Enriching Arizona's knowledge economy : creating the research connections, attention and talent Arizona needs to compete: Proposition 301 investments at Arizona State University, FY 2002 - FY 2005

              ENRICHING ARIZONA'S KNOWLEDGE ECONOMY



C R E A T I N G THE RESEARCH CONNECTIONS, ATTENTION, AND TALENT ARIZONA NEEDS TO COMPETE



P R O P O S I T I O N 301 INVESTMENTS AT ARIZONA STATE UNIVERSITY F Y 2002 - F Y 2005







S C H O O L OF PUBLIC AFFAIRS / COLLEGE OF PUBLIC PROGRAMS







E N R I C H I N G A R I Z O N A 'S K N O W L E D G E E C O N O M Y



C R E A T I N G THE RESEARCH CONNECTIONS, ATTENTION, AND TALENT ARIZONA NEEDS TO COMPETE P R O P O S I T I O N 301 INVESTMENTS AT ARIZONA STATE UNIVERSITY, FY 2002 - F Y 2005







BY RICK HEFFERNON with Rob Melnick and Lili Stiefel Morrison Institute for Public Policy







T h i s report, t h e CAT Measures name, a n d the CAT Measures methodology all are copyright �2006 by the Arizona Board of Regents for and on behalf of Arizona State University and its Morrison Institute for Public Policy.







E X E C U T I V E SUMMARY



Numerous studies have concluded that university science and technology research can lead to economic growth, par ticularly in the fast growing and high paying knowledge economy industries. Across the country and around the world, many state and national governments h ave heeded these studies and made substantial investments in their university research c a p a c i t y. T h e common hope is to capitalize on the wealth and job creation that can be generated by a science and technology-based economy. A r i z o n a is among the biggest recent investors. Pa s s a g e of Arizona's Proposition 301 in N ove m b e r 2000 earmarked an estimated $1 billion over 20 years to support increasing science and technology research capacity at the state's three public universities. O t h e r r e s e a r c h funding programs have also been initiated in the state. N o w, a f t e r the first four years of Proposition 301 funding -- FY 2002 through FY 2005* -- the question arises: How are Arizona's Proposition 301 research investments performing? The CAT Measures are designed to augment the state's Proposition 301 investment strategy. Their purpose is to:



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track key knowledge economy impacts from state-supported science and technology research activities provide timely feedback to policymakers and research managers complement Arizona's existing measures for assessing state science and technology investments







HIGHLIGHTS OF RESULTS



In the first large-scale application of the CAT Measures to a major research investment, M o r r i s o n Institute assessed Proposition 301-related research outcomes at Arizona State U n i ve r s i t y. R e s u l t s reveal numerous knowledge economy impacts during the period FY 2002 - FY 2005. Some highlights of ASU's Proposition 301-supported research include:



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C A T MEASURES TECHNOLOGY



This report presents results tracked by the CAT Measures, a 21st century assessment tool for enabling policymakers to monitor "en route" per formance of their public investments in science and technology research. D eveloped by Morrison Institute for Public Policy at Arizona State University, the CAT Measures analyze growth supporting three pillars of the knowledge economy:



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CONNECTIONS Established more than 300 contractual research connections with businesses a n d universities in the U.S. a n d abroad; e n g a g e d in over 3,400 research collaborations w i t h professional colleagues at other institutions and companies around the world; won more than $86 million in competitive non-state public and private research grants. AT T E N T I O N Produced over 800 scientific papers published in peer-reviewed journals; r e c e i ve d nearly 5,300 citations of these papers in the work of researchers at other universities, l a b s, a n d companies around the world; i m p r ove d ASU's ranking among top research universities by 10 percentile points. TA L E N T Increased the science and technology skills of 245 graduate students and postdoctoral researchers who participated directly in multidisciplinary research during FY 2005; produced science and engineering graduates whose starting salary offers increased 8 percentage points over their peers nationally.







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CO N N E C T I O N S -- the networks developed among researchers, e n t r e p r e n e u r s , a n d venture capitalists that help transfer knowledge and generate economic opportunities AT T E N T I O N -- the "buzz" g e n e r a te d by research and research networks that attracts businesses, pr ivate investment, and highly skilled workers to a region TALENT -- the top scientists, students, and technically skilled workers that help make a region fertile ground for research, innovation, entrepreneurship, and economic growth



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* Arizona's fiscal year runs July 1 through June 30.







The full range of results for ASU are presented on pages 14-15.







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CONCLUSIONS AND POLICY RECOMMENDATIONS



Although "Talent" is only one of the categories of the CAT Measures, its effects are evident in all three. Ever y number included in this report is fundamentally about people, what they know, or what they produce. Th e importance of talent to success in the knowledge economy has b e e n recognized at the highest levels, i n c l u d i n g in the January 2006 State of the Union a d d re s s, a n d in the president's American Competitiveness Initiative, a proposal to increase f i n a n c i a l support for top research scientists and also improve the quality and quantity of m a t h and science education. Three essential insights came from the research for this report:



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A n a l y z e the current and prospective labor force including Arizona's college and university students. I t is time to dig below the headlines to help everyone understand exac tly who comprises Arizona's talent pool and what kinds of policy choices could increase both productivity and the talent pool in science and technology. I n v e n t o r y and compare Arizona's university-based programs to increase skilled graduates -- particularly among minorities -- in math, s c i e n ce, a n d technology fields. Wh i l e many existing programs may work well on a small scale, Ar izo n a leaders need to understand how to boost these efforts to create a full pipeline of local talent ready with the s k i l l s required to fill the state's knowledge economy jobs, adva n ce scientific research, a n d c reate innovative new companies. Wo r k with teachers and students to reinvigorate K-12 math and science teaching. Fo r Arizona to develop a more competitive knowledge economy, K - 1 2 teachers and students must be informed about successful Proposition 301 research efforts and the future j o b s these efforts will create in Arizona. Te a c h e r s and students also need new incentives to u p g ra d e their science and technology skills and credentials. Assess Arizonan's attitudes toward science and technology, par ticularly the perceived b enefits or drawbacks for themselves, for Arizona students, and for the economy. Such information could help improve K-12 and postsecondary education and lead to new strategies for increasing the state's future talent pool for a knowledge economy. D e t e r m i n e why some research initiatives pay off better for the knowledge economy than others. Conduc t in-depth analyses of exemplary research projects and teams to uncover the reasons behind their steep trajectories; then create an accounting of "best practices" for use in planning and guiding future research investments. Answer the question: "Is Arizona becoming more competitive in the national and global k n ow l e d g e economy?" Co nve n e a roundtable group of internationally prominent analysts to periodically review relevant data and determine how Arizona's research trajectory compares with those of acknowledged research leaders elsewhere in the world.







Hard numbers bear out the intuitive premise of Proposition 301 -- that investing public money in the best and brightest university research scientists pays off directly in increases in external research grants, contrac ts, and licensing fees from intellectual property, and i n d i r e c t l y by attracting new research institutions and companies to the region. Arizona's past and future successes in science and technology -- and subsequent economic gains -- stem from how much talent is available in the region, and what is done to develop, maintain, and nurture that talent. D eveloping a robust workforce for the Arizona knowledge economy -- from recruiting top research scientists and graduate students to developing the state's "pipeline" of new talent -- is critical to the state's future competitiveness.







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S everal issues would benefit from further analysis. For example, we should know more about Arizona's labor force for the knowledge economy, including its current composition and status, and its prospects for the future, especially in regard to university and K-12 education programs. We also need more information regarding the perceptions of Arizona's students, parents, and taxpayers about science and technology and the attractiveness of these fields as careers. These information gaps and the study's results lead to the following six recommendations for Arizona policy makers, CEOs, and education leaders:







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S C I E N C E AND TECHNOLOGY RESEARCH AS AN ECONOMIC DEVELOPMENT STRATEGY : D O E S IT WORK?



In 2000, the value of university research grant funding in the U.S. from all sources -- federal, i n d u s t r i a l , s t a t e , a n d others -- exceeded $30 billion, t h e highest in the world. A r i z o n a universities, however, received only a small share of those funds, attrac ting less than half a billion dollars, or about 1.3% of the nation's total. B u t 2000 proved to be a watershed year for science and technology research at Arizona's u n i v e r s i t i e s . I n November 2000, A r i z o n a voters approved a legislatively referred ballot m e a s ure that established a special state sales tax dedicated to educational purposes. This vote for education included a large and unprecedented new investment in science and technology research at Arizona's three public universities: Arizona State University, Universit y of Arizona, a n d Northern Arizona University. Th e goal of the research investment was to:



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Although the Proposition 301 funds earmarked for Arizona's universities -- almost $50 million per year, near ly $1 billion over 20 years -- may seem like a huge investment, it is actually small compared to the amount of federal, industrial, and other grant funds that universities must additionally win in order to become competitive research institutions. Thus, the real pur pose of state research investments is to create conditions at the universities that will attrac t and generate new funding in multiples of what the state spends. Only then can research outputs be substantial enough to produce noticeable economic results over time. So a legitimate question arises: Is Arizona's new emphasis on science and technology research ac tually working as an economic driver? One thing is clear. Arizona universities have increased their total university grant funding since 2000. From 2001 (when Proposition 301 revenue star ted to be collected) to 2003 (the most recent National Science Foundation data available), Arizona's total external research funding* increased by $90 million, or 28%. This increase was almost 11 percentage points higher than Arizona's performance for the period 1998 to 2000, and 4 percentage points higher than the national average increase. Never theless, it represents only a small increase in Arizona's national share to 1.4%. But grant funding growth is only one indicator of success for the state's strategy. M oreover, it is not clear how much, if any, of the above results are due to a single targeted investment s u c h as Proposition 301. To better understand the impacts of the Proposition 301 research i nv e s t m e n t by itself, o n e must consider what Proposition 301 funding is intended to do: enable Arizona's public universities to conduct research that leads to new products, n e w c o m p a n i e s, n e w higher-paying jobs, and a virtuous cycle of economic growth. To achieve



* These were grants won by Arizona university scientists from federal, industrial, and other non-state sources to support proposed or expanded research projects.







increase Arizona's share of "external" funding (e.g., federal and industrial grants) for university science and technology research stimulate growth of the state's knowledge economy (companies that rely on science and technology expertise) attrac t and train more top scientists, engineers, and skilled knowledge workers generate more high-paying jobs for Arizona residents







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Numerous studies have made the case that the amount of money a country or region spends on research funding correlates strongly with the region's long-term economic growth. That is why across the country and around the world, governments rich and poor expect to capitalize o n the wealth and job creation that can be generated by a science and technology-based e c o n o my. A l r e a d y in the U.S., m a ny state governments have made substantial investments t o increase the research capacity of their public universities.







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these goals, t h e universities will need to apply their new funding to hire and retain more top researchers; train future highly-sought scientists and skilled graduates to work in Arizona b u s i n e s s e s ; e s t a b l i s h beneficial networks of shared knowledge with researchers at other institutions and companies; and build a reputation for Arizona as fertile ground for innovation, research, and opportunity. These are not short-term strategies with immediate gratification. I t will take time to accomplish all of these tasks...decades at least. I n the meantime, Ar i zo n a n s need an assessment tool to help them decide whether their public investments in university science and technology research are on the right track. Th e solution is similar to that used for any investment in long-term returns. Th e Proposition 3 0 1 investment must be monitored "en route" to its ultimate goal of strengthening Arizona's k n ow l e d g e economy. R e g u l a r assessment will help policymakers and research managers analyze whether the funded research has taken a promising direction, and it will help them track whether it stays on course year after year. Such assessments can't guarantee success, but if applied fairly and used wisely, they can aid in decision-making and "course corrections," thereby increasing the odds that investment money will be put where it does the most good. M o re ove r, g o o d assessments offer a far better strategy than just waiting and hoping for p r o g r e s s. Th e problem is that no such assessments have previously been available. T h e report that follows presents the CAT Measures, a 21st century assessment tool for policymakers that enables en route monitoring of public investment in science and technology research. D e ve l o p e d by Morrison Institute for Public Policy at Arizona S t a t e University, t h e CAT Measures track growth supporting three critical pillars of the knowledge economy: C o n n e c t i o n s , A t t e n t i o n , a n d Talent (see page 11 for more information).







In this, the first large-scale application of the CAT Measures to a major research investment, M or rison Institute has assessed Arizona State University's Proposition 301-related research o u t c o m e s . R e s u l t s for the first four years of Proposition 301 funding are presented on s u b s e q u e n t pages. I n addition, t w o appendices contain background information and c o m p l e m e n t a r y results regarding the Proposition 301 investment at ASU. These appendices include an overview of Proposition 301 funded research projects and data from ASU's report on performance measures required by the Arizona Board of Regents. T h e data are here. B u t what is the multiplier effect for Arizona's economy when ASU's Pr o p o s i t i o n 301-funded research annually produces 200 new scientific papers, e d u c a t e s 250 new scientists, o r attracts $28 million worth of new grants? Connecting these a c c o m p l i s h m e n t s to Arizona's economic prosperity requires additional research and a longer period of data collection. N e v e r t h e l e s s, e c o n o m i s t s and economic developers i n c r e a s i n g l y agree that an area with top talent, c l o s e l y linked networks of researchers, and continuously generated new ideas has a powerful competitive advantage. Th e research results contained in this report paint a picture of how well the Proposition 301 funding has been leveraged by ASU and how much it has contributed to the state's knowledge economy. Such knowledge can help policymakers and research managers grasp the direction t h e s e investments have taken, t h e intensity of the research output, a n d the assets for success that have been created. W i t h continued monitoring and analysis, t h e forecasts s h o u l d keep getting better.







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A B O U T PROPOSITION 301 AND ARIZONA'S TECHNOLOGY AND RESEARCH INITIATIVE FUND



Arizona Proposition 301 was a ballot measure conceived by state leaders to provide financial support to specific statewide education programs. I t was referred to the ballot by the Arizona State Legislature and approved by voters in November 2000. Am o n g it's features:



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The public university share of Proposition 301 revenue for FY 2005 totaled almost $56 million, which was allocated among Arizona's three public universities and the Arizona Board of Regents. The university share is anticipated to cumulatively reach $1 billion by FY 2021. Revenue from Proposition 301 for the state's three public universities flows through "TRIF," the state's Technology and Research Initiative Fund, which is administered by the Arizona B oard of Regents as part of a long-term economic development strategy for the state. The goal of the Proposition 301 investment in Arizona's public universities is to build the state's science and technology portfolio to provide both a foundation for, and stimulus to, a competitive knowledge economy in Arizona.







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Proposition 301 established a 20-year-long, 0.6% increase in state sales taxes primarily to support K-12 education programs, public university science and technology research, and community college workforce development programs. The Proposition 301 sales tax produced over $532 million for all beneficiaries in fiscal year 2005 (FY 2005 runs July 1, 2004 to June 30, 2005).







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S I M P L I F I E D DISTRIBUTION OF PROPOSITION 301 REVENUE







P R O P O S I T I O N 301 S A L E S TAX







K - 1 2 EDUCATION



$ 4 6 1 . 9 MILLION



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TRIF



(TECHNOLOGY AND RESEARCH INITIATIVE FUND}







COMMUNITY COLLEGES



$ 1 4 . 5 MILLION1







$ 5 6 . 0 MILLION1







FACILITIES, TEACHER SALARIES, OTHER



S ource: Morrison Institute for Public Policy, 2006.



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A R I Z O N A STATE UNIVERSITY







UNIVERSITY OF ARIZONA







N O R T H E R N ARIZONA UNIVERSITY







A R I Z O N A BOARD OF REGENTS







WORKFORCE DEVELOPMENT, TRIBAL COLLEGES







FY 2005.







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A S U ' S RESEARCH REVENUE AND EXPENDITURES FROM PROPOSITION 301



ASU's new research revenue from Proposition 301 amounted to $18.7 million in FY 2005. Over the four fiscal years, FY 2002 through FY 2005, Proposition 301 provided a total of $64.8 million for ASU research.* These funds were assigned to research related activities each year as follows:



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ASU's expenditures of Proposition 301 revenue for research and support initiatives totalled $20.3 million in FY 2005, including unspent funds from the prior year. Expeditures were:



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$19.3 million for operating expenses $1.0 million for capital expenses related to Proposition 301 research projects







F Y 2002 S i x independent research and support initiatives in biosciences, i n f o r m a t i o n technology, a d v a n c e d materials, m a n u f a c t u r i n g, t e c h n o l o g y transfer, a n d access/workforce development FY 2003 through FY 2005 Large interdisciplinary research projects under the Biodesign Institute at ASU and ASU's Capacity Building Project Investments (see Appendix A for more information)







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Over the four fiscal years FY 2002 through FY 2005, ASU expenditures totaled $61.8 million for Proposition 301-related research and research support initiatives.



* Financial data do not include Proposition 301 funds allocated to ASU Polytechnic and ASU West for capital infrastructure development and building and central plant expansion.







A S U PROPOSITION 301 REVENUES AND EXPENDITURES FOR RESEARCH ($ MILLIONS)



$25







YEAR 1 F Y 2002 New Revenue Expenditures Operating Capital $15.2 $7.7 $5.0 $2.7







YEAR 2 F Y 2003 $14.8 $20.7 $17.9 $2.8



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YEAR 3 F Y 2004 $16.1 $13.1 $12.7 $0.3







YEAR 4 F Y 2005 $18.7 $20.3 $19.3 $1.0



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T O TA L F Y 2002-FY 2005



$20







$20.71 $18.7 $15.2 $14.81 $16.1 $13.1 $7.7



$2.7 Capital $5.0 Operating $17.9 Operating $12.7 Operating $0.3 Capital $2.8 Capital







$20.31



$1.0 Capital







$64.8 $61.8 $54.9 $6.8



$15







$10







S ource: Morrison Institute for Public Policy, 2006. Data: Technology and Research Initiative Fund (TRIF) Annual Report, Arizona Board of Regents for fiscal years 2002, 2003, 2004 and 2005. Note: Figures may not sum due to rounding.



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$5







$19.3 Operating







$0







FY 2002







FY 2003







FY 2004







FY 2005







FY 2002







FY 2003







FY 2004







FY 2005







Expenditures exceed revenue in some years because unspent funds from prior years were carried forward.







REVENUE







EXPENDITURES







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A S U ACCOUNTABILITY AND ANALYSIS OF PROPOSITION 301 RESEARCH



Research and fiscal results from Proposition 301 funding at Arizona's public universities have been regularly monitored and reported since FY 2002.



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Annual TRIF reports The Arizona Board of Regents requires Arizona's three public universities to collect data annually on specific performance measures for Proposition 301-suppor ted research. Results each year are compiled in an annual Technology and Research Initiative Fund report* that is reviewed by the Arizona Board of Regents in August, and then presented to the Governor of Arizona and the Arizona Legislature in September. Three-Year Aggregate Report At the end of FY 2004, the Board of Regents required universities to submit a special report aggregating results from the first three years of Proposition 301 funding. For ASU, that information was provided by Morrison Institute (see below). Annual Morrison Institute reports Since 2002, M orrison Institute for Public Policy has been conducting ongoing, value-added analysis of ASU's performance that is in addition to reporting required by the Board of Regents.







introduced the concept of the CAT Measures -- a new model for determining public return from state investment in university-based science and technology research by analyzing the value of Connections, Attention, and Talent (see page 11 for more information).







� Morrison Institute's FY 2003 report, New Returns on Investment in the Knowledge Economy:



Proposition 301 at Arizona State University, FY 2003*, analyzed data from the August 2003 ASU report to the Arizona Board of Regents and presented ASU's performance relative to the knowledge economy in five categories: new money, new programs, new ventures, new skills, and new talent.







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� Morrison Institute's FY 2004 report, New Returns on Investment in the Knowledge Economy:



Proposition 301 at Arizona State University; Three-year Aggregate Report, FY 2002 - FY 2004* , compiled and analyzed ASU performance measures over the first three years of Proposition 301 funding, presented return on investment data relevant to the knowledge economy, and illustrated performance trends over the three years.







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� Since FY 2002, Morrison Institute researchers have been developing the CAT Measures,



a new assessment tool for analyzing the performance of investments made in university science and technology research for economic development purposes. In 2004, a field test of the CAT Measures was conducted assessing the Biodesign Institute at ASU.







� Morrison Institute's FY 2002 report, S eeds of Prosperity: Public Investment in Science and



Technolo gy Research*, described ASU's first-year Proposition 301-supported activities, presented ASU's Proposition 301 results in light of current thinking on the knowledge economy, explained the economic and industrial context for ASU's high tech research, and







* Links to these reports can be found on page 20.







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A B O U T THE CAT MEASURES ASSESSMENT OF SCIENCE AND TECHNOLOGY RESEARCH



The purpose of the CAT Measures assessment tool is to:



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track key knowledge economy impacts from state-supported science and technology research activities provide timely feedback to policymakers and research managers complement Arizona's existing measures for assessing state science and technology investments







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Th e following page displays the array of CAT Measures with corresponding units of analysis, d a t a sources, a n d explanations. Fo r 12 of the 15 indicators, d a t a are based on output from t h e total group of researchers ("Prop 301 cohort") involved with Proposition 301-related p r o j e c t s at ASU during FY 2005. Tw o indicators -- both rankings -- are based on the performance of the university as a whole. O n e indicator -- salary offers -- focuses only on science and engineering graduates with majors related to Proposition 301 topics (e.g., m o l e c u l a r biology, b i o e n g i n e e r i n g ) .







In keeping with the state's Proposition 301 investment strategy, t h e CAT Measures focus on research outcomes related to three pillars of the knowledge economy considered critical to the innovation and technological advance that feeds knowledge economy growth. Th e s e p i l l a r s have not previously been tracked in a systematic and timely manner. T h e y are:



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CO N N E C T I O N S -- the networks developed among researchers, e n t r e p r e n e u r s , a n d venture capitalists that help transfer knowledge and generate economic opportunities AT T E N T I O N -- the notice generated by research and research networks that attracts businesses, p r i va t e investment, a n d highly skilled workers to a region TALENT -- the top scientists, s t u d e nt s, a n d technically skilled workers in a region that help make it fertile ground for research, i n n o va t i o n , e n t r e p r e n e u r s h i p, a n d economic growth







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C A T MEASURES, UNITS OF ANALYSIS, AND DATA SOURCES



I N D I C AT O R U N I T / CO H O R T DATA SOURCE DESCRIPTION CO N N E C T I O N S � Increase interactions and relationships with science and technology investors and innovators 1. New research grants/contributions from federal sources 2. New research grants/contributions from private sources 3. Commitments to research consortia/agreements 4. Non-ASU coauthors for published papers 5. Income from licenses and royalties on patents Prop 301 cohort1 Prop 301 cohort Prop 301 cohort Prop 301 cohort



1 1







ORSPA database3 ORSPA database3 ORSPA database



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Nominal amount of new federal grant funds won in a given fiscal year Nominal amount of all other non-state grant funds won in a given fiscal year Number of research contracts between ASU and other institutions or companies Number of non-ASU researchers who co-authored a Prop 301 cohort published paper in a given year Dollar amount of fees generated from inventions by cohort members







Prop 301 cohort1



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Thomson Scientific database of articles Arizona Technology Enterprises







AT T E N T I O N � Improve public and private sector perceptions of ASU science and technology research 6. Published papers by researchers 7. Citations by non-ASU researchers of published papers 8. Visiting faculty and researchers 9. Per formance ranking among top research universities (as percentile) 10. Ranking among best national universities (as percentile) Prop 301 cohort1 Prop 301 cohort1 Prop 301 cohort ASU ASU



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Thomson Scientific database of articles Thomson Scientific database of articles OVPREA sur vey of researchers Top American Research Universities (TheCenter) America's Best Colleges (US News & World Report)



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Number of unique published papers for the cohort in recognized journals Number of times the Prop 301 cohort's papers have been cited in other papers in a given year Number of visiting faculty and researchers formally participating in Proposition 301 research at ASU ASU ranking averaged within tier and converted to percentile ASU ranking weighted within tier by peer assessment and converted to percentile







TA L E N T � Increase the quality of the science and technology workforce at ASU and in Arizona 11. Total faculty-level researchers 12. Total post-doctoral researchers 13. Total graduate students 14. Salary comparisons for recently degreed graduate students 15. Researchers with major honors



S ource: Morrison Institute for Public Policy, 2005.



1 2 3 4 5







Prop 301 cohort1 Prop 301 cohort Prop 301 cohort



1 1







OVPREA4 sur vey of researchers OVPREA sur vey of researchers OVPREA sur vey of researchers ASU Career Services, NACE5 salar y surveys U.S. National Academies, U.K. Royal Society



4 4







Number of faculty-level researchers in Proposition 301 research centers or groups Number of post-doctoral researchers participating in Proposition 301 research centers or groups Number of graduate students participating in Proposition 301 research centers or groups Star ting salary offers reported in surveys of recent graduate students at ASU and nationally with majors related to Proposition 301 areas Number of researchers with membership in one of the U.S. National Academies or the U.K. Royal Society







Selected ASU, national graduates2 Prop 301 cohort1







All ASU faculty-level researchers affiliated with Proposition 301-related research centers and groups during FY 2005. Science and engineering graduates with masters or doctoral degrees related to Proposition 301 topics (e.g., molecular biology, bioengineering) who responded to Career Services survey of graduates. ORSPA: O ffice of Research and Sponsored Projects Administration at ASU. OVPREA: O ffice of Vice President for Research and Economic Affairs at ASU. NACE: National Association of Colleges and Employers.







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H I G H L I G H T S OF ASU'S PROPOSITION 301 RESEARCH IMPACTS FOR THE KNOWLEDGE ECONOMY



A p p l i c a t i o n of the CAT Measures reveals numerous knowledge economy impacts from Proposition 301-supported research at ASU from FY 2002 - FY 2005*. Some highlights of these research results include:



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CO N N E C T I O N S E s t a b l i s h e d more than 300 contractual research connections with b u s i n e s s e s and universities in the U.S. a n d abroad; e n g a g e d in over 3,400 research collaborations with professional colleagues at other institutions and companies a r o u n d the world; wo n more than $86 million in competitive non-state public and private research grants. AT T E N T I O N Produced over 800 scientific papers published in peer-reviewed journals; r e c e i v e d nearly 5,300 citations of these papers in the work of researchers at other universities, labs, and companies around the world; improved ASU's ranking among top research universities by 10 percentile points. TA L E N T Increased the science and technology skills of 245 graduate students and postdoctoral researchers who participated directly in multidisciplinary research during FY 2005; produced science and engineering graduates whose starting salary offers increased 8 percentage points over their peers nationally.







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The full range of results for ASU are presented on the following pages.



* I n FY 2005, f o r the first time, t h e CAT Measures were used to assess the full range of Proposition 301-supported r e s e a r c h at ASU. To the extent possible, d a t a were collected for the five most recent fiscal years, F Y 2001 through F Y 2005. T h i s period includes the first four years of Proposition 301 funding (FY 2002 - FY 2005), p l u s a "baseline" y e a r (FY 2001) for comparison purposes. Fo u r of the 15 indicators had data available for FY 2005 only.







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A S U PROPOSITION 301 RESEARCH OUTCOMES : F I F T E E N INDICATORS OF PROGRESS FOR THE KNOWLEDGE ECONOMY



CAT MEASURES INDICATOR BASELINE F Y 2001 YEAR 1 F Y 2002 YEAR 2 F Y 2003 YEAR 3 F Y 2004 YEAR 4 F Y 2005 T O TA L Y E A R S 1-4 CHANGE F Y 2005 vs. F Y 2001







CO N N E C T I O N S � Increase interactions and relationships with science and technology investors and innovators 1. New research grants/contributions from federal sources 2. New research grants/contributions from private sources 3. Commitments to research consortia/agreements 4. Non-ASU coauthors for published papers 5. Income from licenses and royalties on patents $8.2M $2.8M 50 312 $68K $11.0M $3.7M 58 644 $69K $14.4M $4.4M 73 786 $77K $19.6M $5.3M 81 1,020 $78K $21.7M $6.6M 103 976 $893K $66.7M $20.0M 315 3,426 $1.1M +$13.5M +$3.8M +53 664 +$825K







AT T E N T I O N � Improve public and private sector perceptions of ASU science and technology research 6. Papers published by researchers 7. Citations by non-ASU researchers of published papers 8. Visiting faculty and researchers 9. Per formance ranking among top research universities (as percentile1) 10. Ranking among best national universities



(as percentile1)







126 15 * 47th 48th







152 226 * 52nd 48th







197 813 * 59th 49th







244 1,822 * 62nd 48th







231 2,432 10 57th 50th







824 5,293 � � �







+105 +2,417 � +10 +2







TA L E N T � Increase the quality of the science and technology workforce at ASU and in Arizona 11. Total faculty-level researchers 12. Total post-doctoral researchers 13. Total graduate students 14. Salaries of recently degreed graduate students (as % of national salaries) 15. Researchers with major honors



S ource: Morrison Institute for Public Policy, 2005. Symbols: * data not available; � not applicable.



1







* * * 95% 1







* * * 93% 1







* * * 76% 2







* * * 90% 2







171 66 179 103% 4







� � � � �







� � � +8% +3







Percentile: a scale of 1 to 99 in which higher is better and 50 is exactly average.







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T R A J E C T O R Y : C O N N E C T I O N S , ATTENTION, AND TALENT ATTRACTED BY PROPOSITION 301 RESEARCH AT ASU



N E W RESEARCH GRANTS/CONTRIBUTIONS F R O M FEDERAL ( ) AND PRIVATE ( ) SOURCES I n Millions of Dollars







�







�







CO M M I T M E N T TO RESEARCH CO N S O R T I A / AG R E E M E N T S



120







N O N - A S U COAUTHORS FOR PUBLISHED PAPERS



1,200







I N CO M E FROM LICENSES AND ROYALTIES ON PATENTS In Thousands of Dollars



$1,000







PA P E R S PUBLISHED BY RESEARCHERS







$25







$21.7



$20 $15







$893







250







244 231 197







$19.6



100







103







1,020



1,000 800







976







$800 200 $600 $400 150 $200







$14.4 $11.0



80







786 644







81 73 $6.6



60







$10 $5 $0







$8.2 $2.8



FY 2001







600







152 126 $68 $69



FY 2002







$3.7







$4.4







$5.3







58 50



400 200 FY 2001 FY 2002 FY 2003 FY 2004 FY 2005







$77



FY 2003







$78



100 FY 2004 FY 2005 FY 2001 FY 2002 FY 2003 FY 2004 FY 2005







40 FY 2002 FY 2003 FY 2004 FY 2005







312



FY 2001 FY 2002 FY 2003 FY 2004 FY 2005







$0 FY 2001







C I TAT I O N S BY NON-ASU RESEARCHERS OF PUBLISHED PAPERS



2,500 2,000 1,500







P E R F O R M A N C E RANKING AMONG TOP RESEARCH UNIVERSITIES A s a Percentile 1



80







R A N K I N G AMONG BEST N AT I O N A L UNIVERSITIES A s a Percentile 1



80







S A L A R I E S OF RECENTLY DEGREED GRADUATE STUDENTS As a Percent of National Salaries



120%







R E S E A R C H E R S WITH MAJOR HONORS







2,432 1,822







4







4







70







70







103%



100%







3







62nd



60







95%







93% 76%







59th 52nd







57th







60







90%



2







2 1 1







2







1,000 500 0







813



50







47th







50







48th







48th







49th







48th







50th







80%







1







226 15



40 FY 2001 FY 2002 FY 2003 FY 2004 FY 2005 FY 2001 FY 2002 FY 2003 FY 2004 FY 2005 40 FY 2001 FY 2002 FY 2003 FY 2004 FY 2005 60% FY 2001 FY 2002 FY 2003 FY 2004 FY 2005 0 FY 2001 FY 2002 FY 2003 FY 2004 FY 2005







Source: Morrison Institute for Public Policy, 2005.



1







Percentile: a scale of 1 to 99 in which higher is better and 50 is exactly average.







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I N T E R P R E T I N G RESULTS : W H A T DO THE CAT MEASURES TELL US SO FAR?



The CAT Measures reveal an encouraging performance for ASU's portfolio of Proposition 301suppor ted research projects during the first four years of funding, FY 2002 through FY 2005. Indicators of Connections and Attention show especially strong results. Data available for the Talent indicators are also positive; however, some Talent indicators lack complete historic data for comparison over time. Specific interpretation for each category of the CAT Measures follows. CONNECTIONS All five indicators of Connections show substantial growth over the baseline ye a r, a s well as fairly steady growth from one year to the next. Th r e e of the indicators -- research grants from both federal and private sources and commitments to consortia -- more than doubled over the period. A fourth indicator, ex ternal coauthors, did even better, more than tripling despite a slight decline from Year 3 to Year 4. M ost remarkable, the indicator for income from licenses and royalties increased by 13-fold. This is mainly attributed to payments made by two companies for ASU patents in Year 4. AT TENTION Four of the five indicators of Attention have multi-year data for comparison purposes. All four produced increases over the baseline year. Specifically, published papers approached a doubling of the baseline number in Year 3, but then dropped back a small amount for Year 4. The number of citations of those papers by outside researchers, however, g r e w steadily and dramatically straight through Year 4. R a n k i n g among top research universities increased by 15 percentile points as of Year 3, but then fell off by five points in Year 4 to a 10 percentile increase over the baseline. R ank ing by national universities in the U.S. held fairly steady across all years, b u t moved two percentile higher in Year 4. N o b a s e l i n e or Year 1-3 data were available for visiting faculty and researchers. TA L E N T O n l y two indicators of Talent have comparable multi-year data available. B o t h showed increases over the baseline year. First, recent graduate students in Proposition 301 r e s e a r c h fields saw their starting salary offers increase over their peers nationally despite a large unexplained dip in Year 2. S eco n d, t h e number of researchers with major honors (e.g., m e m b e r s h i p in the prestigious National Academy of Science), i n c re a s e d from one to fo u r, d u e entirely to ASU's successful recruitment of eminent scientists to campus. Si n ce internationally prestigious scientists are aggressively recruited by universities, co r p o rat i o n s, a n d even nations, a gain of three in this category is significant, a n d demonstrates how impor tant Proposition 301 funding has been in making Arizona competitive in attracting top qualit y, sought-af ter researchers. The three indicators for research participants (faculty-level researchers, post-doc toral researchers, and total graduate students) had no complete data available for prior years, but records from some research units and anecdotal information indicate that each of these areas has also seen substantial increases. The CAT Measures picture will become richer and the trends more revealing as time passes. This will occur, not only because additional years of data will be available, but also because the CAT Measures assessment is designed to employ a mix of metrics that represent different stages of research output. Some indicators are more likely to produce results early, while others will accelerate later, if and when the research bears fruit. R e s e a r c h staffing level is an example of an early-stage indicator. Fo r most new research initiatives, money flows first into recruitment efforts that attract new faculty, post-docs, and g r a d u a t e students to the research agenda, a s well as into new facilities that provide the capacity to undertake the research. Staffing indicators, therefore, are more likely to jump quick ly during the first years of funding if recruitment is successful, but then flatten their trajectory when research teams have reached optimum size. Likewise, growth in the number of new papers published will tend to follow staffing increases, and then level off somewhat. On the other hand, citations of research papers can continue to grow if the discoveries and new technologies described are of particular interest or utility to researchers elsewhere. Therefore, the trajectory of citations may give insight about the quality of the research being conducted.







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University rankings are an example of late-stage indicators. Both rankings used in the CAT M easures rely on a variety of data sets that -- due to the time it takes to gather data and publish them -- always reflect a time behind "right now." The rankings also include outside perceptions of the university, and reputations can take a substantial time to change, up or down. The licensing and royalties measure is another late-stage indicator. This metric is directly related to inventions that have received industry interest and new companies that have spun off from the research. These are among the ultimate outputs of university-based research, and would be expected to grow most strongly during later stages of research as efforts mature, patents are approved, and innovations are successfully bundled together and marketed. Wh at, t h e n , ex p l a i n s the huge spike in licensing revenue that occurred in Year 4? This spike r e f l e c t s the fruits of earlier research nearing completion when Proposition 301 funding b e g a n to flow. S h o u l d this, t h e n , "c o u n t " a s a Proposition 301-related research result? Yes. N e w research initiatives are rarely designed to be conducted in isolation from the past, n o r f ro m research being conducted around the world. To the contrary, t h ey build on the existing re s e a rc h strengths of an institution and seek to expand these strengths into new territory. Fo r Proposition 301-related research at ASU, t h e extra funding and support for technology transfer helped existing research projects move out the door more quickly with new inventions a n d products, t h e re by allowing research teams to move on to further advances. As a result, l i ce n s i n g and royalties have already accrued in the early years, t h o u g h not to the extent ant i c i p ate d in years to come.







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P O L I C Y RECOMMENDATIONS



The CAT Measures track three categories of en route indicators -- Connections, Attent i o n , and Talent. Each is vitally important for reaching Proposition 301's goal of generating lasting economic return. O f the three measures, however, the Talent category drives the rest in building a knowledge economy. Ever y CAT Measures number included in this report is fundamentally about talented people, what they know, and the valuable types of knowledge they produce. Th e importance of talent to success in the knowledge economy has been recognized at the h i g h e s t levels. Pre s i d e nt Bush, i n his January 2006 State of the Union address, e c h o e d many w h e n he said: " To keep America competitive...we must continue to lead the world in human talent and creativity." He then introduced the American Competitiveness Initiative, a proposal that would increase financial support for top research scientists and improve the quality and quantit y o f math and science education. Fo r Arizona, t h e research for this first full CAT Measures report has produced the following e s s e nt i a l insights regarding talent:



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Th e CAT Measures provide valuable feedback on Arizona's progress in developing talent for t h e knowledge economy, b u t they only tell part of the story. M o re information should be deve l o p ed. Fo r example, Ar izo n a's labor force has not been sufficiently analyzed in recent ye a r s. No one has unlocked the reason why certain students take math and science classes o r how they make science and engineering career choices. No t enough is known about how Ar izo n a's students, p a rents, a n d taxpayers perceive advances in science and technology or why these fields continue to be such a tough sell to students. An d Arizona still needs to find a way to measure the state's progress against the rest of the world. Th e s e information gaps and the study's results lead to the following six recommendations fo r Arizona policymakers, C E O s, a n d education leaders: A n a l y z e the current and prospective labor force including Arizona's college and university students. Fo r decades, b u s i n e s s , e d u c a t i o n , a n d government leaders have p u b l i c l y committed to creating a quality workforce. B u t beyond basic demographics and b ro a d generalities, fe w know its composition today, how it is changing for the future, o r how to make it more productive for the innovation-driven economy that Arizona leaders wa nt to create. I t is time to dig below the headlines to help everyone understand exactly w h o comprises Arizona's talent pool and what kinds of policy choices could increase both p ro d u c t i v i t y and the talent pool in science and technology. Inventor y and compare Arizona's university-based programs to further increase skilled g ra d u ate s -- particularly among minorities -- in math, s c i e n ce, a n d technology fields. A r i zo n a's universities should increase the number of in-state students who attain degrees in technical fields such as math, s c i e n ce, a n d engineering. Th e question is, how ? A critical l o o k at the state's myriad programs would be a good starting point. Wh i l e many programs m ay work well on a small scale, Ar izo n a leaders need to understand how to boost these







H a r d numbers bear out the intuitive premise of Proposition 301 -- that investing public money in the best and brightest university research scientists pays off directly t h r o u g h increases in external research grants, c o n t r a c t s , a n d licensing fees from intellectual property; a n d i n d i r e c t l y b y attracting new research institutions and companies to the region. Ar i zo n a's past and future successes in science and technology -- and subsequent economic gains -- stem from how much talent is available in the region, a n d what is done to attract, m a i nt a i n , a n d nurture that talent. D eve l o p i n g a robust workforce for the Arizona knowledge economy -- from recruiting to p research scientists and graduate students to increasing the state's "pipeline" o f new t a l e nt -- is critical to the state's future competitiveness.







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efforts to create a full pipeline of local talent ready with the skills required to fill the state's k nowledge economy jobs, advance scientific research, and create innovative new companies. Wo r k with teachers and students to reinvigorate K-12 math and science teaching. T h i s topic has been in the news for decades, b u t Arizona has not yet figured out how to i n c l u d e everyone in math and science achievement or careers, e s p e c i a l l y minority students. Wh i l e some progress has been made, m u c h more impact on this issue is necessary if Arizona i s to become more competitive in the knowledge economy. K - 1 2 teachers and students m u s t be informed about successful Proposition 301 research results and the future jobs t h e s e efforts will create in Arizona. Te a c h e r s and students also need new incentives to u p g r a d e their science and technology skills and credentials. As s e s s Arizonan's attitudes toward science and technology, p a r t i c u l a r l y the perceived b e n e f i t or drawbacks for themselves, fo r Arizona students, a n d for the economy. L i t t l e c u r rent data exist on how Arizona residents feel about advances in science and technology, o r whether they will encourage their children to prepare for careers in scientific fields. Su c h i n fo r m a t i o n could help improve K-12 and postsecondary education and provide crucial i n fo r m at i o n on how to increase the state's future talent pool for a knowledge economy. D e te r m i n e why some research initiatives pay off better for the knowledge economy t h a n others. A few highly successful research programs positively influence CAT Measures a g g regate results. Why do some programs substantially outperform others? The answer re q u i re s in-depth analyses of exemplary research projects and teams to uncover the reasons behind their steep trajectories. Conducting such analyses would be labor-intensive and involve a combination of methods -- document review, p e r fo r m a n c e analysis, a n d interviews o r surveys of researchers, a d m i n i s t r a t o r s , i n d u s t r i a l partners, l i c e n s e e s , a n d institutional partners. Fro m that research, a n accounting of "best practices" co u l d be assembled for use in planning and guiding future research investments.







A n s w e r the question: " I s Arizona becoming more competitive in the national and g l o b a l knowledge economy?" T h e CAT Measures provide unique insights into how A r i z o n a's university-based research is performing. B u t how does it match up against o t h e r s ? This answer is essential information for policymakers. O n e practical approach is to convene a roundtable group of internationally prominent analysts to periodically review a l l of Arizona's relevant data, i n c l u d i n g the CAT Measures. Th e group's mission would b e to d e t e r m i n e how Arizona's research trajectory compares with that of acknowledged research l e a d e r s, b o t h nationally and globally.







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A D D I T I O N A L INFORMATION : R E L A T E D LINKS ON PROPOSITION 301, TRIF, AND CAT



L E G I S L A T I O N GOVERNING PROPOSITION 301 AND TRIF



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P R O P O S I T I O N 301-SUPPORTED RESEARCH AT ASU



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Purpose and administration: www.azleg.state.az.us/ars/15/01648.htm Distribution of monies: www.azleg.state.az.us/ars/42/05029.htm







Biodesign Institute at Arizona State University: www.biodesign.org/ InCise and related projects: i n c i s e. a s u . e d u / WINTech: w i nte c h . a s u. e d u / Arizona Technology Enterprises (AzTE): www.azte.com







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M O R R I S O N INSTITUTE REPORTS ON PROPOSITION 301



I







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S eeds of Prosperity: Public Investment in Science and Technology Research; A Study of the Economic Potential of Proposition 301 at Arizona State University and a New Model for Assessing its Long-Term Value: www.asu.edu/copp/morrison/seedsofprosperit y.htm New Returns on Investment in the Knowledge Economy: Proposition 301 at Arizona State University, FY 2003: www.asu.edu/copp/morrison/NewReturns-REV.pdf New Returns on Investment in the Knowledge Economy: Proposition 301 at Arizona State University, Three-Year Aggregate Report; FY 2002-FY 2004: www.asu.edu/copp/morrison/newreturns2005.htm







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R E L A T E D INFORMATION ON PUBLIC INVESTMENT IN SCIENCE AND TECHNOLOGY



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M orrison Institute articles:







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� "Daring to Invest in Tomorrow"



www.asu.edu/copp/morrison/rickopedjan25.htm







� "It Pays When Investment Foresight Is 20-20"



www.asu.edu/copp/morrison/investmentoped.htm



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T R I F REPORTS ON PROPOSITION 301



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FY 2002 TRIF report to the Arizona Board of Regents: www.ab or.asu.edu/1_the_regents/TRIF/TRIF_FY2002.p df FY 2003 TRIF report to the Arizona Board of Regents: www.ab or.asu.edu/1_the_regents/TRIF/1TRIF%20FY2003.pdf FY 2004 TRIF report to the Arizona Board of Regents: www.abor.asu.edu/1_the_regents/TRIF/TRIF%202004%20PDF.pdf FY 2005 TRIF report to the Arizona Board of Regents: www.ab or.asu.edu/1_the_regents/TRIF/FY%202005%20TRIF%20Repor t.pdf







M or rison Institute's science and technology reports: www.asu.edu/copp/morrison/public/public2s.htm







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ACKNOWLEDGEMENTS



Our gratitude to those at Arizona State University who provided data or other factual information for this project: C h e r y l Conover and Steve Beguin, O f f i c e of R e s e a r c h and Sponsored Projects Administration; R o b i n Hammond and Susan Lee, C a r e e r Services; N i c o l e Reilly, A r i z o n a Technology Enterprises; S a y f e Kiaei, W I N Te c h ; J e re my Rowe, I n C I S E ; Ya a - Yi n Fong, B i o d e s i g n Institute; J ay Murphy, O f f i ce of Vice President for Research and Economic Affairs. We gratefully acknowledge the assistance and support of: N a n c y Welch, K a r e n Leland, C h e r y l e n e Schick, A n d r e w Levi, D a n i e l Hunting, N i e l l e McCammon, A l i c e Willey, S u z a n n e E r n s t e i n , D e n n i s Mitchell, M o r r i s o n Institute for Public Policy; M a r y Van Allen, T h o m s o n S c i e n t i f i c ; K a r e n Heard, C h a l k Design. We thank the many reviewers who certified the accuracy of data and analyses or provided other important feedback.







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"IF THE COMPANIES FOUNDED BY MIT GRADUATES AND FACULTY FORMED AN INDEPENDENT NATION, THE REVENUES PRODUCED BY THE C O M P A N I E S WOULD MAKE THAT NATION THE 24TH LARGEST ECONOMY IN THE WORLD." B a n k B o s t o n



s t u d y, M I T : T h e I m p a c t o f I n n o v a t i o n







A P P E N D I X A : O V E R V I E W OF PROPOSITION 301 RESEARCH PROJECTS AT ASU



During the first year of Proposition 301 funding in FY 2002, ASU's supported research projects we re organized in six separate and independent areas. Th e s e were distinguished as follows:



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R E V E N U E AND EXPENDITURES FOR BIODESIGN INSTITUTE AND CAPACITY BUILDING PROJECTS, FY 2005 ($ MILLIONS)



C A PAC I T Y BUILDING P R O J E C T INVESTMENTS $11.2 $6.7







Four emerging research fields � b i o s c i e n ce s � information technology � advanced materials � manufac tur ing



Ava i l a b l e revenue* E x p e n d i t u re s B I O D E S I G N INSTITUTE $16.0 $13.6







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Two support areas � access/workforce development � technology transfer



S ource: M orrison Institute for Public Policy, 2006. Data: O ffice of Vice President for Research and Economic Affairs. * Available revenue includes new revenue plus carryover of unspent funds from prior year.







Subsequent years saw ASU's Proposition 301-supported research efforts consolidated and refocused on larger, more encompassing, interdisciplinar y projects coordinated under central administrative units. Since FY 2003:



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M ost Proposition 301-supported research activities were brought under the umbrella of the Biodesign Institute at ASU (formerly Arizona Biodesign Institute). O ther promising research projects funded by Proposition 301, both new and continuing, were reorganized under the title of "Capacity Building Project Investments." Tech transfer functions were largely spun off to Arizona Technology Enterprises (AzTE), a limited liability corporation affiliated with ASU that works with ASU scientists and e n g i n e e r s to package and market their inventions. Te c h transfer operations through AzTE are no longer directly supported by Proposition 301 revenue, but some grant program money flows through AzTE to ASU inventors.







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B I O D E S I G N INSTITUTE'S SCOPE CONTINUES TO EXPAND



Th e Biodesign Institute is ASU's largest single recipient of Proposition 301 funding and is the primary focus of the university's Proposition 301 research strategy. D u r i n g FY 2005, t h e B io d e s i g n Institute:



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S e r ve d as ASU's link with regional bioscience research institutions through affiliated faculty, j o i n t faculty appointments, a n d supercomputing facilities. Th e Biodesign I n s t i t u t e's collaborators included: � Translational Genomics Research Institute (TGen) � Bar row Neurological Institute � M ayo Clinic � Carl Hayden Veterans Administration Hospital � Arizona Biomedical Collaborative*







A d m i n i s t e r e d 12 interdisciplinary research centers comprised of teams representing n u m e r o u s fields of work including bioscience, b i o e n g i n e e r i n g, n a n o t e c h n o l o g y, a n d i n f o r m a t i o n technology. T h i s was a net increase of four centers over the previous y e a r and included: � creation of three new centers -- Bioelectronics and Biosensors, Environmental B i o te c h n o l o g y, a n d Innovations in Medicine -- enabled by the hiring of three eminent scientists with e x p e r t i s e in these fields � transformation of the former center for Protein and Peptide Therapeutics into the center for Glycoscience and Technology � relocation of ASU's former Cancer Research Institute to the Biodesign Institute as the center for Cancer Research







* A joint ASU-University of Arizona effort to operate a medical school campus in Phoenix.







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G O A L S OF THE BIODESIGN INSTITUTE'S 12 RESEARCH CENTERS, FY 2005



N A M E OF RESEARCH CENTER Applied NanoBioscience (ANB) Bioelectronics and Biosensors (BB) BioOptical Nanotechnologies (BON) Cancer Research (CR) Environmental Biotechnology (EB) Evolutionar y Functional Genomics (EFG) Glycoscience and Technology (GT)1 Infectious Diseases and Vaccines (IDV) Innovations in Medicine (IM) Neural Interface Design (NID) 2 Rehabilitation Neuroscience & Rehabilitation Engineering (RNRE) Single Molecule Biophysics (SMB) RESEARCH GOAL Create better tools for monitoring health and diagnosing disease -- such as a lab-on-a chip that quickly recognizes infectious viruses -- through the application of advances in nanoscience, molecular biology, and genomics. Develop a variety of small, low-power, handheld or disposable sensing devices for clinical diagnostics, environmental monitoring, and security and surveillance -- such as tiny "sniffing" devices for detecting explosives in public places -- by merging the disciplines of engineering, life sciences, and nanotechnology. Develop the next generation of biosensors, implants, pharmaceuticals, biomaterials, and nanoscale power sources -- such as a process for efficiently creating hydrogen fuel molecules from water -- through integration of biomolecular sciences, materials engineering, and solid-state electronics. Find powerful, natural anti-cancer substances existing in our environment and develop them to create new cancer treatments -- such as a compound from marine animals in Phase II human trials that has proven to be effective against gastric cancer, ovarian carcinoma, lymphomas, and renal carcinoma. Develop microbiological systems that clean up environmental pollution and transform it into renewable resources -- such as bacteria that can be manipulated to generate electricity while devouring organic waste -- through combining the techniques of engineering, microbiology, and chemistry. Understand how complex organisms develop from the genes of a single egg and how genomes of organisms change over time -- including human disease mutations -- by developing new bioinformatics techniques, better computer software for analysis of genomic databases, and other analytical tools for researchers. Develop novel drugs and treatments for controlling a broad spectrum of diseases -- such as stroke, hear t disease, and cancer -- by understanding how human sugar molecules regulate life processes. Understand the mechanisms of both infectious diseases and their antigens, and create transgenic plants that can be used as efficient systems for producing low-cost oral vaccines against commonly fatal diseases in the developing world -- such as tuberculosis, salmonella, and small pox. Look for novel approaches to fundamental problems in medicine -- such as treating cancer and creating vaccines -- to develop innovative concepts that will form the basis for the next generation of medical treatments. Improve mobility and brain functions for people with severe physical disabilities, due to central nervous system injuries or disease, by developing new technologies and therapies -- such as microdevices that stimulate muscles and nerves to facilitate walking. Design and develop technologies to counteract the effects of spinal cord injuries, Parkinson's disease, and cerebral palsy by replacing or repairing lost functions or by use of new assistive devices and therapeutic techniques. Develop new health care tools -- such as faster and less expensive ways to sequence the genome of individuals to detect disease -- by using nanotechnology techniques to study and manipulate the individual molecules that comprise living cells.







S ource: Morrison Institute for Public Policy, 2006. Data: Technology and Research Initiative Fund (TRIF) Annual Report, S eptember 2002, 2003, 2004, 2005; Biodesign Institute at ASU.



1 2







Formerly Protein and Peptide Therapeutics (PPT). Former ly Neural Interface Engineering.







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I N C R E A S I N G CAPACITY FOR RESEARCH IN IT, NANO, AND WIRELESS TECHNOLOGIES



Capacit y building research during FY 2005 continued to concentrate on a variety of projects, each integrating researchers from multiple disciplines with the goal of accelerating the creation of novel and sophisticated products. Research was organized under three basic umbrellas:



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� Par tnership for Research in Spatial Modeling (PRISM) � Software Factory (SF)* � Center for Research in Arts, Media, and Engineering (AME) � Center for Advanced Business through Information Technology (CABIT) � Consor tium for Embedded and Internetworking Technologies (CEINT)



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information science materials science (nanotechnology) wireless technologies







The goals of the three umbrella groups are described below. The research focus for each Proposition 301-supported research center or area under these three umbrella groups is displayed in the table on the following page.







Advanced materials integrates engineering with research in several scientific fields including physical, molecular, biological, and materials sciences. The goal is to produce revolutionar y nanoengineered devices such as molecular electronics-based sensors and memory devices for medical, securit y, and IT applications. Wireless technology concentrates on research and development regarding wireless d e v i c e s, i n t e g r a t e d circuits, a n d their combined applications as complete systems. The goal is to develop a fully integrated end-to-end system for the next generation of wireless and remote control sensing applications in biosciences, telecommunications, and remote sensing industries. This research blends the resources of two research programs at ASU: � WINTech (Wireless Integrated Nano Technology) � Connec tionOne (C1)







C A P A C I T Y BUILDING PROJECT INVESTMENTS IN FY 2005 :



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I







Th e Institute for Computer Information Science and Engineering (InCISE) provides leadership for research related to information technology. I t s goal is to foster novel collaborative research projects by finding opportunities for interdisciplinary research that integrates new developments in computer science with other fields, such as business o r the performing arts. I n C I S E coordinated eight research groups in FY 2005: � Center for Cognitive Ubiquitous Computing (CUbiC) � Enabling Technologies for Intelligent Information Integration (ET-I3) � Information Assurance (IA)







* Program was not funded for FY 2006.







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ENRICHING ARIZONA'S KNOWLEDGE ECONOMY FY 2002 - FY 2005







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MORRISON INSTITUTE FOR PUBLIC POLICY







R E S E A R C H FOCUS FOR CAPACITY BUILDING PROJECT INVESTMENTS, FY 2005



I N I T I AT I V E Information Science (coordinated by InCISE) C E N T E R OR RESEARCH AREA Center for Cognitive Ubiquitous Computing (CUbiC) Enabling Technologies for Intelligent Information Integration (ET-I3) Information Assurance (IA) Par tnership for Research in Spatial Modeling (PRISM) ASU Software Factory (SF)* Center for Research in Arts, Media, and Engineering (AME) Center for Advancing Business through Information Technology (CABIT) Consortium for Embedded Systems (CES)



(formerly Consortium for Embedded and Internetworking Technologies)







FOCUS Design computers that will serve the needs of physically challenged individuals, such as the blind and deaf, by making the computers more aware of their surroundings and able to communicate intuitively with humans. Solve data analysis problems such as those faced in image classification and bioinformatics by developing sophisticated and flexible new techniques for data retrieval, mining, and integration. Develop trustworthy networked information systems and ensure the quality of information being stored, processed, and transmitted by information systems and networks. Create new methods of visualizing 3D and higher dimensional data for better analysis, understanding, and decision-making in biology, geology, anthropology, fine arts, engineering, and other areas. Provide a hands-on learning experience in software engineering for student interns, and offer software development services to projects across campus. Integrate high tech engineering technologies with fine arts techniques to enable new methods of artistic creativity. Par tner with industry to advance knowledge about how to use technology more effectively in business management to increase performance and competitiveness. Collaborate with high tech industry to expand research and skills in embedded systems through an integrated program of targeted research, visiting professorships, continuous curriculum development, for-credit internships, and support for talented students through scholarships and assistantships. Create new micro and nanoscale applications and devices for sensing, memor y storage, optics, and communications technologies. Work with ConnectionOne to research and develop autonomous, wireless, nano device systems with remote control and sensing applications for the biosciences, telecommunications, and remote sensing industries, as well as for defense and environmental purposes. A National Science Foundation/University Cooperative Research Center at ASU with 18 member companies and 4 academic partners working on industry R&D needs in wireless technology.







Advanced Materials Wireless Technology







Integrated Micro/Nanosystems WINTech (Wireless Integrated Nano Technology) ConnectionOne (C1)







S ource: Morrison Institute for Public Policy, 2006. Data: Technology and Research Initiative Fund (TRIF) Annual Report, S eptember 2002, 2003, 2004, and 2005. * Program was not funded for FY 2006.







MORRISON INSTITUTE FOR PUBLIC POLICY |







ENRICHING ARIZONA'S KNOWLEDGE ECONOMY FY 2002 - FY 2005







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A MARKET-ORIENTED APPROACH TO TECHNOLOGY TRANSFER



A r i z o n a Technology Enterprises (AzTE) is a limited liability 501(c)(3) corporation closely a f f i l i a t e d with ASU. I n FY 2003, A z T E replaced ASU's former technology transfer unit. A s a limited liability corporation, A z T E can practice a "technology venturing" a p p r o a c h to commercialization of university inventions that is more business friendly than the p a s s i ve and protective handling of university intellectual property practiced by traditional u n i v e r s i t y tech transfer offices. Tech venturing allows AzTE to be:



I I I







ARIZONA TECHNOLOGY ENTERPRISES IN FY 2005:



I







ac tively assessed and marketed ASU inventions through entrepreneurial partnerships, relationships with investors, and business development services for new startup companies c o n t i n u e d the Technology Venturing Clinic, o f fe r i n g selected graduate students an oppor tunity to work with AzTE on tech venturing projects including patent investigation, business modeling, deal structuring, and market assessment and research received no Proposition 301 monies for operations*, but remained a resource for Proposition 301-supported research at ASU







I







I







more flexible in structuring licensing and partnership deals with companies more responsive to the time-sensitive development demands of the technology industry faster at licensing and commercializing new inventions







* Proof of concept grants for faculty inventors continued to be funded by Proposition 301.







N E W VERSUS OLD APPROACH TO COMMERCIALIZING UNIVERSITY INVENTIONS



P R O P O S I T I O N 301 TECH VENTURING Actively assesses new technologies for commercial value and marketability Bundles related inventions together as a portfolio to simplify and speed licensing Offers business development services and risk-sharing through partnerships with entrepreneurs Provides entrepreneurial assistance for promising faculty startups Run by individuals with business experience including venture capital and product and business development T R A D I T I O N A L UNIVERSITY TECH TRANSFER Provides passive protection of new technologies Licenses new inventions individually Does not assist companies after inventions are licensed Follows a "hands off" policy regarding faculty involved with startups Staffed with university personnel







S ource: Morrison Institute for Public Policy, 2006. Data: Arizona Technology Enterprises and ASU Office of the Vice President for Research and Economic Affairs.







28







ENRICHING ARIZONA'S KNOWLEDGE ECONOMY FY 2002 - FY 2005







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"IF YOU KNEW IN ADVANCE WHAT THE PAYOFF WOULD BE, THEN IT'S NOT R& D . "







W A LT E R R O B B , f o r m e r h e a d o f r e s e a r c h a t G e n e r a l E l e c t r i c







A P P E N D I X B : A S U ' S ANNUAL PERFORMANCE MEASURES AND DELIVERABLES REPORTED TO ARIZONA BOARD OF REGENTS



The Arizona Board of Regents requires each university to propose appropriate research p r o j e c t s and develop specific performance measures and deliverables before approving a l l o c a t i o n s of Proposition 301 funds to the universities. D a t a on the performance measures a n d deliverables have been monitored by the universities and reported each year to the R e g e n t s, t h e Governor, a n d the Arizona Legislature. I n addition, M o r r i s o n Institute has r e p o r te d and analyzed ASU's results separately and categories relevant to the knowledge e co n o my in a series of reports including Seeds of Prosperity a n d both New Returns r e p o r t s ( s e e page 10 for more information, a n d page 20 for links to the reports). D u r i n g the four ye a r s of Proposition 301 funding, b o t h the funded projects and the performance measures a n d deliverables have changed and evolved in response to opportunities, n e w hires, a n d s t r a te g i c decisions. Th i s process is expected to continue in the future. Highlights of FY 2005 results include:



I I







32 new tenure-track and research faculty successfully recruited, and 10 visiting scientists appointed 3 new research centers at Biodesign Institute started by newly hired eminent scientists







I







Comparing FY 2005 results to FY 2002, most performance measures for Proposition 301-related research activities showed substantial increases:



I I I







Annual growth in external funding nearly tripled from $12.0 million to $35.9 million. The value of new products increased by more than 6 times from $0.4 million to $2.5 million. Newly introduced courses in biosciences, information technology, and nanotechnology more than tripled from 4 to 13. New patents almost quadrupled from 11 to 41. New graduate students enrolled more than quadrupled from 29 to 121. Undergraduates with research experience more than quadrupled from 39 to 177.







I I I







$35.9 million increase in total external funding for research, and $2.5 million in revenue from new products and new company startups facilitated by Arizona Technology Enterprises (AzTE) 13 new courses developed in science and technology, and 177 undergraduates who gained research experience 41 new U.S. patents, 10 new products developed, and 10 companies citing ASU as a factor influencing their relocation or expansion 32 ASU post-doctoral fellows, and 63 graduate students trained in science and technology added to the workforce 53 more computer science graduates than in previous year 71 students gained experience in industry as interns







I







I







I







I I







Th e s e are just some of the results for ASU's Proposition 301 performance measures reported t o the Board of Regents. Th e tables and charts that follow present all of ASU's latest results f r o m the Board of Regents' a p p r o v e d performance measures and deliverables plus some a d d i t i o n a l data on new hires and visiting scientists. As Morrison Institute has done in the p a s t , a l l of the data are cast in five categories relevant to the knowledge economy: n e w m o n e y, n e w programs, n e w ventures, n e w skills, a n d new talent. Th e first table on page 31 p r ov i d e s comprehensive results for FY 2005 only. Th e following tables and charts on pages 3 2 - 3 4 illustrate performance trends across all four years of Proposition 301 funding, F Y 2002 t h r o u g h FY 2005. ( N o t e : D a t a do not cover Proposition 301 funds allocated to ASU East or We s t for capital infrastructure development and building and central plant expansion.)







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ENRICHING ARIZONA'S KNOWLEDGE ECONOMY FY 2002 - FY 2005







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A S U PROPOSITION 301 PERFORMANCE MEASURES FOR ARIZONA BOARD OF REGENTS, FY 2005



N E W MONEY $31.2 million increase in new federal awards $4.7 million increase in industrial contracts and donations $2.5 million earned for ASU in royalties and other fees from new products and new company startups NEW PROGRAMS 13 new courses in Bio, IT, and Nano 3 new research centers created at Biodesign Institute Cancer Research Institute integrated into Biodesign Institute State of the art wireless design and testing facility completed Distinguished lecture series launched to bring attention to embedded systems research Cer tification program created to recruit new secondary teachers from students with strong mathematics backgrounds NEW VENTURES 14 new research collaborations with industry and national labs 2 new software packages developed for clients 32 post-doctoral students entering workforce 10 new products in marketplace 28 licenses/options signed 41 US patents approved 168 patent applications filed 166 inventions disclosed 8 business plans written for new and potential startup companies 10 companies citing ASU as factor in relocating or expanding in Arizona 20 tech transfer portal inquiries 53 more computer science graduates than in previous year 71 student interns in industry 63 graduate students earning degrees and entering workforce 177 undergraduate students with research experience NEW SKILLS 64 new post-doctoral students in pipeline 121 new graduate students in pipeline NEW TALENT 32 new tenure-track and research faculty 10 visiting scientists







S ource: Morrison Institute for Public Policy, 2006. D a t a : Te c h n o l o g y and Research Initiative Fund ( T R I F ) Annual Report, S e p t e m b e r 2002, 2 0 0 3 , 2 0 0 4 , a n d 2005.







MORRISON INSTITUTE FOR PUBLIC POLICY |







ENRICHING ARIZONA'S KNOWLEDGE ECONOMY FY 2002 - FY 2005







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A S U PERFORMANCE MEASURES BY FISCAL YEAR



N E W MONEY : B I G GAINS OVERALL, BUT NOT IN 2003 ($ MILLIONS)



YEAR 1 F Y 2002 $10.9 $1.1 $0.4 YEAR 2 F Y 2003 $7.3 $1.3 $0.4 YEAR 3 F Y 2004 $21.3 $5.8 $1.4 YEAR 4 F Y 2005 $31.2 $4.7 $2.5



$35







P E R F O R M A N C E MEASURES Increase in federal awards* Increase in industrial contracts and donations* ASU value of new products, company startups (fees, royalties, R&D revenue)







$31.2



$30 $25







$21.3



$20 $15







FY 2002 FY 2003 FY 2004 FY 2005







$10.9



$10







$7.3 $1.1 Increase in federal awards* $1.3







S ource: Morrison Institute for Public Policy, 2006. Data: Technology and Research Initiative Fund (TRIF) Annual Report, S eptember 2002, 2003, 2004, and 2005. * Increase is for each year over the previous year.







$5.8







$5 $0







$4.7 $0.4 $0.4 $1.4







$2.5







Increase in industrial contracts and donations*







ASU value of new products, company startups (fees, royalties, R&D revenue)







N E W PROGRAMS : M I X E D RESULTS FOR ONGOING PROGRAMS



80







P E R F O R M A N C E MEASURE New courses in Bio, IT, Nano New online courses







YEAR 1 F Y 2002 4 72







YEAR 2 F Y 2003 6 *







YEAR 3 F Y 2004 16 *







YEAR 4 F Y 2005



60







72







13 *



40







FY 2002 FY 2003 FY 2004 FY 2005







20 S ource: Morrison Institute for Public Policy, 2006. Data: Technology and Research Initiative Fund (TRIF) Annual Report, S eptember 2002, 2003, 2004, and 2005. * Program was not funded after FY 2002. 0







16 4 6







13







*



New courses in Bio, IT, Nano







*







*







New online courses







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ENRICHING ARIZONA'S KNOWLEDGE ECONOMY FY 2002 - FY 2005







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A S U PERFORMANCE MEASURES BY FISCAL YEAR (CONT.)



N E W VENTURES : L E A D I N G GAINERS ARE INVENTIONS AND PATENTS



YEAR 1 F Y 2002 9 0 5 3 9 11 108 97 2 2 1 6 YEAR 2 F Y 2003 13 6 3 3 20 17 106 91 6 2 13 6 YEAR 3 F Y 2004 19 10 5 4 24 18 128 98 9 4 15 5 YEAR 4 F Y 2005 14 2 10 4 28 41 168 166 8 10 20 9



0 S ource: Morrison Institute for Public Policy, 2006. D a t a : Te c h n o l o g y and Research Initiative Fund ( T R I F ) Annual Report, S e p t e m b e r 2002, 2 0 0 3 , 2 0 0 4 , a n d 2005. 60 150 180 45 30 15 0







41 9 13 19 14 6 10 2 0 Software packages developed 10 28 20 24 3 344 Companies started 9 Licenses and options signed 11 17 18







P E R F O R M A N C E MEASURE New research collaborations with industry and national labs Software packages developed New products in marketplace Companies started Licenses and options signed Patents approved Patent applications filed Inventions disclosed Business plans written for new and potential startup companies Company relocations/expansions citing ASU as a factor Tech transfer portal inquiries from industry Proof of concept grants to faculty researchers







535







New research collaborations with industry, national labs







New products in marketplace







Patents approved







168







166







128



120







FY 2002 FY 2003 FY 2004 FY 2005







108 106







97







90







91







98







30







98 26 Patent applications filed Inventions disclosed







2244







20 13 15 1







6659 Proof of concept grants to faculty researchers







Company Tech transfer Business plans relocations/expansions portal inquiries written for from industry new and potential citing ASU as a factor startup companies







MORRISON INSTITUTE FOR PUBLIC POLICY |







ENRICHING ARIZONA'S KNOWLEDGE ECONOMY FY 2002 - FY 2005







33







A S U PERFORMANCE MEASURES BY FISCAL YEAR (CONT.)



N E W SKILLS : M O S T MEASURES SHOW OVERALL GAINS



YEAR 1 F Y 2002 5 29 0 0 39 -21 88 32 9 YEAR 2 F Y 2003 48 120 19 33 84 10 227 88 0 YEAR 3 F Y 2004 44 106 24 67 139 37 200 136 7 YEAR 4 F Y 2005 64 121 32 63 177 53 ** 71 -14



0 50 150 250







P E R F O R M A N C E MEASURES New post-doctoral students in pipeline New graduate students in pipeline Post-doctoral students added to workforce Graduate students added to workforce Undergraduate students with research experience Change in computer science and engineering graduates* High school students completing software design curriculum Internships in industry or Software Factory Increase in teachers with math/science certification*







227



200







200 177 139 120 121 106 84 48 44 5 64 29 0 19 24 32 0



Graduate students added to workforce Undergraduate students with research experience







FY 2002 FY 2003 FY 2004 FY 2005 136







100







88 37 -21 10 53 32







88 71







67 63 33 39







**







907 -14







S ource: Morrison Institute for Public Policy, 2006. Data: Technology and Research Initiative Fund (TRIF) Annual Report, S eptember 2002, 2003, 2004, and 2005. * Change or increase is for each year over the previous year. ** Program was not funded for FY 2005.







New post- New graduate Post-doctoral doctoral students students students added in pipeline to workforce in pipeline







High school Internships Increase in Change in students in industry teachers with computer science and completing or Software math/science engineering software design Factory certification* curriculum graduates*







N E W TALENT : M O R E RESEARCHERS HIRED



YEAR 1 F Y 2002 12 0 YEAR 2 F Y 2003 35 4 YEAR 3 F Y 2004 17 2 YEAR 4 F Y 2005 32 10



35 30 25 20 15 10 5 0







35







P E R F O R M A N C E MEASURES New tenure-track and research faculty* Visiting scientists appointed*







32 17







12 4 0 New tenure-track and research faculty 2







10







FY 2002 FY 2003 FY 2004 FY 2005







S ource: Morrison Institute for Public Policy, 2006. Data: Technology and Research Initiative Fund (TRIF) Annual Report, S eptember 2002, 2003, 2004, and 2005. * Change or increase is for each year over the previous year.







Visiting scientists appointed







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ENRICHING ARIZONA'S KNOWLEDGE ECONOMY FY 2002 - FY 2005







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MORRISON INSTITUTE FOR PUBLIC POLICY







MORRISON INSTITUTE FOR PUBLIC POLICY CONDUCTS RESEARCH THAT INFORMS, ADVISES, AND ASSISTS ARIZONANS. A PART OF THE S C H O O L OF PUBLIC AFFAIRS (COLLEGE OF PUBLIC PROGRAMS) AT ARIZONA STATE UNIVERSITY, THE INSTITUTE IS A BRIDGE BETWEEN THE U N I V E R S I T Y AND THE COMMUNITY. THROUGH A VARIETY OF PUBLICATIONS AND FORUMS, MORRISON INSTITUTE SHARES RESEARCH R E S U L T S WITH AND PROVIDES SERVICES TO PUBLIC OFFICIALS, PRIVATE SECTOR LEADERS, AND COMMUNITY MEMBERS WHO SHAPE PUBLIC P O L I C Y . A NONPARTISAN ADVISORY BOARD OF LEADING ARIZONA BUSINESS PEOPLE, SCHOLARS, PUBLIC OFFICIALS, AND PUBLIC POLICY E X P E R T S ASSISTS MORRISON INSTITUTE WITH ITS WORK. MORRISON INSTITUTE WAS ESTABLISHED IN 1982 THROUGH A GRANT FROM M A R V I N AND JUNE MORRISON OF GILBERT, ARIZONA AND IS SUPPORTED BY PRIVATE AND PUBLIC FUNDS AND CONTRACT RESEARCH.







MORRISON INSTITUTE FOR PUBLIC POLICY



School of Public Affairs / College of Public Programs / Arizona State University







M A R C H 2006







P O B o x 8 7 4 4 0 5 , T e m p e , A r i z o n a 8 5 2 8 7 - 4 4 0 5 / ( 4 8 0 ) 9 6 5 - 4 5 2 5 vo i c e / ( 4 8 0 ) 9 6 5 - 9 2 1 9 f a x / w w w . m o r r i s o n i n s t i t u t e . o r g