08 5.11 $ 22.92 FY03 Actual $ $ 24,528 58,000 11 32,730 880 40 19 9 16 26 22 150 100 3 54 22 32 705 44 256 280 26 1318 1 7 164 42 141 1.01 2.58 $ 50.19 FY04 Actual 11 38,545 1,032 6 28 8 13 16 40 20 111 77 3 75 40 32 733 25 224 285 4 1378 1 9 177 57 167 1.18 0.55 35,353 103,000 $ $ $ 39.92 FY05 Actual 29 77,352 1,217 2 28 10 13 9 12 24 24 75 75 140 379 313 23 1014 (12) 100 420 29 1429 0 8 173 33 118 1.69 1.15 77,557 156,055 $ $ $ 46.79 FY06 Actual 1 90% 75th 1 75th or better 104,715 85-90% 39,373 7 38 84,474 1,419 16 49 22 3 44 0 11 24 24 156 368 390 (8) 0 (40) 29 15 219 2 4 145 35 161 1.27 2.28 31,415 $ $ $ 72.59 5 22 42,925 1,063 37 15 16 9 40 50 15 30 40 158 339 284 5 0 4 58 3 326 1 15 115 42 182 1.58 2.00 FY07 Actual 200,000 $ $ $ 60.01 FY07 Proj 24 69,200 1,179 10 9 9 14 50 0 58 0 17 30 40 154 361 290 8 0 6 40 4 20 400 1 6 125 44 165 1.73 2.26 75th or better 85-90% 1 41,085 10 250,000 $ $ $ 64.84 FY08 Proj 73 74,727 1,470 20 15 12 32 52 0 85 0 13 14 25 167 478 412 (34) 0 (5) 56 (4) 20 276 0 6 189 45 152 0.79 7.29 50th 78% 1 2,154 9 225,503 $ $ $ 96.35 FY08 Actual 34 75,000 1,220 25 33 12 21 80 2 99 300 19 25 30 159 375 296 8 0 4 45 3 56 344 1 8 134 46 174 1.89 2.96 75th or better 85-90% 1 2,434 10 300,000 $ $ $ 71.16 FY09 Proj 42 80,850 1,253 23 116 12 34 120 2 135 400 20 25 30 162 401 304 10 20 6 53 4 66 369 1 9 143 53 186 2.04 3.55 75th or better 85-90% 1 2,734 10 350,000 $ $ $ 75.96 FY10 Proj 51 85,900 1,294 28 323 12 47 150 2 173 500 20 25 30 179 421 307 10 30 4 61 4 76 406 1 13 153 61 198 2.19 4.25 75th or better 85-90% 1 3,024 10 400,000 $ $ $ 86.11 FY11 Proj PAGE 2 PERFORMANCE MEASURES Return on Investment Water and Environmental Sustainability Program 1,070,234 Expenditures - Expenditures - Expenditures - 0.5:1 Expenditures Return on Investment 3,864,703 2,182,290 Revenue ACIST - 1.2:1 4,286,510 5,813,439 - - - - Expenditures - Revenue Higher Education in Rural Southern Arizona Return on Investment Expenditures Revenue - - - - ASU-UA Solar Energy Initiative - Expenditures - - - - - - 2,903,876 3,468,894 2.2:1 827,112 922,432 0.6:1 6,014,645 0.7:1 4,859,477 5,747,018 - - - - - - - - - - - - 2,523,545 3,076,975 1.2:1 1,667,088 2,104,886 4.5:1 4,480,050 4,846,348 6.6:1 0.9:1 4,350,084 5,271,272 - - - - - - - - - - - 68,123 2,706,933 3,170,342 1.5:1 2,302,796 2,898,746 0.7:1 3,627,920 4,858,145 4.3:1 6,220,377 8,741,603 FY05 Actual 0.5:1 3,876,167 4,307,688 - - - - - - - - - - 68,123 68,123 3,151,044 3,549,332 0.9:1 3,813,467 4,503,450 1.9:1 5,142,408 5,277,994 3.5:1 7,645,577 8,332,381 FY06 Actual - - - - - - - 2,009,192 2,145,000 211,146 750,000 187,472 1,000,000 1,028,843 1,201,622 8,160,936 8,718,378 3.0:1 3,473,905 5,335,450 6.8:1 3,187,607 3,782,078 6.4:1 5,878,772 9,231,367 FY07 Actual - - - 500,000 500,000 N/A 1,050,000 1,050,000 1,448,808 1,448,808 538,854 538,854 1,312,528 1,312,528 781,043 781,043 10,203,132 10,203,132 2.5:1 6,063,856 6,063,856 3.8:1 4,350,138 4,350,138 2.9:1 10,960,407 10,960,407 FY08 Revised Budget - - - - 500,000 N/A 224,876 1,050,000 920,628 1,269,679 447,332 538,854 1,040,892 1,052,528 459,631 603,234 9,100,061 9,721,719 3.8:1 5,001,366 5,854,659 9.4:1 3,340,957 4,193,386 5.2:1 900,889 10,606,580 FY08 Actual - - - 810,594 810,594 1.3:1 1,525,124 1,525,124 1,589,051 1,589,051 91,522 91,522 271,636 271,636 270,177 270,117 10,429,549 10,429,549 2.3:1 5,150,109 5,150,109 3.9:1 4,328,463 4,328,463 4.1:1 9,600,725 9,600,725 FY09 Revised Budget - - - 250,000 250,000 3.5:1 800,000 800,000 1,140,000 1,140,000 - - 500,000 500,000 320,593 320,593 10,329,865 10,329,865 2.8:1 4,563,963 4,563,963 4.7:1 3,678,161 3,678,161 5.1:1 8,311,977 8,311,977 FY10 Revised Budget 8.5:1 - - - - - 800,000 800,000 1,140,000 1,140,000 - - 500,000 500,000 712,112 712,112 10,832,465 10,832,465 2.9:1 4,746,521 4,746,521 4.6:1 3,825,288 3,825,288 5.7:1 8,447,633 8,447,633 FY11 Revised Budget ARIZONA TRIF PROGRAM Revenue Expansion of Phoenix Biomedical Campus - Revenue Planning for Phoenix Biomedical Campus - Revenue ASU-UA Joint Biomedical Research Fund - Revenue Venture Fund 2,233,439 Expenditures - 32,203 Revenue Education and Infrastrucuture Program Return on Investment Expenditures 474,283 4.0:1 Expenditures Revenue 4,395,646 2,859,694 Revenue 6,339,470 2.2:1 0.7:1 Optical Sciences and Technology Program 3,852,669 5,617,329 FY04 Actual OF Return on Investment 7,199,779 4,837,623 2,075,899 Expenditures 7,565,242 FY03 Actual Revenue Bioresearch Program UA CONSOLIDATED TRIF FINANCIAL SCHEDULE FY02 Actual F I N A N C I A L I N F O R M AT I O N UNIVERSITY PAGE 3 81 UNIVERSITY PAGE 4 OF ARIZONA TRIF PROGRAM M A N AG E M E N T A N D A DV I S O RY B OA R D S Management: All University of Arizona TRIF activities report to Dr. Meredith Hay, Executive Vice President and Provost and Dr. Leslie P. Tolbert, Vice President for Research, Graduate Studies, and Economic Development. The Directors of the University’s TRIF Programs and the individual Initiatives that fall under them are listed below: HIGHER EDUCATION IN RURAL SOUTHERN ARIZONA: Mr. Michael Proctor, Vice President for Outreach and International Programs BIORESEARCH PROGRAM LEADER: Dr. Vicki Chandler, Director, The BIO5 Institute and Regents’ Professor and Carl E. and Patricia Weiler Endowed Chair WATER AND ENVIRONMENTAL SUSTAINABILITY PROGRAM: ACTREC: Dr. Peter Lance , Professor, Medicine BIO5: Dr. Vicki Chandler, Regents’ Professor, BIO5 institute Evelyn F. McKnight Brain Institute: Dr. Carol A. Barnes, Regents’ Professor and Evelyn F. McKnight Endowed Professor, Psychology EDUCATION AND INFRASTRUCTURE PROGRAM LEADER: Dr. Ronald Marx, Dean, College of Education Anyplace Access for Arizonans: Mr. Michael Proctor, Senior Associate Vice President for University Outreach and International Programs Critical Core Infrastructure: Ms. Michele Norin, CIO and Executive Director, University Information Technology Services Nursing Online Programs: Dr. Carolyn Murdaugh, Interim Dean and Professor, College of Nursing Technology Transfer Infrastructure: Mr. Bruce Wright, Associate Vice President for Economic Development, and Dr. Patrick Jones, Director, Office of Technology Transfer. Workforce Initiative: The Educator Development Plan: Dr. Ronald Marx, Dean, College of Education OPTICAL SCIENCES AND TECHNOLOGY PROGRAM: Dr. James C. Wyant, Dean and Professor, College of Optical Sciences Translational Environmental Research: Dr. Jonathan Overpeck, Director, Institute for the Study of Planet Earth Water Sustainability: Dr. Sharon Megdal, Director, Water Resources Research Center, College of Agriculture and Life Sciences ASU-UA JOINT BIOMEDICAL RESEARCH FUND: Dr. Leslie P. Tolbert, Vice President for Research, Graduate Studies, and Economic Development UA-ASU SOLAR ENERGY INITIATIVE: Dr. Joseph Simmons, Department Head and Professor, Materials Science and Engineering EXPANSION OF PHOENIX BIOMEDICAL CAMPUS: Mr. Joel Valdez, Senior Vice President, Business Affairs PLANNING FOR PHOENIX BIOMEDICAL CAMPUS: Mr. Joel Valdez, Senior Vice President, Business Affairs VENTURE FUND: Dr. Meredith Hay, Executive Vice President and Provost, and Dr. Leslie P. Tolbert, Vice President for Research, Graduate Studies, and Economic Development Advisory Boards: Each University of Arizona TRIF Initiative has its own Advisory Board, composed of experts in the community who can help to steer activities toward maximum societal impact. The four TRIF Programs have Advisory Boards that comprise select members from the Boards of the individual initiatives. within the Programs. For additional information, please refer to page 4 of the brochures for the individual TRIF Programs. 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. 82 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) e gy Initiativ o l o n h c e T nces and OGRAM Optical Scie SEARCH PR BIORE S September 1, 2008 TRIF UA Bioresearch Program faculty, students, and staff tackle complex and pressing problems of critical importance to Arizona and the nation. They do so by conducting leading edge interdisciplinary research and training initiatives, and putting in place crucial technology platforms and clinical trials infrastructure. UA’s TRIF-supported scientists are developing new ways to diagnose, treat and prevent disease; uncovering the biological basis of cognition and developing methods to reduce the negative impact of aging; and improving agriculture to better feed the world while maintaining livable environments. Through its research programs in bioengineering, drug discovery, genome structure and function, quantitative biology, and the neural basis for memory changes, scientists address cancer, diabetes, heart, neurological and respiratory diseases, cognition and aging. They develop new diagnostic tools; improve yield and nutritional quality of crops; and develop plants as sources of pharmaceuticals. The UA Bioresearch Program is building the infrastructure to transfer research breakthroughs into applications that directly benefit society. A key aspect is the training of a new generation of clinical and translational scientists, who are bridging the gap between basic and clinical sciences and who will transform research discoveries into new medicines to treat patients and preserve health. This requires the creation of statewide structures for clinical and translational research, application of biomedical informatics and enabling technologies, and financial support of teams of clinical and translational investigators. A second key aspect is moving discoveries to market through innovative programs and multiple partnerships with the private sector. A third key aspect is improving science education in K-12 and training the next generation of interdisciplinary scientists. Vicki Chandler has overall responsibility for the TRIF UA Bioresearch Program, which supports three initiatives: the BIO5 Institute (directed by Vicki Chandler), the McKnight Brain Institute (directed by Carol Barnes) and ACTREC (Arizona Clinical and Translational Research and Education Consortium, directed by M. Peter Lance). Measures and goals are combined for all three initiatives. Contents Introduction 1 Performance Measures 2 Performance Analysis 2 Technology Transfer 2 Financial Information 3 Work Force Contribution 3 K-12 Science and Math 3 Educational Outreach 3 Goals 4 Management and Boards 4 Vicki L. Chandler, Ph.D. Director, BIO5 Institute Regents' Professor Carl E. and Patricia Weiler Endowed Chair 83 PAGE 2 PERFORMANCE MEASURES FY 02 Actual FY03 Actual FY04 Actual FY05 Actual FY06 Actual FY07 Proj FY07 Actual FY 08 Proj FY 08 Actual FY 09 Proj FY10 Proj FY11 Proj RETURN ON INVESTMENT Sponsored Awards: ($ in millions) Federal Awards $1.4 $15.7 $25.3 $26.5 $26.9 $29.9 $36.3 $ 30.1 $ 45.9 $ 38.1 $ 41.2 $ 46.3 $1.4 $15.6 $25.1 $26.2 $26.5 $28.9 $35.3 $ 27.1 $ 37.8 $ 33.1 $ 33.2 $ 33.3 $0.1 $0.2 $0.3 $0.4 $1.0 Industrial Awards $1.0 $ 1.5 $ 0.6 $ 2.5 $ 3.5 $ 6.5 $ 1.5 $ 7.5 $ 2.5 $ 4.5 $ 6.5 $1.4 $ 1.2 $ 1.3 $ 1.3 $ 1.4 $ 1.5 Other Awards Gifts & Other Sources $0.2 $1.1 TECHNOLOGY TRANSFER & COLLABORATIONS Invention Disclosures1 57 46 65 30 22 30 24 23 27 28 29 Licenses & Options1 75 17 25 7 4 4 5 4 6 7 8 37 63 50 37 1 1 0 0 2 0 2 Patent Applications 1 New Start-up Companies 1 WORKFORCE CONTRIBUTIONS 1,183 1,299 1,341 1,268 Number of Undergraduate Degrees Awarded Number of Graduate Students Enrolled 658 705 733 1,014 Number of Graduate Degrees Awarded 266 280 285 420 Undergraduate Trainees 273 242 338 247 348 253 258 261 Graduate Trainees 290 254 300 266 380 280 303 323 Postdoctoral Trainees 137 154 148 146 161 150 151 166 6 5 10 5 8 8 8 8 40 44 50 52 80 120 150 9 3 14 32 21 34 47 220 113 289 200 730 200 200 200 35,082 9,175 45,342 30,000 40,007 30,000 30,000 30,000 10 11 12 11 47 19 26 35 New Faculty Hires 7 8 8 6 Clinical Scholars Circle Members Number of Affiliate Clinical Partners in ACTREC OUTREACH & EDUCATION Teachers/Educators Trained K-12 Students Benefitting & Participating Workshops, Seminars, & Conferences Supported 1 3 3 3 3 FY03 to FY06 activities include all UA Life Sciences; FY06 to FY08 and projections are BIO5 activities only. P E R F O R M A N C E A NA LYS I S The Bioresearch Program funds are significantly leveraged to improve Arizonans’ lives through conducting leading edge basic and applied research and training programs, moving discoveries to market and increasing the number of businesses in Arizona, preparing students for careers in science, technology and medicine, and improving K-12 science education. R E T U R N O N I N V E S T M E N T ( RO I ) Achievements of faculty members who are or have been directly supported by TRIF are reported. Bioresearch Program faculty continue to be nationally competitive in garnering federal research dollars, in spite of very tight federal budgets. For example, outstanding faculty and the BIO5 Institute’s infrastructure led to a $50 million NSF grant, ($6.6M in FY08), to establish the iPlant Collaborative. The $1 million match each year from McKnight Brain Research Foundation provides a firm base for the McKnight Brain Institute, and ACTREC is providing invaluable infrastructure to support the CATS Research Center that opened January 2008, and the Health Research Alliance Arizona (HRAA) consortium that is submitting a second statewide application for a NIH Clinical Translational Science Award (CTSA) in October 2008. T E C H N O L O G Y T R A N S F E R A N D I N D U S T RY C O L L A B O R AT I O N The commercialization of new products and processes and the expansion of the biotechnology industry is facilitated through interactions and collaborations among faculty, students, and industrial scientists and making our leading-edge facilities available 84 PAGE 3 F I NA N C I A L I N F O R M AT I O N FY02 Actual FY03 Actual FY04 Actual FY05 Actual FY06 Actual FY08 Revised Budget FY07 Actual FY08 Actual FY09 Revised Budget FY10 Revised Budget FY11 Revised Budget REVENUE Carry Forward $ - $ 2,761,724 $ 365,463 $1,764,660 $ 2,521,226 $ 2,586,804 $ 3,352,595 $ 3,352,595 $ 1,605,691 $ New TRIF Revenue $ 4,837,623 $ 4,803,518 $ 5,251,866 $ 5,811,155 $ 6,644,563 $ 7,107,812 $ 6,753,985 $ 7,495,034 $7,811,977 $7,947,633 Regents Innovation Fund $ $ $ $ $ $ 500,000 $ 500,000 $ 500,000 $ 500,000 $ 500,000 TOTAL REVENUE $ 4,837,623 $ 7,565,242 $ 5,617,329 $8,741,603 $8,332,381 $ 9,231,367 $10,960,407 $10,606,580 $ 9,600,725 $8,311,977 $8,447,633 Personal Services $ 620,100 $ 3,325,935 $ 308,333 $2,594,735 $3,604,324 $ 3,350,614 $ 8,945,207 $ 6,199,528 $ 7,834,755 $6,568,007 $6,703,163 All Other Operating Expenses $ 1,195,799 $ 3,713,844 $ 1,544,336 $1,475,642 $2,353,434 $ 2,359,151 $ 1,165,200 $ 3,115,606 $ 1,265,970 $1,243,970 $1,244,470 Capital $ 260,000 $ 160,000 $ 2,000,000 $2,150,000 $1,687,819 $ 169,007 $ $ (316,028) $ $ $ $ - $ $ $ $ $ 1,783 $ 500,000 $ 500,000 $ 500,000 $ 9,000,889 $ 9,600,725 $8,311,977 $8,447,633 - - $6,976,943 - $ - - - - $ - EXPENDITURES Regents Innovation Fund TOTAL EXPENDITURES Return on Investment - $ 2,075,899 0.7:1 - - $ 7,199,779 $ 3,852,669 $6,220,377 2.2:1 6.6:1 4.3:1 - $7,645,577 3.5:1 - 350,000 $ 500,000 $ 5,878,772 $10,960,407 6.4:1 2.9:1 5.2:1 - 4.8:1 - $ 5.1:1 - 5.7:1 Notes: 1)Carry forward for FY07 consists of the following: Carry forward of $686,804 from BIO5 Institute; Over-realized revenue of $900,000 from McKnight Brain Institute; and Overrealized revenue of $1,000,000 from Arizona Clinical and Translational Research. 2) TRIF Regents Innovation Fund for the HRAA CTSA statewide effort approved at the December 6—7, 2007 ABOR meeting. 3) Return on Investment (ROI) for FY 2007-2011 was calculated using a new methodology approved by Arizona Board of Regents in March 2007, which is different from the ROI methodology used to calculate ROI in FY 2002-2006. 4) 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. to industry scientists. Researchers continue to generate substantial invention disclosures and licenses & options in the life sciences arena. Examples of recent innovation include new clinical trial funding for a valley fever therapeutic, and clinical trials for FDA approval of detection of highly infectious bacteria endemic in hospital settings. W O R K F O RC E C O N T R I B U T I O N S A critical component of economic development is a workforce to meet the needs of Arizona’s growing bioscience and health industries. Our workforce initiatives from high school through post-graduate are developed in response to industry needs and provide students with exciting experiences that enhance their learning and career opportunities. Our internships expose students to industry settings and community college, high school students and teachers to cutting-edge research at the university. New graduate programs are training the next generation of interdisciplinary researchers. The translational scholars program and clinical scholar’s circle, bringing together basic research faculty mentors and clinical scholars, have been established. K - 1 2 S C I E N C E A N D M AT H E D U C AT I O N To enhance K-12 science and math education, we provide teachers and students in schools all over Arizona access to UA science and math resources and opportunities to participate in hands-on research experiences. We lead workshops and symposia for teachers and provide in-classroom support to assist them in implementing new, exciting curricula that meet state standards. Our programs are externally reviewed and receive significant federal funding, reported under ROI. E D U C AT I O N A L O U T R E AC H National and international scientific meetings have been organized to bring together top investigators in the world. For example, in March 2008, BIO5 hosted the Synthetic Biology Symposium on the UA campus co-sponsored with the Biodesign Institute at ASU. In April 2008, the McKnight Brain Institute hosted the first inter-institutional meeting to foster collaboration among four universities’ brain institutes. Our numerous public outreach events raise awareness of issues concerning biotechnology, health and disease, and aging. 85 PAGE 4 G OA L S • Conduct state-of-the-art interdisciplinary bioresearch and translate it into tangible human benefit. • Foster collaborative research between UA faculty and researchers within other Arizona institutions. • Develop leading-edge interdisciplinary education and training programs for undergraduate and graduate students. • Promote a translational scholars program and a clinical scholar’s circle, which brings together crossdisciplinary senior faculty mentors and clinician scholars in research collaborations. • Improve K-12 science education by providing teachers and students hands-on experiences in 21st century biology. • Facilitate interactions and collaborations between researchers and industry to foster the development of new companies in Arizona. • Strengthen UA’s clinical and translational research infrastructure, including core support for study design, data management and bioinformatics, contracts, and human subjects research (Institutional Review Board interface, patient management, long distance clinical collaboration, good clinical practice, and good laboratory practice). • Enable a statewide clinical science and trial industry by facilitating the development of small businesses that will provide core services and management support to industrial and academic partners interested in performing clinical studies in Arizona. • Organize conferences to promote collaborative research initiatives and education on the national and international level. M A NAG E M E N T BIO5 Director Vicki Chandler reports to Dr. Leslie Tolbert, Vice President for Research, Graduate Studies and Economic Development. Dr. Chandler has overall responsibility for the TRIF UA Bioresearch Program and directs BIO5; Carol Barnes directs the McKnight Brain Institute, and M. Peter Lance directs ACTREC. B OA R D S The TRIF Bioresearch Program has a single oversight board consisting of three business leaders in the biotechnology industry, which reviews the reports from each initiative advisory board(s) with the appropriate expertise for evaluating the initiative. The Oversight Board for the UA TRIF Bioresearch Program consists of Robert Morrison, Executive Director, Desert Angels; Jack Dean, PhD, Past President of U.S. Science and Medical Affairs, Sanofi-Aventis Pharmaceuticals; Joseph Jasinski, PhD, Program Director, IBM Health Care & Life Sciences. BIO5’s External Business Advisory Board is comprised of 14 business leaders from the Tucson region, state and nation. The Science Advisory Board is comprised of six nationally renowned scientists in the fields of research represented at BIO5. BIO5’s internal advisory committees are made up of Deans and faculty leadership from the colleges that partner with BIO5. McKnight Brain Institute’s external review group is the four Trustees of the McKnight Brain Research Foundation. Its Scientific Advisory Board is composed of seven scientists with expertise and significant research interests in aging and memory. The UA ACTREC Advisory Board is composed of the Provost and Vice President of Research of the UA, the Director of BIO5 and the Deans of the seven colleges that carry out biomedical research. LEARN MORE • Contact Dr. Vicki Chandler, Director, Bioresearch Program and Director, BIO5, The University of Arizona, at chandler@ag.arizona.edu or 520-6264272. Visit the BIO5 website at www.bio5.org • Contact Dr. Peter Lance, Director, Arizona Clinical and Translational Research and Education Consortium, The University of Arizona, at plance@azcc.arizona.edu or 520-626-4492 • Contact Dr. Carol Barnes, Director, Evelyn F. McKnight Brain Institute, The University of Arizona, at carol@nsma.arizona.edu or 520-626-2312 • 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 86 TECHNOLOGY AND RESEARCH INITIATIVE FUND tYive ia it yOIn g o G l O o L n h c N e TND TECH dA nS aE sC cEeN n ie c S l a ic I t C p S OOPTICAL PROGRAM September 1, 2008 Optical Sciences and Technology Initiative The University of Arizona College of Optical Sciences is home to the TRIF Optical Sciences and Technology Program. The program 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 Measures 2 Performance Analysis 3 Financial Information 3 Goals 3 Management 4 Advisory Boards 4 Learn More 4 The mission of the TRIF Optical Sciences and Technology Program 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 program is multidisciplinary, with the College of Optical Sciences forming the core. The program targets three critical areas: photonics (red), imaging (blue), and astronomical optics James C. Wyant, Ph.D. Dean, College of Optical Sciences 87 $ 0.096 30 3 Growth in optics-related undergraduate enrollment Growth in optics-related graduate enrollment Growth in optics-related distance learning enrollment 5 15 1 48 15 25 6 $0.019 $3.398 FY03 Actual 6 10 0 32 21 44 0 $0.110 $19.94 FY04 Actual 6 17 0 32 0 25 1 $0.019 $2.428 FY05 Actual 15 23 1 23 23 (12) 1 $0.080 $9.677 FY06 Actual 17 27 25 5 21 0 (8) 15 (40) 3 $ 0.041 $ 0.050 $21.749 FY07 Actual 7 0 5 3 4 2 $ 0.017 $ 0.055 $16.000 FY07 Proj 5 27 8 1 8 4 6 2 $ 0.034 $ 0.060 $16.350 FY08 Proj 8 30 45 1 (34) (4) (5) 1 $ 0.224 $ 0.102 $31.042 FY08 Actual 5 29 15 0 8 3 4 2 $ 0.228 $ 0.065 $16.700 FY09 Proj 6 31 17 1 10 4 6 2 $ 0.232 $ 0.070 $17.050 FY10 Proj Note: Undergraduate enrollment decline is due to increased college admission requirements and large undergraduate graduating classes in FY08. The College of Optical Sciences admitted 61 graduate students for Fall 2008 which is above average enrollment. ROI calculation for FY07 to FY11: Annual Sponsored Awards plus Patent Royal income plus Gifts & Other Sources divided by annual TRIF Optical Sciences and Technology Program Total Expenditures. Sponsored Awards, Patent Royalty income and Gifts & Other Sources (i.e. Affiliates funding) included for university personnel receiving TRIF Optical Sciences and Technology Program funding as defined in the ABOR approved ROI Formula 6 33 20 1 10 4 4 2 $ 0.236 $ 0.075 $17.400 FY11 Proj ROI calculation for FY02 through FY06: Annual New federally funded major optics projects plus New industrial funded major optics projects plus New affiliate sponsors obtained (in $'s) divided by annual TRIF Optical Sciences and Technology Program Total Expenditures . Explanation of ROI Calculations: Workshops, Seminars and Conferences Supported OUTREACH & EDUCATION 7 Patent Applications Invention Disclosures 2 15 New Start-up Companies TECHNOLOGY TRANSFER & COLLABORATIONS 3 12 New Faculty Hires WORKFORCE CONTRIBUTIONS $11.325 Gifts & Other Sources Patent Royalty Income FY02 Actual Sponsored Awards RETURN ON INVESTMENT PERFORMANCE MEASURES ($ IN MILLIONS) PAGE 2 Performance measures 88 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 Program 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. 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 Workforce Development is a major objective of the TRIF courses and distance Optics Alan Kost Dr.professor Mike Nofziger hostshosts a Optical Sciences and Technology Program at the University learning program, and new OSC’s educational outreach programs to week-long summer school for of Arizona. The measures of the optics workforce start-up companies. young from women, Native Americans, students the University of Toyota. development include the development of two-year degree Hispanics, and other historically programs at community colleges, expansion of underrepresented groups. Educational Outreach is intended to introduce students undergraduate/ graduate and distance learning programs, to various career opportunities in Optics through visits to fellowships to support graduate research projects, K-12 and community colleges with a special focus on development of new courses for industrial training under-represented populations, workshops and optics purposes, and outreach to K-12. summer camps, and symposiums in imaging and photonics. FINANCIAL INFORMATION FY02 Actual FY03 Actual FY04 Actual FY05 Actual FY06 Actual FY08 Revised Budget FY07 Actual FY09 Revised Budget FY08 Actual FY10 Revised Budget FY11 Revised Budget REVENUE Carry Forward $ - $ 1,535,952 $ 324,825 $ 366,298 $ 1,230,225 $ 135,586 $ 594,471 $ 594,471 $ 852,429 $ - $ - New TRIF Revenue $ 4,395,646 $ 4,803,518 $ 4,521,523 $ 4,491,847 $ 4,047,769 $ 3,646,492 $ 3,755,667 $ 3,598,915 $ 3,476,034 $ 3,678,161 $ 3,825,288 TOTAL REVENUE $ 4,395,646 $ 6,339,470 $ 4,846,348 $ 4,858,145 $ 5,277,994 $ 3,782,078 $ 4,350,138 $ 4,193,386 $ 4,328,463 $ 3,678,161 $ 3,825,288 EXPENDITURES Personal Services $ 1,004,904 $ 1,781,270 $ 2,688,414 $ 2,209,066 $ 2,575,898 $ 2,143,214 $ 3,764,271 $ 2,143,012 $ 3,842,346 $ 3,266,294 $ 3,491,346 All Other Operating Expenses $ Capital $ 1,000,000 $ 1,000,000 $ 1,000,000 $ 1,000,000 $ 1,000,000 TOTAL EXPENDITURES $ 2,859,694 $ 6,014,645 $ 4,480,050 $ 3,627,920 $ 5,142,408 $ 3,187,607 $ 4,350,138 $ 3,340,957 $ 4,328,463 $ 3,678,161 $ 3,825,288 Return on Investment 854,790 $ 3,233,375 $ 4.0:1 0.6:1 791,636 $ 4.5:1 418,854 $ 1, 566,510 $ 1,044,393 $ 0.7:1 1.9:1 $ - 6.8:1 585,867 $ 1,197,945 $ $ - $ 3.8:1 - 9.4:1 486,117 $ $ 411,867 $ 333,942 $ - - $ 3.9:1 - 4.7:1 4.6:1 Notes: 1) Return on investment (ROI) for FY 2007-2011 was calculated using a new methodology approved by the Arizona Board of Regents in March 2007, which is different from the ROI methodology used to calculate ROI in FY 2002-2006. 2) 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. GOALS The TRIF Optical Sciences and Technology Program 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) 89 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 graduate, • • undergraduate, and distance learning Optics programs, development of new course curriculums to meet industry needs, and further 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 m a nag e m e n t Dr. James C. Wyant, Chair of the TRIF Optics Committee, reports to Dr. Leslie Tolbert, Vice President for Research, Graduate Studies and Economic Development, for the TRIF Optics Program. 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. 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 and Professor; Materials Science & Engineering, Professor; Optical Sciences. Masud Mansuripur: Professor; Optical Sciences, Chair; Optical Data Storage Center. TRIF Astronomical Optics Faculty Advisory Committee Peter Strittmatter (Chair): Department Head; Astronomy, Regents’ Professor; Astronomy, Director; Steward Observatory. J. Roger P. Angel: Regents’ Professor; Astronomy and Optical Sciences. James H. Burge: Associate Professor; Optical Sciences and Astronomy. Jose Sasian: Professor; Optical Sciences and Astronomy. 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 LEARN MORE • Contact Dr. 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@email.arizona.edu or 520-621-3513 • Visit the College of Optical Sciences Website at www.optics.arizona.edu 90 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) Initiative y g o l o n h c e nces and T ie c S l a MENTAL ic t p O D ENVIRON WATER AN ILITY SUSTAINAB September 1, 2008 Arizona’s natural resources, most critically its water supplies, are crucial to the state’s economy and to the health and well-being of its residents. The most pressing environmental issues of our time are especially apparent in arid and semi-arid regions of the globe where population growth is most rapid and lifesupporting resources are most limited. As the leading university in the world with expertise in water, as well as being in the forefront with regard to interdisciplinary work in the earth sciences and environmental studies, the University of Arizona’s Water & Environmental Sustainability Program (WESP) is uniquely positioned to use its strengths to support university, industry, and government collaborations in research, technology, education, and outreach to resolve water and environmental resource challenges. The mission of the WESP is to provide science-based technical, economic, legal, and policy expertise, necessary for water and environmental sustainability in Arizona and other semi -arid regions facing increasing demands on natural resources and the uncertainties of environmental change. It is anticipated that the knowledge and techniques generated will have world-wide applications that will stimulate the economy and produce far-reaching societal benefits. Together, the two components of WESP, the Water Sustainability Program (WSP) and the Translational Environmental Research (TER) initiative will create synergies for UA to be a world leader in interdisciplinary, cutting-edge water and environmental research and in applying results to resolve resource challenges at the state, national, and international level. Contents Introduction 1 Performance Measures 2 Performance Analysis 3 Goals 3 Financial Information 3 Management 4 Advisory Boards 4 Learn More 4 Sharon Megdal, Ph.D. Director, Water and Environmental Sustainability Program and Director, Water Sustainability Program 91 4 7 9 10 8 11 1 0 0 1 2 1 2.6 1 26,890 524 0 2 16 9 $ 0.012 $ FY03 Actual 2.4 1 29,530 880 1 3 54 22 $ 0.014 $ FY04 Actual 3.4 1 34,745 1,032 1 3 75 40 4 $ 0.042 $ FY05 Actual 2 39,270 997 4 3 89 40 4 $ 0.09 $ 3.33 FY06 Actual $ $ 7 5 5 4 36,182 1,130 1 9 8 68 52 28 3 1 $ 0.087 $ 10.51 FY07 Actual 29,500 950 1 9 4 85 42 10 3 0.00 12.2 FY07 Proj 15.2 6 10 30,600 979 1 2 7 95 43 38 2 1 $ 0.085 $ FY08 Proj 13 9 32,120 740 1 3 6 98 64 33 1 0 6 10 31,700 1,008 1 2 7 95 43 38 2 2 $ 11.8 $ 0.09 14.7 FY09 Proj $ 4.650 $ FY08 Actual 6 10 32,800 1,035 1 2 7 98 46 38 2 4 $ 0.095 $ 12.8 FY10 Proj 1,070 1 2 7 98 46 48 2 6 0.1 13.8 6 10 33,900 $ $ FY11 Proj Total FY08 onward reflects combined total of Translational Environmental Research Initiative that began Jan/07 and the Water Sustainability Program awards previously broken out under Government Grants Received and Additional Funding Obtained. Awards to water centers retroactively added to Actuals prior to FY07. Merged metrics for Translational Environmental Research include Federal Grants received; Private Foundation/Gifts; Other Sources; and Training Grants. 2 New metric from Translational Environmental Research initiative. 3 Patent Applications was previously labeled Patent Applications in Process. 4 Refers 1 to graduate students enrolled in interdisciplinary environmental studies/earth sciences programs and the Graduate Water Policy Certificate program. 5 Previously labeled Undergraduate Employment/Research Opportunities; includes undergraduate students working on water related TRIF funded research projects, internships, and fellowships. 6 Previously labeled Graduate Employment/Research Opportunities; includes graduate students working on water related TRIF funded research projects, internships, and fellowships 7 Previously labeled Postgraduate Employment/Research opportunities; includes postdoctoral candidates working on water related TRIF funded research projects 8 Number of Newly Revised Courses Offered was formerly called New Water Related University Courses/Certificates/Degrees. 9 Teachers/Educators Trained FY08 forward includes previous metrics Teachers Trained, Facilitators Trained, and Teachers involved in outreach activities related to water education. 10 FY08 forward includes previous K-12 Students benefiting (in classrooms) metric, as well as K-12 Students Participating in Water Festivals, and K-12 Students participating in outreach activities (non-formal settings) metric. 11 Workshops, Seminars & Conferences Supported, FY07 forward, is a combination of WSP and TER initiatives. * Industry collaborators/Private sector collaborations/Public sector collaborations; Interdisciplinary curriculum modules developed; Communities participating in K-12 outreach activities; Publications produced; Other knowledge transfer products; and Presentations/exhibits metrics were discontinued. 1 Workshops, Seminars, & Conferences Supported Communities Assisted K-12 Students Benefiting & Participating Teachers/Educators Trained OUTREACH & EDUCATION Number of Newly Revised Courses Offered CURRICULUM INNOVATIONS & STUDENTS SERVED New Faculty Hires Postdoctoral Trainees Graduate Trainees 6 Undergraduate Trainees 5 Number of Graduate Students Enrolled WORKFORCE CONTRIBUTIONS Patent Applications 3 2 Licenses & Options 0 $ 0.00 Gifts & Other Sources ($M) TECHNOLOGY TRANSFER & COLLABORATIONS $ 1.9 Sponsored Awards: ($M)¹ RETURN ON INVESTMENT FY02 Actual PAGE 2 WATER AND ENVIRONMENTAL SUSTAINABILITY PERFORMANCE MEASURES 92 PAGE 3 P E R F O R M A N C E A NA LYS I S Return on Investment (ROI): WESP centers, programs and projects are expected to receive sponsored awards and gifts from federal, state and county agencies, municipalities and the private sector, in excess of $10M/per year through FY2011. These funds provide an ROI of greater than 2:1 on the TRIF investment in water and the environment. Technology Transfer & Industry Collaboration: WESP researchers work to develop and commercialize real world sustainable technologies, measured by licenses and options and patent applications facilitated by the UA Office of Technology Transfer. Workforce Contributions. Undergraduate, graduate and post-doctoral students gain invaluable experience and career training through employment, assistantships, fellowships and internships. The Interdisciplinary Environmental Studies and Earth Sciences and Water Policy Certificate programs prepare motivated graduate students in specialized areas. New faculty hires help to strengthen UA’s ability to tackle complex state water and environmental problems, train students, and compete for new research funds. Curriculum Innovations: Each year WESP faculty develop new interdisciplinary course offerings to address pressing challenges in water and environmental resources. Outreach & Education: Over 30,000 K-12 students and more than 700 teachers per year benefit from high quality water education programs across the state. Many workshops, seminars and conferences provide valuable means to disseminate knowledge to decision makers, professionals and the public. Arizona communities across the state benefit from tailored water management assistance. G OA L S WESP‘s goal is to strengthen research, education, and outreach efforts in water and Jonathan Overpeck, Ph.D. environmental resources at the Director, Translational University of Arizona to help Environmental Research ensure a sustainable, high-quality water supply for economic development and enhanced quality of life for all of Arizona. WESP is leveraging its strengths in academia, research, and environmental technology to create several outcomes that include: • practical education for grades K-12 to create general awareness of issues, problems, and career -related training; • internationally recognized research and technology transfer initiatives; • a thriving industry cluster, which includes both private sector and public sector entities, supported by a skilled workforce that is educated at the University of Arizona; and • stronger relationships across disciplines within the University of Arizona, which will result in research innovations to create new business initiatives. F I NA N C I A L I N F O R M AT I O N FY02 Actual FY03 Actual FY04 Actual FY05 Actual FY06 Actual FY07 Actual FY08 Revised Budget FY08 Actual FY09 Revised Budget FY10 Revised Budget FY11 Revised Budget REVENUE Carry Forward New TRIF Revenue $ - $ 442,080 $ 95,320 $ 437,798 $ 595,950 $ 689,983 $ 1,861,545 $ 1,861,545 $ 853,293 $ - $ $ 474,283 $ 480,352 $ 2,009,566 $2,460,948 $ 3,907,500 $ 4,645,467 $ 4,202,311 $ 3,993,114 $ 4,296,816 $ 4,563,963 $ 4,746,521 TOTAL REVENUE EXPENDITURES Personal Services All Other Operating Expenses Capital $ 474,283 $ 922,432 $ 2,104,886 $2,898,746 $ 4,503,450 $ 5,335,450 $ 6,063,856 $ 5,854,659 $ 5,150,109 $ 4,563,963 $ 4,746,521 TOTAL EXPENDITURES Return on Investment $ 28,757 $ 502,244 $ 1,135,364 $ 1,585,695 $ 1,917,386 $ 2,447,059 $ 5,417,072 $ 3,219,837 $ 4,642,826 $ 3,991,602 $ 4,169,695 $ 3,446 $ 324,868 $ 531,724 $ 717,101 $ 1,336,400 $ 1,026,846 $ 501,164 $ 1,751,464 $ 507,283 $ 572,361 $ 576,826 $ - $ - $ - $ - $ 559,681 $ - $ 145,620 $ 30,065 $ - $ - $ $ 32,203 $ 827,112 $ 1,667,088 $ 2,302,796 $ 3,813,467 $ 3,473,905 $ 6,063,856 $ 5,001,366 $ 5,150,109 $ 4,563,963 $ 4,746,521 - 2.2:1 1.2:1 1.5:1 0.9:1 3.0:1 2.5:1 3.8:1 2.3:1 2.8:1 2.9:1 Notes: 1) Return on Investment (ROI) for FY 2007-2011 was calculated using a new methodology approved by Arizona Board of Regents in March 2007, which is different from the ROI methodology used to calculate ROI in FY 2002-2006. 2) 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. 93 PAGE 4 WATER SUSTAINABILITY PROGRAM EXECUTIVE COMMITTEE Sharon Megdal, Director, WSP and Water Resources Research Center Raina Maier, Associate Director, NIEHS Superfund Basic Research Program Ian Pepper, Director, NSF Water Quality Center These efforts build on the extensive expertise in water resources and environmental and earth science by over 300 UA faculty and staff in 10 colleges and 60 departments and help to promote UA as a national and global leader in research and technology development. WESP pursues these goals through a recruitment and research initiative; competitive grants program; student fellowships and internships; directed interdisciplinary initiatives; education and outreach programs; and the activities of the individual centers. Farhang Shadman, Director, SRC/Sematech Engineering Research Center for Environmentally Benign Semiconductor Manufacturing Juan Valdes, Director, NSF Center for Sustainability of semi-Arid Hydrology and Riparian Areas TRANSLATIONAL ENVIRONMENTAL RESEARCH Jonathan Overpeck ,Director TER and Institute for the Study of Planet Earth Barbara Morehouse, Deputy Director of Research Gregg Garfin, Deputy Director of Outreach M A NAG E M E N T Sharon Megdal serves as the Director of the Water and Environmental Sustainability Program (WESP) on behalf of Leslie Tolbert, Vice President for Research, Graduate Studies and Economic Development. A DV I S O RY B OA R D S The Water Sustainability Program and Translational Environmental Research initiative have independent advisory committees/boards. Each has an academic advisory committee and an external advisory committee. Two members of each external advisory committee represent TER and WSP on the WESP External Advisory Board. LEARN MORE • Contact Dr. Sharon Megdal, WESP and WSP Director, smegdal@cals.arizona.edu or 520-792-9591 X21. Visit the WSP website at: www.uawater.arizona.edu • Contact Dr. Jonathan Overpeck, TER Director, jto@email.arizona.edu or 520-622-9065 Visit the TER website at: www.ispe.arizona.edu/resources/research/ter/about.html • Contact Dr. Leslie Tolbert, Vice President for Research, Graduate Studies and Economic Development, at tolbert@email.arizona.edu or 520-621-3513 94 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) Initiative y g o l o n h c e CTURE U nces and T R ie T c S S A l a R F ic t p O ION AND IN EDUCAT IO PROGRAM September 1, 2008 Critical to the economic viability of Arizona are highly trained workers, accessible quality healthcare, state-of-the-art information systems, and knowledge-based industries. In November of 2000, the Technology and Research Initiative Fund (TRIF) was created through Proposition 301 to support programs aimed at these and other educational needs. Contents Introduction 1 Five initiatives comprise TRIF-funded Infrastructure programs. Individually, they have created new educational programs, expanded access to educational content, and built an infrastructure to move local research efforts to the market place. Combined, they are changing how knowledge is conceived and consumed – on and off campus – and are building bridges to educational, corporate, and health care entities throughout the state and beyond. Performance Measures 2 Performance Analysis 2 Goals 3 Financial Information 3 Management 4 Workforce Initiative: The Educator Development Plan (EDP) addresses the shortage of Advisory Boards 4 highly trained math, science and agriculture science teachers by designing new curricula and supporting program graduates to remain in the state. Direct outcomes are an increase in teaching resources and a direct impact on K-12 students in classrooms with newly certified teachers. Learn More 4 In healthcare, service delivery systems have not kept pace with the explosion of information and technology. College of Nursing Online Graduate Degree and Certification Programs (NOP) expands access to high quality nursing education by delivering course content with distance learning, internet-related technology. The online Nursing Ph.D. program is the first of its kind. New degrees and certificates are being developed to meet the needs not only of students, but of residents throughout the state – particularly in rural areas. Anyplace Access for Arizonans (AAA) responds to workforce and workplace needs by exploiting information and communication technologies to offer the best of public higher education and outreach activities to all Arizonans, regardless of place. Participants seek knowledge and information for use in work and life settings – knowledge that can increase lifelong earnings, improve productivity on the job, and solve practical problems in their daily lives. Critical Core Infrastructure (CCI) centralizes support for selected high technology research fields that depend on laboratory facilities, 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. Investments in research buildings, assuring appropriate laboratory space, occur as debt service. Investments in computing and communications infrastructure occur within the central computing organization, UITS. The goal is to enable research, and by enabling research, to Ronald Marx, Ph.D. Dean, College of Education 95 PAGE 2 contribute to regional economic development. 1 85-90% 75th or better Percentile-Ranked Access to Advanced Networks 2,500 0 493 20,450 2 ,150 0 0 0 *Due to data limitations, approximately 100,000 of the “users” may be reflecting “hits,” and we are unable to quantity sustained use. 75th 1 85-90% 75th or better 1 90% 1 85-90% 75th or better 50th 1 85-90% 75th or better 1 78% 8,600 0 250,000 41,085 2,950 4 31,415 104,715 4,250 2 200,000 39,373 3,800 1 103,000 35,353 3,200 1 58,000 24,528 10 0 3,000 2 156,055 77,557 10 28 8 28 19 12 25 13 7 28 8 Technology Transfer Infrastructure Plan (TTIP) supports the UA 1 85-90% 75th or better 22,000 0 400,000 2,904 18,050 0 350,000 2,654 13,300 0 300,000 2,404 11 4 10 8 8 9 24 24 12 9 20 40 16 22 26 16 14 37 48 16 14 19 307 51 30 25 20 105 294 44 30 25 19 84 358 40 40 30 17 58 161 37 19 111 24 77 1 0 109 18 62 10 0 88 26 109 6 0 102 32 106 9 1 95 25 91 7 1 316 58 40 30 15 50 191 29 24 24 11 0 241 56 25 14 13 85 2,600 0 225,503* 2,154 16 3 320 57 30 25 20 128 124 45 125 7 1 119 40 120 6 1 114 36 115 5 1 114 36 115 5 1 104 30 121 3 2 135 38 105 14 1 99 39 143 5 0 2.559 0.923 1.970 2.712 0.841 1.820 2.525 1.068 0.690 2.020 0.943 1.670 4.027 0.753 1.223 1.910 0.883 1.520 4.820 0.781 1.689 3.785 0.485 1.176 1.249 0.357 1.010 0.973 0.277 1.08 0.033 0 .069 0 .714 RETURN ON INVESTMENT ($ IN MILLIONS) Sponsored Awards Gifts & Other Sources Patent Royalty Income TECHNOLOGY TRANSFER & COLLABORATIONS Invention Disclosures Licenses & Options Patent Applications New Start-up Companies Economic Impact Studies WORKFORCE CONTRIBUTIONS Number of Graduate Students Enrolled Number of Graduate Degrees Awarded Teachers Certified in Undergraduate Level Math & Science Teachers Certified in Master's Level Math & Science Teachers Certified in Agriculture Certificates granted for AAA + Nursing CURRICULUM INNOVATIONS & STUDENTS SERVED Number of Newly Revised Courses Offered Number of Online Courses Offered OUTREACH & EDUCATION K-12 Students Benefitting & Participating Workshops, Seminars, & Conferences Supported Users of Extension & Workplace Resources Enrollments in Web & Hybrid Courses DATA AND RESEARCH ACCESS & NETWORK Building Networks Brought to Standards Supercomputer Usage FY02 Actual FY03 Actual FY04 Actual FY05 Actual FY06 Actual FY07 Proj FY07 Actual FY08 Proj FY08 Actual FY09 Proj FY10 Proj FY11 Proj 2.662 1.016 2.110 PERFORMANCE MEASURES as a driver of an Arizona knowledge-base economy by moving research to the market place, creating new knowledge-based industries, and bringing UA innovations into broad and public commercial uses. The initiative supports the collaborative environment for research within the 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). PERFORMANCE A NA LYS I S The EDP initiative was successful in producing over 350 certified teachers in math, science and agriculture science during the first five years. These teachers have been employed in schools throughout Arizona and have had a direct impact on K-12 students. We conservatively estimate each teacher will impact 50 students annually. An infrastructure is now in place to efficiently train new teachers and impact increasingly more students. Presently, all College of Nursing graduate courses and one undergraduate course are deliverable in an electronic format. New courses are being developed for distance learning and content from original courses is being reformatted. Student enrollment has increased with production of new courses and external collaborations have been enhanced by the ability to teleconference and remotely monitor student progress in clinical settings. Teleconferencing and streaming video has enabled collaborations with rural and borderbased health care delivery organizations. During 2002-07, AAA recruited 12 technical experts with varied specialties needed for producing high quality distance education and high value information resources. Over $3.4 million was secured to support projects to preserve endangered Native American languages, improve science instruction, and develop health education programs. New tools for online learning were introduced that now support over 100,000 enrollments in more 96 PAGE 3 than 2000 individual courses, including an online doctorate in Nursing, the first such program in the country. Investments in CCI were made throughout fiscal years 2002 through 2006, funded through a proportional tax on the budgets of all other initiatives. These investments: (1) Completely renovated building network cabling and equipment for the Meinel Optical Sciences Building, (2) elevated UA Internet2 bandwidth from 155 Mbps to 1Gbps, (3) allowed The UA to join CENIC, a California based research and education network that provides access to National Lambda Rail, (4) doubled the UA’s supercomputing capability, and (5) brought immersive 3D visualization technology to campus as a shared resource. TTIP economic development measures are based upon start-ups licensing relevant UA technology, the number of those start-ups choosing to operate in Arizona, and the number of UA Technologies licensed by existing companies in Arizona. The TTIP plan metrics capture operational scope, efficiency and relevance of OTT. This includes agreements executed, patents and patent applications, and disclosures received. For some of the measures, no projections (N/P) were made in the original planning or metrics for the renewal are changing to better reflect the proposed activities. The Economic analysis by OED was designed to measure the effectiveness of the UA’s TRIF initiatives as well as their economic impact on Arizona’s economy and its industry clusters. G OA L S EDP – (1) To create seamless math and science programs from elementary through secondary school, (2) to support students to enter math, science, and agricultural science teacher preparation programs, (3) to graduate over 450 of these teachers and, (4) to support program graduates to teach locally. NOP – (1) To increase the quality and years of healthy life for Arizona’s populations and contribute toward eliminating health disparities, assuring quality safe health care, and improving the public health infrastructure and (2) to reduce health disparities among Arizona’s populations, particularly rural, aging, border and minority populations. The “RangeView” website, one of many resources providing what Arizonans need when and where they need it. AAA – (1) To make advanced degrees and certificates available at a distance from the campus, in such fields as Nursing, Public Health, Optical Sciences, Engineering, Biological Sciences and Biotechnology, Information Resources in Library Science, Business, Law, and Education and (2) to create information resources that can increase on-the-job productivity, in resources such as Electronic Agricultural Extension, Arizona Electronic Atlas, active learning objects for K12 teachers, online library reference and digital collections, and Ask-an-Expert web sites. F I NA N C I A L I N F O R M AT I O N FY02 Actual FY03 Actual FY04 Actual FY05 Actual FY06 Actual FY08 Revised Budget FY07 Actual FY08 Actual FY09 Revised Budget FY10 Revised Budget FY11 Revised Budget REVENUE Carry Forward $ - $ 1,163,205 $ 565,018 $ New TRIF Revenue $ 2,233,439 $ 2,305,689 $ 2,511,957 $ 2,616,912 $ 3,085,923 $7,951,221 553,430 $ 463,409 $ 767,157 $ 9,645,690 $ 9,164,277 $ 9,807,891 $10,329,865 $10,832,465 $ 557,442 $ TOTAL REVENUE $ 2,233,439 $ 3,468,894 $ 3,076,975 $ 3,170,342 $ 3,549,332 $ 8,718,378 $10,203,132 $ 9,721,719 $10,429,549 $ !0,329,865 $10,832,465 Personal Services $ 415,210 $ 1,355,810 $ 1,628,344 $ 1,915,393 $ 1,760,808 $2,026,007 $ 2,797,873 $ 2,114,858 $ 3,112,603 $ 2,741,523 $ 2,951,357 All Other Operating Expenses $ 655,024 $ 1,548,066 $ 895,201 $ $ 2,908,638 $ 3,568,734 $ 2,573,011 $ 2,583,490 $ 2,600,990 Capital $ $ $ $ 381,200 $3,400,000 $ 4,496,621 $ 3,416,469 $ 4,743,935 $ 5,004,852 $ 5,280,118 TOTAL EXPENDITURES $ 1,070,234 $ 2,903,876 $ 2,706,933 $ 3,151,044 $8,160,936 $10,203,132 $ 9,100,061 $10,429,549 $10,329,865 $10,832,465 557,442 $ 621,658 $ - $ - EXPENDITURES ROI (See Note 2) - $ - - - - $ 2,523,545 - 791,540 $ 1,009,036 $2,734,929 - - - - - - - - Notes: 1) Carry forward for FY 07 consists of the following: Carry forward of $172,938 from Technology Transfer Infrastructure; Carry forward of (3,253) from Anyplace Access for Arizonans; Carry forward of $228,603 from Educator Development Plan; Over-realized revenue of $350,000 for College of Nursing Online Programs; and a technical adjustment of $18,869 from FY 06 for Critical Core Infrastructure. The total technical adjustment was $74,891. $56,022 was recorded under the Venture Fund. 2) As a non-research initiative and pursuant to the new March 2007 Return on Investment (ROI) policy, ROI will not be calculated in FY 2007-2011. 3) 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. 97 PAGE 4 CCI – (1) To continuously upgrade Internet connectivity to research buildings, (2) to provide access for researchers to high performance networks such as CENIC, Internet2, and National Lambda Rail, (3) to provide more, better supercomputing capability, (4) to introduce important new technologies that enable cutting edge research, and (5) to develop new research space for TRIF activities. TTIP – (1) To enhance the technology transfer infrastructure, (2) to increase significantly the level and breadth of technology transfer from the university, (3) to increase engagement in technology transfer by the faculty, staff and students, (4) to assist efforts to commercialize university technology and (5) to connect these efforts into both State and local community economic development efforts. M A NAG E M E N T Leslie Tolbert, Vice President for Research, Graduate Studies, and Economic Development, is responsible for overall management of the University’s TRIF activities. Infrastructure initiatives are coordinated by Ronald W. Marx, Dean of the College of Education. Individual initiatives are overseen by the following in concert with faculty, staff, and professional support personnel particular to their area of technical expertise. 3D data visualization — a critical new tool — in use to examine the physics of dust storms EDP – Representatives from the Professional Preparation Board (PPB) include administrators from Pima College, all Tucson school districts, and faculty from all UA colleges engaged in and related to teacher preparation. NOP – Representatives from the Arizona Rural Health Association, Area Health Education Centers, Border Health Initiatives, hospitals, Community Health Centers, long term and chronic care facilities, emphasizing rural and border areas within the state as well as individuals associated with agencies promoting distance learning for minority students. NOP -- Carolyn Murdaugh, Interim Dean, College of Nursing AAA – Advisory groups include the Deans’ Advisory Committee, Initiative-wide Advisory Board, Project-specific Advisory Boards, and Project and Technical Support Teams as needed. AAA -- Michael Proctor, Senior Associate Vice President for CCI – There is no external advisory board for the CCI , since EDP -- Ronald W. Marx, Dean, College of Education University Outreach and International Programs CCI – Michele Norin, Chief Information Officer and Executive Director, University Information Technology Services TTIP -- Bruce Wright, Associate Vice President for Economic Development, and Patrick Jones, Director of Technology Transfer A DV I S O RY B OA R D S Each initiative has established Advisory Boards that provide input, review planning and operations and, more importantly, serve as a mechanism for building relationships between the UA and educational, health, science, technology, and corporate entities. these investments are in service of initiatives with their own advisory boards. All IT projects are managed within University Information Technology Services, under the direction of Bob Lancaster for network projects and under the direction of Jim Austin for computing projects, both Directors of UITS 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. TTIP – Four committees comprised of faculty, corporate, and technology personnel: TTIP Review Committee, Technology Transfer Advisory Committee, Arizona Center for Innovation Advisory Board, and Intellectual Property Committee. LEARN MORE • 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. 98 TECHNOLOGY AND RESEARCH INITIATIVE FUND tive ia it yAIn g o E l o V I n h T c e d T GY INITI nces anE ie c S l a NER ic t p O R A L O S U UA-AS U September 1, 2008 The UA-ASU Solar Energy Initiative funds the Arizona Research Institute for Solar Energy (AzRISE). AzRISE joins faculty from science, engineering, optical science, architecture, business and agriculture to pursue development of interdisciplinary revolutionary programs in Research and Development and public policy for the widespread utilization of solar energy. Through coordination, guidance and stimulated solar energy activities in (1) research and development, (2) economic and public policy analysis, (3) education and (4) outreach, the institute supports competitive and peer reviewed projects in all four areas, putting special emphasis on innovative R&D and on economic analyses that can guide both technical IP development and public policy. Contents Introduction 1 Performance Measures 2 Performance Analysis 3 Goals 3 Financial Information 3 Management 4 Advisory Boards 4 Learn More 4 The vision is to establish a world-renown, highly interdisciplinary environment and structure that develops and translates research into useful applications in solar renewable energy. Close synergy among academia, industry, power utilities and policy will accelerate the creation and adoption of distributed renewable power integrated into the electric grid and homes. This technological and societal transformation will achieve an energy-secure, environmentally-sound 21st Century. AzRISE coordinates research in nanostructured materials for photovoltaics, large dish concentrator optics, and various options for energy storage and desalination. (Southwest Solar Technology 2008) Joseph H. Simmons, Ph.D. AzRISE Director Department Head, Materials Science and Engineering 99 PAGE 2 Performance measures FY08 Proj FY08 Actual FY09 Proj FY10 Proj FY11 Proj $ 1.17 $ 2.18 $ 1.75 $ 2.20 $ 5.80 Federal Awards $ 0.10 $ 1.08 $ 0.80 $ 1.00 $ 3.00 Industrial Awards $ 0.02 $ 0.05 $ 0.25 $ 0.40 $ 1.00 Other Awards $ 1.05 $ 1.05 $ 0.70 $ 0.80 $ 1.80 $ 0.00 $ 0.05 $ 0.30 $ 0.60 $ 1.00 Licenses & options 2 2 2 2 2 New Start-up Companies 0 0 1 2 3 Patent Applications 0 0 2 4 6 Invention Disclosures 0 0 4 8 12 Number of graduates in solar energy 4 2 10 20 30 Number of undergraduates in solar energy 20 20 26 26 26 Number of post doctoral associates 1 0 2 4 6 Number of newly revised courses offered 0 0 20 100 300 Number of Online Courses Offered 1 1 2 4 10 2 5 4 4 4 RETURN ON INVESTMENT ($ in millions) Sponsored Awards: ($M) Gifts & Other Sources TECHNOLOGY TRANSFER & COLLABORATIONS WORKFORCE CONTRIBUTIONS CURRICULUM INNOVATIONS & STUDENTS SERVED OUTREACH & EDUCATION Workshops, seminars and conferences supported Federal Grants Obtained: Two DOE proposals were funded with matching funds: 1) SEEDpod Proposal for the Solar Decathlon ($100K DOE with $100K from the UA program) 2) Solar concentrators ($980K from DOE and $102K from the UA program) 100 P e r f o r m a n c e a na lys i s PAGE 3 The Research and Technology Development portion of AzRISE focuses on development of novel nanostructured materials for photovoltaics, organic photovoltaic technologies, large dish concentrator optics, solar PV reliability and various options for energy storage and desalination 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 projected externally funded research awards and technology transfer transactions are direct measures of this activity. Workforce Development is a major objective of AzRISE. The workforce development effort will consist of increasing the numbers of graduate and undergraduate students doing research and taking courses in solar energy-related topics. Additional focus will be on postdoctoral associates in solar energy research and on students in solar energy courses onsite and offered through distance learning. AzRISE Solar Racing Car Team development and commercialization of new technology, affiliate sponsorships, fee for service work, development of industry related training courses and distance learning program, and new start-up companies. Technology Transfer and Industry Outreach is defined by collaborations with our industry partners in the GOALS AzRISE will promote solar energy through research, education and strategic partnerships to: • Discover, innovate and develop to market evolutionary and revolutionary science and technology in solar energy utilization • and industries, as well as support an environment that stimulates and nurtures startup efforts. • Educate the next-generation workforce and prepare citizens for the renewable energy society. Develop the local economy by providing technology solutions and economic incentives/ drivers that are transitioned to partner companies FINANCIAL INFORMATION FY08 Revised Budget FY07 Actual FY09 Revised Budget FY08 Actual FY10 Revised Budget FY11 Revised Budget REVENUE Carry Forward $ — $ New TRIF Revenue $ TOTAL REVENUE 979,762 $ 979,762 $ 825,124 $ --- $ --- — $ 70,238 $ 70,238 $ 700,000 $ 800,000 $ 800,000 $ 1,050,000 $ 1,050,000 $ 1,525,124 $ 800,000 $ 800,000 148,944 $ 1,525,124 $ 800,000 $ 800,000 EXPENDITURES Personal Services All Other Operating Expenses $ — $ 1,050,000 $ $ — $ — $ 75,932 $ — $ — $ — Capital $ — $ — $ — $ --- $ — $ — TOTAL EXPENDITURES Return on Investment $ 224,876 N/A $ — $ - 1,050,000 N/A $ 1,525,124 1.3:1 $ 800,000 $ 800,000 3.5:1 8.5:1 101 PAGE 4 m a nag e m e n t Dr. Joseph H. Simmons, Director of AzRISE, reports to Dr. Leslie Tolbert, Vice President for Research, Graduate Studies, and Economic Development, for the TRIF Solar Energy Program. a dv i s o ry b oa r d s Dean’s Advisory Committee Leslie Tolbert, Vice President for Research, Graduate Studies, and Economic Development; Thomas Peterson, Dean, College of Engineering, Professor, Chemical & Environmental Engineering; Joaquin Ruiz, Dean, College of Science, Professor, Geosciences. Technical Review Committee Roger Angel, Regents’ Professor, Astronomy, and Optical Science; Neal Armstrong, Professor Chemistry and Optical Sciences, Ardeth Barnhart, Associate Director, AzRISE; Eric Betterton, Head and Professor, Atmospheric Sciences; Dale Clifford, Assistant Professor Architecture; Nasser Peyghambarian, Professor; Optical Sciences, Materials Science & Engineering, Chair; Lasers & Photonics; B.arrett Potter, Associate Professor, Materials Science and Engineering External Advisory Committee John Madocks, President, General Plasma, Inc.; Adam Honea, Provost, University of Phoenix; Herb Hayden, President, Southwest Solar Technologies; Sarah Kurtz; National Renewable Energy Laboratory; Jim Gentile, Director, Research Corporation; Dick Hayslip, Associate General Manager, Salt River Project. AzRISE / Tucson Electric Power (TEP) Solar Test Yard, an interdisciplinary research project to acquire and distribute data in the measurement of solar panel performance, PV production models and studies in techniques that increase the energy yield from PV systems. LEARN MORE • Contact Dr. Joseph H. Simmons, Director, AzRISE, and Department Head, Materials Science and Engineering, at simmonsj@email.arizona.edu or 520-621-6070 • Contact Dr. Leslie Tolbert, Vice President for Research, Graduate Studies, and Economic Development, at tolbert@email.arizona.edu or 520-621-3513 • Contact Ardeth Barnhart, Associate Director, AzRISE, at ardethb@email.arizona.edu or 520-322-2970 • Visit the AzRISE Website at www.AzRISE.org 102 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ATION IN C U D E R E H HI G IZONA R A N R E H T RURAL SOU September 1, 2008 The Higher Education in Rural Southern Arizona TRIF Initiative was funded in December 2007 from the Regents TRIF Innovation Fund (TIF) to address the special needs of Southern Arizona as a distinct economic region, with significant industry common to the area. The initiative’s primary goal is to develop a network of highly accessible and technologically adept faculty, as well as a broad repertoire of high-demand electronic courses to be distributed through a regional content network. The efforts of this initiative are focused on three interdependent legs of an economic development stool: teacher education, commerce/entrepreneurship, and information-science based science relevant to regional industry ranging from defense and intelligence to import/export and logistics. Based on initial research on how best to provide this educational content across Southern Arizona, the initiative is focusing on hybrid educational products, taught in part by live faculty and partially online, with costs being reduced via four mechanisms: 1) significant community investment in infrastructure (for example, delivering teacher education after hours in local high schools); 2) reliance on a small number of dedicated, specialized and technologically savvy faculty living in target communities or traveling there regularly for teaching duties related to live content; 3) focusing our investment on a small number of high-demand, high-quality degree programs allowing for consistent content growth and economies of scale; and 4) working closely with our community college partners. This model allows all students to have regular access to live faculty, though those faculty may travel from main campus or serve multiple communities, and each community has access to online content created by faculty in other communities for a broader menu offering than would normally be available in each community. Contents Introduction 1 Performance Measures 2 Performance Analysis 2 Goals 3 Financial Information 3 Management 4 Advisory Boards 4 Learn More 4 Mike Proctor Senior Associate Vice President for University Outreach and International Programs 103 PAGE 2 PERFORMANCE MEASURES FY08 Projected FY08 Actual FY09 Projected FY10 Projected FY11 Projected RETURN ON INVESTMENT Sponsored Awards $0 $0 $100,000 $150,000 $150,000 Gifts & Other Sources $0 $0 $200,000 $300,000 $400,000 Number graduate students enrolled within initiative 0 0 2 4 8 Number graduate degrees awarded 0 0 1 2 4 Number of undergraduate degrees awarded 0 0 0 20 30 Number undergraduates enrolled 0 0 30 40 50 Total student credit hours produced 0 0 300 400 500 Number certificates granted for Higher Ed 0 0 15 30 45 Number new certificates offered 0 0 2 2 2 WORKFORCE CONTRIBUTIONS CURRICULUM INNOVATIONS AND STUDENTS SERVED Number of newly revised courses offered 0 0 2 4 6 Number new online courses offered 0 0 15 15 15 Teachers/Educators Trained 0 0 12 18 24 Number enrollments in web & hybrid courses 0 0 30 80 120 OUTREACH AND EDUCATION Note: Proposal projections for FY 08 have been shifted to FY 09 due to fund timing issues. Although funds were approved in December ‘07, expenditures will not occur prior to Regents approval of business plan in August ‘08. P E R F O R M A N C E A NA LYS I S Our earliest measures of success will become available in Fall 2008. We plan to enroll a dozen students in our teacher education cohort. We also expect to increase enrollment in related business courses by approximately 20 students in Spring 2009. We will also enroll additional education students by Spring 2009. By the end of academic year 2008-2009, we should be able to hit projected enrollment of 40 new students. Through leveraging these funds against additional resources, online content will expand dramatically through Fall 2008 and Spring 2009, significantly increasing access for time and place-bound students throughout the region. 104 PAGE 3 G OA L S The goal of this initiative is to provide, through 2 + 2 programs involving our community college partners, teacher education and commerce/entrepreneurship degrees and certificates throughout Southern Arizona in a revenue-positive and sustainable fashion. We expect enrollment to increase by an average of 40 students per year to a minimum of 120 students region-wide within three years. We expect that this large increase in students will lead to a measurable increase in the number of certified teachers entering the workforce, and will make a significant contribution to meeting the demand for business-related degrees. We also expect to contribute significantly to defense, intelligence and security programs available throughout the region. F I NA N C I A L I N F O R M AT I O N FY07 Actual FY08 Budget FY09 Revised Budget FY08 Actual FY10 Revised Budget REVENUE Carry Forward $ - $ - $ - $ 500,000 New TRIF Revenue $ - $ 500,000 $ 500,000 $ 500,000 $ 500,000 $ 810,594 $ 250,000 $ $ 310,594 $ 250,000 TOTAL REVENUE EXPENDITURES $ - Personal Services $ - $ 500,000 $ - $ 810,594 $ 250,000 All Other Operating Expenses $ - $ - $ - $ - $ - Capital $ - $ - $ - $ - $ - TOTAL EXPENDITURES ROI (See Note 1) $ - $ 500,000 $ - - $ 810,594 $ 250,000 - - - - 1) As a non-research initiative and pursuant to the new March 2007 Return on Investment (ROI) policy, ROI will not be calculated in FY 2008-2010. 2) 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. 105 PAGE 4 M A NAG E M E N T Leslie Tolbert, Vice President for Research, Graduate Studies, and Economic Development, is responsible for the overall management of the University’s TRIF activities. Direct oversight of this initiative is assigned to Mike Proctor, Senior Associate Vice President, University Outreach and International Programs and Associate Dean, College of Agriculture and Life Sciences. A DV I S O RY B OA R D S Immediate initiative oversight is provided by the Vice President for Outreach’s advisory board, a mix of internal and external individuals who are charged with evaluating the broad strategy of the Outreach Office. A subcommittee of that board is evaluating the business plan for this initiative. In addition, this board will rely on input from a small group of deans and department heads focused on academic content, and on local advisory councils in Pinal and Santa Cruz Counties established by the locally embedded Outreach Coordinators. Ultimate financial and administrative oversight is the responsibility of the Vice President for Outreach. Advisory Board Members: Iman Hakim, Dean, Public Health Sherry Hoskinson, Director, McGuire Center for Entrepreneurship Bob Lusch, Department Head, Marketing Rick Myers, Retired IBM Executive, Former Southern Arizona Leadership Council Chairman Dave Naugle, Administrator/Corporate Public Affairs, Southwest Gas Corporation David Smallhouse, Real Estate and Business Ventures Telly Stanger, Manager of Economic Development, Sulphur Springs Valley Electric Cooperative Mary Staugaard, Associate Director, Credit Programs, University of Arizona Outreach College LEARN MORE • Contact Mike Proctor, Senior Associate Vice President, University Outreach and International Affairs, The University of Arizona, at mproctor@arizona.edu or 520-621-7687. • 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 www.vpr.arizona.edu for more information on the individual initiatives. 106 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) D N U F E R U T V EN September 1, 2008 In 2006, the Venture Fund was established to create a mechanism for supporting new projects with compelling strategic need or opportunity and exceptional opportunities for strong return-on-investment (ROI). Each new project must be related to the theme of an existing University of Arizona TRIF initiative and is administered through that initiative. Venture Funds are distributed annually on a competitive basis as a way of enhancing the scope of the individual initiatives in strategically selected areas. Contents Introduction 1 Goals 1 FY08 Projects 2 Financial Information 2 Learn More 2 The Venture Fund is overseen by the Executive Vice President and Provost and the Vice President for Research, Graduate Studies, and Economic Development of the University. g oa l s The purpose of the Venture Fund is to ensure that the University becomes more nimble in addressing needs and increasing ROI in ways consonant with TRIF requirements and objectives. Meredith Hay, Ph.D. Executive Vice President and Provost The goals of the Fund are to: • support the creation of novel projects, each of which is closely related to one of the existing TRIF initiatives • bring these novel projects to successful competition for major external funding • provide exceptional potential for translation of activities to practical application. Leslie P. Tolbert , Ph.D. Vice President for Research, Graduate Studies, and Economic Development 107 PAGE 2 P ro j e c t s f u n d e d i n f y 2 0 0 8 The following new projects (and the initiatives with which they are associated) were selected for funding: • Biodiversity Informatics (Bioresearch); $300,000 • Microbial Diversity & Pathogenesis (Bioresearch); $250,000 • McKnight Hire & Institute Support (Bioresearch); $320,000 • Personal Finance Education: Outreach & Online (Education & Infrastructure); $44,000 • Enhancing Agricultural Productivity Through Educational Partnerships: Biotechnology & Telecommunications for Healthy Plants (Education & Infrastructure); $125,000 • TRIF BIO5 & CCI High Performance Cluster Computer Expansion (Education & Infrastructure); $150,000 • College of Nursing Online Education (Education & Infrastructure); $61,000 • AZ Solar as a National Resource for Energy (Optical Sciences & Tech.); $250,000 • High Sensitivity Terahertz Receiver Seed Funds (Optical Sciences & Tech.); $100,000 • High Resolution Imaging with Tomographic Laser-Guided Adaptive Optics (Optical Sciences & Tech.); $130,000 • Sustainable Industrial & Manufacturing Base for Arizona (Water & Env. Sustainability Program);$325,021 • New Water Center (Water & Env. Sustainability Program); $125,000 F i na n c i a l I N F O R M AT I O N FY05 Actual FY06 Actual - $ FY07 Actual FY08 Revised Budget FY09 Revised Budget FY08 Actual FY10 Revised Budget Carry Forward $ New TRIF Revenue $ 68,123 $ - $ 714,079 $ 608,264 $ 430,455 $ 126,514 $ 320,593 $ 712,112 TOTAL REVENUE EXPENDITURES Personal Services All Other Operating Expenses $ 68,123 $ 68,123 $1,201,622 $ 781,043 $ 603,234 $ 270,117 $ 320,593 $ 712,112 $ - $ $ - $ Operations $ - TOTAL EXPENDITURES $ - $ $ 68,123 $ 487,543 $ 172,779 $ 172,779 $ 143,603 $ FY11 Revised Budget - $ - - $ 891,417 $ 781,043 $ 457,864 $ 270,117 $ 320,593 $ 712,112 68,123 $ 137,426 $ - $ - $ - $ 1,767 $ - $ - $ - - $ - $ - $ - $ - 68,123 $1,028,843 $ 781,043 $ 459,631 $ 270,117 $ 320,593 $ 712,112 *$1,500,000 of FY06 over-realized was added to FY07 Venture Fund. The measure of impact of Venture Fund investments is the same as for all other TRIF investments, and is incorporated into the impact metrics of the TRIF initiatives to which the Venture Fund allocations are made. *Venture fund budget and expenditures are shown in the individual initiatives financial information table. 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 •Visit the University of Arizona TRIF website at www.vpr.arizona.edu/trif 108 The University of Arizona FY 2007-2011 ASU-UA Joint Biomedical Research Fund September 1, 2008 Arizona State University and The University of Arizona jointly administer the TRIF-funded Collaborative on Biomedical Research Grant Program with awards totaling $2,000,000 ($1,000,000 each) in FY07 and $1,000,000 ($500,000 each) per year in FY08-FY11. These projects are collaborative in nature and may also include other biomedically oriented organizations such as the Translational Genomics Research Institute (T-Gen), the Critical Path Institute (C-Path), the many health-related institutions in the state, and Northern Arizona University. This investment will accelerate development of the research enterprise associated with The University of Arizona College of Medicine-Phoenix, in partnership with Arizona State University and the state-wide development of biomedical research. The funds are targeted to support joint research ventures among the institutions, and translating from basic to clinical research. The main objectives of the program are to provide seed funding to: 1. Support the development and strengthening of collaborative research ties between ASU and UA as a basis for enhancement of state-wide interaction among research institutions; and, 2. Support the development and submission of proposals for external funding of research from competitive granting agencies (e.g., NSF, NIH, DOE, etc.) and industry. To administer these funds, ASU and UA have established a coordinating committee to set the scientific and technical criteria for selection and to make the awards. The coordinating committee includes the Presidents and Vice Presidents for Research from ASU and UA. Review of proposals includes input from faculty at these universities. While some projects in the first year were selected specifically to enhance collaborative ties between ASU’s Biodesign Institute and UA’s BIO5 Institute, as a general practice, projects are solicited through a broad Request for Proposals, and are selected according to the following criteria: Scientific excellence Collaboration of faculty members from more than one institution as principal investigators Likelihood of success in securing long-term, significant federal or other (e.g., Science Foundation Arizona) funding Clear demonstration of the value-added significance of the inter-institutional collaboration required Potential for significant impact on our understanding of basic biomedical mechanisms or translation of research results to the clinical setting Potential for impact on overall State-wide strength in the biomedical sciences. 109 Thus far the program has awarded $1,999,977 in FY07 and $1,000,000 in FY08 for the following projects: Title FY07 FY08 Proteomic and Metabolomic Biomarker Investigation of Type 2 Diabetes Geno- and Immuno-Signatures in Acute Asthma Development of a Rapid Immunosignature Diagnostic Test for Valley Fever Molecular Therapeutics Collaborative Program between BIO5 and BioDesign Institutes Rapid Biomarker Analysis for Emergency Medicine A Network-Science Approach to Normal- Tissue Organization and Carcinogenesis $250,000 $157,141 $141,562 $196,682 $180,468 A Digital Media Based Biofeedback System for Neural Rehabilitation Evaluating the Role of VDR Polymorphisms and B-Catenin Signaling in Colorectal Adenoma Risk Selective Modulation of Basal Ganglia Excitability: A Potential Gene Therapy for Parkinson’s Disease Novel Superluminescent LEDs and Ultrahigh-resolution for OCT for Medical Imaging Applications $147,309 $184,057 $65,414 $81,642 $151,685 $178,441 $143,889 $178,710 $297,977 $320,000 $325,000 We plan to postpone the next round of awards until FY10 and use unspent funds from FY 08 and/or revenue from FY09 ($500,000 from each university) to offset the current TRIF revenue shortfall, using the funds to cover existing TRIF programs. We propose to announce consideration of proposals for FY10 in the spring of 2009. We would fund those new projects for two years, which would take us through the current five-year funding cycle. CONTACT: Richard Shangraw (480) 965-1225 Vice President for Research and Economic Affairs Rick.Shangraw@asu.edu Leslie P. Tolbert (520) 621-3513 Vice President for Research, Graduate Studies, and Economic Development tolbert@email.arizona.edu 110 The University of Arizona Expansion of the Phoenix Biomedical Campus 1. COM Phoenix Lease Lease costs of $1,140,000 for the lease of the renovated Phoenix Union High School for the College of Medicine-Phoenix were paid in FY 2007. Starting in FY 2008, this lease was covered by State appropriations to the College of Medicine-Phoenix and “lease” funds were used to covering growing operations and maintenance costs through Critical Core Infrastructure and Expansion of the Phoenix Biomedical Campus (#2 below). 2. COM Phoenix Operating, Maintenance, and Utility Costs Operating, maintenance, and utility costs of $833,000 were paid for the College of Medicine – Phoenix in FY 2007. These costs escalated in FY 2008 with the opening of Arizona Biomedical Collaborative building 1. In FY 2008, funds in the amount of $1,141,000 were allocated to cover increased operating, maintenance, utility, and research compliance costs including Risk Management and Radiation Safety. State appropriations allocated to the College of Medicine-Phoenix will cover some of these growing costs starting in FY 2009. 3. Pharmacy Match Funds in the amount of $100,000 were allocated for each of three years to match proposed allocations of $200,000 annually for three years by the Arizona Pharmacy Board. The purpose was to fund planning costs for the College of Pharmacy in Phoenix. These funds have been used to support the salary of the experimental education director for the Phoenix program, who coordinates the fourth-year training of pharmacy students completing rotations in the greater Phoenix area, develops new clinical training sites, and oversees the community outreach/health education programs there, including programs with the City of Phoenix. 4. COM Phoenix Internet Connection - $72,000: An allocation of $72,000 was budgeted in FY 2007 as a one-time expense to provide internet connectivity for the College of Medicine – Phoenix complex. Funds are being expended through the University Information Technology Services (UITS) to lease communications services to connect the College of Medicine - Phoenix to the UA Tucson via the Sterling Telecom Hotel. An additional $72,000 was provided through the Venture Fund in FY 2008 to cover this expense. September 1, 2008 111 This page intentionally left blank. 112 PLANNING FOR PHOENIX BIOMEDICAL CAMPUS (PBC) Status Report on Activities Related to the Health Sciences Education Building (HSEB), Arizona Biomedical Collaborative II (ABC II), and the Phoenix Biomedical Campus Comprehensive Development Plan September 1, 2008 1. Project Status: Planning for the Phoenix Biomedical Campus (PBC) projects has progressed considerably over the past year, with the guidance and participation of representatives from The University of Arizona, Arizona State University, Northern Arizona University, the Arizona Board of Regents, the City of Phoenix, and other stakeholders. Following is a summary of related events and accomplishments: In June 2008, the Arizona Legislature approved the Stimulus Plan for Economic and Education Development (SPEED) initiative that will provide $470 million of funding for the PBC projects. This funding will allow both the HSEB and ABC II projects to move forward; CO Architects, in association with Ayers Saint Gross, the master planners for the site, were selected as the Design Consultants for the PBC project. They are working with the Executive Committee and user groups to refine the project space program that will form the basis of the project design; The selection process has begun for the Construction Manager at Risk (CMR) for the project. We hope to have the CMR under contract and ready to work with the design team by early September; The University of Arizona (UA) will have primary responsibility for project administration with regard to project contracting and financial management. The UA will provide project management support as needed to Dave Harris, who will lead the overall on-site PBC project management team; and, The PBC projects were included in the June, 2008 Capital Development Plans of each of the three universities and were approved by the Board of Regents. We expect SPEED project funding approval at a July 24th Board meeting. 113 2. Proposed Schedule: Programming for the project is scheduled for completion in the fall of 2008. Schematic design will begin as the programming is being completed. We will expedite the remainder of the design process to allow construction to begin as soon as possible. The construction documents may be prepared in as many as six separate bid packages to allow for the most effective fast-tracking process. We currently anticipate that construction will begin as soon as July 2009, with required site preparation and utilities work. Considering the size and complexity of these projects, we anticipate that construction of the HSEB building will be completed in the spring of 2012, and that the ABC II building will be completed in the spring of 2013. We will review and confirm these dates with the construction manager upon his selection. 3. Issues to be Resolved: Role of private sector in developing the PBC campus; Funding or financing of the needed parking structure; and, Funding, financing and cash flow strategies for the 20% portion of this SPEED funded project that the universities must provide. 4. Use of $1.5 Million in ABOR Planning Funds: ASU and UA were each allocated $750,000 in TRIF planning funds by the Arizona Board of Regents. In FY 2007, $344,300 was expended. In FY 2008, $972,700 was spent on construction manager fees, consultant fees, and project management fees. We will utilize the remaining $183,000 of TRIF funding for the next steps of programming and design of the MEB and ABC II projects until the SPEED project funding becomes available. 114 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 - 2011 BUDGETS SUMMARY FY 2007 ACTUAL 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 TRIF Strategic Investments (TSI) Carryforward to FY 2010/2011 TOTAL GRANTS/PROJECTS EXPENDITURES GRAND TOTAL SUMMARY BY INITIATIVE Regents Innovation Fund1 Arizona Regents Reach Out (ARRO) Grants TRIF Strategic Investments (TSI)2 Carryforward to FY 2010/2011 EXPENDITURES GRAND TOTAL $ $ $ FY 2008 REVISED BUDGET 1,277,429 4,916,171 6,193,600 $ 154,893 42,970 63,849 261,712 $ $ 1,119,236 443,404 250,000 1,812,640 FY 2008 ACTUAL 1,273,710 2,175,000 3,448,710 $ 149,437 39,757 177,564 366,758 $ $ FY 2009 REVISED BUDGET 1,280,867 2,050,760 3,331,627 $ 131,974 39,445 162,185 333,604 $ $ FY 2010 REVISED BUDGET 985,092 1,675,000 2,660,092 $ 155,000 45,000 176,574 376,574 $ 1,924,286 819,150 1,207,048 495,289 1,661,385 594,211 2,743,436 1,702,337 2,255,596 $ FY 2011 REVISED BUDGET 27,921 1,753,750 1,781,671 $ - $ $ 1,153,750 600,000 27,921 1,781,671 27,921 1,836,438 1,864,359 1,236,438 600,000 27,921 1,864,359 $ 2,074,352 $ 3,110,194 $ 2,035,941 $ 2,632,170 $ 1,781,671 $ 1,864,359 $ 1,265,329 559,023 250,000 $ 2,194,286 915,908 $ 1,434,503 601,438 $ 1,925,959 706,211 $ 1,153,750 600,000 27,921 $ 1,236,438 600,000 27,921 $ 2,074,352 $ 3,110,194 $ 2,035,941 $ 2,632,170 $ 1,781,671 $ 1,864,359 1 To avoid double counting, above amounts do not include $500,000 of Regents Innovation Fund revenue and expenditures in FY 2008-2011 that were/will be allocated to UA for HRAA CTSA and are included in UA's reports. This $500,000 is included, however, on the Emerging Issues page in the Regents Innovation Fund section. 2 TSI funds were allocated to the universities in FY 2008 and will be allocated to the universities in FY 2009-2011. Therefore, TSI revenues and expenditures and not included in these ABOR central office numbers but will be included in the universities' reports. 115 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 BUDGET / ACTUAL SUMMARY BY PROGRAM AREA FY 2008 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 TOTAL GRANTS/PROJECTS $ $ $ FY 2008 ACTUAL 1,273,710 2,175,000 3,448,710 $ 149,437 39,757 177,564 366,758 $ $ 1,924,286 819,150 2,743,436 FY 2008 CENTRAL OFFICE ACTUAL TRIF EXPENDITURES (in thousands) $1434.5 Regents Innovation Fund 70% 1,280,867 2,050,760 3,331,627 131,974 39,445 162,185 333,604 1,207,048 495,289 1,702,337 $601.4 ARRO Grants 30% Regents Innovation Funds do not include $500,000 allocated to UA for HRAA CTSA. EXPENDITURES GRAND TOTAL SUMMARY BY INITIATIVE Regents Innovation Fund: Learner-Centered Education UA College of Medicine-Phoenix Planning Information Technology Collaborative Arizona Water Institute (AWI) Operating Statewide Transfer Articulation System Emerging Issues Total Regents Innovation Fund Arizona Regents Reach Out (ARRO) Grants EXPENDITURES GRAND TOTAL $ 3,110,194 $ 2,035,941 REGENTS INNOVATION FUND $ $ 860,000 250,000 250,000 200,000 110,000 125,000 399,286 2,194,286 915,908 $ 3,110,194 $ 446,446 96,000 156,646 200,000 89,911 70,500 375,000 1,434,503 601,438 2,035,941 $446.4 LearnerCentered Education 31% (in thousands) $96.0 UA College of MedicinePhoenix Planning 7% $89.9 Operating 6% $70.5 Statewide Transfer Articulation $375.0 System Emerging Issues 5% 26% $156.6 Information Technology Collaborative 11% $200.0 Arizona Water Institute 14% 116 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 BUDGET REGENTS INNOVATION FUND SUMMARY FY 2008 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) Statewide Transfer Articulation System Emerging Issues Subtotal Grants/Projects EXPENDITURES GRAND TOTAL SUMMARY BY INITIATIVE Learner-Centered Education The University of Arizona College of Medicine-Phoenix Planning Information Technology Collaborative Arizona Water Institute (AWI) Operating Statewide Transfer Articulation System Emerging Issues EXPENDITURES GRAND TOTAL FY 2008 ACTUAL 619,286 1,575,000 2,194,286 $ 79,939 22,383 167,678 270,000 $ $ 700,000 250,000 250,000 200,000 125,000 399,286 1,924,286 FY 2009 BUDGET 619,286 1,491,176 2,110,462 $ 61,666 15,108 150,681 227,455 $ $ 308,902 96,000 156,646 200,000 70,500 375,000 1,207,048 850,959 1,075,000 1,925,959 80,000 20,000 164,574 264,574 645,426 110,000 255,000 100,000 50,000 500,959 1,661,385 $ 2,194,286 $ 1,434,503 $ 1,925,959 $ 860,000 250,000 250,000 200,000 110,000 125,000 399,286 $ 446,446 96,000 156,646 200,000 89,911 70,500 375,000 $ 800,000 110,000 255,000 100,000 110,000 50,000 500,959 $ 2,194,286 $ 1,434,503 $ 1,925,959 117 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 BUDGET REGENTS INNOVATION FUND Learner Centered Education Course Redesign Initiative (LCE-CRI) FY 2008 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating (NCAT Contract) Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: FY 2009 LCE Grants FY 2008 LCE Grants FY 2007 LCE Grants FY 2002-2006 LCE Grants Subtotal Grants/Projects EXPENDITURES GRAND TOTAL FY 2008 ACTUAL 418,027 441,973 860,000 $ 160,000 160,000 $ $ 500,347 110,634 89,019 700,000 $ 860,000 FY 2009 BUDGET 418,027 428,222 846,249 $ 137,544 137,544 $ $ 446,446 154,574 154,574 300,000 345,426 645,426 345,426 (36,524) 308,902 $ 300,000 500,000 800,000 $ 800,000 118 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) CATION U D E D E R CENTE LEARNER September 2008 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 student-faculty 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 1 Award Data 2002-2008 2 Financial Information 3 2007-09 LCE Initiative 3-4 Advisory Boards 4 Learn More 4 Learner-Centered Education Grants: The First Five Years Over five funding cycles from 2002 through 2006, 11 to 20 grants were awarded annually to faculty for projects which addressed learner-centered education in the areas of faculty development; course or program modification; assessment; or research. Funding for the last year of this five-year period culminated in September 30, 2007. Examples of these projects include: The Writing Network (UA), in which undergraduate English education majors, Writing Center tutors, and composition students worked with high school students on the skills they need to pass the AIMS test; Learner-Centered Assessment tools (ASU Poly and ASU West), which created a comprehensive library of online tools for developing, assessing, and improving learnercentered education; and TIMES (Training Engineering and Math for Engineering Success, NAU), which tested a set online training activities and tools designed to improve student performance in their entryThe Tri-University collaboration on level engineering foundation courses. learner-centered practice (2004). (to page 3) 119 PAGE 2 LEARNER-CENTERED EDUCATION AWARDS, 2002 -2009 LCE PROJECTS AWARDED 2002-2006 2006 2005 2004 $ # 2003 $ # 2002 # $ # ASU 2 $49,911 4 $120,432 3 $99,690 8 $214,191 4 $90,000 21 $574,224 NAU 5 165,536 4 124,888 5 104,985 2 60,319 7 141,922 23 597,650 UA 3 84,948 4 97,916 6 141,139 5 125,930 8 195,137 26 645,070 NAU/UA 0 0 0 0 0 0 1 24,883 0 0 1 24,883 ASU/UA 1 48,871 0 0 0 0 00 0 0 0 1 0 NAU/ASU 0 0 0 0 1 49,400 1 50,000 0 0 1 99,400 TRI-U 0 0 2 195,700 1 99,997 1 95,555 1 100,000 5 540,123 TOTALS: 11 $349,266 14 $538,936 16 $495,211 18 $ # $570,878 20 $ TOTAL # $527,059 79 $ $2,481,350 2007-2009 LCE COURSE-REDESIGN INITIATIVE PROJECTS Course(s) to be Redesigned ASU ACC 230: Uses of Accounting Information I ASU CHM 101: General Chemistry ASU College Algebra ASU ASU 2-YR Budget Enrollment Annual Projected Savings* Average Reduction in Cost Per Student $50,285 1,800 $108,000 33% $100,000 4,500 $149,000 16% $50,000 1,700 $249,900 36% CSE 180: Computer Literacy $51,763 2,200 $26,400 24% GLG 101 Introduction to Geology I, Physical $52,911 2,200 $52,800 26% ASU MGT 300 Organizational Behavior and Leadership $49,665 270 $57,780 57% ASU CMN 225: Public Speaking $41,178 200 $40,000 58% ASU WST 100 Women and Society $45,218 2,400 $50,400 27% WST 300 Women in Contemporary Society NAU BIO 181 Introductory Biology $49,518 975 $86,775 34% NAU PSY 101 Introduction to Psychology $49,992 1,925 $26,950 23% UA MCB 181: Introductory Biology $50,000 1,800 $244,800 51% UA CHEM 103/104: Fundamentals of Chemistry $49,911 4,000 $68,000 9% UA NATS 101 A Geological Perspective $50,331 1,200 $302,400 58% $690,772 25,170 $1,463,205 TOTALS: 38% (avg) *NOTE: Overall savings calculations are based on reductions in cost per student at original (pre-redesign) enrollment levels. However, cost-per-student reduction may also come through an increase in the total enrollment capacity at no or minimal increase in overall instructional cost. In one case, enrollment capacity is expected to increase 300%. Learner-centered education has been a high priority for the Arizona Board of Regents, as reflected in the Arizona University System’s Strategic Directions. 120 PAGE 3 F i na n c i a l i n f o r m at i o n REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget FY 2002 ACTUAL FY 2003 ACTUAL FY 2004 ACTUAL FY 2005 ACTUAL FY 2006 ACTUAL FY 2007 ACTUAL 969,239 $ 969,239 $ 297,864 560,008 $ 57,872 $ 307,772 16,500 $ 824,272 $ 293,560 500,000 $ 93,560 $ 18,965 101,428 $ 820,393 $531,621 300,000 $831,621 $ 3,133 744 2,469 $ 2,962 2,461 5,254 $ 9,365 1,491 2,121 $ 5,180 828 1,575 $ 9,959 2,502 831 $ 6,326 $ 0,677 $ 2,977 $ 7,583 FY 2008 REV. BUDGET FY 2008 ACTUAL FY 2009 BUDGET $ 418,027 441,973 $ 860,000 $ 418,027 428,222 $ 846,249 $ 300,000 500,000 $ 800,000 $ 8,397 2,064 60,307 160,000 137,544 154,574 $ 13,292 $ 40,768 $ 160,000 $ 137,544 $ 154,574 GRANTS/PROJECTS: FY 2002-2006 LCE Grants FY 2007 LCE Grants FY 2008 LCE Grants FY 2009 LCE Grants $ 567,107 - $ 554,488 - $ 14,212 - $ 454,666 - $ 264,880 - $339,360 - $ 89,019 110,634 500,347 - $ (36,524) 345,426 - 345,426 300,000 Subtotal Grants/Projects $567,107 $ 554,488 $ 514,212 $ 454,666 $ 264,880 $339,360 $ 700,000 $ 308,902 $ 645,426 $ 573,433 $ 575,165 $ 527,189 $ 462,249 $ 278,172 $410,128 $ 860,000 $ 446,446 $ 800,000 EXPENDITURES, GRAND TOTAL 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. (from page 1) Consistent with other TRIF projects, an evaluation of the LCE grant program was conducted in 2006 to provide direction for the program’s future. The resulting important information on both project design and project management informed the decision to build on the past program and bring the LCE grant program to a new, higher level of institutional engagement, a new level of impact, and a new level of accountability. LCE COURSE REDESIGN INITIATIVE As a result of the study, the LCE Course Redesign Initiative (CRI), based on the highly-successful model of the National Center for Academic Transformation (NCAT), was launched in January 2007. NCAT is nationally known for its course redesign model for improving learning in large enrollment courses, incorporating technology and maximizing resources. The Arizona Board of Regents’ LCE CRI focuses on the redesign of large-enrollment, multi-section “gateway” or key undergraduate courses, using technology-supported active learning strategies. The overall goal: To achieve improvements in student learning outcomes as well as efficiencies in instructional costs. The LCE CRI program runs through September 2009 and is funded through the Regents Innovation Fund for the 2007-11 funding period. Two years of funding ($500,000 per year, FY 2007-08 and FY 2008-09), or a total of $1,000,000, has been designated for these projects. 2007-09 LCE CRI Funded Projects From February through July 2007, project teams consisting of faculty and administrators at each of the three Universities went through a structured series of steps that called on them to do intensive analysis and planning as the foundation for their final redesign proposals. A total of 13 projects were selected and announced in August 2007, representing a wide diversity of academic areas and course redesign strategies. Among the highlights of the 2007-09 projects: (to page 4) ( 121 PAGE 4 (from page 3) Others saw an increase in the course completion rate. The total amount awarded for the 13 projects is $690,772 over the two-year cycle. Total enrollment for all the redesigned courses is estimated at over 25,000 students annually. Looking Ahead . . . The 13 projects will be implemented course-wide during the 2008-2009 academic year, followed by Project teams estimate a total annual savings of over $1.4 million, averaging $58 per student. program evaluation and dissemination. The two-year cycle of LCE funding concludes in September 2009, Other expected outcomes: Increased with an assessment provided by NCAT. enrollment capacity; reduction in bottleneck courses; and reductions in drop-fail-withdraw Faculty participating in this initial LCE CRI grant cycle rates. expect to gain the knowledge and skills to provide The project teams worked with NCAT to pilot their leadership to other departments in their institutions to redesigned courses in Spring 2008. Even at this early, apply the NCAT redesign model to additional courses. experimental stage, significant results were posted: Expanding the model to other courses is, in turn, Some teams produced equivalent learning likely to generate greater savings in instructional outcomes at a reduced cost; costs, beyond the estimated $1.4 million in annual At least two saw gains in students’ scores on savings from the initial redesign projects. common exams; PERFORMANCE MEASURES / DELIVERABLES Number of courses modified to LCE focus Faculty addressing curriculum through LCE grants Students affected by LCE grant projects 2002 95 2003 123 2004 104 2005 68 2006 72 2007 –2009 PROJECTED 17 188 147 111 141 133 65 14,000 5,362 6,392 8,491 10,500 25,000-30,000 annually Oversight of the LCE Program ABOR Academic Affairs Committee (AAC) provides oversight for the LCE program, approves funding for grants and approves substantive changes to grant process/criteria. The LCE Advisory Council provides operational support and recommends projects for funding to the AAC. 2008-09 members: Regents Dennis DeConcini Blakemore, ASU; Don Carter, NAU; and Juan Garcia, UA. Arizona Faculties Council: William Verdini, ASU; Charles Connell, NAU; and JC Mutchler, UA. (chair), Bob McLendon, and David Martinez; the three university provosts: Betty Capaldi, ASU; Liz Grobsmith, NAU; and Meredith Hay, UA; ex-officio members Joel Sideman, ABOR; JC Mutchler, faculty; and Alysssa McKinley, NAU. 2008-09 members: Provost Appointees: Arthur For More Information: Visit the LCE link on the home page of the Arizona Board of Regents website, at www.azregents.edu. Contact Maryn Boess, Grants Program Manager, Arizona Board of Regents, 2020 N. Central Ave., Suite 230, Phoenix, AZ 85004, (602) 229-2560 , maryn.boess@azregents.edu 122 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 BUDGET REGENTS INNOVATION FUND The University of Arizona College of Medicine-Phoenix, in partnership with Arizona State University-Planning FY 2008 BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Molera Alvarez Group To be determined Subtotal Grants/Projects EXPENDITURES GRAND TOTAL FY 2008 ACTUAL 250,000 250,000 - $ $ $ 100,000 150,000 250,000 $ 250,000 FY 2009 BUDGET 242,222 242,222 - $ $ $ 96,000 96,000 $ 96,000 110,000 110,000 - 110,000 110,000 $ 110,000 123 THE UNIVERSITY OF ARIZONA COLLEGE OF MEDICINE-PHOENIX, IN PARTNERSHIP WITH ARIZONA STATE UNIVERSITY FY 2008 RESULTS AND ACCOMPLISHMENTS FY 2008 funds were expended in support of the planning for the development of The University of Arizona College of Medicine-Phoenix, in partnership with Arizona State University on the Phoenix Biomedical Campus (PBC). At present, the PBC comprises the Translational Genomics Research Institute (TGen) research building; and Phase One of the College of Medicine-Phoenix consisting of the three former PUHS buildings, the center one housing the Virginia G. Piper Auditorium, and the first Arizona Biomedical Collaborative research building (ABC 1). Researchers from The University of Arizona and Arizona State University began moving into ABC 1 in July 2007. In an unprecedented partnership, researchers from ASU's Department of Biomedical Informatics fill the first two floors, while UA researchers fill the wet lab space on the top two floors. During Phase One, the College of Medicine-Phoenix partnered with Catholic Healthcare West for a 5-year lease on space at St. Joseph’s Medical Center and Barrow Neurological Institute (BNI) for the Clinical Anatomy course. BNI provides the space, lab, and staff support for this required training for every medical student. The Phase One facilities on the PBC support the inaugural College of Medicine-Phoenix class of 24 and will accommodate the larger class of 48 first-year medical students who entered in July 2008. Phase Two facilities will be necessary to expand the College of Medicine-Phoenix class size beyond initial levels. During its recent session, the Legislature authorized $1 billion for new construction and building renewal at ASU, NAU, and the UA. The Stimulus Plan for Economic and Educational Development (SPEED) will provide $470 million for two new buildings on the PBC. These Phase Two projects will provide teaching space needed to expand the College to its full capacity of 150 first-year students each year. However, Phase Two research space for the College of Medicine-Phoenix is not expected to meet all future needs. The campus will continue to grow, with additional research space and clinical space required to accommodate expanding faculty appointments. The Phase Two plan for expansion of the PBC provides a Health Sciences Education Building (HSEB); a second research building (ABC 2), which includes dedicated research space, shared core research support, and space for the National Institutes of Health (NIH) Clinical and Translational Science Award (CTSA) effort; and structured parking for at least 1,000 124 cars. The total estimated square footage for Phase Two is approximately 620,000 GSF, not including parking. Site work construction will begin in the summer of 2009. Completion of the HSEB is planned for the fall 2012 academic term. Construction of ABC 2 and the research cores will be completed about a year later. The team of CO Architects and Ayers Saint Gross is proceeding with the detailed programming requirements of the education and research facilities. Meeting with some dozen user groups and oversight committees, the project team is verifying and refining requirements, as well as determining with the users how facilities and services might be shared among programs. Schematic design is under way, with completion anticipated early in 2009. Health Sciences Education Building (HSEB) The Health Sciences Education Building (HSEB) will include classrooms, a state-of-the-art simulation center, pre-clinical training suites, anatomy laboratories, library and learning resource center, and faculty offices for UA, ASU, and NAU. The facility will provide a unique opportunity to train healthcare professionals in an integrated environment, empowering them to become national leaders in interprofessional education and ultimately, delivery of healthcare. Estimated square footage for the HSEB is 308,000 GSF. Site work construction will begin in Summer 2009 with completion planned for Fall 2012 occupancy. Arizona Biomedical Collaborative 2 (ABC 2) Research Building Arizona Biomedical Collaborative 2 (ABC 2) will accommodate approximately 50 principal investigators from UA, ASU, and NAU. Its core facilities will support the researchers in ABC 1 and 2 and, potentially, research organizations based on the Phoenix Biomedical Campus, such as TGen. This facility will focus on disease-based translational research in the areas of cancer, neuroscience, diabetes, and cardiovascular disease. Dedicated laboratory space will be augmented with the shared research core that will include a vivarium, advanced imaging modalities, data center, and other infrastructure necessary to support an active research agenda. Estimated square footage for ABC 2 is 375,000 GSF. Completion is planned for 2013 occupancy. Space will be dedicated for the work of the Health Research Alliance Arizona (HRAA). This will include clinical research space designed to support a statewide application for the collaborative Clinical and Translational Science Award (CTSA) grant application that will be submitted to the NIH in October 2008. The HRAA space will link clinical research and education. Advances then can be delivered to the community in the form of improved medical care, treatment, and prevention. Estimated square footage for the HRAA space is 21,000 GSF. 125 Results The expansion of the College of Medicine-Phoenix class size to 150 students will be accommodated by the planned Health Sciences Education Building. The expanded class size will require additional basic science faculty, many of whom will be housed in ABC 2, and will also require a cadre of clinical faculty physicians, both employed by the UA and volunteers from our teaching faculty in the greater Phoenix area. FY 2009 OVERVIEW Next Steps Developing a truly integrated and interprofessional campus will create a shared core of education and student support spaces supplemented by spaces dedicated to specific colleges or programs. Where this model has been implemented on other medical school campuses, some strategies employed have included: Highly flexible spaces with limited fixed furniture Ample “small group” sized rooms (10-30 students per) Large spaces that can be subdivided to accommodate different group sizes All classrooms and lecture halls to be centrally scheduled Shared use, e.g., by the College of Medicine, ASU College of Nursing & Healthcare Innovation, and the UA College of Pharmacy, of specialized facilities, such as clinical skills exam rooms Centralized classroom support staff for maintenance, audio-visual (AV), and information technology (IT) Flexibility in class scheduling for maximum utilization of all classrooms A study addressing the capacity of the Phoenix Biomedical Campus site, and the adjacencies of the facilities and other healthcare components of an academic health science center, including a teaching hospital, clinical enterprises, and essential infrastructure, has been completed. FY 2009 GOALS/OBJECTIVES 1. Complete planning, programming, and design of Health Sciences Education Building (HSEB). 2. Complete planning, programming, and design of ABC 2. 126 FY 2008 ACTUAL/FY 2009 PROJECTED PERFORMANCE MEASURES/DELIVERABLES 1. 2. 3. 4. 5. Return on Investment Complete planning, programming, and design of HSEB. Complete planning, programming, and design of ABC 2. Complete master plan for PBC. Partnerships/Collaborations Continue collaborative effort among UA, ASU, and NAU. Continue collaborative effort with City of Phoenix. FY 2008 Projected FY 2008 Actual FY 2009 Projected Completed Completed Completed In progress In progress - Completed Completed - Ongoing Ongoing Ongoing Ongoing Ongoing Ongoing 127 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 BUDGET REGENTS INNOVATION FUND Information Technology Collaborative FY 2008 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Fred Estrella Consulting Darel Eschbach Contract SharePoint Project Network Management System Collaborative Supercomputing AZ Tri-university Identity Federation Development Projects to be determined Subtotal Grants/Projects EXPENDITURES GRAND TOTAL 250,000 250,000 - FY 2008 ACTUAL $ $ $ 5,000 1,000 35,000 150,000 42,000 17,000 250,000 $ 250,000 FY 2009 BUDGET 242,222 242,222 - $ $ $ 4,707 706 34,956 (723) 75,000 42,000 156,646 $ 156,646 75,000 180,000 255,000 - 75,000 180,000 255,000 $ 255,000 128 FY 2008 Actual / FY 2009 Budget Regents Innovation Fund Information Technology Collaborative FY 2008 INITIATIVE OVERVIEW Collaborative Information Technology (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), which is a version of PeopleSoft. SharePoint for the central office continues to be implemented, and conversion to the next generation of SharePoint is underway. 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 and to monitor the ASU OASIS project. FY 2008 GOALS/OBJECTIVES 1. 2. 3. 4. 5. 6. Continue implementation of SharePoint. Oversee ongoing IT Architecture development. Oversee consultant for OASIS implementation at ASU. Tri-University Identity Federation (ATIF) for Arizona University System consulting report will be reviewed and next steps identified. Support collaborative university IT projects identified in the Moran Technology Consulting report. Start implementing three collaborative projects including various IT security areas from the Moran Technology Consulting report. FY 2008 PERFORMANCE MEASURES/DELIVERABLES Projected 1. 2. 3. 4. 5. Return on Investment Continued oversight of IT Architecture development. Implementation of major central office functions using SharePoint. Partnerships/Collaborations Consulting on Tri-University Identity Federation. Moran Consulting on university collaborations. OASIS consulting report to the Technology Oversight Committee. Actual On Schedule On Schedule Completed Completed and Ongoing On Schedule On Schedule On Schedule On Schedule Completed Completed RESULTS AND ACCOMPLISHMENTS 1. The Architectures were important to demonstrate guidelines, standards, and best practices as the State Auditor General conducted an IT security performance audit of the three universities. 2. SharePoint sites have been implemented for the Legal, Audit, Capital, Technology Oversight, and Programs committees. In addition, the Regents Resource Center, master calendar and numerous other sites have been developed. A major conversion to the lasted version of SharePoint (MOSS 2007) was successfully completed. This virtual private network is a continuous process as additional Board of Regents and central office processes are refined and automated. 3. A consulting report was accepted and the Identity Federation project was funded by the Technology Oversight Committee. 4. The Moran report was completed and accepted by the Board. Seven of the eleven recommendations have either been completed or are underway. The recommendations include UA using the Oracle/PeopleSoft system for its HR and student systems; developing a website 129 for the universities to share their supercomputers; and purchasing IT Vulnerability Scanning/Management Solution project software packages for all three universities. 5. A consultant was retained and reported quarterly to the Technology Oversight Committee on the status of the ASU OASIS systems. A final report was received along with a checklist to use for future consulting engagements. FY 2009 INITIATIVE OVERVIEW A consultant to monitor UA’s $90 million implementation of its Enterprise Resource Planning systems including HR and student information, financial and other management systems has been engaged for a three-year period. SharePoint for the central office continues to be implemented and will need modest additional financial support for training and enhancements. Numerous possibilities exist for the efficient and effective use of seed money for collaborative IT projects. FY 2009 GOALS/OBJECTIVES Additional goals and objectives will be provided when final IT projects are selected. 1. Continue implementation of SharePoint. 2. Oversee consultant for monitoring the UA ERP systems implementation. 3. Reporting on the Tri-University Identity Federation (ATIF) for Arizona University System project, the collaborative university supercomputing project, and the IT vulnerability scanning/management Solution project. FY 2009 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Implementation of major central office functions using SharePoint, including Regents Resource Center. 2. Oversee consultant for monitoring the UA ERP systems implementation. Partnerships/Collaborations 3. Report on Tri-University Identity Federation. 4. Report on the collaborative university supercomputing project 5. Report on the IT vulnerability scanning/management solution project Projected On Schedule On Schedule On Schedule On Schedule On Schedule 130 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 BUDGET REGENTS INNOVATION FUND Statewide Transfer Articulation System FY 2008 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Software interface ATASS Web Design Projects to be determined Subtotal Grants/Projects EXPENDITURES GRAND TOTAL 125,000 125,000 - FY 2008 ACTUAL $ $ $ 28,000 42,500 54,500 125,000 $ 125,000 FY 2009 BUDGET 121,111 121,111 $ - $ $ 28,000 42,500 70,500 $ 70,500 50,000 50,000 - 50,000 50,000 $ 50,000 131 STATEWIDE TRANSFER ARTICULATION SYSTEM FY 2008 INITIATIVE OVERVIEW In May 2007 a report was issued on a study of Arizona’s transfer articulation system for community college students transferring to one of the public universities. Prepared by Hezel Associates of Syracuse, New York, Arizona was given generally high marks; however, one area identified for significant needed improvement was online services for transfer students. Students, faculty, academic advisors, and staff need easy access to information on transfer to support accurate decision-making, but the current system was given poor ratings for ease of use. As a result, the Arizona Board of Regents approved a one time allocation $125,000 of FY 2008 TRIF Regents Innovation Funds for improvements. The funds will support two major projects: 1) An upgrade to the navigation, layout, and design of the Arizona Transfer Articulation Support System (ATASS) website; and 2) the implementation of an automated system which will allow students to easily upload their completed courses to determine how credits will apply to major requirements at the universities; this system will provide students and advisors with a very tailored, easy-to-access academic plan for successful transfer. FY 2008 GOALS/OBJECTIVES 1. Issue an RFP for a consulting firm to redesign the ATASS website (October 2007). 2. Implement the new design by May 2008. 3. Install software at all 10 community college districts and 3 universities for transcript upload (May 2008). FY 2008 PERFORMANCE MEASURES/DELIVERABLES Elements of the Hezel Study will be replicated, such as a satisfaction survey, once the new systems are in place and enough time has passed to determine their impact. 1. 2. 3. Return on Investment Increased use of ATASS website Better student, staff, faculty, and advisor satisfaction with website Students better prepared to transfer to the universities Projected TBD TBD TBD 132 FY 2009 INITIATIVE OVERVIEW ATASS Website: A contract was issued to the design company, Cricket Contrast, to redesign the website in January 2008, and the new site is expected to be launched in Fall 2008, following a testing period with several classes of community college students. The new look and improved navigation is expected to increase the use and satisfaction with the website. Software to Upload Courses The community colleges and universities were notified in the Fall 2007 that the Arizona Board of Regents was funding the licensing and installation of software to make it easier for students upload their courses to see how they transfer to other institutions. Institutions were given 18 months, or through December 2008, in which to participate. The progress on this project has been much slower than expected. ASU will go ‘live’ in August 2008. Four community colleges have indicated their interest in installing the software but have not pursued the specific arrangements. All community colleges will be notified again this fall and it will be promoted at a meeting of the community college chief academic officers, also scheduled for this fall. FY 2009 GOALS/OBJECTIVES 1. Implement the new design by September 2008. 2. Install software at all 10 community college districts and 3 universities for transcript upload (December 2008). FY 2009 PERFORMANCE MEASURES/DELIVERABLES 1. 2. 3. Return on Investment Increased use of ATASS website Better student, staff, faculty, and advisor satisfaction with website Students better prepared to transfer to the universities Projected TBD TBD TBD 133 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 BUDGET REGENTS INNOVATION FUND Arizona Water Institute (AWI) FY 2008 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 200,000 200,000 - FY 2008 ACTUAL $ $ $ 200,000 200,000 $ 200,000 FY 2009 BUDGET 200,000 200,000 - $ $ $ 200,000 200,000 $ 200,000 100,000 100,000 - 100,000 100,000 $ 100,000 134 ARIZONA WATER INSTITUTE (AWI) FY 2007 ACTUAL / FY 2008 BUDGET FY 2005 Actual (*) FY 2006 Actual (**) FY 2007 Actual FY 2008 Budget FY 2008 Actual FY 2009 Budget*** REVENUE Carry Forward $ - $ - $ 58,000 $ 48,490 $ 48,490 $ 57,394 NEW TRIF Revenue $ 37,500 $ 150,000 $ 200,000 $ 200,000 $ 200,000 $ 100,000 Total Revenue $ 37,500 $ 150,000 $ 258,000 $ 248,490 $ 248,490 $ 157,394 Personnel Services $ - $ 84,200 $ 192,310 $ 210,600 $ 181,080 $ 157,394 Other Operating $ 37,500 $ 7,800 $ 17,200 $ 20,000 $ 10,016 $ - Total Expenditures $ 37,500 $ 92,000 $ 209,510 $ 230,600 $ 191,096 $ 157,394 EXPENDITURES * FY 2005 TRIF funds were allocated to Arizona Department of Commerce (not to AWI) to fund development of AWI business plan by Battelle Institute. were below funding request due to timing of hiring of Executive Director and ** FY 2006 personnel expenditures Administrative Associate. ***ABOR funds will be supplemented with funds from other sources to pay the Director's and Admin Support salaries and operating costs for FY 2009 135 Innovation Building a Community Partnership Opportunities Multiple ways to partner with AWI AWI is about people building collaborative, multidisciplinary solutions to water management challenges. One of AWI’s most significant contributions is facilitating collaborations involving citizens, water managers, agencies, and policy makers and Arizona’s universities. It is only through such collaborations that we can develop sustainable water management solutions. • Sign up for our newsletter: Contact polms@email.arizona.edu Future of AWI • Become an AWI Faculty Affiliate: Faculty affiliates are faculty and staff members who are engaged in AWI research projects or are willing to help with new projects on a time-available basis. AWI is currently supported by the Arizona Board of Regents and the state general fund through an appropriation to the three universities. The universities also provide financial and operational support through other funding sources. AWI plans to be increasingly self-sustaining through federal grants, foundation support, project-related income, and private donations. • Become a Sponsor: Individuals and organizations can join AWI to support our efforts to resolve Arizona’s water issues and to develop international water sustainability solutions. We have non-profit tax status so that any gifts are tax deductible. • Become a Partner: AWI serves as an information broker, connecting water quality and water supply issues with appropriate solutions. We can help to find funding for projects as well as work collaboratively to develop research teams and proposals. Our partnerships can be built around individual projects or longer-term programs. Institute Sponsors APS Arizona Water and Pollution Control Association Central Arizona Project City of Chandler City of Phoenix City of Scottsdale City of Tucson Global Water Resouces, LLC National Water Research Insitute Pima County Wastewater District Salt River Project Tucson Electric Power Company/Unisource United States Bureau of Reclamation Binational Institute for Water and Renewable Energy The Binational Institute is a joint effort of the states of Arizona and Sonora to enhance water and energy sustainability in the U.S.-Mexico border region. AWI is coordinating the efforts of U.S. partners and Consejo Estatal de Ciencia y Tecnología de Sonora is coordinating the Sonoran partners. Contact Information Partnership Opportunities Kathy Jacobs, Executive Director Arizona Water Institute PO Box 210158B 845 N. Park Avenue, Suite 532 Marshall Building, 5th floor Tucson, Arizona 85721-0158 Phone: 520-626-5627 Fax: 520-626-7770 www.azwaterinstitute.org Campus Coordinators University of Arizona Anna H. Spitz, Ph.D. Phone: 520-626-3892 Email: aspitz@hwr.arizona.edu Arizona State University Jim Holway, Ph.D. Phone: 480-965-5414 Email: jim.holway@asu.edu Northern Arizona University Abe Springer, Ph.D. Phone: 928-523-7198 Email: abe.springer@nau.edu Paul Gremillion, Ph.D. - Deputy Campus Coordinator Phone: 928-523-5382 Email: paul.gremillion@nau.edu Associate Directors Arizona Department of Environmental Quality Chuck Graf Phone: 602-771-4661 Email: cgg@azdeq.gov Arizona Department of Water Resources Plácido dos Santos Phone: 602-771-8551 Email: pdossantos@azwater.gov A consortium of Arizona’s three universities focused on water sustainability through research, technical assistance, education and technology. Arizona Department of Commerce Commerce Contact: Sandra Watson Phone: 602-771-1215 Email: sandraw@azcommerce.com 4th Edition, August2008 www.azwaterinstitute.org 136 Background Arizona’s three state universities — Arizona State University, Northern Arizona University, and The University of Arizona — have formed a partnership that will position the state as a world leader in water resources management and technology. The primary driver for this initiative is sustaining Arizona’s water supply, which is crucial to the state’s economy, the health and well-being of its residents, and its natural environment. Mission & Structure Arizona Water Institute’s Mission • AWI serves as a hub of research, community assistance, and analytical support to ensure clean and sustainable water resources; • AWI provides education, training, and professional capacity building to citizens and state, local, and tribal government decision makers about conserving and managing water in arid/semi-arid environments; • AWI serves as a driver of economic opportunity by developing water products and services. Collaborative Research AWI initiatives focus on broad areas of interest critical to governments, industries, and communities: • Web-based access to water information through the Arizona Hydrologic Information System; • Capacity building/watershed research and support; • Climate change, drought, and adaptation; • Emerging contaminants and treatment technologies; • Salinity management and technologies; and • Water and energy strategic research. AWI Structure Arizona is known worldwide for its innovative water management activities. Although the water issues facing the state are daunting, the state’s commitment to long-term water supply availability has resulted in billions of dollars in investment for renewable supplies, innovative regulatory programs, and development of significant institutional capacity. The Arizona Water Institute (AWI) combines the expertise of Arizona's water managers with the resources of the three universities to support water resources management and technology development in real-world applications. This unique partnership — which also includes three state agencies, Water Resources (ADWR), Environmental Quality (ADEQ), and Commerce (ADoC) — was formed to provide access to hydrologic information, support communities, and develop technologies to promote water sustainability. AWI founding partners also include Intel Corporation and the Salt River Project. The Executive Committee provides direction and oversight of AWI activities. It is comprised of: • the Vice-Presidents for Research at the three universities; • a representative of the Governor’s office; • the chair of a 40-member external advisory committee made up of diverse water interests; and • the Director of ADWR (a rotating position among the three agencies). The Executive Director reports to the committee. Faculty coordinators on each campus help match resources within the three institutions to AWI projects and ensure the timely completion of projects. Associate Directors located in ADWR, ADEQ, and ADoC ensure that AWI provides the agencies with timely and appropriate support by working on projects and providing technical assistance. Services AWI provides services to stakeholders, industry, agencies, and communities: • Water-related data access and retrieval; • Projects focused on real world solutions; • Presentations for groups and events; • Planning support and meeting facilitation for water-related applications; • Workshops and research proposal development; and AWI: Water sustainability through collaborative partnerships among Arizona’s three universities, state agencies, the private sector and communities • Technology development and commercialization. Collaborative teams of university researchers and stakeholders in government, industry, tribes, water companies, watershed alliances, agriculture, and other organizations work to solve the critical water issues facing Arizona and other semi-arid and arid environments. Photo of Roosevelt Dam: Salt River Project Accomplishments In its first year, AWI funded 18 collaborative projects and 15 more in its second year. A key focus is the Arizona Hydrologic Information System (AHIS). Working with partners such as ADWR, ADEQ, and the Salt River Project, AWI is developing the tools to store, access, retrieve, Arizona Wells interface with AHIS and analyze water www.sahra.arizona.edu/wells/ information to support water-related decisions. Other projects include: Water quality/treatment • Testing of electrocoagulation technology in semiconductor manufacturing • Analysis of emerging contaminants in water • Removal of estrogenic compounds at wastewater treatment plants • Development of a sensor for disinfection byproducts in drinking water • Development of a drought indicator and trigger for community water systems • Increasing water recovery during reverse osmosis treatment of CAP water Tribal support • Assessment of the Navajo Nation’s hydroclimate network • Development of plans with Intertribal Council of Arizona for tribal water management in Arizona Watershed Assistance and Facilitation • Scenario development and visualization for East Valley Water Forum drought planning • Review of ADWR Management Plan effectiveness • Assessment of environmental flow requirements of the Verde River • Development of integrated riparian area monitoring • Identification/characterization of heritage waters • Evaluation of irrigation controller technologies Water/energy sustainability • Evaluation of regional water and energy137 needs ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 BUDGET REGENTS INNOVATION FUND Emerging Issues FY 2008 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Beat the Odds Institute (CFA) Arizona Academic Scholars Program (ABEC) Health Research Alliance Arizona CTSA (UA) 3 ASU Decision Theater (Strategic Plan) Algebra II Assessment Pilot Projects to be determined Subtotal Grants/Projects EXPENDITURES GRAND TOTAL FY 2008 ACTUAL 701,259 198,027 899,286 $ - $ $ 250,000 75,000 500,000 50,000 15,000 9,286 899,286 $ 899,286 FY 2009 BUDGET 701,259 198,027 899,286 $ - $ $ 250,000 75,000 500,000 50,000 875,000 $ 875,000 425,959 575,000 1,000,959 1 2 - 250,000 75,000 500,000 15,000 160,959 1,000,959 $ 1,000,959 1 Pursuant to ABOR direction in June 2008, $175,000 of Arizona Regents Reach Out (ARRO) funds were transferred into the Regents Innovation Fund to address emerging issues in FY 2009. 2 $840,000 of this amount has been committed by prior ABOR actions, leaving $160,595 uncommitted at July 1, 2008, and available for emerging issues in FY 2009. 3 HRAA CTSA funds were/will be allocated to UA and are included in UA's reports. The amounts here are for informational purposes only and are not carried forward to the Regents Innovation Fund Summary page or to the Central Office Grand Summary page. 138 ARIZONA BUSINESS AND EDUCATION COALITION (ABEC) ARIZONA ACADEMIC SCHOLARS INITIATIVE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 BUDGET FY 2008 INITIATIVE OVERVIEW The goal of the Arizona Academic Scholars Initiative is to build community-based partnerships around the goal of preparing our high school graduates for both careers and postsecondary training and education. The Arizona Business & Education Coalition (ABEC) just completed the second year of three-year funding from the Arizona Board of Regents TRIF grant to support the Arizona Academic Scholars Initiative. The focus of activity for FY 2008 was to expand the Initiative beyond the initial 8 pilot districts and their communities. In May 2007, the State Board of Education (SBE) passed a resolution to “support the Arizona Scholars Initiative as a means of encouraging students to engage in a rigorous course of study so that they are adequately prepared for work and postsecondary education in the 21st century”. In December 2007, the SBE approved increased high school graduation requirements effective in 2012 and 2013. These graduation requirements include increased math and science credits. The Scholars course of study is seen as an interim step toward the implementation of these more rigorous graduation requirements. Allowing each community to work together as business and education partners in support of encouraging a Scholars high school course of study with rigor in math and science, along with additional academic areas, allows for the flexibility to make each partnership successful. The collaboration between the State Board of Education and the Arizona Business & Education Coalition serves as a model for business and education partnerships to better prepare students and communities for the academic rigor which is necessary for success in today’s postsecondary education and global economy. FY 2008 GOALS / OBJECTIVES 1. Continue to expand the Arizona Academic Scholars Initiative beyond the original 8 pilot districts, in partnership with the State Board of Education. 2. Increase the number of high school students successfully completing an academically rigorous curriculum. 3. Advocate for increased rigor in math and science as part of increased high school graduation requirements. 4. Decrease the number of students requiring remediation in the community college and university systems. 139 5. Encourage businesses to provide incentives and/or academic support to high school students to continue on the Scholars course of study. FY 2008 PERFORMANCE MEASURES / DELIVERABLES 1 2 3 Increase presentations of the Arizona Academic Scholars Initiative statewide Increase the number of high school students graduating as Arizona State Scholars Increase the number of 8th/9th graders receiving presentations regarding the Scholars course of study FY 2008 ACTUAL Multiple presentations were given to Superintendents, key educators, School Boards and business organizations in order to finalize the 8 additional Scholars partnerships Approximately 1450 more Academic Scholars medallions were ordered in 2008 as compared to 2007 for seniors graduating as Arizona Academic Scholars. These figures do not include Mesa Public Schools (have chosen not to use medallions) District final reports indicate a total of 5302 students in the 16 districts would graduate as Arizona Academic Scholars Approximately 745 Scholars presentations were given to 8th/9th grade students in the 16 districts. Many of these presentations were held in classrooms and some in an assembly format with an estimated total of 23,500 students receiving Scholars information FY 2008 RESULTS AND ACCOMPLISHMENTS 1. The total number of districts who signed letters of commitment to become Arizona State Scholar partnerships doubled in the year, going from a total of 8 pilot districts to a total of 16 participating districts. 2. New marketing materials were developed to achieve optimum ease of use for each district and give the products a more appealing look. Brochure messaging was targeted to four different audiences: education/business leaders, parents, students and teachers/counselors. Each brochure is available electronically so that it may be printed as often and in the quantity which best meets the needs of each district. In addition, the parent brochure is available in Spanish to allow as many families as possible to understand the Scholars message and the importance of academic rigor in order to be more successful in both postsecondary education and future careers. 3. Each district Superintendent was asked to identify a district coordinator for the Scholars program. Both the coordinator and the Superintendent were advised of their responsibility to complete a simple final report at year-end in order to more accurately track the success and measurable outcomes of each district. 140 A summary of this report is attached at the end of this report. In order to compensate for the time required for this additional work, a $1000 stipend was offered to the district coordinator (if approved by their Superintendent). A total of 10 coordinators received this compensation. 4. The number of medallions ordered by the districts to recognize seniors graduating as Arizona Academic Scholars increased by almost 1500 from the prior year (both years exclude Mesa Public Schools because they have so far chosen not to use medallions as a form of recognition). The cost of these medallions was covered through the ABOR grant and through funding from UnitedHealthcare for the districts in Pima County. 5. According to the final reports from each district, the total number of seniors graduating as Arizona Academic Scholars was anticipated to be 17,479 statewide. This represents 30% of the total number of anticipated seniors graduating from these districts statewide. 6. Approximately 23,500 students in 8th/9th grade received the Arizona Academic Scholars presentation showing the importance of academic rigor for success in postsecondary education and their future careers. Though Arizona Academic Scholars is most directed to the middle 50% student, it is open to all students with the anticipation both they, and their families, need to better understand the realities of the global economy in the 21st century. 7. In part due to the influence of ABEC and its commitment to more academic rigor for our high school students, the SBE approved increased high school graduation requirements starting in the years 2012 and 2013. These requirements will include increased math and science. The Arizona Academic Scholars Initiative is now viewed as an effective interim step toward helping prepare students for this increased rigor. As a result, the Scholars course of study has been increased for the graduating students of 2013 and beyond to reflect rigor beyond the basic requirements. The final determination of this course of study was made with input from key educators and business leaders statewide. 8. A dinner meeting with available district coordinators took place in June, 2008 in conjunction with the ABEC annual conference. It was evident from this meeting that among some of the original Scholars pilot districts, the power to influence students, parents, educators and the general public as to the importance of academic rigor has become reality. As the coordinator from one district reported, the increased high school graduation requirements would have met with great distress in their community had the Scholars initiative not been strongly in place. 9. Presentations have been made to key educators and business leaders who have shown interest in participating in the Scholars Initiative as we move into the new academic school year. Working with Chambers of Commerce or other business organizations continues to be a very viable option to encourage businesses and their local school districts to work together as a community to implement the Initiative. 141 . FY 2009 INITIATIVE OVERVIEW The goal of the FY 2009 Arizona Academic Scholars Initiative remains centered on the commitment to build community-based partnerships to prepare our state’s high school graduates for both careers and postsecondary training and education. The goal of allowing each community to work together as business and education partners in support of encouraging a Scholars high school course of study with rigor in math and science, along with additional academic areas, allows for the flexibility to make each partnership successful. The collaboration between the State Board of Education and the Arizona Business & Education Coalition serves to more quickly spread the Initiative statewide as an interim step in preparing for the increased high school graduation requirements which become effective in 2012 and 2013. It is important to use this year to help the participating districts become selfsustaining. With the updated marketing materials, student presentations and an updated website, it is hoped this can done without causing undo stress or cost to each district. It will be important for the Scholar districts to recognize the value of having business partners to help deliver the Scholars message and supply incentives as may be appropriate (may be in the form of “prizes” and/or tutoring, mentoring, etc.). It is always valuable to have students hear from business leaders the importance of preparation for the workplace of the 21 st century. In addition, business partners can help defray the cost of printing, medallions or other needs as they may arise. FY 2009 GOALS / OBJECTIVES 1. Continue to expand the Arizona Academic Scholars Initiative beyond the 16 current districts. 2. Increase the number of high school students successfully completing an academically rigorous curriculum. 3. Continue to increase the number of 8th/9th grade students introduced to the Arizona Academic Scholars initiative and encourage them to take the Scholars course of study. 4. Complete the update of Scholars materials so it is easy to access, appealing to each audience and is current. Updating the Scholars website is part of this process. 5. Encourage districts to include their business partners in carrying out the Scholars initiative and to achieve greater support of all types. 142 FY 2009 PERFORMANCE MEASURES / DELIVERABLES 1 2 3 Increase the number of Arizona Academic Scholars district statewide Increase the number of high school students graduating as Arizona State Scholars Increase number of 8th / 9th graders receiving presentations regarding the Scholars course of study FY 2008 PROJECTED TBD TBD TBD 143 Arizona Academic Scholars Statewide Summary 2008 Total number Scholar District/Community Partnerships: Amphitheater Payson Apache Junction Peoria Chandler Sahuarita Flagstaff Snowflake Flowing Wells Sunnyside Higley Tanque Verde Marana Tucson Mesa Vail 16 Total number of new district Scholar partnerships this year: 8 Total number 8th/9th grade Scholar presentations given: 745 Total number 8th/9th grade students receiving Scholar presentations: 21,543 Total number Scholars presentations given by educators: 693 Total number Scholars presentations given by business/community members: 52 % of 8th/9th grade Scholar presentations given by business/community members: 7.5% Number of Scholar districts using business partners: 5 Total number of graduating seniors in Scholar districts: 17,479 Total number of graduating seniors identified as Arizona Academic Scholars: 5302 % of seniors graduating as Scholars in Scholar districts: 30% Approximate % of minority students graduating as Scholars Number of Scholar districts reporting this figure 27% 10.5 144 ARIZONA BUSINESS EDUCATION COALITION (ABEC) ARIZONA ACADEMIC SCHOLARS INITIATIVE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 Actual / FY 2009 Budget FY 2007 ACTUAL REVENUE Carry over from prior year TRIF Grant $ 75,000 TOTAL REVENUE $ 75,000 FY 2008 BUDGET $ 71,484 75,000 $ 146,484 FY 2008 ACTUAL $ 146,484 FY 2009 BUDGET $ 57,542 75,000 $ 132,542 EXPENDITURES SALARY Project Manager Support Staff OPERATING Meeting Expenses Postage & Delivery Printing & Reproduction Scholar Recognition Stipends Supplies 22 12 20 TRAVEL Airfare Auto/Mileage Event Registration Lodging Meals 507 237 CONTRACTUAL Accounting Intern(s) Marketing/Communications State Program Director Temp Services Web Services & Support Web/Graphic Design Other Contracted Services TOTAL EXPENDITURES 3,516 5,289 7,000 1,500 1,500 14,000 15,000 1,000 34 32 1,988 11,413 10,000 206 300 300 2,500 18,000 15,000 800 2,500 2,500 2,000 2,500 1,500 728 125 118 76 1,500 2,500 800 800 800 8,000 12,000 30,000 1,000 1,000 15,000 3,000 2,625 83 10 $ 5,000 $ 119,000 500 25,300 45,000 500 2,500 7,942 500 20,576 37,941 416 $ 88,942 $ 132,542 FY 2009 Budget Narrative: Scholar Recognition: Includes medallions for seniors graduating as Scholars. Stipends: Provides $1,000 to each participating school district's primary coordinator if approved by district superintendent. 145 The Center for the Future of Arizona was created to improve the quality of life for all Arizonans. AUG 2008 d e d i c at e d t o im p r o v in g t h e q ua l i t y o f l if e f o r a l l A ri zo n a n s As a “do tank” emphasizing action and results, the Center keeps important issues in public view by providing focused attention and thoughtful action on pressing problems. One of the most important issues of our time is access to high quality education for all Arizonans. The Beat the Odds project is an example of the Center’s “do tank” role and an early indicator of its intention to use electronic communication tools for collaborative, thoughtful action to improve education in Arizona. The Center’s Beat the Odds (BTO) Institute was created to serve as the umbrella organization for all Dr. Lattie F. Coor Chairman and CEO Dr. Sybil Francis Executive Director activities designed to implement the findings and recommendations of a landmark Arizona study, “Why Some Schools with Latino Children Beat the Odds…and Others Don’t.” The study is important because it found 12 Arizona schools that were successfully serving mostly poor, mostly Latino TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) CONTENTS Introduction...................................................1 Performance Analysis...................................2 Collateral Activities.......................................3 Goals & Results.............................................3 Financial Information....................................3 students. It demonstrates clearly that “demography is not destiny,” that all children can learn, and that our schools can be transformed to meet the human and social needs of the 21st century. The Institute’s goal is to implement the “six keys to success” identified in the study by helping school leaders embed the principles into their culture and operating behavior. Indicative Results in FY 2008.....................4 Management .................................................5 The establishment of the BTO Institute Advisory Board of Directors..........................5 represents a major commitment by Learn More.....................................................5 the Center to further disseminate the The Six Keys to Success Disciplined Thought 1. Clear Bottom Line - focus on achievement per student. 2. Ongoing Assessment - use data in the classroom to improve student achievement. Disciplined People 3. Strong and Steady Principal - not too rigid, not too flexible. 4. Collaborative Solutions - share the responsibility for success. Disciplined Action 5. Stick with the Program - pick a good one and stick with it. 6. Built to Suit - customize instruction; one size does not fit all. study and implement its findings at the school and district level. In so doing, the Institute is mobilizing Arizona around a new goal – significantly improving “achievement per student” in all schools. The central thrust of the BTO Institute is the BTO School Partners Program, described below, and a key to the success of both is the online resource center—the sophisticated, highly interactive website funded by the Arizona Board of Regents Technology and Research Initiative Fund (TRIF) Regents Innovation Fund. The resource center provides users with an online forum for discussion and dialogue and provides access to practical techniques for improving achievement per student, as well as evaluation, planning and training tools, new research, directories and links to other organizations actively engaged in education reform including the state universities. Significant progress in developing and expanding the Partners Program and enhancing the website has been made in FY 541 East Van Buren Suite B-5 Phoenix, Arizona 85004 Phone: 602-496-1360 2008, the second year of TRIF funding. 146 www.beattheoddsinstitute.org Performance Analysis Enhancement of Online Resource Center/Website Phase 1 of the Beat the Odds website has been completed. Phase 2 is underway and one major part—constructing the policy/legislation tracking functions—has also been completed. The next phase is the continued development and enhancement of the site to adapt it to the needs of the BTO Partners through the continued refinement and customization of tools and resources. During FY 2009, the student program to support the ongoing research content of the website will be implemented. Also planned is the addition of e-commerce capability to support the addition of significant training and implementation tools, including a BTO Handbook now in development. Visit http://www.beattheoddsinstitute.org to view the site. Partnerships The Beat the Odds Website Initiative has been a powerful catalyst in building a network of partnerships. • Schools – The Beat the Odds Partners Program Twenty-seven Elementary, Middle School and High School principals from 12 districts and one charter school were recruited as the first cohort of the Beat the Odds Partners Program during FY 2008 and most are continuing into FY 2009. Through the program, experienced principals act as mentors to the partner principals and both participate in monthly leadership training seminars on key aspects of the BTO principles, receiving and sharing practical advice on topics such as data analysis and ongoing assessment, collaboration, high stakes testing and parent empowerment. The success of the program to date has led us to add 30 new schools for the coming school year, a step that will more than double the number of participating schools to a total of approximately 55 schools in the program. Each cohort is expected to continue for three years as participants work toward designation as a Beat the Odds School as measured by improvements in performance similar to the successful schools cited in the original study. • Organizational Partners Numerous organizations are working with CFA to integrate BTO principles into their professional training programs and to support statewide implementation in Arizona schools. Program partners include Greater Phoenix Leadership Council, Teach for America, the Pew Center for the States, WestEd, the Governor's P-20 Council, Arizona's three public universities, the Arizona Latino Research Enterprise and all major Arizona education associations. The website provides links to all partner organizations. • Funding The $250K annual TRIF funds have enabled us to leverage other support for the BTO project at a rate of nearly 3:1. Funding partners include the Arizona Community Foundation ($100K), Stardust Foundation ($250K), the Salt River Pima Indian Community ($450K), the University of Phoenix ($500K over 3 years) and the Helios Foundation ($66K) as well as a major gift from Rusty and Rosie Lyon ($100K). Page 2 of 5 147 www.beattheoddsinstitute.org Collateral Activities • Even as implementation of the TRIF project proceeds, the Center continues to actively disseminate the BTO findings. For example, in October the Beat the Odds keys to success were shared with approximately 1,000 teachers from the Cartwright School District. Similarly, the Center presented the BTO principles in Tucson for the Amphitheater District leadership team, and to all of Yuma County’s schools administrators and teachers at their annual Professional Development Day. In December an in depth discussion was held with teachers at Larry C. Kennedy and Excelencia Schools in the Creighton School District. Presentations were also made to the Arizona Charter School Association, the Gear Up Conference (a national college access program) hosted in Arizona by NAU, to Hispanic legislators as part of a meeting of the National Conference of State Legislators and to a variety of local service groups. • A comprehensive assessment and evaluation program has been developed and is in use for all activities related to Beat the Odds, including the website. • Several mentors for the BTO Partners Program have been recognized recently for their performance. One mentor was named a Rodel Exemplary Principal, one of only four named state-wide, another was a finalist, and a third was nominated for the honor. Another was honored as a National Distinguished Principal. Two are principals of “Excelling” schools and another of an A+ school. One of the mentors earned his doctorate at ASU this past year. Goals & Results The mission of the Beat the Odds Institute and its online resource center is to improve “achievement per student” by working collaboratively with K-12, community college and university educators, and with policy makers and funders to embed BTO principles in Arizona’s K-12 schools and beyond. Financial Information Fiscal year ending June 30, 2008 FY 2007 Actual FY 2008 Budget FY 2008 Actual FY 2009 Budget REVENUE Carry Forward $0 $69,850 $69,850 $10,000 New TRIF Revenue $250,000 $250,000 $250,000 $250,000 TOTAL REVENUE $250,000 $319,850 $319,850 $260,000 Personal Services $75,695 $168,305 $138,000 $150,000 Outside Vendors $97,520 $87,480 $161,850 $62,000 All Other Operating $6,935 $12,065 $10,000 $8,000 OPERATING BUDGET Student Program TOTAL EXPENDITURES Page 3 of 5 $52,000 $180,150 $319,850 $40,000 $309,850 $260,000 148 www.beattheoddsinstitute.org Indicative Results in FY 2008 (year 2) 1. RETURN ON INVESTMENT: Grants and gifts to date leverage TRIF funds at the rate of 3:1. It is anticipated that the rate will continue in FY 2009 as funding is secured to expand the work of the Beat the Odds Institute. To further leverage TRIF funding, an agreement has been signed with the ASU School of Public Affairs for four undergraduate students (with preference given to Doran Scholars) and one graduate student to engage with the Center and the BTO Institute on the various projects highlighted in this report. The students will be making active use of the website and will develop materials that will enhance it. A School of Public Affairs faculty member will be a liaison with the students and the Center. 2. KNOWLEDGE TRANSFER: In addition to ongoing dissemination of the BTO study, approximately 55 schools in Maricopa County have signed formal agreements with the Institute to pursue designation as a Beat the Odds School, which requires schools to achieve performance criteria similar to those schools in the original study. That number will continue to grow in FY 2009 as the program implements additional expansion strategies. 3. WORKFORCE DEVELOPMENT: With support from the Regents Innovation Fund, the Center will continue to focus on embedding key concepts from the Beat the Odds study in Arizona schools. By building on the knowledge gained, the Center will expand its impact more broadly on education reform, first by collaboratively exploring new pathways to post secondary education with K-12 schools, community colleges and our state universities. Another example is the Center’s partnership with Greater Phoenix Leadership and its partner organizations statewide that provides ongoing opportunities to connect BTO and other Center activities to the efforts of the business sector to achieve the skilled workforce Arizona needs for the future. The Center’s work to date in developing the Beat the Odds online resource center provides the opportunity to extend this capacity to other strategically important State initiatives, such as the creation of a common vision for Arizona—“The Arizona We Want”. 4. EDUCATION OUTREACH: The BTO website currently averages about 11,000 hits per month, indicating the extent to which the site enables useful outreach and communication. In addition to the numerous partnerships that have been developed with schools, foundations, professional associations and organizations committed to educational success for Arizona, the Institute has developed a BTO instructional video available online and on DVD. Links to all the partner organizations also are available on the website. Additionally the original study is available online, as is a Spanish translation of the key findings of the report. As well, a Handbook for BTO implementation is being developed as an additional expansion strategy to enable broader use of the Beat the Odds concepts by schools and districts throughout Arizona, and will be piloted on the website. The Institute will continue pursuing both “top-down” and “bottom-up” strategies during FY 2009 to expand the network of BTO partnerships and to develop linkages to other important Center initiatives. Page 4 of 5 149 www.beattheoddsinstitute.org Management Advisory Board of Directors Center for the Future of Arizona Lattie F. Coor, Ph.D., Chairman and CEO, Center for the Future of Arizona Lattie F. Coor, Ph.D., Chairman & CEO Nadine Mathis Basha Sybil Francis, Ph.D., Executive Director George Dean, President and CEO of the Greater Phoenix Urban League Marjorie A. Kaplan, Ph.D., Beat the Odds Institute Director Paul J. Luna, President and CEO of Helios Foundation Jack Pfister Learn More Center for the Future of Arizona 541 East Van Buren Suite B-5 Phoenix, AZ 85004 602-496-1360 http://www.beattheoddsinstitute.org Page 5 of 5 150 www.beattheoddsinstitute.org TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) REGENTS INNOVATION FUND FY 2008 REPORT Funds to Build the Infrastructure for Health Research Alliance Arizona (HRAA) The Arizona application for a Clinical and Translational Science Award (CTSA), entitled Health Research Alliance Arizona (HRAA), was submitted to the National Institutes of Health in November 2007. The application was well received, but as is typical for first time applications to the NIH, was not in the fundable range (In the 2007 submission cycle no first time submissions were awarded). The HRAA Leadership is revising the 2007 proposal in light of the reviewers’ summary statements and plans to submit a new CTSA proposal on October 21, 2008. One of the important elements of that 2008 submission will be a comprehensive discussion of what Arizona institutions and HRAA have already implemented. This will arguably be the most critical factor in the upcoming review, since it will demonstrate that the ambitious goals of HRAA are being achieved. The TRIF funds are vital in that effort, as the primary source allowing HRAA to build success in three critical areas: programs in clinical and translational science education; the web portal which serves as the virtual home of HRAA and its diverse members; and translational research that brings collaborators together across HRAA member organizations and tests the models being developed to access HRAA resources. The Flagstaff Office for HRAA was established in February, 2008. With the multiinstitutional partners the HRAA Curriculum Committee has created three web based courses for Responsible Conduct of Science. The first Rules, Principles, and Regulations is a basic foundation course on the responsible conduct of science, including the guiding principles, regulatory issues, IRB training, etc. required by NIH. The other two are one credit hour courses, Cross Cultural and International ethical issues for the Responsible Conduct of Science and Diversity, Disparities, and Vulnerable Populations and the Responsible Conduct of Science, each act as one of two options for completion of the NIH required responsible conduct of science curriculum for HRAA. The detailed syllabi for three one credit hour courses on the responsible conduct of science will be submitted to the ASU, NAU, and UA Graduate Curriculum Committee for adoption (Fall 2008). The HRAA Responsible Conduct of Science courses will be transformed into web based (Vista Blackboard) course content shells for e-learning delivery state wide. Each of the three courses has been constructed as a web based (Vista Blackboard) course that includes 1) syllabi, 2) learning objectives, 3) lectures, 4) readings, 5) on-line discussion topics for each unit, 6) exercises, 7) tests, 8) and written assignments. Once each course is accepted by the university curriculum committee, it will be made available on the web through AZUN. A key functionality in the CTSA application is the development of the infrastructure and resources to support an HRAA portal. This portal will serve to integrate database resources, support collaboration between researchers, and dissemination information across the HRAA project. In the next CTSA application, informatics will need to span 151 the key functions in the CTSA, including research support, collaboration, education, and dissemination of information. To be successful, the HRAA Biomedical Informatics team has identified three key areas of activities. First, additional technical resources have been deployed to develop the technical infrastructure and web portal to support the HRAA project. This includes both a systems architect to develop the larger information system architecture to support the goals of the HRAA project, and a content manager to help curate, disseminate, and manage the web resources. Second, the software engineering requirements have been gathered from HRAA members (users), and these needs describe the design of the portal. Finally, a pilot implementation of the HRAA portal has occurred and is being used to develop additional requirements and to evaluate the technical and organizational infrastructure needed for a successful web portal. After evaluating different content management systems, Drupal (www.drupal.org), an open source, content management system that emphasizes collaboration and structured taxonomies for organizing information was chosen as the prototype. Drupal provides a suite of integrated modules that provide specific functionality for web portal development. The portal will continue to be revised and expanded as the needs of the users are clarified with actual interface with the application. The portal will be described in the submission and will be key to showing continued development and success of the HRAA proposal. The final component of the TRIF funds for HRAA is the creation of a new structure to join the clinical research activities of participating HRAA institutions into a virtual clinical research center (CRC). HRAA launched a clinical project that will serve as a test case for this virtual CRC, while simultaneously approaching a health issue of tremendous importance for the state of Arizona – identification of diabetes and pre-diabetes in individuals primarily of Hispanic origin who have not been previously diagnosed with either condition. Much progress has been made on the Maricopa Virtual CRC and Oral Glucose Tolerance Test, including taking advantage of the new reciprocity agreements that were signed in May 2008 by the ASU, NAU, and UA Institutional Review Boards (IRBs). Further, the necessary research staff were hired and the database is being developed with assistance of the ASU Biomedical Informatics Department. The above accomplishments have been achieved in a short period of time (since funding was approved in mid-year), and using borrowed resources, pending completion of the appropriate subcontracts between UA and ASU, NAU. Hence, most of the funds will be carried over into FY2008-09, and used to fund projects in arrears. All efforts will continue to strengthen both HRAA position for the 2008 NIH CTSA submission and the environment to foster clinical and translation research and education in the state of Arizona. As stated from the outset, this initiative, while ultimately supported by NIH funds, is of broad benefit immediately, and is already being implemented. 152 Performance Measures HRAA TRIF Funds FY08 Proj FY08 Actual FY09 Proj FY10 Proj FY11 Proj Sponsored Awards ($ in millions) $5 $7 $10 Grants Received 3 5 9 1 8 16 32 RETURN ON INVESTMENT Grants proposals submitted to funding agencies 1 PARTNERSHIPS AND COLLABORATIONS Research Projects Started 1 1 6 8 8 New Collaborations Between HRAA Members (Universities, Research Institutions, Hospitals, Health Plans, Healthcare Providers) 30 40 60 80 100 6 6 8 New Industry-University Collaborations Developed New University-Government Collaborations Developed Web Portal Hits and Links 2 2 3 4 6 100 100 1000 10000 50000 6 6 8 8 8 2 2 2 $10 $20 $20 CURRICULUM INNOVATIONS Courses Developed Education Programs Approved Dollars generated by curriculum ($ in thousands) 153 ARIZONA STATE UNIVERSITY DECISION THEATER SUPPORT FOR SYSTEM STRATEGIC PLAN The Arizona Board of Regents is developing a strategic plan that aligns the demands in higher education, requirements for workforce development, and institutional capacity in Arizona. The ASU Decision Theater has developed a preliminary decision support system based on previous modeling and data collection efforts conducted under the auspices of the Governor’s P-20 Council. While the previous work provides a solid foundation for educational planning in the state, the Decision Theater approach offers the ability to improve on currently available information and processes through a combination of systematic stakeholder processes, model development, and collaborative decision support. Board staff and Decision Theater staff have discussed appropriate next steps to develop a decision support system for the System Strategic Plan: Conduct a series of facilitated sessions with key decision makers and stakeholders to identify critical issues within Arizona’s higher educational system that are central to long-term planning goals; Collect additional data and generate specific forecasts necessary to develop analytical tools; Integrate the corpus of information into a holistic decision support model; and Work with decision makers and key stakeholders through scenario-based processes to develop the System Strategic Plan. Upon approval of this funding request, the Decision Theater will develop a detailed timeline that can support completion of the Strategic Plan by August 2008. Approximately one month will be dedicated to facilitated group meetings with ABOR staff, university personnel, and key stakeholders; data collection and model architecture; generation of additional forecasts; model and visualization development; and planning sessions. The final project aims to integrate three planks of success for Arizona higher education: 1. Education throughput: How can educational infrastructure best close the gaps among age, race, and geographic populations? 2. Economic sustainability: How can Arizona stimulate demand in specific occupations necessary for economic growth in the state? 3. Cost: What are the financial constraints and opportunities that depend on student enrollment? 154 The ABOR Strategic Planning process may depend heavily on the forecasts, models, and decision support tool developed for use in the Decision Theater. Additionally, planning efforts will adapt to the needs and requirements of members of the planning group. The Decision Theater estimates that $50,000 will be required to produce a project plan, begin preliminary modeling work, and conduct sessions with a core workgroup to undertake the planning process. If required, the Theater will continue on a time-and-materials basis with oversight by ABOR. Final deliverables, including the scenario-based simulation model, all accompanying datasets, and assessments from collaboration decision sessions will be transferred to the Arizona Board of Regents by the ASU Decision Theater. Support in the amount of $50,000 for the ASU Decision Theater Support for System Strategic Plan is available from the Emerging Issues line item in the FY 2008 TRIF Regents Innovation Fund budget. The support provided by the Decision Theater in ongoing into FY 2009. 155 ARIZONA ALGEBRA II END-OF-COURSE ASSESSMENT PILOT In June 2007 the Arizona Board of Regents hosted a joint meeting with the Governor’s P-20 Council. A topic of discussion at that meeting was the possibility of Arizona’s joining a nine-state consortium to develop and implement a common Algebra II end-of-course assessment for high school students. At its own separate meeting held later that day, the P-20 Council voted unanimously to join this consortium. The Algebra II End-of-Course Assessment is in the first stages of implementation, with a Spring 2008 pilot across the nine participating states planned. The P-20 Council has been working with the Arizona Department of Education and the state procurement office to achieve Arizona’s participation in this pilot. The P-20 Council has proposed a 1,000-student pilot in Arizona, at a cost of approximately $30,000. Financial support in the amount of $15,000 is being requested from the Arizona Board of Regents, along with matching funds from two foundation partners. The objectives of the Algebra II End-of-Course Assessment are: To align with the P-20 Council’s math alignment work. The P-20 Council and the Arizona Department of Education have been working together, under the guidance of Achieve, Inc.’s American Diploma Project, to increase the rigor of the Arizona Mathematics Standard as it relates to the State Board of Education’s recently implemented higher graduation requirements; and to better align the content with the expectations of university faculty and employers. (Achieve, Inc. is a coalition of 31 states dedicated to aligning K-12 curriculum, standards, assessments, and accountability policies with the demands of university and work); To improve curriculum and instruction. The assessment results will help high school classroom teachers focus on the most important concepts and skills in Algebra II and identify areas where the curriculum needs to be strengthened; To help postsecondary institutions determine if students are ready to do credit-bearing work. Depending on the outcomes of this pilot, the assessment is intended to measure certain skills that students need to prepare for basic university-level, credit-bearing math courses. Postsecondary institutions should be able to use the results to advise high school students of content and skill gaps that need to be addressed before enrolling; 156 To compare performance and progress among the participating states. Having agreed on the core content expectations of Algebra II, states are interested in tracking student performance over time. Achieve, Inc. will issue a report each year comparing performance and progress among the participating states. Support in the amount of $15,000 for the Arizona Algebra II End-of-Course Assessment Pilot is available from the Emerging Issues line item in the FY 2008 TRIF Regents Innovation Fund budget. The ABOR central office did not receive the invoice for these test instruments until July 2008; therefore, this $15,000 expenditure will be reported as an FY 2009 TRIF Regents Innovation Fund expenditure. 157 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 BUDGET REGENTS INNOVATION FUND Operating FY 2008 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 110,000 110,000 79,939 22,383 7,678 110,000 FY 2008 ACTUAL $ $ $ $ 110,000 FY 2009 BUDGET 110,000 110,000 61,666 15,108 13,137 89,911 $ $ $ 110,000 110,000 80,000 20,000 10,000 110,000 $ 89,911 $ 110,000 The Operating budget supports implementation of Regents Innovation Fund and TRIF Strategic Investments (TSI) projects, as well as administration of the system's TRIF fund, including budget preparation, accounting, and reporting functions. 158 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 BUDGET TRIF STRATEGIC INVESTMENTS (TSI) SUMMARY FY 2008 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: AZ Biomedical Research Commission (CTSA) Solar Energy Initiative (ASU, UA) Higher Education in Rural Southern AZ (UA) Statewide Expansion at NAU-Yuma (NAU) Promoting Forest Health in AZ (NAU) Carryforward to FY 2010 Subtotal Grants/Projects EXPENDITURES GRAND TOTAL FY 2008 ACTUAL 2,742,506 2,000,000 4,742,506 $ - $ $ 2,100,000 500,000 2,000,000 4,600,000 $ 4,600,000 FY 2009 BUDGET 2,912,015 1,999,927 4,911,942 $ - $ $ (26,574) 2,100,000 500,000 2,000,000 4,573,426 $ 4,573,426 338,515 2,000,000 2,338,515 - 1,400,000 310,594 350,000 277,921 2,338,515 $ 2,338,515 TSI funds were allocated to the universities beginning in December 2007 consistent with the FY 2008-2011 TSI budget approved by ABOR in December 2007. With the exception of a projected carryforward amount of $27,921 into FY 2010 reported on the Central Office Summary page, all TSI revenue and expenditure numbers are included in the universities' reports and are shown on this page for informational purposes only. 159 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2008 ACTUAL / FY 2009 BUDGET ARIZONA REGENTS REACH OUT (ARRO) GRANTS SUMMARY FY 2008 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: FY 2009 Grants FY 2008 Grants FY 2007 Grants FY 2006 Grants Projects to be determined Subtotal Grants/Projects EXPENDITURES GRAND TOTAL FY 2008 ACTUAL 315,908 600,000 915,908 $ 69,498 17,374 9,886 96,758 $ $ 500,000 255,070 64,080 819,150 $ 915,908 FY 2009 BUDGET 323,065 559,584 882,649 $ 70,308 24,337 11,504 106,149 $ $ 601,438 1 75,000 25,000 12,000 112,000 200,000 121,143 91,900 181,168 594,211 316,143 153,031 26,115 495,289 $ 106,211 600,000 706,211 $ 706,211 1 Pursuant to ABOR direction in June 2008, $175,000 of ARRO funds were transferred to the Regents Innovation Fund to address emerging issues in FY 2009. 160 ARIZONA REGENTS REACH OUT (ARRO) FY 2008 Year-End Report A. Program Overview: The Arizona Regents Reach Out (ARRO) grant program was first authorized in spring 2005 and issued its first grant awards in November 2005, with funding starting January 1, 2006. ARRO awards support innovative e-learning or distance-learning projects from faculty and staff at all three universities, with an emphasis on projects that address a significant workforce development need and are collaborative, transferable, portable, shareable, and scalable. New rounds of ARRO grants were awarded in 2007 and 2008, and the 2009 process opened in July 2008 with the distribution of the Request for Proposals, with projects due to begin January 2009. Throughout, the following overall program goals and objectives of ARRO funding have remained essentially unchanged, except for an added emphasis on inviting proposals that address the issue of teacher preparation and/or certification in science, technology, engineering, and mathematics (STEM): Address a clearly identified and demonstrated workforce demand or need in Arizona; Promote rapid development of high-quality online, distance-learning or technology-assisted projects; Will have a significant and demonstrable impact on workforce development in Arizona; Demonstrate feasibility; Are transferable, portable, sharable and scalable and have significance beyond the grant period; Leverage scarce resources through collaboration with other departments, universities, or other entities and securing matching funds; Address a program or course of study, rather than an individual course only. B. 2006 ARRO Projects: In the initial 2006 funding round, nine project grants totaling $457,535 were awarded, out of 60 total proposals received. These projects ran from January 1, 2006, through July 31, 2007. Several projects were issued no-cost extensions into the fall 2007 semester. During FY 2008 all 2006 project accounts were reconciled and the books closed in January 2008. 161 C. 2007 ARRO Projects: Nine project grants totaling $489,860 were awarded in the 2007 ARRO funding round. The projects began January 1, 2007, and most ended on June 30, 2008, though four have requested and been granted no-cost extensions to allow the teams to complete the planned activities. In April and May 2008, ABOR’s grant program manager conducted “desk reviews” with all 2007 project leaders to check that the projects are moving toward a successful conclusion and to identify and address any final budgetary or programmatic issues that may have come up. Final reports for those projects ending on June 30 are due by July 31, 2008. D. New Awards in FY 2008: Seven new ARRO grants were awarded during FY 2008, in two funding rounds. Projects started January 1, 2008, and will run through June 30, 2009. The first interim progress reports are due July 31, 2008. Following is a brief description of the intent and priorities for each funding round; project details are contained on the attached table. 2008 “Step-Up” Projects. Based on the promise shown in their final project reports, six of the 2006 ARRO project teams were invited to apply in fall 2007 for new “Step-Up” funding, designed to bring their successful 2006 ARRO projects to full implementation, to the next level of development, or into new customer markets. All four proposals received were funded, at a total of $123,277. 2008 Regular-Round Projects. In alignment with the interests of the Governor’s P-20 Council, the 2008 ARRO grant process especially invited proposals that, in addition to meeting the required program characteristics, also address the issue of teacher preparation and/or certification in science, technology, engineering, and mathematics (STEM). Of the five eligible proposals received, two proved to be a good fit for funding through the federal “Improving Teacher Quality” (ITQ) program, which ABOR administers on behalf of the Arizona Department of Education. These two proposals – one each from Arizona State University and University of Arizona -- focus directly on preparing K-12 teachers to take and pass newly mandated state subject-area certification exams. To maximize the use of federal dollars and conserve ARRO funds for other projects, the ARRO review panel approved converting these two proposals over to ITQ funding. 162 The remaining three ARRO proposals were awarded a total of $119,008, with two from Northern Arizona University and one from University of Arizona. E. Special 2008 Allocation: In April 2008, the Technology Oversight Committee approved an immediate allocation from FY 2008 ARRO funds of $195,000 for the Tri-University Vulnerability Scanning/Management Solution. This initiative includes three software packages that will be implemented at each of the universities that help address information technology (IT) security issues and partially respond to recommendations in a recent Auditor General IT Security Performance Audit. This was also a recommendation of the Moran Technology Consulting report on IT collaboration opportunities. F. 2009 ARRO Grant Round: The Request for Proposals for 2009 ARRO projects was released in early July 2008, with proposals due October 6 and project funding to run from January 5, 2009, through June 30, 2010. Total funding available for 2009 awards is $200,000. Proposals are invited of up to $50,000 for single-university projects and $100,000 for multi-university collaborations. For the second year, the ARRO process seeks to align with the interests of Governor Janet Napolitano’s P-20 Council by inviting proposals that address the issue of teacher preparation and/or certification in science, technology, engineering, and mathematics (STEM). In addition, the ARRO review committee will give preferential consideration to projects that: Do not duplicate higher-education resources already available in Arizona; Address educational resources that are in short supply but are needed for graduation; Apply technology or curriculum innovations in new areas; and Explore opportunities for competency-based or performance-based assessment. 163 FY 2008: NEW ARRO PROJECT AWARDS January 1, 2008-June 30, 2009 Institution/ Department Project Title Approved Funding Project Summary 2008 Step-Up Awards: NAU Stepping Up By 2s: Implementing and Evaluating an Upside-Down 2+2 Allied Health Professional Preparation Model $39,638 The initial ARRO grant supported development and implementation of a unique educational pathway for allied health practitioners in five specific disciplines. A new faculty member has been hired, and 25 students are currently enrolled. The “step-up” funding will be used to conduct initial marketing efforts for the new programs and also establish an evaluation plan to guide recruitment, retention, administration, and curricular activities NAU Stepping Up the Native Voice in ANT 205: Native Peoples of North America $24,000 The initial ARRO grant created a series of online, interactive learning activities for ANT 205: “Native Peoples of North America,” that increase the presence of “Native voices” and increases diversity awareness, student learning, and Native American recruitment. The “step-up” grant will create a variety of interactive multimedia activities to improve students’ understanding of the content as well as develop their diversity awareness. NAU On-Line Science and Mathematics Teacher Certification Program $35,695 UA UA ArizonaNativeNet Introduction to Federal Indian Law: The Discovery Doctrine, Tribal Sovereignty, and the Treaty Tradition $23,944 Initial ARRO funding created the Secondary On-Line Integrated Science Teacher Certification (SOLISTC) program, targeting career-changing individuals with degrees in science, engineering, and related fields to receive graduate-level coursework for teacher certification. “Step-up” funding will support a Master’s degree program and expand the use of on-line courses for alternative certification partnerships that have been developed by the Arizona Department of Education. The initial ARRO grant created the ArizonaNativeNet Tribal Leadership Distance Learning Project, which developed two integrated distance-learning courses produced especially for Arizona’s Native American leadership. “Step-up” funding will enhance these two courses, bring them to the pilot-testing stage, and market nationwide to entities that wish to augment existing coursework in Native American law and policy; government; and American Indian studies. 164 2008 ARRO Regular-Round Awards: NAU Curriculum Development for Distance-Learning Program: MA in English-General Studies $33,248 NAU Online Speech-Pathology Leveling Courses $35,760 UA Using Distance Learning to Extend Mathematics Outreach to Rural Teachers $50,000 Tri-U Tri-University Vulnerability Scanning/Management Solution This award will expand online course offerings in the MA in English-General Studies degree program at NAU. The graduate program, the only distance-learning Master’s degree in Arizona that focuses on both literature and writing, is an essential source of training for 6-12 teachers and community college instructors. The grant will fund the rapid development of three online courses, each of which is needed to fill gaps in distance-learning curricular offerings for English teachers: American literature, literary theory, and introductory creative writing. This project is designed to increase the number of qualified Speech-Pathologists in Arizona, especially in underserved areas. Four new online courses will be developed which, combined with three existing courses, will complete a full 21-credit online “leveling” curriculum. Students will now be able to complete requirements for a bachelor’s degree totally online, preparing them for master’s-level certification in speech-pathology or, alternatively, to immediately begin working under a provisional license in underserved areas of the state. This project addresses the problem of retention of middleschool mathematics teachers in rural/high-needs schools by enhancing professional development opportunities for these teachers. Specifically, the project will develop and implement three distance-delivery mathematics courses foundational to UA’s master’s degree for middle-school mathematics teachers. A cadre of UA mathematics faculty will be built who are knowledgeable in developing online courses and motivated to use distance learning to further reach out to rural/high-needs teachers. Special FY 2008 Allocation: TOTAL AWARDS APPROVED IN FY 2008: $195,000 These include three software packages that will be implemented at each of the universities that help address IT security issues and partially respond to recommendations in a recent Auditor General IT Security Performance Audit. This was also a recommendation of the Moran Technology Consulting report on IT collaboration opportunities. $437,285 165 This page intentionally left blank. 166 APPENDIX Arizona Board of Regents Policy 3-412 167 Policy Number: 3-412 Policy Revision Dates: Policy Name: Administration of Technology and Research Initiative Fund 3/01 Page 1 3-412 Administration of Technology and Research Initiative Fund A. 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. D. Formats for Submission of Proposals Rev. 12/02 168 Policy Number: 3-412 Policy Revision Dates: Policy Name: Administration of Technology and Research Initiative Fund 3/01 Page 2 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: E. 1. 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; 2. The requested duration of the proposed project or activity; 3. Proposed detailed performance measures, desired outcomes, and proposed methodology for evaluating progress in attaining the desired outcomes; and 4. A detailed budget for each proposed project or activity, including the identification of funds which are intended to be either continuing, multi-year, 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 Rev. 12/02 169 Policy Number: 3-412 Policy Revision Dates: Policy Name: Administration of Technology and Research Initiative Fund 3/01 Page 3 would otherwise not be funded through general fund appropriations. 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 lease-purchase of buildings and associated infrastructure at ASU East and West campuses. Rev. 12/02 170