FY09 Annual Report by Office of the Vice Chancellor for Research

Annual Report Fiscal Year 2009

February 15, 2010 Dear Colleagues: Research, or the process of systematic inquiry by which we create new knowledge, is central to Washington University’s mission. The Office of the Vice Chancellor for Research exists to promote and support Washington University researchers as they seek funding from sponsors, conduct world-class research, and share their research results through publication and commercialization for the use and benefit of the public. Sponsored research funding is critical to the success of our research endeavors. The Washington University research enterprise generates and expends more than $500 million annually in sponsored research funding, much of it from federal sponsors. In FY09, total sponsored research funding from federal; state, local, and other government; private industry; and private non-profit reached $567.4 million. The passage of the American Recovery and Reinvestment Act (ARRA) provided an unexpected boost to our federal funding. Washington University investigators responded briskly to the call for ARRA funding opportunities, with over 920 research applications submitted. Our investigators were extremely successful, having received more than 230 awards to date. This unprecedented application response and attendant success presented significant workload challenges for the Washington University administrative staff, who also responded magnificently, and whose hard work and dedication contributed to the individual and collective success of our investigators. Careful attention paid to including the latest ARRA data in this report resulted in it arriving a bit later than usual. Although ARRA began in FY09, the impact will be much greater in FY10 than this year, because of the federal timeline for disbursement and spending. The ARRA contribution to the research program in FY09 was $437,000. According to Sponsored Projects Accounting (SPA), research expenditures totaled $543 million dollars, $367,000 of which were expended for ARRA-funded research. Federal funding is especially crucial to the research endeavor; it accounted for 77% of the total award dollars to Washington University in FY09. As the past several years have shown, and Appendix 2 to this report further supports, the state of our nation’s economy can have dramatic impact on research funding trends. To our researchers’ credit, although federal funding to institutions nationwide has wavered, Washington University’s research community has offset the impact with increased funding from private industry and non-profit sources. Funding from private

sources actually increased by 14% in FY09. This increase is even more remarkable because foundations found it difficult to maintain their research support as the national economy struggled. In order to nourish our ongoing research enterprise, it is critical that we continue our high rate of success in research funding. We will need to maintain our competitiveness in existing arenas, find new and innovative sources of funding, expand and diversify our research funding portfolio, and assist and encourage our investigators as they pursue these endeavors. Federally funded technologies, discoveries, and therapies require a vehicle to reach the public and benefit society. The Office of Technology Management (OTM) facilitates the invention and patent process, including invention disclosures from faculty, new patent applications, U.S. and foreign patent issues, and revenue-generating license and technology transfer agreements. The Bear Cub Fund, established by this office in 2008 to support innovative translational and technology development research that federal grants normally do not support, continues to thrive. In FY09, the Fund sponsored nine projects with a total investment of $300,000. Industry-sponsored clinical trials, including those supported by a number of dedicated Centers, are performed by School of Medicine faculty. More than 1,300 clinical trials were run in FY09, evaluating the safety and efficacy of new technology and pharmaceuticals in treating diseases such as cancer and AIDS. Clinical trials generated more than $27 million in FY09. The expectation of interdisciplinary and collaborative research that federal agencies have set continues to be met by WU researchers. Several examples of collaborative projects, diverse partnerships, and centers established to foster research are contained in the â&#x20AC;&#x153;Notable Achievementsâ&#x20AC;? section of this report. I am pleased to present this report for your review, and welcome any questions or comments you may have about it.

Evan D. Kharasch, M.D., Ph.D. Interim Vice Chancellor for Research

OVCR Annual Report Fiscal Year 2009 Table of Contents Table of Contents Page Sponsored Research Sponsored Research Executive Summary ........................................................................................ 1 Notable Achievements for Fiscal Year 2009 ............................................................................ 4 Funding History by Sponsor Type Figure 1 Funding History by Sponsor Type ......................................................................... 7 Table 1 Funding History by Sponsor Type ......................................................................... 7 Figure 2 Federal Funding ........................................................................................................ 8 Table 1A ARRA Funding ......................................................................................................... 8 Figure 3 State, Local, and International (“Other Government”) Funding ...................... 9 Figure 4 Private Funding ....................................................................................................... 10 Funding History by School Figure 5 Arts & Sciences ....................................................................................................... 11 Figure 6 Engineering.............................................................................................................. 11 Figure 7 Medicine ................................................................................................................... 11 Figure 8 Social Work.............................................................................................................. 11 Table 2 Funding History by School ................................................................................... 11 Table 2A ARRA Funding by School ..................................................................................... 12 Award Dollar Analysis Table 3 Award Dollars by School and Cost Category ..................................................... 13 Table 3A ARRA Award Dollars by School and Cost Category ........................................ 14 Table 4 Award Dollars by School or Department and Project Type ............................ 15 Table 4A ARRA Award Dollars by School or Department and Project Type ............... 16 Figure 9 Award Summary by Sponsor Type ...................................................................... 17 Figure 9A ARRA Awards by Sponsor.................................................................................... 18 Figure 9B ARRA Awards and WU Total .............................................................................. 18 Table 5 Award Dollars by Sponsor Type and Cost Category ........................................ 19 Table 5A ARRA Award Dollars by Sponsor Type and Cost Category ........................... 19 Table 6 Award Dollars by Sponsor and Cost Category .................................................. 20 Table 6A ARRA Award Dollars by Sponsor and Cost Category ..................................... 21 Table 7 Federal Award Dollars by Sponsor and School ................................................. 22 Table 7A ARRA Award Dollars by Sponsor and School .................................................. 23 Table 8 Award Dollars by School or Department and Sponsor Type .......................... 24 Table 8A ARRA Award Dollars by School or Department and Sponsor Type ............. 25 Table 9 School of Arts & Sciences – Award Dollars by Department and Sponsor Type .............................................................................................. 26 i

OVCR Annual Report Fiscal Year 2009 Table of Contents Table 9 Table 10

School of Arts & Sciences – ARRA Award Dollars by Department ............. 27 School of Engineering – Award Dollars by Department and Sponsor Type ............................................................................................. 28 Table 10A School of Engineering – ARRA Award Dollars by Department .................... 29 Table 11 School of Medicine – Award Dollars by Department and Sponsor Type ............................................................................................. 30 Table 11A School of Medicine – ARRA Award Dollars by Department.......................... 31 Office of Technology Management Office of Technology Management Executive Summary ............................................................ 32 Table 1 OTM Statistics – FY09 through FY07 ................................................................ 32 Technology Highlights for Fiscal Year 2009........................................................................... 34 Bear Cub Fund ............................................................................................................................ 39 Invention Disclosures Table 2 Invention Disclosures by School.......................................................................... 41 Table 3 Invention Disclosures by Department ................................................................ 42 Patent Applications Table 4 US Patent Applications by School ....................................................................... 43 Table 5 US Patent Applications by Department .............................................................. 44 Licenses Table 6 Table 7

Licenses by School.................................................................................................. 45 Licenses by Department ....................................................................................... 46

License Revenue Table 8 License Revenue by School .................................................................................. 47 Table 9 Technology Transfer Activity by School............................................................. 48 Table 10 Technology Transfer Activity ............................................................................... 49 Industry Sponsored Research Agreements Table 11 Industry Sponsored Research Agreements by School ...................................... 50 Table 12 Industry Sponsored Research Agreements by Department. ............................ 51 Other Agreements Table 13 Other Agreements by Department ...................................................................... 53 Material Transfer Agreements Table 14 Material Transfer Agreements by Department .................................................. 54 Social and Financial Impact Table 15 Summary of Economic Impact ............................................................................ 55 ii

OVCR Annual Report Fiscal Year 2009 Table of Contents Industry Sponsored Clinical Trials Center for Applied Research Sciences Executive Summary........................................................ 56 Table 1 Table 2 Table 3

Industry Sponsored Clinical Trials by Department of the School of Medicine ............................................................................................ 59 Industry Sponsored Clinical Trials by Division of the Department of Internal Medicine .................................................................... 60 New Contracts Completed .................................................................................... 61

Sponsored Research Expense Sponsored Research Expense Executive Summary ...................................................................... 62 Table 1 Table 2 Table 3 Table 4 Figs. 1-3 Table 5 Figs. 4-6 Table 6 Table 7 Table 8 Figs. 7-8 Table 9 Table 10 Table 11 Table 12

Direct and F&A Expenditures by Sponsor Type .............................................. 67 Direct and F&A Expenditures by School and Cost Category ......................... 68 Direct and F&A Expenditures by School and Project Type ............................ 69 Expenditures by Sponsor and Agreement Type ................................................ 70 Expenditures by Sponsor Type ............................................................................ 71 Expenditures by Sponsor and Project Type ....................................................... 72 Expenditures by Project Type .............................................................................. 73 Expenditures by Sponsor Type and School........................................................ 74 Expenditures by Detailed Cost Category and Sponsor Type ........................... 75 Expenditures by Detailed Cost Category and School ....................................... 76 Expenditures by School ........................................................................................ 77 F&A Expenditures (Recovery) by Sponsor Type and F&A Rate ................... 78 F&A Expenditures (Recovery) by Sponsor Type and Agreement Type ........ 79 Federal Expenditures by Federal Agency and School ....................................... 80 Cost-Sharing Expenditures by Detailed Cost Category and School ............... 81

Appendix 1: Changes in Business Rules and Accounting Methods Affecting Historical Data in Annual Reports ................................................................................................... 82 Appendix 2: Trends in Federal Research & Development (R&D) Funding .................................. 83

iii

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Sponsored Research Executive Summary Faculty excellence, innovation and dedication are cornerstones for the strength of the research mission at Washington University (WU). This strength translates into the continued prominence of WU despite an increasingly competitive market for research funds. Federal funding for research and development has continued to remain relatively flat over the last several years, even in the face of such efforts as the doubling of the NIH budget, the passage of the America Creating Opportunities to Meaningfully Promote Excellence in Technology, Education, and Science Act (America COMPETES Act), and the American Recovery and Reinvestment Act (ARRA). Fortunately, WU is seeing an increase in the proportion of industry and non-profit sources of revenues supporting its research activities. This report presents an overview of external funding for sponsored projects at WU during the University’s fiscal year of 2009 (FY09). All references within Tables and Figures to “Fiscal Year” are to WU’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, 2008 and June 30, 2009, 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). Award data is often impacted by large, multiyear private awards where funding is provided up front. Though the work on these projects is spread over the course of several years, the amount of the total award is registered entirely in one year. For that reason, annual award levels may vary significantly and do not necessarily reflect the amount of funding potentially available in any given fiscal year. In addition, the receipt or completion of a single significant award may have a dramatic impact on percentages shown in this report. The Facilities and Administrative (F&A) costs, sometimes referred to as “indirect” or “overhead” costs, are at times limited or prohibited by some sponsors, thereby constraining a School’s ability to recover full overhead costs. In some instances, there are references to an agency’s fiscal year, 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 Although total funding for WU’s sponsored research programs reached $567.4M in FY09, an increase of 3.5% from FY08, the amount of Federal award dollars decreased slightly by 0.5%, or about $2.1M, from FY08 funding levels. Federal agency support, however, continues to be the University’s leading source of award dollars, constituting 77% of total sponsored funding to WU in FY09.

OVCR Annual Report Fiscal Year 2009 Sponsored Research

WU’s funding from federal sources benefited from ARRA, signed into law on February 17, 2009, to counter the nation’s economic crisis. The goals of ARRA are to: • • •

Create new jobs and retain existing ones Spur economic activity and invest in long-term economic growth Require accountability and transparency in government spending.

ARRA resulted in additional funding of more than $270B for federal contracts, grants and loans to several agencies, but NIH and NSF comprise the bulk of the ARRA federal funding support to WU: • •

NIH was allocated $8.2B for extramural activities. NSF was allocated $2B for research funds.

The WU faculty responded immediately and submitted more than 900 proposals for ARRA funding during FY09. A website – www.recovery.gov – was created by the U.S. Government to explain the Act and allow the American public to visibly monitor the use of program funds, track where the stimulus money is going, and see how the money is being used. In addition, the Office of the Vice Chancellor for Research (OVCR) created a website – http://research.wustl.edu/arra – to guide the WU research community in finding stimulus funding and submitting proposals. That website now also provides access to ARRA reporting data, research projects, and project management tools. WU received $4.7M in stimulus awards in FY09. Due to the federal agencies’ timeline for the government to disburse the funds and for institutions to quickly expend them, the bulk of WU’s funding from ARRA will be received in FY10 and spent over the 2010 and 2011 fiscal years. Although the full impact of the ARRA program will not be evident until FY10 and possibly FY11, the funds are important to the overall WU research program. If the amount of award dollars were to be adjusted to exclude ARRA funding, the federal dollars would show a decrease of 1.6% from FY08 to FY09. The “Funding History” section of this Annual Report includes tables and charts that detail total funding to WU and, where appropriate, breaks out the ARRA funding WU received. Key Federal Research Sponsors The number one federal sponsor of University research is the National Institutes of Health (NIH). Its total award obligation of $401.0M to WU (2.5% more than the previous fiscal year) represents 71% of WU’s total sponsored project funding and 92% of its federal dollars. School of Medicine NIH award dollars in FY09 ($368.7M) increased by $1.2M (0.3%) compared to FY08. Total NIH dollars awarded to the School of Engineering in FY09 ($9.6M) increased by 22.6% compared to FY08. NIH award dollars in FY09 to both the School of Arts & Sciences and the George Warren Brown School of Social Work increased, respectively, 28.5% and 89.1%. Federal direct costs decreased by about $0.6M (0.2%) in FY09, and federal F&A costs decreased by $1.5M (1.3%). 2

OVCR Annual Report Fiscal Year 2009 Sponsored Research

The National Science Foundation (NSF) remains the number two federal sponsor of University research. In FY09, the NSF awarded the University $16.4M, a 35.4% decrease ($9M) from FY08 ($25.4M). NSF funding to the School of Medicine dropped significantly (53.2%) from $5.2M in FY08 to $2.45M in FY09, due to the successful completion of the Maize Genome Sequencing Project. NSF funding to the School of Engineering totaled $6.3M in FY09, a decrease of about 8.1% from FY08. NSF funding to the School of Arts & Sciences totaled $7.3M, a decrease of 39.0% from the previous year. The School of Social Work also saw a 39.0% decrease from FY08, receiving $0.2M in NSF awards in FY09. (Social Work received no NSF funding in FY07.) Other Schools (i.e., not Arts & Sciences, Engineering, Medicine, or Social Work) saw a total decrease in NSF award dollars (84.3%), from $1.0M in FY08 to $.16M in FY09. Funding from the National Aeronautics and Space Administration (NASA) decreased by about $2.6M (32.7%). As in FY08, only the School of Engineering and the School of Arts & Sciences received funding from NASA. Dollars awarded to Engineering decreased by $.2M (63.8%) and to Arts & Sciences by $2.4M (31.5%). Department of Energy (DOE) funding increased 34.0% ($1.1M). DOE funds awarded to the School of Medicine increased by 200% from $.5M in FY08 to $1.5M in FY09. DOE awards to the School of Arts & Sciences increased by 22.1%, from $2.0M in FY08 to $2.5M, while funding to the School of Engineering decreased 79.8%, from $.74M in FY08 to $.15M in FY09. Washington University is working to position itself as a major player in the energy research field, and is committing significant resources and efforts to energy-based research. Please see the “Notable Achievements” section for more information. Table 6 (page 20) lists the different sponsoring agencies with dollar volume and change from FY08 to FY09. Table 7 (page 22) further breaks out agency funding by School. Private Sources: Industry and Non-Profit Sponsor Support There has been a trend toward an increase of private funding for research over the past few years. In FY09, support from private sources increased significantly, by $23.9M (27.3%), from FY08. No single award is responsible for this increase; instead, it is due to awards from various sponsors such as Monsanto, Barnes-Jewish Hospital Foundation, and the Children’s Hospital Discovery Institute.

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Notable Achievements for Fiscal Year 2009 Washington University’s research initiatives and collaborations are carried out by more than 3,000 faculty members and their staff on the Danforth and Medical School campuses. The everincreasing expectation for collaboration on research projects has been met by diverse teams of WU researchers, whose resultant discoveries and information could have a significant positive impact on society. Following are just a few of the notable achievements made or continued in fiscal year 2009. BJC Institute of Health and BioMed 21 The BJC Institute of Health at Washington University, established and constructed with a gift from BJC HealthCare, opens in January 2010 as the hub of BioMed 21. The BioMed 21 initiative, established in 2003, reorganizes the life sciences at WU to address the biggest questions about diseases: their origins, how they affect us, and how we can cure them. It creates a multidisciplinary and translational research imperative for basic scientists and clinicianresearchers from many disciplines across the University. Located at the heart of the Washington University School of Medicine campus, the new $235-million, 700,000-square-foot building provides a home for physicians, scientists, and researchers to work together to improve human health. Five Interdisciplinary Research Centers (IRCs) have been chosen to occupy a portion of the 11-story building with BioMed 21: the Bridging Research through Imaging, Genomics and High Throughput technologies (BRIGHT Institute), the Center for the Investigation of Membrane Excitability Disorders (CIMED), the Center for Women’s Infectious Disease Research (cWIDR), the Hope center program on Protein Aggregation and Neurodegeneration (HPAN), and the Diabetic Cardiovascular Disease Center (DCDC). Focus on Renewable Energy and Sustainability The University continues to be a leader in the areas of renewable energy and sustainability with the highly successful International Center for Advanced Renewable Energy and Sustainability (I-CARES), established in June 2007. Two major initiatives were announced in FY09: the establishment of the Clean Coal Consortium and the Photosynthetic Antenna Research Center (PARC). According to Chancellor Mark Wrighton at the December 2008 press conference announcing the award to establish the Clean Coal Consortium, “…we are forming an international partnership between universities, industries, foundations and government organizations to foster improved efficiency, lower emissions and develop ways to address climate change.” PARC is one of 46 Energy Frontier Research Centers (EFRCs) across the United States dedicated to exploring basic scientific research aimed at understanding the principles of light harvesting and energy funneling as applied to photosynthetic, biohybrid, and bioinspired antenna systems. (Read more about the Clean Coal Consortium at http://newsinfo.wustl.edu/news/page/normal/13050.html) and about PARC at http://www.parc.wustl.edu/Welcome.html.)

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Institute of Clinical and Translational Sciences The Institute of Clinical and Translational Sciences (ICTS) was established to meet the intent of the NIHâ&#x20AC;&#x2122;s Clinical and Translational Science Award (CTSA) initiative. The Institute serves as the intellectual and physical home for clinical and translational research, clinical research training, and career development to help overcome the traditional boundaries between disciplines, departments, and institutions. Under ICTS, researchers receive benefits such as access to core facilities, consulting services, and education and funding opportunities; increased exposure to collaborative relationships; exposure to national opportunities available through other CTSA sites; and opportunities in clinical and translational research training programs for students and junior faculty. ICTS continues to identify new services and cores to help promote new research, such as the new Dissemination and Implementation Research Core (DIRC), funded under the BJHF/ICTS Clinical and Translational Research Funding Program, and operated under the leadership of researchers from WUSM, Brown School of Social Work, and Institute for Public Health. Institute for Public Health Established in October 2008, the Institute for Public Health (IPH) will advance public health research, teaching, and community engagement at WU, with the ultimate goal of significantly improving population health. The Institute is university-wide in scope and emphasizes a transdisciplinary approach to public health and population health sciences. The Institute capitalizes on the extensive public health faculty resources and research already in place at WU, but aims to create a distinctive University public health identity and capacity in the field going forward. The Institute will be a catalyst for recruiting new faculty to Schools in the University, producing new forms of public health teaching and research, and translating medical, social, and physical science discoveries into interventions that improve population health. Law and Neuroscience Project The Law and Neuroscience Project is a collaborative project between WU Schools of Law and Medicine. The project is centered at the University of California, Santa Barbara (UCSB), and involves scientists and legal scholars from more than two dozen universities world-wide. It is the first systematic effort to bridge the fields of law and science in considering how courts should deal with new brain-scanning techniques as they apply to matters of law. Topics addressed include addiction, brain abnormalities, and decision-making as it relates to complex issues such as criminal responsibility. In addition, the project will support scientific advice to the legal profession, as well as public and professional education. Specific activities will range from conferences and scientific publications to recommendations for judicial guidelines for handling neuroscientific evidence. St. Louis Institute of Nanomedicine Working Group The St. Louis Institute of Nanomedicine Working Group is a joint venture sponsored by leading area institutions, bringing together regional expertise in nanotechnology, medicine, technology transfer, and education to address complex health care problems. Along with Washington University, founders include the University of Missouri at St. Louis, St. Louis University, and the St. Louis Community Colleges. The instituteâ&#x20AC;&#x2122;s major goal will be to advance the safe and 5

OVCR Annual Report Fiscal Year 2009 Sponsored Research

effective use of nanotechnologies to reduce death and suffering from human disease. Funding from the Missouri Life Sciences Research Trust Fund, established in 2003 with money resulting from tobacco litigation awards in Missouri, will help the institute establish a regional nanotechnology enterprise able to expand in the future.

OVCR Annual Report Fiscal Year 2009 Sponsored Research Funding History

The figures and tables in this section present WU’s funding history over the past five years. Figure 1 and Table 1 illustrate the total dollars received by three broad sponsor types: 1) Federal, 2) State, Local and International governments, and 3) Private sector, which includes industry and non-profit sponsors. Table 1A on the following page shows the amount of ARRA federal money awarded to WU in FY09.

600

Dollars ($M)

500

111

400

Private State/Local/Int'l

300 433

452

444

440

Federal

437

200 100 0 FY05

FY06

FY07

FY08

FY09

Figure 1 Funding History by Sponsor Type – FY05 to FY09 †

FY05

FY06

FY07

FY08

FY09

Federal

$432,779

$451,874

$444,018

$439,551

$437,435

TOTAL

$516,733 $546,324 $537,474 $548,351 $567,383

State/Local/Int'l Private

17,133 66,821

18,712 75,738

16,765 76,691

21,389 87,411

18,662

111,285

Table 1 Funding History by Sponsor Type – FY05 to FY09 † (000s) 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. Five year trend tables have been adjusted accordingly. For a full explanation, please refer to Appendix 1.

OVCR Annual Report Fiscal Year 2009 Sponsored Research Federal Research Funding Federal research funding refers to the dollars awarded by federal agencies to WU for use in its sponsored research programs. Federal research funding provided 77% of total University award dollars for FY09. As Figure 2 illustrates, the University demonstrated growth in total federal research funding from FY05 to FY06, with slight declines in FY07, FY08, and FY09, mirroring the decline in NIH funding nationwide during those years. Table 1A shows the amount of Federal dollars awarded to WU as a result of the ARRA of 2009.

500 450 Dollars ($M)

400 350 300 250

433

452

444

440

437

FY05

FY06

FY07

FY08

FY09

200 150 100 50 0

Figure 2 Federal Funding – FY05 to FY09 †

FY09 Total Federal Awards

ARRA

$437,435

$4,730

ARRA as % of Total Federal Awards 1.1%

Table 1A ARRA Funding – FY09 (000s) †

OVCR Annual Report Fiscal Year 2009 Sponsored Research

State, Local, and International (or “Other Government”) Funding

This category most often includes state universities whose subagreements to WU are funded from their federal awards. 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 entities, such as a Ministry of Health or a Research Council. The decrease in state, local and international government funding in FY09 is largely due to the completion of a $1.9M grant from Life Sciences Research Program that was awarded to the International Center for Advanced Renewable Energy and Sustainability (I-CARES) in FY08.

20 18 16 Dollars ($M)

14 12 10

19 17

FY08

FY09

8 6 4 2 0 FY05

FY06

FY07

Figure 3 State/Local/International – FY05 to FY09 †

†

OVCR Annual Report Fiscal Year 2009 Sponsored Research Private Funding

Private funding sources received from companies and organizations fall into the following two main categories: Industry and Non-Profit. Industry typically includes commercial (for-profit) entities such as Ameren, Pfizer, Monsanto, Lockheed Martin, and Hoffman La Rouche. Non-Profit includes: • Foundations & Trusts: Non-profit entities such as the James S. McDonnell Foundation, the Barnes-Jewish Hospital Foundation, and the Juvenile Diabetes Foundation. •

Voluntary Health: Non-profit health- or disease-specific agencies such as the American Heart Association, the American Cancer Society, and the National Multiple Sclerosis Society.

•

Other: Non-profit agencies that are not Foundations, Trusts, or Voluntary Health organizations. Examples include Shriners Hospital for Children, Howard Hughes Medical Institute, and the St. Louis Zoo.

Figure 4 illustrates how the two main components of private funding – Industry and Non-Profit – compare to each other. Note the significant increase in FY09 of Non-Profit funding. No single award is responsible for this increase; instead, it is due to awards from various sponsors such as Monsanto, Barnes-Jewish Hospital Foundation, and the Children’s Hospital Discovery Institute. 120

77 61

111

Dollars ($M)

100

0 FY05

FY06

Industry

FY07

Non-Profit

FY08

FY09

Total Private

Figure 4 Private Funding – FY05 to FY09 † †

OVCR Annual Report Fiscal Year 2009 Sponsored Research Funding History by School

20 Dollars ($M)

Dollars ($M)

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.

30 20 10 0 FY05

FY06

FY07

FY08

15 10 5 0

FY09

FY05

500

400

300 200 100 0 FY05

FY06

FY07

FY08

FY09

Arts & Sciences Engineering Medicine Social Work Other Total

FY08

FY09

6 4 2 0 FY05

FY06

FY07

FY08

FY09

Figure 8 - School of Social Work

Figure 7 - School of Medicine

FY05 $42,693 17,722 447,727 6,580 2,011 $516,733

FY07

Figure 6 - School of Engineering

Dollars ($M)

Figure 5 - School of Arts and Sciences

FY06

FY06 $41,390 21,002 472,635 9,358 1,938 $546,324

FY07 $44,007 22,103 464,444 5,820 1,099 $537,474

FY08 $41,278 23,480 471,753 8,370 3,470 $548,351

FY09 $42,924 24,010 483,915 14,735 1,798 $567,383

Table 2 Funding History by School – FY05 to FY09 † (000s) Note: Due to rounding, detail may not add to total. †

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Table 2A below illustrates the breakdown of total FY09 award dollars between schools and the impact of ARRA funding.

School

FY09 Total Federal Awards

FY09 ARRA Awards

ARRA as % of Total Federal Awards

Arts & Sciences

$42,924

$780

1.8%

24,010

569

2.4%

483,915

3,382

0.7%

16,533

$567,383

$4,731

0.8%

Engineering Medicine Other Schools TOTAL

Table 2A ARRA Funding by School â&#x20AC;&#x201C; FY09 (000s)

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

OVCR Annual Report Fiscal Year 2009 Sponsored Research

The following table compares FY09 award dollars for schools with the prior year, broken out by Direct and F&A costs for each school. The percent of change from one fiscal year to the next is tracked in the far right column of Table 3. Table 3A on the next page further breaks down the FY09 awards to show how ARRA funding impacted certain schools.

FY09 Schools

FY08

Change

Award Count 251

Direct Costs $32,757

F&A Costs $10,167

Total $42,924

Award Count 278

Direct Costs $30,081

F&A Costs $11,197

Total $41,278

Dollars 1,646

% 4.0%

181

264

210

388.9%

131

17,302

6,708

24,010

136

16,987

6,493

23,480

530

2.3%

565

595

380

116

496

20.0%

1,973

368,177

115,738

483,915

1,914

356,838

114,915

471,753

12,162

2.6%

Social Work

11,559

3,176

14,735

7,036

1,334

8,370

6,365

76.0%

Other Schools

875

939

2,637

283

2,919

(1,980)

-67.8%

2,486

$431,418

$135,965

$567,383

2,405

$414,010

$134,341

$548,351

$19,032

3.5%

Arts & Sciences Business Engineering Law Medicine

TOTAL

Table 3 Award Dollars by School and Cost Category FY09 and FY08 (000s)

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

OVCR Annual Report Fiscal Year 2009 Sponsored Research

FY09 TOTAL

Schools

Award Count

Direct Costs

F&A Costs

FY09 ARRA

Total

Award Count

Direct Costs

ARRA as % of

F&A Costs

Total Award Count

Total

Total Dollars

Arts & Sciences

251

$32,757

$10,167

$42,924

$585

$195

$780

1.6%

1.8%

Engineering

131

17,302

6,708

24,010

386

183

569

1.5%

2.4%

1,973

368,177

115,738

483,915

2319

1063

3382

0.7%

131

13,180

3,353

16,533

2,486

$431,418

$135,965

$567,383

$3,289

$1,441

$4,730

0.8%

Medicine Other Schools TOTAL

Table 3A ARRA Award Dollars by School and Cost Category â&#x20AC;&#x201C; FY09 (000s)

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

OVCR Annual Report Fiscal Year 2009 Sponsored Research The term “Project Type” refers to the distinct types of awards received by the University. Table 4 breaks award dollars into three projecttype categories: 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), and Other Sponsored Activities (such as public service, patient service, conference grants, community outreach programs, and student aid). Table 4A on the next page further breaks down the FY09 awards to show how ARRA funding impacted certain schools.

Research School / Department

FY09

FY08

Research Training

Other Sponsored Activities

FY09

FY08

TOTAL

FY08

FY09

FY08

(1)

$405

$2,380

$534

$572

$939

$2,952

Arts & Sciences

40,867

38,285

1,881

1,976

176

1,017

42,924

41,278

235

264

(94)

(33)

23,365

21,798

608

1,550

131

24,010

23,480

253

428

331

595

496

438,790

427,616

19,601

22,724

25,525

21,413

483,915

471,753

13,048

7,293

702

741

985

336

14,735

8,370

$516,963

$497,706

$22,803

$27,002

$27,617

$23,643

$567,383

$548,351

Administration Business

Design & Visual Arts(2) Engineering Law Medicine Social Work TOTAL

Table 4 Award Dollars by School or Department and Project Type – FY09 and FY08 (000s) (1) (2)

Administration includes funding mainly to Centers, such as the International Center for Advanced Renewable Energy and Sustainability (I-CARES), the Midwest Regional Center of Excellence (MRCE) for Biodefense and Emerging Infectious Diseases, and the Center for Advanced Learning (also known as Cornerstone). Sam Fox School of Design & Visual Arts. Negative figures shown for FY08 are due to two transactions totaling $94,000 incorrectly awarded in years prior to FY08, but not corrected until FY08. Note: Due to rounding, detail may not add to total.

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Research

School / Department

Arts & Sciences Engineering Medicine Other Schools/Depts. TOTAL

FY09 Awards

Other Sponsored Activities

Research Training

FY09 ARRA

FY09 Awards

FY09 ARRA

FY09 Awards

FY09 ARRA

FY09 Total Awards

ARRA as % of Total Awards

FY09 ARRA

$40,867

$780

$1,881

$176

$42,924

$780

1.8%

23,365

569

608

24,010

569

2.4%

438,790

3,354

19,601

25,525

483,915

3,382

0.7%

13,941

713

1,879

16,533

$516,963

$4,702

$22,803

$28

$27,617

$567,383

$4,730

0.8%

Table 4A ARRA Award Dollars by School or Department and Project Type FY09 and FY08 (000s)

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

OVCR Annual Report Fiscal Year 2009 Sponsored Research

The graphs and tables in this section provide information about the sources of sponsored projects funding to the University, including: • • • •

All sources from which the University receives sponsored projects funding The sectors from which the University receives the most funding: 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.

FY09 FY08 92,570 18,715

400,950

18,662

70,142

21,389

391,183

23,008

20,115

16,370

NIH

17,269

25,360

NSF

Other Fed

Other Gov't.

Industry

Non-profit

NIH

NSF

Other Fed

Other Gov't.

Industry

Non-profit

Figure 9 Award Summary by Sponsor Type – FY09 and FY08 (000s)

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Figure 9A breaks out FY09 ARRA funding by Federal sponsor. Of the $4.7M received through ARRA, funding from NIH accounted for 94.1% ($4.45M) and funding from NSF accounted for 5.9% ($.28M). Figure 9B shows the relationship of ARRA funding to the total amount of research funding WU received in FY09. Of the $567.4M in total research funding awarded to WU in FY09, ARRA funding accounted for 0.8% ($4.7M). These numbers should be viewed in light of the fact that FY09 ARRA awards were received only in the last few months of that fiscal year (ending June 30, 2009).

280 (5.9%)

4,450 (94.1%)

NIH

NSF

Figure 9A ARRA Awards by Sponsor – FY09 (000s)

4,730

562,653

ARRA

Non-ARRA

Figure 9B ARRA and Non-ARRA Awards – FY09 (000s)

OVCR Annual Report Fiscal Year 2009 Sponsored Research

FY09 Sponsor Direct Costs Federal

% of Total Direct

F&A Costs

FY08 % of Total F&A

Total

% Total

Direct Costs

% of Total Direct

F&A Costs

% of Total F&A

Total

% Total

$323,124

74.9%

$114,311

84.0%

$437,435

77.1%

$323,752

78.2%

$115,799

86.2%

$439,551

80.2%

Other Gov’t.

13,442

3.1%

5,220

3.8%

18,662

3.3%

15,868

3.8%

5,521

4.1%

21,389

3.9%

Total Gov’t.

336,566

78.0%

119,531

87.9%

456,098

80.4%

339,620

82.0%

121,320

90.3%

460,940

84.1%

Industry

81,430

18.9%

11,140

8.2%

92,570

16.3%

12,361

3.0%

4,908

3.7%

17,269

3.1%

Nonprofit

13,422

3.1%

5,293

3.9%

18,715

3.3%

62,029

15.0%

8,113

6.0%

70,142

12.8%

Total Private

94,852

22.0%

16,433

12.1%

111,285

19.6%

74,390

18.0%

13,021

9.7%

87,410

15.9%

$431,418

100.0%

$135,965

100.0%

$567,383

100.0%

$414,010

100.0%

$134,341

100.0% $548,351

100.0%

GRAND TOTAL

Table 5 Award Dollars by Sponsor Type and Cost Category FY09 and FY08 (000s)

FY09 ARRA Sponsor

Federal

Direct Costs

F&A Costs

Total

$3,289

$1,441

$4,730

Table 5A ARRA Award Dollars by Sponsor Type and Cost Category FY09 and FY08 (000s) Note: Due to rounding, detail may not add to total.

OVCR Annual Report Fiscal Year 2009 Sponsored Research

FY09 Sponsor FEDERAL AGENCIES

NIH NSF NASA DOD EPA DOEd DOE DHHS HRSA LABOR USDA OTHER

TOTAL FEDERAL OTHER GOVERNMENT TOTAL OTHER PRIVATE SOURCES

Missouri Other States Other Gov’t. Industry Non Profit

TOTAL PRIVATE GRAND TOTAL

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

FY08

Direct F&A Direct F&A Costs Costs Total Costs Costs Total $295,596 $105,354 $400,950 $287,618 $103,565 $391,183 12,452 3,918 16,370 19,418 5,942 25,360 3,691 1,581 5,273 5,537 2,301 7,838 1,696 483 2,179 2,488 1,195 3,683 7 0 7 5 0 5 661 22 683 520 23 543 3,161 1,222 4,383 2,279 992 3,272 2,421 517 2,937 2,264 472 2,737 2,078 845 2,922 1,718 829 2,547 197 0 197 505 72 576 1,165 370 1,534 1,400 407 1,807 323,124 114,311 437,435 323,752 115,799 439,551 1,732 334 2,066 3,624 556 4,180 10,934 4,832 15,766 11,451 4,883 16,334 776 54 830 792 82 875 13,442 5,220 18,662 15,868 5,521 21,389 13,422 5,293 18,715 12,361 4,908 17,269 81,430 11,140 92,570 62,029 8,113 70,142 94,852 16,433 111,285 74,390 13,021 87,411 $431,418 $135,965 $567,383 $414,010 $134,341 $548,351

Change Dollars $5,318 (9,271) (2,565) (1,504) 2 140 1,111 200 375 (379) (273) (6,846) (2,114) (568) (45) (2,727) 1,446 22,428 23,874 $14,302

% 2.5% -35.4% -32.7% -40.8% 40.0% 25.8% 34.0% 7.3% 14.7% -65.8% -15.1% -0.5% -50.6% -3.5% -5.1% -12.7% 8.4% 32.0% 27.3% 3.5%

Table 6 Award Dollars by Sponsor and Cost Category FY09 and FY08 (000s)

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Table 6A shows that all of the ARRA funding awarded to WU in FY09 came from two agencies: NIH and NSF.

FY09 ARRA Sponsor Direct Costs

F&A Costs

Total

NIH

$3,043

$1,407

$4,450

NSF

$247

$34

$280

TOTAL

3,289

$1,441

$4,730

Table 6A ARRA Award Dollars by Sponsor and Cost Category â&#x20AC;&#x201C; FY09 (000s)

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

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Arts & Sciences % of Change From FY08

Sponsor FY09

Engineering

Medicine

% of Change From FY08

FY09

Social Work

% of Change From FY08

FY09

Other Schools

% of Change From FY08

FY09

Total University

% of Change From FY08

FY09

% of Change From FY08

FY09

NIH

$15,154

28.5%

$9,590

22.6%

$368,701

0.3%

$7,305

89.1%

$200

-2.9%

$400,950

2.5%

NSF

7,335

-39.0%

6,269

-8.1%

2,453

-53.2%

155

-39.0%

158

-84.3%

16,370

-35.4%

NASA

5,168

-31.5%

105

-63.8%

―

5,273

-32.7%

DOD

500

216.5%

580

-59.8%

1,070

-48.4%

―

163.6%

2,179

-40.8%

EPA

40.0%

―

40.0%

239

12.2%

―

444

34.5%

683

25.8%

2,490

22.1%

149

-79.8%

1,488

200.0%

―

255

―

4,383

34.0%

DHHS HRSA

―

2,861

4.5%

―

2,937

7.3%

LABOR

―

2,902

13.9%

―

2,922

14.7%

USDA

197

―

-100.0%

―

197

-65.8%

OTHER

885

73.5%

52.0%

600

-52.4%

―

0.0%

1,535

-15.1%

$31,974

-6.8%

$16,731

-5.3%

$380,075

-0.5%

$7,460

81.2%

$1,194

-23.9%

$437,435

-0.5%

DOEd DOE

TOTAL

Table 7 Federal Award Dollars by Sponsor and School FY09 and FY08 (000s) Note: Due to rounding, detail may not add to total

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Table 7A shows the schools that received ARRA funding. Note that all of the ARRA funding awarded to WU in FY09 came from two federal agencies: NIH and NSF.

FY09 ARRA Sponsor Arts & Sciences

Engineering

Medicine

Total University

NIH

$499

$569

$3,382

$4,450

NSF

280

Other

TOTAL

$780

$569

$3,382

$4,730

Table 7A ARRA Award Dollars by Sponsor and School â&#x20AC;&#x201C; FY09 (000s)

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

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Government Federal Other Govâ&#x20AC;&#x2122;t. Schools/Dept. Administration Arts & Sciences Business Design & Visual Arts(1) Engineering Law Medicine Social Work Total

FY09

FY08

FY09

Private Industry

FY08

FY09

Nonprofit

FY08

FY09

Total

FY08

FY09

FY08

$826

$1,227

$53

$1,722

$60

$939

$2,952

31,974

34,298

734

2,058

2,528

2,391

7,688

2,531

42,924

41,278

160

104

264

(33)

16,731

17,662

1,796

1,841

1,620

2,380

3,863

1,597

24,010

23,480

209

340

317

151

595

496

380,075

381,905

15,613

15,757

14,097

12,361

74,130

61,729

483,915

471,753

7,460

4,118

401

467

132

6,407

4,109

14,735

8,370

$437,435 $439,551

$18,662

$21,389

$18,715

$17,269

$92,570

$70,142 $567,383 $548,351

Table 8 Award Dollars by School or Department and Sponsor Type FY09 and FY08 (000s) (1)

Sam Fox School of Design & Visual Arts. Negative figure is due to a transaction incorrectly awarded in FY07, but not corrected until FY08.

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

OVCR Annual Report Fiscal Year 2009 Sponsored Research

FY09 School

Total Federal Awards

ARRA

ARRA as % of Total Federal Awards

Arts & Sciences

$31,974

$780

2.4%

Engineering

$16,731

569

3.4%

$380,075

3,382

0.9%

$8,655

$437,435

$4,730

1.1%

Medicine Other Schools/Depts. TOTAL

Table 8A ARRA Award Dollars by School or Department and Sponsor Type â&#x20AC;&#x201C; FY09 (000s)

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Department

(1)

African & Afro American Studies Anthropology Arts & Sciences Arts & Sciences Administration Art History & Archaeology Asian & Near Eastern Languages & Lit. Biology Center For Joint Projects Chemistry Earth & Planetary Science Economics Education English Graduate School History International Studies Mathematics Office of Undergraduate Research Performing Arts Philosophy Physics Political Sciences (incl. Weidenbaum Center) Psychology Romance Languages The Center For Humanities The Center for Study of Human Values

Total

FY09 Government Private Federal Other Gov’t. Industry Nonprofit $0 $0 $0 $0 304 4 0 80 0 0 0 0 0 0 0 0 0 0 0 300 0 0 0 51 8,364 162 1,545 4,102 0 0 0 0 7,581 3 530 341 3,150 172 369 997 212 0 0 50 16 0 0 0 0 10 0 0 537 0 0 0 25 0 0 0 0 100 0 164 243 16 0 0 139 0 0 (58) 10 0 0 0 181 0 0 0 6,454 176 73 339 99 28 0 0 4,613 38 11 1,248 47 5 0 0 0 18 0 0 0 0 0 75

$31,974

$734

$2,528

$7,688

Total FY09

FY08

$0 388 0 0 300 51 14,174 0 8,456 4,688 262 16 10 537 25 264 260 81 10 181 7,041 127 5,910 52 18 75

$2 247 (12) 0.06 0 25 14,242 150 6,361 5,646 151 48 40 747 40 0 403 0 0 28 8,079 8 4,539 43 89 401

$42,924

$41,278

Table 9 School of Arts & Sciences – Award Dollars by Department and Sponsor Type (000s) – FY09 and FY08 (1)

Only departments receiving awards in FY09 and FY08 are listed. As a result, some departments listed in the FY08 Annual Report are not listed this year. Note: Due to rounding, detail may not add to total.

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Table 9A shows the distribution of ARRA money to Arts & Sciences departments, and ARRA funding as a percentage of each department’s total federal funding.

FY09 Department

ARRA as % of Total Federal Awards

Total Federal Awards

ARRA

$8,364

$280

3.3%

Chemistry

7,581

0.5%

Physics

6,454

380

5.9%

Psychology

4,613

1.7%

Other Departments

4,962

$31,974

$780

2.4%

Biology

Total

Table 9A School of Arts & Sciences – ARRA Award Dollars by Department – FY09 (000s)

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

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Government Department

Biomedical Engineering

Federal

Private

Other Govâ&#x20AC;&#x2122;t

Industry

Total

Nonprofit

FY09

FY08

$8,517

$303

$263

$870

$9,954

$9,090

Computer Science & Engineering

2,934

600

688

1,448

5,670

6,281

Electrical & Systems Engineering

1,357

259

1,748

998

336

481

607

981

2,406

5,391

National Nanotech Infrastructure Network (NNIN)

485

Mechanical, Aerospace & Structural Engineering

3,580

152

(1)

3,740

1,720

$16,731

$1,796

$1,620

$3,863

$24,010

$23,480

Environmental, Energy & Chemical Engineering

Other TOTAL

Table 10 School of Engineering â&#x20AC;&#x201C; Award Dollars by Department and Sponsor Type FY09 and FY08 (000s)

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

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Table 10A shows the departments in the School of Engineering that received ARRA funding, and ARRA funding as a percentage of the department’s federal funding in FY09.

FY09 Department

Total Federal Awards

ARRA

ARRA as % of Total Federal Awards

$8,517

$393

2.4%

Mechanical, Aerospace & Structural Engineering

3,580

176

3.4%

Other Departments

4,635

$16,731

$4,730

1.1%

Biomedical Engineering

TOTAL

Table 10A School of Engineering – ARRA Award Dollars by Department – FY09 (000s)

OVCR Annual Report Fiscal Year 2009 Sponsored Research

Departments Anatomy & Neurobiology Biochemistry & Molecular Biophysics Cell Biology & Physiology Developmental Biology Genetics Molecular Microbiology Subtotal Preclinical Anesthesiology Internal Medicine Neurological Surgery Neurology Obstetrics & Gynecology Ophthalmology & Visual Sciences Orthopaedic Surgery Otolaryngology Pathology & Immunology Pediatrics Psychiatry Radiation Oncology (1) 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 Siteman Cancer Center Subtotal Other Admin/Academic Grand Total

Government Other Federal Gov't $11,195 $86 6,201 124 7,766 0 6,421 147 58,530 703 10,127 55 100,240 1,115 6,451 10 90,641 3,789 1,211 514 18,211 1,244 2,136 0 8,340 29 3,850 23 5,074 32 23,878 222 20,350 2,638 31,584 3,378 6,131 0 26,346 1,301 18,269 262 262,472 13,443 123 0 4,661 0 3,164 340 377 0 1,874 62 0 0 0 0 267 0 0 0 0 107 770 468 2,122 58 4,003 21 17,362 1,056 $380,075 $15,613

Private Industry

Nonprofit

$0 160 0 (494) 0 0 (334) 100 3,308 147 1,388 16 100 159 0 4,492 975 404 22 903 401 12,415 1,909 0 26 0 0 0 0 0 0 0 0 80 0 2,015 $14,097

$313 191 1,682 1,029 943 483 4,641 832 16,821 312 5,412 5,489 1,505 1,297 167 8,806 9,258 2,905 423 2,860 8,054 64,140 (111) 221 692 1,962 1,499 124 0 155 0 0 413 120 274 5,348 $74,130

Total FY09

FY08

$11,595 6,675 9,448 7,103 60,176 10,666 105,662 7,393 114,558 2,184 26,255 7,641 9,974 5,329 5,273 37,399 33,221 38,272 6,576 31,411 26,986 352,472 1,921 4,882 4,222 2,339 3,435 124 0 422 0 107 1,651 2,380 4,298 25,781 $483,915

$11,580 7,304 9,437 11,934 60,871 10,853 111,979 9,420 120,049 2,853 23,922 5,824 12,489 4,339 6,814 29,308 29,559 38,100 6,754 24,231 25,726 339,388 3,106 4,994 2,328 0 972 23 23 269 121 228 2,331 1,577 4,414 20,386 $471,753

Table 11 School of Medicine â&#x20AC;&#x201C; Award Dollars by Department and Sponsor Type FY09 and FY08 (000s) Radiology includes Research Imaging Facilities Administration includes: Continuing Medical Education, Associate Dean Curriculum, Student Support, and Medical School Administration. Note: Due to rounding, detail may not add to total. (1) (2)

OVCR Annual Report Fiscal Year 2009 Sponsored Research

FY09 ARRA as % of Total Federal Awards

Total Federal Awards

ARRA

$11,195

$27

0.2%

Molecular Microbiology

10,127

810

8.0%

Other Preclinical Departments

78,917

100,240

837

0.8%

Internal Medicine

90,641

120

0.1%

Neurology

18,211

0.3%

Obstetrics & Gynecology

2,136

0.4%

Ophthalmology & Visual Sciences

8,340

0.1%

Orthopaedic Surgery

3,850

0.4%

Pathology & Immunology

23,878

763

3.2%

Pediatrics

20,350

0.2%

Psychiatry

31,584

811

2.6%

6,131

365

6.0%

25,358

316

1.2%

31,991

262,472

2,517

9.5%

4,661

0.6%

Other Admin/Academic

12,701

Subtotal Other Admin/Academic

17,362

0.2%

$380,074

$3,382

0.9%

Departments

Anatomy & Neurobiology

Subtotal Preclinical

Radiation Oncology Radiology

(1)

Other Clinical Departments Subtotal Clinical Biology/Biomedical Sciences

Grand Total

Table 11A School of Medicine ARRA Award Dollars by Department â&#x20AC;&#x201C; FY09 (000s) (1)

Although, as noted on Table 11, Radiology includes Research Imaging Facilities, ARRA dollars shown in Table 11A were direct awards to the Department of Radiology.

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

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Office of Technology Management Executive Summary The mission of the Office of Technology Management (OTM) is to extend the value of Washington University in St. Louis’ (WU) research to the community through a technology management program that stimulates industrial research funding and promotes the commercialization of intellectual property assets through licensing and new venture creation. OTM strives to be a “full service” technology management office by providing the following activities and services: processing and review of invention disclosures; protection of intellectual property and management of the WU patent portfolio; licensing of intellectual property and distribution of licensing revenue; material transfer management; negotiation of industry sponsored research agreements, confidentiality agreements, and inter-institutional agreements. Fiscal Year 2009 (FY09) saw disclosures and patent filings up significantly from previous years (Table 1). License Agreements remained similar to past years. However, several past licenses were terminated, due primarily to the economic downturn, and future licenses may be more difficult to finalize. Revenue for FY09 is down from previous years due primarily to the patent expiration of the Creatine Kinase-MB Technologies (CKMB) and loss of the associated royalty revenues and a one-time royalty buy-down payment of $6M in FY08.

Invention Disclosures

FY09 125

FY08 98

FY07 101

US/PCT Patents Filed

106

License Agreements

817 62

674 51

749 55

$7.9M

$17.0M

$12.0M

MTAs

Academic Industry

Revenue Industry Sponsored Research

Table 1 OTM Statistics – FY09 through FY07 The OTM staff consists of 20 full-time employees. As in years past, this year OTM continued its technology transfer trainee program designed for advanced-degree WU students to acquire a hands-on experience in technology transfer. Three candidates have been through the program and two are now members of the OTM staff. OTM remains active in the community through its involvement with such organizations as the St. Louis Regional Chamber and Growth Association, BioGenerator, Donald Danforth Plant Sciences Center Alliance, Center of Research, Technology & Entrepreneurial Exchange, Coalition for Plant and Life Sciences, Nidus Center for Scientific Enterprise, Center for Emerging Technologies, MO Bio Laboratories, Inc., Missouri Venture Forum, Midwest 32

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Research Universities Network and the Research Alliance of Missouri. Involvement with these various organizations extends the mission of WU to local, state and regional levels. In its relationships with these organizations, OTM works to build the economy and to develop channels for commercializing WU technologies. In FY09, WU technology was licensed to two start-up companies located in the St. Louis area. OTM staff members work continuously with the Business Schoolâ&#x20AC;&#x2122;s entrepreneurship program and the larger Kaufmann Foundation (e.g., iBridge) entrepreneurship undertaking. Additionally, in FY09, OTM participated in The Innovation Acceleration Partnership fellowship program, a program funded by the National Science Foundation and designed to introduce researchers to aspects of commercialization within an academic/industry partnership environment. OTM, working with the Small Business Association in Missouri, sponsored another FastTrac training program for WU faculty. Nine faculty attended the eight week program and in the last four years nearly forty faculty have been through this entrepreneurial training program developed by the Kaufmann Foundation. OTM also continued its administration of the Bear Cub Fund grant program that WU reinstated in FY08. The fund supports innovative translational research not normally backed by federal grants. Any WU faculty member, post-doctoral fellow, graduate student or employee can apply. In the fall of 2008, WU awarded five Bear Cub Fund grants totaling $150,000 to support innovative research projects that could be attractive for licensing by commercial entities or serve as the foundation for a start-up company. The grants were awarded to: Zhou-Feng Chen, Ph.D., associate professor of anesthesiology, of psychiatry and of developmental biology; Dan Moran, Ph.D., assistant professor of biomedical engineering, of physical therapy and of neurobiology; Brian Dieckgrafe, M.D., Ph.D., associate professor of medicine; Robyn Klein, M.D., associate professor of medicine, of pathology and immunology and of neurobiology; and Michael Pasque, M.D., professor of surgery and of radiology. In the last year, the Bear Cub Fund has sponsored nine projects with a total investment of $300,000.

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Technology Highlights for Fiscal Year 2009 Brain-Computer Interface This technology and related patents have been licensed to a St. Louis startup: Neurolutions, Inc. Using electrocorticographic (ECoG ) activity, Eric Leuthardt has been able to record much finer analysis of signals from the brain, subsequently using the brain signals to control the cursor on a computer screen or a controller for prosthetics. The system has promise for prosthetic control, epilepsy warning and control, as well as bisomatic control. Primary Investigator: Eric Leuthardt, Neurosurgery. Low-Voltage Cardiac Defibrillation This technology and related patents have been licensed to a St. Louis startup: Cardialen, Inc. By determining the exact positioning of the rotating wave that causes both ventricular and atrial fibrillation, a very low voltage can be applied to decouple the rotating wave and restore the heart to normal sinus rhythm. The first application will be in controlling atrial fibrillation and atrial flutter, with planned expansion into ventricular defibrillation. Primary Investigator: Igor Efimov, Biomedical Engineering. Anodized Pedicle Screws By anodizing pedicle screws to a particular pattern, a controlled voltage can be applied in a directional way to promote bone growth and healing after spinal surgery. Primary Investigator: Eric Leuthardt, Neurosurgery. Genetic Association of Candidate Genes with Nicotine Dependence, a Focus on rsl6969968, a Genetic Variant in the a5 Nicotinic Receptor (CHRNA5) with Nicotine Dependence (Smoking Addiction) This invention relates to correlations between polymorphisms and addiction, as well as systems and kits for diagnosis, prognosis, treatment of addiction and methods of identifying addiction modulators. Primary Investigator: Laura Bierut, Psychiatry. Cardiac Imaging By using new analysis and computation techniques, coupled with existing Magnetic Resonance Imaging (MRI) techniques, a clear picture of the expansion and contraction of the heart can be made. The resulting precise image can be used clinically by cardiologists and surgeons to determine the proper type of treatment. Primary Investigator: Michael Pasque, Surgery. Dichromic Fluorescent Compounds It has been discovered that structural asymmetry of chromic compounds results in the generation of dichromic emissions that have distinct lifetimes. Because the fluorescent lifetimes of the two peaks are distinct, the information content may be multiplexed. The dichromic fluorescent compounds may be utilized for several applications, including imaging and diagnostics to monitor biological events or molecular processes. Primary Investigator: Samuel Achilefu, Radiology. 34

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Novel Treatment for Sepsis and Cancer A large technology estate has been developed for treating sepsis and cancer using siRNA molecules to inhibit or activate certain pro-apoptotic or anti-apoptotic genes. Several collaborations involving WU investigators are currently occurring to study different targets, molecule designs, and delivery techniques. Primary Investigator: Jonathan McDunn, Surgery. Breast Cancer Prognostic Screen Methods for deriving a minimal "intrinsic" gene set for making biological classifications of breast cancer and using "intrinsic" genes in a real-time qRT-PCR assay for breast cancer classification, prognosis and/or treatment. Primary Investigator: Matthew Ellis, Oncology/Endocrinology Surgery. Novel Murine Norovirus (MNV) This technology has continued to gain traction in mouse diagnostics and is currently being evaluated as a surrogate virus for testing commercial disinfectants. To date, two patents have been issued for detection of MNV antibody in a mouse and a virus culture system. A further set of claims for detection of MNV nucleic acid in mouse tissues is pending. Primary Investigator: Herbert Virgin, Immunobiology. Combination Diagnostic/Therapeutic Nanoparticle Technologies WU holds an estate of patents describing (1) various proprietary nanoparticles that can serve as imaging agents and simultaneous drug delivery vehicles, (2) novel compounds that can be specifically and selectively delivered from lipid bilayer nanoparticles, and (3) attachment ligands that serve to functionalize the nanoparticles with targeted ligands or drug payload. These technologies may provide the basis for a platform system to detect and treat cancer or atheroscerlosis using a number of imaging modalities. Primary Investigators: Samuel Wickline and Greg Lanza, Internal Medicine, Cardiovascular Division. Limiting CD47 or Blocking Thrombospondin-1 Reverses the Detrimental Effects on Tissue Healing and Blood Flow This technology has demonstrated that certain monoclonal antibodies and possibly other compounds allow for more effective wound healing and graft survival in animal models. This joint collaboration with the NIH is also ideally positioned for further translational studies to create and identify new therapeutic compounds. Primary Investigator: William Frazier, Biochemistry and Molecular Biophysics. Golgicide A (GCA), a Novel Inhibitor of Intracellular Transport GCA is a small molecule compound that was identified in a chemical screening. Surprisingly, there has been no mention of GCA compounds anywhere in the literature. This compound inhibits the transportation of shiga and related toxins into cells. The technology is currently being expanded to identify other compounds and other indications. Primary Investigator: David Haslam, Pediatrics.

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Neimann Pick C Disease Marker A novel marker to detect Neimann Pick C (NPC), a fatal neurodegenerative disease, has been discovered. This discovery demonstrates the first and only plasma biomarker that has been discovered for this orphan disease. Certain NPC organizations have already shown interest in this technology and have provided funding to further examine NPC. Primary Investigator: Daniel Ory, Internal Medicine, Cardiovascular Division. Natriuretic Peptide-Mediated Imaging and/or Treatment of Atherosclerotic Plaque This invention includes a functionalized peptide that preferentially binds to unstable plaque. Imaging of unstable plaque may identify areas of imminent plaque rupture so that corrective action can be taken before a catastrophic event occurs. Primary Investigator: Pamela Woodard, Radiology. Phosphorylation of Beta-Catenin at Serine-191 and Serine-605 as a Biomarker for Active Wnt Signaling Phosphorylation of beta-catenin on serine residues 191 and 605 controls nuclear localization of beta-catenin during canonical Wnt signaling. Canonical Wnt signaling through beta-catenin plays an important role in development and diseases, for instance in certain types of cancers and other diseases associated with cellular proliferation. Antibodies specifically recognizing these phosphorylation events have been generated and are being tested as an efficient method to identify cells undergoing active Wnt signaling, both in breast cancer cell lines and biopsies. Primary Investigator: Fanxin Long, Internal Medicine, Bone and Mineral Diseases. Method of Treating Pruritus Itch, or pruritus, is an unpleasant sensation that causes the desire to scratch, and can be associated with many conditions such as liver disease or kidney dialysis. Pruritus is also a serious condition experienced by animals. The present invention provides methods for treating pruritus by providing methods of substantially inhibiting the activation of bombesin receptors or by killing gastin-releasing-peptide-receptor (GRPR) specific neurons in the spinal cord. Mitigation of itch through either of these mechanisms does not affect motor or sensory functions. Primary Investigator: Zhou-Feng Chen, Anesthesiology. Adoptive T Cell Immunotherapy Rapid expansion and selection method that generates highly effective, clonally expanded T cell for use in cancer therapies. The technology is moving toward human clinical trials. The Biogenerator is in discussions to move the technology forward into the commercial field. Primary Investigator: Gerald Linette, Surgery. Novel Virus Discovery Program Several nucleic acid fragments of novel viruses have been discovered in disease samples of unknown etiology. Over the next few years, the study of these novel fragments should result in nearly complete genome and protein characterizations of several novel human viral pathogens. The novel sequences may be used in diagnostic tests or vaccines production. Primary Investigators: Herbert Virgin and David Wang, Pathology. 36

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Blood Brain Barrier Protein Used to Image Alzheimerâ&#x20AC;&#x2122;s Brains This permeant peptide has been successfully shown to bind to plaque in the brains of mice expressing Alzheimer proteins and in post-mortem Alzheimer brains. Current research is using the peptide for nanospect imaging to non-invasively view brain plaque in Alzheimers mice. Primary Investigator: David Piwnica-Worms, Radiology. Compounds Useful as Gram-Negative Bacteria Adhesion Antagonists The technology encompasses novel mannose-derived compounds that compete with gramnegative bacteria for binding to a host epithelium. Gram-negative bacteria are the causative agents of a wide variety of acute and chronic infectious diseases. Many of these infections are initiated by a critical interaction between host ligands (frequently polysaccharide moieties) and bacterial adhesins (frequently expressed on the distal tip of the pilus on bacteria). These mannose-derived compounds block the colonization and invasion of the bacteria into the host epithelium, thereby effectively protecting against urinary tract infections, middle ear infections, diarrhea, meningitis, and pneumonia. This technology has the potential to replace use of antibiotics as the standard of care for infections. Primary Investigator: James Janetka, Biochemistry and Scott Hultgren, Molecular Microbiology. A New Anticoagulant Contaminated heparin has been linked to hundreds of adverse reactions in the U.S. This technology encompasses a new composition of matter for an anticoagulant that can be used in place of heparin. It has low charge density and greatly enhanced anticoagulant activity comparable to heparin. The anticoagulant can be used in a broad spectrum of patient populations including Heparin Induced Thrombocytopenia (HIT) patients, patients suffering from renal failure who develop adverse reactions to heparin treatment, and other thromboembolic disorder patients requiring outpatient anticoagulant treatment. Primary Investigator: Lijuan Zhang, Pathology and Immunology. Diagnostic Assays for Thromboembolic Disorders The technology encompasses a method of measuring the potential for contact system activation in a patient. The degree of contact system activation correlates with the severity of disease. The contact system activation may be determined by three independent assays. The assays would help in the early diagnosis of thromboembolic disorders including lupus and thrombocytopenia as well as in determining the potential contact system activation risk in hemodialysis patients. Primary Investigator: Lijuan Zhang, Pathology and Immunology. Effective Anti-Integrin Antitumor Reagent for Chondrosarcoma Chondrosarcoma is a difficult musculoskeletal tumor to treat. Chemotherapy is only somewhat effective in mesenchymal chondrosarcoma and is of uncertain value in dedifferentiated chondrosarcoma. Surgical excision is the only tumor treatment, but it leads to severe disability with high rate of local recurrence, often at a higher grade, and can thus be life threatening. Radiation and adjuvant therapy are not effective in differentiated chondrosarcoma. More effective antitumor reagents for chondrosarcoma are needed. The present invention utilizes an anti-integrin reagent which has chondrosarcoma tumor cell killing activity in vitro. Promising animal data indicates that this is also true in vivo. Primary Investigator: Linda Sandell, Orthopaedic Surgery. 37

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Anticonvulsant and Anxiolytic Lactam and Thiolactam Derivatives This invention relates to lactam and thiolactam derivatives having useful anticonvulsant and anxiolytic activity, pharmaceutical compositions containing these compounds and therapeutic applications using such compositions. Convulsant seizures occur in various chronic central nervous system (CNS) disorders, particularly epilepsies. These seizures are generally correlated with abnormal and excessive EEG (electroencephalogram) discharges. A variety of drugs have been used for treatment of these seizures. The compounds covered under this patent significantly enhance GABA neuronal inhibition and are more active anticonvulsant and anxiolytic agents than prior art lactones and thiolactones. Further, these lactams and thiolactams have been found to have relatively low toxicity and low sedative activity. Primary Investigator: Doug Covey, Developmental Biology Methods of Prevention and Treatment of Ischemic Damage The present invention in various embodiments provides methods of treating stroke and conferring protection on a population of cells associated with ischemia in a subject following an ischemic event, comprising: (a) providing an estrogen compound; and (b) administering the effective amount of the compound over a course that includes at least one dose within a time that is effectively proximate to the ischemic event, so as to confer protection on the population of cells. Novel methods are provided for the delivery of an estrogen compound. Examples of ischemic events treatable according to the invention are cerebrovascular disease or stroke, subarachnoid subhemorrhage, myocardial infarct, surgery and trauma. A method of treating ischemic damage utilizing hormones that are non-sex hormones is also provided. A method of treating stroke with ent-17.beta.-estradiol, and a method of synthesis, and compounds produced from the synthesis are provided. Primary Investigator: Doug Covey, Developmental Biology Neuroactive 13, 24-Cyclo-18, 21-Dinorcholanes and Structurally Related Pentacyclic Steroids The present invention is directed to novel pentacyclic steroids and novel pentacyclic Dhomosteroids that have utility as anesthetics and in the treatment of disorders relating to GABA function and activity. In addition to anesthetic properties, neuroactive steroids may be used to treat disorders related to GABA function. For example, neuroactive steroids may be used as sedative-hypnotics e.g. insomnia, mood disorders, convulsive disorders, anxiety, or symptoms of ethanol withdrawal. These agents act by enhancing GABA.sub.A receptor desensitization and display different degrees of enantioselectivity. These compounds may be useful as memory enhancers and in reversing the anesthetic effects of compounds that potentiate GABA at GABA.sub.A receptors. Primary Investigator: Doug Covey, Developmental Biology

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Bear Cub Fund In the Fall of 2008, WU awarded five Bear Cub Fund grants totaling $150,000 to support innovative research projects that could be attractive for licensing by commercial entities or serve as the foundation for a start-up company. The grants were awarded to: Zhou-Feng Chen, Ph.D., associate professor of anesthesiology, of psychiatry and of developmental biology; Dan Moran, Ph.D., assistant professor of biomedical engineering, of physical therapy and of neurobiology; Brian Dieckgrafe, M.D., Ph.D., associate professor of medicine; Robyn Klein, M.D., associate professor of medicine, of pathology and immunology and of neurobiology; and Michael Pasque, M.D., professor of surgery and of radiology. Chen, who in 2007 identified the first gene for itch sensation in the central nervous system, will undertake a project to identify drugs that can reduce chronic itching. While itching caused by bug bites or allergic reactions can be treated effectively with antihistamine drugs, these medications don't work well for chronic itching related to skin ailments, kidney failure or liver disease. Moran's project will evaluate whether a new technique can improve the success of lumbar spinal fusion surgery. Moran and his colleagues developed a technique to electrically stimulate the bone matrix within spinal vertebrae, which has been shown in preliminary studies to improve the fusion of vertebrae. Dieckgraefe's grant will fund work to improve production of the immune-stimulating drug GM-CSF for the treatment of Crohn's disease. Early reports have suggested that the drug, modeled after the naturally occurring GM-CSF protein, can improve Crohn's symptoms. Unfortunately, the drug must be given daily by injection, and the way the drug is currently produced can reduce its effectiveness. Dieckgraefe plans to modify production to counter these issues. Klein will develop production of the CXCR4 antibody and investigate whether it can be used to diagnose multiple sclerosis (MS) or track progression of the disease. Extensive magnetic resonance imaging is used to diagnose MS patients and monitor disease progression, but the scans can be inconclusive. Klein is interested in developing a blood test for MS that correlates levels of the CXCR4 antibody with the extent of disease. Pasque seeks to develop technology that integrates, from a single MRI scan of the heart, information about cardiac function and anatomy. Patients with suspected heart problems must undergo different types of heart scans to assess heart function and anatomy. Pasque said he hopes his technology eventually will simplify the diagnosis of heart ailments. More information about the Bear Cub grants can be found at http://otm.wustl.edu/bearcubfund/index.asp.

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Invention Disclosures Under the Universityâ&#x20AC;&#x2122;s Intellectual Property (IP) policy, creators are required to disclose to OTM inventions made using significant University resources and/or pursuant to a research project funded through corporate, federal, or other external sponsors. OTM evaluates each new disclosure for its potential commercial value and for the best modes of intellectual property protection and commercialization. For some disclosures copyright protection is most appropriate, such as computer software or questionnaires, for others patent protection is sought and still others may be commercialized without filing for a patent. Some recent inventions disclosed to OTM in FY09 include: Anatomical Localization of Intracranial Electrodes Researchers at Washington University have developed a way to determine the location of electrodes on the brain surface in an automated process, utilizing MRI for brain anatomy and CT for electrode detection. The MRI and CT images are co-registered, and the developed software is used to generate an image showing the electrodes on the brain surface and calculate the spatial coordinates of the electrodes with regards to the brain. The software automates the typical time consuming step of determining the electrode location, produces improved images of the electrodes on the anatomical parts of the brain without displaying any wires, and provides more accurate coordinates by accounting for electrode displacement due to fluid buildup post electrode implantation. Primary Investigator: Biyu He, Department of Radiology The Pressure Recovery Ratio (PRR): A Novel Parameter of Diastolic Function Investigators at Washington University have proposed and validated a dimensionless, early rapid-filling derived hemodynamic index of LV relaxation/viscoelasticity. PRR is an invasively acquired parameter obtained during cardiac catheterization using in vivo left ventricle pressure data. PRR is the hemodynamic analog of the Doppler E-wave derived relaxation/viscoelasticity index obtained during echocardiograms, and has been correlated to Doppler E-wave data in 23 subjects. A benefit of this technology is the ability to obtain the ratio in real-time and in an automated fashion. Furthermore, since the output is dimensionless, a patientâ&#x20AC;&#x2122;s results can be monitored over time and compared to other subjects. Finally, since neither echocardiography nor catheterization procedures are 100% sensitive and specific for any abnormality, the PRR is a source of additional information to inform a clinicianâ&#x20AC;&#x2122;s decision. Primary Investigator: Sandor Kovacs, Department of Internal Medicine- Cardiology Phospho-Specific Chemokine Antibodies for Multiple Sclerosis (MS) Diagnostics The pathological expression and redistribution of CXCL12, a known chemokine, at the bloodbrain barrier occurs during MS and correlates with the severity of disease. The investigators found that this aberrant localization of CXCL12 was associated with an increase in the levels of its activated receptor, CXCR4 phosphorylated on serine 339, as detected by an antibody specific for the activated form of the chemokine receptor. Given the frequency with which physicians test for MS and the need for refined diagnostics, detection of activated receptor levels could provide a specific biomarker for diagnosing and/or monitoring the progression of MS. Primary Investigator: Robyn Klein, Internal Medicine, Infectious Diseases. 40

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Irreversible Gels This process provides, for the first time, a method to produce irreversible gels from a dilute surfactant/salt solution, by imposing very high strain over a short time period. Conventional methods have been able to obtain a gel phase dispersed in a solvent/solution phase, referred to as shear-induced structures, by the application of strain. However, these shear-induced structures disintegrate once the strain (flow) is removed. In addition, using this process, the gel formation is irreversible and the gel phase remains stable. Unlike conventional sol-gel processes, this one does not involve or need the addition and evaporation of solvents such as alcohols and extreme pH conditions. Hence it provides superior control of the gel structure and is more compatible with biological agents. Under traditional techniques, much higher concentrations are required to produce the gels. The present process allows for efficient utilization of the raw materials, e.g. gels can be formed with SDS at weight percentage as low as 0.6% whereas typical consumer products (e.g. shampoo) may contain up to 14% surfactant by weight. Primary Investigator: Radhakrishna Sureshkumar, Energy Environmental and Chemical Engineering.

For recording-keeping purposes, OTM tracks disclosures as either copyright or inventions. During Fiscal Year 2009 (FY09), OTM received 125 new disclosures total from 24 different departments. This was an increase of 28% from FY08. Of these disclosures, 75% originated in the School of Medicine, 15% from the School of Engineering and Applied Science, 7% from the School of Arts & Sciences, and 3% from the School of Architecture. Table 2 below shows invention disclosures by school, and Table 3 on the following page shows invention disclosures by department.

Arts & Sciences Engineering Medicine Architecture Law School Total

FY09 9 17 96 3 0 125

FY08 6 13 79 0 0 98

FY07 6 13 81 0 1 101

Table 2 Invention Disclosures by School â&#x20AC;&#x201C; FY09 t FY07

OVCR Annual Report Fiscal Year 2009 Office of Technology Management

Department Arts & Sciences Biology Chemistry Earth & Planetary Sciences Mathematics Physics Psychology Arts & Sciences Total School of Engineering Biomedical Engineering Computer Science & Engineering Electrical & Systems Engineering Energy, Environmental & Chemical Engineering Mechanical, Aerospace & Structural Engineering Engineering Total School of Medicine Anatomy & Neurobiology Anesthesiology Biochemistry & Molecular Biophysics Cell Biology & Physiology Developmental Biology Genetics Internal Medicine Molecular Microbiology Neurology Neurological Surgery Obstetrics & Gynecology Ophthalmology & Visual Sciences Orthopedic Surgery Otolaryngology Pathology & Immunology Pediatrics Physical Therapy Psychiatry Radiation Oncology Radiology Siteman Cancer Center Surgery Medicine Total School of Architecture Architecture Architecture Total School of Law Law Law Total Total

FY09

FY08

FY07

6 2 0 0 1 0 9

4 0 0 1 0 1 6

3 0 1 0 2 0 6

10 1 0 4 2 17

9 0 0 0 4 13

2 3 1 5 2 13

0 7 2 0 4 3 17 3 8 3 1 1 0 4 13 4 0 0 7 13 0 6 96

0 4 4 0 5 2 24 0 5 1 0 3 1 1 7 2 0 3 2 10 0 5 79

0 3 3 1 7 2 22 3 6 2 0 4 2 1 3 1 2 2 0 5 0 12 81

3 3

0 0

0 0 125

0 0 98

1 1 101

Table 3 Invention Disclosures by Department â&#x20AC;&#x201C; FY09 through FY07 Note: In 2006, OTM installed a new technology-based system to more accurately capture and report OTM nonrevenue data. FY07 numbers in this report were created retroactively using that system and may not match data published in prior annual reports. See Appendix 1.

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Patent Portfolio When OTM decides to pursue patent protection for an invention, a U.S. provisional patent application is usually filed. 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. OTM filed provisional patent applications for 44 of the 125 invention disclosures received in FY09. After the one year provisional period, OTM will have the opportunity to file or convert the provisional application into a non-provisional application that will be examined by the patent office before being granted. A non-provisional application can be filed in the U.S., with the World Intellectual Property Organization as a PCT international application and/or in individual foreign countries. The decision of when and where to file such applications are a part of OTM’s management of the University’s IP portfolio. During FY09, OTM filed 40 nonprovisional patent applications. OTM’s management of the University’s patent portfolio also includes ongoing communication with external patent counsel and patent office staff while an application is being examined, maintenance of issued patents, and payment of required fees. To date, the OTM manages a portfolio of 742 pending patent applications and 847 issued patents (381 US patents and 466 foreign patents). In FY09, the University had 50 patents issued: 20 by the US patent office and 30 by foreign patent offices. In total, OTM invested over $2M in the management of the University patent portfolio.

Arts & Sciences Engineering Medicine Total

FY09 4 20 82 106

FY08 3 7 84 94

FY07 3 13 59 75

Table 4 U.S. Patent Applications by School – FY09 through FY07

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Department Arts & Sciences Biology Chemistry Earth & Planetary Sciences Mathematics Physics Psychology Arts & Sciences Total School of Engineering Biomedical Engineering Computer Science & Engineering Electrical & Systems Engineering Energy, Environmental & Chemical Engineering Mechanical, Aerospace & Structural Engineering Engineering Total School of Medicine Anatomy & Neurobiology Anesthesiology Biochemistry & Molecular Biophysics Cell Biology & Physiology Developmental Biology Genetics Internal Medicine Molecular Microbiology Neurology Neurological Surgery Obstetrics & Gynecology Ophthalmology & Visual Sciences Orthopedic Surgery Otolaryngology Pathology & Immunology Pediatrics Physical Therapy Psychiatry Radiation Oncology Radiology Siteman Cancer Center Surgery Medicine Total Total

FY09

FY08

FY07

2 0 0 1 0 1 4

3 0 0 0 0 0 3

15 0 0 3 2 20

5 2 0 0 0 7

3 4 1 2 3 13

1 3 4 0 8 2 21 2 11 2 0 1 0 0 8 1 1 3 1 9 0 4 82 106

2 1 6 2 9 1 18 4 8 7 0 3 1 0 3 5 0 2 0 9 0 3 84 94

0 2 6 0 1 3 18 5 2 2 0 1 1 1 1 0 1 2 0 10 0 3 59 75

Table 5 U.S. Patent Applications by Department â&#x20AC;&#x201C; FY09 through FY07 Note: In 2006, OTM installed a new technology-based system to more accurately capture and report OTM non-revenue data. FY07 numbers in this report were created retroactively using that system and may not match data published in prior annual reports. See Appendix 1.

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Licenses OTM seeks to put the University’s inventions and discoveries into the hands of the public. Sometimes this means sharing our inventions with other non-profit organizations for free and other times this means licensing them out to corporate entities in exchange for fees and/or royalties. Patented and unpatented inventions are transferred to industry through a variety of licensing arrangements. Some of the licensing or license-related arrangements OTM enters into are as follows: Evaluation & Option Agreement: • gives a company a time-limited (generally six months to a year) “preview” of the invention for the purpose of deciding whether to take a license. Non-Exclusive License Agreement: • fee- and royalty-bearing license: rights are granted to commercialize the technology, may be granted to multiple licensees • Paid-up license: a non-exclusive license granted for a one-time, up-front 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 that is generally licensed to commercial entities for a fee Exclusive License Agreement: • A fee- and royalty-bearing exclusive license; grants a licensee the sole right to commercialize a technology (may include sublicensing rights) License agreements may be limited to a particular field of use or geographic area. They also often vary in terms of amount of fees and royalties due, milestones to be achieved by the company, and length of the agreement. While the majority of licenses granted by the University are to existing commercial companies, the University is also actively supporting and encouraging the creation of new business ventures in St. Louis by licensing technology to start-up companies. In FY09, the University entered into 9 Evaluation and Option Agreements. This year the University also granted a total of 44 revenue-generating licenses, 11 exclusive and 33 nonexclusive. The table below shows the number of revenue-generating licenses by School. FY09

FY08

FY07

Arts & Sciences

Engineering

Medicine Law Social Work Total

Table 6 Licenses by School – FY09 through FY07 45

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Department Arts & Sciences Biology Chemistry Earth & Planetary Sciences Mathematics Physics Psychology Arts & Sciences Total School of Engineering Biomedical Engineering Computer Science & Engineering Electrical & Systems Engineering Energy, Environmental & Chemical Engineering Mechanical, Aerospace & Structural Engineering Engineering Total School of Medicine Anatomy & Neurobiology Anesthesiology Biochemistry & Molecular Biophysics Cell Biology & Physiology Developmental Biology Genetics Internal Medicine Molecular Microbiology Neurology Neurological Surgery Obstetrics & Gynecology Ophthalmology & Visual Sciences Orthopedic Surgery Otolaryngology Pathology & Immunology Pediatrics Psychiatry Radiation Oncology Radiology Siteman Cancer Center Surgery Medicine Total School of Law Law Law Total School of Social Work Social Work Social Work Total Subtotal No Fee Licenses Total Licenses

FY09

FY08

FY07

0 0 0 0 0 0 0

2 0 0 0 0 2

0 2 0 0 1 3

0 0 0 0 0 0

1 0 0 0 2 0 4 1 4 1 0 1 0 5 14 1 1 2 2 0 2 41

2 0 0 0 0 0 6 0 5 0 0 0 1 6 15 0 1 0 1 0 1 38

1 0 1 1 4 1 8 0 3 0 0 0 0 2 17 2 2 0 0 0 3 45

0 0

1 1

0 0

1 1 44 0 44

0 0 42 0 42

0 0 45 0 45

Table 7 Licenses by Department â&#x20AC;&#x201C; FY09 through FY07 Note: In 2006, OTM installed a new technology-based system to more accurately capture and report OTM non-revenue data. FY07 numbers in this report were created retroactively using that system and may not match data published in prior annual reports. See Appendix 1.

OVCR Annual Report Fiscal Year 2009 Office of Technology Management License Revenue The OTM staff manages a total of 2,216 active license agreements. This includes monitoring the licensee’s business development and compliance of performance milestones, coordinating patent prosecution, processing license income and distributing revenue according to the University’s IP policy. Under most revenue-generating licenses, OTM receives gross licensing income in the form of license fees, maintenance fees, milestone payments, and earned royalties on sales of products or services. In addition, the University collects patent expense reimbursement from some licensees, particularly when the license is exclusive. The University received $7.9M in total licensing revenue in FY09. Revenues generated by each school were as follows. • • •

School of Medicine: $6.4M School of Engineering and Applied Sciences: $1.06M School of Arts and Sciences: $0.4M

Arts & Sciences Engineering Law Medicine Social Work TOTALS

FY09 $437,028 1,064,222 0 6,419,449 0 $7,920,699

FY08 $1,762,509 1,291,326 8,568 13,952,595 0 $17,014,998

FY07 $312,773 1,054,607 0 10,642,473 0 $12,009,853

Table 8 License Revenue by School – FY09 through FY07

OVCR Annual Report Fiscal Year 2009 Office of Technology Management

Fiscal Year 09 Arts & Sciences

Engineering

Medicine

Total

Income Licensing Income Expense Reimbursements OTM Current FY (External)

$407,137

$895,468

$4,998,857

$6,301,462

24,833

158,766

1,153,051

1,336,650

5,057

9,988

267,541

282,586

Expense Reimbursements for Dept. (External)

Expense Credits

Other

437,028

1,064,222

6,419,449

7,920,699

Legal

45,797

322,674

1,838,522

2,206,994

Other

439

520

45,833

322,720

1,838,961

2,207,513

Distribution to Inventors

155,972

405,302

2,069,134

2,630,409

Distribution to Schools (Lic. Income)

172,373

323,117

2,032,079

2,527,568

42,500

257,138

299,638

Expense Reimbursements OTM Prior FY (External)

Subtotal Income Expenses

Subtotal Expenses Distributions

Distribution to Schools (Other Income) Distribution to Third Parties 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

CFU Legal expense recovery

Transfer to reserve

Patent expense held in advance

Patent expense adjustment

Subtotal Distributions Contributions to OTM Operations

370,845 $20,350

728,419 $13,083

4,358,351 $222,138

5,457,615 $255,571

Table 9 Technology Transfer Activity by School â&#x20AC;&#x201C; FY09

OVCR Annual Report Fiscal Year 2009 Office of Technology Management

FY09

FY08

FY07

Income Licensing Income

$6,301,462

$15,715,818

$10,388,459

1,336,650

937,625

1,401,739

282,586

361,554

219,655

Expense reimbursements for Dept. (External)

Expense Credits

Other

7,920,699

17,014,998

12,009,853

Legal

2,206,994

2,271,787

2,113,917

Other

520

758

331

2,207,513

2,272,545

2,114,248

Distribution to inventors

2,630,409

7,177,024

4,658,904

Distribution to schools (Lic. Income)

2,527,568

6,787,846

4,172,039

299,638

759,070

664,687

Expense Payback to Third Parties from Lic. Rev.

Expense Payback to Dept. from Lic. Rev.

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

5,457,615 $255,571

14,723,940 $18,513

9,495,631 $399,974

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

Subtotal Income Expenses

Subtotal Expenses Distributions

Distribution to schools (Other Income) Distribution to third parties

Subtotal Distributions Contribution to OTM operations

Table 10 Technology Transfer Activity â&#x20AC;&#x201C; FY09 through FY07

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Industry-Sponsored Research Agreements by School Industry sponsored research plays a key role in the technology transfer process. OTM negotiates, executes, and manages all industry sponsored research agreements (SRAs) where the sponsor is a for-profit entity and the research does not involve human subjects (i.e., not federally funded or a clinical trial). In FY09, the University entered into 53 industry sponsored research agreements. The number of SRAs is down from previous years, most likely due to the economy and the reductions by industry for such funding.

FY09

FY08

FY07

Arts & Sciences

Engineering

Medicine

Social Work

Total

Table 11 Industry-Sponsored Research Agreements by School â&#x20AC;&#x201C; FY09 through FY07

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Department/School Arts & Sciences Biology Chemistry Earth & Planetary Sciences Physics Psychology Arts & Sciences Total Engineering & Applied Science Biomedical Engineering Computer Science & Engineering Electrical & Systems Engineering Energy, Environmental & Chemical Engineering Mechanical, Aerospace & Structural Engineering Engineering & Applied Science Total Medicine Anatomy & Neurobiology Anesthesiology Biochemistry & Molecular Biophysics Cell Biology & Physiology Developmental Biology Genetics Internal Medicine Molecular Microbiology Neurology Neurological Surgery Obstetrics & Gynecology Ophthalmology & Visual Sciences Orthopedic Surgery Otolaryngology Pathology & Immunology Pediatrics Physical Therapy Psychiatry Radiation Oncology Radiology Siteman Cancer Center Surgery Medicine Total Social Work Social Work Social Work Total Total Industry-Sponsored Research Agreements

FY09

FY08

FY07

0 2 0 1 0 3

2 3 0 0 0 5

2 0 1 5 2 10

0 0 1 10 4 15

0 2 1 1 0 4

0 2 0 0 0 3 12 0 2 2 0 0 0 0 3 4 0 0 0 7 0 5 40

0 2 0 0 0 2 14 1 6 0 0 0 4 3 1 2 0 1 1 8 0 7 52

0 2 0 0 4 1 6 1 3 0 0 0 2 2 7 6 0 2 2 9 0 4 51

0 0 53

0 0 72

0 0 60

Table 12 Industry-Sponsored Research Agreements by Department â&#x20AC;&#x201C; FY09 through FY07 Note: In 2006, OTM installed a new technology-based system to more accurately capture and report OTM non-revenue data. FY07 numbers in this report were created retroactively using that system and may not match data published in prior annual reports. See Appendix 1.

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Other Agreements by Department OTM also handles other agreements in its promotion of technology transfer including confidential disclosure agreements (CDAs) and inter-institutional agreements (IIAs). CDAs allow for the University faculty to exchange confidential information with outside third parties under obligations to protect and preserve the confidentiality of the information. Generally CDAs are entered into for the purpose of exploring a potential research collaboration or license agreement. In FY09, OTM negotiated and executed a total of 98 CDAs. The University will enter into an IIA when an invention has been created by employees of the University and employees of another institution. Each institution becomes a co-owner of the invention and the IIA determines which institution will take the lead in patenting and licensing activities. In FY09, the University entered into 6 IIAs.

OVCR Annual Report Fiscal Year 2009 Office of Technology Management

Confidentiality Department

Inter-institutional

FY09

FY08

FY07

FY09

FY08

FY07

3 0 0 0 0 0

2 1 0 0 0 0

5 4 0 0 1 0

0 0 0 0 0 0

0 1 0 0 0 0

Biomedical Engineering

Computer Science & Engineering

Arts & Sciences Biology Chemistry Earth & Planetary Sciences Mathematics Physics Psychology Arts & Sciences Total Engineering & Applied Science

Electrical & Systems Engineering

Energy, Environmental & Chemical Engineering

Mechanical, Aerospace & Structural Engineering

0 5 0 2 7 2 23 0 2 1 0 2 0 2 9 1 2 0 1 9 0 5

0 7 1 3 7 2 21 0 5 3 0 0 0 1 3 1 1 3 1 7 0 5

4 4 2 3 2 3 26 0 13 1 0 3 3 2 4 2 0 2 1 6 0 0

0 0 0 1 0 0 0 1 0 0 0 0 0 2 0 0 0 0 0 1 0 1

0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0

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

Medicine Total

Social Work Total

109

Engineering & Applied Science Total Medicine Anatomy & Neurobiology Anesthesiology Biochemistry & Molecular Biophysics Cell Biology & Physiology Developmental Biology Genetics Internal Medicine Molecular Microbiology Neurology Neurological Surgery Obstetrics & Gynecology Ophthalmology & Visual Sciences Orthopedic Surgery Otolaryngology Pathology & Immunology Pediatrics Physical Therapy Psychiatry Radiation Oncology Radiology Siteman Cancer Center Surgery Social Work

Total

Table 13 Other Agreements by Department â&#x20AC;&#x201C; FY09 through FY07

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Material Transfer Agreements by Department OTM handles the execution of material transfer agreements (MTAs), required by the University when transferring proprietary materials in and out of WU for research use. Incoming MTAs are no-fee agreements used when the material is received from another non-profit institution or from a commercial third party for the research at WU. Outgoing MTAs are used to distribute WU materials (patented and unpatented) without charge to other non-profit institutions or forprofit companies for their own internal research activities. The total number of MTAs in FY09 was the highest in recent years â&#x20AC;&#x201C; mostly due to the number of academic MTAs. FY09 FY08 FY07 Department Academic Industry Academic Industry Academic Industry Arts & Sciences Biology 31 0 27 2 47 0 Chemistry 0 1 1 1 2 0 Earth & Planetary Sciences 0 0 0 0 0 0 Mathematics 1 0 0 0 0 0 Physics 0 1 0 0 0 0 0 0 0 0 0 0 Psychology 32 2 28 3 49 0 Arts & Sciences Total Engineering & Applied Science Biomedical Engineering 3 0 1 0 2 0 Computer Science & Engineering 1 0 0 0 0 0 Electrical & Systems Engineering 0 0 0 0 0 0 Energy, Environmental & Chemical Engineering 0 0 0 0 0 0 Mechanical, Aerospace & Structural Engineering 0 0 0 0 0 0 4 0 1 0 2 0 Engineering & Applied Medicine Anatomy & Neurobiology 13 2 10 1 25 0 Anesthesiology 10 2 15 2 11 0 Biochemistry & Molecular Biophysics 10 1 11 0 4 0 Cell Biology & Physiology 25 3 34 0 25 3 Developmental Biology 88 4 79 6 107 0 8 0 8 1 9 0 Genetics Internal Medicine 225 25 164 23 165 16 Molecular Microbiology 41 2 52 1 45 5 Neurology 34 2 28 6 34 8 Neurological Surgery 1 0 2 0 2 0 Obstetrics & Gynecology 3 0 3 0 3 0 Ophthalmology & Visual Sciences 26 2 14 0 25 3 Orthopedic Surgery 5 0 6 0 3 3 Otolaryngology 2 0 6 0 8 0 Pathology & Immunology 181 6 110 2 123 2 Pediatrics 34 3 35 0 41 4 Physical Therapy 0 0 0 0 0 0 2 2 4 1 6 1 Psychiatry Radiation Oncology 2 1 8 0 7 1 Radiology 47 3 31 3 33 4 Siteman Cancer Center 0 0 0 0 0 0 Surgery 24 2 25 2 22 5 781 60 645 48 698 55 Medicine Total Total 817 62 674 51 749 55

Table 14 Material Transfer Agreements by Department â&#x20AC;&#x201C; FY09 through FY07

OVCR Annual Report Fiscal Year 2009 Office of Technology Management Social and Financial Impact OTM extends the Universityâ&#x20AC;&#x2122;s reach via its involvement with the Regional Chamber and Growth Association, the Danforth Plant Sciences Center Alliance, the Missouri Venture Forum, the Midwest Research Universities Network, and many other organizations. Together, they develop channels for making WU technologies widely available and simultaneously build the economy.

FY09

FY08

FY07

Invention Disclosures

125

101

US/PCT Patents Filed

106

Licenses Agreements

Industry-Sponsored Research

Start-up Companies Formed

Table 15 Summary of Economic Impact â&#x20AC;&#x201C; FY09 through FY07

OVCR Annual Report Fiscal Year 2009 Center for Applied Research Sciences Center for Applied Research Sciences Executive Summary The industry sponsored trials 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 are highlighted below. Center for Applied Research Sciences The Center for Applied Research Sciences (CARS), established in September 2007, combines the Center for Clinical Studies Outpatient Unit (now called the Clinical Trials Unit), the Adult General Clinical Research Center (GCRC) (now called the Clinical Research Unit), and the Pediatric GCRC (now called the Pediatric Clinical Research Unit) to enhance services and efficiency. The establishment of CARS improves access to specialized clinical research units that contain state-of-the-art resources and where studies can be performed safely, ethically and efficiently across a spectrum of study populations, research designs and physical sites. The coordinated research efforts of the CARS are conducted in three areas: the Clinical Trials Unit, the Clinical Research Unit, and the Pediatric Clinical Research Unit. The Clinical Trials Unit (CTU) is located on the 11th floor of the Center for Advanced Medicine. The unit is an outpatient research unit that offers dedicated research space, equipment, and nursing support for a wide range of clinical studies, particularly multi-center clinical trials. The CTU generally supports studies that require less sophisticated or intensive measurements and procedures than those conducted in the Clinical Research Unit. The Clinical Research Unit (CRU) is located on the 4th and 5th floors of Barnard Hospital. The CRU operates as an in-patient and out-patient clinical research unit for studies that require more “intense” nursing services than the studies performed in the Clinical Trials Unit or that require an inpatient stay. In addition, this unit provides specialized nutritional services, coordinating with the principal investigator to facilitate a comprehensive experience for their research subjects. Bionutritional services may be obtained separately or as part of the outpatient or extended visits. The Pediatric Clinical Research Unit provides space, nursing and bionutritional support for clinical research projects conducted with children at Washington University. The current unit is on the 11th floor of St. Louis Children’s Hospital and has exam and interview room space, a procedure area and a phlebotomy and sample processing area. Siteman Cancer Center The Alvin J. Siteman Cancer Center at Barnes-Jewish Hospital and Washington University School of Medicine in St. Louis is an international leader in cancer treatment, research, prevention, education and community outreach. It is the only cancer center in Missouri and within a 240-mile radius of St. Louis to hold the prestigious Comprehensive Cancer Center designation from the National Cancer Institute. The Siteman Cancer Center offers many

OVCR Annual Report Fiscal Year 2009 Center for Applied Research Sciences different types of clinical trials. At any given time, Siteman has more than 250 clinical studies, including many collaborative efforts with other leading cancer centers throughout the country. 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. Recruitment Enhancement Core (REC) In order to improve patient accrual in clinical trials, The Regulatory Support Center (RSC) has instituted a program called Recruitment Enhancement Core (REC). The goal of the REC is to assist investigators in recruiting potential participants while ensuring compliance with all relevant regulations, including informed consent, confidentiality, privacy of health information, and the recruitment of women and underrepresented minorities. The REC provides investigators with pre-qualified, pre-screened and potential research participants. The service increases public awareness and knowledge concerning medical research needs and opportunities, and the increasing need for minority participation. This education of the community is done in a variety of ways, including radio and print advertising as well as targeted health fair promotion. This paradigm shift has been achieved by utilizing a pre-existing WU medical center resource called Volunteer for Health (VFH). The Washington University VFH recruitment program was established in September 1998 and has assisted investigators in recruitment of study participants since that time. This program includes a HIPAA compliant database, called the Research Participant Registry, with profiles of potential subjects in a variety of therapeutic areas, as well as assistance with on-campus and/or media advertising. Currently, the database contains more than 10,000 interested, consented volunteers and the REC is dedicated to developing and implementing strategic, recruitment plans that impact recruitment, university wide. AIDS Clinical Trials Unit (ACTU) 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 1987, the Washington University ACTU has been a highly productive participant in the AIDS Clinical Trials Group funded by the National Institute of Allergy and Infectious Diseases. It conducts clinical research trials of potential treatments for HIV and its complications. Well established in the community, the ACTU provides access to research trials, community outreach and education, continuing education, and consultation for health care professionals. Currently, clinical trials at the ACTU are studying treatments in three broad categories: treatments that may stop HIVâ&#x20AC;&#x2122;s destruction of the immune system; treatments that might help rebuild a damaged immune system; and treatments that may prevent or cure the various illnesses that people get with damaged immune systems. Since 1988, the ACTU has screened approximately 4,200 HIV-infected individuals for possible participation in clinical trials. As of December 1, 2006, 1,800 volunteers have participated in studies offered at our site.

OVCR Annual Report Fiscal Year 2009 Center for Applied Research Sciences Patient Oriented Research Unit (Pediatrics) The Patient Oriented Research Unit (PORU) has dedicated space on the 10th floor of the Northwest Tower 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 â&#x20AC;&#x201C; FY07-FY09 The number of Industry Sponsored Clinical Trials performed at Washington University remained fairly constant over the last three fiscal years yet the revenue received from the trials has increased. Over the three year period, the number of clinical trials performed at the institution has increased from 1,318 trials in fiscal year 2007 to 1,348 trials in fiscal year 2009 (2%). During that same time, the cash receipts from those trials have increased by 12% from $24.4M in 2007 to $27.3M in 2009. For a break-down of clinical trials by department of the School of Medicine please refer to Table 1. Of the total trials performed at the School of Medicine in 2009, 724 out of 1,348 or 54% were performed in the Department of Internal Medicine. In dollar terms, this represents 49% of the total clinical trial dollars for fiscal year 2009. For a break-down of clinical trials by Division of the School of Medicineâ&#x20AC;&#x2122;s Department of Internal Medicine, please refer to Table 2. Also, during the period fiscal years 2007 to 2009 the number of new clinical trial contracts has increased by 12% as is shown in Table 3.

OVCR Annual Report Fiscal Year 2009 Center for Applied Research Sciences

Department

FY 2009 #'s $

FY 2008 #'s $

% Inc / (Dec) FY 07 - FY 09 #'s $

FY 2007 #'s $

Internal Medicine

724

13,420,533

717

10,679,081

683

11,746,362

14%

Surgery

136

1,749,474

139

1,908,198

132

Neurology

124

1,989,327

128

2,787,969

110

1,968,265

-11%

2,484,777

13%

-20%

Pediatrics

1,031,996

918,258

101

917,159

-15%

13%

Radiology

2,182,770

1,517,708

1,889,619

-2%

16%

Pathology & Immunology

1,158,274

664,041

620,793

-4%

87%

Psychiatry

2,066,684

1,057,192

1,254,825

-20%

65%

Obstetrics & Gynecology

479,948

568,178

675,200

-3%

-29%

Orthopedic Surgery

1,116,948

843,870

689,710

62%

Emergency Medicine

162,430

73,972

22,875

610%

Neurological Surgery

60,110

102,418

220,520

33%

-73%

Siteman Cancer Center

503,802

708,225

572,209

-12%

Ophthalmology & Visual Sciences

382,366

214,336

540,730

-29%

Otolaryngology

53,158

155,596

157,658

25%

-66%

Anesthesiology

33,148

83,367

224,498

-50%

-85%

Radiation Oncology

847,618

757,416

411,826

-22%

106%

Developmental Biology

28,500

890,192

100%

Occupational Therapy

10,000

28,387

2,599

100%

285%

Biochemistry & Molecular Biophysics

Molecular Microbiology

7,535

-50%

-100%

Biostatistics

100%

Health Behavior Research

Molecular Biology & Pharmacology

32,375

-100%

Div of Comparative Medicine

-100%

Health Administration

-100%

12%

Total

1,348

27,277,086

1,360

108,260

24,066,664 1,318

24,439,532

Table 1 Industry Sponsored Clinical Trials by Department of the School of Medicine FY09 through FY07 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 trial dollars are not included in the tables and figures in â&#x20AC;&#x153;Sponsored Research.â&#x20AC;?

OVCR Annual Report Fiscal Year 2009 Center for Applied Research Sciences

Divisions of Internal Medicine

#'s

Medical Oncology

FY 2009 $

FY 2008 #'s $

#'s

% Inc / (Dec) FY 07 - FY 09 #'s $

FY 2007 $

198

3,543,442

177

2,528,834

189

2,693,822

32%

Endocrine / Metabolism

712,489

511,958

707,511

44%

Cardiology

1,089,613

1,175,680

104

1,288,036

-16%

-15%

Pulmonary

1,292,873

1,502,925

1,207,936

14%

Bone Marrow Transplant

2,272,333

902,021

730,254

68%

211%

Gastroenterology

924,649

291,582

364,920

-2%

153%

Renal

242,110

525,103

594,400

-13%

-59%

Chrom Kidney Center

675,271

202,241

404,510

-20%

67%

Center for Human Nutrition

1,182,340

1,210,184

666,952

77%

Lipid Research

219,175

597,851

930,797

22%

-76%

Dermatology

228,409

161,013

501,081

-17%

-54%

AIDS Clinical Trial Unit

302,855

166,865

178,336

70%

Infectious Diseases

208,003

291,179

240,450

-13%

Hematology

178,395

61,927

223,229

17%

-20%

Rheumatology

160,885

211,971

246,372

-22%

-35%

Bone & Mineral Diseases

74,162

140,171

305,216

-21%

-76%

Geriatrics / Gerontology

65,265

147,022

416,232

50%

-84%

Immunology

48,264

50,555

36,308

33%

General Medical Sciences

10,000

-100%

Applied Physiology

-100%

14%

Total

724

13,420,533

717

10,679,081

683

11,746,362

Table 2 Industry Sponsored Clinical Trials by Division of the Department of Internal Medicine FY09 through FY07

Notes: 1. The dollar totals contained in this chart are based on cash receipts from industry sponsors. 2. Industry sponsored clinical trial dollars are not included in the tables and figures in â&#x20AC;&#x153;Sponsored Research.â&#x20AC;?

OVCR Annual Report Fiscal Year 2009 Center for Applied Research Sciences

Fiscal Year

% Change FY07 to FY09

FY09

FY08

FY07

Clinical Studies

288

279

252

14%

Confidentiality Agreements

144

139

131

10%

Amendments (all types)

254

233

230

10%

13%

722

700

645

12%

Other TOTAL

Table 3 New Contracts Completed FY09 through FY07

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense Sponsored Research Expense Executive Summary This report presents an overview of expenditure activity for sponsored research projects at Washington University (WU) during the fiscal year of 2009 (FY09). The expense dollars reported are for all transactions that occurred on or between July 1, 2008 and June 30, 2009. Data Sources The data presented in this report section was obtained from the Washington University’s Financial Information System (FIS) and it reflects the expenditure activity incurred during the performance of sponsored projects. Expenses associated with projects supported by sales and service agreements and clinical trials are excluded from this report. Expenditure Activity The University’s total research expenditures for FY09 amounted to $543 million, a 3% increase over FY08. This percentage increase is driven primarily from additional dollars ($11.6 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 75% of total expenditures during the fiscal year. In addition to the NIH, the University also saw an increase in funding from private sources as well as receiving a large project from the State of Missouri. The University continues to maintain a strong position in sponsored research during FY09. Detailed schedules regarding this activity have been compiled this data in several formats, see Tables 1 – 12. Noted below are definitions and descriptions of the key expenditure categories. During FY09, the University received funding under the American Recovery and Reinvestment Act of 2009 (ARRA). As of June 30, 2009 the University had expended $367,000 of ARRA funding. 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) 62

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense • • •

NSF - National Science Foundation USDA - United States Department of Agriculture USDE - United States Department of Education

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 – 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 – Sponsored agreements from non-profit 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 – 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.

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense 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. 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 & 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

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense the University provides to support a sponsored project. The University will commit resources to support a project under the following conditions: 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 University’s cost sharing contributions. Facilities and Administrative (F&A) Rates Sponsored projects awarded to the University provide funding for Direct and F&A costs (see above). 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 – 6/30/02. Applied to modified total direct costs.

•

53%

Federal on-campus research rate for projects awarded during the period 7/1/02 – 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 – 6/30/07. Applied to modified total direct costs.

•

52%

Federal on-campus research rate for projects awarded during the period 7/1/07 – 6/30/10. Applied to modified total direct costs.

•

26%

Federal off-campus research rate.

•

25.8%

Federal on-campus research rate for genome sequencing center projects awarded during the period 7/1/06 – 6/30/10. Applied to modified total direct costs.

•

Federal rate for research training and fellowship projects.

•

Other

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

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense 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. SPA monitors and maintains 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 the Office of Sponsored Research Services (OSRS), SPA develops a coordinated and consistent approach on institutional issues involving sponsored projects. The office of SPA reports to Barbara Feiner, Vice Chancellor for Finance and Chief Financial Officer. This report and other data is available of on the SPA website, see http://www.spa.wustl.edu/.

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

FY09 Sponsors

Federal* Private Sources Other Government TOTAL

% Total Direct

Direct Costs

F&A Costs

FY08 % Total F&A

Total

% Total

Direct Costs

% Total Direct

F&A Costs

% Total F&A

Total

% Total

$345,696

84%

$122,173

94%

$467,869

86%

$340,367

86%

$120,928

95%

$461,295

89%

64,697

16%

7,556

72,253

13%

57,094

14%

6,424

63,518

12%

2,840

299

3,139

736

145

881

$413,233

100%

$130,028

100%

$543,261

100%

$398,197

100%

$127,497

100%

$525,694

100%

Table 1 Direct and F&A Expenditures by Sponsor Type â&#x20AC;&#x201C; FY09 and FY08 (000s)

*Includes $367,000 of ARRA expenses

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

DIRECT COSTS

FY09 F&A COSTS

TOTAL

DIRECT COSTS

FY08 F&A COSTS

$350,425

$110,520

$460,945

$339,277

$109,223

$448,500

$12,445

2.8%

Arts & Sciences

33,019

10,237

43,256

31,226

10,145

41,371

1,885

4.6%

Engineering

15,300

6,201

21,501

15,662

6,406

22,068

(567)

-2.6%

Social Work

8,906

2,625

11,531

7,556

1,290

8,846

2,685

30.4%

Other

5,583

445

6,028

4,476

433

4,909

1,119

22.8%

$413,233

$130,028

$543,261

$398,197

$127,497

$525,694

$17,567

3.3%

SCHOOLS Medicine

TOTAL

CHANGE TOTAL

Table 2 Direct and F&A Expenditures by School and Cost Category â&#x20AC;&#x201C; FY09 and FY08 (000s)

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

Research SCHOOLS

Research Training

FY09

FY08

$399,355

Arts & Sciences

Other Sponsored Activities

FY09

FY08

FY09

FY08

$387,907

$41,032

$42,116

$20,558

38,795

36,221

1,796

2,496

Engineering

19,807

20,292

1,417

Social Work

9,757

7,303

Other

1,533 $469,247

Medicine

TOTAL

Total FY09

FY08

$18,477

$460,945

$448,500

2,665

2,654

43,256

41,371

1,495

277

281

21,501

22,068

654

762

1,120

781

11,531

8,846

595

4,489

4,303

6,028

4,909

$452,318

$44,905

$46,880

$29,109

$26,496

$543,261

$525,694

Table 3 Direct and F&A Expenditures by School and Project Type â&#x20AC;&#x201C; FY09 and FY08 (000s)

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

DIRECT AGREEMENTS FEDERAL AGENCIES* NIH

FY09 SUB AGREEMENTS

TOTAL

DIRECT AGREEMENTS

FY08 SUB AGREEMENTS

CHANGE TOTAL

$382,351

$27,385

$409,736

$373,154

$24,977

$398,131

$11,605

17,625

1,225

18,850

25,791

1,234

27,025

(8,175)

-30%

USDE

5,941

553

6,494

5,605

423

6,028

466

NASA

7,928

1,341

9,269

6,151

1,585

7,736

1,533

20%

DOD

5,143

2,001

7,144

6,414

1,611

8,025

(881)

-11%

EPA

225

235

110

506

616

(381)

-62%

DHHS OTHER

3,837

2,224

6,061

3,469

808

4,277

1,784

42%

DOE

3,480

828

4,308

2,672

1,135

3,807

501

13%

DHHS HRSA

2,853

1,699

4,552

2,571

1,307

3,878

674

17%

USDA

185

271

342

440

(169)

-38%

OTHER

686

263

949

837

495

1,332

(383)

-29%

430,039

37,830

467,869

427,116

34,179

461,295

6,574

3,139

881

2,258

256%

INDUSTRY

10,521

9,618

903

FOUNDATIONS & TRUSTS

40,836

34,333

6,503

19%

VOL HEALTH

11,347

10,689

658

9,549

8,878

671

72,253

63,518

8,735

14%

$505,431

$37,830

$543,261

$491,515

$34,179

$525,694

$17,567

NSF

TOTAL FEDERAL OTHER GOVERNMENT PRIVATE SOURCES

OTHER TOTAL PRIVATE TOTAL

Table 4 Expenditures by Sponsor and Agreement Type – FY09 and FY08 *Includes $367,000 of ARRA expenses (000s) 70

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

Figure 1

Figure 2

Figure 3 Expenditures by Sponsor Type – FY05–FY09 (000s) 71

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense Research FY09 FEDERAL AGENCIES* NIH NSF USDE NASA DOD EPA DHHS OTHER DOE DHHS HRSA USDA OTHER TOTAL FEDERAL

Other Sponsored Activities FY09 FY08

Research Training

FY08

FY09

FY08

Total FY09

FY08

FEDERAL AGENCIES $371,920 $ 359,452 $ 33,526 $ 34,394 $ 4,290 $ 4,285 $ 409,736 $ 398,131 NIH 16,480 24,285 2,053 2,412 317 328 18,850 27,025 NSF 553 423 0 0 5,941 5,605 6,494 6,028 USDE 9,120 7,161 149 575 0 0 9,269 7,736 NASA 7,077 7,831 60 182 7 12 7,144 8,025 DOD 225 613 10 3 0 0 235 616 EPA 4,954 3,403 531 473 576 401 6,061 4,277 DHHS OTHER 4,308 3,802 0 0 0 5 4,308 3,807 DOE 1,067 411 12 0 3,473 3,467 4,552 3,878 DHHS HRSA 271 421 0 10 0 9 271 440 USDA 598 879 0 0 351 453 949 1,332 OTHER 416,573 408,681 36,341 38,049 14,955 14,565 467,869 461,295 TOTAL FEDERAL

OTHER GOVERNMENT

2,447

371

692

510

3,139

PRIVATE SOURCES INDUSTRY FOUNDATIONS & TRUSTS VOL HEALTH OTHER

9,972 24,573 7,605 8,077

8,918 20,128 6,914 7,306

512 3,931 3,583 538

601 3,785 3,723 722

37 12,332 159 934

99 10,420 52 850

10,521 40,836 11,347 9,549

9,618 34,333 10,689 8,878

TOTAL PRIVATE

50,227

43,266

8,564

8,831

13,462

11,421

72,253

63,518 TOTAL PRIVATE

TOTAL

881 OTHER GOVERNMENT

$ 469,247 $ 452,318 $ 44,905 $ 46,880 $ 29,109 $ 26,496 $ 543,261 $ 525,694

PRIVATE SOURCES INDUSTRY FOUNDATIONS & TRUSTS VOL HEALTH OTHER TOTAL

Table 5 Expenditures by Sponsor and Project Type – FY09 and FY08 (000s) *Includes $367,000 of ARRA expenses

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

Figure 4

Figure 5

Figure 6 Expenditures by Project Type – FY05 – FY09 (000s) 73

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

School of Medicine

FY09 TOTAL FEDERAL*

Arts & Sciences

$ Change from FY08

FY09

$ Change from FY08

School of Engineering

FY09

GWB School of Social Work

$ Change from FY08

Other Schools

$ Change from FY08

FY09

Total University

$ Change from FY08

FY09

$ Change from FY08

$399,336

$2,840

$37,181

$250

$18,947

($623)

$7,601

$3,758

$4,804

$307

$467,869

$6,532

1,391

798

571

450

221

189

-1

953

822

3,139

2,258

7,437

796

1,736

292

1,340

(192)

10,521

903

Foundations & Trusts

35,152

6,865

1,479

665

263

(102)

3,681

(906)

261

(19)

40,836

6,503

Vol Health

10,886

590

124

337

11,347

658

6,743

556

2,165

195

393

126

246

(166)

(40)

9,549

671

60,218

8,807

5,504

1,185

2,333

(133)

3,927

(1,072)

271

(52)

72,253

8,735

$460,945

$12,445

$43,256

$1,885

$21,501

($567)

$11,531

$2,685

$6,028

$1,077

$543,261

$17,525

OTHER GOVERNMENT PRIVATE SOURCES Industry

Other TOTAL PRIVATE

TOTAL ALL SOURCES

Table 6 Expenditures by Sponsor Type and School â&#x20AC;&#x201C; FY09 (000s)

*Includes $367,000 of ARRA expenses

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

FEDERAL DETAILED COST CATEGORY FY09 Academic Salaries

FY08

OTHER GOVERNMENT % Of Change from FY08

FY09

FY08

% Of Change from FY08

PRIVATE SOURCES

FY09

FY08

TOTAL

% Of Change from FY08

FY09

FY08

% Of Change from FY08

$68,785

$67,510

$74

$79

-6%

$11,410

$9,056

26%

$80,269

$76,645

Staff Salaries

74,225

71,440

477

336

42%

13,980

11,326

23%

88,682

83,102

Grad Assistant

21,412

20,648

140

175%

3,920

3,459

13%

25,472

24,158

164,422

159,598

691

466

48%

29,310

23,841

23%

194,423

183,905

Fringe Benefits Stipends/Health Allowance Consultants

34,570

33,351

161

106

52%

6,338

5,298

20%

41,069

38,755

13,055

14,515

-10%

3,405

3,181

16,460

17,696

-7%

1,310

1,338

-2%

40%

424

532

-20%

1,794

1,913

-6%

Consumable Supplies

39,212

42,258

-7%

284

4633%

9,668

8,589

13%

49,164

50,853

-3%

Other

38,065

37,103

127

144%

9,433

8,806

47,625

45,961

Travel

4,988

4,703

367%

1,219

1,066

14%

6,221

5,772

Subcontracts

33,138

35,403

-6%

845

1308%

2,304

3,862

-40%

36,287

39,325

-8%

Equipment

16,936

12,098

40%

658

100%

2,596

1,919

35%

20,190

14,017

44%

TOTAL DIRECT COSTS

345,696

340,367

2,840

736

286%

64,697

57,094

13%

413,233

398,197

F&A Costs

122,173

120,928

299

145

106%

7,556

6,424

18%

130,028

127,497

$467,869

$461,295

$3,139

$881

256%

$72,253

$63,518

14%

$543,261

$525,694

Subtotal Salaries

TOTAL

Table 7 Expenditures by Detailed Cost Category and Sponsor Type â&#x20AC;&#x201C; FY09 and FY08 (000s)

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

School of Medicine DETAILED COST CATEGORY FY09

Arts & Sciences

$ Change from FY8

FY09

School of Engineering

$ Change from FY08

FY09

$ Change from FY08

GWB School of Social Work $ Change from FY08

FY09

Other Schools $ Change from FY08

FY09

Total University

FY09

$ Change from FY08

Academic Salaries

66,608

2,217

6,934

344

4,303

2,244

1,096

180

(68)

80,269

3,624

Staff Salaries

80,266

4,392

3,605

(71)

809

2,693

1,132

1,309

88,682

5,580

Grad Assistant

14,792

391

5,547

726

4,178

(399)

574

524

381

25,472

1,314

161,666

7,000

16,086

999

9,290

(335)

5,511

2,752

1,870

102

194,423

10,518

Fringe Benefits Stipends/Health Allowance Consultants

36,077

1,707

2,792

173

1,164

(2)

906

424

130

41,069

2,314

14,134

(946)

1,337

(260)

664

325

(94)

16,460

(1,236)

837

(10)

417

(75)

146

(5)

286

108

(36)

1,794

(119)

Consumable Supplies

46,256

(1,767)

1,693

(136)

1,105

212

(7)

49,164

(1,689)

Other

41,235

1,709

2,785

236

240

(412)

843

(140)

2,522

271

47,625

1,664

Travel

4,088

557

1,347

460

(47)

260

(17)

(66)

6,221

449

Subcontracts

31,045

(945)

2,479

(1,453)

1,211

120

677

(1,575)

875

815

36,287

(3,038)

Equipment

15,087

3,843

4,083

2,287

1,020

20,190

6,173

TOTAL DIRECT COSTS

350,425

11,148

33,019

1,793

15,300

(362)

8,906

1,350

5,583

1,107

413,233

15,036

F&A Costs

110,520

1,297

10,237

6,201

(205)

2,625

1,335

445

130,028

2,531

$460,945

$12,445

$43,256

$1,885

$21,501

($567)

$11,531

$2,685

$6,028

$1,119

$543,261

$17,567

Subtotal Salaries

TOTAL

Table 8 Expenditures by Detailed Cost Category and School â&#x20AC;&#x201C; FY09 (000s)

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

Figure 7

Figure 8

Expenditures by School – FY05 – FY09 (000s)

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

F&A RATE PERCENTAGES 54% / 53% /52.5%

26%

25.8%

OTHER

FY09

FY08

FY09

FY08

FY09

FY08

FY09

FY08

FY09

$95,656

$94,114

$1,930

$2,589

$7,963

$6,656

$2,050

$2,099

$1,055

4,064

4,618

109

345

1,256

USDE

216

146

NASA

2,402

2,359

DOD

1,910

2,276

102

141

EPA

168

DHHS OTHER

1,231

704

210

171

DOE

1,084

933

114

233

102

FEDERAL AGENCIES NIH NSF

DHHS HRSA USDA OTHER TOTAL FEDERAL OTHER GOVERNMENT PRIVATE SOURCES INDUSTRY FOUNDATIONS & TRUSTS VOL HEALTH OTHER TOTAL PRIVATE TOTAL

Total F&A Costs

FY08

FY09

FY08

$989

$108,654

$106,447

4,627

6,067

238

233

550

449

2,438

2,384

130

2,147

2,443

168

1,558

994

100

1,198

1,033

349

289

184

731

630

126

158

241

106,958

105,563

2,955

3,493

8,308

7,926

2,225

2,268

1,727

1,678

122,173

120,928

272

129

299

145

577

529

2,270

2,035

2,868

2,603

127

2,839

2,255

3,009

2,393

720

676

764

688

817

649

915

740

753

650

132

130

6,646

5,615

7,556

6,424

$107,711

$106,213

$3,002

$3,533

$8,308

$7,926

$2,362

$2,403

$8,645

$7,422

$130,028

$127,497

Table 9 F&A Expenditures (Recovery) by Sponsor Type and F&A Rate – FY09 and FY08 (000s) 78

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

FY09

FEDERAL AGENCIES NIH NSF

FY08

DIRECT AGREEMENTS

SUB AGREEMENTS

$100,177

$8,477

CHANGE

DIRECT AGREEMENTS

SUB AGREEMENTS

$108,654

$98,762

TOTAL

$7,685

$106,447

$2,207

4,256

371

4,627

5,686

381

6,067

(1,440)

-24%

USDE

454

550

381

449

101

22%

NASA

2,040

398

2,438

1,886

498

2,384

DOD

1,566

581

2,147

1,957

486

2,443

(296)

-12%

EPA DHHS OTHER DOE DHHS HRSA USDA

131

168

(92)

-55%

988

570

1,558

867

127

994

564

57%

1,007

191

1,198

821

212

1,033

165

16%

515

216

731

478

152

630

101

16%

(36)

-50%

101

158

145

241

(83)

-34%

111,124

11,049

122,173

111,073

9,855

120,928

1,245

299

145

154

106%

2,868

2,602

266

10%

3,009

2,393

616

26%

VOL HEALTH

764

689

11%

OTHER

915

740

175

24%

7,556

6,424

1,132

18%

$118,979

$11,049

$130,028

$117,642

$9,855

$127,497

$2,531

OTHER TOTAL FEDERAL OTHER GOVERNMENT PRIVATE SOURCES INDUSTRY FOUNDATIONS & TRUSTS

TOTAL PRIVATE TOTAL

Table 10 F&A Expenditures (Recovery) by Sponsor Type and Agreement Type – FY09 and FY08 (000s) 79

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

School of Medicine FEDERAL AGENCIES

Arts & Sciences

$ Change from FY08

FY09

$ Change from FY08

FY09

School of Engineering

GWB School of Social Work

$ Change from FY08

FY09

$ Change from FY08

FY09

Other Schools $ Change from FY08

FY09

Total University

FY09

$ Change from FY08

NIH

$380,674

$8,604

$13,600

$579

$9,779

$525

$5,519

$1,989

$164

($92)

$409,736

$11,605

NSF

3,532

(6,118)

9,450

(1,666)

5,380

(529)

135

353

18,850

(8,175)

USDE

679

1,550

(16)

(20)

4,111

385

6,494

466

NASA

103

(79)

8,504

1,680

662

(68)

9,269

1,533

DOD

4,717

(663)

276

(189)

2,151

(29)

7,144

(881)

EPA

225

(388)

235

(381)

4,251

180

1,779

1,592

6,061

1,784

632

424

3,092

(10)

542

4,308

459

4,496

618

4,552

674

(78)

(32)

(59)

271

(169)

OTHER

168

(143)

611

(103)

(112)

134

(32)

949

(383)

TOTAL FEDERAL

$399,336

$2,840

$37,181

$250

$18,947

($623)

$7,601

$3,758

$4,804

$307

$467,869

$6,532

DHHS OTHER DOE DHHS HRSA USDA

Table 11 Federal Expenditures by Agency and School â&#x20AC;&#x201C; FY09 (000s)

OVCR Annual Report Fiscal Year 2009 Sponsored Research Expense

School of Medicine DETAILED COST CATEGORY

$ Change from FY08

FY09 Academic Salaries

Arts & Sciences

FY09

School of Engineering

$ Change from FY08

FY09

$ Change from FY08

GWB School of Social Work

Other Schools

Total University

$ Change from FY08

FY09

$14,840

$416

$2,175

$40

$155

$39

$146

$98

($6)

$17,321

$587

1,701

(2,047)

(11)

(1)

(8)

1,833

(2,075)

381

(101)

(80)

427

(148)

16,922

(1,732)

2,230

(51)

199

158

(14)

19,581

(1,636)

Fringe Benefits Stipends/Health Allowance Consultants

2,956

(413)

428

(1)

3,455

(388)

(53)

(1)

(51)

(4)

(3)

Consumable Supplies

2,921

(3,263)

(12)

2,978

(3,239)

Other

783

(834)

(59)

(120)

(1)

(15)

854

(1,029)

Travel

(21)

(2)

(20)

(18)

335

(937)

132

467

(913)

23,996

(7,275)

2,905

(39)

263

(49)

185

(30)

27,440

(7,297)

8,081

(7)

1,187

108

(8)

9,466

139

$32,077

($7,282)

$4,092

$18

$371

($4)

$265

$148

$101

($38)

$36,906

($7,158)

Staff Salaries Grad Assistant Subtotal Salaries

Subcontracts Equipment TOTAL DIRECT COSTS F&A Costs TOTAL

Table 12 Cost-Sharing Expenditures by Detailed Cost Category and School â&#x20AC;&#x201C; FY09 (000s) 81

OVCR Annual Report Fiscal Year 2009 Appendix 1 Appendix 1 Changes in Business Rules and Accounting Methods Affecting Historical Data in Annual Reports Sponsored Research An analysis conducted in 2005 showed that the “new award” data provided in past years actually contained totals for both new fiscal year dollars awarded and carried forward award dollars from the previous fiscal year. Essentially, this resulted in a report of dollars that were actually “available award dollars” rather than newly awarded dollars for each of the fiscal years. Beginning with the Fiscal Year 2005 Annual Report, Tables 1 – 11 in Sponsored Research have been modified to reflect only new dollars. Office of Technology Management (OTM) In FY06, OTM implemented a new database, Knowledge Sharing System (KSS), which resulted in numerous re-classifications of the historic results for OTM. Additionally, in FY08, OTM upgraded and implemented many modifications and improvements in KSS. As a result, the OTM non-revenue results reported in the FY07 Annual Report are different than what is provided in the FY08 and FY09 Annual Reports.

OVCR Annual Report Fiscal Year 2009 Appendix 2

Appendix 2 Historical Trends in Federal Research & Development (R&D) Funding This appendix to the OVCR Annual Report contains information regarding trends in federal and foundation research funding and is compiled from various sources, including data from sponsoring agencies, publications, and presentations from members of the research community. Many of the charts and graphs following are based on data collected by the NIH, NSF, or the American Association for the Advancement of Science (AAAS). Please see the “Works Cited” page at the end of Appendix 2 for more information. While every effort was made to provide the most recent information, in many cases, there is lag time between receipt of data and the reporting available from the data. Historically, agency information in the forms of tables and charts has been available as many as two years behind Washington University’s (WU) fiscal year. Therefore, although this report reflects WU funding and expenditures for FY09, data from external sources such as NIH or the NSF survey may be from its 2007 fiscal year and 2009 reported information is usually based on estimates relative to federal budget actions. Additionally, an agency’s latest fiscal year information may be designated as “preliminary”. The tables and graphs within this Appendix present an overall realistic trend analysis and subsequent conclusions regarding research funding in the past and present. Some future funding scenarios are also discussed here.

OVCR Annual Report Fiscal Year 2009 Appendix 2 TREND: Continued Decline in R&D Funding by the Federal Government. According to the American Association for the Advancement of Science (AAAS), total Research and Development activity as reflected as a percentage of Gross Domestic Product (GDP) has declined since the mid 1970s. The AAAS reports that: “Although high-priority investments in physical sciences research, weapons development, and human space exploration help to keep the federal R&D outlook brighter than the bleak outlook for domestic programs overall, the FY 2009 budget continues the recent trends of declining federal support for research. Federal support for research is now in decline, with potential gains in the physical sciences more than offset by eroding support for biomedical research and other disciplines. The 2009 budget would continue the downward slide in federal research funding and leave the federal research portfolio 9.1 percent below the 2004 level in inflation-adjusted dollars.” (AAAS, 2009, http://www.aaas.org/spp/rd/guihist.htm) The following chart depicts Research and Development funding trends as a percentage of GDP (AAAS, 2008, http://www.aaas.org/spp/rd/trrdgdp09.pdf). The figures represented do not take into account the American Recovery and Reinvestment Act (ARRA or “stimulus”) funding activity that began in March and April of 2009.

OVCR Annual Report Fiscal Year 2009 Appendix 2 Biomedical research funding from the National Institutes of Health (NIH) increased dramatically as part of NIHâ&#x20AC;&#x2122;s doubling, which ended in 2005 and has been declining since. The following chart from AAAS depicts funding trends from 1970 through 2007 by discipline (AAAS, 2008, http://www.aaas.org/spp/rd/discip07.pdf).

OVCR Annual Report Fiscal Year 2009 Appendix 2 The following chart shows funding trends in basic and applied research by federal agencies, including estimates of 2009 appropriations, and shows the anticipated fiscal impact of ARRA awards made in federal FY 2009 (AAAS, 2008, http://www.aaas.org/spp/rd/trres09c.pdf). Note: Because WUâ&#x20AC;&#x2122;s FY09 covers a different time period than the federal fiscal year 2009, the full impact of ARRA funding will be much more visible in WUâ&#x20AC;&#x2122;s FY10 OVCR Annual Report.

OVCR Annual Report Fiscal Year 2009 Appendix 2

In FY 2007, the latest year that NSF survey data is available, overall R&D expenditures were up approximately 5.8% over fiscal year 2006. Nearly all of this increase was due to larger R&D expenditures by industry while the federal government’s overall spending on R&D declined in real dollar terms in 2007. This significant disparity can be seen in the NSF “Source of Funds” figures shown here (National Science Foundation [NSF], 2008, http://www.nsf.gov/statistics/infbrief/nsf08317/).

OVCR Annual Report Fiscal Year 2009 Appendix 2 TREND: Declining Success Ratios and Increased Awards for Early Stage Investigators at NIH Success rates on RO1-type grant applications at NIH have been declining. The FY 2009 estimated success rate is 18%, down from 19% in FY 2008 and 21% in FY 2007 (http://report.nih.gov/nihdatabook/Charts/SlideGen.aspx?chartId=29&catId=2). NIHâ&#x20AC;&#x2122;s 2009 Strategic Priorities include increasing support for 1,500 new or early stage investigators.

OVCR Annual Report Fiscal Year 2009 Appendix 2 As the chart below illustrates, the gap in success rate between first-time and established investigators has decreased in the last few years. In a presentation to the Council on Governmental Relations (COGR) in October, 2009, Dr. Francis Collins, Director, National Institutes of Health, stated that the NIH has made significant progress toward this goal with â&#x20AC;&#x153;youngâ&#x20AC;? investigators now enjoying similar success rates to more seasoned investigators.

OVCR Annual Report Fiscal Year 2009 Appendix 2

Trend: Changes to the NIH Peer Review Process and Limitations on Resubmissions In March 2008, NIH released a report on peer review processes and began implementing some of its recommendations. In an attempt to improve the quality of first resubmissions, remove delays in funding meritorious science, and to reduce the burden of multiple submissions, in NOT-09-003, NIH limited the number of resubmissions allowed to one. NIH also changed its scoring systems to a 9point scale and, effective January 2010, will utilize the new, shorter required grant application format (NIH, March 2008, http://enhancing-peer-review.nih.gov/).

OVCR Annual Report Fiscal Year 2009 Appendix 2 Trend: Base NIH Budgets Remain Relatively Flat When adjusted for inflationary increases in cost, base NIH budgets have remained relatively flat. NIH received a 1.7% increase in budget for federal FY 2009 and a 2.3% increase for FY 2010. Appropriations by NIH since 2000 are summarized in the chart shown here (NIH, http://officeofbudget.od.nih.gov/pdfs/FY10/Copy%20of%20Apphisic.pdf).

OVCR Annual Report Fiscal Year 2009 Appendix 2

The summary of funding by NIH Division is shown on the table below (AAAS, http://www.aaas.org/spp/rd/fy2010/nih10c.pdf). Note that Environmental Health Services received a larger than average increase (4.1%). Although funding remains flat, NIHâ&#x20AC;&#x2122;s strategic priorities for FY 2009 included increased funding to the Bridge Award Bridge Award Program and the Common Fund/Roadmap. NIH is also in the process of removing barriers to human stem cell research by including additional cell lines to be identified in December 2009.

OVCR Annual Report Fiscal Year 2009 Appendix 2 Trend: Future Increases for National Science Foundation and Department of Energy under the America Competes Act According to the Congressional Research Service, the president’s FY 2010 budget requests a 0.4% increase from the estimated FY 2009 R&D funding levels. Six agencies will receive 95.1% of total federal R&D spending: The Department of Defense (54.0%), Department of Health and Human Services (21%), NASA (7.7%), Department of Energy (7.3%), National Science Foundation (3.6%), and the Department of Agriculture (1.5%). The president’s requested budget includes $30.9B for basic research (a $1B, or 3.4%, increase) and a 2.2% decline in applied research spending with slight increases for development (.2%) and R&D facilities (.3%) Three multiagency R&D initiatives are included in the presidential budget: National Nanotechnology Initiative ($1.6 Billion), Networking and Information Technology R&D Program ($3.9 Billion) and Climate Change Science Program ($2B). The budget also includes increases for Energy, NSF and NIST (Open CRS, November 2009, http://opencrs.com/document/R40710/). The 2010 budgets for NSF, NASA, Commerce and HHS were signed by the President on December 16, 2009. AAAS has summarized budgetary actions on the charts shown here ( http://www.aaas.org/spp/rd/nsfdir09p.pdf) and on the following page ( http://www.aaas.org/spp/rd/fy2010/nsf10c.pdf). National Science Foundation. The NSF 2010 budget includes a 6.7% increase in appropriations from 2009, with the largest increases in Geosciences and Integrative Activities, along with a large jump in funding for the NSF Inspector General’s office (16.7%). Major Research Equipment and Facilities is significantly reduced.

OVCR Annual Report Fiscal Year 2009 Appendix 2

NASA. NASAâ&#x20AC;&#x2122;s FY 2010 R&D budget includes a 4.9% increase from FY 2009. All areas of science appear to include increases with the exception of Astrophysics (AAAS, http://www.aaas.org/spp/rd/fy2010/nasa10c.pdf)

OVCR Annual Report Fiscal Year 2009 Appendix 2 Department of Energy. The DOE FY 2010 budget was signed by the president on October 28, 2009 with R&D increases of 4.8% in Defense, 2.4% in General Science and 9.1% in Energy research. Fossil Energy R&D was reduced by 17.5% from the federal 2009 Fiscal Year (AAAS, February 2008, http://www.aaas.org/spp/rd/doeos09p.pdf).

OVCR Annual Report Fiscal Year 2009 Appendix 2

AAAS, October 2009, http://www.aaas.org/spp/rd/fy2010/doe10c.pdf 97

OVCR Annual Report Fiscal Year 2009 Appendix 2 TREND: Reduced or Flat Foundation Support for Research The current economic situation has made it very difficult for foundations to increase their research support. According to the Foundation Center, foundation assets declined by 21.9% in 2008, and, although overall foundation giving rose in 2008 by an estimated 2.8 percent, years 2009 and 2010 are expected to see a decrease in funding by as much as 8 to 13 percent. For additional information, see “Highlights of Foundation Yearbook” (Foundation Center, http://foundationcenter.org/gainknowledge/research/pdf/fy2009_highlights.pdf). TREND: Economic Stimulus R&D Funding The American Recovery and Reinvestment Act of 2009 (ARRA) will provide approximately $21 billion for scientific research and development. During a speech at the National Academy of Sciences on April 27th, 2009, President Obama stated: “At such a difficult moment, there are those who say we cannot afford to invest in science. That support for research is somehow a luxury at a moment defined by necessities. I fundamentally disagree. Science is more essential for our prosperity, our security, our health, our environment, and our quality of life than it has ever been.” (Science Works For Us, 2009, http://scienceworksforus.org/about-us/welcome-to-scienceworksforus-2) NIH received the largest portion of ARRA research funds ($10.4 billion) followed by the NSF ($3 billion), the Department of Energy ($1.6 Billion for the Office of Science and $0.4 billion for the new Advanced Research Projects Agency for Energy [ARPA-E]. The influx of research funding under ARRA is welcome support. However, there is concern among many in the research community about sustainability for future funding and the difficulties that could be faced if there is a “post-burst hangover” (Freeman, 2009). Additional information regarding ARRA funding can be found at the following sites: www.recovery.gov http://research.wustl.edu/arra/Pages/default.aspx www.ScienceWorksForUS.org

OVCR Annual Report Fiscal Year 2009 Appendix 2 Works Cited American Association for the Advancement of Science (2009). Programs, Science & Policy, R&D Budget and Policy Program, Guide to R&D Funding Data â&#x20AC;&#x201C; Historical Data, Current Headlines, Federal Research Investments Continue to Decline in 2009 Budget. Retrieved December 1, 2009, from the AAAS website: http://www.aaas.org/spp/rd/guihist.htm. American Association for the Advancement of Science (2009). Trends in Federal R&D as % of GDP, FY 1976-2009. Retrieved December 1, 2009, from the AAAS website: http://www.aaas.org/spp/rd/trrdgdp09.pdf. American Association for the Advancement of Science (2009). Trends in Federal Research by Discipline, FY 1970-2007. Retrieved December 1, 2009, from the AAAS website: http://www.aaas.org/spp/rd/discip07.pdf. American Association for the Advancement of Science (February 2009). Trends in Research by Agency, FY 1976-2009. Retrieved December 1, 2009, from the AAAS website: http://www.aaas.org/spp/rd/trres09c.pdf. American Association for the Advancement of Science (February 2008). NSF Budget by Directorate, FY 1998-2009. Retrieved December 1, 2009, from the AAAS website: http://www.aaas.org/spp/rd/nsfdir09p.pdf. American Association for the Advancement of Science (December 2009). National Science Foundation Congressional Action on R&D in the FY 2010 Budget. Retrieved December 1, 2009, from the AAAS website: http://www.aaas.org/spp/rd/fy2010/nsf10c.pdf. American Association for the Advancement of Science (December 2009). National Aeronautics and Space Administration Congressional Action on R&D in the FY 2010 Budget. Retrieved December 1, 2009, from the AAAS website: http://www.aaas.org/spp/rd/fy2010/nasa10c.pdf). American Association for the Advancement of Science (February 2008). DOE Office of Science Budget, FY 2000-2010. Retrieved December 1, 2009, from the AAAS website: http://www.aaas.org/spp/rd/doeos09p.pdf).

OVCR Annual Report Fiscal Year 2009 Appendix 2 Works Cited (continued)

American Association for the Advancement of Science (October 2009). DOE Office of Science Budget, FY 2000-2010. Retrieved December 1, 2009, from the AAAS website: http://www.aaas.org/spp/rd/fy2010/doe10c.pdf. American Association for the Advancement of Science (December 2009). National Institutes of Health Congressional Action on R&D in the FY 2010 Budget. Retrieved December 1, 2009, from the AAAS website: http://www.aaas.org/spp/rd/fy2010/nih10c.pdf. Foundation Center (2009 Edition). Highlights of Foundation Yearbook. Retrieved January 15, 2010, from the Foundation Center website: http://foundationcenter.org/gainknowledge/research/pdf/fy2009_highlights.pdf. Freeman, R. (2009). Is the stimulus working for you? Nature, 461, 1. Retrieved December 1, 2009, from http://www.nature.com/nature/journal/v461/n7266/pdf/461876a.pdf. National Institutes of Health (March 2008). Enhancing Peer Review at NIH. Retrieved December 1, 2009, from the NIH website: http://enhancing-peer-review.nih.gov/. National Institutes of Health (2009). History of Congressional Appropriations, Fiscal Years 2000-2009. Retrieved January 15, 2010, from the NIH website: http://officeofbudget.od.nih.gov/pdfs/FY10/Copy%20of%20Apphisic.pdf. National Science Foundation (August 2008). Division of Science Resources Statistics. National Patterns of R&D Resources. Retrieved December 1, 2009, from the NSF website: http://www.nsf.gov/statistics/infbrief/nsf08317/. Open CRS (November 2009). Federal Research and Development Funding: FY2010. Retrieved December 1, 2009, from the OpenCRS website: http://opencrs.com/document/R40710/. Science Works For Us (2009). About Us. Retrieved December 1, 2009, from the ScienceWorksForUS website: http://scienceworksforus.org/about-us/welcome-to-scienceworksforus-2.

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