Advanc A cing Arizona Deve eloping miinds, ideas, solution ns Technolog gy and Res search Initiative Fund d Fis scal Year 2014 2 Annu al Report Septem mber 1, 20 014 As required by y A.R.S. §15 5-1648 (D) This page intentionally left blank. ARIZONA BO OARD OF R REGENTS TECH HNOLOGY Y AND RES SEARCH IN NITIATIVE F FUND (TRIF) ANNUA AL REPORT T For the e Fiscal Yea ar Ended J June 30, 20 014 TABLE E OF CONT TENTS TRIF Ex xecutive Su ummary ............................................................................................. 1 mmaries TRIF Prrogram Sum a State Univ versity ............................................................................................... 3 Arizona Northerrn Arizona University y ..........................................................................................................................13 The Uniiversity of Arizona ................................................................................................................................23 Arizona a Board of Regents System S Offfice ........... ...................................................... 35 y: TRIF Me etrics and Financials F System Summary Arizona a University y System ........................................................................................ 45 a State Univ versity ............................................................................................ 49 Arizona Northerrn Arizona University y ...................................................................................... 55 The Uniiversity of Arizona .......................................................................................... 61 a Board of Regents System S Offfice .......... ...................................................... 67 Arizona This page intentionally left blank. TRIFF Executive Su ummarry This page intentionally left blank. Technollogy and d Resea arch Initiiative Fu und (TRIIF) B BACKGROU UND ► Proposition 301 increeased the sttate’s sales tax t to be ded dicated to K--12, the com mmunity colle eges, and Arizo ona’s public universities. Collection of the tax b began on Jun ne 1, 2001, a and will conttinue through June J 30, 202 21, under cu urrent law. ► Using Proposition 3001 revenue, A.R.S. A §15-1648 establiishes the Te echnology an nd Research h Initiative Fund (TRIF) in the State e Treasurer’’s Office and d gives the A Arizona Boarrd of Regentts (ABOR) the t responsibility to adm minister the fund. f ► TRIF monies are conntinuously apppropriated to ABOR annd do not lappse at the ennd of the fisccal year. T TRIF BUDGET ► The Arizoona Board of o Regents approves the TRIF budge ets and busiiness plans in 5-year cyccles. The FY 2012-2016 2 business b plan n was appro oved by the B Board in Aprril 2011 and revised in August 2012, 2 based on an updatted sales tax x forecast fro om the JLBC C. These b business pla ans and broc chures are av vailable on the t ABOR web w site at: w www.azrege ents.edu. ► In FY 2013-14, TRIF F received ap pproximately y $66.7 millio on in revenu ue. The projected revenue for FY 20 012-2016 is approximate ely $382.6 million. m Totall TRIF reven nue received d to date sincce the incep ption of the program p in June 2001 is $755 million n. ► The TRIF F statute includes a 20 percent p limita ation on use e of TRIF fun nds for capita al projects expenditures. Arizon na Board of Regents, 2020 North h Central, Suite 230, 2 Phoenix, AZ Z 85004 602-229 9-2500, www.azrregents.edu Page 1 of 69 (continued) TRIF INITIATIVES ► Pursuant to A.R.S. §15-1648(C), TRIF monies will be used to support initiatives and projects that meet one or more of the following criteria:     Promote university research, development, and technology transfer related to the knowledge-based global economy Expand access to baccalaureate or post-baccalaureate education for time-bound and place-bound students Implement final recommendations from the Governor’s Task Force on Higher Education and/or the Arizona Partnership for the New Economy Develop programs that will prepare students to contribute in high technology industries located in Arizona ► Priority will be given to proposals that involve collaboration between and among the universities and/or collaboration with private industry or public sector agencies. ► The above criteria are included in ABOR Policy 3-412, along with formats for submission of proposals and other guidelines. ► The universities’ investments of TRIF funds in FY 2012-2016 will be limited to and focused in four research areas and one workforce development area: Research investment areas: Improving Health—ASU, NAU, UA Water, Environmental, and Energy Solutions—ASU, NAU, UA National Security Systems—ASU Space Exploration and Optical Solutions—UA Workforce development investment areas: Higher Education Access for Workforce Development—NAU, UA TRIF REPORTING ► 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 of prior year TRIF expenditures. ► The FY 2014 TRIF report, along with previous reports, is available on the ABOR web site. July 30, 2014 Arizona Board of Regents, 2020 North Central, Suite 230, Phoenix, AZ 85004 602-229-2500, www.azregents.edu Page 2 of 69 Page 3 of 69 This page intentionally left blank. Page 4 of 69 TTechnology an nd Research Initiative I Funds (TRIF) inve ested in advanncing researcch, entrepreneurship and eeconomic d developmentt at Arizona State Universiity (ASU) help p fuel innovaative solution ns. These solu utions are carrried fforward to the e marketplace where theyy have tangible, positive im mpacts on peo ople’s lives an nd on our eco onomy. TTRIF propels the t universityy knowledge enterprise e forrward, acceleerating scientific and techn nological b breakthroughs. It establish hes Arizona att the vanguarrd of researchh accomplishm ments, while also generatiing new id deas that create near‐ and d long‐term re eturn on inve estment. D During the TR RIF cycle of FYY12 through FY16, ASU is in nvesting in thhree key focuss areas.  Impro oving Health encompassess use‐inspired d, collaborativve research that advancess human healtth and qualitty of life.  Natio onal Security Systems S addrresses criticall research andd technologyy for the securrity, defense and aerospace sectors..  Water, Environme ental and Ene ergy Solutionss integrates rresearch efforrts that create solutions to o the challe enges posed by b urbanizatio on and the increasing dem mands for eneergy, water an nd clean air. A ASU is committed to provid ding high‐valu ue returns on n TRIF investm ments for Arizzona citizens. We are pleased to p present the acccomplishme ents enabled by b TRIF in FY1 14. These succcesses includ de bringing neew products aand ssolutions to th he marketplace, training sttudents to fulfill the high‐ttech employm ment needs o of the Arizonaa and n national economies, and le everaging TRIF‐supported research to ssecure new in nvestments an nd to attract ccorporate parrtnerships. “We strateggically invest TRIF T in researrch and techn nology that diirectly translaates to improvements in people’s lives and our local and national n econnomies. TRIF h has enabled the e developmen nt of life‐savin ng vaccines, supported s Ariizona’s defen nse and aerospace sectors, s and helped h establiish our state as a leader inn alternative ffuels research. Th hese endeavo ors not only enhance the quality q of edu cation of ourr students but also elevate the presstige of Arizon na as a leaderr in economicc developmen nt and urship.” entrepreneu – Sethuraman Panchanathan, Senior Vice Presiden nt of Knowledge Enterprise Deevelopment “TRIF invvestments havve positioned d the Biodesiggn Institute uniquely as a corn nerstone of ASSU’s strategyy to propel thee university in nto the top tier of o the world’ss premier research instituttions. The Staate of Arizona has h received ssignificant return on its investment in Biodesign, generous ssupport that sserved as a keey catalyst to o advance our mission oof entrepreneeurial‐based research thatt improvess human heallth and the heealth and seccurity of our p planet.” – Raymo ond DuBois, diirector of the Biodesign Insstitute Page 5 of 69 IIMPROVING HEALLTH TThe Improving Health focu us area contin nues to meet the complex and critical cchallenges of advancing heealth and h health care. This T focus areaa fuses biome edicine, engin neering and ccomputing through innovaative approaches in p partnership with w world‐claass institutes like l Mayo Clin nic. The resullt is cutting‐ed dge research, embarked o on by rresearchers and vetted by practicing do octors, that is changing thee health care landscape. P Programs sup pported in the e Improving Health H focus area and asssociated goalss:  The Biodesign B Insttitute addressses today’s crritical global cchallenges in health care, ssustainabilityy and security by developing solutions inspired fro om natural sysstems and traanslating thosse solutions into mercially viable products and clinical praactices. comm  The Complex C Adap ptive Systemss (CAS) initiative integratess diverse discciplines from across the caampus and th he globe to crreate entirelyy new technologies and noovel solutionss to present aand future chaallenges. CAS offers o unprece edented oppo ortunities to “de‐convolut “ e” the complexity of challenges in the eeconomy, health h care and the energy crisiis.  The Advanced A Com mputing Centter (A2C2) pro ovides a uniq ue, high‐perfformance com mputing resou urce to the caampus and th he communityy that allows ASU researchhers, industryy partners and d community leaders to collect, manage e and analyze vast and com mplex data setts in order to o elucidate heealth care straategies o and outcomes.  The Center C for Gam mes and Impact partners with w scientistts and game d developers to o harness the power of gamin ng platforms, theory and technology for application in health, eco onomics and sustainabilityy. The Innovvation Lab at the t center de evelops gamin ng platforms, impact guidees, and research and development servicces to provide e innovative solutions s thatt benefit K‐122 schools, com mmunity organ nizations, corp porate respon nsibility efforts and the geeneral public w with a focus o on issues relaated to health h and learning.  The Issotope Metalllomics initiattive advancess research leaading to the id dentification of new biologgical indicaators (biomarrkers) for breaast and prostaate cancers, oosteoporosis and other disseases. The fiield of study is still develo oping and the e initiative is at a the forefroont of biomed dical research and practicee. Identiified metallom mic biomarke ers will lead to o earlier diseaase detection n and more taargeted treatment. “TRIF allow ws us to build a transformaative vision th hat moves us from a pro oduct focused d on a specific output to th he creation oof an impactt‐focused visio on and technical framewo ork. We are now desiggning, implem menting and researching ne ew learning models th hat are being tested t at ASU U to transform m higher education n learning at middle m schools across the country c and globally.” – Sasha Ba arab, directorr of the Centeer for Games and Impact Page 6 of 69 SSummary of Accomplishm A ments A Accomplishments in the Im mproving Heaalth focus are ea include leveeraging TRIF investments to secure sign nificant eexternal awarrds, establishiing ASU as a leader in biossignature‐bassed health carre research an nd infrastructture, and aadvancing soccietal impact by bringing health technologies to the marketplace. R Results ‐ Impa act  Resea archers at the e Biodesign In nstitute secured $26 millio ostic test on in new funding to deveelop a diagno to rap pidly measure e an individual’s level of radiation r abs orption. The Biodesign research portfo olio also includ des a radical new n look at th he complexities of the gutt microbiomee and its assocciation with aautism; developing a vaccine to confer nicotine imm munity; and unnlocking genee sequences ffor amino acid ds, which will provide a wealth of informaation relevant to diseases such as canceer, diabetes aand neurological disord ders like Alzheimer’s diseaase.  HealthTell, Inc. seccured $4 milllion in new fu unding to hellp commerciaalize a test fo or lung, breasst, I is a biote ch spinout co ompany based on technolo ogy prostate and colorrectal cancer. HealthTell, Inc. developed at the Biodesign B Insttitute.  CAS la aunched the National Biomarker Deve elopment Alli ance (NBDA)), the first orgganization of its kind. A dee ep understand ding of biomaarkers will allo ow diseases oor potential d diseases to bee identified eaarlier. This in n turn enable es medical tre eatment to be e tailored to aan individual with unpreceedented preciision.  The high‐performa h ance computing capabilitiies of A2C2 e nabled analyysis of massivve data sets, iincluding those e associated with w health an nd medical research. In ad dition, the strong bioinforrmatics research and educaation partnersship between n ASU and Maayo Clinic hass been made p possible by th he advanced hardware and so oftware capacity available e through A2C C2.  The Center C for Gam mes and Imp pact has direcctly impacted more than 5500 educatorss and 1,500 m middle schoo ol students th hrough immersive 3D gam mes focused o on health and d social impacct. In addition n, the cente er is a partnerr in Intel She Will W Connect, which enabl es technology access and education to women in Africa, providingg significant positive p impaccts to their quuality of life in n terms of diggital literacy, health, financces and educaation.  The Issotope Metalllomics initiattive carried out o pilot reseearch, which ssuccessfully sshowed that calcium conce entrations can n be used as a biomarker.. This discoveery has the po otential to improve clinical care of cance er and osteop porosis patien nts. “TRIF makes it possible to t support inn novative transsdisciplinary projects at e alien to the medical com mmunity, a critical staage. Since ourr methods are and our app plications alie en to the geosscience comm munity, fundinng is a challenge. This T will remaain so until we e generate en nough biomeddical data to overcome skepticism in the t medical community. c Thanks T to the TRIF investment,, we have neaarly crossed the t bridge.” – Ariel Anba ar, director off Isotope Mettallomics initia ative Page 7 of 69 N NATIONA AL SECURITY SYSTEEMS TThe portfolio of programs in the Nation nal Security Systems focuss area is playing a key role in making Arrizona a p premier location for companies in the aerospace a and d defense secctors. This foccus area build ds on Arizona’s eestablished de efense industtry and positions the state e for an unpreecedented levvel of partnerrship between n the u university, ind dustry and go overnment. P Programs sup pported in the e National Se ecurity System ms focus areaa and associaated goals:  The Security and Defense D Systeems Initiativee (SDSI) engagges faculty an nd researcherrs across the eentire university in both on‐ o and off‐caampus facilitiies. Expertisee and resourcees are leveragged to broadeen ng efforts, im mprove connections and co ollaborations with governm ment and industry, and invvolve ASU existin stude ents in researcch projects an nd public servvice.  The Sp pace Technollogy and Scieence Initiativee (NewSpace)) leverages exxpertise in sp pace‐related sscience, techn nology and op perations to sttrengthen mu utual interacttions with aerrospace comp panies. A partticular focus is on develop ping partnersships with emerging and enntrepreneuriaal companiess in Arizona an nd the hwest, where private comm mercial space eports and roccket factoriess are increasingly becomin ng an South integrral part of the e NewSpace landscape.  The Flexible F Electrronics and Dissplay Center (FEDC) operaates as a public‐private parrtnership thatt has established itself as a a global leaader in flexible electronics manufacturing, including materials ressearch and development and supply ch hain developm ment. The ce nter has creaated a powerfful innovation n infrasstructure to advance full‐co olor, video‐raate and flexibble display tecchnology. “The NewSpace initiiative is developing partne erships that will w enable facculty and rese earchers to taap into new private p and go overnmental funding f streaams for cuttingg‐edge space e‐related research, and to enhance e the pipeline of Arizzona studentss transitioningg into d aerospace‐related internships and carreers.” skilled – Jim Bell, B director of the NewSp pace initiativee Page 8 of 69 SSummary of Accomplishm A ments TThe National Security Systtems focus arrea has create ed a universitty research initiative that p partners with h ccompanies in the highly co ompetitive seccurity, defensse and aerosppace sectors aand that integgrates new ttechnologies into i practical systems. Cre eating such an n initiative is key to realizin ng the econo omic growth that is p possible for Arizona A in this industry. Since the incepttion of this foocus area, ASU U has created d significant n new rresearch and economic opportunity relaated to securrity and defennse and is now w expanding into aerospacce. R Results – Imp pact  SDSI, in collaborattion with the Decision The eater and oth her ASU initiaatives and sch hools, secureed a prestiigious award of $20 millio on from the National N Geosspatial‐Intelliigence Agenccy to launch a research partnersh hip. The Fore esight initiativve will develo p decision‐making capabillities in the co ontext of nation nal security riisks associate ed with severe e weather evvents and theiir potential efffects on reso ources and political p unresst and instabillity.  SDSI efforts e were instrumentall in securing Department D o of Defense (D DoD) fundingg for a Pracad demic Cente er of Excellence (PACE) in Technology Transfer T (T2).. The center iis the first of its kind and aadapts ASU’ss proven Furn nace technolo ogy accelerato or system for DoD laborato ories. PACE/TT2 is already b being imple emented at th hree DoD labo oratories and has created 50 new poten ntial venturess.  The NewSpace N inittiative secure ed funding fro om NASA’s Jeet Propulsion n Laboratory to oversee th he development of a CubeSat com mmunicationss ground stattion on the Teempe campu us. This ground station nable and levverage significcant student, staff and facculty involvem ment in futuree small satellite will en propo osals and inte eractions with h NewSpace companies c annd governmen nt labs.  FEDC continues to o manufacture e breakthrou ugh technologgy that is attrracting indusstry partners and catalyyzing new ressearch and marketplace m opportunities o . Achievemen nts include m maintaining the world record d for largest flexible f color organic light emitting dispplay (OLED) w with a new dissplay that meeasures 14.7 diagonal d inches. In addition, a collaboraation has beeen established d with Fraunh hofer, the larggest contraact research and a developm ment organizaation in Europpe; and ASU iis one of a select group that has been invited to pro opose a new National Scie ence Foundatiion Engineeriing Research Center focused on nomous electronics system ms. auton “The nattional security challenges facing our naation today reequire solutio ons at the in ntersections of o disciplines. TRIF investm ment enables aand amplifiess the development of time ely solutions to t these challenges leveragging ASU’s leadersh hip in transdissciplinary research.” – Nad dya Bliss, co‐ddirector of SD DSI and Assiistant Vice Prresident of Reesearch Strateegy Page 9 of 69 W WATER, ENVIRON E NMENTALL AND ENERGY SOLUTIONSS TThe Water, En nvironmental and Energy Solutions foccus area is adddressing critiical issues asssociated with an increasingly urbanized and d resource‐constrained wo orld. Researchh advances in this focus area capitalize on the m major role thaat Arizona can n play in the future f of energy technologgy, education n, and commeercial develop pment rrelated to enssuring the pro otection and availability a off natural resoources for thee future. These endeavors are ffostering econ nomic growth h through research, which enhances thee attractiveneess of Arizonaa to outside investors. P Programs sup pported in the e Water, Environmental and a Energy So olutions focus area and asssociated goaals include:  broad sustain nability strenggths to The LiightWorks initiative bringss together ASSU’s energy acctivities and b tackle e complex ene ergy problem ms. LightWorks is a unique strategic fram mework withiin the Julie An nne Wrigley Global Insttitute of Sustainability cen ntered on an iinnovative ph hoton‐driven economy app proach pabilities rangge from basic research on biofuels and new materials discovery for for the future. Cap photo ovoltaics to th he applied developments of o complex allgorithms cou upling weatheer forecasts w with electrrical grid distrributions.  The Decision D Thea ater Network (DTN) engage es researcherrs and leaders to visualize and identify solutions to com mplex problems. With locaations in Tem mpe and in Waashington, D.C., DTN facilitties provide tthe latest experrtise in collaborative, comp puting and display technollogies for datta visualizatio on, modeling aand simulation. The ne etwork addressses cross‐dissciplinary issuues by drawin ng on ASU’s diiverse academ mic and research capabilities. “TRIFF funds enable ed the LightW Works Solar Power Labs to t further advvance the desiggn and manufacture of a diilute nitrid de tandem solar cell. This capitalizes c on the unique cap pabilities of So olar Power Labs and offers un nique high effficiency at a low wer cost in the e field of phottovoltaic techn nology.” – Chrristiana Honsb berg, directorr of Solar Poweer Labs “TR IF investmentts are centrall to the misssion of LighttWorks to pro ovide energy opttions to socieety. LightWorrks aims to havve an impact in Arizona th hrough eduucation, disco overy researcch and sollutions. By supporting thesse three chaannels of worrk we support policy maaking, technology solutions, human cappacity develo opment, job creation and ecoonomic devellopment.” –G Gary Dirks, dirrector of Ligh htWorks Page 10 of 69 SSummary of Accomplishm A ments TTRIF investme ents in the Wa ater, Environ nmental and Energy E Solutiions focus areea have resulted in numerrous aadvancementts in research,, education and discovery that are posiitively impactting the econo omy and sociiety. R Results – Imp pact   LightW Works realize ed a number of strategic successes s thiss year includiing:  Se ecuring $22 million m in high hly competitivve funding fo r continued rresearch and education at the En ngineering Re esearch Cente er for Quantu um Energy Su stainable Solar Technologgy as well as a prestigious Department of Defense ARPA A‐E funding aaward, which leveraged reesearch initially funded byy TRIF.  Fiinalizing an aggreement witth Aora Solar to build a co ncentrated so olar thermal experimental and demonstration n power plantt on the Temp pe campus annd fund $1.5 million in research.  ees to Solar Summit IV. Pa rticipants gaiined an impro oved understanding of Attracting over 100 attende ent energy market conditio ons and learnned actionablle ideas for acccelerating th he Arizona’s curre ologies in the current markket. penetration off clean techno mplishments of the Decisiion Theater Network N in th he past year iinclude: Accom  Remaining on the forefrontt of digital sto orytelling throough a partneership with M MapStory Foun ndation. Th his project an nd DTN have been b featured in national media outletts such as Thee Washington n Post, National Geographic and Th he Arizona Re epublic.  Constructing fu unctional mo odels to assess oil and gas iinvestment and creating vvisualizations for SIGA Te echnologies, Inc.  Collaborating with w the McC Cain Institute to deliver a ppolicy design aand internshiip program. “TRIF invvestments maake it possiblee for Decision n Theater Nettwork staff to undertake innnovative, exp perimental an nd cutting‐ed dge on and modeling of researcch efforts, wh ich emphasizze visualizatio complex data.” – Benja amin Freakley, y, Decision Theeater Networrk Execu utive Directorr Page 11 of 69 This page intentionally left blank. Page 12 of 69 Page 13 of 69 This page intentionally left blank. Page 14 of 69 In sp pring of 2011 1, the Arizon na Board of Regents R app proved threee initiatives undeer Northern Arizona University’s FY1 12‐FY16 TRIFF Business Plan: Water,, Enerrgy and Enviironmental Solutions S (W WEES), Impro oving Health h (IHealth) and Access and Workforce Developmen D nt (AWD). Northern N Ari zona’s Univversity’s rese earch strengtths in enviro onmental an nd climate scciences, wind d enerrgy, bioscien nces and heaalthcare servve as the fou undation upoon which thee WEEES and IHealtth initiativess build increasingly visible and ambi tious proggrams that co ontribute to o Arizona’s economic vitaality. Northeern Arizona Univversity’s AWD initiative also a supportts the state’ss economic ggrowth, through the development an nd delivery of o courses and degree pprograms that support workforce deve elopment in areas such as health, teeacher educcation, and business b and d nonprofit managemen m t. In FYY2014, NAU invested TRIF dollars in some new ways—bring w ing new research centerss online, recruiting new faculty and post‐doctorral scholars ensive progrrams that to th he universityy, and establishing new research‐int r build d upon existing strengths and that will w lead to in nnovation annd economicc impaact. In FY14, NAU acquireed Monsoon, a high‐p performance ccomputing cluster w with 450 Intel Xeon cores, 10TB of memory, and d a peak compute performancce of 8 teraflop ps. For eexample, in FY2014 NAU U invested TR RIF funds to establish a nnationally‐ competitive Info ormatics and d Computingg Program (IICP) that wil l enable NAU U researcherss to utilize fu undamentally new “big data” d approoaches to scientific invesstigation acro oss almost all a academicc disciplines.. The establishment of the ICP Paul Flikkema, ensures e thatt NAU will reemain comp petitive in inccreasingly Pro ofessor of data‐driven d research in areas relevaant both to W WEES and Eleectrical IHealth. Thee ICP is expeected to incrrease extram mural Engineering, waas research funnds considerrably. appointed Direcctor of the Informattics & Co omputing Pro ogram (ICP) in n FY Dr14. . Flikkema’s work w on the SEGA S project outhwestern Experimental Garden Arraay) (So maakes him the ideal choice to t lead this im mportant intterdisciplinaryy initiative. Flikkema F aimss to ensure that all NAU N research hers are familiar with computational concepts, alggorithms, and tecchniques. In addition, the financiaal return on N NAU’s previo ous TRIF investmentss was substaantial in FY20 014. The financial impact of thhe universityy’s TRIF invesstments to d date exceeded e ouur goal in FYY2014 by alm most $2.5 million and exceeded e ouur FY2013 go oal by more than $6 million. Most notably, latee in the fiscaal year the university recceived a prestigious $$1 million aw ward from the W. M. Keeck Foundation to establish a Center for Bioengineeering Innovation i n the Collegge of Engineeering, Foresttry and Natural Scieences. Page 15 of 69 WA ATER, ENEERGY & ENVIRONM E MENTAL SOLUTIO ONS (WEEES) North hern Arizonaa University’s TRIF investtments unde er the WEES initiative ad ddress a num mber of projects d social designed to identtify and cataalyze econom mic opportun nities that suustain Arizon nans’ enviro onmental and 4, NAU leverraged historical strength hs in environnmental scieence and policy, climate science, and d valuees. In FY2014 ntroduce new w, ambitiouss projects th hat will contrribute to buiilding Arizon na’s sustainaable future. wind energy to in One o of these is th he Ecosystem m Science an nd Society Center C (Ecoss), an inter‐d disciplinary research and research training program focusing on n understand ding ecosyste ems—how aand why theey change—aand to bringg tools and persp pectives from m ecosystem m science to the t ecology of an integrrated Earth. The center is already atttracting substtantial extram mural fundin ng, outstand ding and entrepreneuria l faculty, post‐docs and graduate students, and is exp pected to generate innovvative intelle ectual prope erty that cann be commerrcialized through licensing and the formaation of univversity start‐‐ups. Ecoss joins j the following NAU research ceenters curren ntly support by TRIF: Goalls  EEcological Re estoration In nstitute. Provide leaderrship to d develop solu utions to the costly envirronmental problem of d degraded forrest health, water qualitty and availaability and aalternative energy e fuel in n the form of o biomass and b biodiesel. Co ontribute to workforce developmen d nt by p providing qu uality underggraduate and d graduate funding, ffieldwork, an nd education n in forest re estoration.  LLandscape Conservation C n Initiative. Engage stud dents, d decision makkers, and the e public in meaningful m dialog, ggrounded in robust scien nce, to help forge solutio ons to landscape co onservation and sustainaable commu unity d development.   Institute for Sustainable e Energy Solutions. Build rresearch cap pacity in rene ewable enerrgy innovatio on tthrough cuttting‐edge ressearch and developmen d nt of sstrong extern nal partnersships. The mission of the Centter for Ecosystem Science and Societyy (ECOSS) is to conduct ressearch on ecosystemss and investiggate how theyy respond to and shap pe environmeental change;; to train future scientists, and to o communicatte discoveriess to the publicc. (Photo Courttesy of Steve Rich h) M Merriam‐Powell Center for Environmental Rese earch. Expannd and markket the availability of field stations, eexperimentaal arrays, and d facilities fo or geospatial analysis an d biodiversity studies. SSuch expand ded ccapability an nd visibility will w be aimed d both at inccreased leve raging of graant funding and at a tran nsition ttoward self‐ssustaining sttatus for the e field station ns and facilitties. Page 16 of 69 SSummary off Accomplish hments In FY2014, NAU invested d TRIF funds in a numberr of exciting projects and d activities u under the W Water, EEnergy and Environment E tal Solutionss initiate. Th hese investm ments are intended to sttimulate eco onomic d development through re esearch inno ovation, partnerships in ssustainable solutions research, reseearch ttraining, and d commerciaalization of in ntellectual property. p R Results ‐ Imp pact  In FY2 2014, NAU in nvested TRIF funds to acquire a custoom, state‐of‐the‐art (aand first of itts kind in Arizona) unmaanned aerial vehicle (UAV V) equipped d with a hype erspectral caamera and lid dar scanningg capabilitiess that will en nhance remoote sensin ng across a number n of re esearch disciiplines. This UAV bringss research an nd land management capacity to NA AU that is expe ected to attrract external funding and partnersh ips with state and a federal agencies as well as privaate industry..  NAU recruited r two o world‐classs scientists from f the Unniversity of Florrida. Ecosysstem ecologists Ted Schu uur and Michhelle Mack will join the College of Engineering, E Forestry annd Naturaal Sciences through t NAU U’s new Centter for Ecosyystem Sciencce & Society (Ecoss). Remote‐senssing ecologist Teki Sankey stand ds with a miniiature, ffunctioning m model of the n newly‐ acquired UAV V, equipped w with a hyperspectraal camera and d lidar scanner.  Postdo octoral Scho olar Eric Morrgan disclose ed 4 inventioons in FY201 14, including the patent pending “Grraphene‐bassed Synthe etic Leaves for f Passive Water W Pumping, Cooling,, and Humid dification”. Morgan wass one of thirtteen postdooctoral scholaars hired in FY13 F as part of the Support for Post‐‐ Doctoral Associate es (SPA) Program, a TRIFF‐funded proogram intended to infusse new reseaarch experttise and inte er‐institution nal collaboraations into thhe NAU reseearch enterp prise.  The NAU Institute e for Tribal Environmental Professionnals received d $2.8 millio on in FY14 from the Enviro onmental Pro otection Age ency (EPA) to o support thhe training p program, “Naational Tribaal Forum on Airr Quality”.  Merriaam‐Powell Center C for En nvironmentaal Research ((MPCER) spo onsored the 12th Bienniaal Conference of Scie ence and Maanagement on the Colorrado Plateau u in Septemb ber, 2013. TThe han 410 scien ntists, land m managers, and students from as far away as conferrence attracted more th Alaskaa and Washington, DC. and a was co‐ssponsored byy a number of organizattions includeed the USGS, National Paark Service, the t Grand Caanyon Trust and the U.SS. Bureau of Land Managgement. Page 17 of 69 IIMPROVING HEALLTH: INVEESTING IN N BIOTECH HNOLOG GY AND B BIOENGIN NEERING TThe mission of the I‐Health initiative e is to positio on the univeersity to tran nslate discovveries and neew kknowledge in nto economic activity. G Goals  Build Ca apacity in Te echnology Trransfer. NA AU seeks to o strengthen internal cap pacity in technolo ogy transferr by impleme enting a vigo orous technolo ogy transferr strategy thaat maximizes the potentiaal for NAU re esearch outccomes to leaad to commerrcial productts and servicces, yielding econom mic benefit fo or the state of o Arizona.  Catalyze e developme ent of intellectual prope erty (IP). NA AU provides project‐base ed financial support to faculty whose w researrch has the potentiaal to generatte outcomess suitable for licensingg to established compan nies and/or the t formatio on of spin‐offfs. NAU is building b and strength hening relatiionships with state‐wide e partnerss to enhance e technical assistance a necessary to grow successful s sp pin‐offs.  Build institutional capacity c to expand e biosccience reseaarch. NAU h has implemeented compeetitive d, strategic i nvestments in biosciencce‐related reesearch. internal grant progrrams that maake targeted nvestments strengthen s the t institutio on’s committment to and d participatio on in the staatewide These in Arizona Bioscience Roadmap. R  Invest in n the Centerr for Microb bial Geneticss and Genom mics. NAU’ss investmentts in MGGen n enhance e synergies between No orthern Arizo ona Universiity and the TTranslational Genomics Research (TGen) Insstitute throu ugh the supp port of indiviiduals jointlyy appointed..  Strength hen the nortthern ancho or of Arizonaa’s biomediccal corridor.. NAU’s new w Health Ressearch Initiative es (HRI) proggram expand ds existing research effoorts targeted d at biomediical, translattional, and com mmunity heaalth research h. It establisshes strong ppartnershipss with mediccal centers and communities in the region, such h as Flagstafff Medical Ceenter and No orthern Arizona Healthccare. Page 18 of 69 3D D printed mod del of the Disscovery Chann nel Teelescope currently on display at the Low well Obbservatory. TThe model waas designed b by Tanya Gaallagher and JJohn Tester o of NAU’s Realization off Advanced Prroducts and Innovative Deesigns Laaboratory (RA APID Lab), established und der the RIF program in hoto Courtesy of TR n FY2013. Ph Loowell Observaatory. SSummary off Accomplish hments In FY14, NAU U continued to invest TR RIF dollars in research in the bioscien nces, health care research and b biotechnologgy in order to strengthen n and expan nd NAU’s imppact on Arizo omy. ona’s econo R Results ‐ Imp pact  NAU siggned an MO OU with Nortthern Arizon na Healthcarre to establissh THRIVE, a partnership p focused d on translattional and population he ealth researrch to improvve health ou utcomes in N Northern Arizonaa.  Regentts’ Professorr Kiisa Nishikkawa receive ed $1 millionn from the W W. M. Keck Foundation to establissh a new Center for Bioe engineering Innovation. “The prestige of an awaard from thee W. M. Keck Fo oundation iss thought to accelerate innovation,”” said Nishikaawa. “TRIF w was instrumeental in gettingg this award;; the initial collaboration n and the collection of th he preliminaary data on aatomic force microscopy m that we presented during the site vissit were all ffunded by TR RIF.”  Partnered with Flagstaff Mediccal Center to o develop a ssuccessful $200,000 pro oposal to thee Flinn Foundaation for a jo oint research h project to improve evi dence‐based d programs for transitio onal care in hom me and comm munity settin ngs.  NAU In nnovations licensed pate ent‐pending techno ology, Moist Membraness for the Culttivation and Co ollection of Algae A (MOMECCA), to a start‐up s company, SCORE Algae, A througgh ASU’s Furrnace accelerrator. SCORE plans to usse MOMECC CA to producce and sell crrude oil mad de from algae using solar energy. THRIVE (Translationa ( l Health Rese earch Initiative e) is a partnersh hip between NAU and Norrthern Arizona Healthcare designed to t catalyze an nd facilitate d collaborativve research in n biomedical,, increased behaviorral, and comm munity health for the diverrse populatio ons of Northe ern Arizona. Page 19 of 69 nt, TGen presiident and research Jeffrey Tren director (lefft), presents a plaque to NAU President Jo ohn Haeger co ommemorating the first patent jointtly issued to TTGen and the Arizona Board of Reegents (on beh half of NAU). NAU and TGen entereed into a five‐year agreem ment to promote ressearch and in nnovation. “TTGen is a shining exam mple of the in nnovative com mpanies we seek to attraact and expan nd in Arizonaa,” said Gov. Jan Brewer. “By enhancing the successsful partnership between TGen and NAU, we can ensure that both our bio oscience indusstry and our o thrive for yeears to economy will continue to ws come.” Phhoto Courtesyy of NAU New A ACCESS/W WORKFORCE DEVELOPMEN NT O One of North hern Arizonaa University’s (NAU) stre engths is acccess and worrkforce deveelopment. Fo or over 3 30 years, NA AU has served rural and urban u comm munities throoughout Arizzona, providing opportunities ffor place‐ or time‐bound d citizens to continue the eir educatio nal progresss. Three‐quaarters of NAU U’s EExtended Campuses stud dents work at a least 32 hours per weeek. TThis initiative e focuses on n shortages of o teachers, health‐care professionaals, trained m managers an nd information technology professionals. The goal is to make qquality progrrams availab ble in locations and tthrough delivvery method ds that suit student s need d. Thirty‐six rural and urrban sites offfer face‐to‐fface ccontact, a wiide variety of o on‐line and hybrid pro ograms, and flexible scheeduling, all o of which sup pport sstudents to learn while balancing b wo ork and othe er commitm ents. Coursees can be completed in aas little aas seven wee eks and num merous progrrams allow students s to ttransfer as m many as 90 ccredit hours from an A Arizona community colle ege, leaving only 30 NAU U units needded to complete a bacheelor’s degreee. These ttransfer frien ndly program ms are amon ng the most affordable ffour year deggree optionss in the statee of A Arizona. Stud dents can re each out to their local NA AU contact oor use the Exxtended Cam mpuses Servvice C Center, whicch is available by toll‐free e phone, em mail, and onl ine chat for a wide rangge of studentt support sservices. P Partnershipss with Arizon na communitty colleges continue c to tthrive. The 22NAU joint aadmission prrogram ccontinues to attract stud dents as it is structured to t provide a ccess to a fo our‐year deggree through h sseamless transition from m the commu unity college e to NAU. Stuudents are jointly admittted to their ccommunity college c and NAU N so their courseworrk at each insstitution is ttailored to en nsure their ggoals are m met in the most m affordab ble and efficcient way. Th he program’s more than n 4,500 participants as of June 2 2014 reflect the statewid de demand for f this inno ovative pathw way (including participants from thee M Maricopa Co ommunity Co ollege Districct, Cochise Community C C College, Pim ma Community College, C Central A Arizona Com mmunity College, Eastern n Arizona Community Coollege, Mohaave Commun nity College,, Yavapai C College, Arizona Western College, an nd Coconino o Communityy College). EExtended Campuses con nducted a tho orough revie ew of the ennrollment prrocess duringg the 2012/1 13 aacademic year. With a fo ocus on removing obstaccles to enrolllment and identifying o opportunitiess to improve the service and information n provided to o students, tthis evaluatiion resulted in significan nt staff rreorganizatio on and improved busine ess processes. As most oof the studen nts pursuing AWD programs are aadults who work w and havve other com mmitments, streamlining the processses surroun nding enrolling in cclasses is esssential to the eir success. These effortts continuedd during the past year w with the implementattion of an on nline new student orienttation that pprovides stud dents with m much of the information they need to o begin at NAU in a stan ndardized format they caan access at their conveenience. Initial data su uggests the online orien ntation is ben neficial withh 91% of com mpleters indiicating the ccontent w was relevantt and useful.. Continued efforts to sttreamline annd simplify b business processes will ttake p place during the upcoming year to support NAU’s on‐going commitmen nt to offer prrograms that best sserve the needs of Arizona. Page 20 of 69 EE‐LEARNING EEstablished in 2001, the e‐Learning initiative i hass been improoving studen nt learning aand supportiing ssuccessful de egree complletion througgh engagingg, effective a nd efficient use of techn nology. Overr the p past year the e eLearning Center’s foccus has been n to support university in nitiatives to improve thee quality o of instruction n across all learning mod dalities. Firstt, as a membber of the sttate‐wide Qu uality Matteers cconsortium, NAU has collaborated with w ASU, UA A and variou s communitty colleges to o educate an nd train ffaculty and staff s state‐wide in the usse of the Quality Matterrs Rubric dessigned to sett national staandards ffor quality de esign of Online and Blen nded coursess. Over 60 N NAU faculty aand staff com mpleted the “Using tthe QM Rubrric” course taught t by the e three Quality Matters certified NA AU trainers. Second, the initial sset of blende ed courses re edesigned as part of the e President’ss Technologyy Initiative w was fully implemented d in FY14. Th he majority of o these cou urses showedd cost savinggs as well ass similar or im mproved learning outccomes. TThe e‐Learning Center co ontinues to provide online and in‐peerson trainin ng for facultyy and staff o on sound ccourse design and practiical use of Blackboard Le earn and othher instructio onal technologies. The C Center's ssix instructio onal technolo ogists and tw wo instructio onal designeers consult w with faculty o on instructio onal m methods, leaarning activitties, and tecchnical issues. Three mu ltimedia dessigners collaaborate with h faculty tto create enggaging video os, audio reccordings, animations, annd other instructional meedia that efffectively cconvey coursse concepts.. In addition to o monitoringg current ressearch on te eaching and learning, thee Center invvestigates the cchanging tecchnological laandscape to o assess whicch new offerrings and tecchniques best meet the needs of sstudents and d instructorss. Faculty wh ho work with h the Centerr value the personalized support theey rreceive and they t often explore e new ways of teacching, confiddent that theey are backeed by a team m of kknowledgeab ble professio onals. TThe e‐Learning Center’s Faculty Help p Desk has lo ong providedd telephonee support during regular u university bu usiness hourrs. Beginningg in fall 2014 4, telephone support will be availablle until 10 p..m. on w weekdays an nd an additio onal 14 hourrs on weeken nds. Email suupport continues to be available aftter h hours. The Help H Desk’s staff s and stud dent workerrs collaboratte with techn nology vend dors and with h other ssupport orgaanizations on n campus to quickly resp pond to morre than 13,0000 help requ uests annually. SSatisfaction surveys s indiccate that facculty find the e Center’s effforts to be highly effecttive. TTwo initiatives launched in a prior ye ear, continue to gain traaction with faculty. The ffirst is the usse of a u uniform tem mplate when creating onlline, blended d or web en hanced facee‐to‐face cou urses. The usse of this ttemplate pro ovides for grreater consisstency of cou urse look annd feel within n and acrosss the disciplines and d departmentss. The goal of o this initiative is to help p students a nd faculty to o focus on leearning rather than sspending unproductive time t navigatting and tryin ng to undersstand a pecu uliar course structure. A second p project is the e use of two new trainin ng courses fo or faculty, onne is a basic technology skills coursee and the ssecond is a course c on teaaching with and through h technologyy. The teaching course iss technologyy aagnostic with h a focus on pedagogy and a teachingg techniquess grounded in n learning reesearch thatt will eengage stude ents in onlin ne and blend ded courses. Page 21 of 69 This page intentionally left blank. Page 22 of 69 Page 23 of 69 This page intentionally left blank. Page 24 of 69 At the University of Arizona, TRIF promotes the economic development of the state by catalyzing innovative research in target areas of high impact; facilitating the translation of research results into new products and services that benefit the health, security, and prosperity of Arizona; and educating students—from elementary to graduate school—to be science and innovation leaders who will create Arizona’s bright high‐technology future. TRIF activities fall under four initiatives:  Improving Health supports UA researchers who are tackling complex and pressing health problems of critical importance to Arizona and the nation, as well as major challenges in the agricultural sciences. New hires in the BIO5 Institute have made significant progress on novel therapies and treatments for a wide range of diseases. Researchers also submitted an Investigational New Drug application for the use of oral microbial products in the prevention of asthma in preschool children and expanded computational tools for use in other life science research. BIO5 also helped connect students with employers in the region, building Arizona’s workforce of the future.  Space Exploration and Optical Solutions seeks to expand educational opportunities for students in optics, incubate novel research directions, and impact regional economic development by leveraging the University’s world‐ renowned optics education and research resources. New developments in imaging are improving baggage screening for airport security and advancing research on skin cancers. Research in photonics will support future growth of the Internet and give rise to new sensors and electrodes for use in solar energy applications. Kimberly Espy, Senior Vice President for Research “TRIF funding enables the UA to jump‐start research in areas critical to Arizona, innovate technologies, train our future scientists and engineers, and transform visionary ideas into commercial success. This improves the lives and health of Arizonans and the prosperity of the state.”  Water, Environmental and Energy Solutions seeks sustainable solutions to Arizona’s water, environmental, and energy resources challenges, with far‐reaching societal benefits. Among FY14 accomplishments, WEES helped advance new water quality analysis and treatment technologies, trained managers in post‐ wildfire ecosystem recovery, developed creative designs for the I‐11 Supercorridor, and collaborated with industry to support Arizona’s flourishing solar power industry.  Tech Launch Arizona, the UA’s technology commercialization unit, aims to accelerate the process of moving UA discoveries from the laboratory to the marketplace, providing a more direct avenue for UA inventions to create economic and social impacts in Arizona. In FY14, TLA helped establish 11 new start‐up companies based on UA intellectual property. These companies bring jobs to southern Arizona, attract partners and millions of dollars in development capital, and create economic growth for the state and its citizens. Page 25 of 69 IMPROVING HEALTH TRIF investments in Improving Heath have allowed the BIO5 Institute to bring together world‐class biologists, engineers, and physician‐scientists to develop bold solutions for complex biological challenges facing Arizona such as disease, hunger, and water safety. With its unique combination of assets—bioscience research institutes, a strong medical school, a health sciences campus and teaching hospital, outstanding clinical expertise, and technology commercialization—the UA is positioned to translate research into health solutions that benefit the people and economy of Arizona. Goals  Foster collaborative projects that address major challenges in the biosciences, biomedicine, and biotechnology and forge significant progress on novel treatments for asthma, cancer, valley fever, diabetes, sudden cardiac death, degenerative eye disorders, and Alzheimer’s and other brain diseases.  Strengthen and expand translational research by recruiting the best and brightest faculty to Arizona and supporting projects that will advance the development of new medicines, devices, diagnostics, and therapeutic strategies.  Engage and train our future generations of scientists by maintaining successful outreach and internship programs to promote experiential learning and STEM literacy in the state.   Establish shared resources in computational biology, imaging, high throughput screening, genomics, proteomics, and cell sorting to expedite large‐scale, team science grants that will boost research funding, serve as a resource for local industry, and create new services and companies in Arizona. Promote an entrepreneurial culture in which scientists work across disciplines to accelerate commercial translation of research breakthroughs. Student/industry networking events, career fairs, and internship programs with biotech leaders such as Ventana Medical Systems and Sanofi connect students with employers in the region, building Arizona’s workforce of the future. The BIO5 Institute in the Thomas W. Keating Bioresearch Building TRIF funding that helped launch BIO5 continues to catalyze major health initiatives that provide a return on investment to the people of Arizona. KEYS Research Internships engage the best and brightest high school students from across Arizona in hands‐on research to attract them to the UA and to bioscience degrees and jobs in our state. Page 26 of 69 Summary of Accomplishments Researchers supported by TRIF continue to push the boundaries of knowledge, facilitate cutting‐edge science breakthroughs, and garner international recognition for the impact of their work. NIH‐ funded translational work by Jil Tardiff, professor in the College of Medicine, is now coupled with her UA Genetic Cardiomyopathy Clinic, which drives referrals from across the U.S. to Tucson and is leading the creation of a worldwide consortium to study the disease. Todd Camenisch, associate professor of pharmacology and toxicology, and Joyce Schroeder, professor of molecular and cellular biology, partnered to launch Arizona Cancer Therapeutics LLC, a development stage company advancing novel cancer drugs to clinical trials, thus creating jobs and translational work. Carol Barnes, a leader within the Arizona Alzheimer’s Consortium, was awarded the top honor in the field of neuroscience for her groundbreaking work on changes that take place in the aging brain. The UA hired Yves Lussier, world‐renowned bioinformatician now at BIO5, to develop programs in biomedical informatics and computational genomics to advance precision health. Results – Impact In partnership with the Arizona Health Sciences Center, BIO5 is focused on promoting prevention, early detection, and better disease management for the people of Arizona with the development of new diagnostic tools, biomarkers, data‐driven discovery, and advances in genomics. One new development is an innovative microscope and lens that can image human brains to better understand normal and abnormal brain function.  $50M in new grant awards, including $4.7M in new, external funding to top physician/scientists recruited and hired by BIO5.  A major step forward in novel asthma prevention for preschool children with the successful submission to the U.S. Food and Drug Administration of an Investigational New Drug (IND).  iPlant cyberinfrastructure and computational tools developed at BIO5 now used by researchers worldwide for innovative work across life science disciplines.  More than 350 publications, including a journal article in Nature by Dr. Bentley Fane on a revolutionary advance in the treatment of viruses.  Science City at the Tucson Festival of Books, the single largest STEM‐themed event in Arizona co‐ organized by BIO5 and the College of Science. A BIO5‐AHSC research team was awarded a Flinn Foundation grant to further precision health in the state as part of Arizona’s bioscience roadmap. The study will focus on the role viruses play in lung infections and could hold promise for faster diagnosis and effective patient treatment. Page 27 of 69 SPACE EXPLORATION AND OPTICAL SOLUTIONS The TRIF Space Exploration and Optical Solutions initiative seeks to expand educational opportunities for Arizona students in optics, incubate novel research directions, and impact regional economic development by leveraging the University’s world‐renowned optics education and research resources. Goals  Leverage TRIF funds to obtain at least a 10X return on investment through increased external research funding to support more students.  Identify and support key optics faculty hires in strategic areas of Arizona need and/or opportunity across the UA campus.  Create new shared imaging and photonics infrastructure and facilities that broadly benefit the research and education mission of the UA.  Support Arizona workforce development directly through increased student fellowships and enhance the UA's outreach to companies and underrepresented populations in Arizona to help increase the number of trained minority students.  Encourage technology transfer, helping the creation of new Arizona start‐up companies and expanding innovation activities. Andrew Skemer, Department of Astronomy (left), and colleagues in the scaffolding of the Large Binocular Telescope. “Thanks to support from TRIF, our team will construct an imaging spectrometer for the LBT that will give us unprecedented insights into the nature of exoplanets in our galaxy that we can now directly observe with the LBT.” Summary of Accomplishments Investments in the Space Exploration and Optical Solutions program have spawned exciting new faculty research directions, new research infrastructure, and enhanced outreach programs. For Amit Ashok, assistant professor of optical sciences, TRIF financial support was instrumental in training graduate students and investing in critical equipment that validated innovative X‐ray computational imaging approaches with applications in both security and medicine. Based on this investment, Dr. Ashok and his collaborators secured $3.7M in research grants from the Department of Homeland Security to target new designs for next generation X‐ray baggage screening machines for airport security. The TRIF Imaging team has supported a diverse set of infrastructure and seed research grants, as well as fellowship support for graduate students. Andrew Skemer, senior research associate in the Department of Astronomy, is developing new instruments for the Large Binocular Telescope, which will provide UA scientists with unrivaled capabilities for studying exoplanets. Page 28 of 69 In photonics, TRIF funding has been invaluable in securing the $23.1M NSF funding received to date for the Center for Integrated Access Networks (CIAN) Engineering Research Center led by Nasser Peyghambarian. TRIF funding for new infrastructure, faculty, and students has propelled the College of Optical Sciences into a prominent leadership role in research enabling the future growth of the Internet. The first class of students enrolled in the new Master of Science in Photonic Communications Engineering, with potential positive impacts for regional Arizona industry and entrepreneurship. Optical Sciences professors Charles Falco and Masud Mansuripur received TRIF funding to support two graduate students working on nanotechnology for solar energy, and their seed project results were leveraged for a new grant from the Qatar National Research Fund. The Space Exploration and Optical Solutions initiative also continues to excel at workforce development, providing salary support to 56 graduate and post‐docs in the Colleges of Science, Engineering, and Optical Sciences as well as additional student support for participation in national industry/academia workshops; outreach through the Research Experience for Undergraduates and Research Experience for Teachers, targeting schools primarily serving Native American students; student leadership lunches; Women in Optics; and the CIAN Young Scholars Program, which promotes STEM education by providing high school students with opportunities to work in research laboratories. Results – Impact Clara Curiel, Associate Professor of Dermatology, UA Cancer Center “TRIF funding has provided the Cancer Center with a state‐of‐the‐art VivaScope 1500 Multilaser in‐vivo confocal microscope to enable advances in basic and clinical research on skin cancer, a serious concern for Arizona residents.”  $45M in new TRIF‐seeded research funding to fuel regional economic development.  Funded 56 graduate student research assistantships and post‐docs to ramp up the local talent pool.  19 invention disclosures, 4 patents issued, 8 licenses and options, and 1 Arizona start‐up company.  71 scientific conference presentations and 181 journal publications. WATER, “TRIF funding has been invaluable in providing a diamond‐turning free‐form optical surface generator Chih Yu Huang, for realizing unprecedented new optical designs. This PhD student, provides a tremendous advantage to our research Optical Sciences ENVIRONMENTAL AND ENERGY SOLUTIONS infrastructure and promotes collaborative opportunities with regional companies.” Page 29 of 69 The Water, Environmental and Energy Solutions initiative is developing innovative, practical solutions necessary for water, environmental, and energy sustainability in Arizona and other semiarid regions facing increasing demands on natural resources and the uncertainties of climate variability. WEES projects are helping secure adequate supplies of clean water for Arizona’s economic vitality, provide a knowledge foundation to optimize the sustainable use of Arizona’s lands, build resiliency to drought and other climate variability, and lead the creation of a vibrant renewable energy industry in the state. Goals  Build on the UA’s world‐renowned expertise in water and climate variability and its emerging excellence in the renewable energy sector to enhance multidisciplinary collaboration for science, technology, and policy studies.  Focus on use‐inspired research performed by multidisciplinary teams that will result in innovative, practical solutions.  Leverage investment in strategic areas to increase public and private sector funding and increase the rate of technology transfer and commercial development.  Train a new generation of scientists, engineers, and other professionals. Summary of Accomplishments “Fires are 10 times as large now as they were a decade ago, and that trend is likely to continue.” Donald A. Falk, lead scientist for FireScape and associate professor, School of Natural Resources and the Environment A WEES‐sponsored workshop of the Southwest Fire Science Consortium drew 183 stakeholders from Arizona and eight other western states to help fire and ecosystem managers and scientists address ways to support ecosystem resilience under changing climate conditions. WEES funding directly benefited Arizona’s water resources and economy. UA researchers demonstrated the effectiveness of using sonolysis to treat trace organic contaminants in wastewater for safe water reuse; they now are moving toward commercialization of this technology, which has the potential to solve wastewater treatment problems in Arizona and around the world. Anthony Lorenzo, PhD student, Optical Sciences and Physics UA researchers are collaborating with Tucson Electric Power Co. to develop solar power forecasts and integrate them into TEP operations. Ground‐based sensors collect data on cloud formation, which are then combined with satellite data to build a complex forecasting model for energy from the sun. Page 30 of 69 Other researchers developed environmental metabolomics that permit rapid screening of environmental contaminants such as arsenic, a common Arizona groundwater contaminant, to determine their risk to human health. WEES‐funded activities also led to a UA grant from the U.S. Department of the Interior to investigate future Colorado River Basin streamflow under a variety of scenarios; the project has matching funding from the U.S. Bureau of Reclamation, Central Arizona Project, and Salt River Project. In addition, WEES funds were used to establish the Center for Climate Adaptation Science and Solutions, which will unite UA expertise with Arizona and regional stakeholders to support climate preparedness, resilience, and management decisions. In a separate project, 43 UA students and faculty worked with peers at ASU and UNLV to develop design‐based proposals for the future I‐11 Supercorridor to increase sustainable outcomes. WEES funding also resulted in advancements for renewable energy in Arizona. Sandy D’Allerba, associate professor in the School of Geography and Development, completed the first economic impact analysis of a new photovoltaic facility in Arizona. In another project, researchers in the Department of Materials Science and Engineering developed a new approach to model and predict the degradation of photovoltaic modules. This energy generation reliability evaluation research strengthens the UA’s position as a center for full‐spectrum PV performance evaluation and application in support of Arizona’s renewable energy economy. Results – Impact Marc Verhougstraete, post‐ doc research associate, Environmental and Exposure Sciences Risk Assessment Center ESRAC, which brought in more than $2.5M in grants and industry contracts in FY14, is partnering with government and industry leaders to explore the use of supplemental air disinfection systems to reduce pathogens commonly associated with healthcare infections.  $50M in new grants and gifts to the UA from WEES investments in faculty and research.  255 graduate students, 99 undergraduate students, and 41 post‐ docs funded through assistantships, wages, scholarships, grants, and research experiences.  26 new invention disclosures, 17 patent applications filed, 1 patent issued, 1 start‐up company, and 4 licenses and options.  116 presentations, workshops, conferences, and other events, including “Closing the Gap Between Water Supply and Demand,” a conference hosted by the Water Resources Research Center and the Arizona Department of Water Resources that drew 350 people from 43 Arizona communities and 6 tribes to examine how Arizona might fill the growing water supply gap in the Colorado River Basin. Page 31 of 69 TECH LAUNCH ARIZONA Tech Launch Arizona seeks to be a key leader in the UA's mission to contribute to the economic development of southern Arizona and the nation by fostering innovation, expediting technology commercialization, and generating new companies suitable for professional investment financing. Through comprehensive services, TLA addresses the entire “idea to impact” continuum: bringing ideas from their beginnings in scientific research, through defined commercial pathways, to the marketplace, where they can create powerful economic and social impacts. For example, Glycosurf, a start‐up company founded by UA researcher Clifford Coss and professors Jeanne E. Pemberton (Department of Chemistry and Biochemistry) and Raina M. Maier (Department of Soil, Water and Environmental Science), is commercializing UA‐developed surfactants for new high‐ purity, high‐performance “cosmeceuticals”—the combination of cosmetics and pharmaceuticals—and personal care products that should appear on store shelves within the next year. Goals  Engage faculty researchers to encourage participation in the commercialization process and promote a culture of service excellence across TLA.  Expedite movement of UA research‐derived intellectual property into the commercial sphere to foster the further development of these assets along the appropriate commercial trajectories.  Promote engagement with private businesses by ensuring UA research, knowledge, intellectual property, and Tech Parks assets are fully leveraged for mutually beneficial outcomes. Clifford Coss, UA researcher and co‐founder of start‐up Glycosurf  Grow the UA’s return on its efforts through an enhanced reputation, a larger economic development impact in Arizona, increased industry‐sponsored research, and greater licensing revenues.  Expand the Proof of Concept Program to exceed $700K in FY15 to spur even greater development of intellectual property, licensing revenues, and start‐ups. Page 32 of 69 Summary of Accomplishments TLA further strengthened business and research partnerships to expand the UA’s capacity for technology commercialization. TLA continues to fulfill a central role in the overall UA mission to create a positive impact on the Tucson and southern Arizona economies. One key measure of TLA's regional economic influence is the creation of start‐up companies founded upon university‐ developed technologies. Over the past five fiscal years, the UA has created 26 new Arizona‐based companies in one of the toughest economic climates in decades. During FY14 alone, TLA was instrumental in helping create 11 start‐up companies, compared to three in FY13. To help successfully launch the highest‐potential new technologies, TLA directly funds a Proof of Concept (POC) Program. More than $1.3M in TRIF funding has been committed to the program since its initiation in FY13, with significant emphasis on awards to faculty and researchers in biosciences, optics, and renewable energy—target industries as defined by the Arizona Commerce Authority. In FY14, 17 UA inventions were granted POC Program awards, with 12 in the above‐mentioned targeted industries. The awards provide funding to faculty and researchers to address technological and commercial hurdles and move promising inventions towards commercialization. Results – Impact Started by Jonathan Sprinkle, assistant professor of electrical and computer engineering, Acomni is commercializing technology to help people save energy and money, allowing them to set their thermostats based on how much they want to spend.  188 invention disclosures (a 31 percent increase from FY13).  72 licenses and options (a 50 percent increase from FY13), including 39 exclusive licenses and options.  167 U.S. patent applications filed and 24 U.S. patents issued (a 15 percent increase and 11 percent decrease, respectively, from FY13).  11 start‐up companies, 9 of which are in Tucson (compared to 3 total in FY13).  $1.1M patent royalty income (a 20 percent increase from FY13). Page 33 of 69 This page intentionally left blank. Page 34 of 69 Page 35 of 69 This page intentionally left blank. Page 36 of 69 A ABOR TRIIF FUNDSS TThe Technolo ogy and Research Initiattive Fund (TR RIF) funds al located to the board offfice are used d to aadvance the system and board overssights in accordance witth Arizona laaw, board gu uidelines and d the A Arizona publlic universities’ strategicc plan. For example, thee collection o of National SStudent C Clearinghousse data is used to generaate several important sttudent pipeline reports presented to o the b board and th he research landing l page e was design ned as a morre efficient m method to provide the b board w with the info ormation con ntained in th he Annual Re esearch Report. In FY 2014, TRIF T continue ed to fund the National Student Cleearinghouse (part of a m multi‐year ccommitmentt), ABOR‐IT projects, p Pre esentation of the ABOR A Annual Reseearch Reportt; and the AB BOR SStrategic Plan Rollout. In nformation concerning c each e of thesse TRIF projeects is detaileed below. NATIONAL STUDENT CLEARINGHO C OUSE ABOR is able to access the clearingghouse data provid ded back to the t Arizona Departmen nt of Education. This information is used in analyzing and d reporting the t postsecond dary activity of our high school graduates as a relevant to t the ABOR Enterprise strategic pllan goals and d economic developme ent objective e of preparin ng those students to o contribute to Arizona’ss high technologyy industries. ABO OR RESEARC CH INFORMA ATION TECCHNOLOGY Thee purpose of the fundingg is to provid de addditional supp port in the arrea of inform mation techhnology for tthe universitty system. TThis addditional supp port is in the form of enssuring m integrity in n the IT systeems dataa and system whi ch support tthe universitties’ researcch misssion. RESEA ARCH LANDING PAGE & ABOR STRA ATEGIC PLAN N ROLLOUT A web b‐based land ding page waas created to o support annd enhance tthe Annual R Research Reporrt. In particu ular, it shows progress to oward achieeving the sysstem’s metrics as well ass highligghting the re esearch effo orts at all thrree universitties. It is an interactive vversion of the re eport with lin nks to additional information at eac h of the univversities research operations. As parrt of the ABO OR strategic plan rolloutt, a video waas produced which reflects the diverssity and cultu ure of each of o the universities and hhow that culture is proviiding opporrtunities for students and advancingg the researcch mission. Page 37 of 69 SSCITECH FESTIVAL F L TThe Arizona SciTech Festtival is a statte‐wide celebration of sscience, tech hnology, enggineering and d math (STEM or SSTEAM when n you include the arts) held h annuallyy in FFebruary and d March. Through a series of over 40 00 expos, w workshops, conversation c ns, exhibitions and tourss held in d diverse neigh hborhoods throughout t the t state, the Arizona ScciTech Festivval excites an nd informs A Arizonans fro om ages 3 to o 103 about how STEM will w drive ou r state for n next 100 years. Spearheaaded by tthe Arizona Commerce C Authority, A Arrizona Science Center, thhe Arizona TTechnology C Council Foun ndation, A Arizona Boarrd of Regentts, the Unive ersity of Arizo ona and Arizzona State U University, th he Arizona SciTech FFestival is a grass g roots collaboration c n of over 450 0 organizatioons in industry, academ mia, arts, civicc, ccommunity and a K‐12. R REGENTSS’ INNOVA ATION FU UND TThe Regents’’ Innovation Fund contin nues to be in nstrumental in supportin ng the reseaarch activitiees of the u universities, and in contrributing tow ward the collaaborative effforts amongg the universsities and wiith ccommunity partners. p In February 2013, 2 after a competitivve process, th hree new, trri‐university collaborativve projects w were aapproved forr funding: 1) Using Wasstewater for Mass Culturre of Algae ffor Food, Feeed and Fuel;; 2) A AEGIS: Arizo ona Environm mental Grid Infrastructure Service; aand 3) LiveData: Establisshing a Digittal R Research Infrastructure for Arizona’s 21st Century Universitiies Research h Enterprise.. These threee p projects werre funded in May 2013 fo or a combined total of $$1.1million aand combinee the talent aand rresources of our three public universities. In Septembe er 2013, a ne ew competitive process opened o and approved three tri‐univversity collab borative p projects for funding. f Both AEGIS and LiveData were w approvved for a second year of funding, as well as a tthird projectt—The Humaan Gut Micro obiota and Its Viruses: KKeys to Treaating Autism. The annuaal reports ffor these thrree projects, totaling $1..2 million, arre due June 30, 2015. Page 38 of 69 U USING WASTEWA W ATER FOR MASS CU ULTURE O OF ALGAEE FOR FOOD, FEED D AND FFUEL TThis project links the stre engths of the three univversities in thhe algae and d water quallity fields and several local industries in a subsstantive way that leads to t additionall joint researrch and education propo osals. SStudents at all a levels at ASU, A UA and d NAU were involved in tthe project. At ASU, thrree graduatee sstudents and d one underggraduate; att NAU, one postdoctoral p l student and d one underrgraduate; and at U UA, three graaduate students were in nvolved. Additionally, att NAU, threee Native American high sschool sstudents assisted duringg the summe er. The three e universitiees have engaaged with thee following A Arizona industries in evaluating suitability s fo or algae cultivation: Chaandler Airporrt Water Recclamation Faacility, Johnson’s Uttilities Treatm ment Plants, Greenfield Water Reclaamation Faccility, Van Rijjn Dairy, SRP P’s P Power Generating statio ons, Wildcat Hill W Wastewater Plant, Rio de Flag Waste ewater R Reclamation Facility, APSS Cholla Pow wer P Plant, Goodyyear RO Facility; Pima Co ounty G Green Valleyy Treatment Plant, Roger Road W Water Reclamation Facillity, Desert Tilapia, T aand Casecovve Oyster Farm (Seattle, WA). SSeveral poste ers and pressentations have b been producced regarding this projecct, including this one presen nted at the Algae A B Biomass Orgganization Su ummit, in Orrlando, FFlorida in September 2013. TThe tri‐unive ersity team will w continue e to ccollaborate on o the use of o diverse w wastewaterss as an algae e cultivation m medium and d as a meanss to improve water q quality, and to share algaae strains an nd w water qualityy informatio on. The team m is eexploring new and additional federaal/local ffunding oppo ortunities re elated to ion. w waste/dischaarge water bioremediat b Poster P presennted: Septem mber 2013 Page 39 of 69 A AEGIS: ARIZONA A ENVIRON NMENTALL GRID IN NFRASTRU UCTURE SSERVICE In partnership with NASA A, AEGIS enaables ASU, NAU N UA to acccess an eno ormous climate data sett. SSubstantial progress p hass been made e with establishing a direect partnersh hip with NASSA’s MERRA A project, w which provid des global cliimate data in the form of o a synthesiis of 26 key cclimate variaables at six‐h hour intervals extending from m 1979 to the e present, ne early the enttire satellitee era. AEGISS and NASA utilize ssimilar data managemen nt systems based on iRO ODS; this makkes access to o large scalee NASA MERRA data ffeasible. NA ASA will officially provide e access to th his system inn the third q quarter of 20 014. Arizonaa rresearchers will w be the first group off university researchers r to have acceess to this syystem. W With the AEG GIS tools, un niversities an nd agencies will w have acccess to wildffire decision n support anaalytics. R RECOVER is a new NASA A‐funded effo ort to build wildfire w decision supporrt capacity. R RECOVER wiill be aadapted to utilize u AEGIS’’s Atmosphe ere cloud inffrastructure and Data Store to enable the types of data In the fourth quarter o aanalytics req quired by the e wildfire maanagement community. c of 2014, we w will test tthis impleme entation for the state of Arizona. Arrizona will bee the first sttate outside of the initial beta ggroup to havve access to this rapid daata assemblyy and decisioon support ssystem. Thiss project will be of vvalue to multiple govern nmental agen ncies that de eal with foreest fire decission supportt and rehabillitation, aalong with re esearchers at a our univerrsities. AEGIIS‐sponsored d environmeental inforrmatics reseaarch is curreently analyyzing the links between several climaate variabless (temperatu ure, humidity, wind, eetc.) and thee umental casees of Valley FFever at docu hosp pitals across Arizona in th he last decade. AEGIS‐d developed to ools are also being used aas part of a jjoint nd modeling obseervational an program to creatte observationally‐ based metrics in order to asssess ns of the Southern model simulation Oceaan and the global climate and carbo on cycle in p projecting fu uture climaate. N NASA‐Global Modeling and Assimilation Office, h http://gmao.gsfc.nasa.govv/ref/merra/a atlas/ The A AEGIS infrastructure hass p positioned th he three universities to pursue jointt funding oppportunities tto create a ssustainable rregional ccomputation nal grid. Page 40 of 69 LLIVEDATA A: ESTAB BLISHING A DIGITA AL RESEARCH INFR RASTRUC CTURE FO OR ST A ARIZONA A’S 21 CEENTURY UNIVERS U ITIES RESSEARCH EENTERPRIISE TThe LiveDataa taskforce determined d that t the firstt deliverablee should be a web‐based d discovery tool that h harvests info ormation reggarding datassets and sch holarly conteent from eacch of the parrticipating institutions. The discove ery tool will be implemented as partt of a tri‐univversity web portal. The portal w will provide a single poin nt of access for f the reseaarch productts and scholarly outputss of Arizona’ss public u universities. Links to largge scale initiiatives and research cennters will exp pand the info ormation avaailable tto site visitorrs. It is expe ected that th he Research Arizona A site will providee a significan nt contributio on to m marketing ou ur research efforts e as we ell as being a source for information n for businesses, the med dia, and o other researchers. This portal is exp pected to be live in the laate fall of 20014. LLiveData is developing a collaboratio on w with the AEG GIS (ABOR/RIF funded) p project in ord der to maxim mize the rreturn on invvestment fro om both p projects. W When researrch informattics becomess a core busine ess function at each u university, th here will be tremendous t s p potential forr our public universities u to t leverage their relationsh hips, ttechnology, and a processes to provide a competitive advantage e in research h aactivities and d grant proposals. Initial conceptual c deesign for Reseearch Arizona web portal Page 41 of 69 This page intentionally left blank. Page 42 of 69 Syystem Summ mary TRIF T Metrics M s and FFinanccials Page 43 of 69 This page intentionally left blank. Page 44 of 69 ARIZONA UNIVERSITY SYSTEM TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2012‐2016 REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING Personal Services ERE All Other Operating Grants/Projects TOTAL OPERATING CAPITAL Building Renovation Debt Service ASU Polytechnic/West COPs AZUN Equipment Acquisition TOTAL CAPITAL EXPENDITURES TOTAL SUMMARY BY PROGRAM AREA Access/Workforce Development Improving Health National Security Systems Initiative Space Exploration and Optical Solutions Water, Environment and Energy Solutions UARC: Tech Launch Arizona Regents Innovation Fund ASU Polytechnic COPS ASU West COPS AZUN PROGRAM AREA TOTAL EXPENDITURES TOTAL FY 2012 ACTUAL FY 2013 ACTUAL FY 2014 ACTUAL FY 2014 BUDGET FY 2015 BUDGET $ 3,142,709 57,256,220 $ 7,151,749 58,464,496 $ 7,688,082 $ 66,720,070 $ 7,646,917 61,650,400 $ 7,066,441 62,385,000 $ $ 60,398,929 $ 65,616,245 $ 74,408,152 $ 69,297,317 $ 69,451,441 $ 63,500,000 $ 19,115,118 6,422,325 14,649,793 659,993 40,847,228 $ 20,768,253 7,104,053 19,066,524 1,923,049 48,861,879 $ 23,679,972 $ 7,908,115 $ 18,661,268 $ 3,178,080 53,427,435 $ 24,671,614 8,924,693 16,936,139 3,726,527 54,258,973 $ 23,627,775 8,686,470 16,948,004 4,217,092 53,479,341 $ 22,524,416 7,973,517 17,521,467 1,750,000 49,769,400 400,126 6,430,990 3,716,100 500,000 962,046 12,009,262 140,000 6,206,984 3,719,300 500,000 ‐ 10,566,284 1,416,656 8,288,221 3,709,400 500,000 ‐ 13,914,277 1,090,000 8,739,304 3,709,400 500,000 999,640 15,038,344 1,640,000 9,626,500 3,704,000 500,000 501,600 15,972,100 1,080,000 7,633,956 3,707,500 500,000 809,144 13,730,600 $ 52,856,490 $ 59,428,163 $ 67,341,712 $ 69,297,317 $ 69,451,441 $ 63,500,000 6,602,968 24,670,151 1,628,600 4,059,940 8,996,196 1,334,442 778,359 2,082,600 1,633,500 1,069,734 52,856,490 6,397,615 27,202,002 2,126,300 4,381,674 10,302,034 1,999,593 2,098,342 2,082,100 1,637,100 1,201,403 59,428,163 6,989,710 32,855,199 1,983,800 4,051,062 11,035,632 2,262,558 3,351,273 2,077,300 1,632,100 1,103,078 67,341,712 6,986,959 33,314,935 2,873,500 4,224,055 10,838,040 2,269,684 3,976,527 2,077,300 1,632,100 1,104,218 69,297,317 6,929,701 31,620,252 3,036,800 4,749,042 11,500,234 2,343,280 4,467,092 2,076,400 1,627,600 1,101,040 69,451,441 6,803,100 29,731,029 3,322,600 4,725,554 9,703,978 2,406,239 2,000,000 2,077,700 1,629,800 1,100,000 63,500,000 $ 52,856,490 $ 59,428,163 $ 67,341,712 $ 69,297,317 $ 69,451,441 $ 63,500,000 Page 45 of 69 FY 2016 BUDGET ‐ 63,500,000 This page intentionally left blank. Page 46 of 69 Page 47 of 69 This page intentionally left blank. Page 48 of 69 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2012 ‐ 2016 REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING Personal Services ERE All Other Operating TOTAL OPERATING CAPITAL Building Renovation Debt Service ASU Poly/ASU West COPs TOTAL CAPITAL TOTAL EXPENDITURES SUMMARY BY INITIATIVE National Security Systems Initiative Improving Health Water, Environ and Energy Solutions ASU Polytechnic COPS ASU West COPS TOTAL EXPENDITURES FY 2012 ACTUAL FY 2013 ACTUAL FY 2014 ACTUAL FY 2014 BUDGET FY 2015 BUDGET $ 790,200 23,848,700 $ 24,638,900 $ 1,788,900 25,091,200 $ 26,880,100 $ 2,349,600 26,944,700 $ 29,294,300 $ 2,349,600 25,505,800 $ 27,855,400 $ 2,132,500 25,936,400 $ 28,068,900 $ $ 7,684,500 2,883,800 6,479,000 17,047,300 $ 7,722,700 2,782,000 7,362,900 17,867,600 $ 8,446,600 2,950,800 8,676,200 20,073,600 $ 8,527,500 3,200,300 8,058,900 19,786,700 $ 7,960,500 2,781,000 8,176,900 18,918,400 $ 7,633,650 2,666,798 7,841,152 18,141,600 ‐ 2,086,600 3,716,100 5,802,700 ‐ 2,943,600 3,719,300 6,662,900 25,500 3,353,300 3,709,400 7,088,200 1,000,000 3,359,300 3,709,400 8,068,700 1,000,000 4,446,500 3,704,000 9,150,500 1,000,000 3,535,400 3,707,500 8,242,900 $ 22,850,000 $ 24,530,500 $ 27,161,800 $ 27,855,400 $ 28,068,900 $ 26,384,500 $ $ $ $ $ $ 1,628,600 13,974,400 3,530,900 2,082,600 1,633,500 $ 22,850,000 2,126,300 14,877,300 3,807,700 2,082,100 1,637,100 $ 24,530,500 Page 49 of 69 1,983,800 17,931,000 3,537,600 2,077,300 1,632,100 $ 27,161,800 2,873,500 17,527,500 3,745,000 2,077,300 1,632,100 $ 27,855,400 3,036,800 16,916,500 4,411,600 2,076,400 1,627,600 $ 28,068,900 FY 2016 BUDGET ‐ 26,384,500 $ 26,384,500 3,322,600 16,614,400 2,740,000 2,077,700 1,629,800 $ 26,384,500 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) IMPROVING HEALTH FOCUS AREA PERFORMANCE ANALYSIS ACTUAL FY 12 ACTUAL FY 13 ACTUAL FY 14 BUDGET FY 14 BUDGET FY 15 BUDGET FY 16 TRIF EXPENDITURES Total 13,974,400 14,877,300 17,931,000 17,931,000 16,916,500 16,614,400 FINANCIAL IMPACT OF TRIF INVESTMENT Sponsored Awards Gifts & Other Sources Royalty Income TOTAL 54,537,411 40,505 821,889 55,399,805 61,184,668 390,000 156,201 61,730,869 67,217,416 2,245,202 1,068,587 70,531,205 75,000,000 40,000 800,000 75,840,000 85,000,000 40,000 800,000 85,840,000 98,000,000 40,000 800,000 98,840,000 TECHNOLOGY TRANSFER ACTIVITY Invention Disclosures Transacted US Patents Issued Licenses and Options Executed Startup Companies 45 13 2 70 5 29 1 41 13 26 1 80 5 15 1 85 6 17 1 95 6 18 1 WORKFORCE CONTRIBUTION Academic and Postdoctoral Appointees Graduate Students Undergraduate Students 38 111 73 155 87 90 119 80 70 95 110 70 135 110 70 175 110 70 Page 50 of 69 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) NATIONAL SECURITY SYSTEMS FOCUS AREA PERFORMANCE ANALYSIS TRIF EXPENDITURES Total FINANCIAL IMPACT OF TRIF INVESTMENT Sponsored Awards Gifts & Other Sources Royalty Income TOTAL TECHNOLOGY TRANSFER ACTIVITY Invention Disclosures Transacted US Patents Issued Licenses and Options Executed Startup Companies WORKFORCE CONTRIBUTION Academic and Postdoctoral Appointees Graduate Students Undergraduate Students ACTUAL FY 12 ACTUAL FY 13 ACTUAL FY 14 BUDGET FY 14 BUDGET FY 15 BUDGET FY 16 1,628,600 2,126,300 1,983,800 1,983,800 3,036,800 3,322,600 12,618,000 128,250 12,746,250 23,010,570 82,500 23,093,070 34,269,118 1,265,956 35,535,074 33,000,000 10,000 350,000 33,360,000 45,000,000 10,000 555,000 45,565,000 70,000,000 10,000 725,000 70,735,000 9 7 3 3 32 13 28 20 1 3 25 1 3 30 2 4 2 - - 17 - Page 51 of 69 - 6 40 8 - 15 23 8 - 15 20 5 - 23 20 5 25 20 5 ARIZONA STATE UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) WATER, ENVIRONMENTAL AND ENERGY SOLUTIONS FOCUS AREA PERFORMANCE ANALYSIS TRIF EXPENDITURES Total FINANCIAL IMPACT OF TRIF INVESTMENT Sponsored Awards Gifts & Other Sources Royalty Income TOTAL TECHNOLOGY TRANSFER ACTIVITY Invention Disclosures Transacted US Patents Issued Licenses and Options Executed Startup Companies WORKFORCE CONTRIBUTION Academic and Postdoctoral Appointees Graduate Students Undergraduate Students ACTUAL FY 12 ACTUAL FY 13 ACTUAL FY 14 BUDGET FY 14 BUDGET FY 15 BUDGET FY 16 3,530,900 3,807,700 3,537,600 3,537,600 4,411,600 2,740,000 12,122,712 252,018 12,374,730 12,392,507 184,720 12,577,227 14,598,426 55,018 14,653,444 14,000,000 25,000 375,000 14,400,000 17,000,000 25,000 475,000 17,500,000 17,000,000 25,000 610,000 17,635,000 1 4 1 8 2 8 10 3 9 11 4 12 12 4 12 1 20 35 15 20 35 15 1 3 - - 7 36 13 Page 52 of 69 - 17 77 78 - 11 49 23 - 15 35 15 Page 53 of 69 This page intentionally left blank. Page 54 of 69 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2012 ‐ 2016 REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING Personal Services ERE All Other Operating TOTAL OPERATING CAPITAL Building Renovation Debt Service Equipment Acquisition AZUN TOTAL CAPITAL FY 2012 ACTUAL FY 2013 ACTUAL FY 2014 ACTUAL FY 2014 BUDGET FY 2015 BUDGET FY 2016 BUDGET $ 1,630,638 11,157,019 $ 12,787,657 $ 1,821,191 11,492,061 $ 13,313,252 $ 1,566,408 12,698,200 $ 14,264,608 $ 1,525,243 12,348,200 $ 13,873,443 $ 401,021 12,216,200 $ 12,617,221 $ $ 4,630,588 1,497,041 1,641,711 7,769,340 $ 5,337,771 1,684,731 3,960,958 10,983,460 $ 6,113,394 1,946,342 3,477,778 11,537,514 $ 6,259,701 2,046,654 3,097,448 11,403,803 $ 5,461,335 1,843,848 2,990,438 10,295,621 $ 5,313,732 1,862,342 2,774,726 9,950,800 640,000 680,000 501,600 500,000 2,321,600 80,000 1,098,556 809,144 500,000 2,487,700 ‐ 12,438,500 $ 12,438,500 ‐ 1,344,390 962,046 500,000 2,806,436 263,384 1,391,156 434,917 500,000 763,384 500,000 2,326,073 90,000 880,000 999,640 500,000 2,469,640 TOTAL EXPENDITURES $ 10,575,776 $ 11,746,844 $ 13,863,587 $ 13,873,443 $ 12,617,221 $ 12,438,500 SUMMARY BY INITIATIVE Access/Workforce Development AZUN Improving Health Water, Energy, Environmental Solutions $ 6,602,968 1,069,734 1,253,436 1,649,638 $ 6,397,615 1,201,403 2,130,689 2,017,137 $ 6,989,710 1,103,078 2,281,436 3,489,363 $ 6,986,959 1,104,218 2,974,791 2,807,476 $ 6,929,701 1,101,040 2,293,240 2,293,240 $ 6,803,100 1,100,000 2,267,700 2,267,700 TOTAL EXPENDITURES $ 10,575,776 $ 11,746,844 $ 13,863,587 $ 13,873,444 $ 12,617,221 $ 12,438,500 Page 55 of 69 NORTHERN ARIZONA UNIVERSITY WEES and IMPROVING HEALTH PERFORMANCE ANALYSIS ACTUAL FY 12 TRIF EXPENDITURES Total 10,775,776 11,746,844 13,863,587 13,873,443 12,617,221 12,438,500 FINANCIAL IMPACT OF TRIF INVESTMENT Sponsored Awards Gifts & Other Sources Intellectual Property Income TOTAL 14,105,945 11,848,074 17,711,283 15,256,990 15,867,270 16,501,960 1,500,000 0 0 40,000 50,000 50,000 22,276 29,299 32,075 21,100 22,000 23,100 15,628,221 11,877,373 17,743,358 15,318,090 15,939,270 16,575,060 TECHNOLOGY TRANSFER ACTIVITY Invention Disclosures Transacted US Patents Issued Licenses and Options Executed Startup Companies WORKFORCE CONTRIBUTION Postdoctoral Appointees Graduate Students Undergraduate Students ACTUAL FY 13 ACTUAL FY 14 BUDGET FY 14 BUDGET FY 15 BUDGET FY 16 17 1 1 1 18 2 0 0 24 3 1 1 21 2 4 2 24 3 4 2 25 3 5 1 11 92 200 17 44 251 22 187 233 15 120 240 15 125 250 18 130 250 Page 56 of 69 ACCESS/WORKFORCE DEVELOPMENT/E‐LEARNING ACTUALS FY12 ACTUALS FY13 ACTUALS FY14 BUDGET FY14 BUDGET FY15 BUDGET FY16 $10.4M $11.3 M $12.4 M $12.4 M $13.5 M $14.7 M 141 265 4,122 49 5062a 420 2,676 48 612 485 7,108 46 155 250 3,800 46 180 300 4,000 49 200 350 4,200 52 INDUSTRY OUTREACH 6,A Business/Nonprofit Collaborations 203 263 298 125 140 155 WORKFORCE CONTRIBUTIONS 7 Number of Student Served by AW/D 3,772 3,616 3,695 3,681 4,013 4,374 PARTNERSHIPS/COLLABORATIONS 8 Community College/NAU Students Community College to NAU Programs9,B 3,077 71 3,444 79 4,573 85 4,359 95 4,751 97 5,179 99 PERFORMANCE MEASURE RETURN ON INVESTMENT (ROI) Annual impact of Graduates on Economoy1 TECHNOLOGY TRANSFER/CURRICULUM INNOVATIONS Web/Hybrid/Enhanced Courses Developed 2 Faculty Developing Courses3 Increase in Student Technology Literacy4 Degree/Certificate Programs Offered5 1 Estimated based on U.S. Census Bureau Data for annual increase in earnings by a baccalaureate‐trained worker compared to high school degree starting in FY12 2 Includes Web, hybrid, IT‐enhanced, redesigns and quality review process compliance. 2a Reflects correction to FY13 Actuals 3 The number of faculty participating in course development, design and redesign. 4 Number of students completing a course with significant or advanced technical fluency skills. 5 Number of degrees supported by TRIF A/WD funding. 6 Organizations (business, industry, nonprofits, school districts) with formal or informal relationships with Northern Arizona University related to TRIF A/WD 7 Reporting based on number of students eligible to enroll in programs supported by A/WD funding. 8 Number of new students participating in the Northern Arizona University joint admissions or who transfer from a community college to NAU. 9 Program paths for a student to seamlessly transition from a given community college to NAU. A Variance between projected and actual number of collaborations reflects an increased focus on outreach and recruitment efforts. B Variance between projected and actual programs due to the recategorization of Bachelor of Arts in Liberal Studies (BAILS) degrees to Bachelors of Page 57 of 69 This page intentionally left blank. Page 58 of 69 Page 59 of 69 This page intentionally left blank. Page 60 of 69 THE UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2012 ‐ 2016 FY 2012 ACTUAL FY 2013 ACTUAL FY 2014 ACTUAL FY 2014 BUDGET FY 2015 BUDGET $ ‐ 20,128,459 $ 20,128,459 $ 1,476,104 21,371,920 $ 22,848,024 $ 1,795,547 23,235,333 $ 25,030,880 $ 1,795,547 21,796,400 $ 23,591,947 $ 2,065,828 22,232,400 $ 24,298,228 $ $ 6,711,059 2,013,928 6,527,242 15,252,229 $ 7,576,482 2,600,007 7,735,988 17,912,477 $ 8,990,322 2,974,069 6,500,657 18,465,048 $ 9,753,113 3,638,339 5,700,491 19,091,943 $ 10,074,640 4,022,222 5,701,366 19,798,228 $ 9,445,734 3,404,977 6,826,289 19,677,000 400,126 3,000,000 3,400,126 140,000 3,000,000 3,140,000 4,500,004 4,500,004 4,500,004 4,500,004 4,500,000 4,500,000 3,000,000 3,000,000 $ 18,652,355 $ 21,052,477 $ 22,965,052 $ 23,591,947 $ 24,298,228 $ 22,677,000 SUMMARY BY INITIATIVE Improving Health $ 9,442,315 Space Exploration and Optical Solutions 4,059,940 Water, Environmental and Energy Solutions 3,815,658 Tech Launch Arizona (UARC) 1,334,442 $ 10,194,012 4,381,674 4,477,197 1,999,593 $ 12,642,763 4,051,062 4,008,669 2,262,558 $ 12,812,644 4,224,055 4,285,564 2,269,684 $ 12,410,512 4,749,042 4,795,394 2,343,280 $ 10,848,929 4,725,554 4,696,278 2,406,239 TOTAL EXPENDITURES $ 21,052,477 $ 22,965,053 $ 23,591,947 $ 24,298,228 $ 22,677,000 REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING Personal Services ERE All Other Operating TOTAL OPERATING CAPITAL Building Renovation Debt Service TOTAL CAPITAL TOTAL EXPENDITURES $ 18,652,355 Page 61 of 69 FY 2016 BUDGET ‐ 22,677,000 $ 22,677,000 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) IMPROVING HEALTH ACTUAL FY 12 PERFORMANCE ANALYSIS ACTUAL FY 13 ACTUAL FY 14 BUDGET FY 14 BUDGET FY 15 BUDGET FY 16 TRIF EXPENDITURES Total $ 9,442,315 $ 10,194,012 $ 12,642,763 $ 12,712,644 $ 10,801,698 $ 10,848,929 FINANCIAL IMPACT OF TRIF INVESTMENT Sponsored Awards Gifts & Other Sources Royalty Income TOTAL $ $ $ $ 57,727,313 581,469 122,429 58,431,211 $ $ $ $ 39,332,176 594,746 12,500 39,939,422 $ $ $ $ 50,077,598 300,040 28,500 50,406,138 $ $ $ $ 54,000,000 500,000 54,500,000 $ $ $ $ 54,000,000 500,000 54,500,000 $ $ $ $ 54,000,000 500,000 54,500,000 TECHNOLOGY TRANSFER ACTIVITY Invention Disclosures Transacted US Patents Issued Licenses and Options Executed Startup Companies WORKFORCE CONTRIBUTION Postdoctoral Appointees Graduate Students Undergraduate Students 15 2 4 0 10 3 0 0 28 2 8 1 32 1 8 0 32 0 9 1 32 1 10 0 80 179 209 86 189 324 96 244 325 135 320 320 135 320 320 135 320 320 Page 62 of 69 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) SPACE & OPTICAL SCIENCE ACTUAL FY 12 PERFORMANCE ANALYSIS ACTUAL FY 13 ACTUAL FY 14 BUDGET FY 14 BUDGET FY 15 BUDGET FY 16 TRIF EXPENDITURES Total $ 4,059,940 $ 4,381,674 $ 4,051,062 $ 4,274,898 $ 4,576,049 $ 4,725,554 FINANCIAL IMPACT OF TRIF INVESTMENT Sponsored Awards Gifts & Other Sources Royalty Income TOTAL $ $ $ $ 49,376,201 237,436 187,572 49,801,210 $ $ $ $ 54,965,135 428,842 150,777 55,544,754 $ $ $ $ 45,218,973 359,749 97,056 45,675,778 $ $ $ $ 52,000,000 480,000 190,000 52,670,000 $ $ $ $ 57,000,000 490,000 200,000 57,690,000 $ $ $ $ 65,000,000 510,000 200,000 65,710,000 TECHNOLOGY TRANSFER ACTIVITY Invention Disclosures Transacted US Patents Issued Licenses and Options Executed Startup Companies 48 14 14 2 37 9 6 1 19 4 8 1 52 17 18 2 55 18 19 3 60 20 21 3 WORKFORCE CONTRIBUTION Postdoctoral Appointees Graduate Students Undergraduate Students 10 34 7 10 50 18 11 45 9 11 35 8 12 36 9 12 37 9 Page 63 of 69 UNIVERSITY OF ARIZONA TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) WATER, ENVIRONMENTAL AND ENERGY SOLUTIONS ACTUAL FY 12 PERFORMANCE ANALYSIS ACTUAL FY 13 ACTUAL FY 14 BUDGET FY 14 BUDGET FY 15 BUDGET FY 16 TRIF EXPENDITURES Total $ 3,815,658 $ 4,477,197 $ 4,008,669 $ 4,347,539 $ 4,518,499 $ 4,696,278 FINANCIAL IMPACT OF TRIF INVESTMENT Sponsored Awards Gifts & Other Sources Royalty Income TOTAL $ $ $ $ 26,366,576 3,433,880 29,800,456 $ $ $ $ 30,024,250 3,676,766 33,701,016 $ $ $ $ 46,878,228 3,267,587 15,000 50,160,815 $ $ $ $ 21,800,000 3,500,000 25,300,000 $ $ $ $ 22,500,000 3,600,000 300,000 26,400,000 $ $ $ $ 23,100,000 3,800,000 500,000 27,400,000 TECHNOLOGY TRANSFER ACTIVITY Invention Disclosures Transacted US Patents Issued Licenses and Options Executed Startup Companies WORKFORCE CONTRIBUTION Postdoctoral Appointees Graduate Students Undergraduate Students 19 2 1 1 21 2 1 1 26 1 4 1 10 2 4 0 10 2 7 1 10 3 7 1 87 49 41 75 80 85 321 122 314 85 255 99 250 100 260 110 270 120 Page 64 of 69 Page 65 of 69 This page intentionally left blank. Page 66 of 69 ABOR SYSTEM OFFICE TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) FY 2012 ‐ 2016 REVENUE Carryforward TRIF Revenue TOTAL REVENUE EXPENDITURES OPERATING Personal Services ERE All Other Operating TOTAL OPERATING GRANTS/PROJECTS Pass Through to Universities Regents Innovation Fund Other TOTAL GRANTS/PROJECTS TOTAL EXPENDITURES FY 2012 ACTUAL FY 2013 ACTUAL FY 2014 ACTUAL FY 2014 BUDGET FY 2015 BUDGET 721,871 2,122,042 $ 2,843,913 $ 2,065,554 509,315 $ 2,574,869 $ 1,976,527 3,841,837 $ 5,818,364 $ 1,976,527 2,000,000 $ 3,976,527 $ 2,467,092 2,000,000 $ 4,467,092 $ $ $ $ $ $ $ $ $ SUMMARY BY INITIATIVE Pass Through to Universities Regents Innovation Fund: Center for the Future of Arizona HRAA/CTSA National Student Clearinghouse Collaboration SciVal Graduate Research Grants IT Research (ABOR) Wastewater Mass Culture Digital Research AEGIS Regent Innovation Fund Grants Other TOTAL EXPENDITURES 88,971 27,555 1,840 118,366 131,300 37,315 6,678 175,293 659,993 1,923,049 1,750,000 1,428,080 659,993 1,923,049 778,359 $ 2,098,342 225,000 325,000 49,302 49,869 60,691 659,993 131,300 39,400 79,300 250,000 131,300 39,400 79,300 250,000 ‐ 2,000,000 $ 2,000,000 131,300 39,400 79,300 250,000 3,178,080 1,500,000 1,726,527 500,000 3,726,527 1,941,824 2,275,268 4,217,092 1,250,000 500,000 1,750,000 $ 3,351,273 $ 3,976,527 $ 4,467,092 $ 2,000,000 1,750,000 1,500,000 48,427 50,000 310,707 50,000 510,707 50,000 200,000 54,980 83,820 28,840 1,231,950 92,723 1,232,000 550,000 1,941,824 1,685,721 1,000,000 500,000 $ 3,178,080 $ 3,726,527 $ 4,217,092 $ 1,750,000 325,000 202,000 230,000 16,180 200,000 450,000 450,000 $ 129,656 36,904 6,633 173,193 FY 2016 BUDGET $ 1,923,049 Page 67 of 69 This page intentionally left blank. Page 68 of 69 Arizona Board of Regents 2020 North Central Avenue, Suite 230 Phoenix, AZ 85004 602-229-2500 www.azregents.edu Page 69 of 69