Technology and research initiative fund (TRIF) annual report: for the fiscal year ended June 30, 2002, as required by A.R.S. 15-1648(D) |
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TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT
ARIZONA UNIVERSITY SYSTEM
Arizona State University Northern Arizona University University of Arizona
For the fiscal year ended June 30, 2002, as required by A.R.S. 15-1648(D).
September 1, 2002
August 30, 2002
Board Members Jack B. Jewett Tucson President Fred T. Boice Tucson Robert B. Bulla Scottsdale Chris Herstam Phoenix Kay McKay Flagstaff Christina Palacios Tucson Gary Stuart Phoenix Donald J. Ulrich, Jr. Paradise Valley
The Honorable Jane Dee Hull, Governor of Arizona The Honorable Randall Gnant, President, Arizona State Senate The Honorable Jim Weiers, Speaker, Arizona House of Representatives Arizona State Capitol 1700 West Washington Phoenix, AZ 85007 Dear Governor Hull, President Gnant, and Speaker Weiers: On behalf of the Arizona Board of Regents, Arizona State University, Northern Arizona University, and the University of Arizona, and in accordance with A.R.S.15-1648(D), I am pleased to submit the attached annual report for the Arizona Board of Regents' Technology and Research Initiative Fund (TRIF) for the fiscal year ended June 30, 2002. TRIF is continuously appropriated to the Arizona Board of Regents with Education 2000 (Proposition 301, November 2000) sales tax revenues pursuant to A.R.S. 42-5049(E)(2). As required, ABOR has adopted rules to administer TRIF and has incorporated these rules into Board Policy 3-412. This annual report provides summary and detailed budget and expenditure information on each TRIF initiative. These initiatives are consistent with statutory language calling for TRIF funds to support university research, development, and technology transfer related to the knowledge-based global economy; to expand access to baccalaureate or post-baccalaureate education for time-bound and place-bound students; to implement recommendations of the Governor's Task Force on Higher Education and the Arizona Partnership for the New Economy; and to develop programs that will prepare students to contribute in high technology industries located in Arizona. Almost 70 percent of our FY 2002 TRIF budget supported tri-university initiatives in bioscience/biotechnology, information science and technology, and access and workforce development. These TRIF programs, together with individual initiatives in a variety of other areas, have been designed and implemented to better position Arizona as a major player in the global marketplace.
Arizona State University Northern Arizona University University of Arizona
Student Regents Matthew Meaker UA Danelle Peterson-Kelling ASU
Jane Dee Hull Governor of Arizona Jaime A. Molera Superintendent of Public Instruction
Executive Director Linda J. Blessing, Ph.D.
2020 N. Central Ave. Suite 230 Phoenix, AZ 85004 (602) 229-2500 fax (602) 229-2555 www.abor.asu.edu
The Honorable Hull, Gnant, and Weiers August 30, 2002 Page Two
Please contact me at 602-229-2505 or linda.blessing@asu.edu if I can answer any questions or provide additional information about these important and exciting initiatives. Sincerely,
Linda J. Blessing Executive Director c: The Honorable Betsey Bayless, Secretary of State Ms. GladysAnn Wells, Director, Arizona State Library, Archives, and Public Records Members of the Arizona Board of Regents Dr. Michael Crow, President, Arizona State University Dr. John Haeger, President, Northern Arizona University Dr. Peter Likins, President, University of Arizona
TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT For the Fiscal Year Ended June 30, 2002
Arizona Board of Regents
TABLE OF CONTENTS
Executive Summary.......................................................................................................................................ii Arizona University System Summary FY 2002-2006 Budgeted/Actual TRIF Expenditures ...................................................................................1 FY 2002-2006 Budgeted/Actual TRIF Capital Expenditures .......................................................................3 University Summaries Arizona State University..............................................................................................................................5 Northern Arizona University ........................................................................................................................7 University of Arizona ...................................................................................................................................9 Arizona Board of Regents Central Office ..................................................................................................11 Tri-University Initiatives Biosciences/Biotechnology .......................................................................................................................13
[ASU, Pg. 13 NAU, Pg. 15 UA, Pg. 17] [ASU, Pg. 19 NAU, Pg. 21 UA, Pg. 25] [ASU, Pg. 27 NAU, Pg. 29 UA, Pg. 33]
Information Science/Information Technology............................................................................................19 Access and Workforce Development ........................................................................................................27 Arizona State University Manufacturing ...........................................................................................................................................37 Advanced Materials for the New Economy ...............................................................................................39 Technology Transfer .................................................................................................................................41 Assessment Morrison Institute ...............................................................................................................43 ASU East Campus Capital Infrastructure Development............................................................................45 ASU West Classroom Laboratory/Computer Classroom II Building and Central Plant Expansion..................................................................................................47 Northern Arizona University Environmental Research, Development, and Education for the New Economy........................................49 Capital Projects.........................................................................................................................................53 University of Arizona Optical Science and Technology in the New Economy.............................................................................55 Water, Economic Development, and Sustainability...................................................................................57 Technology Transfer Infrastructure ...........................................................................................................59 Arizona Board of Regents Central Office Arizona Regents University.......................................................................................................................61 Regents Innovation Fund ..........................................................................................................................63 Appendix Arizona Board of Regents Policy 3-412
i
TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT For the fiscal year ended June 30, 2002 EXECUTIVE SUMMARY Education 2000 (Proposition 301), passed by Arizona voters in November 2000, approved a .6 cent increase in the state sales tax to be dedicated to K-12, the community colleges, and the state's three public universities. Collection of the tax began on June 1, 2001. In March 2001 the Arizona Board of Regents approved a five-year budget plan for FY 20022006 and guidelines for implementation of the budget. In January-February 2002 the Board approved revised FY 2002 budgets and performance measures.
A.R.S. 15-1648(D) requires the Board to submit to the Governor and the Legislature by
September 1 of each year a report to include "a description of the amount and duration of each new award distributed and a description of the purpose and goals for each award. For existing awards, the Arizona Board of Regents shall use a detailed set of performance measures to determine the overall effectiveness of each award."
The lower range of the Board-approved FY 2002 budget was $45,600,000.
Total TRIF revenues received during FY 2002 were $44,274,000, resulting in a revenue shortfall in FY 2002 of $1,326,000 (2.91%). [Note: For purposes of this annual report, revenues consist of actual receipts into TRIF for August 2001 through June 2002 plus an estimated amount for July 2002 revenue. An estimate was required to record the June 30, 2002, year end revenue accrual and to prepare this report on a timely basis. Actual TRIF revenues for the 12-month period August 2001 through July 2002 were $44,292,971, a shortfall of $1,307,029 (2.87%) from the budgeted amount.]
Total TRIF expenditures in FY 2002 were $23,733,028, 54% of total revenue received.
Recognizing the volatility and unpredictability of the TRIF revenue stream, the universities and central office exercised sound budgetary and financial management in the expenditure of TRIF funds throughout FY 2002. The universities were able to expend 54% of the funds by June 30, 2002, even though the start-up time required for these new initiatives has been significant and the first TRIF funds were not available until early September 2001. TRIF Budget Guidelines call for full expenditure of FY 2002 funds by December 31, 2002, and the universities and central office may then request that any unexpended funds be reallocated for the same or different use. Expenditure detail by university and by initiative is presented in this report.
ii
Detailed performance measures for evaluating individual initiatives were approved by the
Board, as required by statute. Performance measures and outcomes have been compiled by each university and the central office for each TRIF initiative and are included in this report. An evaluation system for compiling information on measures and outcomes across multiple initiatives is currently under development and will be included in future annual reports.
This report reflects the statutorily required funding for costs of Certificates of Participation
(COPs) issued for the lease-purchase of buildings and associated infrastructure at ASU East and ASU West. projects expenditures. In FY 2002, 9.2% of TRIF budgeted expenditures were used for capital projects.
This report reflects compliance with the statutory 20% limitation on use of TRIF funds for capital
iii
ARIZONA UNIVERSITY SYSTEM FY 2002-2006 BUDGETED/ACTUAL TRIF EXPENDITURES
(In Millions)
2002
ASU East ASU West Access/Workforce Technology Transfer ASU R&D Total
Biotechnology Information Technology Manufacturing Materials
2002 *
$1.4 $1.1 $2.6 $0.6 $16.3
$9.0 $4.8 $0.7 $1.8
2002
Revised
2002
Actual Expend.
2003 2003 * 2004 2004 * 2005 2005 * 2006 2006 *
$2.0 $1.6 $2.2 $0.5 $12.8
$6.8 $4.0 $0.5 $1.5
$1.4 $1.1 $2.2 $0.5 $13.0
$7.0 $4.0 $0.5 $1.5
$1.4 $1.1 $2.2 $0.5 $12.9
$6.9 $4.0 $0.5 $1.5
$0.0 $0.0 $1.1 $0.3 $6.2
$3.4 $1.5 $0.1 $1.2
$2.0 $1.6 $2.6 $0.6 $16.2
$8.9 $4.8 $0.7 $1.8
$2.3 $1.8 $2.2 $0.5 $13.1
$7.1 $4.0 $0.5 $1.5
$2.3 $1.8 $2.6 $0.6 $16.5
$9.0 $4.8 $0.7 $2.0
$2.3 $1.8 $2.2 $0.5 $14.1
$5.3 $3.0 $0.8 $5.0
$2.3 $1.8 $3.0 $0.8 $17.2
$5.7 $3.8 $1.7 $6.0
$2.3 $1.8 $2.2 $0.5 $15.4
$5.7 $3.1 $1.2 $5.4
$2.3 $1.8 $3.0 $0.8 $18.3
$5.7 $3.8 $2.3 $6.5
Assessment ASU Subtotal Access/Workforce R&D total
Biotechnology
$0.0 $18.2 $3.9 $4.2
$1.1 $1.4 $1.7 $0.0
$0.0 $22.0 $4.8 $4.9
$1.3 $1.8 $1.8 $0.0
$0.1 $18.2 $3.9 $4.2
$1.0 $1.4 $1.5 $0.3
$0.1 $7.7 $2.1 $2.7
$0.6 $0.7 $1.3 $0.1
$19.1 $4.0 $4.5
$1.4 $1.5 $1.6
$23.0 $4.8 $5.4
$1.7 $1.9 $1.9
$19.9 $3.0 $5.9
$1.8 $1.8 $2.3
$23.8 $3.6 $7.1
$2.2 $2.1 $2.8
$20.9 $2.0 $7.4
$2.1 $2.3 $3.0
$25.1 $2.4 $8.8
$2.5 $2.7 $3.6
$22.2 $2.0 $7.8
$2.2 $2.3 $3.3
$26.2 $2.4 $9.4
$2.7 $2.8 $4.0
NAU
Information Tech/E-Learning Environment Capital Projects
NAU Subtotal Access/Workforce Technology Transfer R&D total UA
Biotechnology Information Technology Optics Water
$8.1 $1.8 $0.5 $14.0
$5.0 $4.0 $4.5 $0.5
$9.7 $1.8 $0.5 $17.8
$6.3 $5.3 $5.7 $0.5
$8.1 $1.8 $0.5 $14.0
$5.0 $4.0 $4.5 $0.5
$4.8 $0.7 $0.4 $8.1
$2.9 $2.2 $2.8 $0.2
$8.5 $1.8 $0.6 $14.8
$5.0 $4.3 $5.0 $0.5
$10.2 $1.8 $0.6 $18.7
$6.5 $5.8 $5.9 $0.5
$8.9 $1.8 $0.7 $15.6
$5.0 $4.2 $4.5 $2.0
$10.7 $1.8 $0.7 $19.7
$6.5 $5.8 $4.9 $2.5
$9.4 $1.8 $0.8 $16.6
$6.0 $4.1 $4.2 $2.3
$11.2 $1.8 $0.8 $20.7
$7.0 $6.1 $4.6 $3.0
$9.8 $1.8 $0.8 $17.6
$5.5 $4.4 $4.2 $3.5
$11.8 $1.8 $0.8 $21.8
$6.5 $6.7 $4.6 $4.0
UA Subtotal ABOR ARU Regents Innovation Fund ABOR Subtotal ARU Regents Innovation Fund ASU East ASU West Access/Workforce** Technology Transfer AUS R&D Total
Biotechnology** Information Technology** Materials Manufacturing Environment Optics Water Capital Projects
$16.3 $2.0 $1.0 $3.0 $2.0 $1.0 $1.4 $1.1 $7.9 $1.0 $31.2
$13.1 $9.4 $1.5 $0.5 $1.7 $4.5 $0.5 $0.0
$20.1 $2.0 $1.0 $3.0 $2.0 $1.0 $1.4 $1.1 $9.2 $1.1 $39.0
$16.6 $11.9 $1.8 $0.7 $1.8 $5.7 $0.5 $0.0
$16.3 $2.0 $1.0 $3.0 $2.0 $1.0 $1.4 $1.1 $7.9 $1.0 $31.1
$12.9 $9.4 $1.5 $0.5 $1.5 $4.5 $0.5 $0.3
$9.2 $1.4 $0.6 $2.0 $1.4 $0.6 $0.0 $0.0 $3.9 $0.7 $17.0
$6.9 $4.4 $1.2 $0.1 $1.3 $2.8 $0.2 $0.1
$17.2 $2.1 $1.0 $3.1 $2.1 $1.0 $2.0 $1.6 $8.0 $1.1 $32.1
$13.2 $9.8 $1.5 $0.5 $1.6 $5.0 $0.5
$21.1 $2.1 $1.0 $3.1 $2.1 $1.0 $2.0 $1.6 $9.2 $1.2 $40.3
$17.1 $12.4 $1.8 $0.7 $1.9 $5.9 $0.5
$18.1 $2.2 $1.0 $3.2 $2.2 $1.0 $2.3 $1.8 $7.0 $1.2 $34.7
$13.9 $10.0 $1.5 $0.5 $2.3 $4.5 $2.0
$22.2 $2.2 $1.0 $3.2 $2.2 $1.0 $2.3 $1.8 $8.0 $1.3 $43.3
$17.7 $12.7 $2.0 $0.7 $2.8 $4.9 $2.5
$19.1 $2.3 $1.0 $3.3 $2.3 $1.0 $2.3 $1.8 $6.0 $1.3 $38.0
$13.4 $9.4 $5.0 $0.8 $3.0 $4.2 $2.3
$23.2 $2.3 $1.0 $3.3 $2.3 $1.0 $2.3 $1.8 $7.2 $1.5 $46.7
$15.2 $12.6 $6.0 $1.7 $3.6 $4.6 $3.0
$20.2 $2.4 $1.0 $3.4 $2.4 $1.0 $2.3 $1.8 $6.0 $1.3 $40.8
$13.4 $9.8 $5.4 $1.2 $3.3 $4.2 $3.5
$24.4 $2.4 $1.0 $3.4 $2.4 $1.0 $2.3 $1.8 $7.2 $1.5 $49.5
$14.9 $13.3 $6.5 $2.3 $4.0 $4.6 $4.0
ASU Assessment Arizona University System Total
$0.0 $45.6
$0.0 $54.8
$0.1 $45.6
$0.1 $23.7 $47.9 $57.4 $50.2 $60.0 $52.7 $62.8 $55.6 $65.7
* Reflects an institutional total of approximately 120% of LOWER ESTIMATE tax revenues (with JLBC estimate midway between the upper and lower levels). ** Reflects tri-university budget initiatives (Access and Workforce Development, Biosciences/Biotechnology, and Information Science/Information Technology).
ARIZONA UNIVERSITY SYSTEM FY 2002-2006 BUDGETED/ACTUAL TRIF
(In Thousands)
CAPITAL
2002 Actual Expend.
EXPENDITURES 2003
n/a $400 $0 $1,500
$1,000 $500 $0 $0 $0
2002
ASU East/West* Access/Workforce Technology Transfer R&D Total ASU
Biotechnology Information Technology Materials Manufacturing
2002 Revised
2004
n/a $400 $0 $1,000
$500 $500 $0 $0 $0
2005
n/a $400 $0 $1,000
$500 $500 $0 $0 $0
2006
n/a $400 $0 $1,000
$500 $500 $0 $0 $0
n/a $400 $0 $1,850
$1,500 $350 $0 $0 $0
n/a $650 $0 $2,263
$2,063 $200 $0 $0 $0
n/a $0 $0 $2,702
$2,702 $0 $0 $0 $0
Assessment Total Capital Capital as % of Total ASU Budget Access/Workforce R&D Total
Biotechnology Information Technology/E-Learning Environment Capital Projects
$2,250 14.3% $0 $300
$100 $0 $200 $0
$2,913 18.6% $0 $0
$0 $0 $0 $0
$2,702 17.2% $0 $0
$0 $0 $0 $0
$1,900 12.3% $0 $0
$0 $0 $0
$1,400 8.9% $0 $1,860
$1,000 $0 $860
$1,400 8.3% $0 $2,240
$1,300 $0 $940
$1,400 7.7% $0 $2,350
$1,410 $0 $940
NAU
Total Capital Capital as % of Total NAU Budget Access/Workforce Technology Transfer R&D Total
Biotechnology
$300 3.7% $470 $0 $1,000
$0 $0 $1,000 $0
$0 0.0% $0 $0 $1,100
$100 $0 $1,000 $0
$0 0.0% $0 $0 $1,260
$260 $0 $1,000 $0
$0 0.0% $0 $0 $1,000
$0 $0 $1,000 $0
$1,860 20.9% $0 $0 $3,000
$2,000 $0 $1,000 $0
$2,240 23.8% $0 $0 $3,000
$2,000 $0 $1,000 $0
$2,350 24.0% $0 $0 $3,000
$2,000 $0 $1,000 $0
UA
Information Technology Optics Water
Total Capital Capital as % of Total UA Budget
$1,470 9.0% $0 $0 $0 0.0% $870 $0 $3,150
Biotechnology** $1,600 $350 $0 $0 $200 $1,000 $0
$1,100 6.7% $0 $0 $0 0.0% $650 $0 $3,363
$2,163 $200 $0 $0 $0 $1,000 $0
$1,260 7.7% $0 $0 $0 0.0% $0 $0 $3,962
$2,962 $0 $0 $0 $0 $1,000 $0
$1,000 5.8% $0 $0 $0 0.0% $400 $0 $2,500
$1,000 $500 $0 $0 $0 $1,000 $0
$3,000 16.6% $0 $0 $0 0.0% $400 $0 $5,860
$3,500 $500 $0 $0 $860 $1,000 $0
$3,000 15.7% $0 $0 $0 0.0% $400 $0 $6,240
$3,800 $500 $0 $0 $940 $1,000 $0
$3,000 14.9% $0 $0 $0 0.0% $400 $0 $6,350
$3,910 $500 $0 $0 $940 $1,000 $0
ARU Regents Innovation Fund
ABOR Total Capital Capital as % of Total ABOR Budget Access/Workforce** Technology Transfer R&D Total AUS
Information Technology** Materials Manufacturing Environment Optics Water Capital Projects
ASU Assessment Total Arizona University System Capital 20% Limit on Capital Capital as % of Total AUS Budget
$0 $0 $4,020 $8,620 9.3%
$0 $0 $4,013 $8,620 9.3%
$0 $0 $3,962 $8,620 9.2%
$0 $2,900 $8,860 6.5%
$0 $6,260 $9,220 13.6%
$0 $6,640
$0 $6,750
$9,720 $10,300 13.7% 13.1%
* Not applicable. TRIF allocations for ASU East and ASU West debt service are allocated by statute. Therefore, these amounts are excluded from calculation of the 20% capital limitation. ** Reflects tri-university budget initiatives (Access and Workforce Development, Biosciences/Biotechnology, and Information Science/Information Technology).
ARIZONA STATE UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
SUMMARY
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
Note: FY 2002 expenditures include encumbrances at 6/30/02.
$ 18,200,000
$ 17,717,000
$ 19,100,000
$ 20,000,000
$ 21,000,000
$ 22,300,000
$ 3,134,000 658,800 8,993,900 12,786,700 2,913,300 2,500,000 5,413,300 $ 18,200,000
$ 1,492,100 221,700 3,307,300 5,021,100 2,701,500 2,701,500 $ 7,722,600
$ 7,277,800 1,346,400 4,975,800 13,600,000 1,400,000 500,000 3,600,000 5,500,000 $ 19,100,000
$ 8,821,400 1,631,900 4,046,700 14,500,000 400,000 1,000,000 4,100,000 5,500,000 $ 20,000,000
$ 9,342,100 1,728,200 4,429,700 15,500,000 400,000 1,000,000 4,100,000 5,500,000 $ 21,000,000
$ 10,413,100 1,926,400 4,460,500 16,800,000 400,000 1,000,000 4,100,000 5,500,000 $ 22,300,000
SUMMARY BY INITIATIVE ARIZONA STATE UNIVERSITY MAIN
Access and Workforce Development Biosciences/Biotechnology Information Science Manufacturing Advanced Materials for the New Economy Technology Transfer Assessment - Morrison Institute Subtotal ASU Main
ARIZONA STATE UNIVERSITY EAST ARIZONA STATE UNIVERSITY WEST EXPENDITURES GRAND TOTAL
$ 2,200,000 6,876,400 4,031,500 479,200 1,512,900 500,000 100,000 15,700,000 1,400,000 1,100,000 $ 18,200,000
$ 1,050,200 3,406,400 1,487,600 133,200 1,242,300 335,700 67,200 7,722,600 $ 7,722,600
$ 2,200,000 6,781,400 3,979,300 500,400 1,538,900 500,000 15,500,000 2,000,000 1,600,000 $ 19,100,000
$ 2,200,000 7,097,100 4,009,100 522,800 1,571,000 500,000 15,900,000 2,300,000 1,800,000 $ 20,000,000
$ 2,200,000 5,312,300 3,033,400 813,600 5,040,700 500,000 16,900,000 2,300,000 1,800,000 $ 21,000,000
$ 2,200,000 5,728,200 3,149,100 1,210,000 5,412,700 500,000 18,200,000 2,300,000 1,800,000 $ 22,300,000
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
SUMMARY
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$
8,100,000
$
7,850,833
$
8,500,000
$
8,920,000
$
9,350,000
$
9,810,000
$
3,497,879 681,644 3,920,477 8,100,000
$
3,040,122 622,243 1,078,796 4,741,161
$
3,767,256 734,569 3,998,175 8,500,000
$
3,031,290 591,052 3,497,658 7,120,000
$
3,709,328 720,382 2,680,290 7,110,000
$
3,881,937 747,549 2,830,514 7,460,000
$ 8,100,000 $
4,741,161 $
8,500,000 $
1,800,000 1,800,000 8,920,000 $
2,240,000 2,240,000 9,350,000 $
2,350,000 # 2,350,000 #
#
9,810,000
SUMMARY BY INITIATIVE
Biosciences/Biotechnology E-Learning Access and Workforce Development ERDENE (Environmental) Capital Projects
EXPENDITURES GRAND TOTAL
$
1,000,000 1,400,000 3,900,000 1,500,000 300,000 8,100,000
$
603,786 679,662 2,091,294 1,274,960 91,459 4,741,161
$
1,400,000 1,540,000 4,000,000 1,560,000
$
1,800,000 1,780,000 3,000,000 2,340,000
$
2,100,000 2,250,000 2,000,000 3,000,000
$
2,210,000 2,300,000 2,000,000 3,300,000
$
$
$
8,500,000
$
8,920,000
$
9,350,000
$
9,810,000
UNIVERSITY OF ARIZONA
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
SUMMARY
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$ 16,300,000
$ 15,798,588
$ 17,200,000
$ 18,200,000
$ 19,200,000
$ 20,200,000
$
5,834,752 1,137,774 8,227,474 15,200,000 100,000 1,000,000 1,100,000
$
2,416,578 388,641 5,155,203 7,960,422 260,000 1,000,000 1,260,000
$
7,938,200 1,547,962 6,713,838 16,200,000
$
7,464,325 1,455,600 6,280,075 15,200,000
$
7,264,603 1,416,500 7,518,897 16,200,000
$
6,904,337 1,346,400 8,949,263 17,200,000
1,000,000 1,000,000 $ 17,200,000
3,000,000 3,000,000 $ 18,200,000
3,000,000 3,000,000 $ 19,200,000
3,000,000 3,000,000 $ 20,200,000
$ 16,300,000
$
9,220,422
SUMMARY BY INITIATIVE UNIVERSITY OF ARIZONA
Access to Higher Education Workforce: Teacher Preparation Technology Transfer Infrastructure Biomedical Science & Biotechnology Internet Technology & Commerce Institute Optical Science & Technology Water Technology
EXPENDITURES GRAND TOTAL
$
1,000,000 800,000 500,000 5,000,000 4,000,000 4,500,000 500,000
$
35,981 618,281 355,732 2,937,259 2,233,855 2,847,913 191,401 9,220,422
$
1,000,000 800,000 600,000 5,000,000 4,300,000 5,000,000 500,000
$
1,000,000 800,000 700,000 5,000,000 4,200,000 4,500,000 2,000,000
$
1,000,000 800,000 800,000 6,000,000 4,100,000 4,200,000 2,300,000
$
1,000,000 800,000 800,000 5,500,000 4,400,000 4,200,000 3,500,000
$ 16,300,000
$
$ 17,200,000
$ 18,200,000
$ 19,200,000
$ 20,200,000
ARIZONA BOARD OF REGENTS CENTRAL OFFICE
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
SUMMARY
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$
3,000,000
$
2,907,717
$
3,100,000
$
3,205,000
$
3,315,000
$
3,431,000
$
78,333 19,749 2,901,918 3,000,000
$
62,211 12,460 1,974,174 2,048,845
$
165,200 41,300 2,893,500 3,100,000
$
215,504 53,876 2,935,620 3,205,000
$
215,814 53,953 3,045,233 3,315,000
$
236,130 59,032 3,135,838 3,431,000
$ 3,000,000 $
2,048,845 $
3,100,000 $
3,205,000 $
3,315,000 $
3,431,000
SUMMARY BY INITIATIVE
Arizona Regents University Regents Innovation Fund
EXPENDITURES GRAND TOTAL $
2,000,000 1,000,000 3,000,000 $
1,475,412 573,433 2,048,845 $
2,100,000 1,000,000 3,100,000 $
2,205,000 1,000,000 3,205,000 $
2,315,000 1,000,000 3,315,000 $
2,431,000 1,000,000 3,431,000
ARIZONA STATE UNIVERSITY MAIN
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
BIOSCIENCES/BIOTECHNOLOGY
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
Note: FY 2002 expenditures include encumbrances at 6/30/02.
$ 6,876,400
$ 6,661,800
$ 6,781,400
$ 7,097,100
$ 5,312,300
$ 5,728,200
$
516,900 110,600 4,185,600 4,813,100 2,063,300 2,063,300
$
306,700 50,300 347,900 704,900 2,701,500 2,701,500
$ 2,642,500 488,900 2,650,000 5,781,400 1,000,000 1,000,000 $ 6,781,400
$ 3,374,600 624,300 2,598,200 6,597,100 500,000 500,000 $ 7,097,100
$ 3,643,300 674,000 495,000 4,812,300 500,000 500,000 $ 5,312,300
$ 3,825,500 707,700 695,000 5,228,200 500,000 500,000 $ 5,728,200
$ 6,876,400
$ 3,406,400
INITIATIVE OVERVIEW
The formation of the Arizona Biomedical Institute (AzBio) is the centerpiece of the ASU Proposition 301 initiative in biosciences/biotechnology. The vision for AzBio focuses on developing the Institute into a benchmark for excellence in integrative biomedical research. We will reach this status through innovative cross-collaborations between multiple university disciplines and effective partnerships with clinicians and researchers in the health care community and related industries. By 2015, AzBio will become a world-class research enterprise as an integral part of the development of a globally competitive biosciences cluster in the Phoenix metropolitan area. AzBio will connect basic research with translational research, integrating the learning from "bench top to bedside" to develop a comprehensive understanding of human health. The AzBio efforts are outcome oriented, seeking to translate learning into interventions that enhance individual wellness and quality of life, along with promoting public health policies relating to the welfare of the general population. AzBio focuses on five thematic areas: Medical Bioengineering; Pharmaceuticals and Nutraceuticals; Stress and Disease Prevention; Genomics and Genetic Medicine; and Health Policy and Public Health. These multidisciplinary research areas provide AzBio with a robust capacity to address issues of health, technology development, economic competitiveness, and quality of life. Coupled with existing ASU strengths in the basic biological sciences, engineering and applied sciences, and information and computer technologies, the Institute will provide strategic collaborative opportunities for the surrounding regional and national clinical research community. In addition, we will work to leverage the proximity of The Translational Genomics Research Institute (TTGRI) to advance programs in genetics research, genetics-based medicine, and cancer research.
FY 2002 GOALS/OBJECTIVES
The primary near-term AzBio goals are to advance breakthroughs in biomedicine and strengthen the Arizona bio industry. The key strategic objectives to accomplish these are: Target high priority biomedical specialties that hold significant promise for future development. Extend the ASU core competitiveness in the areas of life sciences and bioengineering to: Focus research thrusts in strategic areas that foster long-term collaborative projects in current and emerging priority areas identified by the National Institutes of Health (NIH), National Science Foundation (NSF), and other federal agencies and potential industrial partners. Combine integrative, multidisciplinary bench top to bedside research efforts between departments and colleges at ASU and the outside medical community through seed grants and matching funds opportunities. Establish and strengthen partnerships with institutions in the Phoenix area involved in clinical medicine and the bio industry through shared use facilities and joint faculty appointments. Develop state-of-the-art laboratory facilities by acquiring and/or building new equipment and multidisciplinary core facilities. Develop technology transfer strategies for all major biosciences/biotechnology programs, identifying intellectual property opportunities and proactively marketing technology innovations. Recruit and hire new, high caliber faculty in the strategic areas targeted by AzBio.
ARIZONA STATE UNIVERSITY MAIN
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
BIOSCIENCES/BIOTECHNOLOGY
FY 2002 FY 2002 ACTUAL FY 2003 PROJECTED FY 2004 PROJECTED FY 2005 PROJECTED FY 2006 PROJECTED
PERFORMANCE MEASURES/DELIVERABLES Return on Investment
1. Total external funding: new awards 2. External funding: new federal awards 3. External funding: new industrial contracts and donations
REVISED EST
$5.0M $4.0M $1.0M
$4.7M $4.0M $0.66M
$8.0M $6.0M $2.0M
$10.0M $8.0M $2.0M
$12.0M $9.0M $3.0M
$15.0M $11.0M $4.0M
Technology Transfer
4. 5. 6. 7. Invention disclosures (a) Patent applications (a) Patents(a) Startup companies/licenses (a)
Workforce Contributions
8. Graduate/postdoc students in pipeline 9. Graduate/postdoc students earning degrees and entering workforce 10. Undergraduate students with research experience 11. New research collaborations with institutions/industry
(a)
20 20 5
16 11 6
30 15 40 5
30 15 40 5
30 15 40 5
30 15 40 5
Partnerships
The individual measures for invention disclosures, patent applications, patents, and startup companies are aggregated for the Biosciences/Biotechnology, Information Science, Manufacturing, and Materials initiatives and reported in the Technology Transfer initiative.
FY 2002 RESULTS AND ACCOMPLISHMENTS
In FY 2002, a major AzBio effort encouraged further development in the number and quality of research proposals, particularly those involving partnerships with outside institutions and industries. In measuring our progress in this area, the FY 2001 versus FY 2002 value of grant proposals submitted in the biosciences increased from $50,000,000 in FY 2001 to $78,000,000 in FY 2002. More multi-investigator grants were submitted for program projects and joint collaborations between ASU faculty and clinical scientists in the community. We expect this trend to continue to increase as we see the impact of the seed grant program and core laboratory development programs. Other key accomplishments in FY 2002 include: Initiated programming for new biomedical research building and recruiting of potential partner occupants including the Veterans Administration (VA) and the National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK). Successfully developed a consortium platform that facilitated the location of TTGRI to Phoenix. AzBio has committed ongoing program support plus four faculty positions in the genomics area to the TTGRI effort. Developed partnerships and research collaborations with medical institutions and companies including: Mayo, Sun Health, VA, NIDDK, Barrow Neurological Institute, Scottsdale Healthcare, Banner Health, Arizona Health Sciences Dental School, Advanced Bionics, Medtronics, CreaAgri, and Intel. Provided funding for 15 seed grant proposals for interdisciplinary and translational research projects to foster collaborations between ASU and clinical scientists at the medical institutions in the greater Phoenix metropolitan area. These seed grant activities provided the pilot data for responses to large agency requests for awards. Recruited and hired three new faculty in two targeted AzBio areas, Nutraceuticals and Pharmaceuticals, and Bioengineering. Additional recruiting efforts will continue to target existing faculty strengths and program development. Hosted five interdisciplinary research workshops on Neuroscience, Environment and Ecology of Human and Animal Populations, Musculoskeletal Disease, Immunology, and the Future of Stress Research. Fifty to sixty scientists attended each workshop, with participation from local medical institutions and biomedical industries. Sponsored a Women's Health Research Forum that included an address by Wanda Jones, Assistant Deputy Secretary of Health, US Department of Health and Human Services, and presentations by local medical institutions and ASU researchers to encourage development of new collaborative research projects and partnerships with the medical community. Expanded core ASU laboratory facilities used by clinical faculty to enhance the breadth and depth of research projects. In particular, we enhanced the development of the Health Assessment Core Facility with the purchase of a Dual Energy X-ray Absorptiometer (DEXA) scanner for measurement of bone density and body composition. Additionally, we received donations of core laboratory equipment from the local medical community and local businesses. These additions to our core facility will expand our technical capabilities, decrease overall research costs, and enhance our ability to secure program projects from NIH and other project sponsors. Developed new grants that combine collaborations between the focus areas of AzBio and other Proposition 301 initiatives, including Information Science and Advanced Materials for the New Economy. These new type of grant opportunities have created an environment for transdisciplinary and translational research that provides a unique platform for innovative and challenging efforts by ASU faculty and the biosciences/biotechnology community.
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
BIOTECHNOLOGY
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$ 1,000,000
$
969,239
$ 1,400,000
$ 1,800,000
$ 2,100,000
$ 2,210,000
$
298,000 58,100 643,900 1,000,000
$
188,168 28,234 387,384 603,786
$
472,900 92,200 834,900 1,400,000
$
496,500 96,800 206,700 800,000
$
434,000 84,600 281,400 800,000
$
455,700 88,900 255,400 800,000
$ 1,000,000 $
603,786
$ 1,400,000
1,000,000 1,000,000 $ 1,800,000
1,300,000 1,300,000 $ 2,100,000
1,410,000 1,410,000 $ 2,210,000
INITIATIVE OVERVIEW
Consistent with the principles of Arizona at Risk, this initiative focuses on projects in the field of bioscience and biotechnology which can: 1. Enhance the reputation of Flagstaff and Arizona as a center of quality bioscience/biochemistry research 2. Stimulate technology transfer to better position Arizona in the fields of bioscience and biotechnology 3. Expand and enrich the Arizona workforce trained in the high-tech aspects of biotechnology
FY 2002 GOALS/OBJECTIVES
1. Organize and staff new projects 2. Focus on new grant applications to leverage Prop 301 dollars 3. Provide technical education to students through involvement in lab activities and advanced-content classes
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
BIOTECHNOLOGY
FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006
PERFORMANCE MEASURES/DELIVERABLES Return on Investment
1. Increased external funding 2. Increased number of scholarly publications
REV EST
$1,386,000 7 2
$1,400,000 12 1 (3 more IP)
$1,500,000 15 1 1 2
$2,000,000 18 1 1 2
$2,000,000 20 1 1 2
$3,500,000 20 1 1 2
Technology Transfer
3. 4. 5. 6. Patents applied for Products generated and in the marketplace Business expansions Tech transfer: startup companies created
Economic Development
7. Incubation/formation of biotech concerns in Flagstaff/Northern Arizona 1 57 76 2 2 4 60 80 1 10 6 60 80 3 10 6 1 60 80 3 10 6 2 60 80 3 10 8 2 60 80 4 10 8
Workforce Contributions 8. Graduate/post-doc students in pipeline
9. Undergraduate students with research experience 10. M.S./PhD graduate increases Research/training for post-doctoral Fellows 11.
Specific Collaborations
12. New research collaborations
FY 2002 RESULTS AND ACCOMPLISHMENTS
Results from this initiative have leveraged Proposition 301 dollars, allowed progress in areas which will result in patentable outcomes, and provided workforce training in high-tech biotechnology skills and techniques. This project, like others, was somewhat hampered by the time involved in start-up. All projects are currently staffed and moving forward on their various research agendas. One of the most innovative features of this project has been the awarding of "mini-grants" to provide seed funds to a variety of activities, some of which will mature into full-blown research projects. Outcomes: 1. A patented microsensor to detect environmental pollutants and chemical warfare agents. The developer is working with the Northern Arizona Technology and Business Incubator and College of Business Administration staff and students to create a business plan and consider the possibility of forming a Limited-Liability Corporation for marketing this item. 2. 301 dollars have been used as matching contributions in ways that have allowed project scientists to bring in over $1.4 million in additional funding during this year. 3. Three additional patent applications are in progress. 4. Partnerships have been developed with Diatide, Inc. of New Hampshire, the Corneal Science Corporation, Cleveland Clinic Foundation, Ridgeway Biosystems in Cleveland, OH, and with the National Institutes of Health in Bethesda, Maryland. 5. Four of the 10 minigrants involve partnerships with ASU and UofA. 6. One of the 301 project recipients, Dr. Paul Keim, has been instrumental in attracting the International Genomics Consortium and Translational Genomics Research Institute to Arizona. 7. Over 45 undergraduate, 25 graduate, and 10 post-doctoral students have been members of the research labs of 301 project participants. 8. 25 students received advanced education in biotechnology subjects through the Molecular Techniques and Molecular Biology courses supported or enhanced by 301 dollars. 9. Signed a license option agreement with Eccentron, LLC to commercialize eccentric ergometer technology.
UNIVERSITY OF ARIZONA
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS INSTITUTE FOR BIOMEDICAL SCIENCE & BIOTECHNOLOGY
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$
5,000,000
$ 4,846,193
$ 5,000,000
$ 3,000,000
$ 4,000,000
$ 3,500,000
$
1,815,000 353,900 2,731,100 4,900,000 100,000 100,000
$
518,152 101,948 2,057,159 2,677,259 260,000 260,000
$ 2,742,000 534,690 1,723,310 5,000,000
$ 1,861,225 362,939 775,836 3,000,000
$ 1,950,483 380,344 1,669,173 4,000,000
$ 1,890,010 368,552 1,241,438 3,500,000
$ 5,000,000
2,000,000 2,000,000 $ 5,000,000
2,000,000 2,000,000 $ 6,000,000
2,000,000 2,000,000 $ 5,500,000
$
5,000,000
$ 2,937,259
INITIATIVE OVERVIEW
The Institute for Biomedical Science and Biotechnology will play a significant role in Arizona's economic development plans. The University of Arizona is home to a wealth of world class life sciences research programs that can be leveraged to generate a powerful engine for development of life sciences-related industry, or bioindustry, in Arizona. This initiative begins with existing faculty research resources in molecular medicine, molecular agriculture and instrumentation and methodologies. It builds on these strengths by attracting new, senior research faculty and by assembling state-of-the-art facilities to support that research work. The initiative strengthens educational programs and infrastructure at K-12, undergraduate, and graduate levels as a critical component of workforce development. The IBSB initiative seeks industrial partnerships and encourages and facilitates technology transfer and business incubator facilities to accommodate start-up companies.
FY 2002 GOALS/OBJECTIVES
To be awarded $2,000,000 in grants. To recruit 5 world-class scientists into strategically defined areas. To increase number of bio start-up companies by 2. To increase the number of invention disclosures attributable to bio by 2-4. To increase the number of technology transfer workshops performed by 3-4. To increase growth in life science postdocs in pipeline by 10.
UNIVERSITY OF ARIZONA
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS INSTITUTE FOR BIOMEDICAL SCIENCE & BIOTECHNOLOGY
FY 2002
FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006
PERFORMANCE MEASURES/DELIVERABLES Return on Investment
1. New research funding $
REV EST
2,000,000 N/A N/A 2-4 N/A N/A 2
$
1,447,470 0 0 0 1 0 2
Technology Transfer
2. 3. 4. 5. 6. 7. New software packages distributed Hits per month on research websites Invention disclosures (a) Patent applications (a) Patents(a) Startup companies (a)
Economic Development
8. Companies identifying UA as a factor for relocating or expanding in AZ 2-3 546 637 N/A N/A N/A 2 504 637 (0%) N/A N/A N/A
Workforce Contributions
9. Graduates (all levels) 10. Minority enrollment growth
Curriculum Innovations
11. High school students involved in program 12. New courses introduced 13. Internships (industry or Software Factory)
(a)
The individual measures for invention disclosures, patent applications, patents, and startup companies are aggregated for the Biosciences/Biotechnology, Information Science, Manufacturing, and Materials initiatives and reported in the Technology Transfer initiative.
FY 2002 RESULTS AND ACCOMPLISHMENTS
IBSB was funded $1,447,470 in new grants in FY 2002 and has $19,106,683 awaiting funding. IBSB recruited 7 world-class scientists (Wing, Soderlund, Hogan, Wysocki, Osterhout, Machado, and Aspinwall) into strategically defined areas. Two new bio startup companies were started in FY 2002. (AzTex and a company by Bob Gillies and Victor Hruby) IBSB supported 3 technology transfer workshops in FY 2002. IBSB is actively supporting graduate students and anticipates that this will result in an increase in postdocs in the pipeline soon.
ARIZONA STATE UNIVERSITY MAIN
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
INFORMATION SCIENCE
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
Note: FY 2002 expenditures include encumbrances at 6/30/02.
$ 4,031,500
$ 3,907,500
$ 3,979,300
$ 4,009,100
$ 3,033,400
$ 3,149,100
$ 1,650,000 330,000 1,851,500 3,831,500 200,000 200,000 $ 4,031,500
$
342,500 42,300 1,102,800 1,487,600
$ 2,268,600 419,700 791,000 3,479,300
$ 2,767,200 511,900 230,000 3,509,100
$ 2,002,900 370,500 160,000 2,533,400
$ 2,100,500 388,600 160,000 2,649,100
$ 1,487,600
500,000 500,000 $ 3,979,300
500,000 500,000 $ 4,009,100
500,000 500,000 $ 3,033,400
500,000 500,000 $ 3,149,100
INITIATIVE OVERVIEW
The Information Science Initiative is an integral part of the ASU vision of becoming internationally recognized for collaborative research with industry and government agencies. The focus of the initiative is to develop highly integrated, multidisciplinary research and education activities that deepen fundamental knowledge in information technology and emphasize the innovative nature an application to other disciplines. The initiative activities include: Basic research in computing technologies that stimulates formation of new companies, attracts new industries, and retains/expands established companies. Focusing on embedded and networked systems, knowledge systems, wireless technologies, multimedia, and distributed systems. Applied interdisciplinary research -- Faculty performing research in information sciences also work with faculty in other disciplines that benefit from application of that research to broaden the economic impact and diversification of the results. Examples include biotechnology, e-commerce, geographic information systems, and genomics computing. Workforce development -- Increase the number of talented students in the pipeline from high school through undergraduate and graduate degree programs to enhance quality, quantity, and diversity in support of the needs of industry locating in Arizona.
FY 2002 GOALS/OBJECTIVES
Overall and specific FY 2002 goals and objectives include: Equip ASU to effectively partner with all users of technology in Arizona, including the computer hardware, computer software, and information technology industries. Establish ASU as a full partner in leading-edge research with local and national organizations by establishing collaborative partnerships with technology companies. Expand the supply of graduates qualified to work in Arizona's computing industries by providing opportunities for students to interact with regional employers, and engage in leading research and leadership development activities. Enhance the value of our undergraduate and graduate programs for the software, information science, knowledge systems, and e-commerce industries. Provide internationally recognized research to attract a growing proportion of the research and development for computer hardware, computer software, and network technology to Arizona. Attract nationally competitive research faculty as well as highly promising junior faculty to bridge disciplines, supplement existing teams, and forge entirely new areas of inquiry in Embedded Systems, Bioinformatics, and Knowledge Systems. Establish interdisciplinary faculty research teams in high potential areas where ASU strengths align with national needs and research agendas. Attract $2,000,000 in external funding in the first year. Establish internship programs through the Embedded Consortium and Software Factory that support 20 internships. Develop and pilot a high school software engineering course for at least 25 students.
ARIZONA STATE UNIVERSITY MAIN
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
INFORMATION SCIENCE
FY 2002 REVISED EST FY 2002 ACTUAL FY 2003 PROJECTED FY 2004 PROJECTED FY 2005 PROJECTED FY 2006 PROJECTED
PERFORMANCE MEASURES/DELIVERABLES Return on Investment
1. New research funding
$2.0M 1 1,000
$2.1M 0
Not Yet Available
$2.0M 2 3,000
$2.0M 2 5,000
$2.5M 3 8,000
$4.0M 3 10,000
Technology Transfer
2. 3. 4. 5. 6. 7. New software packages distributed Hits per month on research websites (a) Invention disclosures (a) Patent applications Patents(a) (a) Startup companies
Economic Development
8. Companies identifying ASU as a factor for relocating or expanding in AZ 1 large 2 small 20 2% 25 4 20 2 large 1 large 3 small 40 2% 30 6 40 1 large 4 small 60 2% 50 6 50 1 large 4 small 60 2% 50 6 50 1 large 4 small 60 2% 50 6 50
Workforce Contributions
9. Growth in graduates from CS, CSE, IE, CIS, and Comp Math 10. Minority enrollment growth (% of total enrollment) -11 1% 88 6 32
Curriculum Innovations
11. High school students completing software design material 12. New courses introduced or revised 13. Internships (industry or Software Factory)
(a)
The individual measures for invention disclosures, patent applications, patents, and startup companies are aggregated for the Biosciences/Biotechnology, Information Science, Manufacturing, and Materials initiatives and reported in the Technology Transfer initiative.
FY 2002 RESULTS AND ACCOMPLISHMENTS
Faculty recruiting included: Two targeted faculty hired in Computer Science/Embedded Systems; one professor hired in Information Systems/Knowledge Systems; and one professor hired in Bioinformatics. Information Systems program ranked 10th nationally by US News and World Report. Implemented a year-long effort through websites, workshops, and meetings with faculty groups to encourage emphasis on strategic planning for relevant interdisciplinary research and related performance measures. Awarded $1,170,000 to five teams of faculty in the areas of Wireless Communications, Knowledge Systems, Distributed Media, E-commerce, and Multimedia for the Disabled as seed grants to initiate high return interdisciplinary research programs. Formed the Consortium for Embedded and Internetworking Technologies with Motorola and Intel. First year funding from partners was $1,000,000. Awarded $370,000 in research seed funds, $170,000 in curriculum development funds, and 32 internships for academic credit and pay. The curriculum development support immediately attracted $490,000 in matching National Science Foundation (NSF) awards. The Consortium has drawn national attention in the Electronic Times and from the American Society for Engineering Education (ASEE), as well as the local press. Formed Connection One, a consortium focused on wireless technologies. Six technology companies contributed $300,000 of industrial support to date. NSF selected Connection One as an Industry/University Cooperative Research Center (I/U CRC) and awarded $225,000 in funding for further development of the consortium. Established the Center for Advancing Business through Information Technology (CABIT) in the College of Business to explore how technological innovations are transforming business operations in the new economy. FY 2002 external grants from Intel totaled $63,000. Developed a high school software engineering curriculum, piloted in four Phoenix high schools in Fall 2001 and Spring 2002. Three of the high schools had predominantly minority populations. Supported the establishment of the ASU Software Factory to provide professional software development for students, and sponsored projects through a setting that incorporates comprehensive research on human/organizational factors in software development. Due to the weak economy and poor job market, many graduate students deferred graduation in FY 2002, although the number of students in progress reached an all-time high. Since the Information Technology initiative was ramping up operations in FY 2002, we expect to see more of an impact on projected graduate and minority growth beginning in FY 2003. Major research initiatives that contributed to software and website development were not funded until Spring 2002. Software packages are currently under development, and the research-related websites are just now being created. As a result, during FY 2002 we were unable to begin distributing new software packages or capturing the hits per month on the research websites. We expect that software distribution will begin by December 2002 and websites will begin collecting hit data by September 2002.
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
E-LEARNING (IT)
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$ 1,400,000
$ 1,356,934
$ 1,540,000
$ 1,780,000
$ 2,250,000
$ 2,300,000
$
526,000 102,600 771,400 1,400,000
$
480,352 108,730 90,580 679,662
$
552,400 107,700 879,900 1,540,000
$
580,000 113,100 1,086,900 1,780,000
$
789,000 153,900 1,307,100 2,250,000
$
828,500 161,600 1,309,900 2,300,000
$ 1,400,000 $
679,662
$ 1,540,000
$ 1,780,000
$ 2,250,000
$ 2,300,000
INITIATIVE OVERVIEW
The Center for Research, Development and Assessment in Electronic Learning Environments has been established in response to APNE and the recommendations of the Governor's Task Force on Higher Education. The Center is dedicated to using information technology to transform teaching and learning and to better prepare graduates for the Arizona workforce. Through the use of Web technologies, place-bound Arizona citizens will have increased access to an education; NAU graduates will be skilled at learning via the Web; and learning will be enhanced using information technology tools. Research in innovative applications of advanced technology into the learning process, coupled with assessment of the actual learning students experience, will assure a high impact of this project on NAU students, and on students across the state. Some anticipated outcomes are: 1. 2. 3. 4. 5. Use Web technology to transform learning and teaching in both residential and distance education Assess learning effectiveness associated with information technology-mediated learning environments Increase baseline technological literacy skills of all NAU baccalaureate graduates Provide advanced information technology skills to NAU undergraduates through modifications and new academic programs Assess technological literacy skills of all NAU graduates
FY 2002 GOALS/OBJECTIVES
1. Organize and staff projects 2. Support course development efforts of Access/Workforce Development projects 3. Integrate technology skills into one or more large-enrollment courses
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
E-LEARNING (IT)
FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006
PERFORMANCE MEASURES/DELIVERABLES Return on Investment
1. Grants and contracts rec'd for hdw/softw dev 2. Grants and contracts rec'd for curriculum innovation 3. Proposals made for grants
REV EST
$50,000 1 10 0 2 1 25 100/semester 0
$50,000 1 125 0 2 1 150 94/semester 0
Technology Transfer
Web courses developed Software products tested, partnered, and launched Publications, grant applications Analysis of infrastructure for potential improvements 8. Faculty using training and support staff to integrate online or other technology into courses: 9. Faculty using online technology within courses High-profile research conferences co-sponsored or hosted 10. 4. 5. 6. 7.
2 1 175 100/semester 0
3 1 190 110/semester 1
3 1 190 110/semester 0
5 1 190 110/semester 1
Work Force Contributions
11. Increase in graduates with New Economy skills Core classes with New Economy theme 12. 13. Technology-related certificates available 14. Increase in NAU students with technological literacy skills 3 2 1500 3 2 1500 5 3 1500 5 4 1500 5 4 1500
2
Partnerships
15. Community College transfers with electronic portfolios .16. Increase in number of industry/government partners
1 2 2 2
FY 2002 RESULTS AND ACCOMPLISHMENTS
This year's results from this project will have significant impact on the student experience with technology at NAU. Future developments will focus on research and assessment of technologically enhanced instruction and identification of "best practices" in the field. Notable outcomes include: 1. Instruction in practical technology skills has been integrated into the English composition course required of all students. Skills such as word processing, e-mail, web search, list-serve/chat, and web page design will serve the students well throughout their college careers and beyond. This course will affect over 1,000 students per semester. 2. A junior-level writing class, ENG 305, has been redesigned to directly assess students' technological literacy skills. 3. The first-level computer information systems class, CIS 120, has been redesigned so that much more of its content is available to students wherever they may be; previous versions require significantly more on-campus attendance. It also takes advantage of our advanced "Citrix" server which makes complex software easily accessible to those with access to limited computer power. Currently serving about 500 student per semester, these changes will enable it to serve approximately twice that number.
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
E-LEARNING (IT)
4. A popular communications class, COM 101, has been redesigned to combine interactive technology-delivered modules with traditional classroom experience. 5. Use of web technology has been integrated into 16 traditional courses, and 10 liberal studies courses have been redesigned for web delivery. This will enable both distance and campus students to more easily and flexibly complete their program requirements. 6. Questions about students' perceived technological competence and NAU's contributions to it have been incorporated into several standard student-opinion surveys. At this time, 69% of students believe that NAU has been instrumental in their acquiring the technological skills they have. We expect both their skills and NAU's contributions to them to increase significantly through this initiative's outcomes. 7. We have hired a specialist in assessment in electronic environments who, along with our soon-to-be-hired director of the Center for Research, Assessment and Development in Electronic Environments, will be assessing student learning and "best practices" in technology-enhanced or -delivered instruction. 8. Staff involved in this project also contributed to the development of 100+ new web courses offered through Distributed Learning Services and Access/Workforce Development as well as Elearning auspices. Over 3,400 students were enrolled in these courses in FY 2002. 9. Personnel from Eduprise, a nationally-known web-and-distance-learning consulting firm, reviewed and recommended improvements for infrastructure of E-learning initiative in the larger context of distance learning initiatives at NAU. These recommendations will be incorporated into upcoming planning for this initiative.
UNIVERSITY OF ARIZONA
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS INTERNET TECHNOLOGY & COMMERCE INSTITUTE
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$4,000,000
$3,876,954
$4,300,000
$4,200,000
$4,100,000
$4,400,000
$
998,005 194,575 2,807,420 4,000,000 -
$
556,463 74,656 1,602,736 2,233,855 -
$ 2,388,300 465,700 1,446,000 4,300,000
$ 2,557,300 498,700 1,144,000 4,200,000
$ 2,318,700 452,100 1,329,200 4,100,000
$ 2,167,300 422,600 1,810,100 4,400,000
$ 4,300,000
$ 4,200,000
$ 4,100,000
$ 4,400,000
$ 4,000,000
$ 2,233,855
INITIATIVE OVERVIEW
The focus of this initiative is the development of an Internet Technology, Commerce and Design Institute (ITCDI). ITCDI is seeking approximately $21.0 million over the next five years to achieve research, development, and outreach goals to catalyze economic growth in internet-related technologies. ITCDI is not a physical entity in the traditional sense but instead is a "virtual institute" comprised of University of Arizona academics and local Arizona industry leadership, ideas, and the support to foster concept development, awareness, and economic growth. ITCDI will become a clearinghouse for the sharing of ideas, resources, and expertise under the common goal of promoting internet technology-based economic growth in Arizona's economy. It will be a primary source of talent in a broad range of businesses and industries which rely on the internet in various dimensions for their business success.
FY 2002 GOALS/OBJECTIVES
The primary goal of ITCDI is to create a unique multidisciplinary culture to: (a) train a new breed of Internet Technology and commerce leaders; (b) establish theoretical foundations for the practical understanding of Internet Technology and commerce; and (c) develop Internet enabling technologies (software and hardware) to design, optimize, and manage Internet systems and their services. The ITCDI will create the stimulus for the growth of internet related businesses, educational initiatives, workforce development, and university research opportunities.
UNIVERSITY OF ARIZONA
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS INTERNET TECHNOLOGY & COMMERCE INSTITUTE
FY 2002
FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006
PERFORMANCE MEASURES/DELIVERABLES Return on Investment
1. New research funding
REV EST
$1.0M 0 3 1 0
$1.1M 0 4 0 0
$1.5M 2 5 4 2
$2.0M 2 5 4 2
$3.0M 3 5 4 2
$4.0M 5 5 10 4
Technology Transfer
2. 3. 4. 5. Successful spin-off/start up companies New university/industry collaborations Patent applications(a) Patents(a)
Economic Development
6. Companies identifying UA as a factor for relocating or expanding in AZ 0 75 3 2 10 1 109 4 2 12 1 160 5 3 15 1 280 5 3 15 1 440 7 4 20 1 625 7 5 25
Workforce Contributions
7. Graduates (all levels, incl new ITCDI grads, minors, Info Sci, non-tech minor)
Curriculum Innovations
8. Curricular innovations for Access and Workforce 9. New courses introduced 10. Internships (industry or Software Factory)
(a)
The individual measures for invention disclosures, patent applications, patents, and startup companies are aggregated for the Biosciences/Biotechnology, Information Science, Manufacturing, and Materials initiatives and reported in the Technology Transfer initiative.
FY 2002 RESULTS AND ACCOMPLISHMENTS
- Research support from Prop 301 (TRIF) ITCDI was significantly leveraged (approximately $1.1 million in IT-related support). - As a result of Prop 301 support, industry partnerships were expanded or developed with AOL, Intel, Microsoft. - As a result of Prop 301 faculty support in CS, ECE, and MIS, additional students were accommodated in those programs.
ARIZONA STATE UNIVERSITY MAIN
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
ACCESS AND WORKFORCE DEVELOPMENT
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
Note: FY 2002 expenditures include encumbrances at 6/30/02.
$
2,200,000
$ 2,132,300
$
2,200,000
$
2,200,000
$
2,200,000
$
2,200,000
$
356,300 76,000 1,117,700 1,550,000 650,000 650,000
$
513,800 78,300 458,100 1,050,200
$
1,165,500 215,600 418,900 1,800,000 400,000 400,000
$
1,223,800 226,400 349,800 1,800,000 400,000 400,000
$
1,285,000 237,700 277,300 1,800,000 400,000 400,000
$
1,349,300 249,600 201,100 1,800,000 400,000 400,000
$ 1,050,200 $
$
2,200,000
2,200,000
$
2,200,000
$
2,200,000
$
2,200,000
INITIATIVE OVERVIEW
The Access and Workforce Development initiative provides support to: Increase access to educational programs that will equip Arizona citizens with the skills necessary to compete in the New Economy. Lower barriers of time and space that restrict some of our citizens from full participation in the New Economy. Improve the efficiency of Arizona's higher education system by raising retention and graduation rates. Address Arizona's workforce development needs with particular emphasis on the science, math, engineering, and technology fields. Component projects include: Information Technology Across the Curriculum (ITATC) -- The ITATC initiative helps to insure that all ASU undergraduates, regardless of major, have the opportunity to acquire technical skills that complement their discipline specific knowledge. Technology Infrastructure -- The initiative funds major improvements in the university infrastructure in support of the campus-wide technology infusion into undergraduate and graduate curriculum; the rapidly expanding e-learning program development; and the University's efforts to improve retention and graduation rates. E-Learning Program Development -- This project provides for greater access to educational programs critical to the New Economy by accelerating the pace of development of distance education and online courses and degree programs. Science, Math, Engineering and Technology (SMET) Education -- This project addresses Arizona's K-12 teacher shortage, especially in the critical Science and Math secondary levels. The SMET project also addresses the quality of teacher preparation programs, recruitment and retention issues, and SMET education from an overall perspective. Retention and Graduation -- ASU recognizes that both the quality of our academic programs and the efficiency with which we provide the coursework ultimately govern the long-range success in providing access to academic programs and contributing to workforce development. This component provides particular emphasis on advancing students admitted with academic deficiencies who have otherwise solid academic credentials. Campus Initiatives at ASU West and ASU East -- Project funding supports the development of an Applied Computing B.S. program at ASU West and the Microelectronics Teaching Factory at ASU East.
FY 2002 GOALS/OBJECTIVES
FY 2002 goals and objectives included: Conduct eight ASU Main faculty searches for ITATC positions and hire six Information Technology (IT) staff/support personnel. Strengthen technology support for instruction at undergraduate and graduate levels. Provide funds for mediating classrooms and laboratories to support technology enhanced instruction. Identify e-learning programs for development in Summer and Fall 2002 through an internal competitive process. Develop strategies for improving the ASU record for recruiting, training, and retaining secondary level math/science teachers. Host a system-wide conference for college and university level faculty with primary responsibility in SMET disciplines. Develop strategies for improving ASU retention and graduation rates. Support the ASU West development of an Applied Computing B.S. program. Partner with Intel and Motorola in the development of the Micro Electronics Teaching Laboratory at ASU East.
ARIZONA STATE UNIVERSITY MAIN
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
ACCESS AND WORKFORCE DEVELOPMENT
FY 2002
FY 2002 ACTUAL
FY 2003 PROJECTED
FY 2004 PROJECTED
FY 2005 PROJECTED
FY 2006 PROJECTED
PERFORMANCE MEASURES/DELIVERABLES Return on Investment
1. Increase in number of teachers who graduate with math/science certification 2. Additional mediated classrooms on Main Campus 3. Additional faculty trained in the use of technology in course design
REVISED EST
50 2 20 20 1 X X X
9 8* 96 72 1 X X Partially Approved
50 2 20 30 1
50 2 20 30 1
75 2
75 2
Work Force/Access Contributions
4. New distance education and online courses 5. New distance education online degree programs 6. Fully operational Microelectronics Teaching Factory at ASU East 30 1 30 1
Specific Curriculum Innovations for the New Economy
7. 8. 9. 10. Tier 1 introduction to Information Technology for all students Tier 2 package of 3 courses Tier 3 concentration for BIS degree BS Applied Computing (ASU West)
X X
Other Milestones
11. Infrastructure necessary to support seamless enrollment for all Arizona citizens who take courses at more than one university by Fall 2003 12. Statewide adoption of education pathways for elementary, secondary, and special education programs by 2002
* Fully operational by September 2002.
X X X
FY 2002 RESULTS AND ACCOMPLISHMENTS
Results and accomplishments for FY 2002 include: A total of nine ITATC searches approved and six appointments made in Nursing, Education, Law, Engineering/Fine Arts (joint), English, and Languages and Literature. Six IT staff/support personnel hired: two in Instructional Support; two in Extended Education; one in the Center for Learning and Teaching Excellence; and one in Data Analysis. The Data Analysis position provides support for retention and graduation efforts. The initiative provided funds to purchase a blackboard server and a streaming video server that have significantly strengthened our ability to support technology enhanced instruction. In addition, we established a wireless test bed project and have contracted for the development of a portable technology module which provides full instructor level classroom mediation at a unit cost of approximately $50,000. Approximately $600,000 allocated to upgrade technology support in classrooms and laboratories in the College of Engineering and Applied Sciences, and Biology Department. An internal grant competition awarded funds for e-learning program development in: Technical Communication at ASU Main and ASU East; Semiconductor Manufacturing at ASU Main; Fire Service Management at ASU East; Security Engineering Technology at ASU East; Environmental Technology Management at ASU East; Connect-MBA at ASU West; and, Special Education at ASU West. Planning is underway for education faculty from all three campuses to develop content specific modules for secondary science/math induction training. These modules will provide three graduate credits to participants currently enrolled in one of ASU's Masters' degree programs. Each module will emphasize the mathematics and science included in state and national standards. With the partial support of a federal grant to the Arizona Teaching Excellence Coalition (AZTEC) project, the Center for Research on Education in Science, Mathematics, Engineering and Technology (CRESMET) hosted a workshop in the summer of 2002 on Technology and Visualization in the College Classroom. The workshop was open to ASU and Community College faculty and included a team of professional curriculum developers along with current and former K-12 teachers. Data Analysis personnel developed a software support tool for retention and graduation efforts. This tool provides a user friendly working environment for faculty and advisors who have primary responsibility for retention efforts. In addition, the Summer Bridge program added a day program to help address retention problems for otherwise capable high school students deficient in key math and/or English skills. Dr. Richard Newman was hired as Director of Training Operations for the Microelectronics Teaching Laboratory at ASU East. Dr. Newman is actively involved in the preparation of proposals for external funding and in other outreach activities targeting industry in the Phoenix metropolitan area. ABOR approved the B.S. in Applied Computing degree program at ASU West. The initial search for a program director was unsuccessful. The FY 2002 initiative funds allocated for this position were reallocated on a one-time basis for campus activities that support the development of Applied Computing, including facilitators, outside presenters, session leaders, and stipends for participating faculty.
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
ACCESS/WORKFORCE DEVELOPMENT
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$ 3,900,000
$ 3,780,031
$ 4,000,000
$ 3,000,000
$ 2,000,000
$ 2,000,000
$ 1,543,500 301,000 2,055,500 3,900,000
$ 1,429,140 329,342 332,812 2,091,294
$ 1,697,500 331,000 1,971,500 4,000,000
$
858,111 167,300 1,974,589 3,000,000
$
960,265 184,300 855,435 2,000,000
$
952,871 176,300 870,829 2,000,000
$ 3,900,000
$ 2,091,294
$ 4,000,000
$ 3,000,000
$ 2,000,000
$ 2,000,000
INITIATIVE OVERVIEW
This initiative represents a major step forward in Northern Arizona University's ability to provide education services to Arizona citizens who are time- or place-bound. Additional funding support of NAU's Distributed Learning System is an investment in the New Economy that directly supports the identified needs of the Governor's Task Force on Higher Education, the Arizona Partnership for a New Economy, and the ABOR guidelines. This initiative will: 1. Address the teacher shortage: emphases on alternative certification and preparation of mathematics and science teachers 2. Provide engineers with advanced training to support business and industry 3. Increase the number of advance-trained nurses/other health professionals to maintain quality of life 4. Educate information technology professionals to serve the new economy needs of the state 5. Prepare postbaccalaureate business/non-profit managers to be leaders in existing/new businesses 6. Build the support infrastructure for future development of degree/certificates responsive to the needs of the new economy
FY 2002 GOALS/OBJECTIVES
1. Organize and develop programs in education, health professions, and business 2. Develop support infrastructure for students enrolled in programs away from the Flagstaff campus
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
ACCESS/WORKFORCE DEVELOPMENT
FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006
PERFORMANCE MEASURES/DELIVERABLES Return on Investment
1. Grants/contracts proposed
REV EST
$150,000 0 0
$100,000 1
$150,000 2
$150,000 2
$200,000 4
Technology Transfer
2. Courses/modules sold/brokered
Economic Development
3. Companies identifying NAU as reason for relocating or expanding in AZ 1 0 1 1 2 2
Work Force Contributions
4. Potential new students served -New teachers -Nurses/health professionals -Engineers with advanced training -Business/non-profit managers Specific Curriculum Innovations 5. Degree/certificate programs Statewide access (rural and urban) 6. 7. Regional/national global access 8. New/revised courses 275 120 21 50 11 yes yes 54 (39/15) 13 3 30 2 250 120 20 44 11 yes yes 75 14 3 30 2 450 200 20 50 12 545 200 20 60 15 545 200 30 70 18 545 200 30 80 25
80 15 3 30 4
100 15 3 30 4
100 15 3 30 5
100 15 3 30 5
Partnerships 9. Community college partners 10. Tri-University (ASU, NAU, UofA) 11. K-12 partners (schools/districts)
12. Industry partnerships
FY 2002 RESULTS AND ACCOMPLISHMENTS
NAU has been enormously successful with this initiative: I. Programs A. Education 1. Alternative Teacher Certification - three 'cohorts' (20-25 students each) established. Two of these cohorts consist of working adults who want to change careers, and one is filled with teachers currently holding an emergency certification. 2. Master of Education in Educational Technology -- existing program expanded by 60% -- 110 new students involved in this all-web program to learn to teach effectively with and about technology. 3. English as a Second Language Endorsement -- existing program expanded by nearly 100% -- 78 new students involved in this program to enable teachers to help students for whom Englis is not their native language to learn effectively. Program is being converted to web. 4. Substitute Teacher certification -- planning and marketing of this program to enable substitute teachers to become more effective. 5. Science/Math education -- web-delivered mini-courses designed to allow current teachers to acquire certification for teaching math and science. Two Physics and two Biology courses bein field-tested.
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
ACCESS/WORKFORCE DEVELOPMENT
B. Health Professions 1. Accelerated Bachelor of Science in Nursing; Registered-Nurse to Bachelor of Science in Nursing program. 30 students enrolled in these programs to help address Arizona's nursing shortage. Entire curriculum except for clinical experiences can be delivered on-line. 2. Bachelor of Science in Dental Hygiene -- Program expanded from 11 to 57 students. Two new courses created; four revised. 3. Bachelor of Applied Science in Health Promotion -- 44 students enrolled in this new program. 6 courses developed or revised for web delivery. C. Business 1. Master of Science in Management -- Program more than doubled in size to 60 students. Allows students to obtain basic grounding in business courses while specializing in nontraditional areas such as Public Service management. 6 courses developed or revised for web presentation. 2. Bachelor of Applied Science in Computer Technology -- Program designed as a follow-on to community college degree in Computer Technology. Main focus has been on establishing articulation agreements with community colleges. 11 students admitted to program. II. Infrastructure A. Student Services -- toll-free phone and web access for students. Advisors hired to work with students at a distance. On-site assistance available at 31 offices around the state. B. Technical infrastructure -- Internet bandwidth doubled to meet high-bandwidth demands of students. Internet 2 connectivity added to support national exchange of instructional and researc data. Modem pools added in rural areas to better serve students. Citrix server installed to enable complex software to be accessed by students with access to limited computer power. C. Faculty support -- 70+ web courses developed and taught each semester with a combination of Prop 301 and Distributed Learning Services stipends. D. Multi-purpose, multi-media marketing materials developed. Evaluation of most effective sources continuing.
UNIVERSITY OF ARIZONA
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ACCESS TO HIGHER EDUCATION
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$1,000,000
$969,239
$1,000,000
$1,000,000
$1,000,000
$1,000,000
$
509,000 99,255 391,745 1,000,000
$
6,870 1,381 27,730 35,981
$
648,900 126,500 224,600 1,000,000
$
681,300 132,900 185,800 1,000,000
$
767,500 149,700 82,800 1,000,000
$
805,900 157,200 36,900 1,000,000
$ 1,000,000 $
35,981
$ 1,000,000
$ 1,000,000
$ 1,000,000
$ 1,000,000
INITIATIVE OVERVIEW
The goal of this initiative is to increase the overall educational level of the state of Arizona by making higher education more accessible to those facing barriers of time, place, disability, culture, career, family obligation, or other circumstances. Recognizing that access is a complex mix of availability, affordability, and applicability, this initiative funds diverse development activities that divide broadly into content projects (course and program development by academic departments assisted by expert technical staff) and infrastructure projects (improved connectivity, improved capacity for content delivery, etc.). Most of the work funded through this initiative will be structured as projects of fixed duration rather than as ongoing research programs. Four projects have been approved to date: 1. Establishment of a Distance Learning Support Team within the Faculty Center for Instructional Innovation 2. Creation of an online Nursing PhD program, funded temporarily as a supplement to a grant from Arizona Regents University 3. Creation within the University Libraries of advanced document delivery capability to serve students enrolled in online courses 4. Creation of a high-speed Internet connection between UA Main and the UA South/Sierra Vista service area
FY 2002 GOALS/OBJECTIVES
As originally envisioned, the first year's objectives would have emphasized infrastructure and other foundations (projects 1 and 4 above), with subsequent years emphasizing academic program content development (such as project 2). Major objectives included establishment of a technical support team to assist in the development of online courses and programs and the implementation of a high-speed link to Sierra Vista for delivery of high-bandwidth educational content. Delay in the implementation of the high-speed link led to some changes in the timing of projects, permitting earlier investment in academic program development. Significant anticipated savings on the revised plan for the link allowed consideration of an additional infrastructure project aimed at supporting distance courses with electronic document delivery from the University Libraries. Other infrastructure projects (involving increased capacity for online course production) have been considered by the Steering Committee, generally in conjunction with the requirements of particular academic programs.
UNIVERSITY OF ARIZONA
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ACCESS TO HIGHER EDUCATION
FY 2002
FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006
PERFORMANCE MEASURES/DELIVERABLES
1. Increased capacity to deliver courses 2. New programs brought online 3. New enrollments
REV EST
DS-3 line(s) leased and installed 2 new/ expanded 20 new
plan under revision 1 new in development NA 2 new programs 40 2 new programs 60 2 new programs 80 2 new programs 100
FY 2002 RESULTS AND ACCOMPLISHMENTS
1. Distance Learning Support Team--established and partially staffed. -- Management structure defined and advisory groups enlisted -- Positions (5 FTE) approved for FY 2002 filled; hires pending for additional positions (4 FTE) -- Office and production space for Team assigned within Faculty Center for Instructional Innovation -- Active collaboration underway with Nursing faculty, including significant assistance with planning and training -- Active collaboration underway with interdisciplinary faculty group, including significant assistance in securing NSF grant for Science and Technology Center and significant commitment to instructional materials development 2. Academic programs--online Nursing PhD in development. -- Curriculum planned and approved by College -- Nursing faculty actively developing first-year courses 3. High-speed link to Sierra Vista--plan still evolving. 4. Library Services for Distance Learning--setting up. -- Staff positions defined -- Hardware and software specifications developed -- Products most suitable to purposes selected
UNIVERSITY OF ARIZONA
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS WORKFORCE: MATH & SCIENCE TEACHER PREPARATION
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$
800,000
$
775,391
$
800,000
$
800,000
$
800,000
$
800,000
$
259,000 50,554 490,446 800,000
$
275,689 48,319 294,273 618,281
$
260,100 50,700 489,200 800,000
$
273,200 53,300 473,500 800,000
$
286,900 55,900 457,200 800,000
$
301,200 58,700 440,100 800,000
$ 800,000 $
618,281 $
800,000 $
800,000 $
800,000 $
800,000
INITIATIVE OVERVIEW
* * * * To address critical shortages in the state for math, science, and agricultural science teachers from elementary through secondary education levels. To educate and train over 100 new secondary school math and science teachers. To educate and train 150 new elementary school math and science teachers. To educate and train over 40 new agricultural science teachers.
FY 2002 GOALS/OBJECTIVES
The Teach for Tucson program focuses on the recruitment and training of individuals with demonstrated interest and academic abilities in science and mathematics who desire to become teachers in grades four through eight. A cohort of 30 students completes a year-long Masters degree while also gaining teacher certification. Eight partner school districts participate in the selection of these candidates and support their training through internship experiences in their schools. Currently, 150 high school and community college students have received information on opportunities to become Agricultural Science Teachers. This campaign continues to include both initial visits/presentations and then personalized follow-up contacts with the most interested students. Twenty-seven Spring 2002 scholarship applications were collected on November 15. The average allocation was approximately $741. The application was posted on the department website providing greater access to students. Activities in math/science teacher preparation can be broadly described in 3 categories: (1) providing an experienced, master teacher to work with the beginning teachers who have completed the College of Science Teacher Preparation Program, (2) support of high quality field-based experiences for preservice science teachers (building a community of teacher preparation partners that includes practicing science teachers as well as university faculty members who teach the preservice teachers in courses at the university), and (3) recruitment of science majors into precollege science teaching (ten scholarships will be awarded to academically talented science majors who are interested in pursuing teacher certification through enrollment in courses in the CoS TPP).
UNIVERSITY OF ARIZONA
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS WORKFORCE: MATH & SCIENCE TEACHER PREPARATION
FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006
PERFORMANCE MEASURES/DELIVERABLES
1. 2. 3. 4. Completers of Secondary Science Teacher Prep Completers of Secondary Math Teacher Prep Completers of Elementary Math/Science Teacher Prep Completers of Agricultural Science Teacher Prep Curriculum Innovations 5. Science Prep Course Development in College of Science Specific Collaborations 6. Collab. Between Colleges of Ed, Sci, and Agric&Life Sci
REV EST
11 3 30 5
1 29
7 3 30 5
12 3 30 10
20 5 30 10
25 5 30 10
FY 2002 RESULTS AND ACCOMPLISHMENTS
Significant progress was made in all areas toward increasing the number of math and science and agricultural science teachers in the K-12 system. For example, Elementary Math/Science Teacher Preparation: over 80 applicants for 30 positions involved eight collaborating school districts in the Tucson area applicants brought in an average of over 37 math and science credits applicant ages ranged from 24 to 55 years Secondary Science Teacher Preparation worked collaboratively with Pima Community College to offer their 200-level science teacher preparation course at Pima. Although Secondary Science Teacher Preparation completers were below projections, the new program is actively recruiting new students and expects to recover substantially this year. The Center for Recruitment and Retention of Mathematics Teachers (CRRMT): Tutoring Project involved 15 students in Fall and 28 new students plus 10 returning students in Spring for 15 mathematics teachers in the city. The CRRMT also supported an Induction Program for new Mathematics teachers, working in FY 2002 with 15 first- and second-year middle and high school mathematics teachers. Agricultural Education: included both initial visits/presentations and personalized follow-up with interested students; several presentations were made at State FFA Leadership Conferences and Camps. involved 37 scholarships to students, 12 new to the program. involves internships with agricultural science teachers statewide for high school students. Currently, six high school students have been accepted for internships. Science Preparation Course Development: the entire Secondary Science program is being developed, with an emphasis on assessment Collaborations between Colleges of Education, Science, and Agriculture and Life Sciences: the entire project is managed by a team of faculty and associate deans from the Colleges of Education, Science, and Agriculture and Life Sciences, who work together on all policy, budget, and operational issues. This TRIF initiative is one of the strongest collaborations that exists between these Colleges.
ARIZONA STATE UNIVERSITY MAIN
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
MANUFACTURING
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
Note: FY 2002 expenditures include encumbrances at 6/30/02.
$
479,200
$
464,400
$
500,400
$
522,800
$
813,600
$ 1,210,000
$
341,000 68,300 69,900 479,200
$
99,700 9,900 23,600 133,200
$
375,900 69,500 55,000 500,400
$
394,800 73,000 55,000 522,800
$
610,600 113,000 90,000 813,600
$
907,200 167,800 135,000 1,210,000
$ 479,200 $
133,200 $
500,400 $
522,800 $
813,600
$ 1,210,000
INITIATIVE OVERVIEW Activities in the Manufacturing Research initiative include:
Developing the High Technology Manufacturing Supply Networks research agenda through collaboration with several academic institutions and industry partners. Identifying and working with industry partners to develop a roadmap to guide further High Technology Manufacturing Supply Networks research activities. Conducting funded basic research in Semiconductor Manufacturing Operations. Projects undertaken as part of the Manufacturing Research initiative began with the semiconductor industry as the research focus. The complexity of the semiconductor industry and its strategic importance to the Arizona economy will serve as a valuable first test of manufacturing research at ASU. Future plans include extending initiative research to other manufacturing sectors.
FY 2002 GOALS/OBJECTIVES
FY 2002 goals and objectives included: Submit major research proposal to the National Science Foundation (NSF) to support basic research in Semiconductor Manufacturing Operations. Create research road map for High Technology Manufacturing Supply Networks. Identify and generate external research funds. Create a needs assessment and requirements definition document describing the needs in the undergraduate and graduate curriculum in Manufacturing. Establish internships for ten undergraduate and graduate students in high technology manufacturing firms. Establish a test bed, including software and hardware, for a laboratory in High Technology Manufacturing Supply Network research.
ARIZONA STATE UNIVERSITY MAIN
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
MANUFACTURING
FY 2002 FY 2002 ACTUAL FY 2003 PROJECTED FY 2004 PROJECTED FY 2005 PROJECTED FY 2006 PROJECTED
PERFORMANCE MEASURES/DELIVERABLES Return on Investment
1. Submit proposal to NSF for basic research in Semiconductor Mfg Operations 2. External funds generated 3. Develop five-year research prospectus to submit to private funding sources 4. Submit proposal to NSF to create Manufacturing Research Center
REVISED EST
X $1.0M
X $550K $1.2M X X $1.4M $1.8M $2.0M
Technology Transfer
5. Industry/University test bed established for laboratory in high technology mfg supply network research 6. Form industry/university nationwide research consortium 7. Create research road map in collaboration with industry 8. Invention disclosures 9. Patent applications(a) (a) 10. Patents (a ) 11. Startup companies
(a)
X X
In progress X In progress
12. Undergraduate and graduate students enrolled in new internship programs in high technology manufacturing firms 13. Multi-college certificate program in Manufacturing at undergraduate and graduate levels 14. New MS degree program in High Technology Manufacturing Supply Networks
(a)
Workforce Development
10
0
10
10
10
10
Specific Curriculum Innovations
X X
The individual measures for invention disclosures, patent applications, patents, and startup companies are aggregated for the Biosciences/Biotechnology, Information Science, Manufacturing, and Materials initiatives and reported in the Technology Transfer initiative.
FY 2002 RESULTS AND ACCOMPLISHMENTS
Results and accomplishments for FY 2002 include: The Manufacturing initiative provided research project funding for faculty and graduate students from the College of Business and the College of Engineering and Applied Sciences. One of the projects is an ongoing project with Intel for modeling and analysis of semiconductor manufacturing supply networks. Intel committed $150,000 in matching funds. Semiconductor Research Corporation (SRC) granted a total of $338,000, with $108,000 in the first year, and NSF granted $300,000. The initiative purchased hardware to establish a test bed for a laboratory in High Technology Manufacturing Supply Network research. We are still in discussions with Oracle regarding the startup of the test bed, and Motorola for access to the SAP software necessary for the project. A research agenda and road map for High Technology Manufacturing Supply Networks is in development. We expect to complete this activity by August 2002 and will include a plan for specific research projects with faculty, student, and industry resources identified and committed. The initiative provided eight research assistantships in FY 2002. The downturn in the economy has delayed the start of the internship programs projected for FY 2002. We are continuing our discussions with Amkor, Avnet, Intel, Motorola, and others to create the manufacturing internships. The initiative hired a post-doctoral student to conduct research. Approximately 17 faculty members and 10 graduate students were identified to support recently submitted proposals. We also hired a senior research associate to assist with the research projects. We have initiated discussions with ASU East and Lean Aerospace Initiative Education Network (LAIEN) to create a needs assessment of requirements for the undergraduate and graduate curriculum in Manufacturing.
ARIZONA STATE UNIVERSITY MAIN
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
ADVANCED MATERIALS FOR THE NEW ECONOMY
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
Note: FY 2002 expenditures include encumbrances at 6/30/02.
$ 1,512,900
$ 1,466,400
$ 1,538,900
$ 1,571,000
$ 5,040,700
$ 5,412,700
$
155,000 42,100 1,315,800 1,512,900
$
115,400 19,200 1,107,700 1,242,300
$
619,300 114,600 805,000 1,538,900
$
844,700 156,300 570,000 1,571,000
$ 1,573,200 291,000 3,176,500 5,040,700
$ 1,992,200 368,600 3,051,900 5,412,700
$ 1,512,900
$ 1,242,300
$ 1,538,900
$ 1,571,000
$ 5,040,700
$ 5,412,700
INITIATIVE OVERVIEW
The Advanced Materials for the New Economy (Materials) Initiative (with linkages to the Biotechnology and Information Technology initiatives) will accelerate ASU's participation in the nanotechnology research areas, leading to advances in microscale and nanoscale systems. The Materials Initiative builds on substantial existing strengths in nanoelectronics and emerging strengths in nanoscience and technology, and new materials such as wide bandgap semiconductors. Specifically, ASU will integrate research in physical, molecular, materials, and biological sciences with engineering to produce revolutionary nanoengineered devices including, for example, molecular electronics-based sensors and nanomagnetic memory devices. The initiative will integrate basic research and engineering in nanotechnology and advanced materials into new micro and nanoscale system concepts. Examples include novel microelectronic (low power, high power, high temperature, and/or high frequency), microfluidic, and biodevices integrated into microsystems for high value added applications in the health care, threat detection, transportation, processing, and manufacturing industries. ASU faculty make significant contributions in the materials arena, with an extensive, actively funded research portfolio totaling over $40,000,000 in external awards. The initiative also fits well with ASU's growing reputation in outreach and teacher education in science, math and engineering. We have also established strong connections with major industrial companies and national laboratories, including Motorola, for example, where ASU leads a joint National Science Foundation (NSF) grant on nanoscale sensing and is a large subcontractor on a Defense Advanced Research Project Agency (DARPA) contract aimed at developing DNA analysis on a microchip. Other partnerships currently in place include Sandia National Laboratories, where ASU has established a new Memorandum of Understanding (MOU) and numerous joint projects, Kodak, Lockheed Martin, Lawrence Semiconductor, and Molecular Imaging.
FY 2002 GOALS/OBJECTIVES
Significantly expand our external funding in the areas of nanotechnology and wide bandgap semiconductors. With Proposition 301 funding, conceptualize, design, fabricate and test new nanosystems for high value added applications and transfer these new technologies to the commercial sector. Simultaneously engage science and engineering students in next generation nanotechnology and materials research. Such research will create graduates with a hands-on education in economic and technological growth areas, enabling them to make valuable contributions as highly skilled members of the New Economy workforce. Provide state-of-the-art equipment and equipment upgrades for joint use interdisciplinary facilities at ASU. Create a staff infrastructure for new and upgraded joint use facilities. Attract $3,000,000 in external funding awards in specific initiative areas. Bring 10 new graduate students into the pipeline in the initiative programs, provide 12 undergraduates with research experience, and establish three new external partnerships. Hire at least one new interdisciplinary faculty member to advance Materials objectives. Enhance interdisciplinary collaborative research in nanotechnology and advanced materials between departments and across colleges.
ARIZONA STATE UNIVERSITY MAIN
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
ADVANCED MATERIALS FOR THE NEW ECONOMY
FY 2002 FY 2002 ACTUAL FY 2003 PROJECTED FY 2004 PROJECTED FY 2005 PROJECTED FY 2006 PROJECTED
PERFORMANCE MEASURES/DELIVERABLES Return on Investment
1. Total external funding: new awards 2. External funding: new federal awards External funding: new industrial contracts and donations 3.
REVISED EST
$3.15M $2.85M $0.30M
$7.26M $6.86M $0.40M
$3.7M $2.5M $1.2M
$4.4M $3.0M $1.4M
$7.0M $5.0M $2.0M
$8.5M $6.0M $2.5M
Technology Transfer
4. 5. 6. 7. Invention disclosures Patent applications(a) Patents(a) (a) Startup companies
(a)
Workforce Contributions
8. New graduate students in pipeline 9. Graduate students earning degrees and entering workforce 10. Undergraduate students with research experience 10 12 3 13 28 3 15 2 10 2 20 8 12 3 25 12 15 3 25 15 20 3
Partnerships
11. New research collaborations with industry and national laboratories
(a)
The individual measures for invention disclosures, patent applications, patents, and startup companies are aggregated for the Biosciences/Biotechnology, Information Science, Manufacturing, and Materials initiatives and reported in the Technology Transfer initiative.
FY 2002 RESULTS AND ACCOMPLISHMENTS
The Materials Initiative significantly exceeded the FY 2002 goal for external awards for new interdisciplinary funding, particularly in the nanotechnology thrust area. We also received a major new five-year workforce development grant, an NSF Integrative Graduate Education and Research Traineeship (IGERT) grant, that emphasizes interdisciplinary training and links nanotechnology and biomolecular research. Three new partnerships with Sandia National Labs, Motorola, and Lockheed Martin also helped to build our focus in nanotechnology and related applications in biotechnology. We made excellent progress in further strengthening ASU's interdisciplinary joint use facilities for nanoscience with a new electron beam lithography system, and for advanced materials/microsystems with two new high density plasma deep etch systems. We achieved this progress by leveraging the Proposition 301 funds with equipment grants, by adding two process engineers, and by linking the new bio/nano IGERT education program to the clean room processing facility for biodevices. A summary of major accomplishments include: Hired a senior computational materials faculty member. Three new interdisciplinary faculty searches underway in interfacial chemistry, nanoceramics, and microelectromechanical systems (MEMS). Over $7,000,000 in external grants. NSF group nanotech industrial partnership grant with Motorola and a subcontract on DARPA grant with Lockheed Martin in nano bio detection. Three new postdoc seed grants funded for interdisciplinary research initiatives. One new startup company formed - SJT Micropower Inc. MOU with Sandia National Labs signed which includes Sandia participation in three major interdisciplinary grant proposals, two new graduate student fellowships, and six new joint research projects. Two new process engineers hired in support of the Center for Solid State Electronics Research (CSSER) fabrication facility, and one support staff hired in support of Center for Solid State Science (CSSS) scanning probes facility to enhance shared interdisciplinary efforts. Won prestigious NSF IGERT grant for nanobiotechnology.
ARIZONA STATE UNIVERSITY MAIN
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
TECHNOLOGY TRANSFER
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
Note: FY 2002 expenditures include encumbrances at 6/30/02.
$
500,000
$
484,600
$
500,000
$
500,000
$
500,000
$
500,000
$
38,600 8,000 453,400 500,000
$
59,000 9,500 267,200 335,700
$
206,000 38,100 255,900 500,000
$
216,300 40,000 243,700 500,000
$
227,100 42,000 230,900 500,000
$
238,400 44,100 217,500 500,000
$ 500,000 $
335,700 $
500,000 $
500,000 $
500,000 $
500,000
INITIATIVE OVERVIEW
The Technology Transfer Initiative will help to further develop an integrated technology transfer program at ASU by focusing on technology marketing, licensing, and business development planning. The initiative contains several components that provide an integrated approach to enhancing technology transfer and local economic development. Arizona's business and governmental leaders increasingly recognize the importance of building a more diverse, knowledge-based economy. The ASU Technology Transfer effort plays an important role in helping to achieve this goal and continues to expand the scope and impact of its technology transfer program. Faculty want to participate in the business opportunities associated with the inventions they create, with ASU and the commercial sector becoming more heavily involved in these new business opportunities and the resulting growth in economic development.
FY 2002 GOALS/OBJECTIVES
FY 2002 goals and objectives included: Encourage more awareness and invention disclosure activity from ASU researchers. Increase evaluation of new discoveries for technical viability and commercial potential. Invest in the development of selected new inventions that have commercial potential. Assist ASU startup companies in creating business plans for the commercialization of their inventions. Educate Arizona's private sector and investment community about technology transfer opportunities at ASU. Create a campus climate that fosters entrepreneurship. Employ a team of expert consultants to help assess and evaluate ASU technologies, establish market leads, and create business plans for commercializing innovations and technology. Fund proof of concept grants and further develop early stage university technologies. Further promote our technology marketing efforts by establishing an enhanced "electronic forum" for the promotion of technology transfer at ASU. Provide more comprehensive business development services to ASU inventors. Increase outreach activities to the business and economic development communities.
ARIZONA STATE UNIVERSITY MAIN
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
TECHNOLOGY TRANSFER
FY 2002 FY 2002 ACTUAL FY 2003 PROJECTED FY 2004 PROJECTED FY 2005 PROJECTED FY 2006 PROJECTED
PERFORMANCE MEASURES/DELIVERABLES Return on Investment
1. Value of startups to ASU 2. Products in marketplace 3. Value of products to ASU
REVISED EST
$60K 2 $120K 15 22 3 2 5 2 5 2
$51K 5 $421K 97 108 11 3 6 2 1 9
$120K 3 $420K 27 8 2 1 5 3 10 3
$240K 4 $780K 36 12 3 2 5 4 15 4
$360K 5 $1,200K 48 16 4 2 5 5 20 5
$540K 6 $1,740K 60 20 5 3 5 6 25 6
Technology Transfer
4. 5. 6. 7. 8. 9. 10. 11. Invention disclosures Patent applications Patents Startup companies Fund proof of concept grants to faculty Business plans written Technology transfer portal inquiries from industry Licenses/options signed (technologies adopted by industry)
FY 2002 RESULTS AND ACCOMPLISHMENTS
Contracted with technology commercialization firm to help assess technologies and improve business development and legal decisions. Established relationships between ASU and the Arizona investment community. Thirty-seven investors attended individual conferences and 20 attended group sessions. Formed partnerships with the College of Business: High Tech MBA Partnership that integrates ASU technologies as the subject of student team projects that includes the development of a business plan. Master's Consulting Group contracts with the Office of Technology Collaborations and Licensing (OTCL) for market research services. Funded six proof of concept grants in science and engineering to help advance technologies that have potential for licensees and investors in commercial development. Five of the six awards were for the Proposition 301-related areas of Bioscience/Biotechnology, Advanced Materials for the New Economy, Information Science, and Manufacturing Established mentoring relationships for proof of concept principal investigators with local entrepreneurs and venture capitalists. Identified and coordinated activity with ASU entrepreneurial student groups. Enhanced outreach efforts with entrepreneurs, industry associations, economic development professionals, and service providers, including focus group discussions on the formation of the ASU Research and Technology Foundation. Our outreach efforts included 150 individual discussions and 190 attendees at conferences and group meetings. Established alliances with Arizona entrepreneurial groups, including The Indus Entrepreneur (TiE) and the Arizona Venture Capital Conference (AVCC). Designed and hosted entrepreneurial education workshops in conjunction with TiE and AVCC to educate and encourage interaction between the ASU and the entrepreneurial communities. Increased technology marketing efforts and provided a wide range of business development services to ASU entrepreneurs. Joined the Columbia-led International Innovation Initiative, a consortium of select academic institutions that bundles individual related technologies for marketing to industry. Enhanced ASU's visibility in web-based online technology marketing and licensing services through a contract with the Patent and License Exchange (PLX).
ARIZONA STATE UNIVERSITY MAIN
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
ASSESSMENT - MORRISON INSTITUTE
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
Note: FY 2002 expenditures include encumbrances at 6/30/02.
$
100,000
$
100,000
$
76,200 23,800 100,000
$
55,000 12,200 67,200 -
$ 100,000 $
67,200 $
$
$
$
-
INITIATIVE OVERVIEW
The Morrison Institute is creating an annual assessment framework for the ASU Proposition 301 initiatives consistent with the ABOR-approved goals and objectives. The assessment will include research on "best practices" regarding similar technology/research project evaluations and the economic impact resulting from Proposition 301 activity.
FY 2002 OBJECTIVES
The FY 2002 objectives include: Identify best assessment practices research and designs which are relevant to Proposition 301 initiative goals and projects. Develop assessment criteria for ASU initiatives. Develop assessment report outline for aggregate ASU initiatives. Create a basic "context" document for each ASU initiative that relates initiative activities to economic scope.
ARIZONA STATE UNIVERSITY EAST
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
CAMPUS CAPITAL INFRASTRUCTURE DEVELOPMENT
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs - Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$ 1,400,000
$ 1,400,000
$ 2,000,000
$ 2,300,000
$ 2,300,000
$ 2,300,000
-
-
-
-
-
-
$ 1,400,000 1,400,000 $ 1,400,000 $
-
$ 2,000,000 2,000,000 $ 2,000,000
$ 2,300,000 2,300,000 $ 2,300,000
$ 2,300,000 2,300,000 $ 2,300,000
$ 2,300,000 2,300,000 $ 2,300,000
INITIATIVE OVERVIEW
The ASU East Proposition 301 initiative funds $27.5 million of Certificates of Participation (COPs) for infrastructure development, including multiple building renovations, campus infrastructure improvements, a new flightline facility for Aeronautical Management Technology flight programs, and a new campus student union. The building renovations will prepare academic space, including classrooms, faculty and staff offices, and student support services to meet anticipated growth. The infrastructure improvements continue the transition of the former Williams Air Force Base to an attractive university campus. The major projects include campus street and roadway improvements; new campus malls; lighting and emergency telephones; a new master irrigation system; and campus landscape improvements.
FY 2002 PROGRESS
The COPs were issued in June 2002 with the first payment due in December 2002.
ARIZONA STATE UNIVERSITY WEST
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
CLASSROOM LABORATORY / COMPUTER CLASSROOM II BUILDING AND CENTRAL PLANT EXPANSION
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs - Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$ 1,100,000
$ 1,100,000
$ 1,600,000
$ 1,800,000
$ 1,800,000
$ 1,800,000
-
-
-
-
-
-
$ 1,100,000 1,100,000 $ 1,100,000
$
-
$ 1,600,000 1,600,000 $ 1,600,000
$ 1,800,000 1,800,000 $ 1,800,000
$ 1,800,000 1,800,000 $ 1,800,000
$ 1,800,000 1,800,000 $ 1,800,000
$
INITIATIVE OVERVIEW
The ASU West Proposition 301 initiative funds $21.6 million of Certificates of Participation (COPs) for two projects, a 104,400 gross square foot (GSF) Classroom Laboratory/Computer Classroom Building (CLCC II) and a Central Plant expansion. The CLCC II building includes approximately 42,000 net assignable square footage (NASF) of instructional space with a 150-seat lecture hall, two 80-seat classrooms, ten 60-seat classrooms, two 40-seat computer classrooms, five science labs, and one computer lab. The Central Plant expansion will add 4,800 GSF for a new 1,000 ton chiller, a thermal storage tank, and utility line extensions required to service the CLCC II building.
FY 2002 PROGRESS
The COPs were issued in June 2002 with the first payment due in December 2002.
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
ENVIRONMENTAL RESEARCH, DEVELOPMENT AND EDUCATION FOR THE NEW ECONOMY (ERDENE)
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$ 1,500,000
$ 1,453,858
$ 1,560,000
$ 2,340,000
$ 3,000,000
$ 3,300,000
$ 1,082,379 211,064 206,557 1,500,000
$
911,770 150,455 212,735 1,274,960
$ 1,044,456 203,669 311,875 1,560,000
$ 1,096,679 213,852 229,469 1,540,000
$ 1,526,063 297,582 236,355 2,060,000
$ 1,644,866 320,749 394,385 2,360,000
$ 1,500,000
$ 1,274,960
$ 1,560,000
800,000 800,000 $ 2,340,000
940,000 940,000 $ 3,000,000
940,000 940,000 $ 3,300,000
INITIATIVE OVERVIEW
Throughout its history, Arizona's economy has been closely linked to the state's environment and natural resources. Rich mineral resources, a healthful climate, and wondrous landscapes have stimulated economic enterprises in our cities and from Yuma to Page. Development of higher education in Arizona has influenced, and been influenced by, these incredible resources. Leading academic programs in astronomy, forest science, hydrology, materials science, hospitality management, environmental engineering and technology, and others are directly related to the state's resources and economy. Research by The Morrison Institute and others demonstrates the importance of "quality of life" when business leaders choose where to invest, where to locate, and where to expand. Environmental Research, Development and Educatio for the New Economy (ERDENE), managed by the Center for Sustainable Environments, builds on Northern Arizona University's leadership, expertise, and collaborations in environmental and natural resources science, technology, and management. It is designed to accelerate Arizona's environmental business enterprises, to better understand and manage our critical resources, and to prepare Arizona's workforce for the many opportunities these represent. Some benefits to the citizens of Arizona include: - Ecological restoration projects such as developing solutions to the threat of catastrophic fires at the wildland/urban interface - Leveraging additional resources from private, state, and federal sources - New Economy business start-ups - Economic development assistance to local governments in natural resource management - Assisting existing business and local government through workforce training and development in environmental themes and skills - A state-of-the-art environmental research and development facility - Development of new courses and certificates in ecological restoration, conservation, and environmental sciences and engineering - Preparation of baccalaureate, master, and doctoral students in the environmental professions
FY 2002 GOALS/OBJECTIVES
1. Organize and staff projects 2. Build on existing partnerships with business, education, government, and tribal entities 3. Develop new credit-bearing and workshop-type courses
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
ENVIRONMENTAL RESEARCH, DEVELOPMENT AND EDUCATION FOR THE NEW ECONOMY (ERDENE)
FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006
PERFORMANCE MEASURES/DELIVERABLES Return on Investment
1. Leveraged federal and state funds 2. Leveraged industrial funds 3. Leveraged other funds (private, etc.) 4. Other returns (presentations and publications)
REV EST
$4,500,000 $65,000 $183,300 10 0
$5,525,000 $366,000 $642,000 121
$4,275,000 $100,000 $200,000 120
$4,275,000 $100,000 $200,000 120
$5,699,000 $133,000 $267,000 130
$6,508,000 $152,000 $304,000 135
Technology Transfer
5. Products generated and in the marketplace 6. Business spin-offs 7. Patent applications generated 8. Conferences sponsored 9. Business expansions 0 2 35 23 0 1 1 14 2 56 38 0 26 85 5 5 5 2 4 13 8 5 3 10 2 2 4 17 34 20 1 1 15 2 50 33 5 30 85 5 6 7 3 3 18 25 20 1 1 15 3 56 38 5 32 85 6 6 10 3 3 18 30 22 1 1 17 4 60 45 7 35 90 6 8 10 4 4 24 30 25 2 2 18 5 70 50 8 35 100 8 9 13 5 5 27 40 25
Workforce Contributions
10. Graduate/postdoc students in pipeline or graduated 11. High-end baccalaureates in specific disciplines 12. Certificates granted 13. Undergrad students in pipeline 14. Continuing Education professionals
Specific Curriculum Innovations
15. New programs such as Certificates (students) 16. Revised courses 17. New courses
Partnerships
18. Community College 2+2 Programs 19. Tri-University (ASU, NAU, UA) 20. Industry/private sector collaborations 21. Community-based (including tribes) 22. Regional, nat'l, internat'l research and linkages
FY 2002 RESULTS AND ACCOMPLISHMENTS
The importance of these projects to Arizona's economy was highlighted by the tragedy of this summer's Rodeo-Chedeski fire. One of the projects in this initiative focuses on forest health and restoration. Other initiatives resulted in significant leverage funds, business spin-offs, and increased partnerships with government and business entities. Outcomes include: 1. The funds provided to the Ecological Restoration Institute enabled NAU to contribute its share of funds toward securing an $8,000,000 award from the federal government (these funds are not included in the above totals since they were acquired prior to the start of Proposition 301 funding). Another $5,000,000 in grants was attracted through resources available through Proposition 301
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
ENVIRONMENTAL RESEARCH, DEVELOPMENT AND EDUCATION FOR THE NEW ECONOMY (ERDENE)
2. This time-period saw one business expansion (wind-powered resources) and one business locating in Flagstaff (Flagstaff Farmer's Market) due to the support and services available to it through 301 funds, in addition to significant progress on several patentable ventures. 3. Over 20 graduate students received financial support (in exchange for research contributions) through 301 funds. 4. Several new courses were developed and presented, including "Community Genetics," "Renewable Energy Resources," and "Ecological Restoration Policy." 5. Short-courses and workshops were developed and presented to community professionals on topics such as Fire Ecology, Indigenous Mapping, and Food Sustainability. 6. Among the expanded partnerships developed during this period was one with the Babbitt Ranches which will result in mutual cooperation and opportunity with one of the most significant land partners in the state. This project will be supported with 301 funds in FY 2003 7. ERDENE participants sponsored several major conferences and produced several published papers and presentations at conferences. 8. A new certificate, "Conservation Ecology," has been developed.
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
CAPITAL PROJECTS
FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET
REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL
$
300,000
$
290,771
$
48,000 8,880 243,120 300,000
$
30,692 5,482 55,285 91,459
$ 300,000 $
91,459
INITIATIVE OVERVIEW
The major focus of this project is planning for capital projects to be constructed in ensuing years. Debt service for these projects will be funded in full or in part with Proposition 301 collections. The two major projects involved are the construction of an Applied Research Building and a renovation of the 30+ -year-old Biology/Chemistry labs and classrooms. The Applied Research Building will bring together researchers from a variety of sectors in a facility designed to maximize use of environmentally sensitive materials and operations through building techniques and site location. Building occupants may include the Environmental Restoration Institute and partners in the Center for Sustainable Environments, as well as other, primarily environmentally related entities. The renovation of the Biology/Chemistry labs and classrooms will enable NAU to produce graduates with current knowledge and skills in biotechnology as required by the New Economy.
FY 2002 GOALS/OBJECTIVES
This year's focus is on the Applied Research Building. Goals and objectives were: 1. 2. 3. 4. Organize building planning group Select site Select building occupants Begin efforts to secure public or private funding to augment Prop 301 dollars
NORTHERN ARIZONA UNIVERSITY
TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS
CAPITAL PROJECTS
FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006
PERFORMANCE MEASURES/DELIVERABLES Return on Investment
1. Site selection 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. Building occupants defined "Green" consultant hired Charette for building needs held Identification of matching funds Architect hired Board approvals obtained Schematic drawings prepared Preparations made for bond issuance Building construction Planning for Biology/Chemistry renovations Board approvals obtained (Bio/Chem) Building renovations
REV EST
X X X X
X partial X X
FY 2002 RESULTS AND ACCOMPLISHMENTS
Significant progress w
Object Description
| Rating | |
| TITLE | Technology and research initiative fund (TRIF) (proposition 301) annual report |
| CREATOR | Arizona Board of Regents. |
| SUBJECT | Arizona Board of Regents; High technology and education--Arizona; Research--Arizona; Universities and colleges--Arizona; |
| Browse Topic |
Education Science and technology |
| DESCRIPTION | This title contains one or more publications. |
| Language | English; |
| Publisher | Arizona Board of Regents. |
| Material Collection |
Annual Reports State Documents |
| Source Identifier | REG 1.3:T 32/ |
| Location | 49948208 |
| REPOSITORY | Arizona State Library, Archives and Public Records--Law and Research Library. |
Description
| TITLE | Technology and research initiative fund (TRIF) annual report: for the fiscal year ended June 30, 2002, as required by A.R.S. 15-1648(D) |
| DESCRIPTION | 62 pages (PDF version). File size: 2383.887 KB. "September 1, 2002." |
| TYPE | Text |
| Acquisition Note | reports@lib.az.us |
| RIGHTS MANAGEMENT | Copyright to this resource is held by the creating agency and is provided here for educational purposes only. It may not be downloaded, reproduced or distributed in any format without written permission of the creating agency. Any attempt to circumvent the access controls placed on this file is a violation of United States and international copyright laws, and is subject to criminal prosecution. |
| DATE ORIGINAL | 2002-09-01 |
| Time Period | 2000s (2000-2009) |
| ORIGINAL FORMAT | Born Digital |
| Source Identifier | REG 1.3:T 32/2001/2002 |
| DIGITAL IDENTIFIER | TRIF_FY2002.pdf |
| DIGITAL FORMAT | PDF (Portable Document Format) |
| REPOSITORY | Arizona State Library, Archives and Public Records--Law and Research Library. |
| Full Text | TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT ARIZONA UNIVERSITY SYSTEM Arizona State University Northern Arizona University University of Arizona For the fiscal year ended June 30, 2002, as required by A.R.S. 15-1648(D). September 1, 2002 August 30, 2002 Board Members Jack B. Jewett Tucson President Fred T. Boice Tucson Robert B. Bulla Scottsdale Chris Herstam Phoenix Kay McKay Flagstaff Christina Palacios Tucson Gary Stuart Phoenix Donald J. Ulrich, Jr. Paradise Valley The Honorable Jane Dee Hull, Governor of Arizona The Honorable Randall Gnant, President, Arizona State Senate The Honorable Jim Weiers, Speaker, Arizona House of Representatives Arizona State Capitol 1700 West Washington Phoenix, AZ 85007 Dear Governor Hull, President Gnant, and Speaker Weiers: On behalf of the Arizona Board of Regents, Arizona State University, Northern Arizona University, and the University of Arizona, and in accordance with A.R.S.15-1648(D), I am pleased to submit the attached annual report for the Arizona Board of Regents' Technology and Research Initiative Fund (TRIF) for the fiscal year ended June 30, 2002. TRIF is continuously appropriated to the Arizona Board of Regents with Education 2000 (Proposition 301, November 2000) sales tax revenues pursuant to A.R.S. 42-5049(E)(2). As required, ABOR has adopted rules to administer TRIF and has incorporated these rules into Board Policy 3-412. This annual report provides summary and detailed budget and expenditure information on each TRIF initiative. These initiatives are consistent with statutory language calling for TRIF funds to support university research, development, and technology transfer related to the knowledge-based global economy; to expand access to baccalaureate or post-baccalaureate education for time-bound and place-bound students; to implement recommendations of the Governor's Task Force on Higher Education and the Arizona Partnership for the New Economy; and to develop programs that will prepare students to contribute in high technology industries located in Arizona. Almost 70 percent of our FY 2002 TRIF budget supported tri-university initiatives in bioscience/biotechnology, information science and technology, and access and workforce development. These TRIF programs, together with individual initiatives in a variety of other areas, have been designed and implemented to better position Arizona as a major player in the global marketplace. Arizona State University Northern Arizona University University of Arizona Student Regents Matthew Meaker UA Danelle Peterson-Kelling ASU Jane Dee Hull Governor of Arizona Jaime A. Molera Superintendent of Public Instruction Executive Director Linda J. Blessing, Ph.D. 2020 N. Central Ave. Suite 230 Phoenix, AZ 85004 (602) 229-2500 fax (602) 229-2555 www.abor.asu.edu The Honorable Hull, Gnant, and Weiers August 30, 2002 Page Two Please contact me at 602-229-2505 or linda.blessing@asu.edu if I can answer any questions or provide additional information about these important and exciting initiatives. Sincerely, Linda J. Blessing Executive Director c: The Honorable Betsey Bayless, Secretary of State Ms. GladysAnn Wells, Director, Arizona State Library, Archives, and Public Records Members of the Arizona Board of Regents Dr. Michael Crow, President, Arizona State University Dr. John Haeger, President, Northern Arizona University Dr. Peter Likins, President, University of Arizona TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT For the Fiscal Year Ended June 30, 2002 Arizona Board of Regents TABLE OF CONTENTS Executive Summary.......................................................................................................................................ii Arizona University System Summary FY 2002-2006 Budgeted/Actual TRIF Expenditures ...................................................................................1 FY 2002-2006 Budgeted/Actual TRIF Capital Expenditures .......................................................................3 University Summaries Arizona State University..............................................................................................................................5 Northern Arizona University ........................................................................................................................7 University of Arizona ...................................................................................................................................9 Arizona Board of Regents Central Office ..................................................................................................11 Tri-University Initiatives Biosciences/Biotechnology .......................................................................................................................13 [ASU, Pg. 13 NAU, Pg. 15 UA, Pg. 17] [ASU, Pg. 19 NAU, Pg. 21 UA, Pg. 25] [ASU, Pg. 27 NAU, Pg. 29 UA, Pg. 33] Information Science/Information Technology............................................................................................19 Access and Workforce Development ........................................................................................................27 Arizona State University Manufacturing ...........................................................................................................................................37 Advanced Materials for the New Economy ...............................................................................................39 Technology Transfer .................................................................................................................................41 Assessment Morrison Institute ...............................................................................................................43 ASU East Campus Capital Infrastructure Development............................................................................45 ASU West Classroom Laboratory/Computer Classroom II Building and Central Plant Expansion..................................................................................................47 Northern Arizona University Environmental Research, Development, and Education for the New Economy........................................49 Capital Projects.........................................................................................................................................53 University of Arizona Optical Science and Technology in the New Economy.............................................................................55 Water, Economic Development, and Sustainability...................................................................................57 Technology Transfer Infrastructure ...........................................................................................................59 Arizona Board of Regents Central Office Arizona Regents University.......................................................................................................................61 Regents Innovation Fund ..........................................................................................................................63 Appendix Arizona Board of Regents Policy 3-412 i TECHNOLOGY AND RESEARCH INITIATIVE FUND (TRIF) ANNUAL REPORT For the fiscal year ended June 30, 2002 EXECUTIVE SUMMARY Education 2000 (Proposition 301), passed by Arizona voters in November 2000, approved a .6 cent increase in the state sales tax to be dedicated to K-12, the community colleges, and the state's three public universities. Collection of the tax began on June 1, 2001. In March 2001 the Arizona Board of Regents approved a five-year budget plan for FY 20022006 and guidelines for implementation of the budget. In January-February 2002 the Board approved revised FY 2002 budgets and performance measures. A.R.S. 15-1648(D) requires the Board to submit to the Governor and the Legislature by September 1 of each year a report to include "a description of the amount and duration of each new award distributed and a description of the purpose and goals for each award. For existing awards, the Arizona Board of Regents shall use a detailed set of performance measures to determine the overall effectiveness of each award." The lower range of the Board-approved FY 2002 budget was $45,600,000. Total TRIF revenues received during FY 2002 were $44,274,000, resulting in a revenue shortfall in FY 2002 of $1,326,000 (2.91%). [Note: For purposes of this annual report, revenues consist of actual receipts into TRIF for August 2001 through June 2002 plus an estimated amount for July 2002 revenue. An estimate was required to record the June 30, 2002, year end revenue accrual and to prepare this report on a timely basis. Actual TRIF revenues for the 12-month period August 2001 through July 2002 were $44,292,971, a shortfall of $1,307,029 (2.87%) from the budgeted amount.] Total TRIF expenditures in FY 2002 were $23,733,028, 54% of total revenue received. Recognizing the volatility and unpredictability of the TRIF revenue stream, the universities and central office exercised sound budgetary and financial management in the expenditure of TRIF funds throughout FY 2002. The universities were able to expend 54% of the funds by June 30, 2002, even though the start-up time required for these new initiatives has been significant and the first TRIF funds were not available until early September 2001. TRIF Budget Guidelines call for full expenditure of FY 2002 funds by December 31, 2002, and the universities and central office may then request that any unexpended funds be reallocated for the same or different use. Expenditure detail by university and by initiative is presented in this report. ii Detailed performance measures for evaluating individual initiatives were approved by the Board, as required by statute. Performance measures and outcomes have been compiled by each university and the central office for each TRIF initiative and are included in this report. An evaluation system for compiling information on measures and outcomes across multiple initiatives is currently under development and will be included in future annual reports. This report reflects the statutorily required funding for costs of Certificates of Participation (COPs) issued for the lease-purchase of buildings and associated infrastructure at ASU East and ASU West. projects expenditures. In FY 2002, 9.2% of TRIF budgeted expenditures were used for capital projects. This report reflects compliance with the statutory 20% limitation on use of TRIF funds for capital iii ARIZONA UNIVERSITY SYSTEM FY 2002-2006 BUDGETED/ACTUAL TRIF EXPENDITURES (In Millions) 2002 ASU East ASU West Access/Workforce Technology Transfer ASU R&D Total Biotechnology Information Technology Manufacturing Materials 2002 * $1.4 $1.1 $2.6 $0.6 $16.3 $9.0 $4.8 $0.7 $1.8 2002 Revised 2002 Actual Expend. 2003 2003 * 2004 2004 * 2005 2005 * 2006 2006 * $2.0 $1.6 $2.2 $0.5 $12.8 $6.8 $4.0 $0.5 $1.5 $1.4 $1.1 $2.2 $0.5 $13.0 $7.0 $4.0 $0.5 $1.5 $1.4 $1.1 $2.2 $0.5 $12.9 $6.9 $4.0 $0.5 $1.5 $0.0 $0.0 $1.1 $0.3 $6.2 $3.4 $1.5 $0.1 $1.2 $2.0 $1.6 $2.6 $0.6 $16.2 $8.9 $4.8 $0.7 $1.8 $2.3 $1.8 $2.2 $0.5 $13.1 $7.1 $4.0 $0.5 $1.5 $2.3 $1.8 $2.6 $0.6 $16.5 $9.0 $4.8 $0.7 $2.0 $2.3 $1.8 $2.2 $0.5 $14.1 $5.3 $3.0 $0.8 $5.0 $2.3 $1.8 $3.0 $0.8 $17.2 $5.7 $3.8 $1.7 $6.0 $2.3 $1.8 $2.2 $0.5 $15.4 $5.7 $3.1 $1.2 $5.4 $2.3 $1.8 $3.0 $0.8 $18.3 $5.7 $3.8 $2.3 $6.5 Assessment ASU Subtotal Access/Workforce R&D total Biotechnology $0.0 $18.2 $3.9 $4.2 $1.1 $1.4 $1.7 $0.0 $0.0 $22.0 $4.8 $4.9 $1.3 $1.8 $1.8 $0.0 $0.1 $18.2 $3.9 $4.2 $1.0 $1.4 $1.5 $0.3 $0.1 $7.7 $2.1 $2.7 $0.6 $0.7 $1.3 $0.1 $19.1 $4.0 $4.5 $1.4 $1.5 $1.6 $23.0 $4.8 $5.4 $1.7 $1.9 $1.9 $19.9 $3.0 $5.9 $1.8 $1.8 $2.3 $23.8 $3.6 $7.1 $2.2 $2.1 $2.8 $20.9 $2.0 $7.4 $2.1 $2.3 $3.0 $25.1 $2.4 $8.8 $2.5 $2.7 $3.6 $22.2 $2.0 $7.8 $2.2 $2.3 $3.3 $26.2 $2.4 $9.4 $2.7 $2.8 $4.0 NAU Information Tech/E-Learning Environment Capital Projects NAU Subtotal Access/Workforce Technology Transfer R&D total UA Biotechnology Information Technology Optics Water $8.1 $1.8 $0.5 $14.0 $5.0 $4.0 $4.5 $0.5 $9.7 $1.8 $0.5 $17.8 $6.3 $5.3 $5.7 $0.5 $8.1 $1.8 $0.5 $14.0 $5.0 $4.0 $4.5 $0.5 $4.8 $0.7 $0.4 $8.1 $2.9 $2.2 $2.8 $0.2 $8.5 $1.8 $0.6 $14.8 $5.0 $4.3 $5.0 $0.5 $10.2 $1.8 $0.6 $18.7 $6.5 $5.8 $5.9 $0.5 $8.9 $1.8 $0.7 $15.6 $5.0 $4.2 $4.5 $2.0 $10.7 $1.8 $0.7 $19.7 $6.5 $5.8 $4.9 $2.5 $9.4 $1.8 $0.8 $16.6 $6.0 $4.1 $4.2 $2.3 $11.2 $1.8 $0.8 $20.7 $7.0 $6.1 $4.6 $3.0 $9.8 $1.8 $0.8 $17.6 $5.5 $4.4 $4.2 $3.5 $11.8 $1.8 $0.8 $21.8 $6.5 $6.7 $4.6 $4.0 UA Subtotal ABOR ARU Regents Innovation Fund ABOR Subtotal ARU Regents Innovation Fund ASU East ASU West Access/Workforce** Technology Transfer AUS R&D Total Biotechnology** Information Technology** Materials Manufacturing Environment Optics Water Capital Projects $16.3 $2.0 $1.0 $3.0 $2.0 $1.0 $1.4 $1.1 $7.9 $1.0 $31.2 $13.1 $9.4 $1.5 $0.5 $1.7 $4.5 $0.5 $0.0 $20.1 $2.0 $1.0 $3.0 $2.0 $1.0 $1.4 $1.1 $9.2 $1.1 $39.0 $16.6 $11.9 $1.8 $0.7 $1.8 $5.7 $0.5 $0.0 $16.3 $2.0 $1.0 $3.0 $2.0 $1.0 $1.4 $1.1 $7.9 $1.0 $31.1 $12.9 $9.4 $1.5 $0.5 $1.5 $4.5 $0.5 $0.3 $9.2 $1.4 $0.6 $2.0 $1.4 $0.6 $0.0 $0.0 $3.9 $0.7 $17.0 $6.9 $4.4 $1.2 $0.1 $1.3 $2.8 $0.2 $0.1 $17.2 $2.1 $1.0 $3.1 $2.1 $1.0 $2.0 $1.6 $8.0 $1.1 $32.1 $13.2 $9.8 $1.5 $0.5 $1.6 $5.0 $0.5 $21.1 $2.1 $1.0 $3.1 $2.1 $1.0 $2.0 $1.6 $9.2 $1.2 $40.3 $17.1 $12.4 $1.8 $0.7 $1.9 $5.9 $0.5 $18.1 $2.2 $1.0 $3.2 $2.2 $1.0 $2.3 $1.8 $7.0 $1.2 $34.7 $13.9 $10.0 $1.5 $0.5 $2.3 $4.5 $2.0 $22.2 $2.2 $1.0 $3.2 $2.2 $1.0 $2.3 $1.8 $8.0 $1.3 $43.3 $17.7 $12.7 $2.0 $0.7 $2.8 $4.9 $2.5 $19.1 $2.3 $1.0 $3.3 $2.3 $1.0 $2.3 $1.8 $6.0 $1.3 $38.0 $13.4 $9.4 $5.0 $0.8 $3.0 $4.2 $2.3 $23.2 $2.3 $1.0 $3.3 $2.3 $1.0 $2.3 $1.8 $7.2 $1.5 $46.7 $15.2 $12.6 $6.0 $1.7 $3.6 $4.6 $3.0 $20.2 $2.4 $1.0 $3.4 $2.4 $1.0 $2.3 $1.8 $6.0 $1.3 $40.8 $13.4 $9.8 $5.4 $1.2 $3.3 $4.2 $3.5 $24.4 $2.4 $1.0 $3.4 $2.4 $1.0 $2.3 $1.8 $7.2 $1.5 $49.5 $14.9 $13.3 $6.5 $2.3 $4.0 $4.6 $4.0 ASU Assessment Arizona University System Total $0.0 $45.6 $0.0 $54.8 $0.1 $45.6 $0.1 $23.7 $47.9 $57.4 $50.2 $60.0 $52.7 $62.8 $55.6 $65.7 * Reflects an institutional total of approximately 120% of LOWER ESTIMATE tax revenues (with JLBC estimate midway between the upper and lower levels). ** Reflects tri-university budget initiatives (Access and Workforce Development, Biosciences/Biotechnology, and Information Science/Information Technology). ARIZONA UNIVERSITY SYSTEM FY 2002-2006 BUDGETED/ACTUAL TRIF (In Thousands) CAPITAL 2002 Actual Expend. EXPENDITURES 2003 n/a $400 $0 $1,500 $1,000 $500 $0 $0 $0 2002 ASU East/West* Access/Workforce Technology Transfer R&D Total ASU Biotechnology Information Technology Materials Manufacturing 2002 Revised 2004 n/a $400 $0 $1,000 $500 $500 $0 $0 $0 2005 n/a $400 $0 $1,000 $500 $500 $0 $0 $0 2006 n/a $400 $0 $1,000 $500 $500 $0 $0 $0 n/a $400 $0 $1,850 $1,500 $350 $0 $0 $0 n/a $650 $0 $2,263 $2,063 $200 $0 $0 $0 n/a $0 $0 $2,702 $2,702 $0 $0 $0 $0 Assessment Total Capital Capital as % of Total ASU Budget Access/Workforce R&D Total Biotechnology Information Technology/E-Learning Environment Capital Projects $2,250 14.3% $0 $300 $100 $0 $200 $0 $2,913 18.6% $0 $0 $0 $0 $0 $0 $2,702 17.2% $0 $0 $0 $0 $0 $0 $1,900 12.3% $0 $0 $0 $0 $0 $1,400 8.9% $0 $1,860 $1,000 $0 $860 $1,400 8.3% $0 $2,240 $1,300 $0 $940 $1,400 7.7% $0 $2,350 $1,410 $0 $940 NAU Total Capital Capital as % of Total NAU Budget Access/Workforce Technology Transfer R&D Total Biotechnology $300 3.7% $470 $0 $1,000 $0 $0 $1,000 $0 $0 0.0% $0 $0 $1,100 $100 $0 $1,000 $0 $0 0.0% $0 $0 $1,260 $260 $0 $1,000 $0 $0 0.0% $0 $0 $1,000 $0 $0 $1,000 $0 $1,860 20.9% $0 $0 $3,000 $2,000 $0 $1,000 $0 $2,240 23.8% $0 $0 $3,000 $2,000 $0 $1,000 $0 $2,350 24.0% $0 $0 $3,000 $2,000 $0 $1,000 $0 UA Information Technology Optics Water Total Capital Capital as % of Total UA Budget $1,470 9.0% $0 $0 $0 0.0% $870 $0 $3,150 Biotechnology** $1,600 $350 $0 $0 $200 $1,000 $0 $1,100 6.7% $0 $0 $0 0.0% $650 $0 $3,363 $2,163 $200 $0 $0 $0 $1,000 $0 $1,260 7.7% $0 $0 $0 0.0% $0 $0 $3,962 $2,962 $0 $0 $0 $0 $1,000 $0 $1,000 5.8% $0 $0 $0 0.0% $400 $0 $2,500 $1,000 $500 $0 $0 $0 $1,000 $0 $3,000 16.6% $0 $0 $0 0.0% $400 $0 $5,860 $3,500 $500 $0 $0 $860 $1,000 $0 $3,000 15.7% $0 $0 $0 0.0% $400 $0 $6,240 $3,800 $500 $0 $0 $940 $1,000 $0 $3,000 14.9% $0 $0 $0 0.0% $400 $0 $6,350 $3,910 $500 $0 $0 $940 $1,000 $0 ARU Regents Innovation Fund ABOR Total Capital Capital as % of Total ABOR Budget Access/Workforce** Technology Transfer R&D Total AUS Information Technology** Materials Manufacturing Environment Optics Water Capital Projects ASU Assessment Total Arizona University System Capital 20% Limit on Capital Capital as % of Total AUS Budget $0 $0 $4,020 $8,620 9.3% $0 $0 $4,013 $8,620 9.3% $0 $0 $3,962 $8,620 9.2% $0 $2,900 $8,860 6.5% $0 $6,260 $9,220 13.6% $0 $6,640 $0 $6,750 $9,720 $10,300 13.7% 13.1% * Not applicable. TRIF allocations for ASU East and ASU West debt service are allocated by statute. Therefore, these amounts are excluded from calculation of the 20% capital limitation. ** Reflects tri-university budget initiatives (Access and Workforce Development, Biosciences/Biotechnology, and Information Science/Information Technology). ARIZONA STATE UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS SUMMARY FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL Note: FY 2002 expenditures include encumbrances at 6/30/02. $ 18,200,000 $ 17,717,000 $ 19,100,000 $ 20,000,000 $ 21,000,000 $ 22,300,000 $ 3,134,000 658,800 8,993,900 12,786,700 2,913,300 2,500,000 5,413,300 $ 18,200,000 $ 1,492,100 221,700 3,307,300 5,021,100 2,701,500 2,701,500 $ 7,722,600 $ 7,277,800 1,346,400 4,975,800 13,600,000 1,400,000 500,000 3,600,000 5,500,000 $ 19,100,000 $ 8,821,400 1,631,900 4,046,700 14,500,000 400,000 1,000,000 4,100,000 5,500,000 $ 20,000,000 $ 9,342,100 1,728,200 4,429,700 15,500,000 400,000 1,000,000 4,100,000 5,500,000 $ 21,000,000 $ 10,413,100 1,926,400 4,460,500 16,800,000 400,000 1,000,000 4,100,000 5,500,000 $ 22,300,000 SUMMARY BY INITIATIVE ARIZONA STATE UNIVERSITY MAIN Access and Workforce Development Biosciences/Biotechnology Information Science Manufacturing Advanced Materials for the New Economy Technology Transfer Assessment - Morrison Institute Subtotal ASU Main ARIZONA STATE UNIVERSITY EAST ARIZONA STATE UNIVERSITY WEST EXPENDITURES GRAND TOTAL $ 2,200,000 6,876,400 4,031,500 479,200 1,512,900 500,000 100,000 15,700,000 1,400,000 1,100,000 $ 18,200,000 $ 1,050,200 3,406,400 1,487,600 133,200 1,242,300 335,700 67,200 7,722,600 $ 7,722,600 $ 2,200,000 6,781,400 3,979,300 500,400 1,538,900 500,000 15,500,000 2,000,000 1,600,000 $ 19,100,000 $ 2,200,000 7,097,100 4,009,100 522,800 1,571,000 500,000 15,900,000 2,300,000 1,800,000 $ 20,000,000 $ 2,200,000 5,312,300 3,033,400 813,600 5,040,700 500,000 16,900,000 2,300,000 1,800,000 $ 21,000,000 $ 2,200,000 5,728,200 3,149,100 1,210,000 5,412,700 500,000 18,200,000 2,300,000 1,800,000 $ 22,300,000 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS SUMMARY FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ 8,100,000 $ 7,850,833 $ 8,500,000 $ 8,920,000 $ 9,350,000 $ 9,810,000 $ 3,497,879 681,644 3,920,477 8,100,000 $ 3,040,122 622,243 1,078,796 4,741,161 $ 3,767,256 734,569 3,998,175 8,500,000 $ 3,031,290 591,052 3,497,658 7,120,000 $ 3,709,328 720,382 2,680,290 7,110,000 $ 3,881,937 747,549 2,830,514 7,460,000 $ 8,100,000 $ 4,741,161 $ 8,500,000 $ 1,800,000 1,800,000 8,920,000 $ 2,240,000 2,240,000 9,350,000 $ 2,350,000 # 2,350,000 # # 9,810,000 SUMMARY BY INITIATIVE Biosciences/Biotechnology E-Learning Access and Workforce Development ERDENE (Environmental) Capital Projects EXPENDITURES GRAND TOTAL $ 1,000,000 1,400,000 3,900,000 1,500,000 300,000 8,100,000 $ 603,786 679,662 2,091,294 1,274,960 91,459 4,741,161 $ 1,400,000 1,540,000 4,000,000 1,560,000 $ 1,800,000 1,780,000 3,000,000 2,340,000 $ 2,100,000 2,250,000 2,000,000 3,000,000 $ 2,210,000 2,300,000 2,000,000 3,300,000 $ $ $ 8,500,000 $ 8,920,000 $ 9,350,000 $ 9,810,000 UNIVERSITY OF ARIZONA TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS SUMMARY FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ 16,300,000 $ 15,798,588 $ 17,200,000 $ 18,200,000 $ 19,200,000 $ 20,200,000 $ 5,834,752 1,137,774 8,227,474 15,200,000 100,000 1,000,000 1,100,000 $ 2,416,578 388,641 5,155,203 7,960,422 260,000 1,000,000 1,260,000 $ 7,938,200 1,547,962 6,713,838 16,200,000 $ 7,464,325 1,455,600 6,280,075 15,200,000 $ 7,264,603 1,416,500 7,518,897 16,200,000 $ 6,904,337 1,346,400 8,949,263 17,200,000 1,000,000 1,000,000 $ 17,200,000 3,000,000 3,000,000 $ 18,200,000 3,000,000 3,000,000 $ 19,200,000 3,000,000 3,000,000 $ 20,200,000 $ 16,300,000 $ 9,220,422 SUMMARY BY INITIATIVE UNIVERSITY OF ARIZONA Access to Higher Education Workforce: Teacher Preparation Technology Transfer Infrastructure Biomedical Science & Biotechnology Internet Technology & Commerce Institute Optical Science & Technology Water Technology EXPENDITURES GRAND TOTAL $ 1,000,000 800,000 500,000 5,000,000 4,000,000 4,500,000 500,000 $ 35,981 618,281 355,732 2,937,259 2,233,855 2,847,913 191,401 9,220,422 $ 1,000,000 800,000 600,000 5,000,000 4,300,000 5,000,000 500,000 $ 1,000,000 800,000 700,000 5,000,000 4,200,000 4,500,000 2,000,000 $ 1,000,000 800,000 800,000 6,000,000 4,100,000 4,200,000 2,300,000 $ 1,000,000 800,000 800,000 5,500,000 4,400,000 4,200,000 3,500,000 $ 16,300,000 $ $ 17,200,000 $ 18,200,000 $ 19,200,000 $ 20,200,000 ARIZONA BOARD OF REGENTS CENTRAL OFFICE TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS SUMMARY FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ 3,000,000 $ 2,907,717 $ 3,100,000 $ 3,205,000 $ 3,315,000 $ 3,431,000 $ 78,333 19,749 2,901,918 3,000,000 $ 62,211 12,460 1,974,174 2,048,845 $ 165,200 41,300 2,893,500 3,100,000 $ 215,504 53,876 2,935,620 3,205,000 $ 215,814 53,953 3,045,233 3,315,000 $ 236,130 59,032 3,135,838 3,431,000 $ 3,000,000 $ 2,048,845 $ 3,100,000 $ 3,205,000 $ 3,315,000 $ 3,431,000 SUMMARY BY INITIATIVE Arizona Regents University Regents Innovation Fund EXPENDITURES GRAND TOTAL $ 2,000,000 1,000,000 3,000,000 $ 1,475,412 573,433 2,048,845 $ 2,100,000 1,000,000 3,100,000 $ 2,205,000 1,000,000 3,205,000 $ 2,315,000 1,000,000 3,315,000 $ 2,431,000 1,000,000 3,431,000 ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS BIOSCIENCES/BIOTECHNOLOGY FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL Note: FY 2002 expenditures include encumbrances at 6/30/02. $ 6,876,400 $ 6,661,800 $ 6,781,400 $ 7,097,100 $ 5,312,300 $ 5,728,200 $ 516,900 110,600 4,185,600 4,813,100 2,063,300 2,063,300 $ 306,700 50,300 347,900 704,900 2,701,500 2,701,500 $ 2,642,500 488,900 2,650,000 5,781,400 1,000,000 1,000,000 $ 6,781,400 $ 3,374,600 624,300 2,598,200 6,597,100 500,000 500,000 $ 7,097,100 $ 3,643,300 674,000 495,000 4,812,300 500,000 500,000 $ 5,312,300 $ 3,825,500 707,700 695,000 5,228,200 500,000 500,000 $ 5,728,200 $ 6,876,400 $ 3,406,400 INITIATIVE OVERVIEW The formation of the Arizona Biomedical Institute (AzBio) is the centerpiece of the ASU Proposition 301 initiative in biosciences/biotechnology. The vision for AzBio focuses on developing the Institute into a benchmark for excellence in integrative biomedical research. We will reach this status through innovative cross-collaborations between multiple university disciplines and effective partnerships with clinicians and researchers in the health care community and related industries. By 2015, AzBio will become a world-class research enterprise as an integral part of the development of a globally competitive biosciences cluster in the Phoenix metropolitan area. AzBio will connect basic research with translational research, integrating the learning from "bench top to bedside" to develop a comprehensive understanding of human health. The AzBio efforts are outcome oriented, seeking to translate learning into interventions that enhance individual wellness and quality of life, along with promoting public health policies relating to the welfare of the general population. AzBio focuses on five thematic areas: Medical Bioengineering; Pharmaceuticals and Nutraceuticals; Stress and Disease Prevention; Genomics and Genetic Medicine; and Health Policy and Public Health. These multidisciplinary research areas provide AzBio with a robust capacity to address issues of health, technology development, economic competitiveness, and quality of life. Coupled with existing ASU strengths in the basic biological sciences, engineering and applied sciences, and information and computer technologies, the Institute will provide strategic collaborative opportunities for the surrounding regional and national clinical research community. In addition, we will work to leverage the proximity of The Translational Genomics Research Institute (TTGRI) to advance programs in genetics research, genetics-based medicine, and cancer research. FY 2002 GOALS/OBJECTIVES The primary near-term AzBio goals are to advance breakthroughs in biomedicine and strengthen the Arizona bio industry. The key strategic objectives to accomplish these are: Target high priority biomedical specialties that hold significant promise for future development. Extend the ASU core competitiveness in the areas of life sciences and bioengineering to: Focus research thrusts in strategic areas that foster long-term collaborative projects in current and emerging priority areas identified by the National Institutes of Health (NIH), National Science Foundation (NSF), and other federal agencies and potential industrial partners. Combine integrative, multidisciplinary bench top to bedside research efforts between departments and colleges at ASU and the outside medical community through seed grants and matching funds opportunities. Establish and strengthen partnerships with institutions in the Phoenix area involved in clinical medicine and the bio industry through shared use facilities and joint faculty appointments. Develop state-of-the-art laboratory facilities by acquiring and/or building new equipment and multidisciplinary core facilities. Develop technology transfer strategies for all major biosciences/biotechnology programs, identifying intellectual property opportunities and proactively marketing technology innovations. Recruit and hire new, high caliber faculty in the strategic areas targeted by AzBio. ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS BIOSCIENCES/BIOTECHNOLOGY FY 2002 FY 2002 ACTUAL FY 2003 PROJECTED FY 2004 PROJECTED FY 2005 PROJECTED FY 2006 PROJECTED PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Total external funding: new awards 2. External funding: new federal awards 3. External funding: new industrial contracts and donations REVISED EST $5.0M $4.0M $1.0M $4.7M $4.0M $0.66M $8.0M $6.0M $2.0M $10.0M $8.0M $2.0M $12.0M $9.0M $3.0M $15.0M $11.0M $4.0M Technology Transfer 4. 5. 6. 7. Invention disclosures (a) Patent applications (a) Patents(a) Startup companies/licenses (a) Workforce Contributions 8. Graduate/postdoc students in pipeline 9. Graduate/postdoc students earning degrees and entering workforce 10. Undergraduate students with research experience 11. New research collaborations with institutions/industry (a) 20 20 5 16 11 6 30 15 40 5 30 15 40 5 30 15 40 5 30 15 40 5 Partnerships The individual measures for invention disclosures, patent applications, patents, and startup companies are aggregated for the Biosciences/Biotechnology, Information Science, Manufacturing, and Materials initiatives and reported in the Technology Transfer initiative. FY 2002 RESULTS AND ACCOMPLISHMENTS In FY 2002, a major AzBio effort encouraged further development in the number and quality of research proposals, particularly those involving partnerships with outside institutions and industries. In measuring our progress in this area, the FY 2001 versus FY 2002 value of grant proposals submitted in the biosciences increased from $50,000,000 in FY 2001 to $78,000,000 in FY 2002. More multi-investigator grants were submitted for program projects and joint collaborations between ASU faculty and clinical scientists in the community. We expect this trend to continue to increase as we see the impact of the seed grant program and core laboratory development programs. Other key accomplishments in FY 2002 include: Initiated programming for new biomedical research building and recruiting of potential partner occupants including the Veterans Administration (VA) and the National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK). Successfully developed a consortium platform that facilitated the location of TTGRI to Phoenix. AzBio has committed ongoing program support plus four faculty positions in the genomics area to the TTGRI effort. Developed partnerships and research collaborations with medical institutions and companies including: Mayo, Sun Health, VA, NIDDK, Barrow Neurological Institute, Scottsdale Healthcare, Banner Health, Arizona Health Sciences Dental School, Advanced Bionics, Medtronics, CreaAgri, and Intel. Provided funding for 15 seed grant proposals for interdisciplinary and translational research projects to foster collaborations between ASU and clinical scientists at the medical institutions in the greater Phoenix metropolitan area. These seed grant activities provided the pilot data for responses to large agency requests for awards. Recruited and hired three new faculty in two targeted AzBio areas, Nutraceuticals and Pharmaceuticals, and Bioengineering. Additional recruiting efforts will continue to target existing faculty strengths and program development. Hosted five interdisciplinary research workshops on Neuroscience, Environment and Ecology of Human and Animal Populations, Musculoskeletal Disease, Immunology, and the Future of Stress Research. Fifty to sixty scientists attended each workshop, with participation from local medical institutions and biomedical industries. Sponsored a Women's Health Research Forum that included an address by Wanda Jones, Assistant Deputy Secretary of Health, US Department of Health and Human Services, and presentations by local medical institutions and ASU researchers to encourage development of new collaborative research projects and partnerships with the medical community. Expanded core ASU laboratory facilities used by clinical faculty to enhance the breadth and depth of research projects. In particular, we enhanced the development of the Health Assessment Core Facility with the purchase of a Dual Energy X-ray Absorptiometer (DEXA) scanner for measurement of bone density and body composition. Additionally, we received donations of core laboratory equipment from the local medical community and local businesses. These additions to our core facility will expand our technical capabilities, decrease overall research costs, and enhance our ability to secure program projects from NIH and other project sponsors. Developed new grants that combine collaborations between the focus areas of AzBio and other Proposition 301 initiatives, including Information Science and Advanced Materials for the New Economy. These new type of grant opportunities have created an environment for transdisciplinary and translational research that provides a unique platform for innovative and challenging efforts by ASU faculty and the biosciences/biotechnology community. NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS BIOTECHNOLOGY FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ 1,000,000 $ 969,239 $ 1,400,000 $ 1,800,000 $ 2,100,000 $ 2,210,000 $ 298,000 58,100 643,900 1,000,000 $ 188,168 28,234 387,384 603,786 $ 472,900 92,200 834,900 1,400,000 $ 496,500 96,800 206,700 800,000 $ 434,000 84,600 281,400 800,000 $ 455,700 88,900 255,400 800,000 $ 1,000,000 $ 603,786 $ 1,400,000 1,000,000 1,000,000 $ 1,800,000 1,300,000 1,300,000 $ 2,100,000 1,410,000 1,410,000 $ 2,210,000 INITIATIVE OVERVIEW Consistent with the principles of Arizona at Risk, this initiative focuses on projects in the field of bioscience and biotechnology which can: 1. Enhance the reputation of Flagstaff and Arizona as a center of quality bioscience/biochemistry research 2. Stimulate technology transfer to better position Arizona in the fields of bioscience and biotechnology 3. Expand and enrich the Arizona workforce trained in the high-tech aspects of biotechnology FY 2002 GOALS/OBJECTIVES 1. Organize and staff new projects 2. Focus on new grant applications to leverage Prop 301 dollars 3. Provide technical education to students through involvement in lab activities and advanced-content classes NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS BIOTECHNOLOGY FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Increased external funding 2. Increased number of scholarly publications REV EST $1,386,000 7 2 $1,400,000 12 1 (3 more IP) $1,500,000 15 1 1 2 $2,000,000 18 1 1 2 $2,000,000 20 1 1 2 $3,500,000 20 1 1 2 Technology Transfer 3. 4. 5. 6. Patents applied for Products generated and in the marketplace Business expansions Tech transfer: startup companies created Economic Development 7. Incubation/formation of biotech concerns in Flagstaff/Northern Arizona 1 57 76 2 2 4 60 80 1 10 6 60 80 3 10 6 1 60 80 3 10 6 2 60 80 3 10 8 2 60 80 4 10 8 Workforce Contributions 8. Graduate/post-doc students in pipeline 9. Undergraduate students with research experience 10. M.S./PhD graduate increases Research/training for post-doctoral Fellows 11. Specific Collaborations 12. New research collaborations FY 2002 RESULTS AND ACCOMPLISHMENTS Results from this initiative have leveraged Proposition 301 dollars, allowed progress in areas which will result in patentable outcomes, and provided workforce training in high-tech biotechnology skills and techniques. This project, like others, was somewhat hampered by the time involved in start-up. All projects are currently staffed and moving forward on their various research agendas. One of the most innovative features of this project has been the awarding of "mini-grants" to provide seed funds to a variety of activities, some of which will mature into full-blown research projects. Outcomes: 1. A patented microsensor to detect environmental pollutants and chemical warfare agents. The developer is working with the Northern Arizona Technology and Business Incubator and College of Business Administration staff and students to create a business plan and consider the possibility of forming a Limited-Liability Corporation for marketing this item. 2. 301 dollars have been used as matching contributions in ways that have allowed project scientists to bring in over $1.4 million in additional funding during this year. 3. Three additional patent applications are in progress. 4. Partnerships have been developed with Diatide, Inc. of New Hampshire, the Corneal Science Corporation, Cleveland Clinic Foundation, Ridgeway Biosystems in Cleveland, OH, and with the National Institutes of Health in Bethesda, Maryland. 5. Four of the 10 minigrants involve partnerships with ASU and UofA. 6. One of the 301 project recipients, Dr. Paul Keim, has been instrumental in attracting the International Genomics Consortium and Translational Genomics Research Institute to Arizona. 7. Over 45 undergraduate, 25 graduate, and 10 post-doctoral students have been members of the research labs of 301 project participants. 8. 25 students received advanced education in biotechnology subjects through the Molecular Techniques and Molecular Biology courses supported or enhanced by 301 dollars. 9. Signed a license option agreement with Eccentron, LLC to commercialize eccentric ergometer technology. UNIVERSITY OF ARIZONA TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS INSTITUTE FOR BIOMEDICAL SCIENCE & BIOTECHNOLOGY FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ 5,000,000 $ 4,846,193 $ 5,000,000 $ 3,000,000 $ 4,000,000 $ 3,500,000 $ 1,815,000 353,900 2,731,100 4,900,000 100,000 100,000 $ 518,152 101,948 2,057,159 2,677,259 260,000 260,000 $ 2,742,000 534,690 1,723,310 5,000,000 $ 1,861,225 362,939 775,836 3,000,000 $ 1,950,483 380,344 1,669,173 4,000,000 $ 1,890,010 368,552 1,241,438 3,500,000 $ 5,000,000 2,000,000 2,000,000 $ 5,000,000 2,000,000 2,000,000 $ 6,000,000 2,000,000 2,000,000 $ 5,500,000 $ 5,000,000 $ 2,937,259 INITIATIVE OVERVIEW The Institute for Biomedical Science and Biotechnology will play a significant role in Arizona's economic development plans. The University of Arizona is home to a wealth of world class life sciences research programs that can be leveraged to generate a powerful engine for development of life sciences-related industry, or bioindustry, in Arizona. This initiative begins with existing faculty research resources in molecular medicine, molecular agriculture and instrumentation and methodologies. It builds on these strengths by attracting new, senior research faculty and by assembling state-of-the-art facilities to support that research work. The initiative strengthens educational programs and infrastructure at K-12, undergraduate, and graduate levels as a critical component of workforce development. The IBSB initiative seeks industrial partnerships and encourages and facilitates technology transfer and business incubator facilities to accommodate start-up companies. FY 2002 GOALS/OBJECTIVES To be awarded $2,000,000 in grants. To recruit 5 world-class scientists into strategically defined areas. To increase number of bio start-up companies by 2. To increase the number of invention disclosures attributable to bio by 2-4. To increase the number of technology transfer workshops performed by 3-4. To increase growth in life science postdocs in pipeline by 10. UNIVERSITY OF ARIZONA TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS INSTITUTE FOR BIOMEDICAL SCIENCE & BIOTECHNOLOGY FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. New research funding $ REV EST 2,000,000 N/A N/A 2-4 N/A N/A 2 $ 1,447,470 0 0 0 1 0 2 Technology Transfer 2. 3. 4. 5. 6. 7. New software packages distributed Hits per month on research websites Invention disclosures (a) Patent applications (a) Patents(a) Startup companies (a) Economic Development 8. Companies identifying UA as a factor for relocating or expanding in AZ 2-3 546 637 N/A N/A N/A 2 504 637 (0%) N/A N/A N/A Workforce Contributions 9. Graduates (all levels) 10. Minority enrollment growth Curriculum Innovations 11. High school students involved in program 12. New courses introduced 13. Internships (industry or Software Factory) (a) The individual measures for invention disclosures, patent applications, patents, and startup companies are aggregated for the Biosciences/Biotechnology, Information Science, Manufacturing, and Materials initiatives and reported in the Technology Transfer initiative. FY 2002 RESULTS AND ACCOMPLISHMENTS IBSB was funded $1,447,470 in new grants in FY 2002 and has $19,106,683 awaiting funding. IBSB recruited 7 world-class scientists (Wing, Soderlund, Hogan, Wysocki, Osterhout, Machado, and Aspinwall) into strategically defined areas. Two new bio startup companies were started in FY 2002. (AzTex and a company by Bob Gillies and Victor Hruby) IBSB supported 3 technology transfer workshops in FY 2002. IBSB is actively supporting graduate students and anticipates that this will result in an increase in postdocs in the pipeline soon. ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS INFORMATION SCIENCE FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL Note: FY 2002 expenditures include encumbrances at 6/30/02. $ 4,031,500 $ 3,907,500 $ 3,979,300 $ 4,009,100 $ 3,033,400 $ 3,149,100 $ 1,650,000 330,000 1,851,500 3,831,500 200,000 200,000 $ 4,031,500 $ 342,500 42,300 1,102,800 1,487,600 $ 2,268,600 419,700 791,000 3,479,300 $ 2,767,200 511,900 230,000 3,509,100 $ 2,002,900 370,500 160,000 2,533,400 $ 2,100,500 388,600 160,000 2,649,100 $ 1,487,600 500,000 500,000 $ 3,979,300 500,000 500,000 $ 4,009,100 500,000 500,000 $ 3,033,400 500,000 500,000 $ 3,149,100 INITIATIVE OVERVIEW The Information Science Initiative is an integral part of the ASU vision of becoming internationally recognized for collaborative research with industry and government agencies. The focus of the initiative is to develop highly integrated, multidisciplinary research and education activities that deepen fundamental knowledge in information technology and emphasize the innovative nature an application to other disciplines. The initiative activities include: Basic research in computing technologies that stimulates formation of new companies, attracts new industries, and retains/expands established companies. Focusing on embedded and networked systems, knowledge systems, wireless technologies, multimedia, and distributed systems. Applied interdisciplinary research -- Faculty performing research in information sciences also work with faculty in other disciplines that benefit from application of that research to broaden the economic impact and diversification of the results. Examples include biotechnology, e-commerce, geographic information systems, and genomics computing. Workforce development -- Increase the number of talented students in the pipeline from high school through undergraduate and graduate degree programs to enhance quality, quantity, and diversity in support of the needs of industry locating in Arizona. FY 2002 GOALS/OBJECTIVES Overall and specific FY 2002 goals and objectives include: Equip ASU to effectively partner with all users of technology in Arizona, including the computer hardware, computer software, and information technology industries. Establish ASU as a full partner in leading-edge research with local and national organizations by establishing collaborative partnerships with technology companies. Expand the supply of graduates qualified to work in Arizona's computing industries by providing opportunities for students to interact with regional employers, and engage in leading research and leadership development activities. Enhance the value of our undergraduate and graduate programs for the software, information science, knowledge systems, and e-commerce industries. Provide internationally recognized research to attract a growing proportion of the research and development for computer hardware, computer software, and network technology to Arizona. Attract nationally competitive research faculty as well as highly promising junior faculty to bridge disciplines, supplement existing teams, and forge entirely new areas of inquiry in Embedded Systems, Bioinformatics, and Knowledge Systems. Establish interdisciplinary faculty research teams in high potential areas where ASU strengths align with national needs and research agendas. Attract $2,000,000 in external funding in the first year. Establish internship programs through the Embedded Consortium and Software Factory that support 20 internships. Develop and pilot a high school software engineering course for at least 25 students. ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS INFORMATION SCIENCE FY 2002 REVISED EST FY 2002 ACTUAL FY 2003 PROJECTED FY 2004 PROJECTED FY 2005 PROJECTED FY 2006 PROJECTED PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. New research funding $2.0M 1 1,000 $2.1M 0 Not Yet Available $2.0M 2 3,000 $2.0M 2 5,000 $2.5M 3 8,000 $4.0M 3 10,000 Technology Transfer 2. 3. 4. 5. 6. 7. New software packages distributed Hits per month on research websites (a) Invention disclosures (a) Patent applications Patents(a) (a) Startup companies Economic Development 8. Companies identifying ASU as a factor for relocating or expanding in AZ 1 large 2 small 20 2% 25 4 20 2 large 1 large 3 small 40 2% 30 6 40 1 large 4 small 60 2% 50 6 50 1 large 4 small 60 2% 50 6 50 1 large 4 small 60 2% 50 6 50 Workforce Contributions 9. Growth in graduates from CS, CSE, IE, CIS, and Comp Math 10. Minority enrollment growth (% of total enrollment) -11 1% 88 6 32 Curriculum Innovations 11. High school students completing software design material 12. New courses introduced or revised 13. Internships (industry or Software Factory) (a) The individual measures for invention disclosures, patent applications, patents, and startup companies are aggregated for the Biosciences/Biotechnology, Information Science, Manufacturing, and Materials initiatives and reported in the Technology Transfer initiative. FY 2002 RESULTS AND ACCOMPLISHMENTS Faculty recruiting included: Two targeted faculty hired in Computer Science/Embedded Systems; one professor hired in Information Systems/Knowledge Systems; and one professor hired in Bioinformatics. Information Systems program ranked 10th nationally by US News and World Report. Implemented a year-long effort through websites, workshops, and meetings with faculty groups to encourage emphasis on strategic planning for relevant interdisciplinary research and related performance measures. Awarded $1,170,000 to five teams of faculty in the areas of Wireless Communications, Knowledge Systems, Distributed Media, E-commerce, and Multimedia for the Disabled as seed grants to initiate high return interdisciplinary research programs. Formed the Consortium for Embedded and Internetworking Technologies with Motorola and Intel. First year funding from partners was $1,000,000. Awarded $370,000 in research seed funds, $170,000 in curriculum development funds, and 32 internships for academic credit and pay. The curriculum development support immediately attracted $490,000 in matching National Science Foundation (NSF) awards. The Consortium has drawn national attention in the Electronic Times and from the American Society for Engineering Education (ASEE), as well as the local press. Formed Connection One, a consortium focused on wireless technologies. Six technology companies contributed $300,000 of industrial support to date. NSF selected Connection One as an Industry/University Cooperative Research Center (I/U CRC) and awarded $225,000 in funding for further development of the consortium. Established the Center for Advancing Business through Information Technology (CABIT) in the College of Business to explore how technological innovations are transforming business operations in the new economy. FY 2002 external grants from Intel totaled $63,000. Developed a high school software engineering curriculum, piloted in four Phoenix high schools in Fall 2001 and Spring 2002. Three of the high schools had predominantly minority populations. Supported the establishment of the ASU Software Factory to provide professional software development for students, and sponsored projects through a setting that incorporates comprehensive research on human/organizational factors in software development. Due to the weak economy and poor job market, many graduate students deferred graduation in FY 2002, although the number of students in progress reached an all-time high. Since the Information Technology initiative was ramping up operations in FY 2002, we expect to see more of an impact on projected graduate and minority growth beginning in FY 2003. Major research initiatives that contributed to software and website development were not funded until Spring 2002. Software packages are currently under development, and the research-related websites are just now being created. As a result, during FY 2002 we were unable to begin distributing new software packages or capturing the hits per month on the research websites. We expect that software distribution will begin by December 2002 and websites will begin collecting hit data by September 2002. NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS E-LEARNING (IT) FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ 1,400,000 $ 1,356,934 $ 1,540,000 $ 1,780,000 $ 2,250,000 $ 2,300,000 $ 526,000 102,600 771,400 1,400,000 $ 480,352 108,730 90,580 679,662 $ 552,400 107,700 879,900 1,540,000 $ 580,000 113,100 1,086,900 1,780,000 $ 789,000 153,900 1,307,100 2,250,000 $ 828,500 161,600 1,309,900 2,300,000 $ 1,400,000 $ 679,662 $ 1,540,000 $ 1,780,000 $ 2,250,000 $ 2,300,000 INITIATIVE OVERVIEW The Center for Research, Development and Assessment in Electronic Learning Environments has been established in response to APNE and the recommendations of the Governor's Task Force on Higher Education. The Center is dedicated to using information technology to transform teaching and learning and to better prepare graduates for the Arizona workforce. Through the use of Web technologies, place-bound Arizona citizens will have increased access to an education; NAU graduates will be skilled at learning via the Web; and learning will be enhanced using information technology tools. Research in innovative applications of advanced technology into the learning process, coupled with assessment of the actual learning students experience, will assure a high impact of this project on NAU students, and on students across the state. Some anticipated outcomes are: 1. 2. 3. 4. 5. Use Web technology to transform learning and teaching in both residential and distance education Assess learning effectiveness associated with information technology-mediated learning environments Increase baseline technological literacy skills of all NAU baccalaureate graduates Provide advanced information technology skills to NAU undergraduates through modifications and new academic programs Assess technological literacy skills of all NAU graduates FY 2002 GOALS/OBJECTIVES 1. Organize and staff projects 2. Support course development efforts of Access/Workforce Development projects 3. Integrate technology skills into one or more large-enrollment courses NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS E-LEARNING (IT) FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Grants and contracts rec'd for hdw/softw dev 2. Grants and contracts rec'd for curriculum innovation 3. Proposals made for grants REV EST $50,000 1 10 0 2 1 25 100/semester 0 $50,000 1 125 0 2 1 150 94/semester 0 Technology Transfer Web courses developed Software products tested, partnered, and launched Publications, grant applications Analysis of infrastructure for potential improvements 8. Faculty using training and support staff to integrate online or other technology into courses: 9. Faculty using online technology within courses High-profile research conferences co-sponsored or hosted 10. 4. 5. 6. 7. 2 1 175 100/semester 0 3 1 190 110/semester 1 3 1 190 110/semester 0 5 1 190 110/semester 1 Work Force Contributions 11. Increase in graduates with New Economy skills Core classes with New Economy theme 12. 13. Technology-related certificates available 14. Increase in NAU students with technological literacy skills 3 2 1500 3 2 1500 5 3 1500 5 4 1500 5 4 1500 2 Partnerships 15. Community College transfers with electronic portfolios .16. Increase in number of industry/government partners 1 2 2 2 FY 2002 RESULTS AND ACCOMPLISHMENTS This year's results from this project will have significant impact on the student experience with technology at NAU. Future developments will focus on research and assessment of technologically enhanced instruction and identification of "best practices" in the field. Notable outcomes include: 1. Instruction in practical technology skills has been integrated into the English composition course required of all students. Skills such as word processing, e-mail, web search, list-serve/chat, and web page design will serve the students well throughout their college careers and beyond. This course will affect over 1,000 students per semester. 2. A junior-level writing class, ENG 305, has been redesigned to directly assess students' technological literacy skills. 3. The first-level computer information systems class, CIS 120, has been redesigned so that much more of its content is available to students wherever they may be; previous versions require significantly more on-campus attendance. It also takes advantage of our advanced "Citrix" server which makes complex software easily accessible to those with access to limited computer power. Currently serving about 500 student per semester, these changes will enable it to serve approximately twice that number. NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS E-LEARNING (IT) 4. A popular communications class, COM 101, has been redesigned to combine interactive technology-delivered modules with traditional classroom experience. 5. Use of web technology has been integrated into 16 traditional courses, and 10 liberal studies courses have been redesigned for web delivery. This will enable both distance and campus students to more easily and flexibly complete their program requirements. 6. Questions about students' perceived technological competence and NAU's contributions to it have been incorporated into several standard student-opinion surveys. At this time, 69% of students believe that NAU has been instrumental in their acquiring the technological skills they have. We expect both their skills and NAU's contributions to them to increase significantly through this initiative's outcomes. 7. We have hired a specialist in assessment in electronic environments who, along with our soon-to-be-hired director of the Center for Research, Assessment and Development in Electronic Environments, will be assessing student learning and "best practices" in technology-enhanced or -delivered instruction. 8. Staff involved in this project also contributed to the development of 100+ new web courses offered through Distributed Learning Services and Access/Workforce Development as well as Elearning auspices. Over 3,400 students were enrolled in these courses in FY 2002. 9. Personnel from Eduprise, a nationally-known web-and-distance-learning consulting firm, reviewed and recommended improvements for infrastructure of E-learning initiative in the larger context of distance learning initiatives at NAU. These recommendations will be incorporated into upcoming planning for this initiative. UNIVERSITY OF ARIZONA TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS INTERNET TECHNOLOGY & COMMERCE INSTITUTE FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $4,000,000 $3,876,954 $4,300,000 $4,200,000 $4,100,000 $4,400,000 $ 998,005 194,575 2,807,420 4,000,000 - $ 556,463 74,656 1,602,736 2,233,855 - $ 2,388,300 465,700 1,446,000 4,300,000 $ 2,557,300 498,700 1,144,000 4,200,000 $ 2,318,700 452,100 1,329,200 4,100,000 $ 2,167,300 422,600 1,810,100 4,400,000 $ 4,300,000 $ 4,200,000 $ 4,100,000 $ 4,400,000 $ 4,000,000 $ 2,233,855 INITIATIVE OVERVIEW The focus of this initiative is the development of an Internet Technology, Commerce and Design Institute (ITCDI). ITCDI is seeking approximately $21.0 million over the next five years to achieve research, development, and outreach goals to catalyze economic growth in internet-related technologies. ITCDI is not a physical entity in the traditional sense but instead is a "virtual institute" comprised of University of Arizona academics and local Arizona industry leadership, ideas, and the support to foster concept development, awareness, and economic growth. ITCDI will become a clearinghouse for the sharing of ideas, resources, and expertise under the common goal of promoting internet technology-based economic growth in Arizona's economy. It will be a primary source of talent in a broad range of businesses and industries which rely on the internet in various dimensions for their business success. FY 2002 GOALS/OBJECTIVES The primary goal of ITCDI is to create a unique multidisciplinary culture to: (a) train a new breed of Internet Technology and commerce leaders; (b) establish theoretical foundations for the practical understanding of Internet Technology and commerce; and (c) develop Internet enabling technologies (software and hardware) to design, optimize, and manage Internet systems and their services. The ITCDI will create the stimulus for the growth of internet related businesses, educational initiatives, workforce development, and university research opportunities. UNIVERSITY OF ARIZONA TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS INTERNET TECHNOLOGY & COMMERCE INSTITUTE FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. New research funding REV EST $1.0M 0 3 1 0 $1.1M 0 4 0 0 $1.5M 2 5 4 2 $2.0M 2 5 4 2 $3.0M 3 5 4 2 $4.0M 5 5 10 4 Technology Transfer 2. 3. 4. 5. Successful spin-off/start up companies New university/industry collaborations Patent applications(a) Patents(a) Economic Development 6. Companies identifying UA as a factor for relocating or expanding in AZ 0 75 3 2 10 1 109 4 2 12 1 160 5 3 15 1 280 5 3 15 1 440 7 4 20 1 625 7 5 25 Workforce Contributions 7. Graduates (all levels, incl new ITCDI grads, minors, Info Sci, non-tech minor) Curriculum Innovations 8. Curricular innovations for Access and Workforce 9. New courses introduced 10. Internships (industry or Software Factory) (a) The individual measures for invention disclosures, patent applications, patents, and startup companies are aggregated for the Biosciences/Biotechnology, Information Science, Manufacturing, and Materials initiatives and reported in the Technology Transfer initiative. FY 2002 RESULTS AND ACCOMPLISHMENTS - Research support from Prop 301 (TRIF) ITCDI was significantly leveraged (approximately $1.1 million in IT-related support). - As a result of Prop 301 support, industry partnerships were expanded or developed with AOL, Intel, Microsoft. - As a result of Prop 301 faculty support in CS, ECE, and MIS, additional students were accommodated in those programs. ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ACCESS AND WORKFORCE DEVELOPMENT FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL Note: FY 2002 expenditures include encumbrances at 6/30/02. $ 2,200,000 $ 2,132,300 $ 2,200,000 $ 2,200,000 $ 2,200,000 $ 2,200,000 $ 356,300 76,000 1,117,700 1,550,000 650,000 650,000 $ 513,800 78,300 458,100 1,050,200 $ 1,165,500 215,600 418,900 1,800,000 400,000 400,000 $ 1,223,800 226,400 349,800 1,800,000 400,000 400,000 $ 1,285,000 237,700 277,300 1,800,000 400,000 400,000 $ 1,349,300 249,600 201,100 1,800,000 400,000 400,000 $ 1,050,200 $ $ 2,200,000 2,200,000 $ 2,200,000 $ 2,200,000 $ 2,200,000 INITIATIVE OVERVIEW The Access and Workforce Development initiative provides support to: Increase access to educational programs that will equip Arizona citizens with the skills necessary to compete in the New Economy. Lower barriers of time and space that restrict some of our citizens from full participation in the New Economy. Improve the efficiency of Arizona's higher education system by raising retention and graduation rates. Address Arizona's workforce development needs with particular emphasis on the science, math, engineering, and technology fields. Component projects include: Information Technology Across the Curriculum (ITATC) -- The ITATC initiative helps to insure that all ASU undergraduates, regardless of major, have the opportunity to acquire technical skills that complement their discipline specific knowledge. Technology Infrastructure -- The initiative funds major improvements in the university infrastructure in support of the campus-wide technology infusion into undergraduate and graduate curriculum; the rapidly expanding e-learning program development; and the University's efforts to improve retention and graduation rates. E-Learning Program Development -- This project provides for greater access to educational programs critical to the New Economy by accelerating the pace of development of distance education and online courses and degree programs. Science, Math, Engineering and Technology (SMET) Education -- This project addresses Arizona's K-12 teacher shortage, especially in the critical Science and Math secondary levels. The SMET project also addresses the quality of teacher preparation programs, recruitment and retention issues, and SMET education from an overall perspective. Retention and Graduation -- ASU recognizes that both the quality of our academic programs and the efficiency with which we provide the coursework ultimately govern the long-range success in providing access to academic programs and contributing to workforce development. This component provides particular emphasis on advancing students admitted with academic deficiencies who have otherwise solid academic credentials. Campus Initiatives at ASU West and ASU East -- Project funding supports the development of an Applied Computing B.S. program at ASU West and the Microelectronics Teaching Factory at ASU East. FY 2002 GOALS/OBJECTIVES FY 2002 goals and objectives included: Conduct eight ASU Main faculty searches for ITATC positions and hire six Information Technology (IT) staff/support personnel. Strengthen technology support for instruction at undergraduate and graduate levels. Provide funds for mediating classrooms and laboratories to support technology enhanced instruction. Identify e-learning programs for development in Summer and Fall 2002 through an internal competitive process. Develop strategies for improving the ASU record for recruiting, training, and retaining secondary level math/science teachers. Host a system-wide conference for college and university level faculty with primary responsibility in SMET disciplines. Develop strategies for improving ASU retention and graduation rates. Support the ASU West development of an Applied Computing B.S. program. Partner with Intel and Motorola in the development of the Micro Electronics Teaching Laboratory at ASU East. ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ACCESS AND WORKFORCE DEVELOPMENT FY 2002 FY 2002 ACTUAL FY 2003 PROJECTED FY 2004 PROJECTED FY 2005 PROJECTED FY 2006 PROJECTED PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Increase in number of teachers who graduate with math/science certification 2. Additional mediated classrooms on Main Campus 3. Additional faculty trained in the use of technology in course design REVISED EST 50 2 20 20 1 X X X 9 8* 96 72 1 X X Partially Approved 50 2 20 30 1 50 2 20 30 1 75 2 75 2 Work Force/Access Contributions 4. New distance education and online courses 5. New distance education online degree programs 6. Fully operational Microelectronics Teaching Factory at ASU East 30 1 30 1 Specific Curriculum Innovations for the New Economy 7. 8. 9. 10. Tier 1 introduction to Information Technology for all students Tier 2 package of 3 courses Tier 3 concentration for BIS degree BS Applied Computing (ASU West) X X Other Milestones 11. Infrastructure necessary to support seamless enrollment for all Arizona citizens who take courses at more than one university by Fall 2003 12. Statewide adoption of education pathways for elementary, secondary, and special education programs by 2002 * Fully operational by September 2002. X X X FY 2002 RESULTS AND ACCOMPLISHMENTS Results and accomplishments for FY 2002 include: A total of nine ITATC searches approved and six appointments made in Nursing, Education, Law, Engineering/Fine Arts (joint), English, and Languages and Literature. Six IT staff/support personnel hired: two in Instructional Support; two in Extended Education; one in the Center for Learning and Teaching Excellence; and one in Data Analysis. The Data Analysis position provides support for retention and graduation efforts. The initiative provided funds to purchase a blackboard server and a streaming video server that have significantly strengthened our ability to support technology enhanced instruction. In addition, we established a wireless test bed project and have contracted for the development of a portable technology module which provides full instructor level classroom mediation at a unit cost of approximately $50,000. Approximately $600,000 allocated to upgrade technology support in classrooms and laboratories in the College of Engineering and Applied Sciences, and Biology Department. An internal grant competition awarded funds for e-learning program development in: Technical Communication at ASU Main and ASU East; Semiconductor Manufacturing at ASU Main; Fire Service Management at ASU East; Security Engineering Technology at ASU East; Environmental Technology Management at ASU East; Connect-MBA at ASU West; and, Special Education at ASU West. Planning is underway for education faculty from all three campuses to develop content specific modules for secondary science/math induction training. These modules will provide three graduate credits to participants currently enrolled in one of ASU's Masters' degree programs. Each module will emphasize the mathematics and science included in state and national standards. With the partial support of a federal grant to the Arizona Teaching Excellence Coalition (AZTEC) project, the Center for Research on Education in Science, Mathematics, Engineering and Technology (CRESMET) hosted a workshop in the summer of 2002 on Technology and Visualization in the College Classroom. The workshop was open to ASU and Community College faculty and included a team of professional curriculum developers along with current and former K-12 teachers. Data Analysis personnel developed a software support tool for retention and graduation efforts. This tool provides a user friendly working environment for faculty and advisors who have primary responsibility for retention efforts. In addition, the Summer Bridge program added a day program to help address retention problems for otherwise capable high school students deficient in key math and/or English skills. Dr. Richard Newman was hired as Director of Training Operations for the Microelectronics Teaching Laboratory at ASU East. Dr. Newman is actively involved in the preparation of proposals for external funding and in other outreach activities targeting industry in the Phoenix metropolitan area. ABOR approved the B.S. in Applied Computing degree program at ASU West. The initial search for a program director was unsuccessful. The FY 2002 initiative funds allocated for this position were reallocated on a one-time basis for campus activities that support the development of Applied Computing, including facilitators, outside presenters, session leaders, and stipends for participating faculty. NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ACCESS/WORKFORCE DEVELOPMENT FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ 3,900,000 $ 3,780,031 $ 4,000,000 $ 3,000,000 $ 2,000,000 $ 2,000,000 $ 1,543,500 301,000 2,055,500 3,900,000 $ 1,429,140 329,342 332,812 2,091,294 $ 1,697,500 331,000 1,971,500 4,000,000 $ 858,111 167,300 1,974,589 3,000,000 $ 960,265 184,300 855,435 2,000,000 $ 952,871 176,300 870,829 2,000,000 $ 3,900,000 $ 2,091,294 $ 4,000,000 $ 3,000,000 $ 2,000,000 $ 2,000,000 INITIATIVE OVERVIEW This initiative represents a major step forward in Northern Arizona University's ability to provide education services to Arizona citizens who are time- or place-bound. Additional funding support of NAU's Distributed Learning System is an investment in the New Economy that directly supports the identified needs of the Governor's Task Force on Higher Education, the Arizona Partnership for a New Economy, and the ABOR guidelines. This initiative will: 1. Address the teacher shortage: emphases on alternative certification and preparation of mathematics and science teachers 2. Provide engineers with advanced training to support business and industry 3. Increase the number of advance-trained nurses/other health professionals to maintain quality of life 4. Educate information technology professionals to serve the new economy needs of the state 5. Prepare postbaccalaureate business/non-profit managers to be leaders in existing/new businesses 6. Build the support infrastructure for future development of degree/certificates responsive to the needs of the new economy FY 2002 GOALS/OBJECTIVES 1. Organize and develop programs in education, health professions, and business 2. Develop support infrastructure for students enrolled in programs away from the Flagstaff campus NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ACCESS/WORKFORCE DEVELOPMENT FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Grants/contracts proposed REV EST $150,000 0 0 $100,000 1 $150,000 2 $150,000 2 $200,000 4 Technology Transfer 2. Courses/modules sold/brokered Economic Development 3. Companies identifying NAU as reason for relocating or expanding in AZ 1 0 1 1 2 2 Work Force Contributions 4. Potential new students served -New teachers -Nurses/health professionals -Engineers with advanced training -Business/non-profit managers Specific Curriculum Innovations 5. Degree/certificate programs Statewide access (rural and urban) 6. 7. Regional/national global access 8. New/revised courses 275 120 21 50 11 yes yes 54 (39/15) 13 3 30 2 250 120 20 44 11 yes yes 75 14 3 30 2 450 200 20 50 12 545 200 20 60 15 545 200 30 70 18 545 200 30 80 25 80 15 3 30 4 100 15 3 30 4 100 15 3 30 5 100 15 3 30 5 Partnerships 9. Community college partners 10. Tri-University (ASU, NAU, UofA) 11. K-12 partners (schools/districts) 12. Industry partnerships FY 2002 RESULTS AND ACCOMPLISHMENTS NAU has been enormously successful with this initiative: I. Programs A. Education 1. Alternative Teacher Certification - three 'cohorts' (20-25 students each) established. Two of these cohorts consist of working adults who want to change careers, and one is filled with teachers currently holding an emergency certification. 2. Master of Education in Educational Technology -- existing program expanded by 60% -- 110 new students involved in this all-web program to learn to teach effectively with and about technology. 3. English as a Second Language Endorsement -- existing program expanded by nearly 100% -- 78 new students involved in this program to enable teachers to help students for whom Englis is not their native language to learn effectively. Program is being converted to web. 4. Substitute Teacher certification -- planning and marketing of this program to enable substitute teachers to become more effective. 5. Science/Math education -- web-delivered mini-courses designed to allow current teachers to acquire certification for teaching math and science. Two Physics and two Biology courses bein field-tested. NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ACCESS/WORKFORCE DEVELOPMENT B. Health Professions 1. Accelerated Bachelor of Science in Nursing; Registered-Nurse to Bachelor of Science in Nursing program. 30 students enrolled in these programs to help address Arizona's nursing shortage. Entire curriculum except for clinical experiences can be delivered on-line. 2. Bachelor of Science in Dental Hygiene -- Program expanded from 11 to 57 students. Two new courses created; four revised. 3. Bachelor of Applied Science in Health Promotion -- 44 students enrolled in this new program. 6 courses developed or revised for web delivery. C. Business 1. Master of Science in Management -- Program more than doubled in size to 60 students. Allows students to obtain basic grounding in business courses while specializing in nontraditional areas such as Public Service management. 6 courses developed or revised for web presentation. 2. Bachelor of Applied Science in Computer Technology -- Program designed as a follow-on to community college degree in Computer Technology. Main focus has been on establishing articulation agreements with community colleges. 11 students admitted to program. II. Infrastructure A. Student Services -- toll-free phone and web access for students. Advisors hired to work with students at a distance. On-site assistance available at 31 offices around the state. B. Technical infrastructure -- Internet bandwidth doubled to meet high-bandwidth demands of students. Internet 2 connectivity added to support national exchange of instructional and researc data. Modem pools added in rural areas to better serve students. Citrix server installed to enable complex software to be accessed by students with access to limited computer power. C. Faculty support -- 70+ web courses developed and taught each semester with a combination of Prop 301 and Distributed Learning Services stipends. D. Multi-purpose, multi-media marketing materials developed. Evaluation of most effective sources continuing. UNIVERSITY OF ARIZONA TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ACCESS TO HIGHER EDUCATION FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $1,000,000 $969,239 $1,000,000 $1,000,000 $1,000,000 $1,000,000 $ 509,000 99,255 391,745 1,000,000 $ 6,870 1,381 27,730 35,981 $ 648,900 126,500 224,600 1,000,000 $ 681,300 132,900 185,800 1,000,000 $ 767,500 149,700 82,800 1,000,000 $ 805,900 157,200 36,900 1,000,000 $ 1,000,000 $ 35,981 $ 1,000,000 $ 1,000,000 $ 1,000,000 $ 1,000,000 INITIATIVE OVERVIEW The goal of this initiative is to increase the overall educational level of the state of Arizona by making higher education more accessible to those facing barriers of time, place, disability, culture, career, family obligation, or other circumstances. Recognizing that access is a complex mix of availability, affordability, and applicability, this initiative funds diverse development activities that divide broadly into content projects (course and program development by academic departments assisted by expert technical staff) and infrastructure projects (improved connectivity, improved capacity for content delivery, etc.). Most of the work funded through this initiative will be structured as projects of fixed duration rather than as ongoing research programs. Four projects have been approved to date: 1. Establishment of a Distance Learning Support Team within the Faculty Center for Instructional Innovation 2. Creation of an online Nursing PhD program, funded temporarily as a supplement to a grant from Arizona Regents University 3. Creation within the University Libraries of advanced document delivery capability to serve students enrolled in online courses 4. Creation of a high-speed Internet connection between UA Main and the UA South/Sierra Vista service area FY 2002 GOALS/OBJECTIVES As originally envisioned, the first year's objectives would have emphasized infrastructure and other foundations (projects 1 and 4 above), with subsequent years emphasizing academic program content development (such as project 2). Major objectives included establishment of a technical support team to assist in the development of online courses and programs and the implementation of a high-speed link to Sierra Vista for delivery of high-bandwidth educational content. Delay in the implementation of the high-speed link led to some changes in the timing of projects, permitting earlier investment in academic program development. Significant anticipated savings on the revised plan for the link allowed consideration of an additional infrastructure project aimed at supporting distance courses with electronic document delivery from the University Libraries. Other infrastructure projects (involving increased capacity for online course production) have been considered by the Steering Committee, generally in conjunction with the requirements of particular academic programs. UNIVERSITY OF ARIZONA TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ACCESS TO HIGHER EDUCATION FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006 PERFORMANCE MEASURES/DELIVERABLES 1. Increased capacity to deliver courses 2. New programs brought online 3. New enrollments REV EST DS-3 line(s) leased and installed 2 new/ expanded 20 new plan under revision 1 new in development NA 2 new programs 40 2 new programs 60 2 new programs 80 2 new programs 100 FY 2002 RESULTS AND ACCOMPLISHMENTS 1. Distance Learning Support Team--established and partially staffed. -- Management structure defined and advisory groups enlisted -- Positions (5 FTE) approved for FY 2002 filled; hires pending for additional positions (4 FTE) -- Office and production space for Team assigned within Faculty Center for Instructional Innovation -- Active collaboration underway with Nursing faculty, including significant assistance with planning and training -- Active collaboration underway with interdisciplinary faculty group, including significant assistance in securing NSF grant for Science and Technology Center and significant commitment to instructional materials development 2. Academic programs--online Nursing PhD in development. -- Curriculum planned and approved by College -- Nursing faculty actively developing first-year courses 3. High-speed link to Sierra Vista--plan still evolving. 4. Library Services for Distance Learning--setting up. -- Staff positions defined -- Hardware and software specifications developed -- Products most suitable to purposes selected UNIVERSITY OF ARIZONA TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS WORKFORCE: MATH & SCIENCE TEACHER PREPARATION FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ 800,000 $ 775,391 $ 800,000 $ 800,000 $ 800,000 $ 800,000 $ 259,000 50,554 490,446 800,000 $ 275,689 48,319 294,273 618,281 $ 260,100 50,700 489,200 800,000 $ 273,200 53,300 473,500 800,000 $ 286,900 55,900 457,200 800,000 $ 301,200 58,700 440,100 800,000 $ 800,000 $ 618,281 $ 800,000 $ 800,000 $ 800,000 $ 800,000 INITIATIVE OVERVIEW * * * * To address critical shortages in the state for math, science, and agricultural science teachers from elementary through secondary education levels. To educate and train over 100 new secondary school math and science teachers. To educate and train 150 new elementary school math and science teachers. To educate and train over 40 new agricultural science teachers. FY 2002 GOALS/OBJECTIVES The Teach for Tucson program focuses on the recruitment and training of individuals with demonstrated interest and academic abilities in science and mathematics who desire to become teachers in grades four through eight. A cohort of 30 students completes a year-long Masters degree while also gaining teacher certification. Eight partner school districts participate in the selection of these candidates and support their training through internship experiences in their schools. Currently, 150 high school and community college students have received information on opportunities to become Agricultural Science Teachers. This campaign continues to include both initial visits/presentations and then personalized follow-up contacts with the most interested students. Twenty-seven Spring 2002 scholarship applications were collected on November 15. The average allocation was approximately $741. The application was posted on the department website providing greater access to students. Activities in math/science teacher preparation can be broadly described in 3 categories: (1) providing an experienced, master teacher to work with the beginning teachers who have completed the College of Science Teacher Preparation Program, (2) support of high quality field-based experiences for preservice science teachers (building a community of teacher preparation partners that includes practicing science teachers as well as university faculty members who teach the preservice teachers in courses at the university), and (3) recruitment of science majors into precollege science teaching (ten scholarships will be awarded to academically talented science majors who are interested in pursuing teacher certification through enrollment in courses in the CoS TPP). UNIVERSITY OF ARIZONA TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS WORKFORCE: MATH & SCIENCE TEACHER PREPARATION FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006 PERFORMANCE MEASURES/DELIVERABLES 1. 2. 3. 4. Completers of Secondary Science Teacher Prep Completers of Secondary Math Teacher Prep Completers of Elementary Math/Science Teacher Prep Completers of Agricultural Science Teacher Prep Curriculum Innovations 5. Science Prep Course Development in College of Science Specific Collaborations 6. Collab. Between Colleges of Ed, Sci, and Agric&Life Sci REV EST 11 3 30 5 1 29 7 3 30 5 12 3 30 10 20 5 30 10 25 5 30 10 FY 2002 RESULTS AND ACCOMPLISHMENTS Significant progress was made in all areas toward increasing the number of math and science and agricultural science teachers in the K-12 system. For example, Elementary Math/Science Teacher Preparation: over 80 applicants for 30 positions involved eight collaborating school districts in the Tucson area applicants brought in an average of over 37 math and science credits applicant ages ranged from 24 to 55 years Secondary Science Teacher Preparation worked collaboratively with Pima Community College to offer their 200-level science teacher preparation course at Pima. Although Secondary Science Teacher Preparation completers were below projections, the new program is actively recruiting new students and expects to recover substantially this year. The Center for Recruitment and Retention of Mathematics Teachers (CRRMT): Tutoring Project involved 15 students in Fall and 28 new students plus 10 returning students in Spring for 15 mathematics teachers in the city. The CRRMT also supported an Induction Program for new Mathematics teachers, working in FY 2002 with 15 first- and second-year middle and high school mathematics teachers. Agricultural Education: included both initial visits/presentations and personalized follow-up with interested students; several presentations were made at State FFA Leadership Conferences and Camps. involved 37 scholarships to students, 12 new to the program. involves internships with agricultural science teachers statewide for high school students. Currently, six high school students have been accepted for internships. Science Preparation Course Development: the entire Secondary Science program is being developed, with an emphasis on assessment Collaborations between Colleges of Education, Science, and Agriculture and Life Sciences: the entire project is managed by a team of faculty and associate deans from the Colleges of Education, Science, and Agriculture and Life Sciences, who work together on all policy, budget, and operational issues. This TRIF initiative is one of the strongest collaborations that exists between these Colleges. ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS MANUFACTURING FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL Note: FY 2002 expenditures include encumbrances at 6/30/02. $ 479,200 $ 464,400 $ 500,400 $ 522,800 $ 813,600 $ 1,210,000 $ 341,000 68,300 69,900 479,200 $ 99,700 9,900 23,600 133,200 $ 375,900 69,500 55,000 500,400 $ 394,800 73,000 55,000 522,800 $ 610,600 113,000 90,000 813,600 $ 907,200 167,800 135,000 1,210,000 $ 479,200 $ 133,200 $ 500,400 $ 522,800 $ 813,600 $ 1,210,000 INITIATIVE OVERVIEW Activities in the Manufacturing Research initiative include: Developing the High Technology Manufacturing Supply Networks research agenda through collaboration with several academic institutions and industry partners. Identifying and working with industry partners to develop a roadmap to guide further High Technology Manufacturing Supply Networks research activities. Conducting funded basic research in Semiconductor Manufacturing Operations. Projects undertaken as part of the Manufacturing Research initiative began with the semiconductor industry as the research focus. The complexity of the semiconductor industry and its strategic importance to the Arizona economy will serve as a valuable first test of manufacturing research at ASU. Future plans include extending initiative research to other manufacturing sectors. FY 2002 GOALS/OBJECTIVES FY 2002 goals and objectives included: Submit major research proposal to the National Science Foundation (NSF) to support basic research in Semiconductor Manufacturing Operations. Create research road map for High Technology Manufacturing Supply Networks. Identify and generate external research funds. Create a needs assessment and requirements definition document describing the needs in the undergraduate and graduate curriculum in Manufacturing. Establish internships for ten undergraduate and graduate students in high technology manufacturing firms. Establish a test bed, including software and hardware, for a laboratory in High Technology Manufacturing Supply Network research. ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS MANUFACTURING FY 2002 FY 2002 ACTUAL FY 2003 PROJECTED FY 2004 PROJECTED FY 2005 PROJECTED FY 2006 PROJECTED PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Submit proposal to NSF for basic research in Semiconductor Mfg Operations 2. External funds generated 3. Develop five-year research prospectus to submit to private funding sources 4. Submit proposal to NSF to create Manufacturing Research Center REVISED EST X $1.0M X $550K $1.2M X X $1.4M $1.8M $2.0M Technology Transfer 5. Industry/University test bed established for laboratory in high technology mfg supply network research 6. Form industry/university nationwide research consortium 7. Create research road map in collaboration with industry 8. Invention disclosures 9. Patent applications(a) (a) 10. Patents (a ) 11. Startup companies (a) X X In progress X In progress 12. Undergraduate and graduate students enrolled in new internship programs in high technology manufacturing firms 13. Multi-college certificate program in Manufacturing at undergraduate and graduate levels 14. New MS degree program in High Technology Manufacturing Supply Networks (a) Workforce Development 10 0 10 10 10 10 Specific Curriculum Innovations X X The individual measures for invention disclosures, patent applications, patents, and startup companies are aggregated for the Biosciences/Biotechnology, Information Science, Manufacturing, and Materials initiatives and reported in the Technology Transfer initiative. FY 2002 RESULTS AND ACCOMPLISHMENTS Results and accomplishments for FY 2002 include: The Manufacturing initiative provided research project funding for faculty and graduate students from the College of Business and the College of Engineering and Applied Sciences. One of the projects is an ongoing project with Intel for modeling and analysis of semiconductor manufacturing supply networks. Intel committed $150,000 in matching funds. Semiconductor Research Corporation (SRC) granted a total of $338,000, with $108,000 in the first year, and NSF granted $300,000. The initiative purchased hardware to establish a test bed for a laboratory in High Technology Manufacturing Supply Network research. We are still in discussions with Oracle regarding the startup of the test bed, and Motorola for access to the SAP software necessary for the project. A research agenda and road map for High Technology Manufacturing Supply Networks is in development. We expect to complete this activity by August 2002 and will include a plan for specific research projects with faculty, student, and industry resources identified and committed. The initiative provided eight research assistantships in FY 2002. The downturn in the economy has delayed the start of the internship programs projected for FY 2002. We are continuing our discussions with Amkor, Avnet, Intel, Motorola, and others to create the manufacturing internships. The initiative hired a post-doctoral student to conduct research. Approximately 17 faculty members and 10 graduate students were identified to support recently submitted proposals. We also hired a senior research associate to assist with the research projects. We have initiated discussions with ASU East and Lean Aerospace Initiative Education Network (LAIEN) to create a needs assessment of requirements for the undergraduate and graduate curriculum in Manufacturing. ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ADVANCED MATERIALS FOR THE NEW ECONOMY FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL Note: FY 2002 expenditures include encumbrances at 6/30/02. $ 1,512,900 $ 1,466,400 $ 1,538,900 $ 1,571,000 $ 5,040,700 $ 5,412,700 $ 155,000 42,100 1,315,800 1,512,900 $ 115,400 19,200 1,107,700 1,242,300 $ 619,300 114,600 805,000 1,538,900 $ 844,700 156,300 570,000 1,571,000 $ 1,573,200 291,000 3,176,500 5,040,700 $ 1,992,200 368,600 3,051,900 5,412,700 $ 1,512,900 $ 1,242,300 $ 1,538,900 $ 1,571,000 $ 5,040,700 $ 5,412,700 INITIATIVE OVERVIEW The Advanced Materials for the New Economy (Materials) Initiative (with linkages to the Biotechnology and Information Technology initiatives) will accelerate ASU's participation in the nanotechnology research areas, leading to advances in microscale and nanoscale systems. The Materials Initiative builds on substantial existing strengths in nanoelectronics and emerging strengths in nanoscience and technology, and new materials such as wide bandgap semiconductors. Specifically, ASU will integrate research in physical, molecular, materials, and biological sciences with engineering to produce revolutionary nanoengineered devices including, for example, molecular electronics-based sensors and nanomagnetic memory devices. The initiative will integrate basic research and engineering in nanotechnology and advanced materials into new micro and nanoscale system concepts. Examples include novel microelectronic (low power, high power, high temperature, and/or high frequency), microfluidic, and biodevices integrated into microsystems for high value added applications in the health care, threat detection, transportation, processing, and manufacturing industries. ASU faculty make significant contributions in the materials arena, with an extensive, actively funded research portfolio totaling over $40,000,000 in external awards. The initiative also fits well with ASU's growing reputation in outreach and teacher education in science, math and engineering. We have also established strong connections with major industrial companies and national laboratories, including Motorola, for example, where ASU leads a joint National Science Foundation (NSF) grant on nanoscale sensing and is a large subcontractor on a Defense Advanced Research Project Agency (DARPA) contract aimed at developing DNA analysis on a microchip. Other partnerships currently in place include Sandia National Laboratories, where ASU has established a new Memorandum of Understanding (MOU) and numerous joint projects, Kodak, Lockheed Martin, Lawrence Semiconductor, and Molecular Imaging. FY 2002 GOALS/OBJECTIVES Significantly expand our external funding in the areas of nanotechnology and wide bandgap semiconductors. With Proposition 301 funding, conceptualize, design, fabricate and test new nanosystems for high value added applications and transfer these new technologies to the commercial sector. Simultaneously engage science and engineering students in next generation nanotechnology and materials research. Such research will create graduates with a hands-on education in economic and technological growth areas, enabling them to make valuable contributions as highly skilled members of the New Economy workforce. Provide state-of-the-art equipment and equipment upgrades for joint use interdisciplinary facilities at ASU. Create a staff infrastructure for new and upgraded joint use facilities. Attract $3,000,000 in external funding awards in specific initiative areas. Bring 10 new graduate students into the pipeline in the initiative programs, provide 12 undergraduates with research experience, and establish three new external partnerships. Hire at least one new interdisciplinary faculty member to advance Materials objectives. Enhance interdisciplinary collaborative research in nanotechnology and advanced materials between departments and across colleges. ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ADVANCED MATERIALS FOR THE NEW ECONOMY FY 2002 FY 2002 ACTUAL FY 2003 PROJECTED FY 2004 PROJECTED FY 2005 PROJECTED FY 2006 PROJECTED PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Total external funding: new awards 2. External funding: new federal awards External funding: new industrial contracts and donations 3. REVISED EST $3.15M $2.85M $0.30M $7.26M $6.86M $0.40M $3.7M $2.5M $1.2M $4.4M $3.0M $1.4M $7.0M $5.0M $2.0M $8.5M $6.0M $2.5M Technology Transfer 4. 5. 6. 7. Invention disclosures Patent applications(a) Patents(a) (a) Startup companies (a) Workforce Contributions 8. New graduate students in pipeline 9. Graduate students earning degrees and entering workforce 10. Undergraduate students with research experience 10 12 3 13 28 3 15 2 10 2 20 8 12 3 25 12 15 3 25 15 20 3 Partnerships 11. New research collaborations with industry and national laboratories (a) The individual measures for invention disclosures, patent applications, patents, and startup companies are aggregated for the Biosciences/Biotechnology, Information Science, Manufacturing, and Materials initiatives and reported in the Technology Transfer initiative. FY 2002 RESULTS AND ACCOMPLISHMENTS The Materials Initiative significantly exceeded the FY 2002 goal for external awards for new interdisciplinary funding, particularly in the nanotechnology thrust area. We also received a major new five-year workforce development grant, an NSF Integrative Graduate Education and Research Traineeship (IGERT) grant, that emphasizes interdisciplinary training and links nanotechnology and biomolecular research. Three new partnerships with Sandia National Labs, Motorola, and Lockheed Martin also helped to build our focus in nanotechnology and related applications in biotechnology. We made excellent progress in further strengthening ASU's interdisciplinary joint use facilities for nanoscience with a new electron beam lithography system, and for advanced materials/microsystems with two new high density plasma deep etch systems. We achieved this progress by leveraging the Proposition 301 funds with equipment grants, by adding two process engineers, and by linking the new bio/nano IGERT education program to the clean room processing facility for biodevices. A summary of major accomplishments include: Hired a senior computational materials faculty member. Three new interdisciplinary faculty searches underway in interfacial chemistry, nanoceramics, and microelectromechanical systems (MEMS). Over $7,000,000 in external grants. NSF group nanotech industrial partnership grant with Motorola and a subcontract on DARPA grant with Lockheed Martin in nano bio detection. Three new postdoc seed grants funded for interdisciplinary research initiatives. One new startup company formed - SJT Micropower Inc. MOU with Sandia National Labs signed which includes Sandia participation in three major interdisciplinary grant proposals, two new graduate student fellowships, and six new joint research projects. Two new process engineers hired in support of the Center for Solid State Electronics Research (CSSER) fabrication facility, and one support staff hired in support of Center for Solid State Science (CSSS) scanning probes facility to enhance shared interdisciplinary efforts. Won prestigious NSF IGERT grant for nanobiotechnology. ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS TECHNOLOGY TRANSFER FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL Note: FY 2002 expenditures include encumbrances at 6/30/02. $ 500,000 $ 484,600 $ 500,000 $ 500,000 $ 500,000 $ 500,000 $ 38,600 8,000 453,400 500,000 $ 59,000 9,500 267,200 335,700 $ 206,000 38,100 255,900 500,000 $ 216,300 40,000 243,700 500,000 $ 227,100 42,000 230,900 500,000 $ 238,400 44,100 217,500 500,000 $ 500,000 $ 335,700 $ 500,000 $ 500,000 $ 500,000 $ 500,000 INITIATIVE OVERVIEW The Technology Transfer Initiative will help to further develop an integrated technology transfer program at ASU by focusing on technology marketing, licensing, and business development planning. The initiative contains several components that provide an integrated approach to enhancing technology transfer and local economic development. Arizona's business and governmental leaders increasingly recognize the importance of building a more diverse, knowledge-based economy. The ASU Technology Transfer effort plays an important role in helping to achieve this goal and continues to expand the scope and impact of its technology transfer program. Faculty want to participate in the business opportunities associated with the inventions they create, with ASU and the commercial sector becoming more heavily involved in these new business opportunities and the resulting growth in economic development. FY 2002 GOALS/OBJECTIVES FY 2002 goals and objectives included: Encourage more awareness and invention disclosure activity from ASU researchers. Increase evaluation of new discoveries for technical viability and commercial potential. Invest in the development of selected new inventions that have commercial potential. Assist ASU startup companies in creating business plans for the commercialization of their inventions. Educate Arizona's private sector and investment community about technology transfer opportunities at ASU. Create a campus climate that fosters entrepreneurship. Employ a team of expert consultants to help assess and evaluate ASU technologies, establish market leads, and create business plans for commercializing innovations and technology. Fund proof of concept grants and further develop early stage university technologies. Further promote our technology marketing efforts by establishing an enhanced "electronic forum" for the promotion of technology transfer at ASU. Provide more comprehensive business development services to ASU inventors. Increase outreach activities to the business and economic development communities. ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS TECHNOLOGY TRANSFER FY 2002 FY 2002 ACTUAL FY 2003 PROJECTED FY 2004 PROJECTED FY 2005 PROJECTED FY 2006 PROJECTED PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Value of startups to ASU 2. Products in marketplace 3. Value of products to ASU REVISED EST $60K 2 $120K 15 22 3 2 5 2 5 2 $51K 5 $421K 97 108 11 3 6 2 1 9 $120K 3 $420K 27 8 2 1 5 3 10 3 $240K 4 $780K 36 12 3 2 5 4 15 4 $360K 5 $1,200K 48 16 4 2 5 5 20 5 $540K 6 $1,740K 60 20 5 3 5 6 25 6 Technology Transfer 4. 5. 6. 7. 8. 9. 10. 11. Invention disclosures Patent applications Patents Startup companies Fund proof of concept grants to faculty Business plans written Technology transfer portal inquiries from industry Licenses/options signed (technologies adopted by industry) FY 2002 RESULTS AND ACCOMPLISHMENTS Contracted with technology commercialization firm to help assess technologies and improve business development and legal decisions. Established relationships between ASU and the Arizona investment community. Thirty-seven investors attended individual conferences and 20 attended group sessions. Formed partnerships with the College of Business: High Tech MBA Partnership that integrates ASU technologies as the subject of student team projects that includes the development of a business plan. Master's Consulting Group contracts with the Office of Technology Collaborations and Licensing (OTCL) for market research services. Funded six proof of concept grants in science and engineering to help advance technologies that have potential for licensees and investors in commercial development. Five of the six awards were for the Proposition 301-related areas of Bioscience/Biotechnology, Advanced Materials for the New Economy, Information Science, and Manufacturing Established mentoring relationships for proof of concept principal investigators with local entrepreneurs and venture capitalists. Identified and coordinated activity with ASU entrepreneurial student groups. Enhanced outreach efforts with entrepreneurs, industry associations, economic development professionals, and service providers, including focus group discussions on the formation of the ASU Research and Technology Foundation. Our outreach efforts included 150 individual discussions and 190 attendees at conferences and group meetings. Established alliances with Arizona entrepreneurial groups, including The Indus Entrepreneur (TiE) and the Arizona Venture Capital Conference (AVCC). Designed and hosted entrepreneurial education workshops in conjunction with TiE and AVCC to educate and encourage interaction between the ASU and the entrepreneurial communities. Increased technology marketing efforts and provided a wide range of business development services to ASU entrepreneurs. Joined the Columbia-led International Innovation Initiative, a consortium of select academic institutions that bundles individual related technologies for marketing to industry. Enhanced ASU's visibility in web-based online technology marketing and licensing services through a contract with the Patent and License Exchange (PLX). ARIZONA STATE UNIVERSITY MAIN TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ASSESSMENT - MORRISON INSTITUTE FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL Note: FY 2002 expenditures include encumbrances at 6/30/02. $ 100,000 $ 100,000 $ 76,200 23,800 100,000 $ 55,000 12,200 67,200 - $ 100,000 $ 67,200 $ $ $ $ - INITIATIVE OVERVIEW The Morrison Institute is creating an annual assessment framework for the ASU Proposition 301 initiatives consistent with the ABOR-approved goals and objectives. The assessment will include research on "best practices" regarding similar technology/research project evaluations and the economic impact resulting from Proposition 301 activity. FY 2002 OBJECTIVES The FY 2002 objectives include: Identify best assessment practices research and designs which are relevant to Proposition 301 initiative goals and projects. Develop assessment criteria for ASU initiatives. Develop assessment report outline for aggregate ASU initiatives. Create a basic "context" document for each ASU initiative that relates initiative activities to economic scope. ARIZONA STATE UNIVERSITY EAST TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS CAMPUS CAPITAL INFRASTRUCTURE DEVELOPMENT FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs - Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ 1,400,000 $ 1,400,000 $ 2,000,000 $ 2,300,000 $ 2,300,000 $ 2,300,000 - - - - - - $ 1,400,000 1,400,000 $ 1,400,000 $ - $ 2,000,000 2,000,000 $ 2,000,000 $ 2,300,000 2,300,000 $ 2,300,000 $ 2,300,000 2,300,000 $ 2,300,000 $ 2,300,000 2,300,000 $ 2,300,000 INITIATIVE OVERVIEW The ASU East Proposition 301 initiative funds $27.5 million of Certificates of Participation (COPs) for infrastructure development, including multiple building renovations, campus infrastructure improvements, a new flightline facility for Aeronautical Management Technology flight programs, and a new campus student union. The building renovations will prepare academic space, including classrooms, faculty and staff offices, and student support services to meet anticipated growth. The infrastructure improvements continue the transition of the former Williams Air Force Base to an attractive university campus. The major projects include campus street and roadway improvements; new campus malls; lighting and emergency telephones; a new master irrigation system; and campus landscape improvements. FY 2002 PROGRESS The COPs were issued in June 2002 with the first payment due in December 2002. ARIZONA STATE UNIVERSITY WEST TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS CLASSROOM LABORATORY / COMPUTER CLASSROOM II BUILDING AND CENTRAL PLANT EXPANSION FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service COPs - Lease Purchase Payment TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ 1,100,000 $ 1,100,000 $ 1,600,000 $ 1,800,000 $ 1,800,000 $ 1,800,000 - - - - - - $ 1,100,000 1,100,000 $ 1,100,000 $ - $ 1,600,000 1,600,000 $ 1,600,000 $ 1,800,000 1,800,000 $ 1,800,000 $ 1,800,000 1,800,000 $ 1,800,000 $ 1,800,000 1,800,000 $ 1,800,000 $ INITIATIVE OVERVIEW The ASU West Proposition 301 initiative funds $21.6 million of Certificates of Participation (COPs) for two projects, a 104,400 gross square foot (GSF) Classroom Laboratory/Computer Classroom Building (CLCC II) and a Central Plant expansion. The CLCC II building includes approximately 42,000 net assignable square footage (NASF) of instructional space with a 150-seat lecture hall, two 80-seat classrooms, ten 60-seat classrooms, two 40-seat computer classrooms, five science labs, and one computer lab. The Central Plant expansion will add 4,800 GSF for a new 1,000 ton chiller, a thermal storage tank, and utility line extensions required to service the CLCC II building. FY 2002 PROGRESS The COPs were issued in June 2002 with the first payment due in December 2002. NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ENVIRONMENTAL RESEARCH, DEVELOPMENT AND EDUCATION FOR THE NEW ECONOMY (ERDENE) FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ 1,500,000 $ 1,453,858 $ 1,560,000 $ 2,340,000 $ 3,000,000 $ 3,300,000 $ 1,082,379 211,064 206,557 1,500,000 $ 911,770 150,455 212,735 1,274,960 $ 1,044,456 203,669 311,875 1,560,000 $ 1,096,679 213,852 229,469 1,540,000 $ 1,526,063 297,582 236,355 2,060,000 $ 1,644,866 320,749 394,385 2,360,000 $ 1,500,000 $ 1,274,960 $ 1,560,000 800,000 800,000 $ 2,340,000 940,000 940,000 $ 3,000,000 940,000 940,000 $ 3,300,000 INITIATIVE OVERVIEW Throughout its history, Arizona's economy has been closely linked to the state's environment and natural resources. Rich mineral resources, a healthful climate, and wondrous landscapes have stimulated economic enterprises in our cities and from Yuma to Page. Development of higher education in Arizona has influenced, and been influenced by, these incredible resources. Leading academic programs in astronomy, forest science, hydrology, materials science, hospitality management, environmental engineering and technology, and others are directly related to the state's resources and economy. Research by The Morrison Institute and others demonstrates the importance of "quality of life" when business leaders choose where to invest, where to locate, and where to expand. Environmental Research, Development and Educatio for the New Economy (ERDENE), managed by the Center for Sustainable Environments, builds on Northern Arizona University's leadership, expertise, and collaborations in environmental and natural resources science, technology, and management. It is designed to accelerate Arizona's environmental business enterprises, to better understand and manage our critical resources, and to prepare Arizona's workforce for the many opportunities these represent. Some benefits to the citizens of Arizona include: - Ecological restoration projects such as developing solutions to the threat of catastrophic fires at the wildland/urban interface - Leveraging additional resources from private, state, and federal sources - New Economy business start-ups - Economic development assistance to local governments in natural resource management - Assisting existing business and local government through workforce training and development in environmental themes and skills - A state-of-the-art environmental research and development facility - Development of new courses and certificates in ecological restoration, conservation, and environmental sciences and engineering - Preparation of baccalaureate, master, and doctoral students in the environmental professions FY 2002 GOALS/OBJECTIVES 1. Organize and staff projects 2. Build on existing partnerships with business, education, government, and tribal entities 3. Develop new credit-bearing and workshop-type courses NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ENVIRONMENTAL RESEARCH, DEVELOPMENT AND EDUCATION FOR THE NEW ECONOMY (ERDENE) FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Leveraged federal and state funds 2. Leveraged industrial funds 3. Leveraged other funds (private, etc.) 4. Other returns (presentations and publications) REV EST $4,500,000 $65,000 $183,300 10 0 $5,525,000 $366,000 $642,000 121 $4,275,000 $100,000 $200,000 120 $4,275,000 $100,000 $200,000 120 $5,699,000 $133,000 $267,000 130 $6,508,000 $152,000 $304,000 135 Technology Transfer 5. Products generated and in the marketplace 6. Business spin-offs 7. Patent applications generated 8. Conferences sponsored 9. Business expansions 0 2 35 23 0 1 1 14 2 56 38 0 26 85 5 5 5 2 4 13 8 5 3 10 2 2 4 17 34 20 1 1 15 2 50 33 5 30 85 5 6 7 3 3 18 25 20 1 1 15 3 56 38 5 32 85 6 6 10 3 3 18 30 22 1 1 17 4 60 45 7 35 90 6 8 10 4 4 24 30 25 2 2 18 5 70 50 8 35 100 8 9 13 5 5 27 40 25 Workforce Contributions 10. Graduate/postdoc students in pipeline or graduated 11. High-end baccalaureates in specific disciplines 12. Certificates granted 13. Undergrad students in pipeline 14. Continuing Education professionals Specific Curriculum Innovations 15. New programs such as Certificates (students) 16. Revised courses 17. New courses Partnerships 18. Community College 2+2 Programs 19. Tri-University (ASU, NAU, UA) 20. Industry/private sector collaborations 21. Community-based (including tribes) 22. Regional, nat'l, internat'l research and linkages FY 2002 RESULTS AND ACCOMPLISHMENTS The importance of these projects to Arizona's economy was highlighted by the tragedy of this summer's Rodeo-Chedeski fire. One of the projects in this initiative focuses on forest health and restoration. Other initiatives resulted in significant leverage funds, business spin-offs, and increased partnerships with government and business entities. Outcomes include: 1. The funds provided to the Ecological Restoration Institute enabled NAU to contribute its share of funds toward securing an $8,000,000 award from the federal government (these funds are not included in the above totals since they were acquired prior to the start of Proposition 301 funding). Another $5,000,000 in grants was attracted through resources available through Proposition 301 NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS ENVIRONMENTAL RESEARCH, DEVELOPMENT AND EDUCATION FOR THE NEW ECONOMY (ERDENE) 2. This time-period saw one business expansion (wind-powered resources) and one business locating in Flagstaff (Flagstaff Farmer's Market) due to the support and services available to it through 301 funds, in addition to significant progress on several patentable ventures. 3. Over 20 graduate students received financial support (in exchange for research contributions) through 301 funds. 4. Several new courses were developed and presented, including "Community Genetics" "Renewable Energy Resources" and "Ecological Restoration Policy." 5. Short-courses and workshops were developed and presented to community professionals on topics such as Fire Ecology, Indigenous Mapping, and Food Sustainability. 6. Among the expanded partnerships developed during this period was one with the Babbitt Ranches which will result in mutual cooperation and opportunity with one of the most significant land partners in the state. This project will be supported with 301 funds in FY 2003 7. ERDENE participants sponsored several major conferences and produced several published papers and presentations at conferences. 8. A new certificate, "Conservation Ecology" has been developed. NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS CAPITAL PROJECTS FY 2002 REV BUDGET FY 2002 ACTUAL FY 2003 BUDGET FY 2004 BUDGET FY 2005 BUDGET FY 2006 BUDGET REVENUE EXPENDITURES OPERATING BUDGET Personal Services ERE All Other Operating TOTAL OPERATING BUDGET CAPITAL BUDGET Building Renovation Debt Service TOTAL CAPITAL BUDGET EXPENDITURES GRAND TOTAL $ 300,000 $ 290,771 $ 48,000 8,880 243,120 300,000 $ 30,692 5,482 55,285 91,459 $ 300,000 $ 91,459 INITIATIVE OVERVIEW The major focus of this project is planning for capital projects to be constructed in ensuing years. Debt service for these projects will be funded in full or in part with Proposition 301 collections. The two major projects involved are the construction of an Applied Research Building and a renovation of the 30+ -year-old Biology/Chemistry labs and classrooms. The Applied Research Building will bring together researchers from a variety of sectors in a facility designed to maximize use of environmentally sensitive materials and operations through building techniques and site location. Building occupants may include the Environmental Restoration Institute and partners in the Center for Sustainable Environments, as well as other, primarily environmentally related entities. The renovation of the Biology/Chemistry labs and classrooms will enable NAU to produce graduates with current knowledge and skills in biotechnology as required by the New Economy. FY 2002 GOALS/OBJECTIVES This year's focus is on the Applied Research Building. Goals and objectives were: 1. 2. 3. 4. Organize building planning group Select site Select building occupants Begin efforts to secure public or private funding to augment Prop 301 dollars NORTHERN ARIZONA UNIVERSITY TECHNOLOGY & RESEARCH INITIATIVE FUND (TRIF) - FY 2002 RESULTS CAPITAL PROJECTS FY 2002 FY 2002 ACTUAL FY 2003 FY 2004 FY 2005 FY 2006 PERFORMANCE MEASURES/DELIVERABLES Return on Investment 1. Site selection 2. 3. 4. 5. 6. 7. 8. 9. 10. 11. 12. 13. Building occupants defined "Green" consultant hired Charette for building needs held Identification of matching funds Architect hired Board approvals obtained Schematic drawings prepared Preparations made for bond issuance Building construction Planning for Biology/Chemistry renovations Board approvals obtained (Bio/Chem) Building renovations REV EST X X X X X partial X X FY 2002 RESULTS AND ACCOMPLISHMENTS Significant progress w |
