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, 2009, as required by A.R.S. §15-1648(D). September 1, 2009 This document may be accessed at www.azregents.edu ARIZONA BOARD OF REGENTS TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT For the Fiscal Year Ended June 30, 2009 TABLE OF CONTENTS Table of Contents ......................................................................................................................................... i Executive Directors Letter.......................................................................................................................... iii Executive Summary .................................................................................................................................... v Arizona University System Summary FY 2009 Actual / FY 2010-2011 Budget Summary .................................................................................. 1 FY 2009 Actual System Summary by Program Area ............................................................................... 2 FY 2009 Actual / FY 2010 Budget Capital Expenditures .......................................................................... 3 Arizona State University FY 2009 Actual / FY 2010-2011 Budgets Summary................................................................................. 5 FY 2009 Budget / Actual Summary by Program Area .............................................................................. 6 Arizona State University TRIF Program ................................................................................................... 7 Biosciences Initiative .............................................................................................................................. 13 Sustainability Initiative ............................................................................................................................ 17 Advanced Materials Initiative…… ........................................................................................................... 21 ASU at the Polytechnic Campus Certificates of Participation (COPs) ................................................... 25 ASU at the West Campus Certificates of Participation (COPs) .............................................................. 26 ASU-UA Joint Biomedical Research Fund ............................................................................................. 27 Northern Arizona University FY 2009 Actual / FY 2010-2011 Budgets Summary............................................................................... 29 FY 2009 Actual / FY 2010-2011 Budgets Summary – AZUN ................................................................. 30 FY 2009 Budget / Actual Summary by Program Area ............................................................................ 31 Northern Arizona University TRIF Program ............................................................................................ 33 Access and Workforce Development ..................................................................................................... 37 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 Healthy Forest ........................................................................................................................................ 69 University Initiatives ................................................................................................................................ 73 The University of Arizona FY 2009 Actual / FY 2010-2011 Budgets Summary............................................................................... 77 FY 2009 Budget / Actual Summary by Program Area ............................................................................ 78 The University of Arizona 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 Higher Education in Rural Southern Arizona ........................................................................................ 103 Venture Fund ........................................................................................................................................ 107 i 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 2009 Actual / FY 2010-2011 Budgets Summary............................................................................. 115 FY 2009 Budget / Actual Summary by Program Area .......................................................................... 116 Regents Innovation Fund FY 2009 Actual / FY 2010 Budget Summary .............................................. 117 Learner-Centered Education (LCE).................................................................................................. 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: .............................................................................................................................. 145 Arizona Academic Scholars Program .......................................................................................... 146 Beat the Odds Website Initiative .................................................................................................. 155 Health Research Alliance Arizona (HRAA) Clinical and Translational Science Award (CTSA) Effort ................................................................................................. 161 Arizona Algebra II End-of-Course Assessment Pilot ................................................................... 169 Advancing Arizona through a Web-based Initiative ..................................................................... 171 Operating ..................................................................................................................................... 176 TRIF Strategic Investments (TSI) ......................................................................................................... 177 Arizona Regents Reach Out (ARRO) Grants ....................................................................................... 178 Appendix Arizona Board of Regents Policy 3-412 ................................................................................................ 189 ii 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, 2009 Governor Jan Brewer Senate President Robert “Bob” Burns Speaker of the House of Representatives Kirk Adams Arizona State Capitol 1700 West Washington Street Phoenix, AZ 85007 Dear Governor Brewer, President Burns, and Speaker Adams: 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, 2009. 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 2009 TRIF budget supported significant research projects in the biosciences and biotechnology; optical sciences; sustainability, including water, solar energy, and forest health; and information science and technology, all critical to the future economic development of the state of Arizona. Workforce development projects were also funded, including support for The University of Arizona College of Medicine-Phoenix, in Board Members: President Ernest Calderón, Phoenix Fred T. Boice, Tucson Robert B. Bulla, Scottsdale Dennis DeConcini, Tucson Fred P. DuVal, Phoenix LuAnn H. Leonard, Polacca Anne L. Mariucci, Phoenix Bob J. McLendon, Yuma Governor Janice K. Brewer Superintendent of Public Instruction Tom Horne Student Regents: Ross Meyer, ASU Jennifer Ginther, NAU Executive Director: Joel Sideman Governor Brewer, President Burns, Speaker Adams September 1, 2009 Page Two partnership with Arizona State University, as well as preparation of math and science teachers and health care workers. The Arizona University System’s efforts to provide access to more Arizonans were supported through TRIF funding for the Arizona Universities Network (AZUN), the NAU-Yuma campus, and expansion of the NAU Statewide Program. TRIF-funded research projects, especially those focusing on solar energy, alternative fuels, and climate change, have laid the foundation for Arizona State University, Northern Arizona University, and The University of Arizona to be successful in winning major grants from the NSF, NASA, the Department of Energy, NIH, and other government agencies who are now distributing significant amounts of federal stimulus funds through a highly competitive application process. 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 Ken Bennett, Secretary of State Ms. GladysAnn Wells, Director and State Librarian, 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 iv ARIZONA BOARD OF REGENTS TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT For the fiscal year ended June 30, 2009 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, 2009, $466.1 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.” ► The FY 2009 TRIF budget supported significant research projects at Arizona State University, Northern Arizona University, and The University of Arizona in the biosciences and biotechnology; optical sciences; sustainability, including water, solar energy, and forest health; and information science and technology, all critical to the future economic development of the state of Arizona. Workforce development projects were also funded, including support for The University of Arizona College of Medicine-Phoenix, in partnership with Arizona State University, as well as preparation of math and science teachers and health care workers. The Arizona University System’s efforts to provide access to more Arizonans were supported through TRIF funding for the Arizona Universities Network (AZUN), the NAU-Yuma campus, and expansion of the NAU Statewide Program. ► 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. v ► Actual TRIF revenue received during FY 2009 totaled $59.2 million. This amount is 15.3% below prior-year revenue and 20.5% below projected revenue for FY 2009. This significant revenue shortfall due to the downturn in the national and Arizona economies necessitated careful cash flow management of TRIF funds by the universities and ABOR central office in order to maintain core projects. ► Actual TRIF expenditures in FY 2009 totaled $69.8 million, representing 84.9% 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 2009. ► TRIF budget guidelines adopted by the Board call for full expenditure of FY 2009 funds by December 31, 2009. 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 present 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 2009, 10% of TRIF expenditures were for capital projects. ► This FY 2009 TRIF Annual Report is available on the Arizona Board of Regents website at: www.azregents.edu vi ARIZONA UNIVERSITY SYSTEM TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 - 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 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 Advanced Materials Regents Innovation Fund EXPENDITURES GRAND TOTAL $ $ $ FY 2008 ACTUAL 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 2009 REVISED BUDGET 26,345,536 71,482,244 97,827,780 $ 29,784,071 8,508,401 25,496,094 1,702,337 65,490,903 $ $ 347,337 4,990,248 3,721,800 162,830 9,222,215 FY 2009 ACTUAL 22,804,167 71,168,054 93,972,221 $ 40,672,573 11,833,279 23,584,799 2,505,596 78,596,247 $ $ 2,274,400 9,324,853 3,748,800 15,348,053 FY 2010 REVISED BUDGET 23,122,947 59,152,825 82,275,772 $ 29,316,187 8,706,612 20,204,528 1,271,151 59,498,478 $ $ 147,127 6,447,274 3,718,800 10,313,201 FY 2011 REVISED BUDGET 12,328,155 55,500,047 67,828,202 $ 27,554,784 7,734,492 18,303,386 1,713,844 55,306,506 $ $ 2,670,700 6,103,386 3,714,800 12,488,886 32,810 55,500,008 55,532,818 23,263,440 6,527,425 11,552,168 1,700,000 43,043,033 2,670,700 6,100,485 3,718,600 12,489,785 $ 77,447,606 $ 74,713,118 $ 93,944,300 $ 69,811,679 $ 67,795,392 $ 55,532,818 $ 21,415,578 34,530,399 1,199,372 5,440,997 10,408,324 3,187,607 1,265,329 $ 23,459,012 32,014,984 2,345,392 7,168,311 4,949,959 3,340,957 1,434,503 $ 27,681,782 35,839,539 3,958,436 10,794,192 9,415,929 4,328,463 1,925,959 $ 19,584,037 28,569,932 2,728,263 7,639,264 6,330,618 3,642,702 1,316,863 $ 20,472,088 25,016,345 27,921 8,373,051 9,361,371 2,584,031 400,000 1,560,585 $ 14,517,931 22,420,346 7,634,206 6,404,290 2,656,045 400,000 1,500,000 $ 77,447,606 $ 74,713,118 $ 93,944,300 $ 69,811,679 $ 67,795,392 $ 55,532,818 1 2 ARIZONA UNIVERSITY SYSTEM TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 BUDGET / ACTUAL SUMMARY BY PROGRAM AREA FY 2009 REVISED BUDGET REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Grants/Projects TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service ASU Polytechnic/West COPs NAU Conference Center TOTAL CAPITAL BUDGET EXPENDITURES 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 $ $ $ 22,804,167 71,168,054 93,972,221 40,672,573 11,833,279 23,584,799 2,505,596 78,596,247 FY 2009 ACTUAL $ $ $ 2,274,400 9,324,853 3,748,800 15,348,053 23,122,947 59,152,825 82,275,772 29,316,187 8,706,612 20,204,528 1,271,151 59,498,478 $28.6 Biodesign/ Bioresearch/GBI 41% $19.6 Access/ Workforce Development/ e-Learning 28% 147,127 6,447,274 3,718,800 10,313,201 $ 93,944,300 $ 69,811,679 $ 27,681,782 35,839,539 3,958,436 10,794,192 9,415,929 4,328,463 1,925,959 $ 19,584,037 28,569,932 2,728,263 7,639,264 6,330,618 3,642,702 1,316,863 93,944,300 $ $ FY 2009 SYSTEM ACTUAL TRIF EXPENDITURES (in millions) 69,811,679 $1.3 Regents Innovation Fund 2% $3.6 Optical Sciences 5% $7.6 Environmental $6.3 Infrastructure Sustainability 11% 9% $2.7 Biomedical and Health Sciences 4% ARIZONA UNIVERSITY SYSTEM TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 BUDGET CAPITAL EXPENDITURES ($ in thousands) TRIF INITIATIVE $0 ASU Poly/West Certificates of Participation (COPs) * n/a n/a n/a Solar Energy $28 $35 $0 Biosciences Initiative - - $3,211 Sustainability Initiative - - $380 Advanced Materials Initiative - - $80 $3,052 $1,147 $3,671 9.9% 4.9% 17.8% Capital as % of Total ASU Expenditures Arizona Universities Network (AZUN) $500 $500 $500 $3,303 $1,504 $1,603 Total Capital Expenditures $3,803 $2,004 $2,103 Capital as % of Total NAU Expenditures 16.9% 14.1% 10.6% Bioresearch Program $0 $5 $0 Water and Environmental Sustainability Program $0 -$5 $0 $4,744 $3,443 $3,000 Total Capital Expenditures $4,744 $3,443 $3,000 Capital as % of Total UA Expenditures 13.9% 12.2% 14.0% $0 $0 $0 0.0% 0.0% 0.0% Total System Capital Expenditures $11,599 $6,594 $8,774 20% Statutory Limit on Capital Expenditures $18,039 $13,219 $12,816 12.9% 10.0% 13.7% University Initiatives UA ABOR FY 2010 Budget $1,112 Total Capital Expenditures NAU FY 2009 Actual $3,024 Biodesign Institute at ASU ASU FY 2009 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 2009 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 2009 ACTUAL / FY 2010 - 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 Biosciences Advanced Materials Sustainability ASU Polytechnic COPs ASU West COPs EXPENDITURES GRAND TOTAL $ $ $ 11,111,300 27,041,400 38,152,700 13,276,700 3,368,900 11,166,300 27,811,900 FY 2008 ACTUAL $ $ $ 40,100 777,600 3,650,200 4,467,900 5,872,900 27,886,700 33,759,600 11,615,800 3,008,600 8,892,500 23,516,900 FY 2009 REVISED BUDGET $ $ $ 133,300 777,600 3,721,800 4,632,700 5,610,100 28,895,000 34,505,100 14,620,700 3,931,800 9,151,800 27,704,300 FY 2009 ACTUAL $ $ $ 2,274,400 777,600 3,748,800 6,800,800 5,601,400 23,422,500 29,023,900 11,597,000 3,143,500 7,346,100 22,086,600 FY 2010 REVISED BUDGET $ $ $ 147,100 1,000,000 3,718,800 4,865,900 FY 2011 REVISED BUDGET 2,071,300 22,237,900 24,309,200 $ 8,631,100 2,030,800 6,261,800 16,923,700 $ $ 2,670,700 1,000,000 3,714,800 7,385,500 22,229,500 22,229,500 7,568,500 1,780,800 5,490,900 14,840,200 2,670,700 1,000,000 3,718,600 7,389,300 $ 32,279,800 $ 28,149,600 $ 34,505,100 $ 26,952,500 $ 24,309,200 $ 22,229,500 $ 27,734,500 551,200 210,700 133,200 2,046,100 1,604,100 $ 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 $ 20,505,500 2,221,000 258,500 248,700 2,084,200 1,634,600 $ 18,294,400 400,000 1,900,000 2,083,800 1,631,000 $ 16,210,900 400,000 1,900,000 2,081,600 1,637,000 $ 32,279,800 $ 28,149,600 $ 34,505,100 $ 26,952,500 $ 24,309,200 $ 22,229,500 5 6 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 BUDGET / ACTUAL SUMMARY BY PROGRAM AREA FY 2009 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 Biosciences Advanced Materials Sustainability ASU Polytechnic COPs ASU West COPs EXPENDITURES GRAND TOTAL $ $ $ 5,610,100 28,895,000 34,505,100 14,620,700 3,931,800 9,151,800 27,704,300 FY 2009 ACTUAL $ $ $ 2,274,400 777,600 3,748,800 6,800,800 $ $ $ 34,505,100 5,601,400 23,422,500 29,023,900 11,597,000 3,143,500 7,346,100 22,086,600 FY 2009 ASU ACTUAL TRIF EXPENDITURES (in millions) $20.5 Biodesign Institute (BDI/CBPI) 76% 147,100 1,000,000 3,718,800 4,865,900 $ 25,721,500 3,005,600 431,200 1,598,000 2,084,200 1,664,600 $ 34,505,100 $ 26,952,500 20,505,500 2,221,000 258,500 248,700 2,084,200 1,634,600 26,952,500 $1.6 ASU West COPs 6% $2.1 ASU Polytechnic COPs 8% $2.2 Biomedical Informatics (BMI) 8% $.2 ASU-UA Solar Energy 1% $.3 ASU-UA Joint Biomedical Research Fund 1% REPORT FOR THE FISCAL YEAR ENDING JUNE 30, 2009 The LEED Platinum certified Biodesign Institute (top) includes laboratories (below) that are designed to enhance communication and collaboration. TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) At the January 2009 Board of Regents meeting, ASU presented its plan to restructure the TRIF investments to reflect the reduction in available funding and increase the impact and leveraging of these funds. This process assessed the potential for incentivizing research to increase the return in terms of funding, work force development, and economic impact. This analysis of research funding, industry collaboration, and economic impact opportunities, including the potential to attract significant investments through the American Recovery and Reinvestment Act (ARRA), led to consolidation of the proposed targeted research areas into four themes: BioSciences — includes investments in biological, clinical and health sciences. The Biodesign Institute (BDI) leads this effort and is ASU’s flagship TRIF initiative, focused on use-inspired, collaborative research that improves 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). ASU TRIF PROGRAM Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals and Results 4 Management 4 Advisory Board 4 Learn More 4 Advanced Materials — an emerging coalition of researchers in flexible electronics, nanotechnologies, biomaterials, chemistry, and physics that creates breakthrough new products, materials, and technologies. Sustainability — focuses on understanding the interrelationships of growth and urban development with environmental, economic, and social systems, storage and transmission of power, and developing renewable energy technologies to reduce the impact on our planet. ASU scientists research alternative sources of fuel that are economically feasible and good for our planet. Discovery/Exploration/Education — focuses on multidisciplinary cross-cutting approaches that positions ASU for attracting investments in new research areas (such as astrobiology), and capacity building projects in information technology and communications, education, and entrepreneurship. The planning and reporting of this effort is included under the flagship Biosciences initiative. Dr. Rick Shangraw Vice President for Research and Economic Affairs September 1, 2009 7 PAGE 2 The strategic investments in emerging areas of advanced materials and sustainability leverages the intellectual strengths of our faculty and collaborations with industry positioning us to attract significant federal and industry funding resulting in a high economic impact. The capacity building projects in information technology and communications, education, and technology transfer are not only significant in terms of their economic and societal impacts but also ensures the success of the Biosciences, Advanced Materials, and the Sustainability initiatives. The Decision Theater at ASU develops and deploys cutting-edge decision support tools to model scenarios of complex systems. During FY 2007–FY 2009, TRIF supported the Joint ASU-UA Biomedical Research Fund from combined ASU-UA TRIF resources to advance collaborative 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. The mission of SPL is to advance the science, innovation, development, education, and training in solar power utilization to provide abundant, clean, sustainable power to Arizona. ASU is unique in its integrated scienceto-commercialization-to-policy structure, which is particularly critical to successful transfer of research breakthroughs in the renewable energy field. Prototype easy-to-manufacture, lowpower-consumption Flexible Display developed at ASU. 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. Consolidated Performance analysis ASU tracks and monitors performance and return on investment (ROI) for each TRIF focus area, including: external research funding and expenditures; intellectual property generated and technology transfer; work force development; partnerships with local business and industry; curriculum development (to improve the effectiveness of our students and reduce the time needed for them to become productive as entrepreneurs and in the workplace); and economic impact on our cities, state, and nation. The national economic downturn and reduced sales tax revenues resulted in significant midyear reductions in TRIF funding. Feedback from prior years and changes in leadership led to transitioning TRIF investments in FY 09. The consolidated performance analysis reflects budget reductions of approximately $12 million in TRIF funding over FY 09–FY 10 period to accommodate the decreasing funding available for investment. Implementation of the reorganization plan allowed ASU to reduce FY 09 by $5.0M and FY 10 by $7.0M, for a total reduction of $12M over FY 09 and FY 10. 8 The Department of Biomedical Informatics is located in the Arizona Biomedical Collaborative building (left) in downtown Phoenix and on the Tempe campus in the Brickyard building in Downtown Tempe. ASU Consolidated PERFORMANCE MEASURES/DELIVERABLES FY02 Actual FY03 Actual FY04 Actual FY05 Actual FY06 Actual FY07 Proj FY07 Actual FY08 Proj FY08 Actual FY09 Proj FY09 Actual FY10 Proj FY11 Proj 58.80 0.00 0.50 59.30 67.60 0.00 0.50 68.10 150 160 21 4 151 162 21 4 33 34 81 12 253 45 214 93 13 278 47 225 35 6 39 8 32.20 0.10 1.50 33.80 40.00 0.30 2.50 42.80 29 13 114 43 77 35 18 142 60 87 24 33 21 27 31.20 0.02 0.04 31.26 27.60 0.05 0.04 27.69 20 10 7 3 4 23 14 4 4 6 8 6 3 5 Biosciences (Incl Capacity Building Project Investments) Return on Investment ($ amounts in millions) Federal and non-federal awards Royalty income Foundation funding Return Total 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 Partnerships/Collaborations The number of research grants/contracts involving funding from non-government entities The number of research grants/contracts involving subcontracts to non-ASU researchers Sustainability Return on Investment ($ amounts in millions) Federal and non-federal awards Royalty income Foundation funding Return Total 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 Partnerships/Collaborations The number of research grants/contracts involving funding from nongovernment entities The number of research grants/contracts involving subcontracts to non-ASU researchers Advanced Electronic Materials Return on Investment ($ amounts in millions) Federal and non-federal awards Royalty income Foundation funding Return Total 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 Partnerships/Collaborations The number of research grants/contracts involving funding from nongovernment entities The number of research grants/contracts involving subcontracts to non-ASU researchers Biodesign Institute and Capacity Building Project Investments Return on Investment ($ amounts in millions) Federal and non-federal awards Royalty income Foundation funding Return Total Value of new startups to ASU New products in marketplace Value of new products to ASU 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) 9 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 11.92 8.63 27.09 35.88 47.00 .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 24 10 4 4 5 9 15 28 2 2 1 9 8 20 9 20 6 In Progress In Progress Completed 6 6 2 6 1 13 -- Insert 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 50.60 0.36 8.40 59.36 152 82 22 4 145 156 20 4 158 140 15 7 147 157 20 4 145 83 12 0 148 159 21 4 151 184 23 5 32 N/A N/A N/A 6 2 27 32 22 33 43 33 25 Page A -- 10 ASU Consolidated ( Continued ) PERFORMANCE MEASURES/DELIVERABLES FY02 Actual FY03 Actual FY04 Actual FY05 Actual FY06 Actual FY07 Proj FY07 Actual FY08 Proj FY08 Actual FY09 Proj FY09 Actual 5 29 39 48 19 120 33 84 44 24 106 67 139 64 32 121 63 177 88 39 103 71 160 37 26 113 75 172 56 26 324 95 157 38 27 114 75 173 110 53 404 136 645 38 27 115 76 175 70 11 230 43 204 10 7 37 17 25 17 37 17 47 18 35 18 22 18 31 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 2.20 0.00 0.00 2.20 2 3 N/A N/A 2 3 N/A N/A 7 4 3 N/A 7 2 3 N/A 11 6 5 1 10 3 2 1 10.00 N/A N/A N/A N/A Begin Fall 07 Begin Fall 07 N/A N/A N/A 10 10 N/A N/A 24 13 0 N/A N/A 24 10 13 5 N/A 48 10 11 0 N/A 72 4 2 6 1 8 4 12 2 12 8 12 4 N/A N/A N/A N/A N/A N/A N/A N/A 4.10 0.10 0.10 4.30 7.30 0.07 0.07 7.43 N/A N/A N/A N/A 0 0 0 0 6 3 2 0 N/A N/A N/A N/A N/A 0 1 N/A N/A N/A N/A N/A N/A 0 0 0 0 0 2 0 10 2 6 11 7 32 22 23 1.25 N/A N/A 1.25 0.87 N/A N/A 0.87 1.25 N/A N/A 1.25 0.00 N/A N/A 0.00 Biodesign Institute and Capacity Building Project Investments 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 Increase in number of teachers who graduate with math/science certification 9 Growth in CS/CSE Graduates -21 Partnerships/Collaborations 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 9 Curriculum Innovations Tier 1 Introduction to Information Technology for all students - Completed FY 2002 Completed Tier 2 package of 3 courses Partially Tier 3 concentration for BIS degree BS Applied Computing (ASU West) Begins Fall 2005 Approved High school students completing software design material 88 Internships w/ industry 32 New courses introduced (Bio, Info, Nano) 4 Economic Development Companies identifying ASU as a factor for relocating or 2 large expanding in AZ (14) 53 7 30 13 19 14 49 Partially Partially Partially Partially Partially 227 88 6 200 136 16 N/A 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 Biomedical Informatics Return on Investment ($ amounts in millions) 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 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 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 income Foundation funding Return Total 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 Joint ASU-UA Biomedical Research Fund Return on Investment ($ amounts in millions) Federal and non-federal awards Royalty income Foundation funding Return Total N/A N/A N/A 0.00 -- Insert Page B -- N/A N/A N/A 0.00 FY10 Proj FY11 Proj PAGE 3 Explanation of Performance analysis • The FY 07–FY 11 Return on Investment (ROI) meas- ate students, graduate students, and post-doctoral apures include federal and non-federal awards, royalty in- pointments in the TRIF Initiatives. The measures also come, and foundation funding. The sum of these three include the number of graduate students and postcomponents (the Return Total) is then divided by the re- doctoral researchers leaving ASU to enter the work force. lated TRIF expenditures for the fiscal year to arrive at the • Partnerships/Collaborations are an important compoReturn on Investment ratios included in the financial table nent for growth of the Biodesign Institute and other TRIF below. For the initial five year TRIF funding period FY investments. Increasing involvement with non-ASU re02–FY 06, the return on investment was 1.7:1. FY 02–FY searchers such as the Mayo Clinic, Barrows Neurological 06 ROI calculations do not include royalty income and Institute, the Translational Genomics Research Institute foundation funding. and the University of Arizona College of Medicine pro• Technology Transfer measures provide results for vides additional opportunities to expand and enhance ASU’s newly structured technology transfer initiative, Ari- ASU research in biomedicine, personalized medicine, zona Technology Enterprises (AzTE). Measures for in- and other TRIF focus areas. ventions, patents, and licensing activity are included. The • Curriculum Innovations and Economic Development Biodesign Institute provides a primary focus for AzTE as measures, along with selected measures in the other it facilitates the development of intellectual property, pro- categories, were used for the first TRIF funding cycle (FY motes industrial linkages, drives technology marketing, 02–FY 06). For the second funding cycle (FY 07–FY 11), and accelerates the successful transition of ASU discov- several of these measures were no longer applicable or eries into the marketplace. were replaced with more current and meaningful meas• Work force Contribution measures show the impact of TRIF funding and research participation by undergradu- ures. Financials FY02 FY03 FY04 FY05 FY06 FY07 FY08 FY09 FY09 FY10 FY11 Actual Actual Actual Actual Actual Actual Actual Rev Budget Actual Rev Budget Rev Budget . ASU CONSOLIDATED TRIF FINANCIAL SCHEDULE Biosciences Revenue $ 18,294,400 $ 16,210,900 18,294,400 3.2:1 16,210,900 4.2:1 Expenditures Return on Investment Sustainability Revenue $ Expenditures Return on Investment 1,900,000 $ 1,900,000 1,900,000 17.8:1 1,900,000 22.5:1 Advanced Electronic Materials Revenue $ Expenditures Return on Investment 400,000 $ 400,000 400,000 78.1:1 400,000 69.2:1 Biodesign Institute & Capacity Building Project Investments Revenue Expenditures Return On Investment $ 15,217,000 $ 4,825,100 2.5:1 25,242,500 $ 21,220,700 $ 27,210,100 $ 26,555,300 $ 30,611,700 $ 24,700,800 $ 25,721,500 $ 22,559,000 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 22,354,500 4.1:1 25,721,500 2.5:1 20,505,500 2.9:1 2,000,000 2,384,600 3,005,600 2,217,400 551,200 3.2:1 446,400 18.2:1 3,005,600 1.0:1 2,221,000 1.0:1 1,050,000 152,000 N/A 1,598,000 1,598,000 2.7:1 248,700 248,700 29.9:1 1,255,600 858,100 1.0:1 431,200 431,200 2.5:1 258,500 258,500 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 Phoenix Biomedical Campus Planning Revenue Expenditures Return on Investment 750,000 133,200 616,800 616,800 N/A N/A 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 3,721,800 3,748,800 3,748,800 3,740,200 3,718,800 3,714,800 3,714,800 3,718,600 3,718,600 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 33,759,600 28,149,600 34,505,100 34,505,100 29,023,900 26,952,500 24,309,200 24,309,200 22,229,500 22,229,500 Grand Total Revenue Expenditures 11 PAGE 4 Goals & Results (cont.) Indicative Results: • FY 09 TRIF related Biodesign and Capacity Building Projects generated $50.6M of federal and non-federal awards. • The $100M/10-year Army Flexible Display Center leveraged ASU’s investment to take new discoveries rapidly to the prototype phase. • Several research grants were awarded in FY 09 in areas seeded by TRIF funds. A notable research award was the $14 M Department of Energy funded Energy Frontier Research Center (EFRC) for BioInspired Solar Fuel Production. Printable, plastics based flexible display developed by interdisciplinary Advanced Materials researchers at ASU Goals & Results ASU has successfully used TRIF funds for strategic investments that have catalyzed research in critical areas, resulting in Arizona in becoming more competitive nationally. The investments have evolved over time to reflect current need and projected opportunity. Every year performance measures and metrics are projected for the investments. This is used to create a transition plan for the initiatives to become self-sustaining over time, thereby making TRIF funds available for new investments. Goals: • Increase governmental and private funding in the four research areas: Biosciences; Advanced Materials; Sustainability; and Discovery, Exploration, and Education. • Leverage TRIF funds to increase competitiveness of research in promising areas to successfully obtain research funds from private and public sources. • Increase rate of technology transfer and commercial development from biosciences, advanced materials, sustainability and other research investments. • Enhance interdisciplinary collaborative research in the four research teams. • Focus on use-inspired research that will result in demonstrable improvements to quality of life and society. • Train a new generation of scientists and engineers that are facile in emerging areas such as personalized medicine and renewable energy. • 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. • The first class of students (13) graduated from the Master’s degree program in Biomedical Informatics. The BMI program has rapidly grown to 30 Masters and PhD students and provides Informatics instruction to 72 students in the U of A College of Medicine-Phoenix. Management Office of the Vice President for Research and Economic Affairs R.F. “Rick” Shangraw: Vice President for Research and Economic Affairs Sethuraman Panchanathan: Deputy Vice President for Research and Economic Affairs A d v i s o ry B o a r d s Each of the investment areas is overseen by an external advisory board that includes nationally and internationally renowned industry and academic members to provide an extensive breadth of knowledge, experience and advice to the initiatives. Learn More Office of the Vice President for Research and Economic Affairs 480.965.1225 12 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) BIOSCIENCES REPORT FOR THE FISCAL YEAR ENDING JUNE 30, 2009 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 health 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 personalized diagnostics and treatment; more • providing renewable sources of energy and cleaning our environment; and • outpacing disease. the global threat of Introduction 1 Performance Analysis 2 Financial Information 3 Goals and Results 4 Management 4 Advisory Board 4 Learn More 4 infectious We focus on translating our research into useful technologies, treatments and solutions. The result is that our research includes such ambitious projects as identifying unique disease signatures to diagnose illness before symptoms appear, using microbiology-based technologies for more sustainable sources of fuel and energy, developing vaccines against the world’s most devastating diseases, and creating technologies to more rapidly produce vaccines against emerging pandemics. Success hinges on the convergence of new technologies from vastly different fields of science, and translating these discoveries to commercial uses for societal benefit. The Biodesign Institute’s research engages diverse capabilities for use-inspired projects. See pg. 4 for examples. Contents Dr. Alan Nelson Executive Director The Biodesign Institute 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, 2009 13 PAGE 2 P e r f o r m a n c e a n a lys i s Biosciences FY10 FY11 PERFORMANCE MEASURES/IMPACT Proj Proj 58.80 0.00 0.50 59.30 . 67.60 0.00 0.50 68.10 150 160 21 4 151 162 21 4 33 34 81 12 253 93 13 278 45 214 47 225 35 39 6 8 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 Partnerships/Collaborations The num ber of res earch grants /contracts involving funding from non-governm ent entities The num ber of res earch grants /contracts involving s ubcontracts to non-ASU res earchers 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 Return on Investment measures include federal and non-federal awards, royalty income and foundation funding for Biodesign 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. 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. 14 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. 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. PAGE 3 R e s e a r ch Fo c i Center for Applied NanoBioscience Dr. Frederic Zenhausern Merges technologies from nanoscience and molecular biology to develop novel sensors and diagnostic tests to monitor health. Center for BioOptical Nanotechnology Dr. Neal Woodbury Integrates biology, chemistry and physics to explore structure and function in biological and biomimetic systems, seeking molecules with desirable functions. Center for Environmental Biotechnology Dr. Bruce Rittmann Focuses on microbiological systems that capture or develop renewable resources or clean up environmental pollution. Center for Evolutionary Functional Genomics Dr. Sudhir Kumar Uses comparative DNA sequence analysis to understand the mechanisms and impact of evolutionary change within and across species and the time scale of those changes. Virginia G. Piper Center for Personalized Diagnostics Dr. Joshua LaBaer Funded by a multimillion gift, the Center for Personalized Diagnostics will pursue improved diagnosis of diseases including lung cancer and diabetes. Center for Ecogenomics Dr. Deidre Meldrum Focuses on genome analysis automation, microscale systems for biological applications, ecogenomics, robotics and control systems. Center for Infectious Diseases and Vaccinology Dr. Roy Curtiss Focuses on host-pathogen interactions and identification of protective antigens to develop new technologies for rapid vaccine production and delivery. Center for Innovations in Medicine Dr. Stephen Johnston Focuses on innovative solutions to major challenges in health care including a vaccine for cancer and presymptomatic diagnostics. Center for Single Molecule Biophysics Dr. Stuart Lindsay Focuses on understanding processes on which life is based using the simplest model systems and advancing the tools to work at this scale. Center for Bioelectronics and Biosensors Dr. Nongjian Tao Integrates device and materials functions to develop novel sensors to monitor health and potential hazards. Center for BioEnergetics Dr. Sidney Hecht Research of mitochondrial diseases caused by defects in the body's energy production processes. Financial Information Biosciences FY10 FY11 Rev Budget Rev Budget REVENUE Carry Forward $ 2,049,900 New TRIF Revenue 16,244,500 16,210,900 TOTAL REVENUE $18,294,400 $16,210,900 OPERATING BUDGET Personal Services 7,692,700 6,630,100 Employee Related Expenses 1,810,000 1,560,000 Operating Expenses Total Operating Budget 5,581,000 4,810,100 $15,083,700 $13,000,200 CAPITAL BUDGET Building Renovation 2,210,700 2,210,700 Debt Service 1,000,000 1,000,000 Total Capital Budget 3,210,700 3,210,700 TOTAL EXPENDITURES Return On Investment $18,294,400 3.2:1 $16,210,900 4.2:1 Note: The above amounts include the Biodesign Institute and capacity building project investments. 15 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. Office of the Vice President for Research and Economic Affairs R.F. “Rick” Shangraw: Vice President for Research and Economic Affairs Sethuraman Panchanathan: Deputy Vice President for Research Goals: • Increase governmental and private funding of research at the Biodesign Institute by 15 percent annually • Increase the rate of technology transfer development from the bioscience / biotechnology / biomedicine areas • Provide educational and workforce impact for the State • Enhance interdisciplinary collaborative nanotechnology and advanced materials research in Indicative Results: • The Biodesign Institute consists of 56 faculty and 119 academic professionals. Total staffing approximates 540. • For FY09, the Biodesign Institute posted $42 million in research contracts & grants awards which is $2.0 million greater than the prior year. Industrial partners accounted for 30% and Federal agencies accounted for 70% of total Awards. • For FY09, the Biodesign Institute generated a record $375 million in new research contract proposals. • Dr. Sudhir Kumar, a professor in life sciences and director of the Center for Evolutionary Functional Genomics launched the Timetree of Life Initiative which provides information on species’ origins that can be mined by researchers and used as a classroom tool. • Dr. Bruce Rittmann, director of Biodesign’s Center for Environmental Biotechnoloty, was honored with the prestigious 2009 Simon W. Freese Environmental Engineering Award, in recognition of his outstanding contributions to the field. • Dr. Roy Curtiss, with funding from the Bill and Melinda Gates Foundation, developed a vaccine candidate to prevent pneumonia in newborns that will soon enter human clinical trials. • Dr. Cheryl Nickerson’s experiments aboard several NASA space shuttle flights demonstrated that germs become more infectious during space flight, and we revealed the mechanisms for these changes, suggesting a possible means for protecting flight crews. • Dr. Joshua LaBaer was appointed as Director of the Biodesign Institute’s new Virginia G. Piper Center for Personalized Diagnostics. Dr. LaBaer formerly directed the Harvard Institute of Proteomics. 16 The Biodesign Institute Alan Nelson: Executive Director 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 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) Sustainability Initiative Arizona’s quality of life, condition of the natural environment, and strength of the economy will increasingly depend on finding solutions to challenges of sustainability. These challenges include climate change, rapid urbanization, water quality and supply, biodiversity, social transformations, and energy supply and efficiency. ASU is committed to education, discovery, innovation, and outreach activities that will yield solutions to such challenges. Through interdisciplinary projects, Central ArizonaPhoenix Long-Term Ecological Research project scientists (top) examine the effects of u r b a n i za t i o n o n d e s e r t ecosystems. The renovated building that houses ASU’s Global Institute of Sustainability (middle) has become a global icon for sustainable design. Environmental Design + Co nst ructi o n ma g a zi ne awarded the building its 2009 Excellence in Design Award in its educational category for the project’s demonstration of excellence in green building and sustainable design. Using state-of-the-art visualization, simulation, and collaboration tools, Decision Theater (bottom) is leading efforts to address global sustainability challenges and has become a powerful resource to aid decisionmaking efforts including mitigation of the spread of the A/H1N1 influenza strain known as the swine flu. While the concept of sustainability was once associated exclusively with environmental advocacy, it has now become mainstream. Sustainability is rapidly becoming an academic discipline, a critical aspect of corporate competitiveness and profitability, and a platform for economic development policy. The Global Institute of Sustainability is ASU’s primary vehicle for motivating, organizing, and assessing research in sustainability. Although the Institute itself is a relatively small unit, its mission is to work on a university-wide basis in support of teaching and research in sustainability science and to encourage ASU units to build bridges that connect scientists, policymakers, and business leaders on critical local and global challenges of sustainability. SUMMARY REPORT FOR THE FISCAL YEAR ENDING JUNE 30, 2009 Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals and Results 4 Management 4 Advisory Board 4 Learn More 4 Sustainability is a broad domain, including research investments in biodesign, engineering, public health, human evolution and social change, and life science. However, for purposes of focus and clarity, this document reports on past and proposed ASU TRIF investments in three areas that are involved in sustainability research: • • • Arizona Institute for Renewable Energy (AIRE), which oversees key investments intended to develop reliable, affordable, renewable energy sources and storage suitable for commercialization in the Southwest United States. Dr. Robert Melnick Executive Dean, Global Institute of Sustainability Decision Theater (DT), a policy informatics and visualization laboratory that studies how decisions for a more sustainable future are made, understood, and improved. Global Institute of Sustainability (GIOS), which catalyzes and advances interdisciplinary research on environmental, economic, and social sustainability with a special focus on rapid urbanization. September 1, 2009 17 PAGE 2 Performance Analysis Sustainability PERFORMANCE MEASURES/IMPACT FY10 Proj FY11 Proj 32.20 0.10 1.50 33.80 . 40.00 0.30 2.50 42.80 29 13 114 35 18 142 43 77 60 87 24 33 21 27 Return on Investment ($ amount s in millions) Federal and non-federal awards Royalty incom e Foundation funding Return Total 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 Partnerships/Collaborations The num ber of res earch grants /contracts involving funding from non-governm ent entities The num ber of res earch grants /contracts involving s ubcontracts to non-ASU res earchers Discussion of Performance Return on Investment The Sustainability Initiative is well poised to begin generating substantial research dollars from federal and non-federal awards. Investigators and affiliated faculty conducting Sustainability research are projected to hold more than $32M dollars in sponsored awards in FY10 and approximately $40M dollars in FY11. Sustainability proposal activity will continue to increase with the continued recruitment of senior faculty, the development of new programs, and new activity from junior faculty. Economic Impact The impacts of a successful investment in sustainability science research will include, but are not limited, to: the creation of well-paying “green jobs” in sustainability-related businesses; the development of an Arizona work force with the knowledge, analytic capability, and technical skills to power a “green economy;” the development of solutions to sustainability challenges such as water supply, rapid urbanization, land use, and biodiversity; an increase in public, philanthropic, and private funding of ASU research in renewable energy, decision making, and climate adaptation by 15 percent annually; and the development and transfer of new technologies to the private sector will expand. 18 Students Trained Through the Sustainability Initiative the number of students prepared for the new “green economy” will grow. In FY10 there will be a projected 29 new post-doctoral appointments and an additional 13 post-doctoral researchers leaving ASU to enter the traditional work force. Also, approximately 114 graduate students and 77 undergraduate students will be involved in research through the initiative, and a projected 43 graduate students will earn their degrees and enter the work force. New interdisciplinary curricula in the School of Sustainability will offer degree options to educate the nextgeneration work force and prepare citizens for the renewable energy society. Partnerships/Collaborations The number of partnerships and collaborations through the Sustainability Initiative is growing. This is reflected in the increasing number of research grants and contracts involving funding from non-governmental agencies and the number of subcontracts provided to non-ASU researchers. AIRE, DT, and GIOS all maintain many productive relationships with organizations from industry, government, and academia . PAGE 3 Economic Opportunities Conducting research and education on sustainability is a classic example of having the opportunity to “do good and do well” at the same time. Quite apart from the chance to help mitigate current, serious threats to local and global environmental quality, research and development in sustainability has become a significant opportunity for strengthening Arizona’s economy. The federal government, large philanthropies, and the private sector are increasing their funding commitment to technologies, processes, and policy making in sustainability. As an example, the very backbone of the American Recovery and Reinvestment Act of 2009 (aka the “stimulus package”) is comprised of investments in research that will both create “green jobs” and reduce U.S. dependence on limited and vulnerable foreign sources of energy. The funding available in FY10 from this Act alone exceeds $75 billion. Thus, a TRIF investment in sustainability research at ASU will help the state capitalize on this economic opportunity and, at the same time, educate a generation of decision makers. ASU’s principal TRIF investment in sustainability research is in renewable energy; that is, funding intended to attract talent and investment to the state from companies already in or intending to enter this lucrative market. This mission is consonant with a growing push by the Arizona economic development community to make the state the “solar capital of the world.” Indeed, Arizona clearly has the potential to achieve this goal due to its large amount of land suitable for concentrated solar power (19,300 square miles), substantial existing engineering and biodesign talent, and abundance of sunshine (the highest of all the states with a resource potential of 7.5 kWh/m2 per day). Indeed, research and development in “light inspired” energy, both to improve the efficiency and delivery of traditional technologies in solar power and to develop new, biomimetic approaches, are of great interest to private and public investors. Since the commercial viability of such technologies is influenced by economic policies, ASU will also use TRIF funds to develop decision-making data, models, and techniques that will enable Arizona leaders to make sound, science-based policy choices to enhance our economic prospects and, at the same time, create a more sustainable state. Financials Sustainability Through ASU's National Center for Excellence on SMART Innovations (top), students work on applications for business, technology, and policy innovations related to climate change and energy. Phase one of ASU's solar installations (bottom) totaled 1.88MW and is the largest solar portfolio on a single U.S. university campus. FY10 FY11 Rev Budget Rev Budget REVENUE Carry Forward New TRIF Revenue 1,900,000 1,900,000 TOTAL REVENUE $1,900,000 $1,900,000 Personal Services 775,200 775,200 Employee Related Expenses 182,400 182,400 Operating Expenses 562,400 562,400 $1,520,000 $1,520,000 OPERATING BUDGET Total Operating Budget CAPITAL BUDGET Building Renovation 380,000 380,000 380,000 380,000 Debt Service Total Capital Budget TOTAL EXPENDITURES Return On Investment $1,900,000 17.8:1 $1,900,000 22.5:1 19 PAGE 4 Goals and Results Management With support from TRIF and other sources of investment, ASU has developed a robust research program in sustainability. The university also recently launched the nation’s first School of Sustainability. ASU’s work on sustainability research and education will continue to accelerate and will achieve the follow goals in FY10 and beyond: Office of the Vice President for Research and Economic Affairs Goals Sethuraman Panchanathan: Deputy Vice President for Research • Develop the next generation of high-efficiency, multijunction (MJ) solar cells Global Institute of Sustainability • Use nanostructures to boost the efficiency and lower the cost of thin-film solar cells • Develop low-cost organic polymer and other organic and inorganic hybrid solar cells • Establish an industrial laboratory for low-cost Si module design • Offer new technology for the future “smart” electric grid • Receive $24M in FY10 grants/contracts for renewable energy research • Receive $1M in FY10 for research on sustainability decision making • Receive $7.5M in FY10 for sustainability research in diverse subjects • Sue Clark-Johnson — Former President, Newspaper • Be awarded one large scale ($5M-$20M) sustainability science research project in water management, atmospherics, climate change, or rapid urbanization Indicative Results through June 30, 2009: • Michael Crow — President, ASU • Robert Kates — Professor Emeritus, Brown U. • Julia Marton-Lefevre — Director General, World • Ongoing, multi-year research awards currently include the • Pam Matson — Dean, School of Earth Sciences, Central Arizona-Phoenix Long-Term Ecological Research ($5M/6 years/NSF), Decision Center for a Desert City ($6.7M/5 years/NSF), Designer Organisms for Biohydrogen Production ($10M/private donor), Conservation in a Social Context ($2M/5years/MacArthur Foundation) • Awarded $14.6M in 2009 from the U.S. Department of Energy to establish an Energy Frontier Research Center on Artificial Photosynthesis • Awarded $2.44M in 2008 for two Solar America Initiative programs (U.S. DOE) • TUV Rheinland invested $5M in 2009 to start a new business (40,000 square-foot facility, 40 jobs created) in Tempe based on an ASU-developed solar energy assessment technology • Algae-to-fuel research by ASU scientists was named the number 11 top invention of 2008 by Time, Inc and became a multi-million dollar spinout company: Heliae Development, LLC. • The Decision Theater provided decision science workshops on climate change for the National Oceanic and Atmospheric Administration, American Meteorological Society, and the Arizona Water Institute and led exercises with government agencies regarding pandemic flu • National recognition of ASU faculty research in sustainability science included the American Association for the Advancement of Science (Gober, Grimm), Leopold Leadership Fellowship (Wu), Carnegie Foundation for the Advancement of Teaching (Allenby), Ecological Society of America’s (Fisher), Geochemical Society, and European Association for Geochemistry (Shock) 20 R.F. “Rick” Shangraw: Vice President for Research and Economic Affairs Rob Melnick: Executive Dean Advisory Board for Sustainability at ASU • Ray Anderson — CEO, Interface Global • Tim Albinson — CEO, Aravo Solutions, Inc. • David Butterfield — President, Trust for Sustainable Development • Brad Casper — President and CEO, Dial-Henkel • William Clark — Harvey Brooks Professor, Harvard University Division, Gannett Company, Inc. Conservation Union Stanford University • William McDonough — McDonough Braungart \Design Chemistry • Tony Michaels — Managing Director, Proteus Environmental Technologies, LLC • Bill Post — Former CEO and Chairman, Pinnacle West Capital Corporation • Brian Swette — Chairman of the Board, Burger King • John Underwood — Managing Director, Goldman Sachs • Sander van der Leeuw — Director and Professor, School of Human Evolution and Social Change, ASU • Rob Walton — Chairman, Wal-mart • Julie Ann Wrigley — President, Julie Ann Wrigley Foundation Learn More Office of the Vice President for Research and Economic Affairs 480.965.1225 http://ovprea.asu.edu/ Global Institute of Sustainability 480.965.2975 http://sustainability.asu.edu/ ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) Advanced Materials Initiative The Advanced Materials Initiative (AMI) seeks to expand ASU’s research capacity in sensor development, nanotechnology, and the development and characterization of materials of interest to the flexible electronics areas. This initiative builds on ASU’s existing strengths in nanoelectronics, sensor development, materials characterization, and emerging strengths in flexible electronics, and nanoscale science and technology. Applications for these technologies include novel microelectronic, microfluidic, and biotechnology devices integrated into microsystems for high-value-added applications in the information technologies, health care, threat detection, transportation, and manufacturing industries. Several industry reports have projected that by 2015 the emerging flexible electronics market could grow to greater than $100B with products such as flexible displays, sensors, energy modules, lighting systems, RF networks, and smart packaging. AMI combines expertise and capabilities developed at the Flexible Display Center (FDC), and the Applied NanoBioscence Center (ANBC). The FDC was initiated in February 2004 under cooperative agreement W911NF-04-2-0005 by the U.S. Army to create an ASU-led Center that collaborates with government, industry, and other universities to develop solutions for technology development and manufacturing challenges in flexible displays and flexible electronics. FDC has successfully implemented a flexible electronics Pilot Line manufacturingconsistent infrastructure and collaborated on materials and processing tools development to provide supply chain and process development solutions that address flexible substrate system and handling issues. The core competencies of FDC and ANBC demonstrate synergies that are anticipated to make dramatic impacts on the advanced electronics, materials, and workers needed to supply the emerging flexible electronics industry. ANBC specializes in advanced materials and processes for flexible transparent conductors, integrated electronics and energy sources, organic electronics, and system-on-chip technology. In collaboration with universities and industry partners, ANBC is making significant breakthrough developments in converging nanoscience, biotechnology and cognitive science into technology platforms that can be mass produced. To create new ways to diagnose disease, monitor health, and build enabling polymer electronics, new technologies are merged from nanoscience, microelectromechanical systems (MEMS), polymer and ambient intelligence with genomics and molecular biology. This fusion allows for the creation of novel sensor systems with a broad range of commercial applications. SUMMARY REPORT FOR THE FISCAL YEAR ENDING JUNE 30, 2009 Contents Introduction 1 Performance Analysis 2 AEMI Research Foci 3 Financial Information 3 Goals & Results 4 Management 4 Advisory Board 4 Dr. Nick Colaneri Director, Flexible Display Center September 1, 2009 21 PAGE 2 Performance analysis Advanced Materials Initiative PERFORMANCE MEASURES/IMPACT FY10 Proj FY11 Proj 31.20 0.02 0.04 31.26 . 27.60 0.05 0.04 27.69 20 10 7 23 14 4 3 4 4 6 8 6 3 5 Return on Investment ($ amounts in millions) Federal and non-federal awards Royalty incom e Foundation funding Return Total 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 Partnerships/Collaborations The num ber of res earch grants /contracts involving funding from non-governm ent entities The num ber of res earch grants /contracts involving s ubcontracts to non-ASU res earchers Discussion of Performance Return on Investment The core funding for AMI is a 10-year cooperative agreement award from the U.S. Army of $93.7M to establish and lead a collaborative partnership to develop flexible, rugged, light-weight, low-power, information displays and electronics for the future war fighter and other military and commercial applications. Industrial members provide an additional $20M million in in-kind and cash contributions over the 10-year agreement. Most of the science for the flexible display initiative has been conducted at the Center; however some related FTA funded projects have allow the FDC to leverage another $10M in funding to support technology development. Other grants include a $3.8 million grant from the Department of Justice to develop a system for the FBI that integrates the current multiple steps of forensic DNA analysis for faster results, an $800,000 grant from the Naval Research Laboratory to develop a lab-on-chip for bioagents, and a $580,000 grant from the Department of Justice to design a microchip for detecting terrorist activity. Economic Impact curriculum offerings specific to flexible electronics, an Arizona corporate advisory and sponsorship program and Arizona university and high school student outreach efforts. Partnerships/Collaborations Partnerships and collaborative relationships serve a critical role in the success of the AMI. The FDC has a proven collaborative partnership model with 27 engaged industry members (33% Arizona-based), 3 university members and strategic alliances with the FlexTech Alliance and the Center for Advanced Microelectronics. ANBC has 12 active partnerships and/ or joint consortium with a wide range of organizations. The Center infrastructure comprises clinical resources with Scottsdale Clinical Research Institute, TGen Clinical Services and other AZ clinical partners. ANBC and TGen co-founded Nanobiomics, that merged with the Molecular Profiling Institute, acquired by Caris Diagnostics. A Center for Interdisciplinary Research in Nanotechnology (CIRN) was developed in partnership with Motorola Labs to develop nanosensors for first responder product applications, and a MIDRA Consortium with Motorola Italy and the University of Florence to develop sensors and wireless communication networks. Strategic alliances with major international consortia in Europe and Asia are being formed. The initiative will generate research and clinical partnerships that significantly impact our local economy. According to analysis done by the NIST ATP, $1M in government funding triggers $1.6M industry cost-sharing, causing $8M total economic impact, creating/maintaining about 100 jobs Collaborative partnerships are in place with the University of Arizona College of Medicine, Banner Health, Barrow Neurobased on an average high tech job average salary of $80K. Students Trained Full integration of an education and training dimension is positioning the Institute to provide industry with highly capable engineers and scientists skilled in emerging technology development. Educational and workforce development plans include expansion and development of a formal internship program, a devoted student research pilot line tool set, 22 logical 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. AMI Research Foci PAGE 3 The AMI academic-government-industry business model and research-to-manufacturing operational model coupled with unique and synergistic flexible backplane array and biosensor research infrastructure, positions the AMI to be a national leader in the flexible electronics industry. As demonstrated by companies that collocated in the MTW Facility and the recent spin-out companies, AMI has potential to become a business nexus that will differentiate Arizona and provide a competitive advantage for Arizona and AMI collaborators. Flexible Electronics Pilot Line Fabrication: Pilot Line tool sets are linked to a Manufacturing Execution System (MES) for efficient lot management and statistical process control (SPC) and include the following: Electronic Design Automation (EDA) for IC Design, Modeling and Simulation: A professional suite of flexible, large area microelectronics design tools has been implemented including: circuit simulation, design rule checking (DRC), layer verification (LVS), layout, AutoPlace and Route with Standard Cell Library Development Capability, state-of-the-art a-Si:H transistor models including VT Shift, and an extensive suite of digital and analog circuit testing equipment. Recently, a circuit simulator that can predict the complex post-degradation response of arbitrary a-Si:H TFT circuits was developed. Also, a standard cell library for a-Si:H TFTs on flexible stainless steel and plastic substrates was developed. The standard cell library enables layout automation with a standard cell place and route tool, significantly reducing the time to layout a-Si:H digital circuits on the backplane and thus enhancing functionality. lecular technology; nanosystems design and fabrication; microscale fluid dynamics modeling; and hybrid nanoelectronics processing and "lab-fab" prototyping. Skills have been developed for bioassay development and polymer-based processing. Plans include improving: micro/nano fabrication processes, materials biocompatibility, assays, and integration and functionalities. Improved processable materials, flexible transparent conductors, integrated electronics and energy sources, organic electronics, and system-on-chip technology are also in work. • 6-Inch (150 mm) Wafer-scale Pilot Line for Research and Development (3 micron feature size (L/S)) • GEN II (370 mm x 470 mm) Pilot Line for Low Volume Production (3 micron feature size (L/S)) Capabilities also include characterization tools/processes and The MacroTechnology Works (MTW) Facility, where the FDC and plans are in place to pursue printed electronics capabilities and ANBC are collocated, was designed as a organizational mecha- pilot-line level organic light emitting diode (OLED) integration. nism that allows ASU to advance technology in three integrated Integrated Electronics for Advanced Functionality: This remodalities that are a departure from standard university practice: search is focused on: integrated nano/micro-systems design, (1) large scale engagement of industry, (2) integration of design, modeling, and prototyping; development of fabrication and chartechnology and engineering for product development and (3) rapid acterization techniques optimized for nanoscale applications; moapplied consumer-driven innovation. This approach bridges the lecular techniques for manipulating single biomolecules and cells; gap between conceptual research and production-ready-product. and integrated systems for application-oriented products and inThis model begins with collaboration, conceptualization, design formation solutions. Considerable proficiency has been demonand test, prototype production, regulatory compliance and leads to strated in: biochips for genomics/proteomics; microfluidics and a product ready for technology transition. microanalytical technology; nanoconstrictions; atomic and mo- Technology Demonstrators and Technology Transition: In order to increase a user demand for the technology it is critical to demonstrate its application in a real world scenario. Considerable capability exists to develop hardware to demonstrate newly developed technologies. AzTE is a resource that is used to facilitateted the transition process. Financials Advanced M aterials Initiative FY10 FY11 Rev Budget Rev Budget REVENUE Carry Forward New TRIF Revenue 400,000 400,000 TOTAL REVENUE $400,000 $400,000 163,200 163,200 OPERATING BUDGET Personal Services Employee Related Expenses Operating Expenses Tota l Ope ra ting Budge t 38,400 38,400 118,400 118,400 $320,000 $320,000 CAPITAL BUDGET Building Renovation 80,000 80,000 80,000 80,000 Debt Service Tota l Ca pita l Budge t TOTAL EXPENDITURES Re turn On Inve stme nt $400,000 78.1:1 $400,000 69.2:1 23 PAGE 4 Goals & Results Management Goals: Office for the Vice President for Research and Economic affairs • • • • • Develop a robust research engine to strategically address emerging flexible electronics opportunities and to accelerate technology transition opportunities. Position Arizona as a leader in the flexible microelectronics industry and promote Arizona businesses that will in turn build on the Arizona economy, provide more and higher paid knowledge-based jobs and help attract new business investments. Apply advances in nanoscience, molecular biology and genomics to a new generation of enabling tools converging nano- and micro-scale technologies to better understand the molecular origin of diseases. Employ best scientific and engineering practices to help fundamentally change the approach to improving global public health, by developing and facilitating the use of molecular diagnostic tests. Advance personalized medicine by fostering transformation of biological and physical principles into effective products with focused impact on oncology, orphan rare diseases and infectious diseases Results and Updates: Several technology platforms have been scaled up and commercialization is ongoing. • • • • • • • • 24 R.F. “Rick” Shangraw: Vice President for Research and Economic Affairs Sethuraman “Panch” Panchanathan: Deputy Vice President for Research Advisory Board • David C. Morton — Flexible Display and Electronics Manager, Army Research Laboratory, Sensors and Electron Devices Directorate • Keith Rollins — Global Displays Market Manager, DuPont Teijin Films (UK) Ltd. • Abbie Gregg — Owner, Abbie Gregg Inc. • Steve Dwyer — VP and General Manager, EV Group, North American Headquarters • Mike Idacavage — Principal Research Fellow, Cytec Industries, Inc. Building Locations Contributed to tool and materials development and commercialization needed for flexible electronics manufacturing: DuPont Teijin Films’ Planarized PEN substrate material, EV Group’s large-area thin film spray coater, and Honeywell’s thermally stable family of planarization, electrical isolation, and passivation materials. AMI is located in the MacroTechnology Works Building in the ASU Research Park in Tempe. Generated IP for non-volatile a-Si memory, flexible substrate systems, low-temperature transistor processing onto flexible substrates and temporary bonding procedures to allow standard semiconductor processing of flexible substrates. Discussions are in progress with 6 companies for transition of this IP to commercial use. Office of the Vice President for Research and Economic Affairs 480.965.1225 http://ovprea.asu.edu/ FDC flexible displays highlighted by WIRED Magazine as a Top 10 technology breakthrough for 2008. Jointly developed DNA solutions with FBI and leaders in DNA forensics which is being validated as an international standard for deployment in casework investigations. Developed specialized molecular medical responses for acute medical management of radiation injury in cancer treatment or radiologic and nuclear events. Submitted the ANBC blood-based gene expression assay and instrumentation to the FDA. Optimized novel bioassay chemistries in collaboration with diagnostics corporations and federal agencies for molecular diagnostics of cardiovascular diseases, colon and melanoma Obtained contracts for developing “green’ high-density energy systems using biofuels and fuel cells (FC). Learn More Advanced Materials Initiative Telephone: 480.727.8941 Web: http://flexdisplay.asu.edu ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 BUDGET AND ACTUAL / FY 2010 - 2011 BUDGETS ASU POLYTECHNIC CERTIFICATES OF PARTICIPATION (COPs) FY 2008 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 $ FY 2009 REVISED BUDGET 76,900 2,005,900 2,082,800 $ $ 2,084,200 2,084,200 FY 2009 ACTUAL $ $ (5,100) 2,084,200 2,079,100 FY 2010 REVISED BUDGET FY 2011 REVISED BUDGET $ $ $ (5,100) 2,088,900 2,083,800 $ 2,081,600 2,081,600 - - - - - 2,082,800 2,082,800 2,084,200 2,084,200 2,084,200 2,084,200 2,083,800 2,083,800 2,081,600 2,081,600 2,082,800 $ 2,084,200 $ 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. 25 26 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 BUDGET AND ACTUAL / FY 2010 - 2011 BUDGETS ASU WEST CERTIFICATES OF PARTICIPATION (COPs) FY 2008 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 $ FY 2009 REVISED BUDGET 63,900 1,605,100 1,669,000 $ $ 30,000 1,634,600 1,664,600 FY 2009 ACTUAL $ $ 26,500 1,634,600 1,661,100 FY 2010 REVISED BUDGET FY 2011 REVISED BUDGET $ $ $ 26,500 1,604,500 1,631,000 $ 1,637,000 1,637,000 - - - - - 1,639,000 1,639,000 1,664,600 1,664,600 1,634,600 1,634,600 1,631,000 1,631,000 1,637,000 1,637,000 1,639,000 $ 1,664,600 $ 1,634,600 $ 1,631,000 $ 1,637,000 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. FY 2007-2011 ASU-UA Joint Biomedical Research Fund Arizona State University University of Arizona September 1, 2009 Arizona State University and the University of Arizona jointly administer the TRIF-funded Collaborative on Biomedical Research Grant Program with ten awards originally scheduled to total $2,000,000 ($1,000,000 each) in FY07 and $1,000,000 ($500,000 each) per year in FY08FY11. 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; and, Potential for impact on overall State-wide strength in biomedical sciences. The program awarded $2,000,000 in FY07 and $1,000,000 in FY08 to the ten projects through a competitive process. Due to the economic downturn and growing shortfall in TRIF revenues, the projects were ended in FY09 and drew to a close in June 2009 with the principal investigators having submitted their final reports. UA and ASU are working with the principal 27 investigators of the BIO5 Institute and the Biodesign Institute to continue the creation of collaborative research projects between our institutions. The TRIF support resulted in 68 scientific presentations and publications and the submission of proposals valued at $19.5M for external support for the continuation of these projects. Title Proteomic and Metabolomic Biomarker Investigation of Type 2 Diabetes (1) 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 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 Total Publications and Presentations Total Pending Proposals and Awards PI Total TRIF Award Nelson-ASU Lau-UA $250,000 11 $5,853,000 Johnson-ASU Martinez-UA $297,977 8 $3,421,175 Magee-ASU Shubitz-UA $320,000 0 $1,520,431 Hecht-ASU Hurley-UA $325,000 3 $0 Posner-ASU Wirth-UA $325,955 2 $2,020,737 Lai-ASU Gatenby-UA $325,955 7 $0 Rikakis-ASU Baldwin-UA $325,955 10 $5,100,425 Jurutka-ASU ThompsonUA $177,248 15 $1,250,000 Tillery-ASU Falk-UA $325,955 6 $0 (planned NIHR01 application in 2010) Zhang-ASU Barton-UA $325,955 6 $382,044 (1) Patent Disclosure M8-049L, U.S> Provisional #61/069,674, International PCT application #PCT/US2009/037369 for Biomarkers and assays for Diabetes CONTACT: R.F. “Rick” 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 28 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 - 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 Conf Center/New Construction Support 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 ACTUAL 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 10,185,985 15,159,929 25,345,914 $ 6,369,866 1,983,389 5,178,681 13,531,936 $ $ 500,000 796,179 162,830 1,459,009 $ 18,955,581 $ $ 5,556,985 917,127 2,041,506 1,967,092 2,824,999 2,904,282 2,320,413 32,165 391,012 - $ $ 18,955,581 $ FY 2009 revenue/expense reported prior to official fiscal year close. FY 2009 REVISED BUDGET 14,990,945 3,415,637 659,595 1,939,262 1,790,069 (162,821) 931,349 2,732,934 965,052 2,219,868 500,000 14,990,945 FY 2009 ACTUAL 10,354,969 12,135,171 22,490,140 $ 8,332,092 2,426,259 7,928,471 18,686,822 $ $ 3,803,318 3,803,318 FY 2010 REVISED BUDGET 10,354,969 12,257,112 22,612,081 $ 6,358,862 2,017,377 3,792,044 12,168,283 $ $ 2,003,924 2,003,924 FY 2011 REVISED BUDGET 8,439,874 11,516,654 19,956,528 $ 7,722,413 2,335,645 7,762,274 17,820,332 $ $ 2,103,386 2,103,386 32,810 11,495,811 11,528,621 5,325,576 1,521,801 2,580,759 9,428,136 2,100,485 2,100,485 $ 22,490,140 $ 14,172,207 $ 19,923,718 $ 11,528,621 $ 2,649,478 517,314 1,499,174 2,249,518 5,397,012 4,066,610 2,917,429 1,422,164 1,500,000 271,441 $ 2,219,276 454,237 1,497,856 1,556,379 2,492,682 2,630,874 1,647,531 948,480 545,910 178,982 $ 2,654,597 350,421 1,343,370 2,259,194 5,586,571 3,079,047 2,051,993 1,255,779 954,090 388,656 $ 2,197,033 283,809 1,325,544 1,546,791 2,649,246 1,688,312 772,474 772,474 292,938 $ 22,490,140 $ 14,172,207 $ 19,923,718 $ 11,528,621 29 30 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 - 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 Conf Center/New Construction Support TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ $ $ FY 2008 ACTUAL 3,115,813 2,142,705 5,258,518 $ 721,011 236,840 1,362,562 2,320,413 $ $ $ 2,320,413 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 2009 ACTUAL 2,313,450 1,753,160 4,066,610 $ 1,160,340 374,400 2,031,870 3,566,610 $ $ 2,313,450 1,770,777 4,084,227 $ 924,311 327,815 878,749 2,130,874 $ 500,000 500,000 $ 4,066,610 FY 2010 REVISED BUDGET $ 500,000 500,000 $ 2,630,874 FY 2009 revenue/expense reported prior to official fiscal year close. Above AZUN numbers are included in NAU Summary on previous page and are broken out separately here for information purposes only. Memorandum of Understanding (MOU) between ABOR and NAU for management of AZUN has extended through June 30, 2013. FY 2011 REVISED BUDGET 1,453,353 1,658,504 3,111,857 $ 1,026,674 354,428 1,197,945 2,579,047 $ $ 500,000 500,000 $ 3,079,047 32,810 1,655,502 1,688,312 525,000 187,025 476,287 1,188,312 500,000 500,000 $ 1,688,312 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 BUDGET / ACTUAL SUMMARY BY PROGRAM AREA FY 2009 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 Conf Center/New Construction Support 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 $ $ $ 10,354,969 12,135,171 22,490,140 8,332,092 2,426,259 7,928,471 18,686,822 FY 2009 ACTUAL $ $ $ 3,803,318 3,803,318 10,354,969 12,257,112 22,612,081 6,358,862 2,017,377 3,792,044 12,168,283 $1.6 ERDENE (Environmental) 11% $2.5 University Initiatives 18% $2.6 AZUN 18% $1.6 Healthcare Program Expansion 12% 2,003,924 2,003,924 $ 22,490,140 $ 14,172,207 $ 2,649,478 517,314 1,499,174 2,249,518 5,397,012 4,066,610 2,917,429 1,422,164 1,500,000 271,441 $ 2,219,276 454,237 1,497,856 1,556,379 2,492,682 2,630,874 1,647,531 948,480 545,910 178,982 22,490,140 $ $ FY 2009 NAU ACTUAL TRIF EXPENDITURES (in millions) 14,172,207 $1.5 e-Learning 10% $.5 Growing Biotechnology 3% $2.2 Access/ Workforce Development 16% $.2 Promoting Forest Health in Arizona 1% $.9 NAU Statewide Expansion 7% $.5 NAU-Yuma Expansion 4% 31 This page intentionally left blank. 32 TECHNOLOGY AND RESEACH INITIATIVE FUND (TRIF) M A R G O R P TR I F September 1, 2009 The Northern Arizona University TRIF Program In the first 8 years of TRIF funding, from FY 2002 to FY 2009, 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 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. Through the Healthy ERDENE facultyhas member and Forest Initiative, NAU helped advance partnerships and knowledge NAU students working on the Wind Turbines with regard to forest restoration.. 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 PAGE 2 TRIF PROGRAM P e r f o r m a n c e a na lys i s 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 FY09 Act FY 10 Proj FY 11 Proj $7.90 $11.30 $11.00 $15.20 $8.90 $14.90 $8.10 $15.20 $8.90 $15.60 $10.10 $10.90 4.20 : 1 4.56 : 1 3.72 : 1 5.71 : 1 3.28 : 1 5.1 : 1 2.91 : 1 6.1:1 3.19 : 1 8.2:1 3.63 : 1 3.91 : 1 Conferences Sponsored 14 19 21 28 26 21 5 42 10 2 15 20 Presentations/ Publications 133 180 197 373 166 286 180 3137 (inc. web accesses) 190 126 210 220 Patent Applications/Patents Generated 2 2 2 1 3 2 3 5 4 2 5 6 Products Generated and in the Marketplace 0 5 49 8 13 5 5 4 7 0 10 12 Economic Development Business Expansions/Spinoffs/ Creations 3 3 7 21 10 5 3 10 5 0 7 11 Workforce Contributions Graduate/Postdoc Students Trained 116 149 162 60 67 58 82 137 85 61 93 100 Undergrad Students Trained 106 205 106 93 135 119 135 175 160 57 175 195 Continuing Education Professionals 85 312 1361 142 274 42 132 142 142 29 152 162 Government/University collaborations 81 209 175 240 238 229 125 225 135 50 147 162 FY 02 Act FY 03 Act FY 04 Act FY 05 Act FY 06 Act FY 07 Act FY 08 Proj FY08 Act FY 09 Proj FY09 Act FY 10 Proj FY 11 Proj New Teachers 250 542 807 679 773 804 700 1019 750 1,058 750 750 Nurses/Health Professionals 120 266 414 464 540 721 500 640 500 680 600 600 Business/Non-Profit Managers 44 182 303 442 528 673 400 725 450 816 450 500 Number Degree/Certificate Programs 11 19 37 41 41 41 42 41 44 41 46 48 Web-IT/Enhanced Courses Developed 125 101 121 141 22 80 95 67 90 78 85 80 Number Faculty Participating Web Development 150 117 155 126 241 325 225 210 250 397 [c] 300 350 GBI / ERDENE ROI Leveraged dollars ($M) ROI ratio Publications / Conferences Tech Transfer Specific Collaborations Access and Workforce Development / e-Learning New Students Served Enhanced Courses Developed Student Course Involvement Student Enrollments In Online Courses 7,110 9,476 10,133 12,381 14116 20,526 12,750 31,568 13,000 35,637 [d] 13,500 14,000 Partnerships Number K-12 Partners (Schools/Districts) 30 51 119 127 127 127 125 126 130 125 135 140 Higher Education Partnerships 17 19 20 20 22 22 20 23 20 3 20 20 Private Sector Partnerships 2 21 42 77 80 80 54 85 57 89 60 62 Courses/Modules Sold/Brokered 0 5 0 0 0 0 1 0 1 0 1 1 Technology Transfer 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 2002 GBI/ERDENE Carryforward New TRIF Revenue TOTAL REV Personal Services Other Operating TOTAL EXP FY 2005 FY 2006 FY 2007 FY 2008 FY 2010 FY 2011 $497,302 $830,232 $1,008,633 $915,237 $828,245 $775,696 $0 $2,417,502 $2,674,544 $2,498,906 $2,745,600 $2,888,423 $2,790,824 $2,362,672 $1,958,067 $1,833,919 $1,830,600 $2,417,502 $3,213,300 $3,233,243 $3,242,902 $3,718,655 $3,799,457 $3,277,909 $2,786,312 $2,609,615 $1,830,600 $1,278,627 $1,637,980 $2,132,447 $2,335,730 $1,770,725 $2,418,854 $1,645,775 $1,377,285 $2,322,596 $1,607,791 $600,119 $840,983 $827,573 $368,742 $939,297 $465,365 $803,889 $633,331 $287,019 $222,809 $1,878,746 $2,478,963 $2,960,020 $2,704,472 $2,710,022 $2,884,219 $2,449,664 $2,010,616 $2,609,615 $1,830,600 $2,164,798 $2,711,282 $2,263,265 $2,776,537 $1,680,175 $1,050,709 $418,276 $469,003 $0 $4,878,299 $5,662,818 $4,927,273 $5,183,586 $6,969,025 $4,722,466 $3,767,859 $3,528,964 $3,522,577 $5,135,129 $7,043,097 $8,374,100 $7,190,538 $7,960,123 $8,649,200 $5,773,175 $4,186,135 $3,997,967 $3,522,577 $2,326,003 $3,412,531 $4,069,277 $4,011,236 $4,150,863 $4,703,165 $4,378,114 $3,313,321 $3,524,051 $3,317,033 $644,328 $919,284 $1,836,743 $942,881 $2,129,085 $823,835 $976,785 $403,810 $473,916 $205,544 $0 $0 $0 $0 $0 $2,071,491 $0 $0 $0 $0 $2,970,331 $4,331,815 $5,906,020 $4,954,117 $6,279,948 $7,598,491 $5,354,899 $3,717,132 $3,997,967 $3,522,577 $0 $206,744 $664,608 $1,674,629 $3,054,612 $5,159,771 $120,491 $2,591,491 $2,932,523 $0 $298,203 $590,810 $938,517 $2,552,961 $1,764,371 $690,001 $3,239,528 $2,833,714 $2,654,048 $2,649,246 $298,203 $797,554 $1,603,125 $4,227,590 $4,818,983 $5,849,772 $3,360,019 $5,425,205 $5,586,571 $2,649,246 Personal Services $36,174 $72,666 $62,927 $266,070 $340,462 $153,992 $219,028 $428,828 $345,519 $364,523 Operating $684,238 AWD/E-LEARNING UNIVERSITY INITIATIVES AND CAPITAL Carry Forward TOTAL REV Personal Services Other Operating Debt Service TOTAL EXP New TRIF Revenue TOTAL REV $55,285 $60,280 $17,761 $188,050 -$681,250 $483,950 $90,491 $559,930 $3,637,666 Conference Center $0 $0 $0 $0 $0 $2,000,000 $162,830 $0 $0 $0 Debt Service $0 $0 $0 $0 $0 $3,091,339 $296,179 $1,503,924 $1,603,386 $1,600,485 $91,459 $132,946 $80,688 $454,120 -$340,788 $5,729,281 $768,528 $2,492,682 $5,586,571 $2,649,246 TOTAL EXP $0 $2,299,998 $3,897,233 $2,703,507 $1,760,022 $0 $2,299,998 $2,020,412 $1,991,194 $1,652,526 $1,547,750 $1,544,948 $2,299,998 $4,320,410 $5,888,427 $4,356,033 $3,307,772 $1,544,948 Personal Services $0 $0 $914,583 $1,305,631 $1,283,600 $566,005 Operating $0 $423,177 $2,270,337 $1,290,380 $2,024,172 $978,943 $0 $423,177 $3,184,920 $2,596,011 $3,307,772 $1,544,948 $1,264,210 $1,500,000 $1,049,277 $0 $735,790 $274,169 $293,469 $292,938 $2,000,000 $1,774,169 $1,342,746 $292,938 $0 $699,048 $1,201,190 $280,000 $12,938 Carry Forward New TRIF Revenue TOTAL REV TOTAL EXP Carry Forward New TRIF Revenue TOTAL REV Personal Services Operating Debt Svc/Build-out TOTAL EXP Carry Forward New TRIF Revenue AZUN FY 2009 $734,337 $0 New TRIF Revenue HEALTHCARE AND STATEWIDE EXPANSION FY 2004 $538,756 $5,135,129 Carryforward TSI -- YUMA/HEALTHY FORESTS FY 2003 $0 TOTAL REV Personal Services All Other Operating Debt Svc TOTAL EXP $0 $25,844 $141,556 $500,000 $0 $0 $0 $500,000 $724,892 $1,342,746 $292,938 $1,615,559 $2,534,652 $3,115,813 $2,938,105 $2,313,450 $1,453,353 $32,810 $1,228,962 $2,034,906 $2,142,705 $2,108,279 $1,770,777 $1,658,504 $1,655,502 $2,844,521 $4,569,558 $5,258,518 $4,084,227 $3,111,857 $1,688,312 $2,983 $344,531 $957,851 5046384 $1,195,755 $1,252,125 $1,381,102 $712,025 $306,886 $1,109,214 $1,362,562 $1,037,179 $878,749 $1,197,945 $476,287 $0 $0 $0 $500,000 $500,000 $500,000 $500,000 $309,869 $1,453,745 $2,320,413 2732934 $2,630,874 $3,079,047 $1,688,312 Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. 35 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. 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 Academic Affairs, Dr. Karen Pugliesi. Dr. Pugliesi reports to Provost Liz Grobsmith. GBI and ERDENE Advisory Board Members: Thomas Whitham, Regents’ Professor, NAU, Department of Biological Sciences Barry Gold Gordon & Betty Moore Foundation David LaRoche U.S. Environmental Protection Agency Paul Jagodzinski NAU Dean of the College of Engineering, Forestry and Natural Sciences Michael Bittner Translational Genomics Research Institute Mary O’Connell New Mexico State University, Plant & Environmental Science Russ Yelton Northern Arizona Center for Emerging Technologies Marshall Whitmire Coconino County Environmental Economic Development Initiative AWD Advisory Board Members Toni Badone, Superintendent Yuma Union High School District Jane Bristol, Director of Economic Development City of Prescott Leslie Dalton, Director, Clinical Education Yuma Regional Medical Center 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 Raul Sandoval, Ed.D., Associate Dean, Enrollment Services South Mountain Community College Chuck Spotts, Vice Chancellor, Instruction and Student Services Mohave Community College LEARN MORE George Van Otten, Strategic Planner, Homeland Security CACI International Jeri Williams, M.Ed., Assistant Chief City of Phoenix Police Department ⇒ ⇒ ⇒ ⇒ ⇒ ⇒ 36 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 928-5232540. 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/. TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) c r o f k r Wo & s s e c Ac t n e m p o l e Deve September 1,2009 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 Campuses Dean of Online Learning 37 38 120 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 FY 03 Act 42 119 3 17 105 Yes Yes 37 303 N/A 414 807 0 FY 04 Act 75 127 3 17 153 Yes Yes 41 442 N/A 464 679 0 FY 05 Act 80 127 3 19 176 Yes Yes 41 528 N/A 540 773 0 FY 06 Act 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 FY 07 Act 1 700 1 FY 07 Proj 53 125 3 17 40 Yes Yes 42 400 N/A 500 700 1 FY 08 Proj 85 126 3 20 225 Yes Yes 41 725 N/A 640 1,019 0 FY 08 Act 56 130 3 17 40 Yes Yes 44 450 N/A 500 750 1 FY 09 Proj Proposed metrics are based on the expectation of continuous growth in initiative funding over the period FY 2007- FY 2011. 1 Beginning FY07 reporting based on number of students eligible to enroll by program. 14 Community College Partnerships/Collaborations 11 Degree/Certificate Programs Curriculum Innovations 250 0 FY 02 Act New Teachers Potential New Students Served Workforce Contributions Courses/Modules Sold/Brokered Technology Transfer and Industry Collaborations METRICS ($ in millions) 89 125 3 20 244 Yes Yes 41 816 N/A 680 1,058 0 FY09 Act 59 135 3 17 40 Yes Yes 46 450 N/A 600 750 1 FY 10 Proj 61 140 3 17 40 Yes Yes 48 500 N/A 600 750 1 FY 11 Proj PAGE 2 ACCESS & WORKFORCE DEVELOPMENT P e r f o r m a n c e A na lys i s ACCESS / WORKFORCE DEVELOPMENT PAGE 3 P e r f o r m a n c e a na lys i s Work Force Contributions: FY 2009 Objectives and Accomplishments Enrollments for FY 2009 continued to grow with the on-going expansion of hybrid programs, establishment of new cohorts, sustained growth in web enrollments, strategic marketing and recruiting efforts all contributed to the success of these programs. • Programs to prepare and serve new teachers grew by 4% in FY 2009. While the prior year’s rapid growth in Educational Technology leveled off, enrollment in the B.S. Elementary Education continued to grow by 20%. The B.S. in Elementary Education program is currently serving 260 teacher candidates across Arizona. Funding for full-time anchor faculty members has proven to be an effective model for growth with quality. • Health Professions programs maintained steady growth in the BAS/BS Health Science/Community Health degrees. Currently these programs serve 228 students around Arizona. The online RN-BSN continues to be an effective way of serving students, with a 12% growth rate this year. Dental Hygiene grew by 3%, bringing the total number of students served across the health professions to 680 students, an overall growth rate of 6%. • Programs serving business and the public sector grew by 13% in FY 2009. The Bachelor of Applied Science in Computer Technology was discontinued in favor of a technology management degree. The new degree, Bachelor of Applied Science in Technology Management, was designed in consultation with community college partners and provides students with the skills needed to lead a technology centered organization. The program will be available for students to begin in the Fall 2009 term. The Master of Administration program grew to 555 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 AWD 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 FY 2008 Actual FY 2009 Budget FY2009 Actual FY 2010 Budget FY 2011 Budget REVENUE Carry Forward $0 $1,490,660 $2,074,249 $1,604,439 $1,579,182 $1,223,971 $738,477 $322,840 $322,840 $453,580 $0 TRIF Revenue $3,780,774 $3,716,346 $3,958,296 $2,767,273 $2,911,225 $5,071,491 $3,000,000 $2,326,638 $2,350,016 $2,201,017 $2,197,033 $3,780,774 $5,207,006 $6,032,545 $4,371,712 $4,490,407 $6,295,462 $3,738,477 $2,649,478 $2,672,856 $2,654,597 $2,197,033 $1,758,482 $2,309,262 $2,758,700 $2,485,637 $2,453,797 $2,973,241 $2,840,014 $2,262,765 $1,944,263 $2,295,919 $2,127,033 $531,632 $823,495 $1,636,784 $644,637 $812,639 $512,253 $575,623 $386,713 $275,013 $358,678 $70,000 TOTAL REVENUE OPERATING BUDGET Personal Services Operating Debt Svcs/Proj Buildout* TOTAL EXPENDITURES $0 $0 $0 $0 $0 $2,071,491 $0 $0 $0 $0 $0 $2,290,114 $3,132,757 $4,395,484 $3,130,274 $3,266,436 $5,556,985 $3,415,637 $2,649,478 $2,219,276 $2,654,597 $2,197,033 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. * Note: FY 2009 revenue/expense reported prior to official fiscal year close. 39 PAGE 4 ACCESS & WORKFORCE DEVELOPMENT P e r f o r m a n c e a na lys i s Infrastructure: FY 2009 Objectives and Accomplishments The following objectives were met in FY 2009: Student Services – Arizona students can select from over 30 urban and 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 online. The Service Center is available by toll-free phone, email, and online chat. A survey of NAU Distance Learning Fall 2008 students reported a high student satisfaction rating. Overall, when asked to grade the job NAU Distance Learning is doing, students were very satisfied with a mean grade of 3.52 (“A”). Grades are based on an A-F scale, with “A” as the highest grade and “F” as the lowest grade 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. The Distance Learning/Extended Campuses wide area network infrastructure (NAUNet) was upgraded with new circuits utilizing MPLS (Multiprotocol Label Switching). Server hardware was upgraded to utilize virtualization for better redundancy and recovery. Firewall security was greatly improved with a newly implemented security plan. Modem pools are maintained in rural areas to serve students. Faculty Support – 244 web courses have been developed since FY 2003 with TRIF funding. Over 1,150 Web classes were taught during Academic Year 2008-2009 using a combination of TRIF and Extended Campuses funding with approximately 17% 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. Ad-word sponsorships ensured prominent placement of TRIF programs in Google search results. M a nag e m e n t Programmatic oversight is through the Extended Campuses of NAU with the vice president for extended campuses and dean of online learning directly responsible for activities. Due to the size of this initiative, close coordination with each program is facilitated by Extended Campuses. 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 40 A DV I S O RY B OA R D The A/WD Advisory Board provides guidance on program development and student support needs. In FY09 the Board addressed issues including: • Emerging opportunities for programs in homeland security and information management • Curriculum for Teacher certification program serving students in the lower Colorado River region • Collaborative efforts between University and healthcare providers to increase the number of bachelor-prepared nurses in Arizona • Removing barriers to admission and enrollment for community college transfer students • Consulting on faculty recruitment AWD Advisory Board Members Toni Badone Superintendent Yuma Union High School District Jane Bristol Director of Economic Development City of Prescott Leslie Dalton Director, Clinical Education Yuma Regional Medical Center 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 Raul Sandoval, Ed.D. Associate Dean, Enrollment Services South Mountain Community College Chuck Spotts Vice Chancellor, Instruction and Student Services Mohave Community College George Van Otten Strategic Planner, Homeland Security CACI International Jeri Williams, M.Ed. Assistant Chief City of Phoenix Police Department Contact Fred Hurst, Vice President, Extended Campuses; Dean of Online Learning , at Fred.Hurst@nau.edu, or call 928-523-6598. Or Visit the Extended Campuses website at http://extended.nau.edu/ 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 • Use of financial aid for classes taken through AZUN • Graduation with a degree or certification conferred by the student’s home institution September 1, 2009 Contents Introduction 1 Performance Analysis 2 Financial Information 3 Infrastructure 4 Management 4 Learn More 4 Fred Hurst Vice President, Extended Campuses Dean of Online Learning Northern Arizona University 41 42 - Law Enforcement Yes 30 Regional/National Global Access New/Revised Courses Alternative Course Delivery (High Capacity & ShortFormat) 49 - Programs Delivered System-Wide3 New Enrollments System-Wide3 Enrollment, course, and program counts are for electronically-delivered courses. Effective FY09, satisfaction measures reported in narrative. 4 In Progress 15,593 113 3,610 80,892 527 0 126 20 9 Yes 8 153 32 - 293 FY 08 Act Effective FY09, cross-registration counts reflect duplicated headcount by home campus; prior year counts included students at home & provider campuses. - 9,450 61 2,310 61,425 420 1 127 19 30 - 9(4) 53 53 63 315 FY 08 Proj 3 Mean = 7.2 15,416 89 2,362 64,939 379 0 127 19 13 Yes 9(3) 16 In Progress 92 209 FY 07 Act 2 - 9,000 58 2,200 58,500 400 1 127 19 30 - 9(4) 50 50 60 200 FY 07 Proj Support of Nursing programs continues through the TRIF Allied Health initiative. 91% 8,908 56 1,860 49,523 370 0 127 19 16 Yes 9(3) In Progress In Progress2 42 40 FY 06 Act 1 TBD 1,170 Courses Delivered System-Wide3 Satisfaction and Quality Measures4 (Experience Rated as Good or Very Good) 40,615 331 Course Enrollments System-Wide3 Students Cross-Registering (per year)2 Growth Indicators 0 127 K-12 Partners (schools/districts) Out-of-State Partners 17 Community College Partners Partnerships/Collaborations 9(6) Degree/Certificate Programs Curriculum Innovations - 73 11 FY 05 Act Fire Science / Emergency Services Management Nurses 1 Teachers METRICS ($ in millions) Workforce Contributions Students Served - 9,923 64 2,426 64,496 441 1 127 19 30 - 9(4) 55 55 66 331 FY 09 Proj 15,011 115 3,500 95,933 276 1 125 20 323 16 Yes 8 201 25 428 FY 09 Act PAGE 2 ARIZONA UNIVERSITIES NETWORK—AZUN P e r f o r m a n c e a na lys i s ARIZONA UNIVERSITIES NETWORK—AZUN PAGE 3 P e r f o r m a n c e a na lys i s Program Development: FY 2009 Objectives and Accomplishments Teacher Education: The Early Childhood Education and the B.S. Elementary Education programs in South Mountain, North Valley, and East Valley more than doubled in size. A total of 139 students are being served at these locations. Two hundred students in Tucson are training to become Elementary teachers. Students have graduated from Paradise Valley and Scottsdale. A full time faculty member successfully launched a cohort program in Elementary/ Special Education in partnership with Flowing Wells Unified School District. Law Enforcement: Degrees targeted toward law enforcement continue to attract students around the state. Over 200 students are pursuing degrees in the field of justice administration, seventy of which are pursuing the Bachelor of Applied Science (B.A.S) in Administration of Justice. Students in this program attend two years at a community college which greatly reduces the overall cost of a four-year degree. Fire Science: The B.A.S. Fire Science emphasis transitioned to the Emergency Services Administration emphasis this year to meet both firefighter needs and broader emergency responder requirements. Courses are developed for online delivery, and the program currently serves 25 students. 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. The program has grown from 37 to 81 students. Leadership and Public Management: The Leadership and Public Management emphases in the Master of Administration continue to be popular choices for those professionals seeking advanced training or credentials. The program requires five years of work experience and is designed for mid-career professionals seeking to strengthen and update their administration skills 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 AZUN 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 FY 2008 Actual FY 2009 Budget FY2009 Actual FY 2010 Budget FY 2011 Budget REVENUE Carry Forward $0 $0 $0 $1,615,559 $2,534,652 $3,115,813 $2,938,105 $2,313,450 $2,313,450 $1,453,353 $32,810 TRIF Revenue $0 $0 $0 $1,228,962 $2,034,906 $2,142,705 $2,108,279 $1,753,160 $1,770,777 $1,658,504 $1,655,502 $0 $0 $0 $2,844,521 $4,569,558 $5,258,518 $5,046,384 $4,066,610 $4,084,227 $3,111,857 $1,688,312 $0 $0 $0 $2,983 $344,531 $957,851 $1,195,755 $1,534,740 $1,252,125 $1,381,102 $712,025 $476,287 TOTAL REVENUE OPERATING BUDGET Personal Services Operating $0 $0 $0 $306,886 $1,109,214 $1,362,562 $1,037,179 $2,087,150 $878,749 $1,197,945 Debt Service $0 $0 $0 $0 $0 $0 $500,000 $500,000 $500,000 $500,000 $500,000 TOTAL EXPENDITURES $0 $0 $0 $309,869 $1,453,745 $2,320,413 $2,732,934 $4,121,890 $2,630,874 $3,079,047 $1,688,312 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. * Note: FY 2009 revenue/expense reported prior to official fiscal year close. 43 PAGE 4 ARIZONA UNIVERSITIES NETWORK—AZUN P e r f o r m a n c e A na 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 71 to 74 courses from FY08 to FY09, including four new course developments. Courses are representative of a range of university academic programs at both the undergraduate and graduate levels. Student Services: 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. Arizona 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 196 to 249. 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 2009 Objectives and Accomplishments AZUN Portal: The AZUN Web portal project was designed to interconnect each university’s student information system (SIS). Technical staff at the AZUN and university levels continue to meet to enhance the Portal’s capacities and to develop new functionalities. The construction of an addition to the Communications building on the Northern Arizona University campus to house AZUN and Extended Campuses functions started in July of 2008 and is on schedule for completion by September 2009. Delivery of science and math courses directly to high school students required equipping the new studio in the AZUN and distance learning building addition. Equipment is on order for delivery by the September occupancy date for the facility. In 2008-2009 AZUN funding was used for a pilot implementation of a fiber-based data network that eliminated unreliable data systems on the reservations. In response to state legislature funding reductions, NAU chose to phase out instructional videoconferencing Fall 2009 saving $1.5 million per year. Web-conferencing allows for the same basic functionality with added convenience for students and faculty. LEARN MORE Contact Fred Hurst, Vice President, Extended Campuses and Dean of Online Learning, at Fred.Hurst@nau.edu, or 928-523-6598. Or visit the AZUN website at http://www.azun.net. 44 students can select from over 30 urban and rural locations for assistance with admission, enrollment, payment, and advising. The Service Center is available by toll-free phone, email, and online chat. AZUN student satisfaction: Representatives at ASU, NAU, and UA collaborated to develop and implement a revised student satisfaction survey for FY09. The survey, intended to improve the quality of information obtained from respondents, was distributed electronically to cross-registered students in the Spring 2009 term. Of the respondents, 94% indicated that they would recommend AZUN to a friend. Comments about the value of AZUN were mostly favorable, stressing convenience, broader course options, and ability to access faculty expertise at other campuses. While 40% of the respondents felt that the registration process was easy to navigate, 35% described it as difficult. Continued information gathering and student outreach will facilitate improvements to the student service processes. 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: Server hardware was upgraded to utilize virtualization for better redundancy and recovery. Firewall security was greatly improved with a newly implemented security plan. Three software enhancements that improved the student experience on the AZUN portal site were implemented. Marketing: In the fall of 2008, AZUN launched a campaign to inform NAU, UA, and ASU students of cross-registration opportunities which included multi-channel advertising on the three state university campuses: TV, print, outdoor, radio, and distribution of collateral promoting cross-registration opportunities on all three campuses. In the spring of 2009, AZUN began a direct marketing effort to Arizona High School guidance counselors. M a nag e m e n t Programmatic oversight is provided by the Extended Campuses of Northern Arizona University with the vice president for extended campuses and dean of online 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. TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) g n i n r a e-Le September 1, 2009 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 information technology infused 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 courses, while we continue to study, assess, and where appropriate, promoted across the curriculum. The e-Learning Center's programs actively involve faculty and students in the use of technology. For over a year now all courses at NAU have an online component available in our Learning Management System, Blackboard Vista. The course shells are used to deliver online courses and to allow hybrid delivery and to enhance face to face courses. 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 mini-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 Number of scholarly publications/conference presenta- Number of private sector partnerships Partnerships Number of graduates with advanced technical literacy Number of graduates with technical literacy skills 0 1,500 0 889 84% 0 1,633 89.2% 2 1,919 87% 2 2,238 87% 5% 3 1 1,000 2,000 91% 0 5.3% decrease Percentage of students satisfied with Web learning 16% 5% 9% Increase in student success in enhanced & redesigned Increase in student success in Web courses 5% 12,500 2,000 14,116 Number student enrollments in enhanced courses 12,381 1,000 10,133 Number of student enrollments in hybrid courses 9,476 241 7,110 126 Number of student enrollments in online courses 155 200 117 150 7 Number of faculty participating in Web development 53 100 15 42 22/471 Number of courses redesigned 32 141 FY 07 Projected 20 0 121 FY 06 Actual Number of new IT enhanced courses developed 101/140 FY 05 Actual 15 125 FY 04 Actual Number of new Hybrid courses developed Number of new Web courses developed and offered FY 03 Actual FY 02 Actual FY 07 8 2 282 1995 86% First Year Baseline 5% 2769 36 20,526 325 5 80 2 78 Actual FY 08 5 1 1,200 2,050 92% 5% 5% 3,000 1,300 12,750 225 20 25 25 95 Projected FY 08 15 2 625 2,100 96% 0% [g] 0% >10,000 [e] 1350 31,568 210 12 >1000 [b] 9 [a] 67 Actual FY 09 7 1 1,500 2,100 93% 5% 5% 4,000 1,600 13,000 250 25 30 35 90 Projected 9 1 1,425 2,608 90% 0% [g] 6% [f] >13,500 [e] 1,537 [a] 35,637 [d] 397 [c] 22 > 1,000 15 [b] 11 [a] 63 Actual FY 09 FY 10 10 1 1,600 2,150 94% 5% 5% 5,000 2,000 13,500 300 30 35 45 85 Projected [a] These measures depend on course delivery mode descriptors in the class schedule. The new policy with “hybrid” mode will be in place for Fall 2009. [b] 60% of all courses at NAU are “IT enhanced”, see [e]. 15 courses were highly supported, there are over 1,000 other courses using varying levels of support from e-Learning. [c] Of the 397 faculty coming to e-Learning for training in FY09, the most popular topics were Bb Vista (171), Podcasting (82), and webpage development (74). [d] 23,935 enrollments were Statewide Students and of those, 13,764 were enrollments seeking online degrees. [e] Since Fall of 2006 all courses are provided a Blackboard Vista shell. More than 60% of the faculty use the online course shells. Thus an estimate that more than 60% of the 22,500 students, or 13,500 use such a resource is reasonable. [f] The DFW rate decreased from 15.2% to 14.3%, a 6% improvement. (the 0.9 decrease is 6% of 15.2) [g] The DFW rate remained constant but overall the gradepoint average did increase 46 Work force Contributions METRICS FY 11 10 1 1,700 2,200 95% 5% 5% 6,000 2,500 14,000 350 35 40 55 80 Projected 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 NAU’s e‑Learning Initiative has a clear focus on development of faculty and student information technology fluency resulting from infusion of technology across curriculum. Through e-Learning activities, NAU prepares graduates for the 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. ⇒ Recent focus is the enhancement and redesign of large enrollment introductory traditionally delivered courses including : Anthropology, Art, Biology, Chemistry, Communication, Forestry, Geology, Mathematics, Physics, Psychology, Sociology, and Spanish. ⇒ Redesigns initiated or supported by e-Learning include 1) classroom personal response systems (clickers), 2) collaboration activities using wikis, blogs and discussion boards, and 3) alternative content delivery using podcasts and media to capture lectures or to deliver mini-lectures. ♦ Advances in student centered e‑Learning occur through research and development (R&D) activities. New technologies, improved teaching practices, and quality standards centered on learning in a technology rich environment, are core to the e‑Learning Initiative. ♦ 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 including those offered through the Arizona Universities Network (AZUN). ⇒ DFW (Drop, Failure, Withdrawal) rates are one measure of course effectiveness. In 2009, the DFW rate in web courses was 14.3%. ⇒ A 13% 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 170 faculty new to using web technology to enhance their traditional courses. ♦ Impact of the e‑Learning Initiative is measured by the number of students with basic and advanced information technology fluency. Multiple indicators are used including direct observation, questionnaires, test score data, and interviews or focus groups. ♦ Other programs developed and supported by the eLearning Center include: ⇒ Ongoing development support for faculty by a team of instructional, media, and technology designers, ⇒ 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 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 Actual FY 2009 Budget FY 2009 Actual FY 2010 Rev FY 2011 Rev Budget Budget REVENUE Carry Forward $0 $674,138 $637,033 $658,826 $1,197,355 $456,204 $312,232 $95,436 $95,436 $15,423 $0 New TRIF Revenue $1,354,355 $1,161,953 $1,704,522 $2,160,000 $2,272,361 $1,897,534 $1,722,466 $1,403,738 $1,417,843 $1,327,947 $1,325,544 TOTAL REVENUE $1,354,355 $1,836,091 $2,341,555 $2,818,826 $3,469,716 $2,353,738 $2,034,698 $1,499,174 $1,513,279 $1,343,370 $1,325,544 Personal Services $567,521 $1,103,269 $1,310,577 $1,525,599 $1,697,066 $1,729,924 $1,538,100 $1,144,023 $1,369,059 $1,228,132 $1,190,000 Operating $112,696 $95,789 $199,959 $298,244 $1,316,446 $311,582 $401,162 $355,151 $128,797 $115,238 $135,544 TOTAL EXPENDITURES $680,217 $1,199,058 $1,510,536 $1,823,843 $3,013,512 $2,041,506 $1,939,262 $1,499,174 $1,497,856 $1,343,370 $1,325,544 OPERATING BUDGET Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. 47 e-Learning PAGE 4 M a nag e m e n t G oa l s The "e" in e-Learning means more than electronic or online courses. The "e" represents 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 Academic Affairs 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 Academic Affairs. 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 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 RESEACH INITIATIVE FUND (TRIF) opment, l e v e D , h c al Resear t n e nomy m o n c E o ir w e N En v e ion for th t a c u d E d an (ERDENE) September 1, 2009 ERDENE In a time of economic challenge, the intertwining of economic, environmental and community concerns becomes increasingly critical. Environmental Research, Development and Education for the New Economy (ERDENE) encourages creative thinking and inspired partnerships to bring together university researchers with business and community members, sparking a unique integration of environmental technologies, financial performance, and leadership development. ERDENE meets today's challenges with solutions at once bold and practical. At Northern Arizona University, ERDENE emphasizes five major areas of the university's environmental research strengths: ecological restoration, renewable energy technologies, water resources, 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 nonprofit entities. Paul Heinrich conducts weather station maintenance on the Babbitt Ranches, Flagstaff, AZ Northern Arizona With a focus on economic development and sustainable systems, ERDENE promotes environmental, economic and community health to benefit all Arizona citizens. Contents Introduction 1 Performance Analysis 2 Financial Information 3 Goals 4 Management 4 Advisory Boards 4 Learn More 4 Shelley Silbert Director of ERDENE and Strategic Environmental Initiatives 49 Environmental Research, Development, and Education for the New Economy PAGE 2 P e r f o r m a n c e a na lys i s METRICS ($ in millions) FY 02 Act FY 03 Act FY 04 Act FY 05 Act FY 06 Act FY 07 Proj FY 07 Act FY 08 Proj FY08 Act FY 09 Proj FY09 Act FY 10 Proj FY 11 Proj Return on Investment Federal and State Funds $5.50 $4.30 $4.40 $12.90 $3.30 $5.00 $8.30 $3.90 $7.59 $4.20 $9.40 $4.50 $4.80 External Funding, Other $1.00 $0.70 $1.00 $1.00 $0.50 $0.70 $0.47 $1.40 $3.30 $1.10 $2.80 $1.20 $1.30 160 114 170 180 121 180 138 305 119 150 221 150 3127 (includes web-site access) Products Generated and in the Marketplace 0 0 49 6 12 3 5 3 4 6 0 8 10 Business Spinoffs 1 0 1 1 1 0 4 0 2 1 0 2 3 Patent Applications Generated 1 0 0 0 0 0 1 1 4 2 2 3 4 14 19 21 28 26 3 21 5 42 10 2 15 20 2 1 5 16 5 0 4 1 8 2 0 3 4 Graduate/Postdoc Students in Pipeline or Graduated 56 87 102 35 38 65 32 62 104 65 56 68 70 High End Baccalaureates in Specific Disciplines 38 27 47 23 15 8 3 6 21 6 22 6 6 Baccalaureates Produced in Related Disciplines n/a n/a n/a n/a n/a 50 15 42 N/A 45 10 48 50 5 5 Qualitative Returns Including Presentations & Publications Technology Transfer Conferences Sponsored Business Expansions Work Force Contributions Certificates Granted 0 0 3 73 0 5 0 5 0 5 Undergrad Students in Pipeline 26 126 63 40 45 50 78 55 325 60 83 65 70 Continuing Ed Professionals 85 312 1361 142 265 250 42 130 142 140 29 150 160 3 1 1 0 2 0 2 1 2 1 1 1 10 14 16 22 6 2 6 3 7 4 4 4 4 2 9 29 31 12 2 5 2 3 3 2 3 3 0 0 0 0 9 0 4 2 0 2 2 2 Community College 2+2 Programs 2 9 7 8 8 2 6 4 5 6 2 8 10 Tri-University (ASU, NAU, UofA) 4 6 7 10 9 5 2 8 8 12 12 15 18 17 73 58 79 48 35 55 38 81 40 6 42 45 34 58 51 60 76 35 78 38 45 40 8 42 45 20 41 54 72 69 35 75 38 75 40 12 42 45 Specific Curriculum Innovations New Programs such as Certificates (full time students) Revised Courses New Courses (full time students) New Programs – Participating Professionals Partnerships Industry/Private Sector Collaborations Community-based (including tribes) Regional, Nat’l, International Research and Linkages 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 Highlights of ERDENE accomplishments by NAU investigators in FY09 include: Proof of concept for a rugged, lightweight mass spectrometer capable of instant field analysis. A potential economic use under discussion is identification of stressed pine trees susceptible to bark beetle infestations. Assessment of the potential for renewable energy development, particularly wind, across the state. A feasibility analysis of the native plant and seed market, already distributed to 85 business and agency representatives from 45 different organizations. A collaboration between NAU and ASU to investigate the impact of exposure to complex chemical mixes on behavior, through the study of endocrine disruption in amphibians and birds. Undergraduate students funded through the National Science Foundation examine bark beetle damage on piñon pine. 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 Actual FY 2009 Budget FY 2009 Actual FY 2010 Rev Budget FY 2011 Rev Budget REVENUE Carry Forward $0 $175,540 $224,067 $296,812 $476,956 $667,386 $572,386 $611,482 $611,482 $709,599 $0 New TRIF Revenue $1,450,500 $1,551,412 $1,681,405 $1,977,600 $2,080,472 $1,872,092 $1,829,165 $1,638,036 $1,654,496 $1,549,595 $1,546,791 TOTAL REVENUE $1,450,500 $1,726,952 $1,905,472 $2,274,412 $2,557,428 $2,539,478 $2,401,551 $2,249,518 $2,265,978 $2,259,194 $1,546,791 $1,062,225 $1,260,419 $1,426,244 $1,639,348 $1,425,694 $1,902,726 $1,437,357 $1,853,292 $1,203,103 $2,098,999 $1,437,791 $212,735 $242,466 $224,416 $301,376 $464,348 $64,366 $352,712 $396,226 $353,276 $160,195 $109,000 $1,274,960 $1,502,885 $1,650,660 $1,940,724 $1,890,042 $1,967,092 $1,790,069 $2,249,518 $1,556,379 $2,259,194 $1,546,791 OPERATING BUDGET Personal Services Operating TOTAL EXPENDITURES ROI * 5.1 : 1 3.4 : 1 3.0 : 1 7.2 : 1 2.0 : 1 3.0 : 1 7.4:1 3.2 : 1 4.2:1 3.3 : 1 3.4 : 1 * New ROI methodology was 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. A dv i s o ry B oa r d Preparing to model the carbon content of wood products from forest thinning The Research and Development Advisory Board was formed to oversee Growing Biotechnology (GBI) and Environmental Research, Development, and Education for the New Economy (ERDENE) Initiatives. This board consists of NAU deans, faculty, and professionals with expertise in environmental and/or biotechnology areas. M a nag e m e n t Shelley Silbert, Director of Strategic Environmental Initiatives and ERDENE, reports to Dr. Laura Huenneke, Vice President for Research, for TRIF related activities. Michael Bittner Translational Genomics Research Institute Russ Yelton Northern Arizona Center for Emerging Technologies NAU VP Barry Gold Gordon and Betty Moore Foundation for Research David LaRoche U.S. Environmental Protection Agency Paul Jagodzinski Dean, NAU College of Engineering, Forestry and Natural Sciences Mary O’Connell New Mexico State University Plant and Environmental Science Department Advisory Board NAU GBI NAU ERDENE Director Director Thomas Whitham NAU Department of Biological Sciences Marshall Whitmire Coconino County Sustainable Economic Development Initiative LEARN MORE ♦ ♦ ♦ ♦ 52 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 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, 2009 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. Strengths include infectious diseases, medical instrumentation, forensic genetics, cancer, musculoskeletal and cardiopulmonary rehabilitation, endocrine systems, biomaterials, and respiratory failure. GBI is also expanding specific funding opportunities for product development based on previously funded research. Contents Introduction 1 Performance Analysis 2-3 Financial Information 3 Goals 4 Management 4 Advisory Boards 4 Learn More 4 Research areas supported by GBI and SABRE focus primarily on strategic initiatives identified in the 2007 Arizona Bioscience Roadmap, and specifically areas identified in the 2008 Northern Arizona Bioscience Roadmap. GBI’s vision is to position Arizona as a global leader in the fastgrowing 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. Dr. Tim Porter, Director Growing Biotechnology (GBI) 53 PAGE GROWING BIOTECHNOLOGY INITIATIVE (GBI) 2 P e r f o r m a n c e a na lys i s METRICS ($ in millions) FY 02 Act FY 03 Act FY 04 Act FY 05 Act FY 06 Act FY 07 Proj FY 07 Act FY 08 Proj FY08 Act FY 09 Proj FY09 Act FY 10 Proj FY 11 Proj $1.40 $6.30 $5.60 $1.30 $4.20 $2.50 $4.10 $2.80 $3.10 $3.10 $3.40 $3.40 $3.70 External Funding Other n/a n/a n/a n/a $0.90 $0.30 $0.05 $0.50 $0.00 $0.50 $0.30 $1.00 $1.00 Number of Scholarly Publications 12 0 59 38 47 20 65 30 10 30 12 40 40 Patent Applications Generated 1 2 2 1 3 2 1 2 1 2 2 2 Products Generated and in the Marketplace 0 5 0 2 1 1 0 2 0 1 2 2 Business Expansions 0 0 0 2 1 1 1 1 0 1 1 1 Technology Transfer: startup companies created 0 2 1 0 1 0 1 1 0 0 0 1 Industry Partnerships 0 2 2 2 8 1 4 1 5 2 1 2 0 0 0 2 2 0 0 0 0 1 1 2 Graduate/Postdoc Students in Pipeline 60 62 60 25 29 10 26 20 24 20 5 25 30 Undergraduate Students with Research Experience 80 79 43 53 90 70 41 80 10 100 25 110 125 M.S./Ph.D. Graduate Increases 1 12 5 8 10 3 0 3 0 3 3 3 6 29 3 17 28 2 13 2 10 5 5 7 Return on Investment External Funding Federal, State & Local Technology Transfer 2 Economic Development Incubation/Formation of Biotech Concerns in Flagstaff/Northern Arizona Work Force Contributions Specific Collaborations New Research Collaborations 54 10 GROWING BIOTECHNOLOGY INITIATIVE (GBI) PAGE 3 R E C E N T AC C O M P L I S H M E N T S • Recent research in the Nishikawa lab has focused on the muscle protein titin, and mechanical models of how this important muscle component functions within humans and animals. Understanding and modeling the interactions of the various muscle proteins may lead to advanced, human-engineered actuators that perform mechanical work using the same principles found within our muscles, leading to new artificial muscle devices. Work by Nishikawa and others has recently led to provisional patent applications in this area. • GBI has funded the recent purchase of a ICPMS mass spectrometer to be operated in the Ketterer analytical laboratory. This instrument allows for high resolution analysis of dangerous trace metals in the environment, with part-per-trillion sensitivity. It is also used for high-resolution quantification of various proteins and biomolecules. Both undergraduate and graduate students will receive hands-on training on the • Infectious biofilms may play a role in numerous human diseases. The Leid lab at NAU has been studying infectious biofilms related to tuberculosis and to infections that accompany cystic fibrosis. Also, recent Simple mechanical model of muscle collaborative work has led protein titin (provisional patent appli- to the development of cation). lateral-flow testing devices (similar to OTC pregnancy tests) that detect the presence of dangerous biofilms. This work has led to 4 pending patents on the technology. ICPMS mass spectrometer for trace analysis and student training in mass spectrometry. • Work in the Gage laboratory focused on specific molecular targets for antibiotic drug development has resulted in a new intellectual property disclosure and provisional patent application. 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 Actual FY 2009 Budget FY 2009 Actual FY 2010 Rev Budget FY 2011 Rev Budget REVENUE Carry Forward $0 $363,216 $510,270 $200,490 $353,276 $341,247 $342,851 $216,763 $216,763 $66,097 $0 New TRIF Revenue $967,002 $1,123,132 $817,501 $768,000 $807,951 $918,732 $533,507 $300,551 $303,571 $284,324 $283,809 TOTAL REVENUE $967,002 $1,486,348 $1,327,771 $968,490 $1,161,227 $1,259,979 $876,358 $517,314 $520,334 $350,421 $283,809 Personal Services $216,402 $377,561 $706,203 $696,382 $345,031 $516,128 $208,418 $168,258 $174,182 $223,597 $170,000 Operating $387,384 $598,517 $603,157 $67,366 $474,949 $400,999 $451,177 $349,056 $280,055 $126,824 $113,809 TOTAL EXPENDITURES $603,786 $976,078 $1,309,360 $763,748 $819,980 $917,127 $659,595 $517,314 $454,237 $350,421 $283,809 ROI * 5.1 : 1 3.4 : 1 7.2 : 1 2.0 : 1 3.0 : 1 12.3:1 3.2 : 1 4.2:1 3.3 : 1 3.4 : 1 OPERATING BUDGET 3.0 : 1 * New ROI methodology was 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 Center for Emerging Technologies in recruiting and developing new biotechnology business in Northern Arizona. ♦ ♦ Create and refine courses in biotechnology and related fields, and update instrumentation 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. New lateral flow detection for infectious biofilms (4 patents pending). 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 The Research and Development Advisory Board was formed to oversee Growing Biotechnology (GBI) and Environmental Research, Development, and Education for the New Economy (ERDENE) Initiatives. This board consists of NAU deans, faculty, and professionals with expertise in environmental and/or biotechnology areas. Michael Bittner Translational Genomics Research Institute Russ Yelton Northern Arizona Center for Emerging Technologies NAU Vice President for Research Barry Gold Gordon and Betty Moore Foundation David LaRoche U.S. Environmental Protection Agency Paul Jagodzinski NAU College of Engineering, Forestry and Natural Sciences Mary O’Connell New Mexico State University Plant and Environmental Science Department Advisory Board NAU GBI Director NAU ERDENE Director Thomas Whitham NAU Department of Biological Sciences Marshall Whitmire Coconino County Sustainable Economic Development Initiative 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 ION S N A P X E M PROGRA September 1, 2009 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 in 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. Contents Introduction 1 Strategies and Goals 2—3 Performance Analysis 3 Financial Information 4 Learn More 4 This is the third year of implementation of health care expansion initiatives. . The national economic situation in general, and the reduction in TRIF funding in particular has forced us to carefully consider the viability of each programs. As a consequence, we will be reducing support of some programs and concentrating our diminished resources in those areas providing the most benefit for the investment. The goal of this TRIF Strategic Initiative has been to expand access to and availability of existing health care programs in Arizona through a threepronged approach: 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, School of Nursing 3. Increase the availability of degree completion programs for students receiving technical health care degrees from community colleges. 57 PAGE 2 HEALTHCARE S t r at e g i e s a n d g oa l s Here we review progress and lessons learned over the past three years: STRATEGY 1: Enhance existing programs at Flagstaff where it results in increases in the number of health care professionals. 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. The program continues to admit this larger cohort. 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. The number of students eligible to enroll in these programs has increased by 33% (to over 200) in the past year, and we are starting to see program graduates. 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 configured courses specifically to allow a 7-person cohort of students in NAU-Yuma to complete the prerequisites needed to enroll in the master’s degree. All of these students have now enrolled in the program. The university has invested in additional faculty for the Master’s program. All of these changes have led to the recent re-accreditation of the program. 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 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. Goal #1: Relocate the existing Post-Professional Doctor of Physical Therapy Program to Phoenix. The Post-Professional Doctor of Physical Therapy Program , located in NAU’s North Phoenix facility, is a 36 credit hour program that enable licensed professionals to attain doctoral status. This program has shown limited growth, and will be given a few more years to achieve stability. One side benefit of having the program in Phoenix is in the growth in the availability of Valley-based internships for Flagstaff students, sparked by having a faculty member on the ground. Goal #2: Expand the existing Dental Hygiene completion program to include either a hybrid or face-to-face cohort program in Phoenix. The “on-the-ground” BSDH completion program has attracted over twenty students, but is not producing the kind of returns that warrant program continuation. The program will be discontinued after the current cohort has completed, but the on-line completion program remains available. 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 Goal #3: Expand the existing nursing cohort in Tucson and establish a new cohort-based program in partnership with the Yuma Regional Medical Center. Investment in the nursing program in Tucson has paid big dividends — the program is filled to capacity, and admits 40 students per year. The program has been relocated to NAU’s North Tucson facility which consolidates all faculty, classroom and clinical facilities in a single place. TRIF TSI funds have enabled significant renovation of the facilities at the site, and acquisition of simulation equipment which provides an optimal learning experience for Tucson nursing students. Legislative Allied Health funding provides additional support for this program. In addition, Northern Arizona University’s School of Nursing strategically partnered with Yuma Regional Medical Center to create a four-year nursing bachelor’s program centered at YRMC. Core faculty are being recruited, and the program admits 20 students per year. The first group of students from this program will graduate in May, 2010. These programs complement the university’s successful nursing satellite programs on the Navajo reservation. Enrollment in the BSN program at statewide locations has nearly quintupled (to approximately 200) since Fall, 2006. By achieving these goals, Resources from the Health care program initiative carryforward balance are also • being used to sustain TRIF Access Workforce Development programs in • nursing which would otherwise have been curtailed due to revenue shortfalls. • Northern Arizona University will: allow more students to participate in an affordable, publicuniversity based program, enhance the education they will receive, and expand the number of health care professionals in the Arizona workforce Athletic Training and Education Program Performance Analysis METRICS Program 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 09 Act FY 10 Proj FY 11 Proj 104 205 168 420 228 238 71 123 64 166 186 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 FINANCIAL INFORMATION FY 2005 Actual FY 2006 Actual FY 2007 Actual FY 2008 Actual FY 2009 Rev Budget FY 2009 Actual FY 2010 Rev Budget FY 2011 Rev Budget REVENUE Carry Forward $0 $0 $1,149,999 $2,128,040 $2,099,386 $2,099,386 $1,278,118 $0 New TRIF Revenue $0 $1,149,999 $1,010,206 $936,398 $818,043 $826,263 $773,875 $772,474 TOTAL REVENUE $0 $1,149,999 $2,160,205 $3,064,438 $2,917,429 $2,925,649 $2,051,993 $772,474 Personal Services $0 $0 $0 $659,318 $1,994,664 $1,305,631 $855,600 $336,005 Operating $0 $0 $32,165 $305,734 $922,765 $341,900 $1,196,393 $436,469 TOTAL EXPENDITURES $0 $0 $32,165 $965,052 $2,917,429 $1,647,531 $2,051,993 $772,474 OPERATING BUDGET Communication Sciences and Disorders With an Executive Dean in place since January, 2008 and a new Dean of Nursing in place, the 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. A new biomedical sciences program in the Department of Biological Sciences, complementing these efforts, attracted over 100 students in AY2009.. LEARN MORE For on-campus programs, contact Leslie Schulz, Executive Dean, College of Health & Human Services at 928.523.4331. For off-campus programs, contact Fred Hurst, Vice President for Distance Learning Initiatives at 928.523.4212. 60 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) D I W E T STA N O I S N E EXPA September 1, 2009 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. The North Valley continues to be an anchor facility allowing Northern Arizona University to: • Supply classroom space that is adult-oriented and equipped with the latest technology • Provide access to technology to complete web courses • Northern Arizona University—North Valley 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: Offer classes in evening and weekend formats to accommodate full time 1. Increase Student working students Participation in University Education • House full time faculty to provide leadership and quality assurance for 2. Enhance the Quality programs and enhance face to face of Student Education interaction with students 3. Increase Affordable Education for Students The TRIF monies have funded lease payments and operational expenses including high speed data connections for voice, video, and data, as well as The allocated and requested TRIF funding was used to establish a lasting NAU presence in Maricopa County. other information technology equipment. This infrastructure supports a number of highly successful programs to help meeting Arizona’s workforce needs for health professionals, teacher education, and managers in business and non-profit organizations. 4. Provide an Educated, Competitive Workforce 5. Optimize University Resource Acquisition and Work Environment 61 South Mountain Scottsdale Phoenix Paradise Valley North Valley Mesa Glendale GateWay Estrella Mountain East Valley Chandler Gilbert 62 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 X X X X X X X 5485 X X X X 11219 X X X X X X X X X X X X X X X X X X X X 2613 X X X X X X X Tucson 396 1 North1 295 10 Tucson 947 12 West Valley 130 1100 6 81 137 703 275 57 287 52 Unduplicated Campus Headcount 1 13 2 11 2 3 2 Faculty Amenities Conference Room Space X Computer Lab X X Dedicated Classroom Space X X X X X Student Lounge X X Café X Practicum Lab X VC classroom X X X X X Wireless internet throughout facility X X Full-time Financial Aed Counselor X Full time advisor X X X X X Full time program coordinator X X X X X X X X X X X Nursing bed lab Sim Man lab Facility Size (sf) 100 9827 130 96 225 89 39950 600 90 3249 3000 Degrees Undergraduate B.A./B.S. Interdisciplinary Studies - Administration of Justice X B.A./B.S. Interdisciplinary Studies - Criminal Justice B.A./B.S. Interdisciplinary Studies - Public Management (90/30) X X X X X B.A.S. Administration of Justice X B.A.S. Emergency Services Administration X X B.A.S. Justice Systems Policy and Planning B.B.A. Business Administration X B.S. Ed. Career and Technical Education - Occupational Education X B.S. Ed. Elementary Education X X X X X X X B.S. Ed. Special and Elementary Education B.S. Hotel & Restaurant Management X B.S. Interior Design X B.S. Parks and Recreation Management X B.S. Speech Communication X B.S.N. Nursing Graduate Bilingual Education Endorsement X Ed.D. Educational Leadership X English as a Second Language Endorsement X X M. Administration - Leadership X X X M.A. Counseling X M.A. English - General English Emphasis X X M.Ed. Bilingual/Multicultural Education X X M.Ed. Counseling/School Counseling X M.Ed. Early Childhood Education X X M.Ed. Educational Leadership X X X M.Ed. Elementary Education with Certification Emphasis X X M.Ed. Elementary Education-Continuing Professional Emphasis X X X M.Ed. Human Relations X X X M.Ed. in Secondary Education-Continuing Professional Emphasis X X X M.Ed. Secondary Education with Certification Emphasis X M.Ed. Special Education: Cross-Categorical (noncertified) X Non Degree - Personal Enrichment (Graduate) X X X X X X X X X X Post-Professional Doctor of Physical Therapy X Principal Certificate X X X Reading Endorsement X X X Superintendent Certificate X X 1 One faculty member shared with Pima CC Northwest campus; Nursing facilities moved from Tucson Medical Center facility in November 2008 when renovation completed at the North Tucson location 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 NAU’S STATWIDE EXPANSION PAGE 3 Na r r at i v e • In the third year of an agreement signed between the Maricopa Community Colleges and Northern Arizona University, the partnership, named the NAU-Maricopa Connection, has flourished. NAU and Maricopa have jointly established a Connection website (www.maricopa.edu/connection). Through the site, students can easily identify programs, locations, advisors and scholarship information in one central location. NAU has established offices on each of the Maricopa campuses. The partnership has opened the door to a stronger NAU presence throughout the county, which means that Maricopa students have greater access to a variety of quality, comprehensive, affordable academic programs. The partnership provides 22 on-site bachelor’s completion programs on Maricopa campuses, along with a wide variety of baccalaureate and certificate programs available online. • During the past year NAU gained greater visibility on the Scottsdale Community College campus by locating in a newly remodeled facility with dedicated classroom space for NAU programs. The enhanced facility provides space for full time faculty members in Hotel & Restaurant Management, Interior Design, and Early Childhood Education programs. These programs have all grown substantially this year. NAU also increased space on the Chandler-Gilbert Community College campus, providing facilities for a full time faculty member and additional staff to provide student support for growing programs on the campus. • Growth in the Bachelor of Business Administration (BBA) program was significant. Faculty at the NAU Yuma Branch Campus recognized the need of the state ,and particularly rural areas, for business education. They have moved toward delivering the entire program in an online format, which will be available to students across the state in academic year 2009-2010. Advisors and coordinators supported by expansion funds assist with recruiting and advising for the program, which is currently serving 175 students. F i na n c i a l i n f o r m at i o n FY 2005 Actual FY 2006 Actual FY 2007 Actual FY 2008 Actual FY 2009 Rev Budget FY 2009 Actual FY 2010 Rev Budget FY 2011 Rev Budget REVENUE Carry Forward $0 $0 $1,149,999 $1,769,193 $604,121 $604,121 $481,904 $0 New TRIF Revenue $0 $1,149,999 $1,010,206 $1,054,796 $818,043 $826,263 $773,875 $772,474 TOTAL REVENUE $0 $1,149,999 $2,160,205 $2,823,989 $1,422,164 $1,430,384 $1,255,779 $772,474 Personal Services $0 $0 $0 $255,265 $338,883 $0 $428,000 $230,000 Operating $0 $0 $391,012 $1,964,603 $1,083,281 $948,480 $827,779 $542,474 TOTAL EXPENDITURES $0 $0 $391,012 $2,219,868 $1,422,164 $948,480 $1,255,779 $772,474 OPERATING BUDGET Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a six-tenths-cent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. * Note: FY 2009 revenue/expense reported prior to official fiscal year close. 63 PAGE 4 NAU’S STATEWIDE EXPANSION 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 advancement. Through the enhanced facilities, both freestanding and on community college campuses, NAU has demonstrated its commitment to expand access to quality programs led by full time faculty and supported by cutting edge technology. In March 2009, Northern Arizona University announced a plan to phase out the existing network of video conference classrooms and supporting infrastructure. Delivery of programs will be transitioned to web based technologies beginning Fall 2009. The new technology is one that leaders in higher education are using to conduct business and deliver courses. NAU is committed to remaining competitive and at the cutting-edge of education via reliable, user-friendly technology that is student centered. 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 associates 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 11 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 to increase the number of highly skilled medical technicians in Arizona. Seventy-three percent of students in NAU’s Extended Campuses work more than 32 hours per week. Flexible delivery methods allow these students to complete university classes regardless of their work schedule. Twelve new on-line offerings were made available during the past year, providing even more opportunities for students to earn LEARN MORE Contact Fred Hurst, Vice President, Extended Campuses; Dean of Online Learning , at Fred.Hurst@nau.edu, or call 928-523-6598. Or Visit the Extended Campuses website at http://extended.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, 2009 ABOR TRIF Strategic Initiatives Award: $2,000,000 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 Educational Needs Report Mission: To meet the educational needs of the published by the Lumina lower Colorado River region by fostering Foundation, Yuma scholarly, intellectual, and cultural activities in County has the 26th collaboration with the local community colhighest education need leges and business and governmental entities. 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, Yuma Branch Campus 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 The Yuma Branch Campus is currently the only option for college-bound students of all ages to pursue locallydelivered baccalaureate degrees.. For the last 21 years NAU has been committed to meet the needs of the Yuma region by providing high-quality programs and student services by leveraging the partnership with AWC. Other options available to local residents are NAU online programs as well as online and hybrid programs of other public and private institutions. Demographics 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. It is pre-dominantly a Hispanic community with the population of Hispanic origin comprising 66 percent—a proportion that is expected to grow to 69 percent by 2012. Approximately 26 percent of the population in Yuma County is either non-US citizen or naturalized, compared with 15 percent in Arizona. With six percent, Yuma’s proportion of adult population enrollment in college or graduate school is significantly below the national norm of nine and Arizona’s 8.8 percent. Only 11 percent 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 the Yuma Branch Campus 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. F I N A N C I A L I N F O R M AT I O N FY 2005 Actual FY 2006 Actual FY 2007 Actual FY 2008 Actual FY 2009 Rev Budget FY 2009 Actual FY 2010 Rev Budget FY 2011 Rev Budget REVENUE Carry Forward $0 $0 $0 $1,264,210 $1,500,000 $1,500,000 $954,090 $0 New TRIF Revenue $0 $0 $0 $735,790 $0 $0 $0 $0 TOTAL REVENUE $0 $0 $0 $2,000,000 $1,500,000 $1,500,000 $954,090 $0 Personal Services $0 $0 $0 $0 $1,053,000 $538,114 $896,190 $0 Operating $0 $0 $0 $0 $447,000 $7,797 $57,900 $0 Debt Svc $0 $0 $0 $500,000 $0 $0 $0 $0 TOTAL EXPENDITURES $0 $0 $0 $500,000 $1,500,000 $545,910 $954,090 $0 OPERATING BUDGET Funding of the Arizona Board of Regents’ Technology and Research Initiative Fund (TRIF) is provided by a 0.6 percent increase in the Arizona sales tax rate approved by the voters through Proposition 301 on the November 2000 general election ballot. 66 NAU-Yuma Expansion PAGE 3 S t r at e g i c i n i t i at i v e s The Dr. James R. Carruthers Research and Education Building, Originally called the “Applied Research Center is designed to foster regional economic development and provide students and faculty the opportunity for enhanced teaching and learning. As a shared facility with AWC it further promotes collaboration in physical sciences, specifically in biology and chemistry. Facility construction has been completed and the building is being equipped. The first positive result of this effort has been the awarding of a National Science Foundation S.T.E.M. Grant to the Yuma Branch Campus. The total award is $600,000 for five years and it supports tuition for science students, along with support of specialized advising and tutoring. The grantees worked closely with the local community to insure that the program supports the needs of the Yuma Region. Academic Programs Expansion • Business • Public Administration 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. A program coordinator/faculty coordinator has been hired for this program. One faculty search is nearing completion, while another is getting underway. A technology management program has been added to the BBA portfolio along with a BAS/BAS in Administration. Both of the programs will begin in Fall, 2009. This is one of the fastest growing degree plans offered by the Yuma Branch Campus. Both the administrative and curricular structures are housed on the Branch campus, which delivers the program not only to the Yuma area, but also throughout Arizona as both an online and face-to-face program. 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. The administrative and curricular structure of the Public Administration (Public Agency Management) has been moved to the Yuma Branch Campus. A search is underway for a faculty coordinator . With the move of the program to Yuma, enrollment has increased and there is a very strong interest in the program among both Border Patrol and local public sector agencies. Two new 90/30 emphases areas (Administration of Justice and Emergency Services Administration) are under development. This is another of the fast growing programs that have been added to the campus. Along with the BBA, this program now adds significantly to the educational opportunities for students interested in administration, supervision and management in both the public and private sectors. • Other Programs Yuma Branch Campus’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. A number of programs, including computer technology management, engineering and a BSN in Nursing have been under consideration. The development of computer technology management program was first viewed as a stand-alone program. Review of other similar programs suggested that placing it under the administration of the BBA would cut down on the administrative costs, while providing a synergy between the two programs. A BSN program has been established in conjunction with the Yuma Regional Medical Center. More detail on this program can be found under “Healthcare Program Expansion”. Work on an Engineering program has been postponed. While there remains moderate community interest in the development of such a program, there is little interest among students in the program at this time. Recent evaluation of the potential pipeline of students found that fewer than 10 students were interested in Engineering and almost no students actually prepared to enter an Engineering program in Yuma. This issue will be revisited after the new Mathematics facility is completed on the AWC campus. This will help reduce one of the major impediments to entry of students into engineering. 67 NAU-YUMA Expansion PAGE 4 S t r at e g i c i n i t i at i v e s Student support services including Writing Center 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. An assessment of student needs was completed during AY2009 and a search is now underway to hire a writing center coordinator. Arizona Western College has also funded a full-time position in their writing center, which will be co-located with Yuma Branch Campus writing center. In further support of this effort both the Yuma Branch Campus and AWC are seeking Title V funding for expansion of the writing center. B.A./B.S. in Interdisciplinary Studies Bachelor of Applied Science • Administration • Administration • Psychology • Administration of Justice • Administration of Justice • Spanish • Biology • Early Childhood Education • Criminology & Criminal Justice • Emergency Services Administration • Elementary Education • Emergency Services Administration • Public Agency Management • Secondary Education • Environmental Science • Social & Community Services • Earth Science • Humanities (also 90/30 program) • Technology Management • Spanish • Psychology • Public Agency Management (also 90/30 program) • Sociology Bachelor of Science • Biology • Criminology & Criminal Justice • Environmental Science • Psychology Northern Arizona University has been serving the educational needs of rural Arizona for more than 25 years. With more than 35 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 Bachelor of Arts Bachelor of Science in Education Bachelor of Business Administration Bachelor of Social Work TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF ) t s e r o F y h Healt September 1, 2009 ABOR TRIF Strategic Initiative Award: $1.15M During the last 120 years, southwestern ponderosa pine forests have radically changed. These ecosystem changes are a result of livestock grazing, high-grade logging, fire suppression, and some forms of recreation. Some of the specific changes include decreased wildlife diversity, increased densities of small stunted trees, increased threats of large-scale insect infestation of trees, change from frequent (every 2-8 years), low-intensity ground/grass fires (which serve to cycle nutrients and promote ecosystem health), to increasingly large catastrophic "crown" fires, and increasing threats to property and human lives. Scientists, environmentalists, public landmanagement agencies, and decision-makers agree that restoration of southwestern ponderosa Contents Introduction 1-2 Operational Strategies 3 Financials 4 pine forests is critical. Ecologically based restoration is the most effective approach we can take to reestablish the ecological integrity, or completeness, of the forest while protecting human communities. It is an approach that is informed by science and establishes as its primary goal the restoration of fully functional ecosystems that are linked to sustainable use by humans. Ecological restoration is not a 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 recipe for ecosystem management. Rather, it is a broad conceptual framework for helping ecosystems recover more nearly natural structure and function while providing for continued use by humans. The Ecological Restoration Institute (ERI) at Northern Arizona University (NAU) is engaged in research, outreach and education in ecological restoration of western forests. The ERI works to An ERI administrator, examines a large catface on a severely burnt ponderosa pine. Catfaces are triangle-shaped tree wounds caused help land management agencies by fires burning away the bark and cambium of a tree. 69 Healthy Forest PAGE 2 I n t ro d u c t i o n ( c o n T ’ D ) and communities by providing comprehensive focused studies, monitoring and evaluating research, and technical support. The goals of ERI go beyond scientific discovery to the meaningful application of scientific knowledge that makes a difference for western forests. The ERI is nationally recognized as a leader in solving problems of degraded forest health and unnatural wildfire through science-based approaches, and continues to gain federal and state support for its projects. This funding has facilitated a wide array of research work by ERI staff, students, and partners. The ERI has also directly benefited southwestern communities by providing technical expertise to policy-makers, professional land managers, and community members seeking to restore ecological integrity and reduce fire risks in the region's forests. 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. An ERI Ecology Research Team member, seeding an interspace in an area of pinyon-juniper. 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 In June, 2007, the Forest Health Advisory Council and the Forest Health Oversight Council released “A Statewide Strategy for Restoring Arizona’s Forests.” In order for this statewide strategy to be successful, coordinated action is needed by federal agencies, communities, businesses, citizens and decisions makers. ERI will continue to play a leadership role in these initiatives. In 2009, ERI’s accomplishments included: · Hosted the Southwest Ecological Restoration Institutes (SWERI) Biophysical Monitoring Workshop, in which the participants agreed upon an efficient, yet robust set of biophysical variables that can be used by practitioners to adaptively inform management practices and monitor the effectiveness of restoration/land treatments. · Consulted with tribal natural resource managers and their federal counterparts to develop plans for providing assistance to develop fire management plans for all tribes in Arizona. · Conducted a web-based survey to determine whether ERI publications and web site are meeting the needs of parties interested in the restoration of frequent-fire forests in Arizona and the Interior West. Survey results are being applied to refine ERI outreach efforts to better serve resource managers and forest stakeholders · Completed a multi-year research/management project with the Kaibab National Forest designed to apply ecological information for reducing wildfire hazards in the vicinity of Grand Canyon Village and Tusayan, Arizona. ERI scientists tested practical alternatives for reducing fuels in pinyon-juniper ecosystems, the most widespread forest type in Arizona, while maintaining key elements including ancient trees and native plants. 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. Financial support from the ABOR Innovation Fund has allowed NAU to provide scientific support and leadership to address these problems throughout Arizona. Whether natural or man-made, fire has a significant impact on strategies for maintaining forest health. 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. 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 FY 2005 Actual FY 2006 Actual FY 2007 Actual FY 2008 Actual FY 2009 Rev Budget FY 2009 Actual FY 2010 Rev Budget FY 2011 Rev Budget REVENUE Carry Forward $0 $0 $0 $0 $0 $0 $95,187 $0 New TRIF Revenue $0 $0 $0 $0 $271,441 $274,169 $293,469 $292,938 TOTAL REVENUE $0 $0 $0 $0 $271,441 $274,169 $388,656 $292,938 Personal Services $0 $0 $0 $0 $216,000 $160,935 $305,000 $280,000 Operating $0 $0 $0 $0 $55,441 $18,047 $83,656 $12,938 TOTAL EXPENDITURES $0 $0 $0 $0 $271,441 $178,982 $388,656 $292,938 OPERATING BUDGET 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, 2009 Northern Arizona University Initiatives In today's economic climate, individuals, businesses and public entities must be prepared to respond to opportunities and challenges within a very short time frame. Northern Arizona University 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. Investments have been made within the general context of NAU’s four major initiatives: access/workforce development, Elearning and environmental and biotechnological research, development, and education. University Initiatives also allowed the university to contribute to economic development in Northern Arizona through investment in the High Country Conference Center. The HCCC has booked approximately $2M in business since opening, with an estimated economic impact in Flagstaff of another $2M. 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 The Applied Research and Development Building was one of 15 buildings world-wide to receive a 2009 recognition award from the Royal Institute of British Architects. 73 PAGE 2 UNIVERSITY INITIATIVES P e r f o r m a n c e a na lys i s The Interdisciplinary Health Policy Institute The Keim Lab in the Applied Research and Development Building Classrooms as part of the upcoming Health and Learning Center 74 UNIVERSITY INITIATIVES PAGE 3 P e r f o r m a n c e a na lys i s New Lab Building — equipment enhanced Photo credit Tom Alexander 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 FY 2008 Actual FY 2009 Budget FY2009 Actual 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 $2,591,491 $2,591,491 $2,932,523 $0 TRIF Revenue $298,203 $590,810 $938,517 $2,552,961 $1,764,371 $690,001 $3,239,528 $2,805,521 $2,833,714 $2,654,048 $2,649,246 $298,203 $797,554 $1,603,125 $4,227,590 $4,818,983 $5,849,772 $3,360,019 $5,397,012 $5,425,205 $5,586,571 $2,649,246 TOTAL REVENUE OPERATING BUDGET Personal Services $36,174 $72,666 $62,927 $266,070 $340,462 $153,992 $219,028 $192,726 $428,828 $345,519 $364,523 Operating $55,285 $60,280 $17,761 $188,050 -$681,250 $483,950 $90,491 $1,900,968 $559,930 $3,637,666 $684,238 Building Renovation $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 $0 Debt Svc/Capital $0 $0 $0 $0 $0 $3,091,339 $296,179 $3,303,318 $1,503,924 $1,603,386 $1,600,485 Conference Center TOTAL EXPENDITURES $0 $0 $0 $0 $0 $2,000,000 $162,830 $0 $0 $0 $0 $91,459 $132,946 $80,688 $454,120 -$340,788 $5,729,281 $768,528 $5,397,012 $2,492,682 $5,586,571 $2,649,246 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. Recent initiatives include: ♦ Creation of an innovative, interdisciplinary Health Policy Institute to complement the university’s investment in health care programming. ♦ Contributions to improvements in the Keim lab in the Applied Research and Development building which enabled the lab to extend its research capability beyond that in the original design. ♦ Equipment improvements in the Applied Research and Development and Laboratory Sciences buildings, helping to advance research and scientific education ♦ 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. Continued support of TGen North and the Keim laboratory in advancing scientific research in Northern Arizona. NAU President On the near horizon is a project to fund classroom space in the upcoming Health and Learning building. This investment will enable the facility to go beyond its original scope, and provide both added capacity and flexibility for university educational programs. We anticipate that health care programs will make significant use of these classrooms. NAU TRIF Oversight Board NAU Provost NAU VP for Research 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 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 THE UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 - 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 and 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 Initiative Venture Fund EXPENDITURES GRAND TOTAL $ $ $ FY 2008 ACTUAL 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 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 2009 ACTUAL 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 2010 REVISED BUDGET 5,854,007 22,275,873 28,129,880 $ 11,209,729 3,499,028 8,904,805 23,613,562 $ $ 27 3,443,350 3,443,377 FY 2011 REVISED BUDGET 1,072,941 20,361,093 21,434,034 $ 11,011,271 3,315,047 4,107,716 18,434,034 $ $ 3,000,000 3,000,000 20,074,697 20,074,697 10,369,364 3,224,824 3,480,509 17,074,697 3,000,000 3,000,000 $ 24,137,873 $ 29,536,632 $ 34,066,890 $ 27,056,939 $ 21,434,034 $ 20,074,697 $ 5,878,772 3,187,607 3,473,905 8,160,936 211,146 2,009,192 187,472 1,028,843 $ 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 $ 7,610,195 3,642,702 4,267,031 315,800 8,776,787 91,522 596,831 248,763 1,388,172 119,136 $ 6,371,524 2,584,031 3,229,577 618,111 7,388,638 586,529 595,624 60,000 $ 5,925,637 2,656,045 3,283,205 7,062,094 500,000 611,272 36,444 $ 24,137,873 $ 29,536,632 $ 34,066,890 $ 27,056,939 $ 21,434,034 $ 20,074,697 77 78 THE UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 BUDGET / ACTUAL SUMMARY BY PROGRAM AREA FY 2009 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 and 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 Initiative Venture Fund EXPENDITURES GRAND TOTAL $ $ $ 5,854,007 28,212,883 34,066,890 17,564,781 5,430,220 6,327,954 29,322,955 FY 2009 ACTUAL $ $ $ 4,743,935 4,743,935 5,854,007 22,275,873 28,129,880 11,209,729 3,499,028 8,904,805 23,613,562 $7.6 Bioresearch Program 28% $3.6 Optical Sciences and Technology Program 14% $4.3 Water & Environmental Sustainability Program 16% $.3 Higher Education in Rural Southern Arizona 1% 27 3,443,350 3,443,377 $ 34,066,890 $ 27,056,939 $ 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 $ 7,610,195 3,642,702 4,267,031 315,800 8,776,787 91,522 596,831 248,763 1,388,172 119,136 34,066,890 $ $ FY 2009 UA ACTUAL TRIF EXPENDITURES (in millions) 27,056,939 $.1 Venture Fund 1% $1.4 ASU-UA Solar Energy Initiative $.2 ASU-UA Joint 5% Biomedical Research Fund 1% $8.8 Education and Infrastructure Program $.1 Planning for 32% Phoenix $.6 Expansion of Biomedical Phoenix Campus Biomedical 0% Campus 2% TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) AM TRIF PROGR September 1, 2009 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 80 $ Patent Royalty Income 12 0 New Start-up Companies Economic Impact Studies 0 8 Teachers Certified in Agriculture 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 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 $ $ 15 22 42,925 1,063 37 1 39,373 5 1 104,715 7 31,415 38 84,474 1,419 16 49 22 3 16 9 0 11 24 24 156 368 390 (8) 0 (40) 29 15 219 2 4 145 35 161 1.27 2.28 44 $ $ 40 50 15 30 40 158 339 284 5 0 4 58 3 326 1 15 115 42 182 1.58 2.00 200,000 $ $ $ 72.59 FY07 Actual 75th 35,353 103,000 $ $ $ 60.01 FY07 Proj Percentile-ranked access to advanced networks 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 $ 46.79 FY06 Actual 90% $ $ $ 39.92 FY05 Actual 75th or better 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 $ 50.19 FY04 Actual 85-90% 0 0 11 2,150 0 P1 0 $ $ $ 22.92 FY03 Actual 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 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 $ Gifts & Other Sources 1.17 $ 14.78 Sponsored Awards RETURN ON INVESTMENT (IN MILLIONS) FY02 Actual 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 71 79,090 75th or better 85-90% 1 2,434 10 50th 94% 1 4,793 12 75th or better 85-90% 1 2,734 10 350,000 30 80,850 1,253 23 2,519 116 79 9 34 120 2 125 300 20 25 30 160 352 314 2 20 42 15 25 90 1 12 107 17 14 27 163 424 429 (11) 0 4 53 56 (3) 4 66 369 1 8 22 71 442 0 14 155 49 55 177 202 190 40 85,900 1,294 28 323 10 47 150 2 158 300 20 25 30 169 377 317 2 30 4 61 4 76 406 1 13 164 55 218 2.19 4.05 75th or better 85-90% 1 3,024 10 400,000 2.04 $ 3.45 $ 0.77 $ $ $ 7.55 $ FY11 Proj $ 77.31 $ 83.21 FY10 Proj $ 129.96 FY09 Actual 300,000 5,470,117 $ $ $ 71.16 FY09 Proj PAGE 2 PERFORMANCE MEASURES 0.7:1 Return on Investment Return on Investment Water and Environmental Sustainability Program 1,070,234 Expenditures - Expenditures - Expenditures - Expenditures - Expenditures - Expenditures Return on Investment 0.5:1 3,864,703 2,182,290 Revenue Expenditures ACIST - Revenue Higher Education in Rural Southern Arizona Return on Investment - Revenue ASU-UA Solar Energy Initiative - 1.2:1 4,286,510 5,813,439 - - - - - - - - - - - - 2,903,876 3,468,894 2.2:1 827,112 922,432 0.6:1 6,014,645 6,339,470 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 3,852,669 5,617,329 FY04 Actual 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 9.9:1 224,876 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 9,000,889 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 91,522 271,636 271,636 270,117 270,117 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 - - - 315,800 742,885 2.3:1 1,388,172 1,372,524 596,831 683,360 91,522 91,522 248,763 248,763 119,136 173,556 8,776,787 9,066,371 5.6:1 4,267,031 4,213,403 10.1:1 3,642,702 3,570,688 9.0:1 7,610,195 7,966,808 FY09 Actual - - - 618,111 618,111 4.7:1 595,624 595,624 586,529 586,529 - - - - 60,000 60,000 7,388,638 7,388,638 4.0:1 3,229,577 3,229,577 9.8:1 2,584,031 2,584,031 5.6:1 6,371,524 6,371,524 FY10 Revised Budget 11.1:1 - - - - - 611,272 611,272 500,000 500,000 - - - - 36,444 36,444 7,062,094 7,062,094 4.2:1 3,283,205 3,283,205 9.7:1 2,656,045 2,656,045 6.2:1 5,925,637 5,925,637 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 2.2:1 7,199,779 7,565,242 FY03 Actual OF Optical Sciences and Technology Program 4,837,623 2,075,899 Revenue Expenditures 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. Fernando Martinez, Director, 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. Mike 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 Learn more • 82 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. Contact Dr. Leslie P. Tolbert, Vice President for Research, Graduate Studies, and Economic Development, at tolbert@email.arizona.edu or 520-621-3513. 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, 2009 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. Fernando Martinez has overall responsibility for the TRIF UA Bioresearch Program, which supports three initiatives: the BIO5 Institute (directed by Fernando Martinez), 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 Fernando D. Martinez, MD Interim Director, BIO5 Institute Regents' Professor 83 PAGE 2 PERFORMANCE MEASURES FY 02 Actual FY03 Actual FY04 FY05 Actual Actual FY06 Actual FY07 Proj FY07 Actual FY 08 Proj FY 08 Actual FY 09 Proj FY09 Actual 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 $ 66.7 $ 34.6 $ 35.3 $1.4 $15.6 $25.1 $26.2 $26.5 $28.9 $35.3 $ 27.1 $ 37.8 $ 33.1 $ 59.9 $ 31.6 $ 31.8 $ 0.1 $ 0.2 $ 0.3 $ 0.4 $ 1.0 $ 1.0 $ 1.5 $ 0.6 $ 2.5 $ 0.6 $ 1.0 $ 1.5 $ 7.5 $ 2.5 $ 6.2 $ 2.0 $ 2.0 $0.2 $1.1 $1.4 $ 1.2 $ 1.3 $ 1.3 $ 1.6 $ 1.4 $ 1.5 30 22 30 24 23 27 26 28 28 4 4 5 4 6 11 7 8 1 1 0 0 2 3 0 2 Industrial Awards Other Awards Gifts & Other Sources $ 1.5 TECHNOLOGY TRANSFER & COLLABORATIONS Invention Disclosures1 Licenses & Options 57 1 Patent Applications 1 46 65 75 17 25 7 37 63 50 37 New Start-up Companies 1 WORKFORCE CONTRIBUTIONS Number of Graduate Students Enrolled 1,183 1,299 1,341 1,268 Number of Undergraduate Degrees Awarded 658 705 733 1,014 Number of Graduate Degrees Awarded 266 280 285 420 Undergraduate Trainees 273 242 338 247 348 253 355 258 261 Graduate Trainees 290 254 300 266 380 280 347 293 318 Postdoctoral Trainees 137 154 148 146 161 150 156 151 158 6 5 10 5 8 8 8 5 6 40 44 50 52 80 90 120 150 9 3 14 32 21 25 34 47 113 289 200 730 200 750 200 200 9,175 45,342 30,000 New Faculty Hires 7 8 8 6 Clinical Scholars Circle Members Number of Affiliate Clinical Partners in ACTREC OUTREACH & EDUCATION Teachers/Educators Trained 220 35,082 K-12 Students Benefitting & Participating Workshops, Seminars, & Conferences Supported 3 3 3 3 10 11 12 11 40,007 30,000 42,036 47 19 46 30,000 30,000 9 19 1 FY03 to FY06 activities include all UA Life Sciences; FY03 to FY09 and projections are Bioresearch activities only. Sponsored awards in FY09 reflect the multi-year federal award of the National Children’s Study (~$16M) 2 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, (~$15M received to date), 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 continues to support both the CATS Research Center, which has grown from 11 to 50 research protocols, and the Health Research Alliance Arizona (HRAA), a collaboration among UA, ASU and NAU. 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 to industry scientists. Researchers continue to generate substantial invention disclosures and licenses & options in the life sciences arena. This year, three new biotechnology companies based on UA faculty research have received ABOR approval. They are: BioVidria 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 FY07 Actual FY09 Revised Budget FY08 Actual FY10 Revised Budget FY09 Actual FY11 Revised Budget REVENUE Carry Forward $ - $ 2,761,724 $ 365,463 $1,764,660 $ 2,521,226 $ 2,586,804 $ 3,352,595 $ 1,605,691 $ 1,605,691 $ 356,613 $ New TRIF Revenue $ 4,837,623 $ 4,803,518 $ 5,251,866 $6,976,943 $ 5,811,155 $ 6,644,563 $ 6,753,985 $ 7,495,034 $ 5,861,117 $ 6,014,911 $5,925,637 Regents Innovation Fund $ $ $ $ $ $ 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 $10,606,580 $ 9,600,725 $ 7,966,808 $ 6,371,524 $5,925,637 Personal Services $ 620,100 $ 3,325,935 $ 308,333 $2,594,735 $3,604,324 $ 3,350,614 $ 6,199,528 $ 7,834,755 $ 5,836,438 $ 5,135,569 $5,046,548 All Other Operating Expenses $ 1,195,799 $ 3,713,844 $ 1,544,336 $1,475,642 $2,353,434 $ 2,359,151 $ 3,107,163 $ 1,265,970 $ 1,150,634 $ 1,235,955 $ 879,089 $ 2,000,000 $2,150,000 $1,687,819 $ 169,007 $ (316,028) $ $ 5,120 $ - $ - $ $ $ - $ - - - - $ - - - - -$ - EXPENDITURES Capital $ 260,000 $ 160,000 Regents Innovation Fund $ $ - TOTAL EXPENDITURES $ 2,075,899 Return on Investment - 0.7:1 $ 7,199,779 2.2:1 - $ - $ 3,852,669 $6,220,377 6.6:1 - $7,645,577 4.3:1 3.5:1 - - $ 10,226 $ 500,000 $ 618,003 $ $ 5,878,772 $ 9,000,889 $ 9,600,725 $ 7,610,195 $6,371,524 $5,925,637 6.4:1 5.2:1 4.1:1 9.0:1 5.6 :1 6.2:1 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. started by Mary Wirth to speed drug discovery and disease detection through coated microarrays; Luceome Biotechnologies owned and run by Indraneel Ghosh using Kinase Seeker, a technology to speed the development of drugs to treat cancers and other diseases; and Cancer Prevention Pharmaceuticals, run by Eugene Gerner, that is currently conducting clinical trials on a drug combination that substantially reduces the recurrence of colon cancer. All three faculty are BIO5 members. 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 May 2009, BIO5 hosted RECOMB2009, the 13th International Conference on Computation Biology. UA investigators organized the first McKnight Social Event at the Society for Neuroscience Annual Meeting in Washington, DC to bring together neuroscientists from around the country who are interested in aging research. In March 2009, HRAA held its first annual conference on Advances in Translational Science, providing state-of-the-art information for both established researchers and those in training. 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 Fernando Martinez reports to Dr. Leslie Tolbert, Vice President for Research, Graduate Studies and Economic Development. Dr. Martinez 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 includes 15 business leaders from the Tucson region, state and nation. The Science Advisory Board is composed 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. Fernando Martinez, Director, Bioresearch Program and Interim Director, BIO5, The University of Arizona, at fernando@arc.arizona.edu or 520-626-4272. 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, 2009 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 88 $ 0.096 Gifts & Other Sources 12 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) 7 0 5 3 4 3 $ 0.050 $ 0.055 2 $ 0.041 $21.749 FY07 Actual $ 0.017 $16.000 FY07 Proj 5 27 8 1 8 4 6 2 $ 0.060 $ 0.034 $16.350 FY08 Proj 8 30 45 1 (34) (4) (5) 1 $ 0.102 $ 0.224 $31.042 FY08 Actual 5 29 15 0 8 3 4 2 $ 0.065 $ 0.228 $16.700 FY09 Proj FY10 Proj 4 2 22 (11) 6 34 49 6 31 30 0 4 (3) 2 2 4 $ 0.085 $ 0.070 $ 0.269 $ 0.232 $36.499 $25.000 FY09 Actual 6 33 32 1 2 4 4 2 $ 0.075 $ 0.236 $25.500 FY11 Proj 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 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 15 Patent Applications Invention Disclosures 2 New Start-up Companies TECHNOLOGY TRANSFER & COLLABORATIONS 3 New Faculty Hires WORKFORCE CONTRIBUTIONS Patent Royalty Income $11.325 FY02 Actual Sponsored Awards RETURN ON INVESTMENT PERFORMANCE MEASURES ($ IN MILLIONS) PAGE 2 Performance measures 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 FY07 Actual FY09 Revised Budget FY08 Actual FY10 Revised Budget FY09 Actual FY11 Revised Budget REVENUE Carry Forward $ - $ 1,535,952 $ 324,825 $ 366,298 $ 1,230,225 $ 135,586 $ 594,471 $ 852,429 $ 852,429 $ (72,014) $ - New TRIF Revenue $ 4,395,646 $ 4,803,518 $ 4,521,523 $ 4,491,847 $ 4,047,769 $ 3,646,492 $ 3,598,915 $ 3,476,034 $ 2,718,259 $ 2,656,045 $ 2,656,045 TOTAL REVENUE $ 4,395,646 $ 6,339,470 $ 4,846,348 $ 4,858,145 $ 5,277,994 $ 3,782,078 $ 4,193,386 $ 4,328,463 $ 3,570,688 $ 2,584,031 $ 2,656,045 EXPENDITURES Personal Services $ 1,004,904 $ 1,781,270 $ 2,688,414 $ 2,209,066 $ 2,575,898 $ 2,143,214 $ 2,143,012 $ 3,842,346 $ 2,451,017 $ 2,297,914 $ 2,369,928 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 $ 3,340,957 $ 4,328,463 $ 3,642,702 $ 2,584,031 $ 2,656,045 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 $ 1,197,945 $ 0.7:1 1.9:1 $ - 6.8:1 $ 486,117 $ - $ 9.4:1 - 3.9:1 1,191,685 $ $ 286,117 $ 286,117 $ - - $ 10.1:1 - 9.8:1 9.7:1 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. Jeffrey B. Goldberg: Dean; Engineering, Professor; Systems & Industrial 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: 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, 2009 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 92 7 4 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 $ $ 5 7 4 36,182 5 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 14.7 13 9 32,120 740 1 3 6 98 64 33 1 0 $ 4.650 $ FY08 Actual 6 10 31,700 1,008 1 2 7 95 43 38 2 2 $ 0.09 $ 11.8 FY09 Proj 15 12 34,454 1,755 2 3 5 77 74 39 1 0 11 10 32,800 1,035 1 2 5 59 56 38 1 0 $ $ 0.095 3.8 $ 12.8 FY10 Proj $ 20.0 FY09 Actual 11 10 33,900 1,070 1 2 5 59 56 48 1 0 $ 0.10 $ 13.8 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 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. 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 environmental sustainability at the University of Arizona to enhance economic development and the quality of life for all of Arizona. WESP is leveraging its strengths in academia, research, and environmental technology to create several outcomes that include: Jonathan Overpeck, Ph.D. Director, Translational Environmental Research • practical education for grades K-12 to create general awareness of issues, problems, and career-related training; • internationally recognized research and technology transfer initiatives; • Curriculum Innovations: Each year WESP faculty develop new interdisciplinary course offerings to address pressing challenges in water and environmental resources. 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 • 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 stronger relationships across disciplines within the University of Arizona, which will result in research innovations to create new business initiatives. These efforts build on the extensive expertise 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 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 Actual FY09 Revised Budget FY09 Actual 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 $ 853,293 $ 853,293 $ (53,628) $ $ 474,283 $ 480,352 $ 2,009,566 $2,460,948 $ 3,907,500 $ 4,645,467 $ 3,993,114 $ 4,296,816 $ 3,360,110 $ 3,283,206 $ 3,283,205 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 $ 5,854,659 $ 5,150,109 $ 4,213,403 $ 3,229,577 $ 3,283,205 TOTAL EXPENDITURES Return on Investment $ 28,757 $ 502,244 $ 1,135,364 $ 1,585,695 $ 1,917,386 $ 2,447,059 $ 3,219,837 $ 4,642,826 $ 2,864,775 $ 2,810,133 $ 2,863,761 $ 3,446 $ 324,868 $ 531,724 $ 717,101 $ 1,336,400 $ 1,026,846 $ 1,751,464 $ 507,283 $ 1,407,349 $ 419,444 $ 419,444 $ - $ - $ - $ - $ 559,681 $ - $ 30,065 $ -$ (5,093) $ - $ $ 32,203 $ 827,112 $ 1,667,088 $ 2,302,796 $ 3,813,467 $ 3,473,905 $ 5,001,366 $ 5,150,109 $ 4,267,031 $ 3,229,577 $ 3,283,205 - 2.2:1 1.2:1 1.5:1 0.9:1 3.0:1 3.8:1 2.3:1 5.6:1 4.0:1 4.2:1:1 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 Research Program Ian Pepper, Director, NSF Water & Environmental Technology Center and global leader in research and technology development. WESP pursues it’s goals and objectives through strategic recruitment and research initiatives; student fellowships and internships; education and outreach programs; and the activities of the individual centers. M A NAG E M E N T Sharon Megdal serves as the Director of the Water and Environmental Sustainability Program (WESP) and the Water Sustainability Program (WSP). Jonathan Overpeck and Diana Liverman are Co-Directors of Translational Environmental Research (TER). 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, Co-Director TER and the Institute of the Environment Diana Liverman, Co-Director TER and the Institute of the Environment Barbara Morehouse, Deputy Director of Research Gregg Garfin, Deputy Director of Outreach 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 94 • Contact Dr. Sharon Megdal, WESP and WSP Director, smegdal@cals.arizona.edu or 520-792-9591 X21. Visit the WSP website at: www.wsp.arizona.edu • Contact Dr. Jonathan Overpeck, TER Director, jto@email.arizona.edu or 520-622-9065; Dr. Diana Liverman, TER Co-Director, liverman@u.arizona.edu or 520-626-2910 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 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) Initiative y g o l o n h c e nces and T ie c UCTURE S R l T a ST ic S t A p R O F N I AND EDUCATION PROGRAM September 1, 2009 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 RETURN ON INVESTMENT ($ IN MILLIONS) 96 111 24 77 1 0 12 25 13 10 2,500 0 493 20,450 109 18 62 10 0 7 28 8 0 2 ,150 0 0 0 24 24 12 9 10 28 37 20 40 16 8 28 3,800 1 103,000 35,353 19 22 26 16 19 3,200 1 58,000 24,528 3,000 2 156,055 77,557 161 88 26 109 6 0 102 32 106 9 1 95 25 91 7 1 4.820 0.781 1.689 FY06 Actual 3.785 0.485 1.176 FY05 Actual 1.249 0.357 1.010 FY04 Actual **Due to data limitations, “hits” are being reflected in this number for some program categories. *Includes courses being developed for Fall 09 and Spring 10 implementation. 0.973 0.277 1.08 $ 0.033 $ 0 .069 0 .714 FY03 Actual 358 40 40 30 17 58 8 9 8,600 0 250,000 41,085 1 85-90% 75th or better 191 29 24 24 11 0 48 16 2,950 4 31,415 104,715 1 90% 4,250 2 200,000 39,373 1 85-90% 75th or better 14 37 75th 114 36 115 5 1 104 30 121 3 2 135 38 105 14 1 316 58 40 30 15 50 2.020 0.943 1.670 FY08 Proj 4.027 0.753 1.223 FY07 Actual 1.910 0.883 1.520 FY07 Proj 50th 50th 1 94% 1 85-90% 75th or better 1 78% 36 61 13,300 2600 0 0 300,000 5,470,117 2,404 4,624 10 8 253 56 27 14 17 12 124 43 125 7 0 4.132 1.150 .687 FY09 Actual 2,600 0 225,503* 2,154 14 19 294 44 30 25 19 84 114 36 115 5 1 99 39 143 5 0 241 56 25 14 13 85 2.712 0.841 1.820 FY09 Proj 2.525 1.068 0.690 FY08 Actual 22,000 0 400,000 2,904 1 85-90% 75th or better 1 85-90% 75th or better 16 3 320 57 30 25 20 128 145 45 125 7 1 2.662 1.016 2.110 FY11 Proj 18,050 0 350,000 2,654 11 4 307 51 30 25 20 105 135 40 120 6 1 2.559 0.923 1.970 FY10 Proj PERFORMANCE MEASURES Percentile-Ranked Access to Advanced Networks 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 PAGE 2 contribute to regional economic development. Technology Transfer Infrastructure Plan (TTIP) supports the UA 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 2002-08, 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 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 2009, 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 FY07 Actual FY09 Revised Budget FY08 Actual FY10 Revised Budget FY09 Actual FY11 Revised Budget REVENUE Carry Forward $ - $ 1,163,205 $ 565,018 $ 553,430 $ 463,409 $ 767,157 $ 557,442 $ 621,658 $ 621,658 $ 289,584 $ - New TRIF Revenue $ 2,233,439 $ 2,305,689 $ 2,511,957 $ 2,616,912 $ 3,085,923 $7,951,221 TOTAL REVENUE $ 2,233,439 $ 3,468,894 $ 3,076,975 $ 3,170,342 $ 3,549,332 $ 8,718,378 $ 9,721,719 $10,429,549 $ 9,066,371 $ 7,388,638 $ 7,062,094 Personal Services $ 415,210 $ 1,355,810 $ 1,628,344 $ 1,915,393 $ 1,760,808 $2,026,007 $ 2,114,858 $ 3,112,603 $ 2,105,147 $ 2,385,367 $ 2,166,235 All Other Operating Expenses $ 655,024 $ 1,548,066 $ 895,201 $ $ 3,568,734 $ 2,573,011 $ 3,228,290 $ 2,003,271 $ 1,895,859 Capital $ $ $ $ 4,743,935 $ 3,443,350 $ 3,000,000 $ 3,000,000 TOTAL EXPENDITURES $ 1,070,234 $ 2,903,876 $ 9,164,277 $ 9,807,891 $ 8,444,713 $ 7,099,053 $ 7,062,094 EXPENDITURES ROI (See Note 2) Notes: - $ - - - - $ 2,523,545 - 791,540 $ 1,009,036 $2,734,929 - $ 381,200 $3,400,000 $ 2,706,933 $ 3,151,044 $8,160,936 - - - $ 3,416,469 $9,100,061 $ 10,429,549 $ 8,776,787 $ 7,388,638 $ 7,062,094 - - - - 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. EDP -- Ronald W. Marx, Dean, College of Education AAA – Advisory groups include the Deans’ Advisory Committee, Initiative-wide Advisory Board, Project-specific Advisory Boards, and Project and Technical Support Teams as needed. NOP -- Carolyn Murdaugh, Interim Dean, College of Nursing CCI – There is no external advisory board for the CCI , since AAA -- Mike Proctor, Dean, Outreach College 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 98 • 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. 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, 2009 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 FY09 Actual FY10 Proj FY11 Proj $ 1.17 $ 2.18 $ 1.75 $ 2.50 $ 2.20 $ 5.80 Federal Awards $ 0.10 $ 1.08 $ 0.80 $ 2.18 $ 1.00 $ 3.00 Industrial Awards $ 0.02 $ 0.05 $ 0.25 $ 0.32 $ 0.40 $ 1.00 Other Awards $ 1.05 $ 1.05 $ 0.70 $ - $ 0.80 $ 1.80 $ 0.00 $ 0.05 $ 0.30 $ 0.64 $ 0.60 $ 1.00 Licenses & options 2 2 2 1 2 2 New Start-up Companies 0 0 1 2 2 3 Patent Applications 0 0 2 2 4 6 Invention Disclosures 0 0 4 6 8 12 Number of graduates in solar energy 4 2 10 20 20 30 Number of undergraduates in solar energy 20 20 26 27 26 26 Number of post doctoral associates 1 0 2 2 4 6 Number of newly revised courses offered 0 0 20 2 100 300 Number of Online Courses Offered 1 1 2 0 4 10 2 5 4 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: 100 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) 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 FY07 Actual FY09 Revised Budget FY08 Actual FY10 Revised Budget FY09 Actual FY11 Revised Budget REVENUE Carry Forward $ — $ New TRIF Revenue $ TOTAL REVENUE 979,762 $ 825,124 $ 825,124 $ (15,648) $ --- — $ 70,238 $ 700,000 $ 547,400 $ 611,272 $ 611,272 $ 1,050,000 $ 1,525,124 $ 1,372,524 $ 595,624 $ 611,272 EXPENDITURES Personal Services All Other Operating Expenses $ — $ 148,944 $ 1,525,124 $ 956,765 $ 519,224 $ 611,272 $ — $ 75,932 $ — $ 431,407 $ 76,400 $ — Capital $ — $ — $ — $ --- $ — $ — TOTAL EXPENDITURES Return on Investment $ 1,525,124 1.3:1 $ — $ - 224,876 9.9:1 $ 1,388,172 2.3:1 $ 595,624 $ 611,272 4.7:1 11.1:1 101 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, 2009 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. The initiative’s primary goal is to develop a repertoire of highdemand hybrid and electronic courses and degree programs focused on regional needs, made available in partnership with community colleges, and supported by a network of highly accessible and technologically adept faculty. Contents Introduction 1 Performance Measures 2 Performance Analysis 2 Goals 3 Financial Information 3 Management 4 Advisory Boards 4 Learn More 4 The initiative is focused on three interdependent components of an economic development triangle: teacher education, commerce/ entrepreneurship, and information science-based programs relevant to regional industry, ranging from defense and intelligence to import/ export logistics. Program costs are reduced via four mechanisms: 1) significant community investment in infrastructure; 2) reliance on a small number of dedicated faculty living in target communities or delivering electronic or hybrid content locally and to other communities; 3) focusing our investment on a small number of high-demand, high-quality degree programs; 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 for a broader menu offering than would normally be available in each community. Mike Proctor Dean, University of Arizona Outreach College 103 PAGE 2 PERFORMANCE MEASURES FY08 Proj FY08 Actual FY09 Proj FY09 Actual FY10 Proj FY11 Proj RETURN ON INVESTMENT Sponsored Awards $ 0 $ 0 $ 100,000 $ 124,925 $ 150,000 $ 150,000 Gifts & Other Sources $ 0 $ 0 $ 200,000 $ 52,009 $ 200,000 $ 200,000 Number graduate students enrolled within initiative 0 0 2 130* 4 8 Number graduate degrees awarded 0 0 1 0 2 4 Number of undergraduate degrees awarded 0 0 0 0 20 30 Number undergraduates enrolled 0 0 30 44* 40 50 Total student credit hours produced 0 0 300 107 300 300 Number certificates granted for Higher Ed 0 0 15 0 20 30 Number new certificates offered 0 0 2 1** 2 2 WORKFORCE CONTRIBUTIONS CURRICULUM INNOVATIONS AND STUDENTS SERVED Number of newly revised courses offered 0 0 2 2** 4 6 Number new online courses offered 0 0 15 18** 15 15 Teachers/Educators Trained 0 0 12 14*** 18 24 Number enrollments in web & hybrid courses 0 0 30 169* 80 120 OUTREACH AND EDUCATION * Includes students currently enrolled for FY10. ** Includes courses/training modules/workshops/certificates under development for delivery in FY10. *** Includes teachers/educators currently enrolled for training in FY10. Note: Proposal projections for FY08 were shifted to FY09 due to fund timing issues. Although funds were approved in December ‘07, expenditures could 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 Early program investments include: our Nogales Learning Center (UA Santa Cruz); UA South’s Teacher Education program; UA main campus business communication certificate; Lesson Link, a teacher resource program; and online science teacher prep courses. Fall enrollments are meeting or exceeding expectations. Moreover, these funds effectively jumpstarted long overdue collaboration between UA Main and UA South. In addition, we have aggressively leveraged these funds against additional resources, dramatically expanding online content through Spring and Fall 2009 in several additional teacher education and information science programs, 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 integrated 4-year degree programs involving our community college partners, teacher education, commerce/entrepreneurship and information science degrees and certificates throughout Southern Arizona in a revenue-positive and sustainable fashion. We originally projected enrollment to increase by an average of 40 students per year to a minimum of 120 students region-wide within three years, but enrollments in funded courses will likely exceed this number by nearly 50% this fall. 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 industry-driven 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 FY09 Revised Budget FY08 Actual FY10 Revised Budget FY09 Actual REVENUE Carry Forward $ - $ -$ 500,000 $ 500,000 $ 427,085 New TRIF Revenue $ - $ 500,000 $ 310,594 $ 242,885 $ 191,026 TOTAL REVENUE EXPENDITURES $ 500,000 $ 810,594 $ 742,885 $ 618,111 $ - Personal Services $ - $ -$ 810,594 $ 118,218 $ 618,111 All Other Operating Expenses $ - $ -$ - $ 197,582 $ - Capital $ - $ -$ -$ - $ - TOTAL EXPENDITURES ROI (See Note 1) $ 315,800 $ 618,111 - - $ - -$ - 810,594 $ - - 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, Dean, University of Arizona Outreach College. 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 to be 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, Dean, University of Arizona Outreach College, 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, 2009 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 would be related to the theme of an existing University of Arizona TRIF initiative and would be administered through that initiative. Venture Funds have been 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 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 9 The following projects (and the initiatives with which they are associated) were selected for funding: • Biodiversity Informatics (Bioresearch); $222,100 • Bio5 Institute (Bioresearch); $250,000 • Az Center for Math & Education (Education & Infrastructure); $50,000 • McKnight Hire & Institute Support (Bioresearch); $331,400 • College of Nursing (Education & Infrastructure); $60,000 • Optical Sciences Licensing Associate (Optical Sciences & Technology); $130,000 • Technology Transfer Licensing Associate (Education & Infrastructure); $170,000 • Institute of the Environment (Water & Env. Sustainability); $438,117 • Water Centers (Water & Env. Sustainability); $250,000 F i na n c i a l I N F O R M AT I O N FY05 Actual FY06 Actual Carry Forward $ - $ New TRIF Revenue $ 68,123 TOTAL REVENUE EXPENDITURES Personal Services All Other Operating Expenses $ 68,123 $ $ $ - $ $ - $ Operations $ - TOTAL EXPENDITURES $ - $ $ FY07 Actual FY09 Revised Budget FY08 Actual FY10 Revised Budget FY09 Actual 68,123 $ 487,543 $ 172,779 $ 143,603 $ 143,603 $ - $ 714,079 $ 430,455 $ 126,514 $ 29,953 68,123 $1,201,622 $ 603,234 $ 270,117 $ 173,556 - $ 891,417 $ 457,864 $ 270,117 $ 68,123 $ 137,426 $ - $ - $ 94,207 FY11 Revised Budget 54,420 $ - 5,580 $ 36,444 $ 60,000 $ 36,444 $ $ 60,000 $ 36,444 1,767 $ - $ 24,929 $ - $ - - $ - $ - $ - $ - 68,123 $1,028,843 $ 459,631 $ 270,117 $ 119,136 $ 60,000 $ 36,444 *$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 FY 2007-2011 ASU-UA Joint Biomedical Research Fund Arizona State University The University of Arizona September 1, 2009 Arizona State University and the University of Arizona jointly administer the TRIF-funded Collaborative on Biomedical Research Grant Program with ten awards originally scheduled to total $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; and, Potential for impact on overall State-wide strength in biomedical sciences. The program awarded $2,000,000 in FY07 and $1,000,000 in FY08 to the ten projects through a competitive process. Due to the economic downturn and growing shortfall in TRIF revenues, the projects were ended in FY09 and drew to a close in June 2009 with the principal investigators having submitted their final reports. UA and ASU are working with the principal investigators of the BIO5 Institute and the Biodesign Institute to continue the creation of collaborative research projects between our institutions. 109 The TRIF support resulted in 68 scientific presentations and publications and the submission of proposals valued at $19.5M for external support for the continuation of these projects. Title Proteomic and Metabolomic Biomarker Investigation of Type 2 Diabetes (1) 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 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 Total Publications and Presentations Total Pending Proposals and Awards PI Total TRIF Award Nelson-ASU Lau-UA $250,000 11 $5,853,000 Johnson-ASU Martinez-UA $297,977 8 $3,421,175 Magee-ASU Shubitz-UA $320,000 0 $1,520,431 Hecht-ASU Hurley-UA $325,000 3 $0 Posner-ASU Wirth-UA $325,955 2 $2,020,737 Lai-ASU Gatenby-UA $325,955 7 $0 Rikakis-ASU Baldwin-UA $325,955 10 $5,100,425 Jurutka-ASU ThompsonUA $177,248 15 $1,250,000 Tillery-ASU Falk-UA $325,955 6 $0 (planned NIHR01 application in 2010) Zhang-ASU Barton-UA $325,955 6 $382,044 (1) Patent Disclosure M8-049L, U.S> Provisional #61/069,674, International PCT application #PCT/US2009/037369 for Biomarkers and assays for Diabetes CONTACT: R.F. “Rick” 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 Expansion of the Phoenix Biomedical Campus The University of Arizona September 1, 2009 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 were 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. 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, 2009 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 was completed for the Construction Manager at Risk (CMR) for the project and the team of Sundt/DPR was chosen. 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 David Harris, who will lead the overall on-site PBC project management team. 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. The SPEED project funding was approved at the July 24th Board meeting. In January 2009 the legislature, in special session, passed SB 1006 reducing the total budget for the project to $376 million necessitating substantial redesign and value engineering. 113 2. Proposed Schedule: Programming for the Phase 1 project was completed in Fall of 2008. Schematic design for Phase 1 is also complete. 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 could begin in early 2010, 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 for use in the fall of 2012, and that the completion of the ABC II building will follow. 3. Issues to be Resolved: Final results of the FY 2009/2010 Budget 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 utilized the remaining $183,000 of TRIF funding for the completion of programming of the HSEB and ABC II projects until the SPEED project funding becomes available. 114 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 BUDGET GRAND SUMMARY FY 2007 ACTUAL REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Regents Innovation Fund Arizona Regents Reach Out (ARRO) Grants TRIF Strategic Investments (TSI) Carryforward to FY 2010/2011 Subtotal 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 EXPENDITURES GRAND TOTAL 1,277,429 4,916,171 6,193,600 154,893 42,970 63,849 261,712 FY 2008 ACTUAL $ $ $ 1,119,236 443,404 250,000 1,812,640 1,280,867 2,050,760 3,331,627 131,974 39,445 162,185 333,604 FY 2009 REV BUDGET $ $ $ 1,207,048 495,289 1,702,337 985,091 1,925,000 2,910,091 155,000 45,000 176,574 376,574 FY 2009 ACTUAL $ $ $ 1,661,385 594,211 250,000 2,505,596 1,001,977 1,507,934 2,509,911 150,596 46,707 161,579 358,882 FY 2010 BUDGET $ $ $ 1,046,879 224,272 1,271,151 744,040 1,384,400 2,128,440 190,000 53,000 171,596 414,596 FY 2011 BUDGET $ $ 1,700,000 1,700,000 $ 1,290,585 423,259 1,713,844 - 1,500,000 200,000 1,700,000 $ 2,074,352 $ 2,035,941 $ 2,882,170 $ 1,630,033 $ 2,128,440 $ 1,700,000 $ 1,265,329 559,023 250,000 $ 1,434,503 601,438 - $ 1,925,959 706,211 250,000 $ 1,316,863 313,170 - $ 1,560,585 539,934 27,921 $ 1,500,000 200,000 - $ 2,074,352 $ 2,035,941 $ 2,882,170 $ 1,630,033 $ 2,128,440 $ 1,700,000 1 To avoid double counting, above FY 2008 and FY 2009 amounts do not include $500,000 of Regents Innovation Fund revenue and expenditures that were allocated to UA for HRAA CTSA and are included in UA's reports. This $500,000 in FY 2008 and FY 2009 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 in FY 2009 and will be allocated to the universities in FY 2010. Therefore, TSI revenues and expenditures are not included in these ABOR central office numbers but will be included in the universities' reports. 115 116 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 BUDGET SUMMARY BY PROGRAM AREA FY 2009 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Regents Innovation Fund Arizona Regents Reach Out (ARRO) Grants TRIF Strategic Investments (TSI) Carryforward Subtotal Grants/Projects FY 2009 ACTUAL 985,091 1,925,000 2,910,091 $ 155,000 45,000 176,574 376,574 $ $ 1,661,385 594,211 250,000 2,505,596 FY 2009 CENTRAL OFFICE ACTUAL TRIF EXPENDITURES (in thousands) $1316.9 Regents Innovation Fund 81% 1,001,977 1,507,934 2,509,911 150,596 46,707 161,579 358,882 1,046,879 224,272 1,271,151 $313.2 ARRO Grants 19% 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 TRIF Strategic Investments (TSI) Carryforward EXPENDITURES GRAND TOTAL $ 2,882,170 $ 1,630,033 REGENTS INNOVATION FUND (in thousands) $ $ 800,000 110,000 255,000 100,000 110,000 50,000 500,959 1,925,959 706,211 250,000 $ 2,882,170 $ 409,648 88,000 180,456 100,000 130,266 408,493 1,316,863 313,170 1,630,033 $409.6 LearnerCentered Education 31% $180.5 Information Technology Collaborative 14% $130.3 Operating 10% $408.5 Emerging Issues 31% $88.0 UA College of Medicine-Phoenix Planning 7% $100.0 Arizona Water Institute 7% ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 BUDGET REGENTS INNOVATION FUND SUMMARY FY 2009 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 850,959 1,075,000 1,925,959 80,000 20,000 164,574 264,574 FY 2009 ACTUAL $ $ $ 645,426 110,000 255,000 100,000 50,000 500,959 1,661,385 FY 2010 BUDGET 850,959 842,089 1,693,048 $ 92,899 25,125 151,960 269,984 $ $ 269,930 88,000 180,456 100,000 408,493 1,046,879 376,185 1,184,400 1,560,585 110,000 28,000 132,000 270,000 150,000 110,000 180,000 850,585 1,290,585 $ 1,925,959 $ 1,316,863 $ 1,560,585 $ 800,000 110,000 255,000 100,000 110,000 50,000 500,959 $ 409,648 88,000 180,456 100,000 130,266 408,493 $ 270,000 110,000 180,000 150,000 850,585 $ 1,925,959 $ 1,316,863 $ 1,560,585 117 118 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 BUDGET REGENTS INNOVATION FUND Learner Centered Education Course Redesign Initiative (LCE-CRI) FY 2009 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 2010 LCE Grants FY 2009 LCE Grants FY 2008 LCE Grants Subtotal Grants/Projects EXPENDITURES GRAND TOTAL FY 2009 ACTUAL 300,000 500,000 800,000 $ 154,574 154,574 $ $ 300,000 345,426 645,426 $ 800,000 FY 2010 BUDGET 300,000 387,750 687,750 $ 139,718 139,718 $ $ 409,648 120,000 120,000 150,000 150,000 269,930 269,930 $ 244,780 25,220 270,000 $ 270,000 TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) CATION U D E D E R CENTE LEARNER September 1, 2009 LEARNER CENTERED EDUCATION (LCE) Initiative In 2001, the Arizona Board of Regents authorized $500,000 of the TRIF Regents Innovation Fund from Proposition 301 monies for grants to faculty to improve and expand learner-centered education throughout the university system. The purpose of learner-centered education is to change the dynamics of studentfaculty interaction to optimize student learning and learning outcomes (focusing on what is learned rather than on what is taught); to utilize technology to create opportunities for student learning; to utilize student peer interaction (collaborative learning); and to create more active learning venues for students beyond the standard lecture and discussion method. Contents Introduction 1 Award Data 2002-2009 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 online training activities and tools designed to improve student performance in their entry-level engineering foundation courses. The Tri-University collaboration on learner-centered practice (2004). Program Evaluation. 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 (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 Total Project Funding Redesigned Courses $25,143 Enrollment¹ Annual Projected Savings¹,² Average Reduction in Cost Per Student¹ ASU ACC 230: Uses of Accounting Information I ASU CHM 101: General Chemistry ASU College Algebra ASU CSE 180: Computer Literacy $51,763 2,196 $48,312 44% ASU GLG 101 Introduction to Geology I, Physical $52,911 2,200 $72,600 36% ASU MGT 300 Organizational Behavior and Leadership $49,665 360 $78,840 59% ASU CMN 225: Public Speaking $41,178 600 $120,000 58% ASU WST 100 Women and Society $45,218 2,800 $58,800 27% $100,000 $25,000 Project funding discontinued after pilot semester³ 4,540 $254,240 16% Project funding discontinued after pilot semester³ WST 300 Women in Contemporary Society NAU BIO 181 Introductory Biology $24,719 NAU PSY 101 Introduction to Psychology $49,992 2,000 $36,000 30% UA MCB 181: Introductory Biology $50,000 1,730 $152,240 33% UA CHEM 103/104: Fundamentals of Chemistry $49,911 4,000 $100,000 13% UA NATS 101 A Geological Perspective $50,331 1,200 $302,400 58% $615,831 21,626 $1,223,432 TOTALS: Project funding discontinued after pilot semester³ 37% (avg) ¹These figures represent actual program results as documented in final project reports based on Fall 2008 activity. ²Overall 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 total enrollment capacity at no or minimal increase in overall instructional cost. ³Three projects were discontinued following pilot phase primarily for staffing and timing issues. “Total Project Funding” represents 50% of initial approved award. 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 Revenue¹ TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating GRANTS/PROJECTS: FY 2002-06 LCE Grants FY 2007 LCE Grants FY 2008 LCE Grants FY 2009 LCE Grants FY 2010 LCE Grants Subtotal Grants/Projects EXPENDITURES, GRAND TOTAL FY 2009 ACTUAL FY 2002 ACTUAL FY 2003 ACTUAL FY 2004 ACTUAL FY 2005 ACTUAL FY 2006 ACTUAL FY 2007 ACTUAL FY 2008 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 $ 418,027 428,222 $ 846,249 $300,000 500,000 $800,000 $300,000 387,750 $687,750 $244,780 25,220 $270,000 $ $ $ $ $ 120,000 $120,000 $ 3,133 744 2,469 6,326 $ 2,962 2,461 5,254 0,677 $ 9,365 1,491 2,121 2,977 $ FY 09 REV. BUDGET FY 2010 BUDGET 5,180 828 1,575 7,583 9,959 2,502 831 $ 13,292 $ 8,397 2,064 60,307 $ 40,768 137,544² 154,574² $ 137,544 $154,574 139,718 $139,718 $ 567,107 - $ 554,488 - $ 14,212 - $ 454,666 - $ 264,880 - $339,360 - $ (36,524) 345,426 - 345,426 300,000 - 269,930 - 150,000 $567,107 $ 554,488 $ 514,212 $ 454,666 $ 264,880 $339,360 $ 308,902 $645,426 $269,930 $150,000 $ 573,433 $ 575,165 $ 527,189 $ 462,249 $ 278,172 $410,128 $ 446,446 $800,000 $409,648 $270,000 ¹ 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. ² Contract payouts for National Center for Academic Transformation (NCAT) (from page 1) 2007-09 LCE CRI Funded Projects 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. From February through July 2007, project teams consisting of faculty and administrators at each University were coached through a structured process involving intensive analysis and planning as the foundation for their final redesign proposals. In all, 13 projects were selected and guided through a pilot phase, and 10 projects continued through full implementation of their redesigned courses in Fall 2008. In June 2009, NCAT released its report on the results of the projects, addressing the questions: LCE COURSE REDESIGN INITIATIVE As a result of the study, in January 2007 the Board embarked on a two-year LCE initiative based on the successful course redesign model pioneered by the National Center for Academic Transformation (NCAT). The LCE Course Redesign Initiative (CRI), to be managed by NCAT consultants, focused on the redesign of large-enrollment, multi-section “gateway” or key undergraduate courses to: • Demonstrably improve student learning outcomes • Reduce per-student costs of instruction • More effectively align existing institutional resources • Develop internal capacity to redesign additional courses beyond the project funding period The LCE CRI program, which ends Sept. 2009, is funded through the Regents Innovation Fund for the 2007-2011. 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. • Did student learning improve? 5 = Yes, scores improved measurably 2 = Yes, scores showed no difference but course is more challenging 2 = No, no difference • Did course completion rates improve? 5 = Yes 3 = No difference, but course was more difficult or course completion rates were already high 2 = No, no difference • Were instructional costs reduced? 10 = Yes • Will the redesign be sustained after the grant period is over? 8 = Yes 2 = Questionable (to page 4) 121 PAGE 4 (from page 3) Student Enrollment. More than 14,000 students were enrolled in, and thus directly impacted by, the redesigned courses during the Fall 2008 semester. Total annual enrollment of the redesigned courses is estimated at more than 21,000. Many of the projects plan to further increase enrollment as part of the ongoing redesign, raising the number of students impacted even higher in coming semesters. • Reconfiguring the staffing • Reconfiguring space to accommodate larger numbers of students • Increasing student-enrollment capacity without additional resources Looking Ahead . . . NCAT’s rigorous analysis of all project data provides the foundation for solid decision-making about the next steps for the Learner-Centered Education grant Cost Reduction Results. Across all 10 completed program. Faculty participating in this initial LCE CRI redesign projects, NCAT calculated total annual cost grant cycle are enthusiastic about providing reductions at $1,223,432—a reduction of 28%, leadership within their institutions to apply the NCAT compared with the costs of the traditional course redesign model to additional courses. Expanding the formats. The average course-level cost reduction was model to other courses is, in turn, likely to generate 37%. Using the NCAT model, the redesigns saved an greater savings in instructional costs, beyond the average of $93 per student in instructional costs, initial $1.2 million. The LCE Advisory Council, in ranging by course from $18 to $252 per student. consultation with LCE CRI faculty team members, is Strategies for achieving these cost reductions include: considering options for continuing, expanding, and/or revising the LCE grant program and will present • Transferring portions of the class to on-line or recommendations to the Academic Affairs Committee, distance-learning format with the expectation of initiating a new round of LCE • Integrating technology into the teaching/learning program funding by the end of 2009. experience and/or classroom management PERFORMANCE MEASURES / DELIVERABLES Number of courses modified to LCE focus 2002 95 2003 123 2004 104 2005 68 2006 72 2007 –2009 10 Faculty addressing curriculum through LCE grants 188 147 111 141 133 65 Students affected by LCE grant projects 14,000 5,362 6,392 8,491 10,500 20,000-25,000 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. 2009-2010 members: Regents Dennis DeConcini Blakemore, ASU; Don Carter, NAU; and Gail Burd, UA. Arizona Faculties Council: William Verdini, ASU; Charles Connell, NAU; and JC Mutchler, UA. (chair), LuAnn Leonard, Bob McLendon, Ernest Calderon (ex-officio) and Ross Meyer (ex-officio); the three university provosts: Betty Capaldi, ASU; Liz Grobsmith, NAU; and Meredith Hay, UA; and exofficio members Joel Sideman, ABOR; William Culbertson, faculty; and Nicole Pasteur, NAU. 2009-2010 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 2009 ACTUAL / FY 2010 BUDGET REGENTS INNOVATION FUND The University of Arizona College of Medicine-Phoenix, in partnership with Arizona State University Planning FY 2009 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 2009 ACTUAL 110,000 110,000 $ - $ $ 110,000 110,000 $ 110,000 FY 2010 BUDGET 88,000 88,000 $ - $ $ 88,000 88,000 $ 88,000 110,000 110,000 - 110,000 110,000 $ 110,000 123 124 THE UNIVERSITY OF ARIZONA COLLEGE OF MEDICINE-PHOENIX, IN PARTNERSHIP WITH ARIZONA STATE UNIVERSITY FY 2009 RESULTS AND ACCOMPLISHMENTS FY 2009 TRIF 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). Phase One of the College of Medicine-Phoenix consists of the three former Phoenix Union High School (PUHS) buildings, one housing the Virginia G. Piper Auditorium, and the first Arizona Biomedical Collaborative research building (ABC 1). Also located on the PBC is the Translational Genomics Research Institute (TGen) research building. Phase One facilities on the PBC supported the inaugural class of 24 first-year medical students who arrived in July 2007. To accommodate those students plus the second class of 48 first-year students who entered in July 2008, the College of Medicine acquired additional classroom space across the street at the Mercado Center. Another 48 first-year students arrived in July 2009 requiring more classroom space at the Mercado, bringing total enrollment in the College of MedicinePhoenix to 120 students. Phase Two facilities will be necessary to expand the College of Medicine-Phoenix class size beyond the current level, with a goal of expanding the size of the first-year class, over time, to 120 students per year as space and faculty recruitments permit. The Stimulus Plan for Economic and Educational Development (SPEED) authorized in 2008 by the Legislature was scheduled to provide $470 million for two new buildings on the PBC. With the downturn in the national and Arizona economies, this funding was decreased to $376 million and is now at risk. Phase Two projects will provide teaching space needed to expand the College to its full capacity of 120 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 for 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 500 cars. The total estimated square footage for Phase Two is approximately 618,000 GSF, not including parking. Site work construction was scheduled to begin in the fall of 2009, with a planned completion of the HSEB planned for the fall 2012 academic term. Due to the uncertainties surrounding the SPEED funding, construction is now scheduled to being in the spring of 2010, with completion planned for the fall 2012 term. Construction of ABC 2 and the research cores will be completed about a year after HSEB, contingent upon the availability of funding. The team of CO Architects and Ayers Saint Gross is proceeding with the detailed programming requirements of the education facility. 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 nearing completion. 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 268,000 GSF. 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 350,000 GSF. Space in ABC 2 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. 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 10,000 GSF. Results The expansion of the College of Medicine-Phoenix class size to 120 students will be accommodated by the planned Health Sciences Education Building. The expanded class size will require additional basic science faculty, many of whom 125 126 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 2010 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, the UA College of Pharmacy, and the NAU Health Professions Program, 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 2010 GOALS/OBJECTIVES 1. Complete planning, programming, and design; secure funding; and break ground for the Health Sciences Education Building (HSEB). 2. Continue planning, programming, and design of ABC 2. FY 2009 ACTUAL/FY 2010 PROJECTED PERFORMANCE MEASURES/DELIVERABLES FY 2009 Projected FY 2009 Actual FY 2010 Projected 1. 2. 2. Return on Investment Complete planning, programming, and design of HSEB. Begin construction of HSEB. Complete planning, programming, and design of ABC 2. Completed Fall 2009 Completed In progress In progress - Completed Spring 2010 In progress - 4. 5. Partnerships/Collaborations Continue collaborative effort among UA, ASU, and NAU. Continue collaborative effort with City of Phoenix. Ongoing Ongoing Ongoing Ongoing Ongoing Ongoing 127 128 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 BUDGET REGENTS INNOVATION FUND Information Technology Collaborative FY 2009 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: SharePoint Project Collaborative Supercomputing Projects to be determined Moran Consulting Design 44 (ABOR website design) Subtotal Grants/Projects EXPENDITURES GRAND TOTAL FY 2009 ACTUAL 75,000 180,000 255,000 $ - $ $ 75,000 180,000 255,000 $ 255,000 FY 2010 BUDGET 75,000 139,590 214,590 $ - $ $ 940 75,000 99,716 4,800 180,456 $ 180,456 180,000 180,000 - 80,000 100,000 180,000 $ 180,000 INFORMATION TECHNOLOGY COLLABORATIVE FY 2009 INITIATIVE OVERVIEW Collaborative Information Technology (IT) projects that can improve service and/or result in cost savings or enhance IT security continue to be of particular interest to the Regents. A consultant has been engaged to facilitate UA’s Mosaic project implementation, which includes Human Resources, Student Administration, Research Administration, and Financial and Business Intelligence systems. SharePoint for the ABOR central office and a new Arizona Board of Regents website continue to be implemented. Various possibilities exist for the efficient and effective use of seed money, such as support of tri-university collaborative IT projects and possibly to help provide matching funds for various federal stimulus projects. FY 2009 GOALS/OBJECTIVES 1. 2. 3. 4. Continue implementation of SharePoint. Arizona Board of Regents website redesign. Oversee consultant for Mosaic implementation at UA. Continue implementation of the Tri-University Identity Federation (ATIF) for Arizona University System and collaborative university Supercomputing project. FY 2009 PERFORMANCE MEASURES/DELIVERABLES Projected 1. 2. 3. 4. Return on Investment Implementation of major central office functions using SharePoint. Consulting on the Arizona Board of Regents website redesign. Moran consulting on UA Mosaic project. Partnerships/Collaborations Reporting on the Tri-University Identity Federation project and Collaborative University Supercomputing project. Actual On Schedule On Schedule On Schedule Completed and Ongoing Ongoing Ongoing On Schedule Ongoing FY 2009 RESULTS AND ACCOMPLISHMENTS 1. 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 were developed. An Academic Programs Inventory system was completed, and a Capital Projects system is nearly complete. This virtual private network is a continuous process as additional Board of Regents and central office processes are refined and automated. 2. A consultant was retained to assist in the redesigning of the Arizona Board of Regents website. 3. A consultant reported quarterly to the Technology Oversight Committee on the status of the UA Mosaic project. 4. Regular progress reports on the Tri-University Identity Federation (ATIF) project and the collaborative university Supercomputing project were provided to the Technology Oversight Committee. 129 130 FY 2010 INITIATIVE OVERVIEW A consultant to monitor The University of Arizona’s $90 million Mosaic project to implement Human Resources, Student Administration, Research Administration, and Financial and Business Intelligence system was 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. The new Arizona Board of Regents website redesign project continues to be implemented. Numerous possibilities exist for the efficient and effective use of seed money for collaborative IT projects. FY 2010 GOALS/OBJECTIVES Additional goals and objectives will be provided when final IT projects are selected. 1. Continue implementation of SharePoint. 2. Continue redesign of the Arizona Board of Regents website. 3. Oversee consultant for monitoring the UA Mosaic system implementation. 4. Continue reporting on the Tri-University Identity Federation (ATIF) for Arizona University System project and the collaborative university supercomputing project. FY 2010 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Implementation of major central office functions using SharePoint, including Regents Resource Center. 2. Redesign of the Arizona Board of Regents website. 3. Oversee consultant for monitoring the UA Mosaic systems implementation. Partnerships/Collaborations 4. Report on Tri-University Identity Federation project and the Collaborative University Supercomputing project. Projected On Schedule On Schedule On Schedule Ongoing ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 BUDGET REGENTS INNOVATION FUND Statewide Transfer Articulation System FY 2009 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 FY 2009 ACTUAL 50,000 50,000 $ - $ $ 50,000 50,000 $ 50,000 FY 2010 BUDGET 50,000 50,000 $ - $ $ $ - - - $ - 131 132 STATEWIDE TRANSFER ARTICULATION SYSTEM FY 2009 INITIATIVE OVERVIEW Arizona Transfer Articulation Support System (ATASS) Website: The Board authorized the expenditure of $42,000 of FY 2009 Regents Innovation Funds for the redesign of the Arizona Transfer Articulation Support System (ATASS) website. The redesign was completed in August of 2008. It was anticipated that the new look and improved navigation would increase the use and satisfaction with the website, and the usage is up overall 25% for the year. More significantly, the peak month in 2009 doubled the peak month for 2008 (2,189,217 hits in 2009 compared to 1,235,071 hits in 2008). ABOR is part of a statewide team seeking a grant through the Lumina Foundation for Education under the Making Opportunity Affordable (MOA) initiative. Should that grant be awarded to Arizona, analysis of the ATASS website (satisfaction, usage patterns, etc.) will be done in preparation for additional improvements and expansion of the website. If the grant is not awarded, alternatives to doing this analysis will be considered. Software to Upload Courses The community colleges and universities were notified in Fall 2007 that the Arizona Board of Regents was funding the licensing and installation of software to make it easier for students to upload their courses to determine transferability to other institutions. The allocated amount was $70,500. Institutions were given 18 months, or through December 2008, in which to participate. The progress on this project has been much slower than expected. However, of the four community colleges that indicated interest in installing the software last year, two have gone “live” and two have made the arrangements for the installation. All community colleges were notified again during Fall 2008, and it was promoted at a meeting of the community college chief academic officers. Should Arizona receive the Lumina MOA grant, it is expected that the remaining schools will install the software as part of the web improvements. FY 2009 GOALS/OBJECTIVES 1. Implement the new design by September 2008. Completed. 2. Install software at all 10 community college districts and 3 universities for transcript upload (December 2008). Partially completed. FY 2009 PERFORMANCE MEASURES/DELIVERABLES 1. Return on Investment Increased use of ATASS website 2. 3. Increased student, staff, faculty, and advisor satisfaction with website Students better prepared to transfer to the universities 25% increase in one year; usage doubled for the peak month. TBD TBD 133 134 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 BUDGET REGENTS INNOVATION FUND Arizona Water Institute (AWI) FY 2009 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: The University of Arizona Subtotal Grants/Projects EXPENDITURES GRAND TOTAL FY 2009 ACTUAL 100,000 100,000 $ - $ $ 100,000 100,000 $ 100,000 FY 2010 BUDGET 100,000 100,000 $ - $ $ 100,000 100,000 $ 100,000 - - $ - ARIZONA WATER INSTITUTE (AWI) FY05 - FY09 ACTUAL FY 2005 Actual (*) FY 2006 Actual (**) FY 2007 Actual FY 2008 Actual FY 2009 Budget*** FY 2009 Actual REVENUE Carry Forward $ - $ - $ 57,951 $ 48,987 $ 57,891 $ 57,891 NEW TRIF Revenue $ 37,500 $ 150,000 $ 200,000 $ 200,000 $ 100,000 $ 100,000 Total Revenue $ 37,500 $ 150,000 $ 257,951 $ 248,987 $ 157,891 $ 157,891 Personnel Services $ - $ 82,894 $ 192,312 $ 181,080 $ 157,891 $ 150,536 Other Operating $ 37,500 $ 9,156 $ 16,652 $ 10,016 $ - $ 6,932 Total Expenditures $ 37,500 $ 92,049 $ 208,964 $ 191,096 $ 157,891 $ 157,468 EXPENDITURES * FY 2005 TRIF funds were allocated to Arizona Department of Commerce (not to AWI) to fund developmentp of AWI business plan by Battelle Institute.g q p g g Director and 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 2008-2009 AWI Annual/Final Report This is a report of AWI’s activities in calendar years 2008–2009, which were the third and fourth formal years of existence of the Arizona Water Institute. Included is summary of financial material that serves as the final report for the Arizona Water Institute. This report includes the following major topics:      AWI Highlights of 2008–2009 Building Applied Research Capacity 2008–2009 AWI Sponsored Projects Jacobs/AWI Outreach Activities AWI Operations  Funding and Fundraising I. AWI Highlights of 2008–2009 Since its inception, AWI has initiated 60 projects (including faculty incentive grants), 33 of which have been completed, and 5 contracts. There are 27 projects still underway that will be finalized after AWI has formally been disbanded. We have also coordinated or sponsored/cosponsored 2 field trips and 23 workshops/conferences. A summary of the outcomes of the projects from the first two years of project funding is included (Attachment 1). We brought in a total of $1.65 million in cash and matching funds, and $618,583 of in-kind contributions for our projects in the last three years. In addition, our investments led to a series of successful externally funded grants, resulting in $2.69 million in additional income to the three universities. Key highlights from the past year include: 1) 2) 3) 4) 5) 6) 7) 8) 136 Successful completion of 15 AWI projects on schedule. 63 project concept proposals received and 15 approved for 2009 (many subsequently cancelled upon the decision to shut down by July 1, 2009). Agreement from the Bureau of Reclamation to extend the Colorado River project – Enhancing Water Supply Reliability through Enhanced Use of Climate Predictions – for at least another two years. Completed a detailed summary of project outcomes from all of our projects, and 2-page color handouts (available on the web and included with this report) on all completed grant-funded projects. Eight workshops sponsored, some co-sponsored with other entities. Development of the Strategic Plan for the Bi-national Institute for Water and Renewable Energy. Responded to an ever-increasing demand for information from AWI, including 46 invited talks (Jacobs only - this does not include talks given by other AWI employees and collaborators that relate to our work). Received a grant from Christy Walton through the International Community Foundation to initiate a bi-national water training program in La Paz, Mexico – consisting of a series of 6 9) 10) 11) 12) 13) workshops (three completed, three more in planning stages, to be completed at the end of this year by Placido dos Santos). Through a collaborative effort at UA between SAHRA, Biosphere 2, AWI and the Institute of the Environment, we hired a new Assistant Research Professor of Informatics, Matthew Garcia. Substantial contract work in multiple areas was negotiated with the Central Arizona Project; two projects have proceeded (the CAP ADD Water Project and the Yuma Desalination Plant project with Wendell Ela and Peter Fox). At the time of the decision to shut down AWI, several additional large projects were still in negotiation, including a monitoring project with Karl Flessa for several hundred thousand dollars, and a project on water and land use on the Colorado River was contemplated. We were invited to give a Sackler Colloquium by the National Academy of Sciences on the topic of “Informing Priorities for Water Sustainability Research through Dialogues between Decision Makers and Scientists.” We gave an invited paper on Arizona Water Management Innovations in Zarragosa, Spain. We initiated a thorough evaluation of our program in collaboration with a graduate student at ASU, Clea Senneville, who is completing this assessment of AWI as a “boundary organization” as her master’s project in the School of Sustainability. She has interviewed most major players in AWI, including many board members, PIs and staff. AWI employees Jacobs, dos Santos, and Graf all serve on numerous advisory committees. This year new requests for my participation included:  Chair, Adapting to the Impacts of Climate Change Committee, National Academy of Sciences, and Member, America’s Climate Choices Committee  Colorado River Hydrology Advisory Board – US Bureau of Reclamation  NOAA Climate Service Development Tiger Team  NOAA Climate Services Development Review Panel  Science Steering Group – Water Cycle Inter-Agency Working Group, US Climate Change Science Program Office (current) II. Building Applied Research Capacity Since January 1, 2008, we worked towards building larger scale, higher impact projects as well as expanding the ability of the universities to respond to stakeholder needs.  In partnership with Harvard University, Arizona State University and the Water Resources Research Center, we sponsored a very successful workshop on climate change adaptation for water managers on February 4-5, 2008, at the Biosphere 2 facility. This has led to several publications and ongoing work in this area.  On February 21-22, 2008, we sponsored a workshop on energy-water sustainability in the border region (in support of the Bi-national Institute for Water and Renewable Energy) at ADWR, attended by roughly 60 people, with simultaneous translation and multiple breakout sessions.  In collaboration with Biosphere 2, we supported two workshops, one on energy and water conservation and one on the development of their strategic plan (Jan-Feb 2008).  We assisted the Arizona Water Pollution and Control Association in a workshop to define priority research needs in March, then sponsored a state of research workshop at the opening session of their annual meeting in May 2008 (attended by 500 people).  In September 2008, we co-sponsored a Weather Modification workshop at NAU.  On October 29, 2008, we sponsored an innovative workshop on defining Arizona’s Research Agenda in Tempe, featuring the first-ever Arizona’s Got Talent Show for water researchers.  A two-part workshop on surface water-groundwater hydrology is being produced jointly with the Bureau of Reclamation on April 23, 2009, and in the fall of 2009 (this activity is sponsored by Reclamation funding, not AWI, and will continue to move forward).  We have coordinated the first 3 of a series of 6 workshops in La Paz, Mexico, which were funded by the International Community Foundation to initiate a bi-national water training 137 program.  I coordinated a workshop at ASU in February 2009 for the Reclamation downscaling project and have been building funding and staffing for this project. Because it is clear that information technology will be a critical component of building adaptive capacity, and because our investment in the Arizona Hydrologic Information System (AHIS) needed to be managed more directly, in the summer of 2008 we hired Matthew Garcia as the UA director for AHIS. He previously worked at the NASA Goddard Space Center and has great proficiency in working with complex data bases in multiple formats. He has made major progress in moving the project forward and is currently planning 4 grant proposals in collaboration with his AHIS colleagues at ASU and NAU, as well as other colleagues at UA. We have been working on several other fronts related to capacity building – assisting tribal entities through several of our grants, working with watershed groups and communities to address specific sustainability issues, working on identifying priority research needs for water treatment and wastewater operations, and supporting efforts to build an employment pathway for water and wastewater treatment plant operators with Gateway Community College, among other examples. I have been working with the Tucson-Pima County Water and Wastewater Infrastructure Planning Committee, helping to define their planning process, select speakers, and develop and review documents, as well as presenting to the committee on water reliability. I have also produced several proposals related to building climate adaptation centers and enhancing the impact of UA research through a proposal called “Research Hits the Road.” We have continued to add to our list of collaborators and project sponsors. There are a total of 101 entities with whom AWI has collaborated on projects and programs. III. 2008–2009 AWI Sponsored Projects A. Grant-Funded Projects AWI’s project approach this year changed substantially from that used in previous years. Historically, though our projects were managed very differently from other grants, they were selected by a relatively classical 3-level review panel approach. This year we requested that applicants submit “project concepts” rather than proposals. At the end of August, AWI announced availability of up to $600,000 in funding for collaborative grants, and soliciting concept-level ideas for new projects. The new approach to the grants process was expected to result in a smaller group of larger, more strategic projects, with at least one project anticipated in each of the research theme areas. Maximum funding per project was to be $100,000, but projects were expected to include significant cash matching (50% or more of the total budget). Some top priority projects were selected even though they are unable to obtain significant matching funds – mostly funding for workshops and white papers focused on research proposals. AWI expected to put extensive AWI staff resources into the development, oversight and in some cases the actual work for each funded project. A few of the selected projects are still moving forward despite the decision to shut down AWI functions July 1. Availability of faculty incentive grants and student internship opportunities was also advertised on all three campuses and a few of those projects will move forward. B. Other Priority AWI Projects I am the project manager for the AWI–US Bureau of Reclamation project, “Enhancing Water Supply Reliability through Improved Climate Predictions.” We are in the fifth year of this major project that involves four PIs (soon to be five) in four different UA departments and five RAs/Post docs. 138 Significant outcomes of the project to date include further extending the tree ring record for the Upper Colorado to the prehistoric period, an extension of roughly 1200 years. Project investigators are also developing a new method for predicting precipitation within watersheds based on sea surface temperatures, and multiple publications including Eos, Journal of the American Water Works Association, Bulletin of the American Meteorological Society, Journal of Geophysical Research, Water Resources Research, etc. The economics team has been supporting Reclamation assessments of innovative water marketing techniques such as auctions. This team has been selected to receive a “Partners in Conservation” award from the Secretary of the Interior. AWI has been the Arizona coordinator of the Arizona-Sonora Bi-national Institute for Water and Renewable Energy. AWI held a major conference in February and prepared a summary, serving as the key convener of this effort. Placido dos Santos has played a significant ongoing role in US-Mexico discussions of water and energy and was able to assist in selection of an Arizona firm for work on desalination efforts in Rocky Point. IV. Jacobs/AWI Outreach Activities In the past 12 months, I prepared and gave 46 presentations and we organized or co-produced 10 conferences and workshops. Placido and Chuck, the AWI Associate Directors, gave an additional 10 presentations. The presentations of the AWI Campus Coordinators are not itemized in this report. We prepared a total of 18 public handouts for AWI. We now have a set of handouts that can be used for different audiences that were updated on a regular basis, including 2-page project summaries for all of the completed projects that are available as handouts and on-line.  The AWI website was updated weekly and continues to be well used and received.  I appeared in a national documentary, “Running Dry in the Southwest”, and was filmed for two other documentaries on drought and water supply issues in the west (no ETA on either of the other two, but the Running Dry documentary has been playing nationwide on public television).  A mailing list of over 2,300 individuals has been receiving the AWI e-newsletters (three were prepared during 2008).  In the last year, I have appeared on KUAT TV twice – once related to the National Academy panel on climate change, once on a panel reviewing the Running Dry movie. V. AWI Operations A. AWI Central Staff/Support SAHRA continued to provide office space, furnishings, computer and administrative support for the central office. Although we had a major setback in our administrative functions for this year and had only a half-time student for support for 6 months, we hired a new Program Manager in November, Mary Lovely. She has been doing an excellent job. Our student, Stephanie Polm has been amazing, keeping the AWI office functioning from April through November. She took on most of the functions of our office with virtually no notice or training, and has been our web master for the past year. Rachel Nielsen at the UA VPR office has provided excellent administrative support on all our business transactions. Now that we are in shut-down mode, AWI staff transitions have already begun. Anna Spitz, who had been the UA Coordinator, has moved on to a job with the B2 Institute and the UA SkyCenter. Jim Holway, who has been managing the ASU-AWI office more or less singlehandedly since his assistant Jina Olbinski moved on, has accepted a position at the Sonoran Institute. Paul Gremillion and Abe Springer have shared the coordination activities at NAU; Abe will now become the Director of a new Earth Sciences School at NAU, and Paul will continue on as a faculty member at the university. Mary Lovely and Stephanie Polm, who will be laid off as a result of the AWI closure, are actively seeking other employment. 139 B. AWI Meeting Coordination AWI central staff scheduled multiple AWI meetings, including weekly coordination meetings, several Executive Committee meetings and business manager meetings, and allstaff and External Advisory Committee meetings twice a year. External Advisory Committee meetings were held in January and October of 2008. Central office staff, assisted by Jina Olbinski at ASU also supported all of the workshops, some of which were multipledays with very complex arrangements. C. Campus Coordinators All three coordinators maintained campus list-serves and held meetings to facilitate communication with faculty and students and promote generation of project ideas and funding opportunities as well as efficient management of projects.  Anna Spitz (UA) was the project manager for multiple AWI projects, assisted with the newsletter and with tracking funding for projects. She worked on several letters of intent for grant applications and managed the UA intern and faculty incentive programs.  The AWI office at ASU has been located at the Global Institute of Sustainability; Jim Holway continued as the campus coordinator for ASU. Linda Williams very ably covered the ASU business activities including supporting the two AD’s and several complicated contracts. Jim received support for most of the past year from Jina Olbinski.  NAU has an AWI office that is supported by Melody Bowling and Kimberly Everidge, with Abe Springer and Paul Gremillion serving as co-coordinators. NAU has been exceptionally supportive of all AWI activities and very engaged in our work and sees a future for some water coordination activities after AWI ceases operations. D. Associate Directors There are now only two Associate Directors (AD), as Bennett Curry left his position as AD for Commerce in December of 2007. Chuck Graf has been in his position for two and a half years, and Placido dos Santos for about two years and a quarter.  Chuck has been doing a yeoman’s job as manager of most of our water quality projects, liaison for ADEQ, and coordinator of the salinity workshop. He is on numerous advisory boards and reviews proposals for many other organizations. He regularly helps coordinate conferences and workshops and has been assisting in fundraising and grant writing.  Placido is the AD for ADWR, and has worked hard to engage ADWR in AWI activities. He initiated a new Water Table for the Arizona Mexico Commission at ADWR’s request and is now the lead Arizona coordinator for the Arizona-Sonora Bi-national Institute for Water and Renewable Energy. He coordinated and led a very successful bilingual field trip co-sponsored by AWI to the lower Colorado and Delta area and has developed the US-Mexico training program funded by Christy Walton. He is managing several AWI projects. He also participates in reviewing research proposals for outside entities and has been invited to Washington DC twice in the last year to provide input to EPA. He has also participated in multiple bi-national conferences. E. Other We spent much time this year unsuccessfully trying to reach a comprehensive agreement about the IDC rate for AWI projects and developing a unified and simplified joint contracting process across the universities. VI. Funding and Fundraising   140 This year, the Board of Regents provided $100,000 to support central office activities. The Arizona Legislature provided $1.08 million to support AWI activities on the three campuses for FY 2008-2009. Due to the budget cut in 2008, we were operating at 10% lower levels (and now are in shut-down mode, so roughly half this amount will be returned on each campus).        Our fundraising activities were curtailed this year due to administrative issues in our office. We did receive checks from APS, City of Phoenix, Salt River Project, Global Water, and Tucson Electric/Unisource, the City of Scottsdale, AWPCA and the National Water Research Institute. The donations received in 2008–2009 totaled $89,050. Over the past three years, we have received support from several sources at the UA to support AHIS, including a 2007 TRIF grant of $100,000 through SAHRA to support a programmer and the new informatics position, $75,000 to support the new informatics position through IE, and $45,000 from Biosphere 2 for the informatics position, derived from a Science Foundation Arizona grant. Funding at ASU for one grad student came from the Decision Center for a Desert City and a $150,000 grant came from the Arizona Community Foundation. Although we have not finalized the agreement yet with Reclamation, they are currently processing a $457,332 renewal on our “Enhancing Water Supply Reliability on the Colorado River” grant. The contract for this renewal has been in negotiation for 9 months. Two NSF grants submitted during 2007 were turned down but received generally positive reviews. They will be modified for resubmission by Matthew Garcia during 2009–2010. AWI has also obtained significant research funding for our projects from outside collaborators. We requested earmark funding for the Casa Grande Water Recycling Project through the Energy and Water Development and Related Agencies Appropriations Act of 2009, and were awarded $54,000 via the Inland Waterways Trust Fund. This funding is to support water recycling technology evaluation and development for the 100% recycling at the Frito Lay Casa Grande Plant. Total funded activity for AWI since its inception, including direct funding, cash matching, and in-kind contributions, was $4.2 million. The total cash flow to the three universities from the Arizona legislature and the Arizona Board of Regents was $4.43 million. 141 142 2008 AWI Funded Project Summary (2/20/08) 2008 Project 1. Enhancing Sustainable Water Reclamation Using Algae-Based Biotechnology NonUniversity Partners** Status Selected for Funding Benefits to Arizona’s Citizens Phoenix Perform research to integrate algae-based biotechnology into sewage treatment processes for bioenergy production, carbon dioxide sequestration, and dissolved solids reduction. Peoria, Tucson, Mesa, Chandler Evaluate operational practices in public drinking Selected water systems to ensure that the deadly amoeba, for Naegleria fowleri , if present in the source water, is Funding controlled and will not pose a threat to human health. Protection of drinking water supplied by public drinking water systems. Characterization of a novel pretreatment approach that could greatly increase the effectiveness and reduce brine wastewater volumes in the RO treatment of CAP water. Enhance the feasibility of large-scale treatment of CAP water to augment the water supply in Tucson and elsewhere. Investigators (Principal Invest. in bold): Baxter (NAU); Hu, Sommerfield (ASU) 2. Evaluating Proposed Operational Practices for Control of Naegleria fowleri in AZ's Public Drinking Water Systems Expected Outcomes Promotes enhanced energy production potential of sewage treatment plants, reduced energy use and carbon footprint, and improved quality of treated wastewater available for beneficial reuse. PI: Brown, Rittmann, Abbaszadegan (ASU); Gerba (UA) 3. Reverse Osmosis Pretreatment Using Ion Exchange Brine Recycle and Selective Precipitation PI: Ela, Arnold (UA); Ketterer (NAU) 4. Arizona's Agricultural Economy - Future Scenarios and Water Management Implications PI: Frisvold (UA); Aggarwal, Patterson, Acharya, Molina (ASU) Agri-Business Hold six listening sessions with key agricultural Selected Council of stakeholders to determine their vision for the future for Arizona of agriculture in AZ. Based on this input, develop 3-5 Funding future scenarios for agriculture and evaluate their water management implications, both medium-term (to 2020) and long-term (2020-2050). This project analyzes future scenarios for agriculture as a first step to allow policy makers to consider water needs in Arizona, to avoid unintended disruptions to agricultural economies and rural communities and to evaluate different criteria for any potential water transfers. This project combines in a unique way two emerging Selected technologies (microfluidics and microcantilever for sensors) that could lead to the development of real- Funding time instruments for detecting and quantifying dangerous chemicals and pathogenic organisms. Technologies for real-time detection of dangerous chemicals and pathogenic organisms are critically needed in the drinking water and wastewater treatment industries and for homeland security purposes. This project has very high commercialization potential. Builds on ongoing work by evaluating new concepts for modeling evapotranspiration (ET) in ponderosa pine forests undergoing thinning. A new approach using wireless, compact, distributed data-logging sensors will be used to provide ET data. Thinning is often promoted to reduce forest fire hazard and increase surface water yield in ponderosa pine forests. ET is a key factor in estimating runoff and water yield for thinned plots. This project will help evaluate the water and related benefits of forest thinning. 5. On-Site Microbial Monitoring of Water by Electrokinetic LabOn-A-Chip PI: Islam, Porter (NAU); Chae (ASU) 6. Impacts of Forest Thinning on Water Balance PI: Kolb, Montes-Helu, Flikkema (NAU); Breshears (UA) Selected for Funding NSF, USDA Selected for Funding 2008 AWI Funded Project Summary (2/20/08) 7. Arizona Hydrological Information Portal - A Collaborative Web Environment for the AHIS Kleinfelder This project will integrate recently completed Selected components of the Arizona Hydrological Information for System (AHIS) into a single user-accessible and user- Funding friendly Web portal through which users will be able to easily and efficiently manage and share data. The Web portal will allow state agencies, researchers, private industry, and the general public easy Internet access to a wealth of cross-agency water data in AZ and aids AHIS in becoming the electronic clearinghouse for user-friendly access to water data in Arizona. ADEQ, ADWR, USBR Identify and compile data on reclaimed water and its Selected reuse/recharge from ADWR, ADEQ, and other for sources. Based on the data compilation, the current Funding status of reuse/recharge and state regulatory programs governing those activities will be evaluated, and further opportunities for more widespread and efficient reuse will be identified. Project will provide a better understanding of the extent of reuse/recharge in Arizona, how this source of water compares to other sources of supply (groundwater, surface water, CAP water), and opportunities for promoting additional utilization. This project will 1) map spatial patterns of population Selected growth and economic drivers in the rapidly growing for Arizona-Mexico border region, 2) quantify current Funding and future energy and water requirements, 3) assess future energy and water sustainability including impact of climate change, and 4) evaluate alternative management scenarios. Water and energy demands are inextricably linked at the Mexican border and need to be evaluated from a combined management perspective. Information on projected energy or water shortfalls identified in this study will assist Arizona and Sonora in developing sustainable energy/water strategies. Drought status in AZ is currently determined using Selected set of subjective weighting factors for various drought for indicators (e.g., rainfall and streamflow). This project Funding will analyze the drought indicators and weighting factors , develop optimal calculation methodologies and weightings, and test against historical records for prediction accuracy. Portrayal of drought status to affected parties, government officials, and the general public needs to be as accurate as possible. This project will provide a better scientific basis for determining drought status in Arizona, which in turn will allow more appropriate and effective drought mitigation strategies to be implemented. PI: Otte (NAU); Gries, Aguilar (ASU); McGill (UA); Abraham (Klienfelder) 8. Status of Generation, Reuse and Recharge of Treated Wastewater in AZ: Evaluation of Programs, Data Sources and Utilization Opportunities PI: Rock, Uhlman, Eden, Westfall (UA); Fox, Stromberg, White (ASU); Solop, Newell (NAU) 9. Water and Energy Sustainability with Rapid Growth in the Arizona-Sonora Border Region PI: Scott, Varady, Garfin (UA); Pasqualetti, Guhathakurta (ASU) 10. Sensitivity Analysis of Arizona State Drought Status Determination *PI: Selover (ASU); Crimmins, Garfin (UA); Craig (ADWR) 11. Verde River Ecological Flows Study Phase II: Integrated Research for Refining Flow-Ecology Response Models PI: Stromberg, Schmeekle (ASU); Springer (NAU); Meixner, Reinthal (UA) ADWR The Nature One of the products of the first phase of this study Conservancy (2007 AWI Project #4) was a consensus research agenda for determining the ecological response to hydrologic variation in the Verde River. This 2008 study begins implementing the research agenda, including integrated data collection (floodplain characteristics, riparian vegetation, fish and fish habitat-flow relationships, groundwater levels, etc.) and further development of the flow-ecology response model. Selected for Funding In the upper Verde River, increased groundwater pumping will cause conflicts between human and ecosystem needs due to resulting flow decreases to the river. The aim of this project is to better define the water requirements needed to maintain the ecologic characteristics of the Verde River system (fish, riparian plants, etc.). The information gained is essential to devise approaches to sustain the Verde River ecosystem as water demand grows. 143 144 2008 AWI Funded Project Summary (2/20/08) 12. Hydroclimate Management Capacity Building and Watershed-Based Precipitation Runoff Modeling in the Navajo Nation Navajo Nation Dept of Water Resources PI: Tecle, Anderson, Cobb, Heinrich (NAU); Garfin, Crimmins (UA); Leeper, Tallsalt-Robertson (Navajo Nation) 13. Operation of the Activated Sludge Process for Removal of Estrogenic Activity During Conventional Wastewater Treatment PI: Quanrud, Saez (UA); Propper, Vail, Ingram (NAU) 14. A Best Practices Guide for Rural Water/Energy Usage in Arizona PI: S. Mead, Schlinger, Auberle, J. Mead (NAU); Casavant (UA); Sejkora (AZ State Parks) 15. Developing a Methodology for Identifying and Prioritizing At-Risk Water Resources for the Coconino Plateau PI: Springer, Stevens, Manone (NAU); Hogan (UA) Az State Parks This project follows up on findings of a 2007 AWIfunded project (#5) on the Navajo Nation by 1) developing manpower and building capacity in hydroclimatic science and instrumentation management and 2) modeling watershed-scale rain–runoff relationships. Selected for Funding This project will help the Navajo Nation acquire reliable information on water yield and stream flood flows for economic development, flood and drought forecasting and management, and hydraulic structural design and ecosystem maintenance. All of this information will help provide a better quality of life in tribal communities. Continues research from a 2007 AWI-funded project Selected (#6) by using bench-scale methods to determine the for effectiveness of specific unit sewage treatment Funding processes to remove endocrine disrupting chemicals (EDCs) from treated wastewater. The project also supports continued development of a rapid immunobased sensor to detect key estrogenic compounds. Promotes safe and effective reuse of reclaimed water in Arizona by identifying the specific sewage treatment plant processes and operational methods that will most effectively remove EDCs from treated wastewater. The sensor, which has great commercialization potential, will make analysis of key estrogenic compounds simpler, faster, and cheaper. Develop a best practices guide for rural communities Selected to conserve water, reduce energy usage, and minimize for greenhouse gas emissions in the management and Funding operation of their water and wastewater infrastructure. Rural communities operating water treatment/distribution and wastewater collection/treatment systems generally do not have the personnel and expertise to help them “green” their infrastructure. The best practices guide from this project will fill that gap and benefit the communities from both economic and environmental standpoints. The project will (1) convene a workshop of experts in Selected scientific, cultural, historical, and water law fields to for identify Coconino Plateau’s most important Funding hydrologic features, (2) compile existing information about “at-risk” water resources at these sites, (3) conduct site visits to fill in basic data gaps, and (4) develop a prioritization scheme and prioritize areas. By identifying at-risk water sources on the Colorado Plateau, an opportunity exists to prioritize these sources for management and protection as needed. The methodology will be published and disseminated for use by other watershed groups throughout Arizona to ensure that at-risk water are properly identified and prioritized. *Public and private investment: AWI grant amount [left column]; partner cash and in-kind contributions by universities (non-AWI), public agencies, non-governmental organizations and private sector entities [middle column]; and total investment [right column] **Non-university public or private partners contributing cash or in-kind services to the project. (AWI appreciates substantial cash and in-kind service contributions by one or more of the universities for many of the projects, but has not separately listed those university partners in this column) ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 BUDGET REGENTS INNOVATION FUND Emerging Issues FY 2009 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 Algebra II Assessment Pilot Projects to be determined: Consulting services relating to 2020 Vision strategic plan Consulting services relating to federal stimulus funds Advancing Arizona through a Web-based Initiative (CFA) Subtotal Grants/Projects EXPENDITURES GRAND TOTAL 425,959 575,000 1,000,959 - FY 2009 ACTUAL 1 $ $ $ 250,000 75,000 500,000 15,000 160,959 1,000,959 $ 1,000,959 FY 2010 BUDGET 425,959 490,912 916,871 $ - $ $ 250,000 75,000 500,000 15,000 35,240 33,253 908,493 $ 908,493 131,405 719,180 850,585 - 500,000 15,000 210,585 60,000 65,000 850,585 $ 850,585 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 3 This $500,000 of FY 2010 funding is pending ABOR approval in September 2009. HRAA CTSA funds were allocated to UA in FY 2008 and FY 2009 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. 2 145 ARIZONA BUSINESS AND EDUCATION COALITION (ABEC) ARIZONA ACADEMIC SCHOLARS INITIATIVE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FINAL REPORT August, 2009 Prepared by Susan Carlson, Executive Director, ABEC Bobbie Cassano, Academic Scholars Director 146 ARIZONA BUSINESS AND EDUCATION COALITION (ABEC) ARIZONA ACADEMIC SCHOLARS INITIATIVE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL FY2009 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 third 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 2009 was to expand the Initiative beyond the current 16 school districts and their communities and to prepare for the sustainability of the partnerships as the ABOR grant money comes to an end. 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 post-secondary 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 statewide. 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 downturn in the state and national economy was not anticipated at the time of the annual Initiative planning and, as might be expected, played a part in the outcome of the Initiative results. This economic influence was perhaps best seen in lower than anticipated new districts adopting Arizona Academic Scholars and, in part, may be responsible for less business activity surrounding Scholars’ presentations and on-going support. FY2009 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. ABEC Arizona Academic Scholars TRIF Final Report, August, 2009 Page 2 147 FY2009 PERFORMANCE MEASURES / DELIVERABLES FY2009 ACTUAL 1 Increase the number of Arizona Academic Scholars district statewide 2 Increase the number of high school students graduating as Arizona State Scholars 3 Increase number of 8th / 9th graders receiving presentations regarding the Scholars course of study Multiple presentations were given to Superintendents, key educators, School Boards and business organizations including several meetings in Cochise County involving the community college and the school districts and business organizations in both large and smaller group settings. Three new Scholars districts were added, bringing the total number to 19 participating districts statewide. Approximately 900 more Scholars medallions were ordered in 2009 as compared to 2008 for seniors graduating as Arizona Academic Scholars. These figures do not include Mesa Public Schools (have chosen not to use medallions) or Gilbert Public Schools (chose not to recognize seniors this year because they were just starting to implement Scholars). District final reports indicate a total of approximately 5500 students in the 19 districts graduated as Arizona Academic Scholars. Approximately 826 Scholars presentations were given to 8th/9th grade students in the 19 districts. An estimated total of just under 27,000 students received this Scholars’ information statewide. FY2009 RESULTS, ACCOMPLISHMENTS, AND LESSONS LEARNED 1. Three new districts and their business partners signed letters of commitment to become Arizona State Scholar partnerships in the year, bringing the total to 19 participating active Scholar districts. 2. In conjunction with representatives from ADE, ABOR, administrators, school counselors and ABEC, the Scholars course of study was revised for students graduating in 2013 and after. This revision reflects an increase in rigor greater than will be required by the state for high school graduation, and is primarily seen in the areas of math and science. 3. To go along with the new marketing materials developed in the previous year and to achieve optimum ease of use and outreach statewide, the Arizona Academic Scholars website was updated for content and appeal. The website, http://www.azacademicscholars.org is easy to use and includes an overview plus messaging targeted to the four audiences of students, parents, educators and business. Each of the target audience brochures is available on the website along with the Scholars course of study, next steps and contact information. A student and counselor testimonial along with interesting facts and figures are scattered throughout the site. 4. 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. 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 one ABEC Arizona Academic Scholars TRIF Final Report, August, 2009 148 Page 3 thousand dollar ($1000.00) stipend was offered to the district coordinator (if approved by their Superintendent). A total of 12 coordinators received this stipend and they all understand it will not be available in future years. 5. The number of medallions ordered by the districts to recognize seniors graduating as Arizona Academic Scholars increased by almost 900 from the prior year. Mesa Public Schools and Gilbert Public Schools did not present medallions as a form of recognition to their graduating Scholars Seniors. 6. The cost of medallions was covered through the ABOR grant and for Pima County, through a UnitedHealthcare grant. Each district Superintendent and Coordinator has been advised that this funding will not be available in future years, requiring the need for school districts to plan for this expense accordingly. The hope is districts will work with their business partners to help consider ways to support this cost. It has been shown through student and coordinator response that the medallions are a powerful incentive for students to remain on the Scholars course of study. 7. According to the final reports from each district, the total number of seniors graduating as Arizona Academic Scholars in 2009 is estimated to be 5595 statewide (excluding Gilbert Public Schools). This represents 31% of the total number of anticipated seniors graduating from these districts statewide. 8. Approximately 26,691 students primarily in 8th/9th grade received the Arizona Academic Scholars presentation. Though Arizona Academic Scholars is directed to the middle fifty percent (50%) student, it is open to all students with the belief that all students need to better understand the realities of the global economy in the 21st century. 9. It may be accurate to assume several districts and business organizations which had shown interest in adopting the Arizona Academic Scholars initiative may have determined not to move forward due to the economy and doubt as to the time and expense such an initiative might require. 10. Early in the year, the Scholars Initiative was undertaken by a group of three “feeder” districts (two elementary and one high school), but they later determined they were not ready to move forward. In this case, we strongly suspect that had these districts been unified, rather than independent, this may not have been the ultimate outcome. This does point out some of the difficulty in working vertically within districts that may not have the political structure of a unified district. 11. Though each Scholars partnership includes at least one business or business organization which has committed to the initiative, the reality is educators are often hesitant to invite these business leaders in to give the presentations to their 8th/9th graders. This may be due in part to time constraints, but allowing business partners to participate more personally in presentations, mentoring or other “hands-on” activities appears to be problematic. 12. One of this year’s new districts, Gilbert Public Schools, devised a very ingenious way in which to educate their middle and high school students about the Arizona Academic Scholars. They created a short video which was shown at least two times via video announcements to all 7th and 8th graders in their seven junior high schools (approximately 3200 students) and in all four of their high schools (approximately 3000 additional students). In addition, all parents of these students were emailed an invitation to attend one of three informational meetings (18,000 emails sent with approximately an 80% delivery rate). As a ABEC Arizona Academic Scholars TRIF Final Report, August, 2009 Page 4 149 result, approximately 200 parents and 100 students attended one of these presentations. This certainly demonstrates the use of technology and creativity in devising new ways to educate and motive students and parents about the issue of rigor and academic success and its relationship to future success in the workplace. CONCLUSION It is evident that three years of ABOR funding through the TRIF grant has had enormous impact on the entire state of Arizona. The Arizona Business & Education Coalition was successful in identifying Arizona as being ready and able to participate in the first group of states to receive federal funding for the State Scholars Initiative. However, this funding and support would not have been adequate to sustain a statewide initiative had it not been for the solid support and financial commitment of the TRIF grant. Though the business and education community could identify the need for such partnerships, sustainability and long-term efforts take time to develop. The Arizona Academic Scholars Initiative raised the awareness of the need for additional academic rigor in our schools. With the support and encouragement of ABEC and the Scholars Initiative, the State Board of Education made the commitment to increase the high school graduation requirements for Arizona students starting in 2012 and 2013. In order for our students to be more successful in post-secondary education, reduce the amount of remediation taking place in our colleges and universities, and to keep our Arizona economy strong and vibrant and maintain a qualified workforce, it is imperative we demand the rigor necessary for 21st century success. The TRIF grant funding has allowed the Arizona Academic Scholars to be a key factor in moving Arizona ahead. PROPOSAL FOR REMAINING TRIF FUNDS The Arizona Business & Education Coalition (ABEC) has received a three year Arizona Board of Regents TRIF grant for support of the Arizona Academic Scholars Initiative. This grant was due to end on June 30, 2009. At the close of the grant period, there is a remaining balance of approximately $58,000. ABEC requests that these remaining funds be carried over until no later than June 30, 2010 in order to most effectively assure the intent and purpose of the initiative can be sustained. BACKGROUND The goal of the Arizona Academic Scholars Initiative has always been to encourage high school students, particularly the middle 50%, to take a rigorous course of study to more adequately prepare for success in both post-secondary education and future careers. A large measure of the Initiative’s success can now be seen in the adoption of increased high school graduation requirements for Arizona which take effect in 2012 and 2013. In May 2007, the State Board of Education 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 post-secondary education in the 21st Century”. As a result, the Scholars course of study is viewed as an interim step toward the implementation of these more rigorous graduation requirements which include an increase in the number of math and science credits. USE OF REMAINING FUNDS ABEC believes that by using the estimated remaining funds of approximately $58,000, we can positively transition the Arizona Academic Scholars Initiative into a business-education partnership model foundational to the ECAP (Education and Career Action Plan) process under development now by the Arizona Department of Education. The model would be highlighted ABEC Arizona Academic Scholars TRIF Final Report, August, 2009 150 Page 5 and included within ABEC’s Best Practices in Business-Education Partnerships resources. Local business partners will continue to deliver the Scholars message of “more academic rigor and university preparedness” to middle school students prior to them creating their ECAP. This includes encouraging students to take more math and science and thus improving the pipeline into postsecondary education. GOALS OF THE PROJECT The goals of the project are: 1. To increase the number of middle school students introduced to the Scholars message encouraging them to commit to a more rigorous course of study as well as being able to understand the relevancy of more academic rigor. 2. Provide the training and tools for business partners to effectively deliver the message of rigor and postsecondary and career readiness to middle school students. 3. To expand the existing Scholars website (www.azacademicscholars.org) as a tool for career exploration and connect it to the resources for the ECAP. This interactive and technically advanced site might include: a. Resources for school districts wanting to launch local Arizona Academic Scholars Initiatives; b. Resources for students to explore careers and complete their high school ECAP; c. Links to post-secondary opportunities and information throughout the state; d. Resources and links for educators seeking intervention strategies; e. Resources for parents to support student success; and f. Resources for businesses seeking effective business-education partnership opportunities. 4. To create strong business and education partnerships that promote academic rigor. SUMMARY The use of the remaining funds would enable the hiring of a project manager, cover the cost of materials and training, and further develop the Scholars website. This work may also attract federal stimulus funds to the project, thus increasing the likelihood of sustainability. In any case, it will serve as a model business-education partnership with emphasis on student academic rigor, business input and participation, and improving the pipeline for postsecondary and career preparedness. ABEC Arizona Academic Scholars TRIF Final Report, August, 2009 Page 6 151 Arizona Academic Scholars Statewide Summary 2009 Total number Scholar District/Community Partnerships: Amphitheater Payson Apache Junction Peoria Bisbee Sahuarita Chandler San Manuel Flagstaff Snowflake Flowing Wells Sunnyside Gilbert Tanque Verde Higley Tucson Marana Vail Mesa 19 Total number of new district Scholar partnerships this year 3 th th 826 th th 26,691 Total number 8 /9 grade Scholar presentations given Total number 8 /9 grade students receiving Scholar presentations Total number Scholars presentations given by educators Total number Scholars presentations given by business / community members th th % of 8 /9 grade Scholar presentations given by business / community members Number of Scholar districts using business partners Total number of graduating seniors in Scholar districts* 809 31 3.8% 12 17,976 Total number of graduating seniors identified as Arizona Academic Scholars* 5595 % of seniors graduating as Scholars in Scholar districts* 31% Approximate % of minority students graduating as Scholars Number of Scholar districts reporting this figure 31.6% 14 *excludes Gilbert ABEC Arizona Academic Scholars TRIF Final Report, August, 2009 152 Page 7 FY2009 Budget & Actuals FY 2007 ACTUAL FY 2008 BUDGET FY 2008 ACTUAL FY 2009 BUDGET FY 2009 ACTUAL REVENUE Carry over from prior year TRIF Grant TOTAL REVENUE 71,484 57,542 75,000 75,000 75,000 $75,000 $146,484 $146,484 $132,542 5,000 5,289 7,000 $132,542 EXPENDITURES SALARY Project Manager Support Staff OPERATING Grant Administration Fee 17211 Meeting Expenses 34 300 Postage & Delivery 22 1,500 32 300 49 Printing & Reproduction 12 1,500 1,988 2,500 2687 Scholar Recognition 14,000 11,413 18,000 16231 Stipends 15,000 10,000 15,000 12000 206 800 55 Supplies TRAVEL 20 1,000 Airfare 507 2,500 Auto/Mileage 237 2,500 728 2,500 Event Registration 2,000 125 800 Lodging 2,500 118 800 121 1,500 76 800 19 Meals CONTRACTUAL Accounting Intern(s) 1,500 8,000 Marketing/Communications 932 500 12,000 20,576 25,300 2768 2,625 30,000 37,941 45,000 19468 Temp Services 83 1,000 416 500 Web Services & Support 10 1,000 2,500 250 15,000 7,942 2235 3,000 500 State Program Director Web/Graphic Design Other Contracted Services TOTAL EXPENDITURES $3,516 $119,000 ABEC Arizona Academic Scholars TRIF Final Report, August, 2009 $88,942 $132,542 $74,026 Page 8 153 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. FY 2009 Actuals Narrative: Estimated balance after remaining June expenses $58,000 FY2010 Budget FY 2010 BUDGET REVENUE TRIF Carry over from prior year Grants Sponsorships TOTAL REVENUE $58,000 $58,000 EXPENDITURES OPERATING Grant Administration Fee Meeting Expenses 300 Postage & Delivery 50 Printing & Reproduction Supplies TRAVEL Airfare Auto/Mileage Event Registration Lodging Meals CONTRACTUAL Marketing/Communications State Program Director Web Services & Support 3,000 100 2,000 7,350 35,000 200 Web/Graphic Design 10,000 TOTAL EXPENDITURES $58,000 ABEC Arizona Academic Scholars TRIF Final Report, August, 2009 154 Page 9 Beat the Odds Website Initiative FY 2009 Annual Report AUG 2009 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 The Center for the Future of Arizona was created to improve the quality of life for all Arizonans. 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. Dr. Lattie F. Coor Chairman and CEO Dr. Sybil Francis Executive Director TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) CONTENTS Introduction...................................................1 Performance Analysis...................................2 Collateral Activities.......................................3 Goals & Results.............................................4 Financial Information....................................4 Indicative Results in FY 2009.....................5 Management .................................................6 Advisory Board of Directors..........................6 Learn More.....................................................6 541 East Van Buren Suite B-5 Phoenix, Arizona 85004 Phone: 602-496-1360 The Center’s Beat the Odds (BTO) Institute was created to serve as the umbrella organization for all 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 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 Six Keys to Success the 21st century. Disciplined Thought 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. 1. Clear Bottom Line - focus on achievement per student. 2. Ongoing Assessment - use data in the classroom to drive performance. Disciplined People 3. Strong and Steady Principal - keep pushing ahead no matter the roadblocks. 4. Collaborative Solutions - share the responsibility for success. Disciplined Action 5. Stick with the Program - pick a good one and make it work. 6. Built to Suit - customize instruction; one size does not fit all. The establishment of the BTO Institute represents a major commitment by the Center to further disseminate the 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 online tools for users to assess their leadership skills and develop practical plans for incorporating BTO concepts into their schools. To participants in the School Partners Program, the resource center offers a forum for online discussion and dialogue and provides access to 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 2009, the third year of TRIF funding. www.beattheoddsinstitute.org 155 Performance Analysis Enhancement of Online Resource Center/Website Phase 1 of the Beat the Odds website was completed in 2008. Phase 2, which was completed in 2009, included construction of functions to track policy/legislation as well as the further development of the site to adapt it to the needs of the 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 was initiated with additional development planned for 2010. Also under development, is the addition of e-commerce capability to support the addition of significant training and implementation tools, including a BTO Handbook which was completed in 2009 and is available now in a pilot version. 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 The BTO Institute provides services through the School Partners Program. During FY 2008, the first year of the program, Beat the Odds provided training, assistance and support to principals in 27 schools located in 18 districts. During the FY 2009, with support from TRIF funding, BTO provided these services to 59 schools, more than double the number that received help the previous year. 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 26 new schools for the coming school year, increasing the number of participating schools to a total of approximately 85 located in Phoenix, Tucson, and Whiteriver, Arizona. 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. Partners interact with each other and with their mentors through the TRIF-funded website that serves as the online resource center for the project. The BTO Institute website is the communications infrastructure for the BTO Partners Program. Its password protected “Partners Only” section enables networking among the BTO Partners and supports peer mentoring and coaching, ongoing training, sharing of best practices and access to secure discussion boards, event calendars and content tailored to the needs of the BTO Partners. In FY 2009, technology on the website was expanded so that during the 2009-2010 school year, each Partner will complete a customized school self-evaluation survey, receive an on-demand graph analysis of survey results and develop an action plan that will include an electronic tracking system. At a later date, case studies, web-based conferencing and other functions required by users will be added. Other Arizona schools are working to implement study findings on their own and are encouraged to use the website as a valuable resource. A BTO Handbook to support schools in this implementation has been completed and has been distributed to Partners in a pilot version. 156 Page 2 of 6 www.beattheoddsinstitute.org The resource center also has public areas that include the Beat the Odds report with a Spanish translation of key segments, as well as information about the project and BTO Partner schools. “Ideas at Work,” a TRIF-funded instructional DVD about the Beat the Odds study and findings, was developed and is available on the website for use in seminars and other educational activities. During FY 2009 additional videos and news clips have been added to the Partners community portion of the website making them available for training teachers and other staff members at the schools. • 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, the Arizona Latino Research Enterprise and all major education associations. Under continuing discussion and development are partnership opportunities with Teach for America, the Pew Center for the States, WestEd, the Governor’s P-20 Council and Arizona’s three public universities. 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 ($150K), 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). Collateral Activities • As implementation of the TRIF project has proceeded, the Center has continued to actively disseminate the BTO findings. For example, in July the Beat the Odds keys to success and their application in the schools were featured on “Horizonte,” on Channel 8. In August, the Institute presented BTO principles and described the School Partners program to representatives from education agencies across the state at a meeting of AZLeads/Leaders for Learning and, in October, to representatives of 18 school districts at the Greater Phoenix Education Management Council. Also, in October, a keynote presentation and follow-up session on BTO were part of the Arizona Schools Administrators’ Fall Superintendency/High Ed Conference. Subsequent presentations were made to principals at an event sponsored by Teach for America, to members of the Southern Arizona Leadership Council in Tucson, to superintendents’ groups from Phoenix and Tucson and to Yuma County’s schools administrators and teachers at their annual Professional Development Day. Throughout the year, BTO was introduced and discussed through personal visits to more than 20 superintendents and district administrators in Phoenix and Tucson. In the spring, Channel 12 featured data-driven instruction at Gilliland Elementary, a BTO Partner school in Tempe. • A comprehensive assessment and evaluation program has been developed and is in use for all activities related to Beat the Odds, including the website. •  Mentors, partners in BTO and their schools received special recognition in 2009. Two principals, one a partner and one a mentor, were selected as Exemplary Principals by the Rodel Charitable Foundation; and a mentor and a partner were honored when their schools were designated A+ as part of the Arizona Education Foundation’s Blue Ribbon competition. Two BTO mentors earned promotions from principal to assistant superintendent while another BTO mentor and two BTO principals moved to district office positions. Two schools Page 3 of 6 www.beattheoddsinstitute.org 157 won Golden Bell Awards from the Arizona School Boards Association; two received neighborhood Block Watch Grants and one school, along with BTO and the Center, received the ICARECORPS Partnership Award. 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. Our goal is to increase the performance of our target group of students in reading and math so their academic performance compares favorably with the achievement of higher socio-economic students. Recently completed analyses of AIMS reading and math scores for participants in 2007-2008 indicate that some Partners have already shown encouraging evidence of improvement. A number of schools showed year-to-year improvements in reading and math that were significantly larger than their district’s improvement while 21% of schools showed a significantly larger improvement in AIMS math and reading scores compared to their previous year’s change in scores. An analysis of 2008-2009 state test results is currently underway. To become a “Beat the Odds School” requires three years of sustained growth in AIMS test score data, as well as full implementation of the six Beat the Odds elements. As part of a multi-year improvement program, schools have the opportunity to earn recognition at several levels. This year, 16 schools achieved “bronze” status for effectively implementing the key elements as measured by the survey on the BTO interactive website and their achievement of at least a label of “performing" on AZ Learns as determined by the Arizona Department of Education. Data on AZ Learns that becomes available this fall will be utilized in determining which schools have met the requirements for achieving “silver’ status, the next level of improvement. Financial Information Fiscal year ending June 30, 2009 FY 2007 Actual FY 2008 Actual FY 2009 Budget FY 2009 Actual REVENUE Carry Forward $0 $69,850 $10,000 $10,000 New TRIF Revenue $250,000 $250,000 $250,000 $250,000 TOTAL REVENUE $250,000 $319,850 $260,000 $260,000 Personal Services $75,695 $138,000 $150,000 $140,530 Outside Vendors $97,520 $161,850 $62,000 $90,320 All Other Operating $6,935 $10,000 $8,000 $775 $40,000 $28,375 $260,000 $260,000 OPERATING BUDGET Student Program TOTAL EXPENDITURES 158 Page 4 of 6 $180,150 $309,850 www.beattheoddsinstitute.org Indicative Results in FY 2009 (year 3) 1. RETURN ON INVESTMENT: Grants and gifts continued to leverage TRIF funds at the rate of 3:1 as funding was secured to expand the work of the Beat the Odds Institute in 2009. To further leverage TRIF funding, an agreement between the Center and the ASU School of Public Affairs provided two undergraduate students and one graduate student the opportunity to engage with the Center and the BTO Institute on the various projects highlighted in this report. The students made active use of the website and contributed to the development of materials that enhanced and expanded it. A School of Public Affairs faculty member served as a liaison between the students and the Center. 2. KNOWLEDGE TRANSFER: In addition to ongoing dissemination of the BTO study, 59 schools in Maricopa County 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 2010 as the program implements additional expansion strategies in Maricopa County, the Tucson area and in Whiteriver. 3. WORKFORCE DEVELOPMENT: With support from the Regents Innovation Fund, the Center continued to focus on embedding key concepts from the Beat the Odds study in Arizona schools. By building on the knowledge gained, the Center expanded its impact more broadly on education reform 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 16,205 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 has been 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 2010 to expand the network of BTO partnerships and to develop linkages to other important Center initiatives. Page 5 of 6 www.beattheoddsinstitute.org 159 Management Center for the Future of Arizona Lattie F. Coor, Ph.D. Chairman & CEO Sybil Francis, Ph.D. Executive Director Marjorie A. Kaplan, Ph.D. Beat the Odds Institute Director Advisory Board of Directors Lattie F. Coor, Ph.D. Chairman and CEO, Center for the Future of Arizona Nadine Mathis Basha George Dean President and CEO of the Greater Phoenix Urban League 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 http://www.ArizonaFuture.org 160 Page 6 of 6 www.beattheoddsinstitute.org HEALTH RESEARCH ALLIANCE ARIZONA (HRAA) CLINICAL AND TRANSLATIONAL SCIENCE AWARD (CTSA) EFFORTS Funds to Build the Infrastructure for a Successful Clinical and Translational Science Award September 1, 2009 The statewide Health Research Alliance Arizona (HRAA) was created in 2007 in preparation for an application to the National Institutes of Health (NIH) for a Clinical and Translational Science Award (CTSA). The Principal Investigator (PI) was Keith Joiner, M.D., who was then Dean of the University of Arizona (UA) College of Medicine, and the initial application was submitted in November, 2007. HRAA Directors in this first submission included Robert Greenes, M.D., and Lawrence Mandarino, Ph.D., from Arizona State University (ASU), and Robert Trotter, Ph.D., from Northern Arizona University (NAU). The first submission was extremely ambitious and suggested that HRAA would bring together an extensive set of resources to be made available to a large number of partners. The implication was that much of this would be accomplished de novo. Although not funded, the November 2007 HRAA application for a CTSA received a constructive review and a score in the mid-range of new applications in that cycle. One of the main concerns of the NIH reviewers was that the proposal was too grand to be manageable or realistically implementable. Major changes were clearly needed, and lengthy discussions with a wide range of experts and interested parties ensued. Those consulted included many HRAA stakeholders throughout the state, colleagues from funded CTSAs, and NIH staff. Through this deliberative process, the groundwork was laid for preparation of a second HRAA CTSA application in response to a new Request for Applications (RFA) issued by NIH in 2008. The available funding announced in the 2008 RFA was reduced by approximately 30% from earlier CTSA funding cycles. In light of this new financial reality, a close reading of the reviewers’ critiques of the first application, and detailed discussions with NIH Project Officers, it was decided that a complete reframing of our CTSA application would have to be undertaken. Under Dr. Joiner’s continuing leadership, two major considerations framed the structure for the new HRAA CTSA application that was submitted on October 21, 2008. First, the statewide perspective was robustly maintained, including the same ASU and NAU Directors as for the November 2007 application. Second, clinical and translational research infrastructure was designed that would be broadly accessible to investigators throughout the state, regardless of institutional affiliation. A much tighter focus, consistent with the reduced maximum permissible budget of $4 million per year in direct costs, concentrated explicitly on leveraging the investments that had already been made, and on funds already awarded to Arizona researchers for collaborative clinical and translational research projects spanning disciplines, institutions, and sites. Despite significant redrafting, however, the October 2008 HRAA CTSA proposal received a score that was not in the fundable range. 161 In late May 2009, Dr. Joiner stepped down as PI for the CTSA and leader of HRAA. Close examination of the reviews of the second CTSA proposal and conversations with NIH staff revealed that the proposal still was seen to be too broad and unfocused, and lacking a clear leadership structure. It became clear to UA officials that, like all successful CTSAs, a CTSA in Arizona should be based in the clinical and translational strengths of an established college of medicine. New leadership for a successful CTSA application is being identified in the UA College of Medicine, and conversations are ongoing with the Directors from ASU and NAU in place since the last proposal submission. The challenges to be met and the resources that will be needed are sobering but are fully appreciated, and a vital new leadership structure is close to being defined. A radically restructured proposal for a CTSA based in the UA but with strong participation from ASU, NAU, and other relevant entities across the state is being planned. In the meantime, TRIF support has enabled much progress in further developing infrastructure at UA, ASU, and NAU, which will be crucial for a successful CTSA application. This support is from two sources: (1) UA’s TRIF budget to support the Arizona Clinical and Translational Research and Educational Consortium (ACTREC); and (2) the TRIF Regents Innovation Fund allocation to UA for HRAA projects at ASU and NAU. 1. UA Arizona Clinical and Translational Research and Educational Consortium (ACTREC) Funding from UA’s TRIF budget has made possible great strides in establishing the refurbished Clinical and Translational Science (CaTS) Clinical Research Unit (CRU) as the primary UA location for the conduct of experimental clinical research protocols requiring resources such as infusions, monitoring of vital signs, and administration of detailed questionnaires. Forty-eight protocols for research involving human subjects are currently open in CaTS. UA TRIF support for the salaries of nine staff and operating expenses has been largely responsible for the rapid growth of CaTS, which is now recognized across the UA campus as the home for experimental protocols involving human subjects. In addition to the CRU itself, during FY 2009 CaTS assumed administrative responsibility for a clinical research facility in the Herder Building on Speedway just east of Campbell Avenue. The Herder facility includes a fully equipped sleep laboratory and, as an extension of CaTS, now houses prototypic equipment that was developed by Raytheon in collaboration with Arizona Cancer Center investigators for digitized evaluation of sundamaged skin. This UA-Raytheon revolutionary approach to identifying and tracking the precursor lesions to skin cancer is supported by a large grant from Science Foundation Arizona. HRAA UA created an Affiliated Community Health Center Network (ACHCN) for the purpose of CTSA-related community-based participatory research (CBPR). The participating organizations, all providing care for underserved populations, are: El Rio 162 Community Health Center (Tucson), Fort Defiance Indian Hospital (Navajo reservation), Mariposa Community Health Center (Nogales), Maricopa Integrated Health System (Phoenix), and Mountain Park Community Health Center (Phoenix). These organizations together provide healthcare for well over 200,000 patients. The Fort Defiance patients are Native American (mainly Navajo). The other four organizations serve mainly Hispanic populations. Over 50% of patients at ACHCN facilities are Medicaid (Arizona Health Care Cost Containment System) recipients. ACHCN organizations and patients were the basis for three NIH proposals in FY 2009: Challenge Grant (stimulus package) and R21 comparative effectiveness research applications comparing a telemedicine virtual colonoscopy approach with conventional methods for colorectal cancer screening in Native Americans; and randomized patient navigator and related interventions for improving cancer screening uptake and follow up in Hispanic populations. In addition to experimental clinical and translational research at UA, TRIF Regents Innovation Fund supports three major projects at ASU and NAU, as described below. 2. HRAA Projects at ASU and NAU TRIF Regents Innovation Fund support to HRAA is devoted exclusively to two ASU projects and one NAU project: Arizona Insulin Resistance (AIR) Registry project and the Multi-Site Investigator Portal for Biomedical Collaboration, both at ASU; and On-Line Course and Program Development for the Tri-University CTSA Collaboration at NAU. The Arizona Insulin Resistance (AIR) Registry Project (ASU) The Arizona Insulin Resistance (AIR) Registry at ASU continues to enroll Hispanic (primarily of Mexican descent) volunteers at a rate of approximately 30 per month. Each volunteer receives an oral glucose tolerance test with insulin determinations to assess insulin sensitivity. Consenting volunteers also have DNA collected and immortalized cell lines established, as well as RNA isolated from white blood cells to assess inflammatory status. Volunteers are also asked to give consent to be contacted for participation in future clinical research trials and interventions. To date, nearly 200 participants have entered the AIR Registry, of whom 95% have consented to be contacted about future research studies and have agreed to banking of their biosamples. These volunteers can be characterized as having an abundance of Metabolic Syndrome risk factors, which place them as a group at heightened risk for type 2 diabetes and cardiovascular disease. Through their participation, 20 volunteers so far have been diagnosed with type 2 diabetes and referred for appropriate medical care. As further evidence of the value of the AIR Registry to the Arizona community and biomedical research, two applications for access to banked bio-samples—RNA and plasma—have been received. 163 The Multi-Site Investigator Portal for Biomedical Collaboration (MSIPBC) (ASU) This ASU-developed and –based project is being conducted to develop a capability that is essential for multi-party, multi-site collaboration in CTSA-translational biomedical research—a web portal that enables investigators, wherever they are and whatever affiliation they have, to: 1) find people, information, and research resources they need; 2) access and use a growing set of resources through a consistent interface; and 3) create and manage ad hoc collaborations for projects on which they are working, together with the resources and overall usage to provide feedback to users, as a form of online marketplace, and also to enable the CTSA management team to evaluate overall effectiveness. An approach has been developed that is easily extensible and adheres to evolving standards and software architectures. This approach will facilitate modularity and distributed functionality to enhance its robustness. In FY 2009, the first draft of the dynamic, social-network based website in the .NET framework was completed. Formal terminologies are used to tag and organize content. Website content is tagged with a formal ontology of terms (MeSH), so that it can be easily integrated in the scientific literature and researcher profiles. A MeSH term browser was created to aid in assigning MeSH terms to any content in the HRAA portal (static content, events, groups, publications, etc.). On-Line Course and Program Development for the Tri-University CTSA Collaboration (NAU) Education, training and evaluation, and community collaboration are central components in clinical and translational research. NAU HRAA has been charged to take the coordination lead in on-line course and program development for the triuniversity CTSA collaboration. The Education Coordinator located at NAU oversees the statewide coordination and oversight of graduate education programs for HRAA. NAU is exploring cutting-edge approaches to the on-line development and delivery of a new graduate program. An academic home has been created for the graduate certificate located in Clinical and Translational Science in the Interdisciplinary Health Policy Institute. NAU HRAA is developing and overseeing a comprehensive evaluation strategy for the statewide approach to clinical and translational science. Educational accomplishments in FY 2009 include syllabus development for seven new graduate certificate courses in clinical and translational science. These courses include: HPI 600 – The Dynamics, Structure, and Management of Interdisciplinary Research (approved); HPI 601 – Responsible Conduct of Science and Regulatory Principles for Human Research (approved); ANT 521 – Research Ethics in Community Research and Vulnerable Populations (approved); and HCR 569 – Applied Principles of Data Management and Inferential Statistics in Healthcare Research (approved). Evaluation accomplishments included a biomedical informatics pilot for the AIR Registry through the HRAA web portal (MSIPBC). Community collaboration progress includes outreach to North Country HealthCare to establish an Institutional Review Board (IRB) of record. 164 Conclusion UA TRIF support to UA ACTREC and TRIF Regents Innovation Fund support to HRAA projects at ASU and NAU has led to the development of essential components of a future successful CTSA application. The importance of this support cannot be overstated, and FY 2009 has seen great progress in all three projects. Most of the CTSAs funded thus far are at institutions that formerly had NIH-funded General Clinical Research Centers (GCRC). The CaTS Clinical Research Unit at UA fulfills the functions of an erstwhile GCRC, and it is inconceivable that a future CTSA could be funded without the existence of such a facility. The Arizona Insulin Resistance (AIR) Registry at ASU is a quintessential example of a highly innovative resource for the conduct of cutting-edge translational research. Patients and their biospecimens are accruing steadily to the Registry. A number of requests have already been received for access to Registry materials and data. The Registry and the research questions that it will allow to be answered are particularly germane to the current obesity and type 2 diabetes epidemics and their impact on health disparity populations of our state. Biomedical informatics as a discipline is at the core of the entire CTSA initiative. The nationally and internationally renowned ASU contributions to this discipline are a major asset and have been fulsomely recognized as such in the reviews of both previous HRAA CTSA applications. MSIPBC will be an essential component at the core of the next and successful CTSA application. An educational program meeting specific requirements is an obligatory part of a CTSA application. The lead taken by NAU in developing on-line educational resources precisely fits CTSA requirements. Furthermore, what has been accomplished plays to Arizona’s acknowledged prowess in distance learning. 165 PERFORMANCE MEASURES—TRIF Regents Innovation Funds for HRAA FY08 Proj FY08 Actual FY09 Proj FY09 Actual FY10 Proj FY11 Proj Sponsored Awards ($ in millions) $5 $10 Grants Received 4 9 RETURN ON INVESTMENT Grants proposals submitted to funding agencies 1 1 8 3 5 32 PARTNERSHIPS AND COLLABORATIONS Research Projects Started 1 1 6 4 6 8 New Collaborations Between HRAA Members (Universities, Research Institutions, Hospitals, Health Plans, Healthcare Providers) 30 40 60 50 80 100 6 1 3 8 New Industry-University Collaborations Developed New University-Government Collaborations Developed Web Portal Hits and Links 2 2 3 2 3 6 12,000 15,000 10,000 30,000 75,000 100,000 6 6 8 7 8 8 2 2 2 2 $20 $20 CURRICULUM INNOVATIONS Courses Developed Education Programs Approved Dollars generated by curriculum ($ in thousands) 166 FINANCIAL INFORMATION—TRIF Regents Innovation Funds for HRAA FY08 Actual FY09 Revised Budget FY09 Actual FY10 Revised Budget FY11 Revised Budget FY12 Revised Budget REVENUE Carry forward $ 0 $ 489,774 $ 489,774 $ 371,771 New TRIF Revenue* $ 500,000 $ 500,000 $ 500,000 $ 500,000 $ 500,000 $ 500,000 TOTAL REVENUE $ 500,000 $ 989,774 $ 989,774 $ 871,771 $ 500,000 $ 500,000 $ 0 $ 300,000 $ 186,202 $ 263,798 $ 150,000 $ 150,000 $ 0 $ 350,000 $ 304,462 $ 220,538 $ 175,000 $ 175,000 $ 10,226 $ 339,774 $ 127,339 $ 387,435 $ 175,000 $ 175,000 $ 10,226 $ 989,774 $ 618,003 $ 871,771 $ 500,000 $ 500,000 EXPENDITURES ASU Subcontract – Biomedical Informatics ASU Subcontract – AIR Registry NAU Subcontract – HRAA Office/ Course Development TOTAL EXPENDITURES * FY 2010-2012 TRIF Regents Innovation Funds are pending ABOR approval. 167 This page intentionally left blank. 168 ARIZONA ALGEBRA II END-OF-COURSE ASSESSMENT PILOT In June 2007 Arizona, through the Governor’s P-20 Council, joined a nine-state consortium to develop and implement a common Algebra II end-of-course assessment for high school students. The first Algebra II End-of-Course Assessment was offered as a pilot in the spring of 2008 to the nine participating states. With the support of the Arizona Department of Education, 1,200 students were tested at a cost of approximately $30,000—$15,000 provided by the Arizona Board of Regents using TRIF Regents Innovation Funds, along with matching funds from two foundation partners. A second testing was administered in the spring of 2009 and, again, ABOR contributed half of the required funds— $15,000—with additional funds provided by foundations. The results of this test will be used to set the standards (make the test final) and establish the performance levels (cut scores). In addition, it will provide performance comparisons of Arizona’s students to students in other participating states. 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; and 169 170 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 2010 TRIF Regents Innovation Fund budget. The ABOR central office did not receive the invoice for the 2009 test instruments until July 2009; therefore, payment will be made in FY 2010. Advancing Arizona through a Web-based Initiative Use of FY 2010 Funds AUG 2009 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 The Center for the Future of Arizona was created to improve the quality of life for all Arizonans. The Center is committed to turning ideas into action—helping to shape and define Arizona’s future through an action-oriented agenda focused on issues and topics critical to the state. More than a think tank, the center is an independent “do tank” that combines public-policy research with collaborative partnerships and initiatives that serve the public interest and the common good. Dr. Lattie F. Coor Chairman and CEO Dr. Sybil Francis Executive Director TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) CONTENTS Introduction...................................................1 From its inception in 2002, the Center has focused on a limited set of issues that were determined to have the greatest impact on Arizona’s future, drawing on existing studies and research, augmenting them where necessary, then developing an action agenda with measurable results, engaging civic and political leaders in the process to begin to take the next steps in creating our future. The vision for the future of Arizona that emerged from this deliberative process is to create an Arizona in which there are opportunities—especially education and employment opportunities—and a high quality of life for all citizens, now and for years to come. Center Initiatives...........................................1 Financial Information....................................4 Anticipated Results.......................................4 Managment ...................................................5 Advisory Board of Directors..........................5 Learn More.....................................................5 To help realize this vision, the Center has undertaken three major projects designed to advance Arizona’s capacity to compete successfully in the future. Central to these efforts is the capacity to develop and expand highly functional and financially sustainable websites that have the capacity to strategically disseminate these ideas, encourage discussion and support thoughtful action and implementation that has been supported by the Arizona Board of Regents Technology and Research Initiative Fund (TRIF) Regents Innovation Fund. The three major initiatives are: I. The Beat the Odds Institute – • The Beat the Odds project (described and summarized in a companion report) is an example of the Center’s “do tank” role and has been an early indicator of its intention to use electronic communication tools for collaborative, thoughtful action to improve Arizona’s competiveness. 541 East Van Buren Suite B-5 Phoenix, Arizona 85004 Phone: 602-496-1360 • Based on the landmark Arizona study, “Why Some Schools with Latino Children Beat the Odds…and Others Don’t,” and designed to improve “achievement per student” in low-income, Latino-intensive schools, the Institute is demonstrating 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. Eighty-five K-12 schools in Maricopa County, metro Tucson and Whiteriver will partner with the Beat the Odds Institute in FY 2010—an increase of 26 schools from the previous school year. www.beattheoddsinstitute.org 171 • A key to the success of Beat the Odds is the online resource center—the sophisticated, highly interactive website funded by the TRIF Regents Innovation Fund. The website has been a key component in engaging BTO partner schools and key stakeholders in improving student achievement and will figure even more prominently in the future as we develop expansion models to take Beat the Odds into schools throughout the state and the nation. II. Tough Choices or Tough Times Initiative and Pathways to Postsecondary Success – • The Center has assumed the education sector leadership for Arizona as part of a six state national consortium committed to significantly improving student achievement through a dramatic overhaul of state education systems. Based on the reform agenda of the December 2006 report, "Tough Choices or Tough Times," from the New Commission on the Skills of the American Workforce, the consortium is challenging educators and policymakers to rethink the boundaries between pre K-12 and all forms of postsecondary education. The primary goal of the reform agenda is to prepare 95 percent of American students for college without remediation by the time they leave high school, meeting the highest international standards as they do so. In partnership with the Arizona Department of Education, the Arizona Education Association and the National Center on Education and the Economy, CFA is leading the planning process to develop an Arizona plan for the Tough Choices or Tough Times initiative. Social media and other web tools will not only permit individuals and organizations to join in this important reform initiative, but will also enable Arizona to become a force in the national reform movement. • In June, Amanda Burke joined the Center for the Future of Arizona as Director of Education Innovation and Director of the Arizona “Tough Choices or Tough Times” Initiative. Previously, Burke was Director of Education Innovation and Policy with the Arizona State University Office of University Initiatives in the Office of the President. • Pathways to Postsecondary Success is a major project focused on increasing student success and graduation rates through systemwide changes in public education and emphasizing the creation of seamless pathways between high school and postsecondary education for all students based on their interests and skills. The project concept is derived from “Tough Choices or Tough Times.” Success for this project is tied to the kind of broad-based and widespread dialogue and involvement made possible through electronic networks such as the one developed to support the BTO Institute. III. The Gallup Arizona Poll: The Arizona We Want • “The Arizona We Want” initiative is designed to build a citizen’s agenda for Arizona – a shared vision for our future that is compelling enough to mobilize people statewide and to survive transitions in leadership over time – and is informed by the results of the recent Gallup Arizona Poll. • The Gallup Arizona Poll created an opportunity to understand who we are today, what’s distinctive about the way we think and what we share with others. Building on Gallup research, the poll will quantify the level of citizen engagement in Arizona and look at the relationship between engagement and prosperity in our state. Based on citizen perspectives expressed through the Poll, the Center will create a framework for action that includes specific actions and measureable goals, as well as opportunities for further information, thought and discussion. 172 Page 2 of 5 www.beattheoddsinstitute.org • A successful citizen’s agenda must be grounded in innovative research that capitalizes on advances in the field of behavioral economics; the Gallup Organization has provided that for the Gallup Arizona Poll. Success also requires a cutting edge capacity in information technology that can a) disseminate research data and ongoing information to citizens throughout the state, b) link a wide array of strategic partners in all sectors and encourage discussions in real time, and c) support broad-based social networking that provides Arizona citizens with opportunities to directly participate in planning discussions on issues of public importance. TRIF funds are helping provide that capacity. The graphic below depicts how these initiatives build on the success of the initial TRIF grant and how we will enhance technology capacity to accomplish the goals of the grant. -> ------------------------> -----------------------------------------------> ------------------ ---------------- ------ ------------------------------> BEAT THE ODDS TOUGH CHOICES OR TOUGH TIMES/ PATHWAYS TO POSTSECONDARY CAPACITY ACHIEVED 3-year ABOR TRIF Grant to build technology ---------------- -------- -------------------------> capacity for Beat the Odds (2007) • Qualitative: Successful BTO interactive website serving 85 schools (and growing), educators, partners, parents and the general public. • Quantitative: In 2009, an average 566 unique visitors registered 28,947 hits per month. • Talent: Full time director of web commnications on staff with the technical expertise to deliver state-of-the-art web-based services to support all CFA education and public policy initiatives. • ROI: Gifts and grants currently leverage TRIF funding at rate of 4:1 (and growing). NEW GRANT THE ARIZONA WE WANT Additional ABOR TRIF Grant to enhance the technology capacity established at CFA, expanding services for growing numbers of BTO schools and two significant new initiatives. The TRIF Regents Innovation Fund is enabling the Center to staff and enhance the development of technically advanced, state of the art websites with bilingual features supporting the delivery and reform of education programs and services throughout the state and beyond, and connecting citizens and policy makers in constructing and implementing a citizen’s agenda for The Arizona We Want. The ABOR/TRIF funded websites are supported by a network of staff, consultants and partners and provide opportunities for students interested in civic leadership and public policy to learn to use technology for social change. Taken together these efforts create a window of opportunity for Arizona to play a leadership role in addressing the great challenges of our time. The capacity funded through TRIF is designed to provide the technical infrastructure needed for the level of collaboration and thoughtful action that is required to move Arizona forward. Page 3 of 5 www.beattheoddsinstitute.org 173 Financial Information Resources and Planned Expenditures FY 2010 FY 2011 FY 2012* REVENUE TRIF Revenue $225,000 $225,000 $225,000 TOTAL REVENUE $225,000 $225,000 $225,000 Personal Services $150,000 $150,000 $150,000 Outside Vendors $72,000 $72,000 $72,000 Equipment Fees $3,000 $3,000 $3,000 TOTAL EXPENDITURES $225,000 $225,000 $225,000 OPERATING BUDGET * Contingent upon approval of funding by the Arizona Board of Regents. Anticipated Results This critical time in our state’s history creates the opportunity for Arizonans to come together—both citizens and leaders—to create the future we want and need. These projects – planning, building and maintaining sustainable, world class electronic networks to support education reform and a sustainable future—are intended to create the technical infrastructure needed to provide all stakeholders—citizens, policy makers, business and civic leaders—with the electronic communication tools they need for collaborative, thoughtful action. Core to moving these initiatives forward is the capacity the Center has developed via the ABOR funding for using advanced information technology in ways that give “voice” to the people of Arizona and empower them as thoughtful and involved citizens. We strongly believe that the combination of citizen support and committed leadership will result in a compelling agenda for Arizona. Together, we believe these three major projects of the Center will enable Arizona to align our educational system, resources and sense of purpose with the aspirations of our citizens for sustainable prosperity. Central to the success of this effort is the continued development and expansion of our highly interactive websites that are designed to offer the same level of sophisticated functionality and customer service that drive all global enterprise today. In combination, these initiatives and the websites that support them are vital to the challenge of advancing Arizona and transforming our state into one of the best places in the nation to live, raise a family and prosper. 174 Page 4 of 5 www.beattheoddsinstitute.org Management Center for the Future of Arizona Lattie F. Coor, Ph.D. Chairman & CEO Sybil Francis, Ph.D. Executive Director Marjorie A. Kaplan, Ph.D. Beat the Odds Institute Director  Advisory Board of Directors Lattie F. Coor, Ph.D. Chairman and CEO, Center for the Future of Arizona Nadine Mathis Basha George Dean President and CEO of the Greater Phoenix Urban League 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.ArizonaFuture.org http://www.BeatTheOddsInstitute.org Page 5 of 5 www.beattheoddsinstitute.org 175 176 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 BUDGET REGENTS INNOVATION FUND Operating FY 2009 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: Subtotal Grants/Projects EXPENDITURES GRAND TOTAL FY 2009 ACTUAL 110,000 110,000 $ 80,000 20,000 10,000 110,000 $ $ $ 110,000 FY 2010 BUDGET 135,837 135,837 $ 92,899 25,125 12,242 130,266 $ $ $ 130,266 150,000 150,000 110,000 28,000 12,000 150,000 $ 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. 150,000 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 BUDGET TRIF STRATEGIC INVESTMENTS (TSI) SUMMARY FY 2009 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ FY 2009 ACTUAL 27,921 250,000 277,921 $ - $ $ FY 2010 BUDGET 27,921 195,838 223,759 $ - $ $ 223,759 223,759 27,921 27,921 GRANTS/PROJECTS: Higher Education in Rural Southern Arizona (UA) 250,000 - 195,838 Subtotal Grants/Projects 250,000 - 195,838 EXPENDITURES GRAND TOTAL $ 250,000 $ - $ 223,759 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 2009 and FY 2010 reported on the Central Office Grand Summary page, all TSI revenue and expenditure numbers are included in the universities' reports. The $195,838 of FY 2009 new TRIF revenue will be allocated to UA in FY 2010. Expenditure of this amount is reported in UA's FY 2010 budgeted expenditures and is shown here for informational purposes only. It is not included in the Central Office Grand Summary. 177 178 ABOR CENTRAL OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2009 ACTUAL / FY 2010 BUDGET ARIZONA REGENTS REACH OUT (ARRO) GRANTS SUMMARY FY 2009 REV BUDGET REVENUE Carry Forward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating Subtotal Operating Budget $ $ $ GRANTS/PROJECTS: FY 2010 Grants FY 2009 Grants FY 2008 Grants FY 2007 Grants Projects to be determined Subtotal Grants/Projects EXPENDITURES GRAND TOTAL 1 FY 2009 ACTUAL 106,211 600,000 706,211 $ 75,000 25,000 12,000 112,000 $ $ 200,000 121,143 91,900 181,168 594,211 $ 706,211 FY 2010 BUDGET 123,097 470,007 593,104 $ 57,697 21,582 9,619 88,898 $ $ 108,443 26,327 89,502 224,272 $ 313,170 339,934 200,000 539,934 80,000 25,000 11,675 116,675 241,689 86,754 94,816 423,259 $ 539,934 Pursuant to ABOR Technology Oversight Committee direction in June 2009, $60,000 of NAU AZUN funds will be transferred to the ARRO Grant program in FY 2010 to support funding for the Advancing Arizona through a Web-based Initiative project. 1 ARIZONA REGENTS REACH OUT (ARRO) FY 2009 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, 2008, and 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, with several no-cost extensions into the fall 2007 semester. All 2006 project accounts were reconciled and the books closed in January 2008. C. 2007 ARRO Projects: Nine project grants totaling $489,860 were awarded in the 2007 ARRO funding round. The projects began January 1, 2007. Five ended on June 30, 2008; four were granted 179 no-cost extensions to allow the teams to complete the planned activities. All 2007 project accounts were reconciled and the books closed in January 2009. D. 2008 ARRO Projects: 1. New Grant Awards: Seven new ARRO grants were awarded during FY 2008, in two funding rounds. Projects started January 1, 2008, and concluded June 30, 2009, with final reports due July 31, 2009. Following is a brief description of the intent and priorities for each funding round: 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 particularly address the issue of teacher preparation and/or certification in science, technology, engineering, and mathematics (STEM). Of the five eligible proposals, two were converted to funding through the Federal Improving Teacher Quality (ITQ) program, which ABOR administers for the Arizona Department of Education. The remaining three ARRO proposals were awarded a total of $119,008, with two from Northern Arizona University and one from University of Arizona. 2. Special 2008 Allocation: In April 2008, the Technology Oversight Committee approved an immediate allocation from FY 2008 ARRO funds of $195,000 for the TriUniversity 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. E. ARRO Activity in FY 2009: 1. New 2009 ARRO Awards: The Request for Proposals for 2009 ARRO projects was released in early July 2008, inviting proposals of up to $50,000 for single-university projects and $100,000 for multi-university collaborations. For the second year, the ARRO process sought 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). 180 Of the 12 eligible proposals received, the review panel ultimately recommended funding 7 at a total of $290,625, with funding split between ARRO ($200,000) and AZUN ($90,625). Projects will run from January 5, 2009, through June 30, 2010, with the first interim progress reports due July 31, 2009. For project details, please see Attachment A. 2. Special Report: Status of Completed ARRO Projects (2006, 2007) as of March 2009. In early 2009, at the request of the Regents, ABOR staff conducted a post-audit of all 21 completed ARRO projects from 2006 and 2007. The purpose was to: Catalog actual benchmark outcomes for each project; and Find out the degree to which the projects were being sustained and continuing to produce results since funding ended June 30, 2008. The results, summarized on Attachment B, clearly show that resources developed with ARRO funds are indeed being sustained, expanded, enhanced, and advanced, in important and meaningful ways, well beyond the end of the ARRO funding itself. For all 21 projects, during their ARRO funding periods: o 41 new distance-learning courses were created; o 46 existing courses were converted to distance-learning format; o At least 1,136 students were enrolled in the new or converted distancelearning courses. Since their ARRO funding ended on June 30, 2008, for the 18 projects for which this data was reported, as of March 2009: o 26 additional new courses had been created, with others in process; o 25 additional courses were converted to distance-learning format; o At least 945 additional students had enrolled in the ARRO-funded courses. Many other distance-learning resources were created with ARRO 2006 and 2007 funding and are continuing to be expanded to new, often non-traditional markets, including curriculum plans for new undergraduate and graduate degrees; professional certificate programs; community-based and noncredit training modules; and web-based skill-building tools available for public access. These additional major outcomes are also noted in the final column of Attachment B. F. Planned Activity for FY 2010: The ARRO FY 2010 budget for new-project funding is $241,689, which will be distributed as follows: 181 Special Project: Advancing Arizona Through a Web-Based Initiative. In June 2009, the ABOR Technology Oversight Committee approved $160,000 in ARRO funding in FY 2010 to partially support Year 1 of a special project called “Advancing Arizona Through A Web-Based Initiative,” through the Center for the Future of Arizona. ARRO funding will consist of (a) $100,000 from the ARRO FY 2010 budget and (b) a transfer of $60,000 from the NAU AZUN funding into the ARRO grant account. New Grant Awards in FY 2010. The balance of the FY 2010 grants and projects budget, at $81,689, is available for new grant awards during FY 2010. It is possible this amount will be supplemented by unexpended funds from 2008 ARRO projects, which closed out on June 30, 2009, and whose final financial reports are due by July 31, 2009. Because grant funding is limited, we intend to forego the traditional competitive grant cycle and instead have invited informal proposals from four current ARRO project teams whose projects show significant promise and whose work could be significantly advanced by an additional award of $30,000 to $70,000. Proposals will be reviewed by staff, and recommendations presented to the ABOR Technology Oversight Committee for final action. 182 ATTACHMENT A: Approved 2009 ARRO / AZUN Projects Institution Title/Summary Award Projects to be managed by ABOR, funded through ARRO with supplemental AZUN funding: ARO 09-01 ASU Ledlow ARO 09-02 ASU Poly Niemczyk ARO 09-03 ASU + UA Barker ARO 09-04 NAU McDonough ARO 09-06 UA Christopherson Masters in Sustainability for Mid- and Early-Career Professionals: ASU’s School of Sustainability will pilot an online professional masters program that builds the skills of early- and mid-career professionals in the emerging field of sustainability. We will work with corporate partners Dell and APS, and the Carey School of Business, to create a flexible program for anytime, anyplace learning. Aviation Online: Advancing Collegiate Aviation Opportunities: The Aeronautical Management Technology department is the only aviation program in the Arizona state university system. This project will develop online opportunities in order to increase student retention, better utilize ASU resources, and fulfill the growing demand for highly trained aviation professionals. Teaching an Enhanced, Advanced, Customized Hands-on Technology Education Course (Teach-Tec): Partnering with industry and prestigious programs at both ASU and the UA, this project will offer a 12-hour teacher certificate program in how various technologies (e.g., videoconferencing, podcasting, document camera, DVD and VCR, the Internet, and text messaging) can serve as high-impact educational tools to enhance the K-12 education experience. Curriculum Development of the On-Line "Teaching English as a Second Language" (TESL) Graduate Certificate: The project will develop four graduate web courses in TESL/AL so that the TESL Graduate certificate can become a completely on-line program. Two of the six required courses have been developed and are in regular rotation, and the proposed project involves the design and implementation of the remaining four courses. Online Geospatial Education and Curriculum Development for K-12 Teachers: This project addresses standards for math and science in K-12 schools and helps build a geospatial workforce by providing foundational GIS (geospatial information systems) education and practical curriculum development for K-12 teachers. The first of two online courses to be developed will provide Arizona teachers with fundamental skills to introduce (GIS) into their classrooms. The second provides a flexible, modular approach to building curriculum that meets math and science standards. TOTAL: Portion to be funded through ARRO dollars: Balance, to be paid into ARRO account from AZUN dollars: PROJECTS TO BE FULLY FUNDED THROUGH AZUN and MANAGED BY NAU: ARO 09-05 NAU Begay Public Health Certificate for Entry-Level Health Employees: This project will develop a fully online undergraduate certificate in Public Health and develop a protocol for determining Indian Health Service public health work competencies that align with Public Health academic learning outcomes. The goal is to increase opportunities for low skill level American Indian health workers in rural Northern Arizona to achieve a Public Health certificate that will increase their job skills as well as increase their career development. $50,000 $49,928 $39,360 $28,200 $49,397 $216,885 $200,000 $16,885 $25,751 183 ARO 09-07 The UA ArizonaNativeNet Program: "Federal Indian Law and Policy: Tribal Sovereignty and the Legal Relationship Between Tribes and the UA U.S.": Nelson This course is the proposed new entry in ArizonaNativeNet's series of highquality distance-learning curricula designed for tribal leaders, educators, students, attorneys and others in the field. This project builds on previous ARRO funding to expand existing collaborations with tribal, state, and federal governments and educational institutions. Anticipated revenue streams from the completed series include academic, legal and other sources. TOTAL, fully-funded AZUN projects: 184 $47,989 $ 73,740 ATTACHMENT B. Status of Completed ARRO Projects (2006, 2007) as of March 2009 KEY TO PROJECT OUTCOMES AND PERFORMANCE MEASURES: A = Total proposed or projected in original proposal B = Actual, during project funding period C = Additional, from project close through spring 2009 Project Outcomes/Performance Measures: Project Name Description ASU, NAU, UA: ARO06 05 Creation of an On-Line Masters of Advanced Studies Degree in Geographic Education ($93,675) Complete a new on-line Master in Advanced Studies in Geography Education. NAU: ARO06 0610 Autism Spectrum Specialist Program 2005 ($99,494) Establish a 12-credit graduate Autism Spectrum Disorders Specialist Program (ASDSP). NAU, ASU, UA: ARO06-11 Expansion of Gerontology Programs: On-Line Coursework ($88,309) NAU: ARO6-12 Preparing Prospective Teachers for Performance-Based Assessment ($49,995) NAU: ARO6-13 Development of an Allied Health 2+2+2 Educational Model ($49,580) NAU/UA: ARO615/19 Secondary On-Line Integrated Science Teacher Certification Program ($99,910) UA: ARO620 Anytime Learning About “Plants and Our World” ($28,570) Develop online course to make gerontology education available in remote areas and support the Governor’s Aging 2020 plan. Coach 40 teacher candidates in preparing video self-assessments required for teacher certification. Expand “anytime, anyplace” bachelors and masters degree options in high-demand allied health professions. Revises the On-Line Math/Science Teacher Certification Program funded by ABOR, to be science-specific. Revises Plants and our World Online, which fulfills General Education graduation requirements. Key New Courses Courses Converted Students Enrolled A 9 0 20 B 9 0 18 C 0 0 30 A 2 4 60 B 3 4 114 C 1 0 162 A 6 0 100 B 6 0 0 C 0 0 170 0 40 A B 0 0 43 C Unkn. Unkn. 25+ A 5 new progs. NA 15 B 5 new progs. NA 24 C Unkn. Unkn. Unkn. A 2 7 20 B 2 7 13 C 1 1 30 A 0 1 Unkn. B 0 1 Unkn. C Unkn. Unkn. Unkn. Other Major Outcomes/Notes (Selected): 16 teachers will graduate with their MAS-GE in May 2009 12 are expected to graduate 5/2010 Team is exploring program expansion with social studies concentration See http://geography.asu.edu/masge Developed 15-hour graduate certificate program 29 students completed the 15-credit program All three universities are continuing to offer the 15-credit program Additional enrollments from NAU not included in these figures Two additional courses will be offered for first time in fall 2009/Spring 2010 100% of teacher participants completed their certification portfolio videos by project end 25 additional teachers took part in 2007-2008 academic year Most recent update 10/22/07 See http://portfolio.coe.nau.edu Created 5 online undergrad majors in allied health fields; 24 students enrolled by end of funding Two new courses approved for MA/Health Science emphasis Most recent update 5/8/07 100% pass rate on AEPA professional knowledge test Math/science programs are now state- and nationally-approved 12 pending applications for summer enrollment Revised course was offered starting Winter 2006-07. Course now available through AZUN. Most recent update 11/1/2007. 185 Project Outcomes/Performance Measures: Project Name ASU: ARO636 Preparation of BSN/MS Nursing Students with nd 2 Degrees Through an Online Accelerated Program ($44,557) Develops a hybrid nd program to prepare 2 degree students for bachelors and master’s degrees in nursing. NAU: ARO641 Reaching Out to Native Americans ($4,219) Creates a web-based “Native Peoples of North America” course to reach out to Native American students. UA: ARO658 Arizona NativeNet Tribal Leadership Distance Learning Education Project b UA: AZU07-01 Methamphetamine and Other Illicit-Drug Education ($99,977) ASU: AZU07-02 Course Curriculum for a Tribal Financial Manager Certificate ($53,900) NAU: ARO07-01 Current Shakespeare Scholarship and the Secondary Classroom ($66,203) 186 Description Develops two distance courses targeting tribal governance, economic development and law enforcement. Produces an online resource to educate medical/health students and professionals about methamphetamine and other illicit drugs. Multi-disciplinary team develops a curriculum plan and certification program to meet expanding needs of tribal governments and their financial managers. Creates website based on cutting-edge Shakespeare research, addressing high school education standards. NAU/ASU: ARO07-02 Completing Suite for On-Line Delivery of Existing Masters Degree in Construction Mgt. ($99,135) Links existing courses to offer an entire suite of on-line courses leading to a Master of Science Degree in Construction Management. NAU: ARO07-03 SelfPaced CompetencyBased Music History Tutorial for Graduate Students ($8,148) Creates noncredit on-line music history tutorial to content competency of entering grad students in music. Key New Courses Courses Converted Students Enrolled A 0 6 0 B 0 5 0 C 20 20 0 A 1 1 60 B 1 1 60 C 0 0 90 A 2 0 0 B 2 0 31 C 1 0 40 A 1 NA 40 B 1 NA 8 C 0 NA 21 A Cert. program Cert. program NA B NA NA NA C NA NA NA A 0 0 0 B 0 0 0 C 0 0 0 A 3 10 20 B 3 10 20+ C Unkn. Unkn. Unkn. A 1 1 NA B 1 1 NA C 0 0 NA Other Major Outcomes/Notes (Selected): Distance learning components integrated in all 20 courses of the new 2nd Degree Curriculum No enrollment – pending funding Modified courses also available to 260 pre-licensure nursing majors. Creating and offering additional webbased sections Adding interactive modules to enhance face-to-face Demand and capacity have both continued to increase Web users of two courses = 39,100 in 2007; 25,800 in 2008. Users identified from 114 countries Will be used as template for 4 add’l programs totaling 32 credits in new and potentially lucrative markets See www.arizonanativenet.com Course is offered each spring and is available through AZUN. Course draws students throughout Rocky Mountain health consortium. Has been presented at two major regional venues. Nat’l Area Health Educ Ctr interested in developing certificate program Seeking Federal funding for phase II, implementation Has database of potential students Have received national recognition Major partnership with certificate accreditation orgn. Website and DVD produced and promoted 200 DVDs distributed via ASU English Education program Promotion will continue via all online NAU Shakespeare classes See http://nau.edu/teachshakespeare Project completed as scheduled. Aggressively presented at industry venues; “potential for large industry cohorts.” Most recent update 9/8/2008. See http://construction.asu.edu 5 online learning modules created for noncredit tutorial 3 additional major modules added since close of ARRO project Course was piloted in Fall 2008 Now required for all incoming graduate music students at NAU Project Outcomes/Performance Measures: Project Name UA/NAU: ARO07-04 On-Demand Remote Access to Electron Microscopes for Bio and Nanotechnology Courses ($87,391) UA: ARO07-05 Project LEADER (Leaders’ Ethical Allocation in Disasters Emergency Resources) ($49,406) UA: ARO07-06 Development of an Accredited Medical Physics Educational Program ($47,603) Description Develops on-demand remote link to existing Electron Microscope Facility, providing live microscope time for courses at NAU and UA. Develops online training for students, health care leaders and community leaders for effective decision-making in disaster situations. Develops a complete Accredited Medical Physics Educational Program, including graduate program and residency. UA: ARO07-07 Initiating a DistanceLearning Program to Prepare Teachers of Deaf and Hard-ofHearing Children ($50,000) Reconfigures UA’s existing program to prepare teachers of deaf and hard-of-hearing children to a web-based program. UA: ARO07-08 Online Translator Education Program ($32,700) Jump-starts an online course in medical translation, which will serve as a pilot for online courses in legal, business and financial translation. UA: ARO07-09 Project REACH: Reaching Out and Expanding Access to Coursework in Human Development ($49,274) Converts three foundational courses to reach out to students in pre-nursing, pre-health, pre-education, and social and behavioral sciences. Key New Courses Courses Converted Students Enrolled A 0 7 400 B 0 5 80 C 0 1 101 A NA NA NA B NA NA 5,600* C NA NA NA* A 6 4 10 B 6 4 6 C 0 0 6 A 1 5 12 B 0 5 39 C 1 2 13 A 1 NA 13 B 2 NA 13 C 1 NA 13 A NA 3 630 B NA 3 667 C 1 1 244 Other Major Outcomes/Notes (Selected): Technical issued delayed full implementation; now resolved Will be developed for 4 add’l courses for up to 55 students per semester Presented at Microscopy and Microanalysis Conference in Albuquerque – 80 people See http://taipan.mse.arizona.edu The 3 videos are being used in English and Spanish versions throughout U.S. and worldwide. Videos posted online and in CD See www.crestaznm.org *5,600 online users during course of project; numbers not tracked since project end PSM Medical Physics is now a recognized program; 10 applicants for fall 2009 enrollment. More than 50 applicants expected for 1 position in summer 2009 residency program Plans to add radiology courses and internships 15 students are currently admitted to the full program; 10 other applicants. 11 out of 15 students are “nontraditional” part-time, already teaching Universities in Colorado and Florida have requested to enroll their students. Model is being used to develop other special ed courses for online delivery. Courses presented at 3 national conferences. Course approval completed for 2nd course in sequence. Collaborations initiated with other non-AZ universities Seeking funding to complete translation certificate sequence and teaching-track option Increased enrollment by 30% through adding online courses Course is self-sustaining through credit outreach, summer/winter sessions Will offer 10 sections in online format in summer 2009 Seeking funding to develop an online Certificate in Human Development 187 This page intentionally left blank. 188 APPENDIX Arizona Board of Regents Policy 3-412 189 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 1. 190 Funding requests shall be submitted by the university Presidents, or prepared by the Central Office on behalf of the Board, in a format to be approved by the Executive Director, to include the following elements: A description of the proposed need, purpose and goals for each proposed project or activity, an explanation as to the ways in which the project promotes the purposes of the legislation, and/or an explanation of the relationship of the proposed project or activity Policy Number: 3-412 Policy Revision Dates: Policy Name: 3/01 Administration of Technology and Research Initiative Fund Page 2 to the foundation or clusters which are part of the state's overall economic development program; E. 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 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. 191