FY07 Annual Report by Office of the Vice Chancellor for Research

annual report Office of the Vice Chancellor for Research

FISCAL YEAR

January 1, 2008

Dear Colleagues, I am pleased to present the Office of the Vice Chancellor for Research (OVCR) fiscal year 2007 Annual Report. Research is one of Washington University’s core missions, an extraordinary enterprise with global impact. The Office of the Vice Chancellor for Research promotes and supports Washington University investigators in this mission as they seek funding sponsors, conduct world-class research, and share their research results through publication and commercialization for the use and benefit of the public. Mark S. Wrighton, Chancellor of Washington University, has said, “We believe we have a responsibility to meet national and global imperatives in energy, environment, security, health and economic prosperity.” Through innovative research, the University will contribute to the creation of new knowledge needed to achieve a bright and sustainable future and will foster collaborations regionally, nationally and internationally to bring about rapid progress.

Samuel L. Stanley, Jr., M.D., Vice Chancellor for Research

Support for sponsored research continues to be extremely competitive. Federal funding accounted for nearly 83% of the total award dollars to WU in FY 07 and remains the University’s largest source for external sponsored activities funding. The University’s main contributor to research funds, the National Institutes of Health (NIH) has seen its obligations budget decline since 2004, and its funding to Washington University decreased by $8.9M (2.2%) in FY07. The total amount of research funding to Washington University in FY07 was $537.5 M, down 1.6% from the previous year. Though the dollar amount decreased in FY07, the numbers of awards actually increased. This is an indication that despite budget pressures at Federal Agencies, Washington University’s sponsored research programs continue to show significant success. But increasing the number of awards has required an extraordinary effort from our faculty, and they continue to work hard to continue their important research in this climate of Federal budget reductions. In one bright spot, funding from private sources to WU actually increased by 1.3% in FY 2007, and this represents one way to add to our research support during this challenging time.

Additional details regarding these trends are found in Appendix 2, “Trends in Federal Research Funding”, of this report. The Office of Technology Management at WU helps federally funded technologies reach the public. The technology transfer revenue has remained relatively constant since FY04. According to the most recent data, the University has over 150 NIH-funded inventions. Approximately half of these are licensed to private companies through exclusive or nonexclusive agreements. These license agreements have benefited society, as well as the University. New leadership in the Office of Technology Management provides exciting opportunities for Washington University. The industry sponsored clinical trials highlighted in this report are performed by faculty throughout the School of Medicine. There are also a number of Centers dedicated to supporting clinical trials across the School of Medicine. Clinical trials sponsored by industry have increased steadily over the last three years. Total research expenditures at Washington University increased 3% over FY06. These dollars are necessary to support research and scholarly activities. There is also a growing trend, by both federal and private funding agencies, toward the funding of interdisciplinary/multidisciplinary collaborative research. In many of the projects outlined in this report, researchers with complementary skills, and their own specific area of expertise, work together in collaborative multidisciplinary teams. The projects described in “Notable Achievements” in the Annual Report are exemplary examples of interdisciplinary/multidisciplinary research projects in which researchers with complementary skills work together collaboratively to solve problems. Additionally, all Federal research agencies, including NIH, are preparing policies and procedures to formally allow multiple Principal Investigators on individual research awards. The overarching goal is to maximize the potential of team science efforts, responsive to the challenges and opportunities of the 21st century. Washington University is committed to conducting and administering sponsored research activities with the utmost integrity, the highest ethical standards and the fullest regulatory compliance. The report that follows summarizes the contributions that Washington University researchers are making in their fields of expertise to advance society and make the world a better place. Please contact my office if you have any questions or comments about this report.

Samuel L. Stanley, Jr., M.D. Vice Chancellor for Research

Table of Contents

Sponsored Research Sponsored Research Executive Summary ......................................................................... 1 Notable Achievements for Fiscal Year 2007................................................................. 3 Funding History by Sponsor Type – FY03 to FY07 Figure 1 Funding History by Sponsor Type .............................................................. 6 Table 1 Funding History by Sponsor Type .............................................................. 6 Figure 2 Federal Funding ......................................................................................... 7 Figure 3 State, Local, and International Government Funding ................................ 8 Figure 4 Private Funding .......................................................................................... 9 Funding History by School – FY03 to FY07 Figure 5 Arts & Sciences ........................................................................................ 10 Figure 6 Engineering .............................................................................................. 10 Figure 7 Medicine ................................................................................................... 10 Figure 8 Social Work .............................................................................................. 10 Table 2 Funding History by School ....................................................................... 10 Award Dollar Analysis – FY07 vs. FY06 Table 3 Award Dollars by School and Cost Category ........................................... 11 Table 4 Award Dollars by School or Department and Project Type ..................... 12 Award Dollars by School ............................................................................................. 13 Figure 9 Award Summary by Sponsor Type .......................................................... 14 Table 5 Award Dollars by Sponsor Type and Cost Category ............................... 15 Table 6 Award Dollars by Sponsor and Cost Category ........................................ 16 Table 7 Federal Award Dollars by Sponsor and School ....................................... 17 Table 8 Award Dollars by School and Sponsor Type ........................................... 18 Table 9 School of Arts & Sciences – Award Dollars by Department and Sponsor Type ...................................................................................... 19 Table 10 School of Engineering – Award Dollars by Department and Sponsor Type ...................................................................................... 20 Table 11 School of Medicine – Award Dollars by Department and Sponsor Type ...................................................................................... 21

Office of Technology Management Office of Technology Management Executive Summary .................................................. 22 Technology Highlights for Fiscal Year 2007 ............................................................... 23 Invention Disclosures – FY03 to FY07 Table 1 Invention Disclosures by School .............................................................. 25 Figure 1 Invention Disclosures by School .............................................................. 25 Table 2 Invention Disclosures by Department ...................................................... 26 Patent Applications – FY03 to FY07 Table 3 US Patent Applications by School............................................................ 28 Figure 2 US Patent Applications by School............................................................ 28 Table 4 US Patent Applications by Department .................................................... 29

Licenses Licenses Table 5 Figure 3 Table 6 Table 7

.................................................................................................................. 30 Licenses by School – FY03 to FY07 ........................................................ 31 Revenue Generating License Agreements – FY03 to FY07 ................... 31 Licenses by Department – FY03 to FY07 ................................................ 32 License Type by Department – FY07....................................................... 33

License Revenue Table 8 License Revenue by School – FY03 to FY07 ......................................... 34 Figure 4 License Revenue by School – FY03 to FY07 .......................................... 34 Table 9 License Revenue by School – FY07 ........................................................ 35 Table 10 License Revenue – FY03 to FY07 ........................................................... 36 Industry Sponsored Research Agreements – FY04 to FY07 Table 11 Industry Sponsored Agreements by School............................................. 37 Figure 5 Industry Sponsored Agreements by School............................................. 37 Table 12 Industry Sponsored Agreements by Department. .................................... 38 Other Agreements Table 13 Other Agreements by Department – FY07 .............................................. 39 Material Transfer Agreements Table 14 Material Transfer Agreements by Department – FY05 to FY07 .............. 40

Industry Sponsored Clinical Trials Industry Sponsored Clinical Trials Executive Summary ................................................... 41 Figure 1 Figure 2 Figure 3

Industry Sponsored Clinical Trials by Department of the School of Medicine ............................................................................... 44 Industry Sponsored Clinical Trials by Division of the Department of Internal Medicine .......................................................... 45 New Contracts Completed – FY07-FY05................................................. 46

Sponsored Research Expense Sponsored Research Expense Executive Summary ........................................................ 47 Direct and F&A Expenditures – FY07 and FY06 Table 1 By Sponsor Type ...................................................................................... 51 Table 2 By School and Cost Category .................................................................. 52 Table 3 By School and Project Type ..................................................................... 53 Expenditures Table 4 Figs. 1-3 Table 5 Figs. 4-6 Table 6 Table 7 Table 8 Figs. 7-8

By Sponsor and Agreement Type – FY07 and FY06 ............................. 54 By Sponsor Type – FY03 to FY07 ........................................................... 55 By Sponsor and Project Type – FY07 and FY06 ..................................... 56 By Project Type – FY03 to FY07.............................................................. 57 By Sponsor Type and School – FY07 and FY06 ..................................... 58 By Detailed Cost Category and Sponsor Type – FY07 and FY06........... 59 By Detailed Cost Category and School – FY07 ....................................... 60 Expenditures by School – FY03 to FY07 ................................................. 61

F&A Expenditures (Recovery) Table 9 By Sponsor and F&A Rate – FY07 and FY06.......................................... 62 Table 10 By Sponsor and Agreement Type – FY07 and FY06 .............................. 63 Table 11 By Federal Agency and School – FY07 ................................................... 64 Table 12 By Detailed Cost Category and School – FY07 ....................................... 65 Appendix 1: Changes in Business Rules and Historical Trend Data ..................................... 66 Appendix 2: Trends in Federal Research Funding ................................................................ 67

iii

Sponsored Research Executive Summary

This report presents an overview of external funding for sponsored projects at Washington University (WU) during the University’s fiscal year of 2007 (FY07). All references within Tables and Figures to ―Fiscal Year‖ are to Washington University’s fiscal year, which begins on July 1 and ends on June 30 of the following year. The awards reported within are those with start dates on or between July 1, 2006 and June 30, 2007, and the associated funds represent new money only (i.e., no carry-over funds from year to year for the same grant award are included). In some instances, there are references to an agency’s fiscal year (e.g., NIH-FY05), due to the fact that the fiscal years of agencies such as the National Institutes of Health (NIH) and the National Science Foundation (NSF) do not coincide with that of Washington University’s. Federal Agency Funding During FY07, funding for Washington University’s sponsored programs totaled $537.5 million, a decrease of 1.6% from FY06. Federal award dollars decreased by 1.7% or about $7.9M during FY07. Regardless of difficult budget issues in Washington, federal agency support continues to be the University’s leading source of award dollars, constituting 83% of total sponsored funding to Washington University in FY07. Key Federal Research Sponsors The number one federal sponsor of University research is the National Institutes of Health (NIH). Its total award obligation of $390M to WU (2.2% less than the previous fiscal year) represents 72% of WU’s total sponsored project funding and 88% of its federal dollars. The NIH award counts for both the Medical School and the Danforth campus were up in FY07, but the dollars represented by those awards are less than in previous years. Medical School NIH award dollars were down by 3.4% in FY07 compared to the prior year, even with the large-scale genome grant contributing more dollars in FY07 ($44M) than in FY06 ($41M). Federal direct costs increased by about $1M (.34%) in FY07, but federal Facility and Administrative (F&A) costs decreased by $13.6M (11%). The F&A dollars were down primarily due to a lower F&A rate for the Genome Sequencing Center. Effective July 1, 2006, the F&A rate for these federal sponsored funds dropped from 53% (for FY06) to 25.8% (for FY07). The Large-Scale Genome Sequencing project (NIH) and the Sequencing the Maize Genome project (NSF) awards (FY07) were directly impacted by this decrease in F&A. The National Science Foundation (NSF) remains the number two federal sponsor of University research with $33.4M, a 10.8% increase (almost $3.3M) over FY06. Major awards contributing to the increase include approximately $13.4M to the Medical School for the Sequencing the Maize Genome project; a $1.5M award to the Education Department (Urban-Focused Science, Technology & Math Pedagogy Model); and $1.5M awarded to the Biology Department (The Evolutionary Genomics of Invasive Weedy Rice).

Sponsored Research Executive Summary

The largest percent increase from a federal agency was the 175.5% jump in Department of Education funding (an increase of about $2.6M). Approximately $2.9M was awarded to the Psychology Department for a project entitled ―Test Enhanced Learning in the Classroom.‖ Department of Labor funding to WU decreased by 36.2% ($1.2M) in FY07. The major contributing factor to that decrease was the expiration of a $1.7M grant. National Aeronautics and Space Administration (NASA) funding to WU decreased nearly $4M (45.4%) from FY06 ($8.7M) to FY07 ($4.7). A major factor contributing to the significant decrease in funding is NASA’s overall decrease in obligations to research institutions by 15%-20%, affecting years 2 and 3 of some grants. Other factors include the conclusion of the MARGINS Office (NSF) grant and the departure of two faculty members from the Earth and Planetary Science Department. Total Department of Defense (DOD) funding in FY06 was $2.6M and in FY07 was $3.6M, an increase of approximately $1M. In FY06, total DOD funding for the Medical School was $124,000. Total DOD funding for the Medical School in FY07 was $1.9M, an increase of 1444.4%. The dramatic increase is largely due to the Medical School receiving three new awards from the Department of Defense-US Army, totaling approximately $1M. DOD funding for Arts and Sciences decreased from $359,000 in FY07 to $348,000 in FY06, a decrease of 3.1%. DOD funding for the School of Engineering decreased from $2.1M in FY06 to $1.4M in FY07, a decrease of 35.8%. Table 6 (page 16) lists the different sponsoring agencies with dollar volume and change from FY06 to FY07. Private Sources: Industry and Non-Profit Sponsor Support There has been a trend toward an increase overall of private funding for research over the past few years. Support from private industry rose 20.6% in FY07, an increase of almost $2.7M. A major contributor to this increase is the $1.5M award from Battelle Pacific Northwestern Division to the Biology Department for a project entitled ―Systems Analysis of Membrane Processes in Cytobacterium.‖ Funding from private non-profit dollars decreased slightly by 2.8% (about $1.7M) in FY07 compared to the previous year. Rankings of Top Institutions Receiving Funding Effective FY06, NIH has stopped providing ranking data and now is providing data by state. A review of preliminary data by State, from NIH for its Fiscal Year 2007 indicates that Washington University continues to have major impact upon Missouri’s economy, accounting for nearly 80% of the federal research funding dollars awarded to Missouri universities and institutions.

Sponsored Research Executive Summary

Notable Achievements for Fiscal Year 2007 Notable research initiatives include, but are not limited to, the following: The Establishment of I-CARES The International Center for Advanced Renewable Energy and Sustainability (I-CARES) demonstrates a new area of leadership in sustainable energy research at Washington University. I-CARES encourages and coordinates University-wide and external collaborative research into alternative energy applications. The focus of the center is research on bio-fuels from plant and microbial systems, and the exploration of sustainable alternative energy and environmental systems and practices. I-CARES will foster collaborative and cooperative research, both within the university and externally between Washington University and other regional research institutions, such as the Donald Danforth Plant Science Center and the University of Missouri-Columbia, and international partner universities.

Center for Materials Innovation The Center for Materials Innovation (CMI) is comprised of a multidisciplinary community of scholars from the College of Arts and Sciences, the School of Engineering, and the School of Medicine at Washington University, who conduct educational and research activities focused on the creation, study and use of materials. Research at the CMI focuses on the following areas: Nanostructured Materials Synthesis, Magnetic Materials, Biological and Biomedical Materials, and Materials for Energy Applications. BioMed 21 Ground was recently broken on the Washington University Medical Center campus for the new BJC Institute of Health. This facility will house laboratories and support facilities as part of the University's BioMed 21 research initiative, a University-wide research and training initiative aimed at bringing new knowledge of the human genetic blueprint to the patient's bedside through the strategic pursuit of novel medical therapies. The Institute of Health will be home to research that brings together gifted physicians, scientists and researchers with a common goal: to find new and better ways to improve human health, including new treatments and potential cures for human diseases. The Institute will provide the opportunity to translate medical discoveries into everyday patient care for the benefit of our entire community. The five Interdisciplinary Research Centers (IRCs) selected to occupy the new building were chosen through a novel competitive application process that assessed each proposalâ&#x20AC;&#x2122;s scientific merit and alignment with the core principles of the BioMed 21 initiative. Each addresses a disease-specific area â&#x20AC;&#x201C; cancer, cardiovascular disease, neurodegenerative diseases, infectious diseases or membrane excitability diseases â&#x20AC;&#x201C; and each includes researchers from several scientific disciplines and academic departments, who proposed to work together in designated laboratory space within the new building. They include the Center for Cancer Genomics, the Center for the Investigation of Membrane Excitability Disorders, the Center for Women's Infectious Disease Research, the Hope Center Program on Protein Folding and Neurodegeneration, and the Center for Interdisciplinary Studies of Diabetic Cardiovascular Disease. 3

Sponsored Research Executive Summary

Clinical and Translational Science Awards (CTSA) program The overall goal of the Institute of Clinical and Translational Sciences (ICTS), created by the Clinical and Translational Science Awards program, is to serve as the intellectual and physical home for clinical and translational research, research training, and career development to help overcome the traditional boundaries between disciplines, departments and institutions. WU is the recipient of the four clinical research and training grants that form the basis of the CTSA. An unprecedented level of partnership with other academic, healthcare, community and scientific institutions that complement WU core expertise in laboratory and clinical research and research training is central to the transformation that will be led by the ICTS. The ICTS complements Washington Universityâ&#x20AC;&#x2122;s BioMed 21 initiative. Center for Latino Family Research The Center for Latino Family Research in the George Warren Brown School of Social Work is the only center in a U.S. school of social work that conducts research on Latino social, health, mental health, and family and community development in the U.S. and Latin America. The Center's ultimate goal is to help improve the lives of Latino families in all of the Americas. WU Genome Sequencing Center WU Genome Sequencing Center is one of three large-scale genome sequencing centers in the nation to receive support funded by the National Human Genome Research Institute (NHGRI) and the National Cancer Institute (NCI), both part of the National Institutes of Health (NIH). These centers will devote significant parts of their efforts to The Cancer Genome Atlas (TCGA) Pilot Project, which will test the feasibility of a largescale systematic approach to identify important genomic changes involved in cancer. Test Enhanced Learning in the Classroom The Test Enhanced Learning (TEL) approach views tests as opportunities for learning, instead of holding the traditional view of tests as assessment techniques. The goal of this project is to examine a new approach to learning, memory, and comprehension of text material. Prior laboratory research shows the power of retrieval of material during tests in enhancing later retention. Test-enhanced learning has been shown to be highly effective in promoting student learning in laboratory situations. In this project the researchers are moving toward a systematic application of this approach to education practice, investigating the power of tests to enhance learning of text material. The purpose of this project is to import the Test-Enhanced Learning program into school settings to examine its efficacy at two different educational levels. Study participants will come from a public school in Illinois and from the University of New Mexico. Integrated Nanosystem for Diagnosis and Therapy - Program of Excellence in Nanotechnology Washington University in St. Louis has been chosen as a Program of Excellence in Nanotechnology (PEN) by the National Heart, Lung, and Blood Institute (NHLBI) of the National Institutes of Health. The prime focus of the Washington University PEN is the development of nanoscale agents that can be assembled, labeled, targeted, filled and activated for eventual diagnosis and treatment of various diseases relevant to NHLBI.

Sponsored Research Executive Summary

The Program of Excellence in Nanotechnology is a vitally important research effort that will spur the development of novel technologies to diagnose and treat heart, lung, and blood diseases. The program brings together bioengineers, materials scientists, biologists, and physicians who will work in interdisciplinary teams. By taking advantage of the unique properties of materials at the nanoscale, these teams will devise creative solutions to medical problems. Specialized Center for Clinically Oriented Research The Specialized Center for Clinically Oriented Research (SCCOR) at Washington University School of Medicine was established with funds from the National Heart, Lung, and Blood Institute of the National Institutes of Health to foster research in chronic inflammatory airway diseases. It is one of only four such centers in the country. Researchers will study how emphysema and the associated condition of chronic bronchitis contribute to chronic obstructive pulmonary disease (COPD), the fourth leading cause of death in the United States. It is hoped that research will lead to a much better understanding of how COPD develops, leading to the discovery of new treatments that stop the progression of the disease. Using a newly developed imaging technique, such as helium MRI, and advanced gene analysis technologies, researchers will take a comprehensive look at the molecular changes that occur as the lungs become crippled by COPD.

Funding History by Sponsor Type – FY03 to FY07†

The figures and tables in this section present Washington University’s funding history over the past five years. Figure 1 illustrates the total dollars received each year, and Table 1 sorts the dollars by three broad sponsor types: 1) Federal, 2) State, Local and International governments, and 3) Private sector, which includes industry and non-profit sponsors.

Figure 1 Funding History by Sponsor Type † 600

Dollars ($M)

500 400

51 15

76 19

77 17

433

452

444

FY05

FY06

FY07

56 17

67 17

437

FY04

300 200

397

100 0 FY03

Federal

State/Local/Int'l

Private

Table 1 Funding History by Sponsor Type † (000s)

Federal State/Local/Int'l Private TOTAL

FY03 397,375 14,953 51,085 463,413

FY04 437,230 17,301 55,685 510,216

FY05 432,779 17,133 66,821 516,733

FY06 451,874 18,712 75,738 546,324

FY07 444,018 16,765 76,691 537,474

Note: Due to rounding, detail may not add to total. †

Beginning in 2005, business rules for reporting were changed to avoid including dollars approved by sponsors to be carried over from the previous award period. For a full explanation, please refer to Appendix 1. Five year trend tables have been adjusted accordingly.

Funding History by Sponsor Type â&#x20AC;&#x201C; FY03 to FY07â&#x20AC;

Federal Research Funding Federal research funding refers to the dollars awarded by federal agencies to Washington University for use in its sponsored research program. Federal research funding provided 83% of total University award dollars for FY07. As Figure 2 illustrates, the University has demonstrated cumulative growth in total Federal research funding from 2003 to 2007 (an increase of approximately $47 million, or about 12%).

Figure 2 Federal Funding - FY03 to FY07 500 450

Dollars ($M)

400 350 300 250

397

437

433

452

444

200 150 100 FY03

â&#x20AC;

FY04

FY05

FY06

FY07

Funding History by Sponsor Type – FY03 to FY07†

State, Local, and International (or “Other Government”) Funding This category most often includes state universities whose subcontracts to WU are funded from their federal grants. It also includes funding from local entities such as the Missouri Department of Highways and Transportation (MODOT), the Missouri Department of Conservation and the City of St. Louis, as well as occasional funding from foreign governments, such as the Australian Research Council. The decrease in state, government and international funding in FY07 is largely due to the fact that in FY06 a $2.8M subcontract (NIH-State Government) was awarded. In FY07, only $300,000 was awarded to the same subcontract (NIAID Inner-City Asthma Consortium Immunologic Approach).

Figure 3 State, Local & International Government Funding - FY03 to FY07 20 18

Dollars ($M)

16 14 12 10 8

FY04

FY05

6 4 2 0 FY03

†

FY06

FY07

Funding History by Sponsor Type – FY03 to FY07†

Private Funding Private funding is comprised of both private industry and non-profit sources. Private industry sources include for-profit or corporate entities, such as Ford Motor Company, that fund research agreements. Non-profit sources include foundations, professional societies, and volunteer health organizations. Figure 5 illustrates the two components of Private Funding.

Figure 4 Private Funding - FY03 to FY07 80 70

76 63

41 15

Dollars ($M)

0 FY03

FY04 Industry

†

FY05

FY06

Non-Profit

Total Private

FY07

Funding History by School – FY03 to FY07† Figures 5-8 and Table 2 illustrate the history of funding among the four research-intensive units of the university: the School of Arts and Sciences, the School of Engineering, the School of Medicine, and the George Warren Brown School of Social Work. Figure 6 School of Engineering

Dollars ($M)

Figure 5 School of Arts and Sciences

30 20 10 0

15 10 5 0

FY03

FY04

FY05

FY06

FY07

FY03

FY05

FY06

FY07

Figure 8 School of Social Work

500

400

Dollars ($M)

Figure 7 School of Medicine

FY04

300 200 100 0

6 4 2 0

FY03

FY04

School

FY05

FY06

FY07

FY03

Table 2 Funding History by School † (000s) FY03 FY04 FY05

FY04

FY05

FY06

FY07

Arts & Sciences

38,353

43,102

42,693

41,390

44,007

Engineering

14,166

16,433

17,722

21,002

22,103

402,973

443,558

447,727

472,635

464,444

Social Work

6,421

5,423

6,580

9,358

5,820

Other

1,500

1,700

2,011

1,938

1,099

Total

463,413

510,216

516,733

546,324

537,474

Medicine

Note: Due to rounding, detail may not add to total. †

Award Dollars by School and Cost Category

The following table compares FY07 award dollars for schools with the prior year, broken out by direct and facility and administrative (F&A) costs for each school. The percent of change from one fiscal year to the next is tracked in the far right column. The numbers from fiscal year to fiscal year can be significantly impacted by timing, the receipt or expiration of one large award, or the receipt or expiration of many small awards. In addition, the number of awards received is not always an accurate indicator of increased funding. As Table 3 shows, the number of total awards for FY07 increased by eighteen, yet the total dollars for FY07 decreased. This may be indicative of the trend toward collaborative research combined with changes in caps on F&A recovery costs (see Appendix 2). Table 3 Award Dollars by School and Cost Category FY07 and FY06 (000s) FY07

F&A Costs

Total

256

30,702

10,689

41,390

2,617

6.3%

328

405

(356)

-87.9%

6,365

22,103

171

15,272

5,729

21,002

1,101

5.2%

137

145

475

519

(374)

-72.1%

1,890

350,120

114,324

464,444

1,863

345,736

126,899

472,635

(8,191)

-1.7%

Social Work

4,599

1,222

5,820

8,087

1,271

9,358

(3,538)

-37.8%

Other Schools

807

905

918

1,015

(110)

-10.8%

2,359

404,643

132,831

537,474

2,341

401,519

144,805

546,324

(8,850)

-1.6%

Arts & Sciences Business Engineering Law Medicine

TOTAL

Direct Costs

F&A Costs

Total

261

33,208

10,799

44,007

148

15,738

Award Count

Change

Direct Costs

Schools

Award Count

FY06

Dollars

Note: Due to rounding, detail may not add to total.

Award Dollars by School

The term â&#x20AC;&#x2022;Project Typeâ&#x20AC;&#x2013; in Table 4 below refers to the distinct types of awards received by the University. Table 4 breaks award dollars into three categories: Research, Research Training and Other Sponsored Activities. Research projects are those activities whose principal focus is the discovery, verification, or even evaluation of new knowledge. Research training includes individual and institutional awards for the support of pre and postdoctoral trainees and fellows, plus institutional awards for graduate education. Other Sponsored Activities include projects such as scholarly conferences, equipment grants and community outreach programs. Table 4 Award Dollars by School or Department and Project Type FY07 and FY06 (000s)

School / Department Administration Design & Visual Arts (1) Arts & Sciences Business Engineering Law Medicine Social Work TOTAL

Research FY07 FY06 233 326

Research Training FY07 FY06 0 0

Other Sponsored Activities FY07 FY06 611 616

TOTAL FY07 FY06 844 942

38,911

36,782

2,119

3,474

2,977

1,134

44,007

41,390

350

405

21,324

19,687

392

390

388

925

22,103

21,002

120

444

145

519

428,805

436,978

20,130

19,900

15,509

15,757

464,444

472,635

4,591

8,341

772

766

458

252

5,820

9,358

493,973

502,547

23,412

24,595

20,089

19,182

537,474

546,324

Note: Due to rounding, detail may not add to total. (1) The Sam Fox School of Design and Visual Arts, formerly separate schools (Art and Architecture).

Award Dollars by School

The following describes in more detail the activities and award dollars for four Schools: Arts and Sciences The number of awards to the College of Arts and Sciences increased from FY06 (256) to FY07 (261), and the dollars represented by those awards also increased by $2.6M (6.3%) from $41.4M in FY06 to $44M in FY07. Direct costs increased from $30.7M in FY06 to $33.2M in FY07. This increase is due in part to a large award of $2.9M to the Psychology Department from the U.S. Department of Education. Federal funding increased from $33.3M in FY06 to $34.7 M in FY07. Private non-profit funding also increased from $4.6M in FY06 to $5.3M in FY07. Private industry funding also increased from $2.6 in FY06 to $3.0M in FY07. Engineering Although the number of awards to the School of Engineering decreased from FY06 (171) to FY07 (148), the dollars represented by those awards increased by $1M (5.2%) from FY06 ($21M) to FY07 ($22M). Direct costs increased slightly from $15.3M in FY06 to $15.7M in FY07. Federal grant awards increased $3.3M, from $13.5M in FY06 to $16.8M in FY07. NIH funding increased significantly, from $4.1M in FY06 to $7M in FY07, but NSF funding decreased from $6.7M in FY06 to $5.6M in FY07. Private industry funding decreased $0.6M from $2.2M in FY06 to $1.6M in FY07. Private non-profit sources decreased from $2.7M in FY06 to $1.6M in FY07. Medical School The number of awards to the Medical School increased in FY07 from 1,863 in FY06 to 1,890 in FY07, but the dollars represented by those awards decreased by about $8.2M (1.7%), from $473M in FY06 to $464M in FY07. Direct costs increased slightly from $346M in FY06 to $350M in FY07. Recovery of F&A fell, 11.7% from FY06 ($127M) to FY07 ($114M), due in large part to a drop in the recovery rate (from 53% to 25.8%) for the large-scale genome sequencing grant, effective July 1, 2006. Two very large government awards were directly impacted by the decrease in the F&A. As a result, the Medical School experienced a decrease in total government dollars, from $400M in FY06 to $388M in FY07. Total non-government dollars increased from FY06 to FY07. Private industry funding increased from $8.1M in FY06 to $11M in FY07, and private non-profit funding increased from $48.8M in FY06 to $51.7M in FY07. Social Work The number of awards to the George Warren Brown School of Social Work increased from FY06 (32) to FY07 (38), yet the dollars represented by those awards decreased by $3.5M (37.8%). In FY06 the School of Social work received a total $5.9M in awards from foundations ($4.7M from two major awards for $2.5 M and $2.2M each). Award data is impacted by these large, multiyear private awards where funding is provided up front. Though the work of these awards is spread over the course of several years, the full amount of the total award was registered entirely in one year (FY06). Thus annual award levels may vary significantly and do not necessarily reflect the amount of funding potentially available in any given fiscal year. In FY07, the School received $1.7M in awards from foundations. The School received $3.5M in Federal funding in FY06 and $4.2M in FY07. Direct costs were down from $8M in FY06 to $4.6M in FY07. F&A costs were also down from $1.27M in FY06 to $1.22M in FY07. The overhead limitations provided by sponsors, and in some cases, the sponsorâ&#x20AC;&#x2122;s prohibition against charging overhead to any amount of consortium expenditures, are constraints affecting the School of Social Workâ&#x20AC;&#x2122;s ability to recover overhead costs.

Award Summary by Sponsor Type

The graphs and tables in this section are presented to provide information about the sources of funding to the University, including: All the sources from which the University receives funding. The sectors from which the University receives the most funding â&#x20AC;&#x201C; government, industry, and non-profit. The federal agencies that provide the most support to the individual schools within the University. The sponsors that have increased or decreased their investments in University research over the past fiscal year.

Figure 9 Award Summary by Sponsor Type FY07 and FY06 (000s)

FY07

FY06

15,708 60,983

13,028 62,710

16,765

389,518

21,061

398,441

23,267

33,439

NIH

18,712

NSF

30,167

Other Fed

Other Gov't.

Industry

Non-profit

NIH

NSF

Other Fed

Other Gov't.

Industry

Non-profit

Notes: See next page for definitions of Sponsors.

Award Summary by Sponsor Type

Table 5 Award Dollars by Sponsor Type and Cost Category FY07 and FY06 (000s) FY07

FY06

Sponsor Federal

Direct Costs 327,795

% Total Direct 81.0

F&A Costs 116,223

% Total F&A 87.5

Total 444,018

% Total 82.6

% Direct Total Costs Direct 323,609 80.6

F&A Costs 128,265

% Total F&A 88.6

Total 451,874

% Total 82.7

Other Govt.

11,882

2.9

4,884

3.7

16,765

3.1

12,980

3.2

5,732

4.0

18,712

3.4

Total Govt.

339,676

83.9

121,107

91.2

460,783

85.7

336,589

83.8

133,997

92.5

470,586

86.1

Industry

11,430

2.8

4,278

3.2

15,709

2.9

9,456

2.4

3,572

2.5

13,027

2.4

Nonprofit

53,536

13.2

7,446

5.6

60,982

11.3

55,474

13.8

7,236

5.0

62,710

11.5

Total Private GRAND TOTAL

64,966

16.0

11,724

8.8

76,691

14.3

64,930

16.2

10,808

7.5

75,738

13.9

404,643

100.0

132,831

100.0

537,474

100.0

401,519

100.0

144,805

100.0

546,324 100.0

Note: Due to rounding, detail may not add to total.

Award Summary by Sponsor Type

Table 6 Award Dollars by Sponsor and Cost Category FY07 and FY06 (000s) FY07

FEDERAL AGENCIES

TOTAL FEDERAL OTHER GOVERNMENT

TOTAL OTHER PRIVATE SOURCES

Sponsor NIH NSF NASA DOD EPA EDUC DOE DHHS HRSA LABOR USDA OTHER Missouri Other States Other Gov’t. Industry Non Profits

TOTAL PRIVATE GRAND TOTAL

Direct Costs 286,161 26,175 3,199 2,479 171 3,227 1,648 2,016 1,551 226 941 327,795 662 10,440 780 11,882 11,430 53,536 64,966 404,643

F&A Costs 103,357 7,264 1,572 1153 84 815 713 455 591 26 194 116,223 184 4,682 18 4,884 4,278 7,446 11,724 132,831

FY06 Total 389,518 33,439 4,771 3,633 255 4,042 2,361 2,471 2,142 252 1,134 444,018 846 15,121 798 16,766 15,709 60,982 76,690 537,474

Direct Costs 283,915 22,521 6,393 1,813 (42) 1,402 2,170 1,639 2,418 386 996 323,610 668 11,703 610 12,981 9,456 55,474 64,930 401,521

F&A Costs 114,526 7,646 2,347 803 155 65 1,012 409 938 89 274 128,265 148 5,527 56 5,732 3,572 7,236 10,808 144,803

Change Total 398,441 30,167 8,740 2,616 113 1,467 3,182 2,048 3,356 475 1,270 451,874 816 17,230 666 18,712 13,028 62,710 75,738 546,324

Dollars (8,923) 3,272 (3,969) 1,017 142 2,575 (821) 423 (1,214) (223) (136) (7,856) 30 (2,109) 132 (1,946) 2,681 (1,728) 952 (8,850)

% -2.2% 10.8% -45.4% 38.9% 125.7% 175.5% -25.8% 20.7% -36.2% -46.9% -10.7% -1.7% 3.7% -12.2% 19.8% -10.4% 20.6% -2.8% 1.3% -1.6%

Note: Due to rounding, detail may not add to total.

Awards by Sponsor and School

Table 7 Federal Award Dollars by Sponsor and School FY07 and FY06 (000s) Arts & Sciences

Engineering

% of Change From

Sponsor

FY07

FY06

Medicine

% of Change From

FY07

FY06

Social Work

% of Change From

FY07

FY06

Other Schools

% of Change From

FY07

FY06

Total University

% of Change From

FY07

FY06

% of Change From

FY07

FY06

NIH

12,102

8.9%

7,085

66.0%

365,986

-3.4%

4,133

21.8%

213

-65%

389,518

-2.2%

NSF

12,222

16.4%

6,713

18.8%

14,416

3.9%

---

-31.5%

33,439

10.8%

3,578

-53.7%

843

46.4%

350

-19.0%

---

4,771

-45.4%

DOD

348

-3.1%

1,370

-35.8%

1,915

1444.4%

---

3,633

38.9%

EPA

-50.0%

250

142.7%

---

255

125.7%

EDUC

3,586

399.4%

127

2.4%

-100.0%

---

329

1.2%

4,042

175.5%

DOE

1,767

-15.5%

390

-21.5%

204

-65.7%

---

2,361

-25.8%

---

2,471

20.7%

---

2,471

20.7%

LABOR

248

---

1,894

-43.6%

---

2,142

-36.2%

USDA

123

-61.4%

-1825.0%

-63.1%

---

252

-46.9%

OTHER

722

62.2%

-100.0%

388

-5.8%

---

-90.6%

1,134

-10.7%

TOTAL

34,701

4.2%

16,847

24.7%

387,682

-3.2%

4,133

21.8%

655

-50.3%

444,018

-1.7%

NASA

DHHS HRSA

Note: Due to rounding, detail may not add to total.

Awards by Sponsor and School

Table 8 Award Dollars by School and Sponsor Type FY07 and FY06 (000s) Government Schools/Dept. Administration Design & Visual Arts(1) Arts & Sciences Business Engineering Law Medicine Social Work Total

Private

Other Govâ&#x20AC;&#x2122;t. FY07 FY06

Federal FY07 FY06

Industry FY07 FY06

Total

Nonprofit FY07 FY06

FY07

FY06

586

662

166

250

844

942

34,701

33,290

1,004

895

3,023

2,589

5,279

4,616

44,007

41,390

338

405

16,847

13,507

1,625

2,552

1,624

2,237

2,008

2,706

22,103

21,002

319

120

192

145

519

387,682

400,364

14,028

15,206

11,061

8,194

51,672

48,871

464,444

472,635

4,133

3,393

1,673

5,935

5,820

9,358

444,018

451,874

16,765

18,712

15,709

13,027

60,982

62,710

537,474

546,324

Note: Due to rounding, detail may not add to total. (1) The Sam Fox School of Design and Visual Arts, formerly separate schools (Art and Architecture).

Awards by Sponsor Type Table 9 School of Arts and Sciences Award Dollars by Department and Sponsor Type â&#x20AC;&#x201C; FY07 and FY06 (000s) Department(1)

Government Federal

African & Afro-American Studies American Culture Anthropology Arts & Sciences (2) Arts & Sciences Administration Biology Center for Materials Innovation Chemistry CNISS Earth & Planetary Science Economics Education Graduate School History Mathematics Music Performing Arts Philosophy Physics Psychology Romance Languages The Center For Humanities Weidenbaum Center

TOTAL (1) (2)

Private

Other Govâ&#x20AC;&#x2122;t.

Industry

Total

Nonprofit

0 0 295 0 31 9,146 475 6,947 0 2,260 138 1,753 815 0 1,009 0 0 0 4,414 6,468 40 230 680

0 0 0 0 0 350 0 77 44 311 0 0 0 5 14 0 0 0 78 121.6 0 3.6 0

0 0 3 0 0 2,482 0 117 0 421 0 0 0 0 0 0 0 0 0 0 0 0 0

0 0 93 0.3 77 2,582 0 183.6 0 965 0 0 7.5 0 0.7 0 0 0 186 1,118 0 0 65

34,701

1,004

3,023

5,279

FY07 0 0 390 0.3 108 14,560 475 7,325 44 3,957 138 1,753 823 5 1,024 0 0 0 4,678 7,708 40 234 745

44,007

FY06 142 9 540 1 0 10,191 0 5,710 0 5,814 14 2,325 983 0 937 5 16 126 8,991 4,912 0 13 661

41,390

Only departments receiving awards in FY06 or FY07 are listed. As a result, some departments listed in the FY06 Annual Report are not listed this year. Includes Dean of Faculty and Office of Undergraduate Research

Note: Due to rounding, detail may not add to total. fff

Awards by Sponsor Type

Table 10 School of Engineering Award Dollars by Department and Sponsor Type FY07 and FY06 (000s) Government Department Federal

Private

Other Govâ&#x20AC;&#x2122;t

Industry

Total

Nonprofit

FY07

FY06 (1)

Biomedical Engineering

6,880

834

7,714

3,651

Computer Science & Engineering

4,481

274

787

120

5,662

7,475

Electrical & Systems Engineering

1,669

630

455

2,839

4,339

Environmental, Energy & Chemical Engineering

1,615

443

612

400

3,070

2,568

Mechanical, Aerospace & Structural Engineering

2,201

277

140

149

2,768

2,399

---

570

16,847

1,625

1,624

2,008

22,103

21,002

Other TOTAL

(1)

Departments within the School of Engineering were reorganized in FY2007. Comparison between FY06 and FY07 data shown in this table would not necessarily reflect FY07 reorganization.

Note: Due to rounding, detail may not add to total.

Awards by Sponsor Type Table 11 School of Medicine Award Dollars by Department and Sponsor Type – FY07 and FY06 (000s) Departments

Anatomy & Neurobiology Biochemistry & Molecular Biophysics Cell Biology & Physiology Genetics Molecular Biology & Pharmacology Molecular Microbiology Subtotal Preclinical Anesthesiology (1) Internal Medicine Neurological Surgery Neurology Obstetrics & Gynecology Ophthalmology & Visual Sciences Orthopedic Surgery Otolaryngology Pathology & Immunology Pediatrics Psychiatry Radiation Oncology Radiology Surgery Subtotal Clinical (2)

Administration Biology/Biomedical Sciences Biostatistics Center For Clinical Studies Center For Health Behavior Research Center For Study Of Health Policy Div Of Comparative Medicine Emergency Medicine Experimental Neurol/Neuro Surg Medical Library Occupational Therapy Physical Therapy Physician Billing Services Siteman Cancer Center Subtotal Other

Grand Total (1) (2)

Government Other Federal Gov't

Total

Private Industry

Nonprofit

FY07

FY06

12,588 5,915 10,479 68,969 10,834 10,673

62 252 150 1,046 151 227

0 0 591 131 1,196 0

463 296 937 1,318 2,460 1,144

13,113 6,463 12,157 71,464 14,641 12,044

13,919 7,261 10,611 64,616 12,666 13,825

119,458

1,888

1,918

6,619

129,883

122,897

1,700 133 31 15 375 682 2,158 3,626 0 452 460

0 2,572 0 242 0 0 363 103 2,372 1,019 940 321 953 156

320 14,561 464 4,371 1,696 1,155 955 285 3,495 4,696 2,465 444 1,816 5,688

7,259 108,006 2,614 25,123 4,144 13,273 4,467 6,787 26,880 25,042 39,109 5,811 23,849 20,654

7,850 113,800 2,377 21,214 4,015 12,589 3,491 7,210 30,668 27,540 40,383 5,990 29,658 19,893

250,445

11,121

9,041

42,412

313,018

326,678

3,866 4,373 2,752 10 1,288 0 20 175 15 (186) 1,202 6 4,259

0 1 311 0 20 0 0 0 0 139 548 0 0 0

(112) 0 0.6 0 0 0 0 0 0 0 0 162 0 52

18 119 208 0 776 219 0 85 0 0 1,015 90 0 112

3,771 4,493 3,272 10 2,084 219 20 260 15 139 1,377 1,454 6 4,423

3,629 4,298 2,894 0 2,771 660 148 146 85 127 2,684 1,505 5 4,108

17,780 387,682

1,019 14,028

102 11,061

2,641 51,672

21,543 464,444

23,060(1) 472,635

6,939 89,384 2,151 18,809 2,316 12,087 3,134 6,023 20,332 17,169 32,077 5,046 20,628 14,351

1,489

Internal Medicine in FY07 includes ―Proteomics Core Lab‖, which was listed on a separate line in ―Other‖ in the FY06 Annual Report. Administration: Clinical Research Faculty, Division of Comparative Medicine, Experimental Neurol/Neuro Surgery, Facilities Management, Health Administration Program, Human Research Protection Office, New Parking Garage, Student Affairs, Medical School Administration, MBP-Protein Neucleic Acid Chemia, Neurotrophic Factors.

Note: Due to rounding, detail may not add to total.

Office of Technology Management Executive Summary

During Fiscal Year 2007, the Office of Technology Management (OTM) received 100 new invention disclosures. Of these disclosures, 78% originated in the School of Medicine, 11% from the School of Engineering, 6% from the School of Arts & Sciences, and the remainder 5% from across disciplines. The Office handled 22% fewer disclosures than the prior year. The University filed 67 new United States patent applications. The U.S. Patent Office issued 11 patents on behalf of the University. Foreign offices issued 6 patents on behalf of the University. The University generated $12M in total technology transfer revenue. This amount held constant from the previous fiscal year. The University entered into a total of 41 revenue generating license agreements during the year. Of the new license agreements, 88% were non-exclusive. Open source software licenses, most involving gene sequencing and related topics, numbered 1,572. Technology transfer revenues generated by each School were as follows: School of Medicine $10.6M School of Engineering $1.1M School of Arts and Sciences $0.3M Industry sponsored research agreements decreased 4% and other agreements (including confidentiality, evaluation and option, inter-institutional, service, and material transfer) remained about the same. OTM continues its community involvement through such organizations as RCGA, BioGenerator, Danforth Plant Sciences Center Alliance, CORTEX, Coalition for Plant and Life Sciences, NIDUS, CET, MOBio, Missouri Venture Forum, Midwest Research Universities Network and the Research Alliance of Missouri. Involvement with these various organizations extends the mission of the university to local, state and regional levels. In its relationships with these organizations, OTM works to build the economy and to develop channels for commercializing Washington University technologies. OTM staff members work continuously with the Business Schoolâ&#x20AC;&#x2122;s entrepreneurship program and the larger Kaufmann Foundation (e.g. iBridge) entrepreneurship undertaking. The work by the students contributes to the assessment of ideas within a commercial contextâ&#x20AC;&#x201D;whether in a start-up situation or the licensing of ideas to large, established companies. Most of the students involved have advanced technical degrees in the life sciences, chemistry, math, physics or computer sciences.

Office of Technology Management Executive Summary

Technology Highlights for Fiscal Year 2007 A Gene-Expression Signature Predicts Survival of Patients with Stage I Non-Small Cell Lung Cancer This gene expression profile uses a finite number of genes (64) to accurately predict long term patient survival after aggressive intervention. The profile identifies patients that will respond well to aggressive therapy, helping oncologists to more efficiently prescribe treatment regimens. Ming You, Yan Lu, and Ramaswamy Govindan. Surgery and Internal Medicine. Human KH Polyomavirus A novel virus has been isolated from patients with acute respiratory disease of unknown origin. Genetic data from this novel polyoma virus can be used to develop diagnostic testing for further undiagnosed respiratory samples. In addition, serology and PCR assays can be developed from the isolated virus protein and genomic data. David Wang, Guang Wu, Anne Gaynor, Michael Nissen and Theo Sloots. Molecular Microbiology and Pathology & Immunology. Induction of Cell Death by the Type JIB Collagen Amino Propeptide It has been discovered that a splice variant of the Type II procollagen amino propeptide can mediate cell death, inhibit angiogenesis, and inhibit cell migration. This invention includes compositions and methods for treating a cell, or population of cells, to induce cell death, inhibit angiogenesis, or inhibit cell migration. Further, this invention may be beneficial for the treatment of tumor cell migration and metastasis, detrimental angiogenesis, tumor formation and growth, osteoporosis, cartilage repair and other diseases where targeted cell death and inhibiting angiogenesis or migration may be advantageous. Linda Sandell and Zhepeng Wang. Orthopedic Surgery. Inhibition of Wnt Signaling by Mesd and Mesd Peptides Several peptides have been identified that inhibit Wnt signaling in cellular systems to varying degrees. The Wnt pathway is critical in bone development and certain types of cancers. By varying the efficacy of the Wnt inhibition using specific peptides, cancer or bone disease can be treated. Guojun Bu. Pediatrics. Isatin Michael Acceptors as Inhibitors of Apoptosis Isatin analogues comprising Michael Acceptors (IMAs) are disclosed, along with methods of synthesizing an IMA. These IMAs are used as inhibitors of caspase 3 and caspase 7 and as imaging agents to image apoptosis therefore useful in monitoring progress of chemotherapy. Robert Mach and Michael Welch et al. Radiology. Lipid Profiling for Alzheimerâ&#x20AC;&#x2122;s Diagnosis Studies have demonstrated that specific lipid species and lipid profiles can be quantified and used to distinguish between normal ageing and Alzheimerâ&#x20AC;&#x2122;s disease. These lipid profiles provide a biomarker readout for staging and assessment of disease and disease progression, and the technology has the sensitivity to differentiate the earliest clinically recognizable stage of Alzheimerâ&#x20AC;&#x2122;s disease. The described methodologies can be broadened to other neurological disorders. Xianlin Han. Internal Medicine.

Office of Technology Management Executive Summary

Method for Extending Efficacy of Antibiotic Treatment During Primary Pneumonic Plague Pneumonic plague is the term used to refer to a lung infection with the pathogen Yersinia Pestis. Generally speaking, pneumonic plague is a serious disease, with reported mortality rates of >95% if antibiotics are not administered within 24 hours following the development of symptoms. The present invention provides methods of treating pneumonic plaque. In particular, the methods increase the time for which antibiotics may be effectively administered in a subject afflicted with pneumonic plague, and consequently, the methods of the invention may increase the chance of the subject’s survival. William Goldman et al. Molecular Microbiology. Multi-Plug Design Insole to Reduce Plantar Pressure A prototype insole that reduces foot pressure and stress has been developed. The design includes multiple, compressible plugs inserted into a larger insole to expressly reduce secondary pressure peaks arising at the plug-insole boundary. The composite multi-plug insole offers flexibility to create an off-the-shelf insole for stresses associated with normal activity or a custom insole for stresses associated with diseased states. Michael Mueller et al. Physical Therapy. Par-1b Protein Kinase as a Drugable Target for Treating Type II Diabetes This target has been demonstrated to be a factor in insulin hypersensitivity in PAR 1b knock out mouse models. The suggestion is that inhibitors of endogenous Par 1b might be effective in regulating metabolic events that are detrimental in Type II diabetes. Helen Piwnica-Worms and Jonathan Hurov. Cell Biology & Physiology. Sigma-2 Receptor Ligands as Chemosensitizers A series of N-substituted 9-azabicyclo [3.3.1] nonan-3α-yl phenyl carbamate analogs are disclosed as well as methods of their preparation. Their affinities for sigma (σ1 and σ2) receptors are described. Two new compounds are shown to have a high affinity and selectivity for σ2 versus σ1 receptors. Some of these compounds have been shown to induce cell death and are effective for treatment of tumors. The compounds can be used as chemotherapeutics or chemosensitizers in the treatment of a wide variety of solid tumors. Robert Mach et al. Radiology. Transplantation of Bone Marrow Derived Stem Cells for the Regeneration of Beta Cell Function This invention uses adult stem cells isolated from bone marrow using a novel selection technology that enriches the cells for beta cell function. These cells are subsequently injected into diabetic mouse models resulting in reduced blood glucose levels in the mouse. David Hess, Robarts Research Institute.

Invention Disclosures by School

Under the University Intellectual Property (IP) Policy, creators are required to disclose to OTM inventions made using significant University resources. OTM evaluates each new â&#x20AC;&#x2022;disclosureâ&#x20AC;&#x2013; to determine: accuracy of the disclosure potential commercial value protection of the intellectual property the best mode for its commercialization if the University wishes to retain title to invention. During Fiscal Year 2007, the Office of Technology Management received 100 new invention disclosures. Of these disclosures, 78% originated in the School of Medicine, 11% from the School of Engineering, 6% from the School of Arts & Sciences, and the remainder 5% from across disciplines. The Office handled 22% less disclosures than the prior year. The University filed 67 new United States patent applications. Table 1 FY03

FY04

FY05

FY06

FY07

Arts & Sciences

Engineering

Medicine

Law School

Inventions Across Schools

Total

100

123

119

100

Figure 1 Invention Disclosures by School

140 8

120

100

14 17

11 1

80 85

60 71

80 78

40 20 1 7

0 FY03

FY04

FY05

FY06

FY07

Arts & Sciences

Law School

Medicine

Inventions Across Schools

Engineering

Invention Disclosures by Department

Table 2 Disclosures by FY

FY03 FY04 FY05 FY06 FY07

Total new disclosures for FY

Department

102

123

119

100

FY03 FY04 FY05 FY06 FY07

Arts & Sciences Biology

Chemistry

Earth & Planetary Sciences

Physics

Psychology Mathematics

Arts & Sciences Total School of Engineering Biomedical Engineering

Energy, Environmental & Chemical Engineering

Computer Science & Engineering

Electrical & Systems Engineering Electrical Engineering / Computer Science

Mechanical, Aerospace & Structural Engineering

Mechanical / Chemical Engineering

Engineering & Applied Science Total School of Medicine Anatomy & Neurobiology

Anesthesiology

Anesthesiology / Radiology

Anesthesiology / Surgery

Anesthesiology / Surgery / Radiology

Biochemistry & Molecular Biophysics

Cardiology

Cell Biology & Physiology

Dermatology

Genetics

Genertics / Pathology & Immunology

Institute of Biological Computing

Internal Medicine

Internal Medicine / Anesthesiology / Surgery / Radiology

0 0

0 1

Internal Medicine / Biostatistics

Internal Medicine / Molecular Biology & Pharmacology

Internal Medicine / Neurology

Internal Medicine / Pathology & Immunology

Internal Medicine / Surgery

Medpics

Molecular Biology & Pharmacology

Molecular Biology & Pharmacology / Pediatrics

Molecular Microbiology

Molecular Microbiology / Pathology & Immunology

Neurology

Neurology / Endocrinology

Neurology / Biology & Biological Sciences / Psychiatry

Neurology / Cardiology

Neurology / Neurosurgery / Psychiatry

Neurology / Radiology

Neurosurgery

Invention Disclosures by Department Table 2 (cont.) Department

FY03 FY04 FY05 FY06 FY07

Medicine Ophthalmology & Visual Sciences

Ophthalmology / Radiology

Orthopedic Surgery

Otolaryngology

Pathology & Immunology

Pediatrics

Physical Therapy

Psychiatry

Psychiatry / Immunlology & Pathology

Radiation Oncology

Radiation Oncology / Radiology

Radiology

Radiology / Cardiology

Radiology / Surgery / Anesthesiology

Siteman Cancer Center

Surgery

0 0

10 0

4 1

Surgery / Pathology & Immunology

Medicine Total School of Law Law

Biomedical Engineering / Biochemistry & Molecular Biology

Biomedical Engineering / Biology

Biomedical Engineering / Neurosurgery

Biomedical Engineering / Ophthalmology

Biomedical Engineering / Organic Chemistry / Internal Medicine

Biomedical Engineering / Physics / Cell Biology & Physiology

Biomedical Engineering / Radiology

Biomedical Engineering / Surgery

Computer Science / Biology / Anatomy & Neurobiology

Electrical Engineering / Biology

Electrical Engineering / Genetics / Surgery

Mathematics / Radiology / Radiation Oncology

Mechanical Engineering / Computer Science / Anatomy / Neurology

Mechanical Engineering / Neurology

Psychology / Radiology

Physics / Biochemistry / Molecular Biophysics

Physics / Biochemistry & Molecular Biology / Internal Medicine

Physics / Cardiology

0 90

1 99

2 123

17 119

4 100

Law Total Inventions Across Schools

Joint Disclosure Total

Total

US Patent Applications by School

OTM filed a total of 81 U.S. provisional and non-provisional patent applications in FY07. Patent applications are filed on inventions that have potential commercial value, as well as social value. Frequently, the first step is to file for a provisional patent. This filing is not actually examined by the Patent Office, but rather serves to establish a filing date and ―patent pending‖ status for a year. Provisional filings, because of their relative ease and speed, are particularly useful for managing the sometimes conflicting demands between publication and commercialization. OTM will later file for a non-provisional patent that will be examined by the patent office before it is granted. Patent protection strengthens the University’s position with respect to potential licensees, particularly in a field such as pharmaceuticals where the investment to bring a product to market can be large. OTM filed 25 patents in foreign countries. Table 3

Arts & Sciences Engineering Medicine US Patents- Joint

Total

FY03 6 7 52 0 65

FY04 8 12 97 0 117

FY05 9 8 78 1 96

FY06 1 11 63 2 77

FY07 1 7 56 3 67

Figure 2 US Pate nt Applications by School

120 12 100 8 1 80 11 60

7 3

78 40 63

0 FY03 Arts & Sciences

FY04 Medicine

FY05

FY06

Patents Across Schools

FY07 Engineering

US Patent Applications by Department Table 4 Department

FY03

FY04

FY05

FY06

117

FY03

FY04

FY05

FY06

FY07

6 0 0 0 0

6 1 0 0 1

6 3 0 0 0

1 0 0 0 0

0 4

0 6

2 4

5 3

2 1

0 2

1 5

1 0

2 0

4 0

3 2

2 3

0 2

1 0

2 0

0 1 0 0 0 0 1 0 11

0 2 7 0 3 0 6 0 11

0 0 6 0 2 0 1 0 8

1 1 0 1 0 0 1 0 19

0 7 0 0 0 0 2 0 16

0 4 3 5

0 8 6 2

0 16 0 2

1 3 0 3

1 4 2 1

0 0 0 0 2 0 0 6

0 3 0 0 0 0 1 18

0 2 0 0 5 0 1 7

1 0 0 0 2 2 3 2

0 1 1 0 3 1 1 2

0 3 1 8 0 0 0 1 1 0

0 5 1 7 0 0 0 3 1 2

0 3 0 11 0 0 0 1 0 3

0 4 1 8 0 0 0 0 0 1

2 2 1 5 1 0 1 0 0 0

Biomedical Engineering / Neurosurgery Biomedical Engineering / Surgery Chemistry / Radiology Electrical Engineering / Surgery / Genetics Mechanical Engineering / Neurology

Mechanical Engineering / Neurosurgery Joint US Patents Total

Total US Patent Applications for FY

Department Arts & Sciences Biology Chemistry Earth & Planetary Sciences Physics Psychology

Arts & Sciences Total

FY07

Engineering & Applied Science Biomedical Engineering Computer Science & Engineering Computer Science / Electrical Engineering Electrical & Systems Engineering Energy, Environmental & Chemical Engineering Mechanical, Aerospace & Structural Engineering

Engineering & Applied Science Total

Medicine Anatomy & Neurobiology Anesthesiology Anesthesiology / Pediatrics Anesthesiology / Radiology Biochemistry & Molecular Biophysics Bioorganic Chemistry & Molecular Pharmacology Cardiology Cell Biology & Physiology Comparative Medicine Genetics Inst. For Biomedical Computing Internal Medicine Internal Medicine / Emergency Medicine Internal Medicine / Genetics Internal Medicine / Molecular Biology & Pharmacology Internal Medicine / Neurology Internal Medicine / Pathology & Immunology Internal Medicine / Surgery Molecular Biology & Pharmacology Molecular Microbiology Neurology Neurology / Anatomy & Neurobiology Neurology / Pediatrics Neurology / Radiology Neurosurgery Neurosurgery / Psychiatry Obstetrics & Gynecology Ophthalmology & Visual Sciences Orthopedic Surgery Otolaryngology Pathology & Immunology Pathology & Immunology / Molecular Biology & Pharmacology Pathology & Immunology / Molecular Microbiology Pediatrics Psychiatry Radiology Radiology / Anesthesiology / Surgery Radiology / Neurosurgery Radiology / Ophthalmology Radiation Oncology Renal Division Surgery

Medicine Total Social Work Social Work

Social Work Total US Patents filed on Inventions Across Schools

Total

117

Licenses

Patented and unpatented inventions are transferred to industry through a variety of licensing arrangements. The rights to a license are defined by the allowed field of use and by the exclusivity of the license. Payment terms are also highly varied including one or a combination of license fees due on signing, maintenance fees, milestone payment and earned royalties on sales. Defined here are major categories used in this report. Exclusive: A fee-and royalty-bearing exclusive license grants the sole right to commercialize a technology (may include sublicensing rights). Non-Exclusive: Fee-and royalty-bearing license: grants of rights to commercialize the technology; may be granted to multiple licenses. Paid-up license: a non-exclusive license granted in return for a one-time, upfront license fee without subsequent fees or royalties. No-fee license: rights are granted to a third-party (usually another non-profit educational institution) to use a technology (frequently computer software) that is generally licensed to others for a fee. License Modifications: Amendment: an agreement modifying the terms of an existing license Assignment: a reassignment of rights caused by a change in ownership of the license through merger or acquisition. The majority of licenses granted by the University are to existing commercial companies located in the United States, with a smaller number to foreign entities. The University is also beginning to focus more on partnerships with Missouri and St. Louis companies and is actively supporting and encouraging the creation of new business ventures. Licensing technology to start-up companies can provide the best mode of commercialization for early-state platform technologies. The University generated $12M in total technology transfer revenue. This amount has held constant from the previous fiscal year. The University entered into a total of 36 revenue generating license agreements during the year. Of the new license agreements, 74% were non-exclusive. Open source software licenses, most involving gene sequencing and related topics, numbered 1,578.

Licenses by School

Table 5

Arts & Sciences Engineering Medicine Social Work TOTAL

FY03 1 2 44 34 81

FY04 3 4 29 20 56

FY05 1 1 33 8 43

FY06 0 0 39 2 41

FY07 0 0 36 0 36

Figure 3

Revenue Generating License Agreements by School

90 80 70 34 60 50

20 2

40 4

44 20

FY06

FY07

Engineering

Social Work

10 3

0 FY03

FY04

Arts & Sciences

FY05 Medical School

Licenses by Department

Table 6 Department

FY03

FY04

FY05

FY06

FY07

FY03

FY04

FY05

FY06

FY07

Arts & Sciences Total

2 0 0 0 2

3 0 0 0 3

0 0 1 0 1

0 0 0 0 0

Biomedical Engineering Computer Science Electrical Engineering Mechanical Engineering Engineering & Applied Science Total

0 0 2 1 3

0 0 4 0 4

0 1 0 0 1

0 0 0 0 0

Medicine Total

0 0 0 0 0 4 0 11 0 9 4 3 1 3 3 8 3 0 4 0 0 53

2 0 1 0 0 1 0 4 1 5 2 3 0 1 0 6 0 0 1 0 2 29

1 0 1 0 0 0 0 5 3 5 2 1 2 0 2 6 3 0 2 0 0 33

1 1 0 0 1 4 0 3 1 2 2 10 1 1 1 8 1 0 1 1 0 39

0 0 1 1 0 0 0 4 0 7 6 1 1 0 2 12 1 0 0 0 0 36

Social Work Total

34 34

20 20

8 8

2 2

0 0

No Fee Licenses

147

679

2074

1725

1578

Total Licenses

239

735

2117

1766

1614

Total Licenses for FY

Department Arts & Sciences Biology Chemistry Earth & Planetary Sciences Psychiatry

Engineering & Applied Science

Medicine Anatomy & Neurobiology Anesthesiology Biochemistry & Molecular Biophysics Biostatistics Cardiology Cell Biology & Physiology Dermatology Genetics Institute of Biological Computing Internal Medicine Molecular Biology & Pharmacology Molecular Microbiology Neurology Ophthalmology & Visual Sciences Otolaryngology Pathology & Immunology Pediatrics Psychiatry Radiology Siteman Cancer Center Surgery

Social Work Social Work

Subtotal

License Type by Department

Table 7 Non-Exclusive

Department

Exclusive

Roy. Bearing

Paid-up

No Fee

0 0 0 0 0

0 1 0 0 1

0 0 0 0 0

0 0 0 0 0 0 0 0 0 1 0 2 0 0 0 0 1 1 0 0 0 0 5

0 0 1 0 0 0 0 0 0 5 1 3 1 1 0 0 10 0 0 0 0 0 22

0 0 0 1 0 0 0 4 0 0 0 1 0 0 0 2 1 0 0 0 0 0 9

0 0 1 0 0 0 0 1572 0 0 0 1 0 0 0 0 0 0 3 0 0 0 1577

0 0

1578

Arts & Sciences Biology Chemistry Earth & Planetary Sciences Psychiatry Arts & Sciences Total

Engineering & Applied Science Biomedical Engineering Computer Science Electrical Engineering Mechanical Engineering Engineering & Applied Science Total

Medicine Anatomy & Neurobiology Anesthesiology Biochemistry & Molecular Biophysics Biostatistics Cardiology Cell Biology & Physiology Dermatology Genetics Institute of Biological Computing Internal Medicine Internal Medicine / Neurology Molecular Biology & Pharmacology Molecular Microbiology Neurology Ophthalmology & Visual Sciences Otolaryngology Pathology & Immunology Pediatrics Psychiatry Radiology Siteman Cancer Center Surgery Medicine Total

Social Work Social Work Social Work Total

Total Total Licenses by Department

1614

License Revenue by School

Under most licenses, OTM receives gross licensing income in the form of license fees, maintenance fees, milestone payments, and earned royalties against product sales. In addition, the University collects patent expense reimbursement from some licensees, particularly when the license is exclusive. Legal expenses represent the amounts paid out to external law firms engaged in the preparation and prosecution of patents. Other expenses may include specific out-ofpocket costs incurred as part of technology licensing (e.g. consulting fees, marketing fees) or non-patent legal costs. The University generated $12M in total technology transfer revenue. Technology transfer revenues generated by each School were as follows: Table 8 Arts & Sciences Engineering Medicine Social Work

FY03 $ 810,051 $ 937,343 $ 12,508,498 $ 70,634

FY04 $ 91,445 $ 764,034 $ 8,689,587 $ 36,520

FY05 $ 458,213 $ 961,856 $ 10,233,584 $ 1,710

FY06 $ 272,734 $ 1,196,798 $ 10,113,380 N/A

FY07 $ 312,773 $ 1,054,607 $ 10,642,473 N/A

TOTALS

$ 14,326,527

$ 9,581,586

$ 11,655,363

$ 11,582,912

$ 12,009,853

Figure 4

$16,000,000 $14,000,000 $12,000,000 $10,000,000 $8,000,000 $6,000,000 $4,000,000 $2,000,000 $FY03 Arts & Sciences

FY04

FY05

Engineering

Medicine

FY06

FY07

Social Work

License Revenue by School

Table 9

Fiscal Year 07 Arts & Sciences

Engineering

Medicine

Total

Income Licensing Income

Expense Reimbursements OTM Current FY (External) Expense Reimbursements OTM Prior FY (External) Expense Reimbursements for Dept. (External)

$ $ $ $ $

Expense Credits Other

Subtotal Income

262,068 $ 50,704 -

$ 312,773

$ $ $ $ $

878,944 $

9,247,447 $

148,110 27,554 -

1,202,924 192,102 -

$ $ $ $ $

$ 1,054,607 $ 10,642,473

$ $ $ $ $

10,388,459 1,401,739 219,655 -

$ 12,009,853

Expenses Legal Other

Subtotal Expenses

$ $

82,572 $ 20 $

82,592

Distribution to Inventors Distribution to Schools (Lic. Income) Distribution to Schools (Other Income) Distribution to Third Parties

$ $ $ $

92,994 110,764 43,580

$ $ $ $

Expense Payback to 3rd Parties from License Revenue Expense Payback to Dept. from License Revenue Expense Reimbursement for Dept. (External) Carry Forward - - Expenses Held/Paid in Advance

$ $ $ $ $ $ $ $

205,879 $ 12 $

205,891 $

1,825,466 $ 299 $

2,113,917 331

1,825,765

2,114,248

4,145,246 3,682,678 592,433

$ $ $ $

4,658,904 4,172,039 664,687

Distributions (1)

CFU Legal expense recovery Transfer to reserve Patent expense held in advance Patent expense adjustment

$ $ $ $

$ $ $ $ $ $ $ $

827,935 $

(17,157) $

20,781 $

Subtotal Distributions

$ 247,338

Contributions to OTM Operations

(1) Distribution percentages: Inventors: School's: OTM:

420,664 378,597 28,674

$ $ $ $ $ $ $ $

8,420,358

$ $ $ $ $ $ $ $

9,495,631

396,350 $

399,974

44.8% 40.2% 7.4%

License Revenue

Table 10

Fiscal Year 03 04

Income Licensing Income Expense reimbursements OTM Current FY (External) Expense reimbursements OTM Prior FY (External)

12,815,429

8,174,816

9,968,317

10,129,404

10,388,459

800,900

719,325

997,848

1,061,823

1,401,739

91,349

(2,449) $

50,964

219,655

Expense reimbursements for Dept. (External) Expense Credits Other

$ $ $

15,227 592,687 10,934

$ $ $

Subtotal Income

(8,041) $ 49,266 638,601 7,620

$ $ $

691,138 510

$ $ $

(10,542) $ 351,263 $ $

$ 14,326,526

$ 9,581,586

$ 11,655,363

$ 11,582,912

$ 12,009,853

$ $

Expenses Legal Other

Subtotal Expenses

1,585,941 4,284

1,555,481 3,561

1,981,139 581

2,705,939 3,625

2,113,917 331

$ 1,590,225

$ 1,559,042

$ 1,981,720

$ 2,709,564

$ 2,114,248

Distribution to inventors Distribution to schools (Lic. Income) Distribution to schools (Other Income) Distribution to third parties Expense Payback to Third Parties from Lic. Rev. Expense Payback to Dept. from Lic. Rev.

$ $ $ $

5,625,302 5,062,039 10,934 889,129

$ $ $ $

3,742,581 3,276,202 7,620 554,331

$ $ $ $

4,530,055 3,982,250 510 745,307

$ $ $ $

$ $

608 75,376

$ $

1,500 41,107

$ $

4,930 268

$ $

Expense Reimbursements for Dept. (External) Carry forward - - Expenses Held/Paid in Advance CFU legal expense recovery Transfer to reserve Patent Expenses held in advance Patent expense adjustment

83,089

49,266

$ $ $ $

8,827 -

$ $ $ $ $

Distributions

Subtotal Distributions Contribution to OTM operations

4,464,274 3,928,374 739,633

$ 11,755,304

$ 7,672,607

$ 9,263,320

$ 9,132,281

980,997

349,937

410,322

4,658,904 4,172,039 664,687

$ 9,495,631

(258,933) $

399,974

Industry Sponsored Research Agreements by School

OTM handles all sponsored research agreements where the sponsor is a for-profit entity and the research does not involve human subjects (i.e. not a clinical trial). â&#x20AC;&#x2022;Researchâ&#x20AC;&#x2013; is defined primarily as laboratory activity that may result in the discovery of new intellectual property. The FY2007 negotiated revenue for Industry Sponsored Research Agreements was $9.6M. Table 11

FY04 1 11 19 31

Arts & Sciences Engineering Medicine Total

FY05 3 13 34 50

FY06 2 13 31 46

FY07 4 1 33 38

Figure 5

Industry Sponsored Research Agreements

50 45 40 35

30 25

20 15 10

1 4

0 FY04

FY05 Arts & Sciences

FY06 Engineering

FY07 Medicine

Industry Sponsored Research Agreements by Department

Table 12 FY04

FY05

FY06

FY07

FY04

FY05

FY06

FY07

Arts & Sciences Total

1 0 0 0 0 1

0 3 0 0 0 3

2 0 0 0 0 2

3 1 0 0 0 4

Biomedical Engineering Computer Science & Engineering Electrical & Systems Engineering Energy, Environmental & Chemical Engineering Mechanical, Aerospace & Structural Engineering Engineering & Applied Science

0 3 5 3 0 11

1 7 4 0 1 13

0 8 2 1 2 13

0 1 0 0 0 1

0 0 3 1 0 0 0 1 0 6 0 0 0 1 1 0 0 0 0 0 1 0 0 0 1 4

0 0 2 0 4 0 0 1 0 9 0 0 1 4 0 1 0 2 3 0 0 2 1 2 2 0

0 0 0 0 1 1 0 1 0 7 0 3 1 1 0 0 0 3 0 0 1 4 1 1 6 0 31

0 2 0 0 0 0 0 0 0 3 1 2 1 1 0 0 0 0 1 0 4 4 3 2 8 1 33

0 0

Total Research Agreements for FY Department Arts & Sciences Biology Chemistry Earth & Planetary Sciences Physics Psychology

Engineering & Applied Science

Medicine Anatomy & Neurobiology Anesthesiology Biochemistry & Molecular Biophysics Biostatistics Cell Biology & Physiology Center for Human Nutrition Comparative Medicine Genetics Institute of Biological Computing Internal Medicine Internal Medicine / Pathology & Immunology Molecular Biology & Pharmacology Molecular Microbiology Neurology Neurosurgery Obstetrics & Gynecology Occupational Therapy Ophthalmology & Visual Sciences Orthopedic Surgery Otolaryngology Pathology & Immunology Pediatrics Psychiatry Radiation Oncology Radiology Surgery Medicine Total

Social Work Social Work Social Work Total

Total

Other Agreements by Department

OTM processes service contracts-limited laboratory research activities frequently involving the testing of another partyâ&#x20AC;&#x2122;s proprietary material or device. OTM manages confidentiality agreements, evaluation and option, interinstitutional, service agreements and other various contracts involving for-profit companies. These agreements play a key role in laying the foundation for better industry relationships and potential future license agreements. Interinstitutional agreements play an increasingly important role as collaboration becomes a more significant element in advanced research. Table 13

Total Other Agreements for FY Department

Confidentiality

Evaluation & Option

Interinstitutional

Research / Service

Sublicense

108

Confidentiality

Evaluation & Option

Interinstitutional

Research / Service

Sublicense

3 5 0 2 0 1 11

0 0 0 0 0 0 0

0 1 0 0 0 0 1

0 0 0 0 0 0 0

6 2 0 3 5 16

0 0 0 0 0 0

0 1 0 0 0 1

0 7 2 6 0 15

0 0 0 0 0 0

3 4 1 2 3 0 0 2 0 19 2 1 12 1 0 0 3 1 3 3 5 2 1 1 8 0 1 3 81

0 1 0 0 0 0 0 0 0 2 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 4

0 0 0 0 0 0 0 1 0 1 0 0 1 0 0 0 0 0 0 0 2 1 0 0 2 0 0 0 8

0 0 0 0 1 1 0 1 0 5 4 0 4 0 0 0 0 0 3 2 4 5 0 1 3 0 2 0 36

0 0 0 0 0 0 0 0 0 2 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 3

0 0

108

Arts & Sciences Biology Chemistry Earth & Planetary Sciences Physics Psychology Office of Technology Management Arts & Sciences Total

Engineering & Applied Science Biomedical Computer Science Electrical & Systems Energy, Environmental & Chemical Mechanical, Aerospace & Structural Engineering & Applied Science Total

Medicine Anatomy & Neurobiology Anesthesiology Biochemistry & Molecular Biophysics Biostatistics Cell Biology & Physiology Center for Human Nutrition Comparative Medicine Genetics Institute of Biological Computing Internal Medicine Molecular Biology & Pharmacology Molecular Microbiology Neurology Neurosurgery Obstetrics & Gynecology Occupational Therapy Ophthalmology & Visual Sciences Ophthalmology / Genetics Orthopedic Surgery Otolaryngology Pathology & Immunology Pediatrics Psychiatry Radiation Oncology Radiology Siteman Surgery Washington University Medicine Total

Social Work Social Work Social Work Total

Total

Material Transfer Agreements by Department

When transferring proprietary materials in and out of the University to support research activities, the University requires execution of material transfer agreements (MTA). Incoming MTAs are no-fee agreements used when the material is received from another non-profit institution or from a commercial third party. Many of these materials are highly valuable research tools deemed essential to our research activities. Outgoing MTAs are used to distribute our materials (patented and unpatented) without charge to other non-profit institutions so that researchers can use them in their research activities. The nature of materials agreements involving transfer to for-profit companies depends on whether the use of the material will be restricted to internal research purposes. Table 14

Total Material Transfer Agreements for FY Department

FY05

FY06

FY07

590

1115

820

Incoming Outgoing Incoming Outgoing Incoming Outgoing

Arts & Sciences Biology Chemistry Earth & Planetary Sciences Physics Psychology Arts & Sciences Total

12 0 0 0 0

18 0 0 0 1

17 1 0 0 0

30 3 0 0 0

20 1 0 0 0

26 1 0 0 0

3 0 0 0 0

1 0 0 0 0

2 0 0 0 1

0 0 0 0 0

1 0 0 0 0

9 8 2 0 0 0 15 0 0 0 4 0 93 22 19 14 2 2 0 0 11 8 8 43 16 3 9 13 15 0

0 4 0 2 0 0 9 0 0 0 0 0 111 65 18 20 0 0 0 0 13 0 1 42 15 6 2 16 2 0

25 17 5 0 0 0 47 1 0 0 21 0 123 38 24 29 2 6 0 12 23 6 8 94 27 6 8 17 30 0

1 6 4 0 0 0 39 0 0 0 1 0 145 91 32 20 1 1 0 1 13 1 1 46 30 6 2 49 2 0

21 9 5 0 0 0 26 0 0 5 9 0 107 24 9 23 2 3 0 1 17 6 10 69 21 3 8 6 21 0

6 2 0 0 1 0 22 0 0 0 0 0 94 87 23 17 0 0 0 0 10 0 0 38 25 5 0 30 3 2

316

326

569

492

405

365

0 0

331

346

590

525

427

393

Engineering & Applied Science Biomedical Engineering Computer Science Electrical & Systems Engineering Energy, Environmental & Chemical Mechanical, Aerospace & Structural Engineering Engineering & Applied Science Total

Medicine Anatomy & Neurobiology Anesthesiology Biochemistry & Molecular Biophysics Bioorganic Chemistry & Molecular Pharmacology Cancer Center Cardiology Cell Biology & Physiology Central Institute for the Deaf Comparative Medicine Dermatology Genetics Institute of Biological Computing Internal Medicine Molecular Biology & Pharmacology Molecular Microbiology Neurology Neurosurgery Obstetrics & Gynecology Occupational Therapy Oncology / Endocrinology Ophthalmology & Visual Sciences Orthopedic Surgery Otolaryngology Pathology & Immunology Pediatrics Psychiatry Radiation Oncology Radiology Surgery Washington University Medicine Total

Social Work Social Work Social Work Total

Total

Industry Sponsored Clinical Trials Executive Summary Fiscal Years 2007 - 2005 Industry Sponsored Clinical Trials performed at Washington University have gone through a period of steady growth over the last three fiscal years. Over that period, the numbers of clinical trials performed at the institution have increased 4% from 1,294 trials in fiscal year 2005 to 1,318 trials in fiscal year 2007. During that same time, the cash receipts from those trials have increased by 13% from $21.4 million in 2005 to $24.4 million in 2007. However, during the period fiscal years 2005 to 2007, the number of new clinical trial contracts has decreased by 3% as is shown in Figure 3. For a break-down of clinical trials by department of the School of Medicine please refer to Figure 1. Of the total trials performed at the School of Medicine in 2007, 683 out of 1,318 or 52% were performed in the Department of Internal Medicine. In dollar terms this represents 48% of the total clinical trial dollars for fiscal year 2007. For a break-down of clinical trials by Division of the School of Medicineâ&#x20AC;&#x2122;s Department of Internal Medicine, please refer to Figure 2. The industry sponsored trials highlighted in this report are performed by numerous faculty throughout the School of Medicine. There are also a number of Centers dedicated to supporting clinical trials across the School of Medicine. These Centers have been highlighted below:

The Alvin J. Siteman Cancer Center at Barnes-Jewish Hospital and Washington University School of Medicine in St. Louis is an international leader in patient care, cancer research, prevention, education and community outreach and a National Cancer Institute-designated Comprehensive Cancer Center. The Siteman Cancer Center offers many different types of clinical trials. At any given time, Siteman has more than 350 trials open. There are different types of clinical trials performed at Siteman. Therapeutic trials involve some type of treatment, such as a new drug, combination of new and/or existing drugs or a new combination of therapies (for example, changing the schedule of the chemotherapy and radiation therapy). They are aimed at patients who have already been diagnosed with cancer. Other trials are designed to prevent cancer in healthy people or control cancer in people who have had curative treatment.

The Center for Clinical Studies (CCS), at Washington University Medical School in St. Louis-MO, supports the effective, efficient, and reliable evaluation of new pharmaceuticals and medical devices in collaboration with sponsoring organizations (industry and/or government). CCS supports Wash U. faculty with industry contract negotiation and clinical trial referrals, a full spectrum of services for planning and conducting clinical trials, and programs to streamline relevant Medical Center-wide processes. CCS also

Industry Sponsored Clinical Trials Executive Summary

provides sponsoring organizations with access to top-quality investigators, study coordinators, and participants for the conduct of clinical trials and other ancillary resources. CCS is the department responsible for negotiating all clinical trial contracts performed at Washington University, Barnes-Jewish Hospital and St. Louis Childrenâ&#x20AC;&#x2122;s Hospital. The department has a staff of 11 nurse/coordinators that can be utilized to complete clinical trials. CCS also provides assistance to create clinical trial budgets, opens clinical trial accounts, deposits funds from industry sponsors, and provides other forms of administrative support. In addition, CCS has 5,400 square feet of outpatient research space on the 11th floor of the Center for Advanced Medicine Building that can be utilized to conduct clinical trials. This fully staffed and dedicated clinical trial space has six patient exam rooms, phlebotomy room, consultation room, 2 long-term lounges for extended visits, portable ECG machine, IV infusion pumps, laboratory specimen processing and packaging area. Currently CCS provides clinical trial support services for 1 out of 6 clinical trials performed at the institution. In order to improve patient accrual in clinical trials, CCS has instituted a program called Volunteer for HealthTM (VFH). This innovative program seeks to develop a patient registry of potential study candidates and improve recruitment efficiency. Currently, the registry of volunteers exceeds 28,000 individuals. Working with the Washington University Institutional Review Board, VFH also assists Washington University faculty place advertisements seeking clinical trial volunteers. As of fiscal year 2007, VHF placed more than 1,200 advertisements in all forms of media (radio, newspaper, posters and flyers, etc.). The Washington University AIDS Clinical Trials Unit (ACTU) was established in 1987 to conduct clinical research and participate in clinical trials for persons with HIV-associated disease. Since its inception, 3,000 HIV-infected persons have been seen at the unit and more than 1,300 have been enrolled in clinical trials of new agents for primary HIV infection or for its associated opportunistic infections. Many patients have volunteered to participate in other clinical research protocols at this unit. Studies of anti-retroviral agents and immunomodulators have been conducted in patients with asymptomatic HIV disease, symptomatic infection and AIDS. In addition, the unit has participated in collaborative trials investigating the treatment and prevention of most of the opportunistic infections associated with AIDS. Unit oncologists perform studies in AIDS-related malignancies. The ACTU has a neurology clinical core to participate in specific neurologic protocols and to perform more detailed neurologic sub-studies of patients actively enrolled in other ACTU protocols. In addition, we have recently established a metabolic clinical core to perform more detailed metabolic sub-studies of patients with HIV disease as these become a greater problem in infected individuals.

Industry Sponsored Clinical Trials Executive Summary The unit has two clinics: the main unit at the Washington University Medical Center and a second at St. Louis ConnectCare. The latter, located at the only municipally supported public clinic in St. Louis, was specifically developed to increase access to clinical trials for minorities, drug abusers and other individuals underrepresented in clinical research. We direct a substantial effort toward making the goals and successes of clinical research known to the community, especially health care workers. An immunology laboratory and a virology laboratory serve the ACTU. Since 1988, the Washington University ACTU has screened approximately 3,000 HIV-infected individuals for possible participation in clinical trials. As of December 1, 2000, 1,363 HIV-positive persons have participated in studies offered at our site. Patient Oriented Research Unit (Pediatrics): The Patient Oriented Research Unit (PORU) has dedicated space on the 11th floor of the McDonnell Pediatric Research Building (MPRB) and serves as an academic base for the interaction and collaboration of clinical investigators within the Department of Pediatrics. Administrative members of the PORU assist members of the Department with submission of human studies protocols to the Internal Review Board (IRB) and with preparation of clinical research grants and contracts. PORU investigators are studying a variety of clinical topics, including diabetes, asthma, sickle cell disease, hypertension, cancer predisposition, organ transplantation, smoking cessation and many others. Beyond physicians, participants in these studies include psychologists, epidemiologists, and biostatisticians.

Industry Sponsored Clinical Trials Figure 1 Industry Sponsored Clinical Trials by Department of the School of Medicine Department

FY 2007 #'s $

FY 2006 #'s $

% Inc / (Dec) FY 05 - FY 07 #'s $

FY 2005 #'s $

Internal Medicine

683 11,746,362

691 12,559,967

628

12,279,318

-4%

Surgery

132

1,968,265

135

1,709,189

147

1,778,660

-10%

11%

Neurology

110

2,484,777

110

2,204,449

101

1,253,842

98%

Pediatrics

101

917,159

892,206

108

1,072,408

-6%

-14%

Radiology

1,889,619

1,012,135

1,100,496

-9%

72%

Pathology & Immunology

620,793

569,369

463,307

-2%

34%

Psychiatry

1,254,825

1,412,699

1,684,310

-17%

-25%

Obstetrics & Gynecology

675,200

484,147

470,295

44%

Orthopedic Surgery

689,710

878,324

218,849

Emergency Medicine

22,875

110,837

223,006

-90%

Anesthesiology

224,498

370,796

317,958

-52%

-29%

Siteman Cancer Center

572,209

172,805

204,934

30% 179%

Ophthalmology & Visual Sciences

540,730

15,109

55,330

44% 877%

Neurological Surgery

220,520

170,895

94,449

50% 133%

Radiation Oncology

411,826

452,998

186,150

-18% 121%

Otolaryngology

157,658

85,896

70,133

60% 125%

Molecular Biology & Pharmacology

32,375

18,750

30,258

25%

Molecular Microbiology

7,535

25,756

-71%

Biochemistry & Molecular Biophysics

20,000

Occupational Therapy

2,599

8,968

5,900

Div of Comparative Medicine

(7,151)

2,554

Health Administration

Genetics

Cell Biology & Physiology

Total

(200,256)

16% 215%

100% -100% -50%

-56%

0% -100% -75% -100%

7,569 -100% -100% -

1,318 24,439,532 1,370 23,122,386 1,294 21,365,225

-100%

13%

Notes: 1. The majority of industry sponsored clinical trials for the Siteman Cancer Center are accounted for in other departments. 2. The dollar totals contained in this chart are based on cash receipts from industry sponsors.

Industry Sponsored Clinical Trials Figure 2 Industry Sponsored Clinical Trials by Division of the Department of Internal Medicine

Divisions of Internal Medicine

% Inc / (Dec) FY 05 - FY 07 #'s $

FY 2007 #'s $

FY 2006 #'s $

FY 2005 #'s $

Medical Oncology

189

2,693,822

183

3,132,872

168

3,000,685

13%

-10%

Cardiology

104

1,288,036

107

1,067,968

104

1,119,505

15%

Pulmonary

1,207,936

873,866

878,367

60%

38%

Lipid Research

930,797

3,175,321

3,012,183

-69%

Bone Marrow Transplant

730,254

157,607

31,500

317%

2218%

Endocrine / Metabolism

707,511

675,025

916,493

32%

-23%

Center for Human Nutrition

666,952

398,593

440,108

-7%

52%

Renal

594,400

576,758

794,602

-11%

-25%

Dermatology

501,081

382,873

465,100

-20%

416,232

25,658

19,280

33%

2059%

Chrom Kidney Center

404,510

601,943

606,794

-21%

-33%

Gastroenterology

364,920

642,198

427,258

27%

-15%

Bone & Mineral Diseases

305,216

136,020

73,431

75%

316%

Rheumatology

246,372

181,735

224,543

13%

10%

Infectious Diseases

240,450

182,577

111,888

-19%

115%

Hematology

223,229

159,208

35,896

200%

522%

AIDS Clinical Trial Unit

178,336

119,857

92,262

-54%

93%

Immunology

36,308

69,886

15,164

139%

General Medical Sciences

10,000

100%

Applied Physiology

Medical Education

14,259

-100%

628

12,279,318

-4%

Geriatrics / Gerontology

Total

683

11,746,362

691

12,559,967

Note: The dollar totals contained in this chart are based on cash receipts from industry sponsors.

Industry Sponsored Clinical Trials

Figure 3 New Contracts Completed FY07-FY05

FY07

FY06

FY05

Inc/Dec

Clinical Studies

252

313

355

-29%

Confidentiality Agreements

131

114

49%

Amendments (all types)

230

226

183

26%

Other

-14%

Total

645

690

663

-3%

Sponsored Research Expense Executive Summary

This report presents an overview of expenditure activity for sponsored research projects at Washington University during the fiscal year of 2007 (FY07). The expense dollars reported are for all transactions that occur on or between July 1, 2006 and June 30, 2007. Data Sources The data presented in this report was obtained from the Washington University’s Financial Information System (FIS) and it reflects the expenditure activity incurred during the performance of sponsored projects. Excluded are expenses associated with projects supported by sales and service agreements and clinical trials. The report includes expenses related to training and the U.S. Department of Education’s College Work-Study Program; however, these activities represent only a very small fraction of total expenditures. Expenditure Activity The University’s total research expenditures for FY07 amounted to $537 million, an increase of 3% over FY06. This percentage increase is driven primarily from additional dollars ($5.8 million) from the National Institutes for Health (NIH). The NIH continues to provide the single largest funding stream, thus the costs for those projects represent 77% of total expenditures during the fiscal year. In addition to the NIH, several large projects funded by the National Science Foundation contributed to the rise in the expenditure level ($9.4 million). The University maintained a strong position in sponsored research during FY07. Detailed schedules regarding this activity have been compiled in several formats (see Tables 1 – 12). Noted below are definitions and descriptions of the key expenditure categories. Sponsor / Sponsor Type Federal Direct Agreements

Expenditures incurred under sponsored agreements awarded by a Federal agency directly to the University. DHHS - Department of Health and Human Services (Agencies other than HRSA and NIH) DOD - Department of Defense (Includes Air Force, Army, Navy, DARPA, and ARPA) DOE - Department of Energy EPA - Environmental Protection Agency HRSA - Health Resources and Services Administration (A division of DHHS) NASA - National Aeronautics and Space Administration NIH - National Institutes of Health (A division of DHHS) NSF - National Science Foundation USDA - United States Department of Agriculture USDE - United States Department of Education

Sponsored Research Expense Executive Summary

Federal Subagreements Expenditures incurred under a subagreement from another entity (usually another university) that has received an award directly from a Federal agency. The University is considered a subrecipient of federal funds. Total Federal

Expenditures incurred under direct agreements with Federal agencies and subagreements with other entities (that have received a direct award from a Federal agency). The figure(s) is the total of the Federal and Federal Subagreements categories noted above.

Other Government

Expenditures incurred under sponsored agreements with other city, county, state and international government agencies.

Private Sources

Expenditures incurred under sponsored agreements from industry, foundations and trusts, voluntary health agencies and other entities. Industry â&#x20AC;&#x201C; Typically commercial (for-profit) entities that fund hardware, software, fabrication and clinical device projects. Entities would include companies such as Monsanto, Lockheed Martin and Hoffman La Rouche. Foundations & Trusts â&#x20AC;&#x201C; Sponsored agreements from nonprofit entities such as; the James S. McDonnell Foundation, Robert Wood Johnson Foundation and the Juvenile Diabetes Foundation. Voluntary Health - Sponsored agreements from non-profit health/disease specific agencies such as; American Heart Association, American Cancer Society and the National Multiple Sclerosis Society. Other â&#x20AC;&#x201C; Sponsored agreements and subagreements (excluding federal pass-thru funding) from other non-profit agencies such as: Shriners Hospital for Children, Howard Hughes Medical Institute and the St. Louis Zoo. Project Type

Research

Projects and activities that discover new scientific areas, procedures and devices.

Research Training

Support provided to pre/postdoctoral students and fellows involved in research training programs.

Other Sponsored Activities

Other activities such as public service, patient service, conference grants, community outreach programs and student aid. 48

Sponsored Research Expense Executive Summary

Schools

School of Medicine School of Arts & Sciences School of Engineering George Warren Brown School of Social Work Other John M. Olin School of Business Sam Fox School of Design and Visual Arts School of Law

Cost Category Direct Costs

Expenditures incurred that can be specifically identified to a particular sponsored agreement/project. Costs of this nature would include those such as; faculty and staff salaries (and applicable fringe benefits), consultants, consumable supplies, travel, subagreements and equipment. Direct costs are booked to the general ledger on a daily basis.

F&A Costs

Abbreviated term for Facilities and Administrative (F&A) Costs (also known as indirect/overhead costs). F&A costs are defined as expenditures incurred for common or joint objectives which cannot be specifically identified with a particular agreement/project. Costs of this nature would include: utilities and building services, building and equipment depreciation, university/school/department administration, research administration and the library. The University has negotiated F&A rates with our cognizant federal agency (the Department of Health and Human Services). The F&A costs are posted to the general ledger monthly, based upon the projectâ&#x20AC;&#x2122;s direct or modified direct (excludes capital equipment, subcontract expenses greater than $25,000, patient care costs, tuition, and off-campus rent) costs and the applicable F&A rate.

Cost Sharing

Defined as costs incurred under a specific cost objective which are not supported by the sponsoring agency. Cost sharing can be described as the dollar amount the University provides to support a sponsored project. The University monitors and maintains cost sharing expenditures by establishing separate accounts/funds in the general ledger. For each sponsored project, a specific cost sharing account will be established based upon the terms and conditions of the award. See Table 12 for a summary of the Universityâ&#x20AC;&#x2122;s cost sharing contributions.

Sponsored Research Expense Executive Summary

Facilities and Administrative (F&A) Rates Sponsored projects awarded to the University provide funding for direct and F&A costs (see previous page). A percentage rate is applied to the direct costs in order to determine the F&A funding/expenses for the project. The Federal F&A rate for on-campus research can change at the start of a fiscal year, based upon our current rate agreement. Federal F&A rates are applied based on the competitive start date of the project. Non-federal sponsors will also provide funding for F&A costs, but the rates can vary based upon the internal policies of the sponsor. Noted below is a brief description of the major F&A rates.

54%

Federal on-campus research rate for projects awarded during the period 7/1/01 â&#x20AC;&#x201C; 6/30/02. Applied to modified total direct costs.

53%

Federal on-campus research rate for projects awarded during the period 7/1/02 â&#x20AC;&#x201C; 6/30/06. Applied to modified total direct costs.

52.5%

Federal on-campus research rate for projects awarded during the period 7/1/06 â&#x20AC;&#x201C; 6/30/07. Applied to modified total direct costs.

50%

Base rate for non-federal sponsors. Applied to total direct costs.

26%

Federal off-campus research rate.

Federal rate for research training and fellowship projects.

Other

Includes various rates from federal, private and other government sponsors.

Sponsored Projects Accounting The mission of Sponsored Projects Accounting (SPA) is to provide consistent and high quality financial stewardship, policy interpretation and compliance assurance to the University's research community and the sponsoring agencies. Members of the department strive to perform accurate and timely transaction approvals, financial analysis and reporting of costs incurred for sponsored projects. We monitor and maintain the accounting structure involved with revenue, expense and receivable transactions for sponsored projects so that these amounts are properly stated in the University's financial statements. In conjunction with Grants and Contracts and the Research Office, SPA develops a coordinated and consistent approach on institutional issues involving sponsored projects. The office of Sponsored Projects Accounting reports to Barbara Feiner, Vice Chancellor for Finance and Chief Financial Officer. This report and other data are available on the SPA website (http://www.spa.wustl.edu/).

Direct and F&A Expenditures

Table 1 Direct and F&A Expenditures by Sponsor Type â&#x20AC;&#x201C; FY07 and FY06 (000s)

FY07 Sponsors Federal

$356,513

88%

$127,701

96%

$484,214

90%

$339,028

89%

$131,051

96%

$470,079

91%

46,792

12%

5,608

52,400

10%

43,931

11%

5,299

49,230

533

111

644

458

104

562

$403,838

100%

$133,420

100%

$537,258

100%

$383,417

100%

$136,454

100%

$519,871

100%

Private Sources Other Government TOTAL

% Total Direct

F&A Costs

FY06

Direct Costs

% Total F&A

Total

% Total

Direct Costs

% Total Direct

F&A Costs

% Total F&A

Total

% Total

Direct and F&A Expenditures

Table 2 Direct and F&A Expenditures by School and Cost Category – FY07 and FY06 (000s)

FY07 DIRECT COSTS

SCHOOLS MEDICINE

F&A COSTS

FY06 TOTAL

DIRECT COSTS

F&A COSTS

CHANGE TOTAL

$347,474

$115,828

$463,302

$328,055

$119,088

$447,143

$16,159

ARTS & SCIENCES

31,940

10,255

42,195

32,844

10,495

43,339

(1,144)

-3%

ENGINEERING

14,025

5,684

19,709

13,535

5,217

18,752

957

SOCIAL WORK

5,937

1,270

7,207

4,783

1,385

6,168

1,039

17%

OTHER

4,462

383

4,845

4,200

269

4,469

376

TOTAL

$403,838

$133,420

$537,258

$383,417

$136,454

$519,871

$17,387

Direct and F&A Expenditures

Table 3 Direct and F&A Expenditures by School and Project Type – FY07 and FY06 (000s)

Research SCHOOLS

FY07

MEDICINE

Research Training FY06

Other Sponsored Activities

FY07

FY06

FY07

FY06

Total FY07

FY06

$409,292

$398,374

$39,535

$36,620

$14,475

$12,149

$463,302

$447,143

ARTS & SCIENCES

37,248

37,935

2,394

2,417

2,553

2,987

42,195

43,339

ENGINEERING

18,124

17,400

1,202

955

383

397

19,709

18,752

SOCIAL WORK

5,638

4,664

706

672

863

832

7,207

6,168

544

888

(11)

101

4,312

3,480

4,845

4,469

$470,846

$459,261

$43,826

$40,765

$22,586

$19,845

$537,258

$519,871

OTHER TOTAL

Expenditures

Table 4 Expenditures by Sponsor and Agreement Type – FY07 and FY06 (000s)

FY07

FEDERAL AGENCIES NIH NSF USDE NASA DOD EPA DHHS OTHER DOE DHHS HRSA USDA OTHER TOTAL FEDERAL OTHER GOVERNMENT PRIVATE SOURCES INDUSTRY FOUNDATIONS & TRUSTS VOL HEALTH OTHER TOTAL PRIVATE

TOTAL

FY06

DIRECT AGREEMENTS

SUB AGREEMENTS

$392,482 33,284 5,639 6,711 5,303 266 3,100 2,751 2,257 622 524 452,939

$21,897 1,282 249 1,771 2,149 253 829 1,564 828 128 325 31,275

TOTAL $414,379 34,566 5,888 8,482 7,452 519 3,929 4,315 3,085 750 849 484,214

CHANGE

DIRECT AGREEMENTS

SUB AGREEMENTS

$386,579 22,842 4,876 7,070 5,065 893 3,832 2,748 2,035 679 767 437,386

$22,004 2,337 56 1,736 2,547 170 1,048 1,158 900 570 167 32,693

TOTAL $408,583 25,179 4,932 8,806 7,612 1,063 4,880 3,906 2,935 1,249 934 470,079

644

562

8,959 28,357 9,454 5,630 52,400

8,970 27,332 8,187 4,741 49,230

$505,983

$31,275

$537,258

$487,178

$32,693

$519,871

$5,796 9,387 956 (324) (160) (544) (951) 409 150 (499) (85) 14,135

1% 37% 19% -4% -2% -51% -19% 10% 5% -40% -9% 3%

15%

(11) 1,025 1,267 889 3,170

0% 4% 15% 19% 6%

$17,387

Expenditures Expenditures by Sponsor Type â&#x20AC;&#x201C; FY03 to FY07 (000s) Figure 1

Figure 2

FEDERAL FUNDING

OTHER GOV'T FUNDING 1,500

Dollars (in thousands)

450,000

375,000

300,000

1,200 900 600 300 -

FY03 Federal 409,801

FY04

FY05

FY06

FY07

427,390

458,523

470,079

484,214

Other Gov't

FY03

FY04

FY05

FY06

FY07

741

703

670

562

644

Figure 3 PRIVATE FUNDING 60,000

Dollars (in thousands)

525,000

50,000 40,000 30,000 20,000 10,000 Private

FY03

FY04

FY05

FY06

FY07

40,372

40,650

44,662

49,230

52,400

Expenditures

Table 5 Expenditures by Sponsor and Project Type – FY07 and FY06 (000s)

Research

FY07 FEDERAL AGENCIES NIH NSF USDE NASA DOD EPA DHHS OTHER DOE DHHS HRSA USDA OTHER TOTAL FEDERAL OTHER GOVERNMENT PRIVATE SOURCES INDUSTRY FOUNDATIONS & TRUSTS VOL HEALTH OTHER TOTAL PRIVATE

TOTAL

Research Training

FY06

$379,928 32,358 249 8,015 7,168 513 3,105 4,315 60 693 614 437,018

$378,151 23,107 56 8,382 7,386 1,052 4,011 3,906 43 1,206 376 427,676

FY07 $32,587 2,116 467 284 6 323 57 35,840 -

Other Sponsored Activities

FY06

FY07

$29,829 2,059 424 226 11 340 20 43 4 32,956

FY06

Total

FY07

FY06

$1,864 92 5,639 501 3,025 235 11,356

$603 13 4,876 529 2,872 554 9,447

$414,379 34,566 5,888 8,482 7,452 519 3,929 4,315 3,085 750 849 484,214

$408,583 25,179 4,932 8,806 7,612 1,063 4,880 3,906 2,935 1,249 934 470,079

477

335

644

562

167

204

8,213 15,189 5,993 4,266 33,661

8,138 15,113 4,972 3,158 31,381

579 3,435 3,412 560 7,986

686 3,279 3,150 671 7,786

167 9,733 49 804 10,753

146 8,940 65 912 10,063

8,959 28,357 9,454 5,630 52,400

8,970 27,332 8,187 4,741 49,230

$470,846

$459,261

$43,826

$40,765

$22,586

$19,845

$537,258

$519,871

Expenditures Expenditures by Project Type â&#x20AC;&#x201C; FY03 to FY07 (000s) Figure 4

Figure 5