FY07 Annual Report

F I S C A L Y E A R

annual reportOffice of the Vice Chancellor for Research

January 1, 2008 Dear Colleagues, I am pleased to present the Office of the Vice Chancellor for Research (OVCR) fiscal year 2007 Annual Report. Research is one of Washington University’s core missions, an extraordinary enterprise with global impact. The Office of the Vice Chancellor for Research promotes and supports Washington University investigators in this mission as they seek funding sponsors, conduct world-class research, and share their research results through publication and commercialization for the use and benefit of the public. Mark S. Wrighton, Chancellor of Washington University, has said, “We believe we have a responsibility to meet national and global imperatives in energy, environment, security, health and economic prosperity.” Through innovative research, the University will contribute to the creation of new knowledge needed to achieve a bright and sustainable future and will foster collaborations regionally, nationally and internationally to bring about rapid progress.

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

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

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

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Table of Contents

Sponsored Research

Sponsored Research Executive Summary ......................................................................... 1

Notable Achievements for Fiscal Year 2007................................................................. 3 Funding History by Sponsor Type – FY03 to FY07

Figure 1 Funding History by Sponsor Type .............................................................. 6 Table 1 Funding History by Sponsor Type .............................................................. 6 Figure 2 Federal Funding ......................................................................................... 7 Figure 3 State, Local, and International Government Funding ................................ 8 Figure 4 Private Funding .......................................................................................... 9

Funding History by School – FY03 to FY07 Figure 5 Arts & Sciences ........................................................................................ 10 Figure 6 Engineering .............................................................................................. 10 Figure 7 Medicine ................................................................................................... 10 Figure 8 Social Work .............................................................................................. 10 Table 2 Funding History by School ....................................................................... 10

Award Dollar Analysis – FY07 vs. FY06 Table 3 Award Dollars by School and Cost Category ........................................... 11 Table 4 Award Dollars by School or Department and Project Type ..................... 12 Award Dollars by School ............................................................................................. 13 Figure 9 Award Summary by Sponsor Type .......................................................... 14 Table 5 Award Dollars by Sponsor Type and Cost Category ............................... 15 Table 6 Award Dollars by Sponsor and Cost Category ........................................ 16 Table 7 Federal Award Dollars by Sponsor and School ....................................... 17 Table 8 Award Dollars by School and Sponsor Type ........................................... 18 Table 9 School of Arts & Sciences – Award Dollars by Department and Sponsor Type ...................................................................................... 19 Table 10 School of Engineering – Award Dollars by Department and Sponsor Type ...................................................................................... 20 Table 11 School of Medicine – Award Dollars by Department and Sponsor Type ...................................................................................... 21

Office of Technology Management

Office of Technology Management Executive Summary .................................................. 22

Technology Highlights for Fiscal Year 2007 ............................................................... 23

Invention Disclosures – FY03 to FY07 Table 1 Invention Disclosures by School .............................................................. 25 Figure 1 Invention Disclosures by School .............................................................. 25 Table 2 Invention Disclosures by Department ...................................................... 26

Patent Applications – FY03 to FY07

Table 3 US Patent Applications by School ............................................................ 28 Figure 2 US Patent Applications by School ............................................................ 28 Table 4 US Patent Applications by Department .................................................... 29

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Licenses Licenses .................................................................................................................. 30 Table 5 Licenses by School – FY03 to FY07 ........................................................ 31 Figure 3 Revenue Generating License Agreements – FY03 to FY07 ................... 31 Table 6 Licenses by Department – FY03 to FY07 ................................................ 32 Table 7 License Type by Department – FY07....................................................... 33

License Revenue Table 8 License Revenue by School – FY03 to FY07 ......................................... 34 Figure 4 License Revenue by School – FY03 to FY07 .......................................... 34 Table 9 License Revenue by School – FY07 ........................................................ 35 Table 10 License Revenue – FY03 to FY07 ........................................................... 36

Industry Sponsored Research Agreements – FY04 to FY07 Table 11 Industry Sponsored Agreements by School ............................................. 37 Figure 5 Industry Sponsored Agreements by School ............................................. 37 Table 12 Industry Sponsored Agreements by Department. .................................... 38

Other Agreements Table 13 Other Agreements by Department – FY07 .............................................. 39

Material Transfer Agreements Table 14 Material Transfer Agreements by Department – FY05 to FY07 .............. 40

Industry Sponsored Clinical Trials

Industry Sponsored Clinical Trials Executive Summary ................................................... 41

Figure 1 Industry Sponsored Clinical Trials by Department of the School of Medicine ............................................................................... 44 Figure 2 Industry Sponsored Clinical Trials by Division of the Department of Internal Medicine .......................................................... 45 Figure 3 New Contracts Completed – FY07-FY05 ................................................. 46

Sponsored Research Expense

Sponsored Research Expense Executive Summary ........................................................ 47

Direct and F&A Expenditures – FY07 and FY06 Table 1 By Sponsor Type ...................................................................................... 51 Table 2 By School and Cost Category .................................................................. 52 Table 3 By School and Project Type ..................................................................... 53

Expenditures Table 4 By Sponsor and Agreement Type – FY07 and FY06 ............................. 54 Figs. 1-3 By Sponsor Type – FY03 to FY07 ........................................................... 55 Table 5 By Sponsor and Project Type – FY07 and FY06 ..................................... 56 Figs. 4-6 By Project Type – FY03 to FY07 .............................................................. 57 Table 6 By Sponsor Type and School – FY07 and FY06 ..................................... 58 Table 7 By Detailed Cost Category and Sponsor Type – FY07 and FY06 ........... 59 Table 8 By Detailed Cost Category and School – FY07 ....................................... 60 Figs. 7-8 Expenditures by School – FY03 to FY07 ................................................. 61

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F&A Expenditures (Recovery)

Table 9 By Sponsor and F&A Rate – FY07 and FY06.......................................... 62 Table 10 By Sponsor and Agreement Type – FY07 and FY06 .............................. 63 Table 11 By Federal Agency and School – FY07 ................................................... 64 Table 12 By Detailed Cost Category and School – FY07 ....................................... 65

Appendix 1: Changes in Business Rules and Historical Trend Data ..................................... 66 Appendix 2: Trends in Federal Research Funding ................................................................ 67

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Sponsored Research Executive Summary

This report presents an overview of external funding for sponsored projects at Washington University (WU) during the University’s fiscal year of 2007 (FY07). All references within Tables and Figures to ―Fiscal Year‖ are to Washington University’s fiscal year, which begins on July 1 and ends on June 30 of the following year. The awards reported within are those with start dates on or between July 1, 2006 and June 30, 2007, and the associated funds represent new money only (i.e., no carry-over funds from year to year for the same grant award are included). In some instances, there are references to an agency’s fiscal year (e.g., NIH-FY05), due to the fact that the fiscal years of agencies such as the National Institutes of Health (NIH) and the National Science Foundation (NSF) do not coincide with that of Washington University’s. Federal Agency Funding

During FY07, funding for Washington University’s sponsored programs totaled $537.5 million, a decrease of 1.6% from FY06. Federal award dollars decreased by 1.7% or about $7.9M during FY07. Regardless of difficult budget issues in Washington, federal agency support continues to be the University’s leading source of award dollars, constituting 83% of total sponsored funding to Washington University in FY07. Key Federal Research Sponsors

The number one federal sponsor of University research is the National Institutes of Health (NIH). Its total award obligation of $390M to WU (2.2% less than the previous fiscal year) represents 72% of WU’s total sponsored project funding and 88% of its federal dollars. The NIH award counts for both the Medical School and the Danforth campus were up in FY07, but the dollars represented by those awards are less than in previous years. Medical School NIH award dollars were down by 3.4% in FY07 compared to the prior year, even with the large-scale genome grant contributing more dollars in FY07 ($44M) than in FY06 ($41M). Federal direct costs increased by about $1M (.34%) in FY07, but federal Facility and Administrative (F&A) costs decreased by $13.6M (11%). The F&A dollars were down primarily due to a lower F&A rate for the Genome Sequencing Center. Effective July 1, 2006, the F&A rate for these federal sponsored funds dropped from 53% (for FY06) to 25.8% (for FY07). The Large-Scale Genome Sequencing project (NIH) and the Sequencing the Maize Genome project (NSF) awards (FY07) were directly impacted by this decrease in F&A. The National Science Foundation (NSF) remains the number two federal sponsor of University research with $33.4M, a 10.8% increase (almost $3.3M) over FY06. Major awards contributing to the increase include approximately $13.4M to the Medical School for the Sequencing the Maize Genome project; a $1.5M award to the Education Department (Urban-Focused Science, Technology & Math Pedagogy Model); and $1.5M awarded to the Biology Department (The Evolutionary Genomics of Invasive Weedy Rice).

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The largest percent increase from a federal agency was the 175.5% jump in Department of Education funding (an increase of about $2.6M). Approximately $2.9M was awarded to the Psychology Department for a project entitled ―Test Enhanced Learning in the Classroom.‖ Department of Labor funding to WU decreased by 36.2% ($1.2M) in FY07. The major contributing factor to that decrease was the expiration of a $1.7M grant. National Aeronautics and Space Administration (NASA) funding to WU decreased nearly $4M (45.4%) from FY06 ($8.7M) to FY07 ($4.7). A major factor contributing to the significant decrease in funding is NASA’s overall decrease in obligations to research institutions by 15%-20%, affecting years 2 and 3 of some grants. Other factors include the conclusion of the MARGINS Office (NSF) grant and the departure of two faculty members from the Earth and Planetary Science Department. Total Department of Defense (DOD) funding in FY06 was $2.6M and in FY07 was $3.6M, an increase of approximately $1M. In FY06, total DOD funding for the Medical School was $124,000. Total DOD funding for the Medical School in FY07 was $1.9M, an increase of 1444.4%. The dramatic increase is largely due to the Medical School receiving three new awards from the Department of Defense-US Army, totaling approximately $1M. DOD funding for Arts and Sciences decreased from $359,000 in FY07 to $348,000 in FY06, a decrease of 3.1%. DOD funding for the School of Engineering decreased from $2.1M in FY06 to $1.4M in FY07, a decrease of 35.8%. Table 6 (page 16) lists the different sponsoring agencies with dollar volume and change from FY06 to FY07. Private Sources: Industry and Non-Profit Sponsor Support

There has been a trend toward an increase overall of private funding for research over the past few years. Support from private industry rose 20.6% in FY07, an increase of almost $2.7M. A major contributor to this increase is the $1.5M award from Battelle Pacific Northwestern Division to the Biology Department for a project entitled ―Systems Analysis of Membrane Processes in Cytobacterium.‖ Funding from private non-profit dollars decreased slightly by 2.8% (about $1.7M) in FY07 compared to the previous year. Rankings of Top Institutions Receiving Funding

Effective FY06, NIH has stopped providing ranking data and now is providing data by state. A review of preliminary data by State, from NIH for its Fiscal Year 2007 indicates that Washington University continues to have major impact upon Missouri’s economy, accounting for nearly 80% of the federal research funding dollars awarded to Missouri universities and institutions.

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

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

http://www.cmi.wustl.edu/nanosynthesis.html

http://www.cmi.wustl.edu/magnetics.html

http://www.cmi.wustl.edu/biomaterials.html

http://www.cmi.wustl.edu/energy.html

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

http://icts.im.wustl.edu/partners.html

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

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Funding History by Sponsor Type – FY03 to FY07†

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

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Figure 1

Funding History by Sponsor Type †

Federal State/Local/Int'l Private

Table 1

Funding History by Sponsor Type † (000s)


Federal 397,375 437,230 432,779 451,874 444,018

State/Local/Int'l 14,953 17,301 17,133 18,712 16,765

Private 51,085 55,685 66,821 75,738 76,691

TOTAL 463,413 510,216 516,733 546,324 537,474

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

Beginning in 2005, business rules for reporting were changed to avoid including dollars

approved by sponsors to be carried over from the previous award period. For a full explanation, please refer to Appendix 1. Five year trend tables have been adjusted accordingly.

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

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Figure 2

Federal Funding - FY03 to FY07

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Beginning in 2005, business rules for reporting were changed to avoid including dollars approved by

sponsors to be carried over from the previous award period. For a full explanation, please refer to Appendix 1. Five year trend tables have been adjusted accordingly.

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State, Local, and International (or “Other Government”) Funding This category most often includes state universities whose subcontracts to WU are funded from their federal grants. It also includes funding from local entities such as the Missouri Department of Highways and Transportation (MODOT), the Missouri Department of Conservation and the City of St. Louis, as well as occasional funding from foreign governments, such as the Australian Research Council.

The decrease in state, government and international funding in FY07 is largely due to the fact that in FY06 a $2.8M subcontract (NIH-State Government) was awarded. In FY07, only $300,000 was awarded to the same subcontract (NIAID Inner-City Asthma Consortium Immunologic Approach).

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State, Local & International Government Funding - FY03 to FY07

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

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Private Funding - FY03 to FY07

Industry Non-Profit Total Private

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Funding History by School – FY03 to FY07†

Figures 5-8 and Table 2 illustrate the history of funding among the four research-intensive units of the university: the School of Arts and Sciences, the School of Engineering, the School of Medicine, and the George Warren Brown School of Social Work.

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Table 2 Funding History by School †

(000s)

School FY03 FY04 FY05 FY06 FY07

Arts & Sciences 38,353 43,102 42,693 41,390 44,007

Engineering 14,166 16,433 17,722 21,002 22,103

Medicine 402,973 443,558 447,727 472,635 464,444

Social Work 6,421 5,423 6,580 9,358 5,820

Other 1,500 1,700 2,011 1,938 1,099

Total 463,413 510,216 516,733 546,324 537,474

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

† Beginning in 2005, business rules for reporting were changed to avoid including dollars approved by sponsors to

be carried over from the previous award period. For a full explanation, please refer to Appendix 1. Five year trend tables have been adjusted accordingly.

Figure 5

School of Arts and Sciences

Figure 6

School of Engineering

Figure 7 School of Medicine

Figure 8

School of Social Work

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

Table 3 Award Dollars by School and Cost Category

FY07 and FY06 (000s)

Schools

FY07 FY06 Change

Award Count

Direct Costs

F&A Costs

Total

Award Count

Direct Costs

F&A Costs

Total Dollars %

Arts & Sciences 261 33,208 10,799 44,007 256 30,702 10,689 41,390 2,617 6.3%

Business 1 34 15 49 5 328 77 405 (356) -87.9%

Engineering 148 15,738 6,365 22,103 171 15,272 5,729 21,002 1,101 5.2%

Law 2 137 9 145 5 475 44 519 (374) -72.1%

Medicine 1,890 350,120 114,324 464,444 1,863 345,736 126,899 472,635 (8,191) -1.7%

Social Work 38 4,599 1,222 5,820 32 8,087 1,271 9,358 (3,538) -37.8%

Other Schools 19 807 98 905 9 918 96 1,015 (110) -10.8%

TOTAL 2,359 404,643 132,831 537,474 2,341 401,519 144,805 546,324 (8,850) -1.6%


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Award Dollars by School

The term ―Project Type‖ in Table 4 below refers to the distinct types of awards received by the University. Table 4 breaks award dollars into three categories: Research, Research Training and Other Sponsored Activities. Research projects are those activities whose principal focus is the discovery, verification, or even evaluation of new knowledge. Research training includes individual and institutional awards for the support of pre and postdoctoral trainees and fellows, plus institutional awards for graduate education. Other Sponsored Activities include projects such as scholarly conferences, equipment grants and community outreach programs.

Table 4 Award Dollars by School or Department and Project Type


School / Department

Research Research Training Other Sponsored

Activities TOTAL

FY07 FY06 FY07 FY06 FY07 FY06 FY07 FY06

Administration 233 326 0 0 611 616 844 942

Design & Visual Arts (1) 38 73 0 0 23 0 60 73

Arts & Sciences 38,911 36,782 2,119 3,474 2,977 1,134 44,007 41,390

Business 46 350 0 0 3 55 49 405

Engineering 21,324 19,687 392 390 388 925 22,103 21,002

Law 25 10 0 65 120 444 145 519

Medicine 428,805 436,978 20,130 19,900 15,509 15,757 464,444 472,635

Social Work 4,591 8,341 772 766 458 252 5,820 9,358

TOTAL 493,973 502,547 23,412 24,595 20,089 19,182 537,474 546,324

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

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Award Dollars by School

The following describes in more detail the activities and award dollars for four Schools: Arts and Sciences The number of awards to the College of Arts and Sciences increased from FY06 (256) to FY07 (261), and the dollars represented by those awards also increased by $2.6M (6.3%) from $41.4M in FY06 to $44M in FY07. Direct costs increased from $30.7M in FY06 to $33.2M in FY07. This increase is due in part to a large award of $2.9M to the Psychology Department from the U.S. Department of Education. Federal funding increased from $33.3M in FY06 to $34.7 M in FY07. Private non-profit funding also increased from $4.6M in FY06 to $5.3M in FY07. Private industry funding also increased from $2.6 in FY06 to $3.0M in FY07.

Engineering Although the number of awards to the School of Engineering decreased from FY06 (171) to FY07 (148), the dollars represented by those awards increased by $1M (5.2%) from FY06 ($21M) to FY07 ($22M). Direct costs increased slightly from $15.3M in FY06 to $15.7M in FY07. Federal grant awards increased $3.3M, from $13.5M in FY06 to $16.8M in FY07. NIH funding increased significantly, from $4.1M in FY06 to $7M in FY07, but NSF funding decreased from $6.7M in FY06 to $5.6M in FY07. Private industry funding decreased $0.6M from $2.2M in FY06 to $1.6M in FY07. Private non-profit sources decreased from $2.7M in FY06 to $1.6M in FY07.

Medical School The number of awards to the Medical School increased in FY07 from 1,863 in FY06 to 1,890 in FY07, but the dollars represented by those awards decreased by about $8.2M (1.7%), from $473M in FY06 to $464M in FY07. Direct costs increased slightly from $346M in FY06 to $350M in FY07. Recovery of F&A fell, 11.7% from FY06 ($127M) to FY07 ($114M), due in large part to a drop in the recovery rate (from 53% to 25.8%) for the large-scale genome sequencing grant, effective July 1, 2006. Two very large government awards were directly impacted by the decrease in the F&A. As a result, the Medical School experienced a decrease in total government dollars, from $400M in FY06 to $388M in FY07. Total non-government dollars increased from FY06 to FY07. Private industry funding increased from $8.1M in FY06 to $11M in FY07, and private non-profit funding increased from $48.8M in FY06 to $51.7M in FY07.

Social Work The number of awards to the George Warren Brown School of Social Work increased from FY06 (32) to FY07 (38), yet the dollars represented by those awards decreased by $3.5M (37.8%). In FY06 the School of Social work received a total $5.9M in awards from foundations ($4.7M from two major awards for $2.5 M and $2.2M each). Award data is impacted by these large, multiyear private awards where funding is provided up front. Though the work of these awards is spread over the course of several years, the full amount of the total award was registered entirely in one year (FY06). Thus annual award levels may vary significantly and do not necessarily reflect the amount of funding potentially available in any given fiscal year. In FY07, the School received $1.7M in awards from foundations. The School received $3.5M in Federal funding in FY06 and $4.2M in FY07. Direct costs were down from $8M in FY06 to $4.6M in FY07. F&A costs were also down from $1.27M in FY06 to $1.22M in FY07. The overhead limitations provided by sponsors, and in some cases, the sponsor’s prohibition against charging overhead to any amount of consortium expenditures, are constraints affecting the School of Social Work’s ability to recover overhead costs.

14

Award Summary by Sponsor Type

The graphs and tables in this section are presented to provide information about the sources of funding to the University, including:

All the sources from which the University receives funding.

The sectors from which the University receives the most funding – government, industry, and non-profit.

The federal agencies that provide the most support to the individual schools within the University.

The sponsors that have increased or decreased their investments in University research over the past fiscal year.

Figure 9 Award Summary by Sponsor Type


Notes: See next page for definitions of Sponsors.

FY06

30,167

62,71013,028

23,267

18,712398,441

NIH NSF Other Fed Other Gov't. Industry Non-profit

FY07

389,51816,765

21,061

15,708 60,983

33,439

NIH NSF Other Fed Other Gov't. Industry Non-profit

15


Table 5 Award Dollars by Sponsor Type and Cost Category


Sponsor

FY07 FY06

Direct Costs

% Total Direct

F&A

Costs

% Total F&A

Total

%

Total

Direct Costs

% Total Direct

F&A

Costs

% Total F&A

Total

%

Total

Federal 327,795 81.0 116,223 87.5 444,018 82.6 323,609 80.6 128,265 88.6 451,874 82.7

Other Govt. 11,882 2.9 4,884 3.7 16,765 3.1 12,980 3.2 5,732 4.0 18,712 3.4

Total Govt. 339,676 83.9 121,107 91.2 460,783 85.7 336,589 83.8 133,997 92.5 470,586 86.1

Industry 11,430 2.8 4,278 3.2 15,709 2.9 9,456 2.4 3,572 2.5 13,027 2.4

Nonprofit 53,536 13.2 7,446 5.6 60,982 11.3 55,474 13.8 7,236 5.0 62,710 11.5

Total Private 64,966 16.0 11,724 8.8 76,691 14.3 64,930 16.2 10,808 7.5 75,738 13.9

GRAND TOTAL 404,643 100.0 132,831 100.0 537,474 100.0 401,519 100.0 144,805 100.0 546,324 100.0


16


Table 6

Award Dollars by Sponsor and Cost Category FY07 and FY06

(000s)

Sponsor

FY07 FY06

Change

Direct Costs

F&A Costs

Total

Direct Costs

F&A Costs

Total Dollars %

FEDERAL AGENCIES

NIH 286,161 103,357 389,518 283,915 114,526 398,441 (8,923) -2.2%

NSF 26,175 7,264 33,439 22,521 7,646 30,167 3,272 10.8%

NASA 3,199 1,572 4,771 6,393 2,347 8,740 (3,969) -45.4%

DOD 2,479 1153 3,633 1,813 803 2,616 1,017 38.9%

EPA 171 84 255 (42) 155 113 142 125.7%

EDUC 3,227 815 4,042 1,402 65 1,467 2,575 175.5%

DOE 1,648 713 2,361 2,170 1,012 3,182 (821) -25.8%

DHHS HRSA 2,016 455 2,471 1,639 409 2,048 423 20.7%

LABOR 1,551 591 2,142 2,418 938 3,356 (1,214) -36.2%

USDA 226 26 252 386 89 475 (223) -46.9%

OTHER 941 194 1,134 996 274 1,270 (136) -10.7%

TOTAL FEDERAL 327,795 116,223 444,018 323,610 128,265 451,874 (7,856) -1.7%

OTHER GOVERNMENT

Missouri 662 184 846 668 148 816 30 3.7%

Other States 10,440 4,682 15,121 11,703 5,527 17,230 (2,109) -12.2%

Other Gov’t. 780 18 798 610 56 666 132 19.8%

TOTAL OTHER 11,882 4,884 16,766 12,981 5,732 18,712 (1,946) -10.4%

PRIVATE SOURCES

Industry 11,430 4,278 15,709 9,456 3,572 13,028 2,681 20.6%

Non Profits 53,536 7,446 60,982 55,474 7,236 62,710 (1,728) -2.8%

TOTAL PRIVATE 64,966 11,724 76,690 64,930 10,808 75,738 952 1.3%

GRAND TOTAL 404,643 132,831 537,474 401,521 144,803 546,324 (8,850) -1.6%


17

Awards by Sponsor and School

Table 7 Federal Award Dollars by Sponsor and School

FY07 and FY06

(000s)

Sponsor

Arts & Sciences Engineering Medicine Social Work Other Schools Total University

FY07

% of Change

From FY06 FY07

% of Change

From FY06 FY07

% of Change

From FY06

FY07

% of Change

From FY06

FY07

% of Change

From FY06 FY07

% of Change

From FY06

NIH 12,102 8.9% 7,085 66.0% 365,986 -3.4% 4,133 21.8% 213 -65% 389,518 -2.2%

NSF 12,222 16.4% 6,713 18.8% 14,416 3.9% 0 --- 89 -31.5% 33,439 10.8%

NASA 3,578 -53.7% 843 46.4% 350 -19.0% 0 --- 0 --- 4,771 -45.4%

DOD 348 -3.1% 1,370 -35.8% 1,915 1444.4% 0 --- 0 --- 3,633 38.9%

EPA 5 -50.0% 250 142.7% 0 --- 0 --- 0 --- 255 125.7%

EDUC 3,586 399.4% 127 2.4% 0 -100.0% 0 --- 329 1.2% 4,042 175.5%

DOE 1,767 -15.5% 390 -21.5% 204 -65.7% 0 --- 0 --- 2,361 -25.8%

DHHS HRSA 0 --- 0 --- 2,471 20.7% 0 --- 0 --- 2,471 20.7%

LABOR 248 --- 0 --- 1,894 -43.6% 0 --- 0 --- 2,142 -36.2%

USDA 123 -61.4% 69 -1825.0% 59 -63.1% 0 --- 0 --- 252 -46.9%

OTHER 722 62.2% 0 -100.0% 388 -5.8% 0 --- 24 -90.6% 1,134 -10.7%

TOTAL 34,701 4.2% 16,847 24.7% 387,682 -3.2% 4,133 21.8% 655 -50.3% 444,018 -1.7%


18

Awards by Sponsor and School

Table 8 Award Dollars by School and Sponsor Type


Schools/Dept.

Government Private Total

Federal Other Gov’t. Industry Nonprofit

FY07 FY06 FY07 FY06 FY07 FY06 FY07 FY06 FY07 FY06

Administration 586 662 93 30 0 0 166 250 844 942

Design & Visual Arts(1) 0 0 0 0 0 0 60 73 60 73

Arts & Sciences 34,701 33,290 1,004 895 3,023 2,589 5,279 4,616 44,007 41,390

Business 44 338 0 0 0 0 5 67 49 405

Engineering 16,847 13,507 1,625 2,552 1,624 2,237 2,008 2,706 22,103 21,002

Law 25 319 0 0 0 8 120 192 145 519

Medicine 387,682 400,364 14,028 15,206 11,061 8,194 51,672 48,871 464,444 472,635

Social Work 4,133 3,393 15 30 0 0 1,673 5,935 5,820 9,358

Total 444,018 451,874 16,765 18,712 15,709 13,027 60,982 62,710 537,474 546,324

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

19

Awards by Sponsor Type

Table 9 School of Arts and Sciences

Award Dollars by Department and Sponsor Type – FY07 and FY06 (000s)

Department(1) Government Private Total

Federal Other Gov’t. Industry Nonprofit FY07 FY06

African & Afro-American Studies 0 0 0 0 0 142

American Culture 0 0 0 0 0 9

Anthropology 295 0 3 93 390 540

Arts & Sciences (2)

0 0 0 0.3 0.3 1

Arts & Sciences Administration 31 0 0 77 108 0

Biology 9,146 350 2,482 2,582 14,560 10,191

Center for Materials Innovation 475 0 0 0 475 0

Chemistry 6,947 77 117 183.6 7,325 5,710

CNISS 0 44 0 0 44 0

Earth & Planetary Science 2,260 311 421 965 3,957 5,814

Economics 138 0 0 0 138 14

Education 1,753 0 0 0 1,753 2,325

Graduate School 815 0 0 7.5 823 983

History 0 5 0 0 5 0

Mathematics 1,009 14 0 0.7 1,024 937

Music 0 0 0 0 0 5

Performing Arts 0 0 0 0 0 16

Philosophy 0 0 0 0 0 126

Physics 4,414 78 0 186 4,678 8,991

Psychology 6,468 121.6 0 1,118 7,708 4,912

Romance Languages 40 0 0 0 40 0

The Center For Humanities 230 3.6 0 0 234 13

Weidenbaum Center 680 0 0 65 745 661

TOTAL 34,701 1,004 3,023 5,279 44,007 41,390

(1) Only departments receiving awards in FY06 or FY07 are listed. As a result, some departments listed in the FY06 Annual Report are not listed this year.

(2) Includes Dean of Faculty and Office of Undergraduate Research

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

20


Table 10 School of Engineering

Award Dollars by Department and Sponsor Type FY07 and FY06

(000s)

Department


Federal Other Gov’t

Industry Nonprofit FY07 FY06 (1)

Biomedical Engineering 6,880 0 0 834 7,714 3,651

Computer Science & Engineering 4,481 274 787 120 5,662 7,475

Electrical & Systems Engineering 1,669 630 86 455 2,839 4,339

Environmental, Energy & Chemical Engineering 1,615 443 612 400 3,070 2,568

Mechanical, Aerospace & Structural Engineering 2,201 277 140 149 2,768 2,399

Other --- --- --- 50 50 570

TOTAL 16,847 1,625 1,624 2,008 22,103 21,002

(1)

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

necessarily reflect FY07 reorganization. Note: Due to rounding, detail may not add to total.

21


Table 11 School of Medicine Award Dollars by Department and Sponsor Type – FY07 and FY06

(000s)

Departments


Federal Other Gov't

Industry

Non-profit

FY07 FY06

Anatomy & Neurobiology 12,588 62 0 463 13,113 13,919

Biochemistry & Molecular Biophysics 5,915 252 0 296 6,463 7,261

Cell Biology & Physiology 10,479 150 591 937 12,157 10,611

Genetics 68,969 1,046 131 1,318 71,464 64,616

Molecular Biology & Pharmacology 10,834 151 1,196 2,460 14,641 12,666

Molecular Microbiology 10,673 227 0 1,144 12,044 13,825

Subtotal Preclinical 119,458 1,888 1,918 6,619 129,883 122,897

Anesthesiology 6,939 0 320 7,259 7,850

Internal Medicine (1)

89,384 1,489 2,572 14,561 108,006 113,800

Neurological Surgery 2,151 0 464 2,614 2,377

Neurology 18,809 1,700 242 4,371 25,123 21,214

Obstetrics & Gynecology 2,316 133 0 1,696 4,144 4,015

Ophthalmology & Visual Sciences 12,087 31 0 1,155 13,273 12,589

Orthopedic Surgery 3,134 15 363 955 4,467 3,491

Otolaryngology 6,023 375 103 285 6,787 7,210

Pathology & Immunology 20,332 682 2,372 3,495 26,880 30,668

Pediatrics 17,169 2,158 1,019 4,696 25,042 27,540

Psychiatry 32,077 3,626 940 2,465 39,109 40,383

Radiation Oncology 5,046 0 321 444 5,811 5,990

Radiology 20,628 452 953 1,816 23,849 29,658

Surgery 14,351 460 156 5,688 20,654 19,893

Subtotal Clinical 250,445 11,121 9,041 42,412 313,018 326,678

Administration (2)

3,866 0 (112) 18 3,771 3,629

Biology/Biomedical Sciences 4,373 1 0 119 4,493 4,298

Biostatistics 2,752 311 0.6 208 3,272 2,894

Center For Clinical Studies 10 0 0 0 10 0

Center For Health Behavior Research 1,288 20 0 776 2,084 2,771

Center For Study Of Health Policy 0 0 0 219 219 660

Div Of Comparative Medicine 20 0 0 0 20 148

Emergency Medicine 175 0 0 85 260 146

Experimental Neurol/Neuro Surg 15 0 0 0 15 85

Medical Library 139 0 0 139 127

Occupational Therapy (186) 548 0 1,015 1,377 2,684

Physical Therapy 1,202 0 162 90 1,454 1,505

Physician Billing Services 6 0 0 0 6 5

Siteman Cancer Center 4,259 0 52 112 4,423 4,108

Subtotal Other 17,780 1,019 102 2,641 21,543 23,060(1)

Grand Total 387,682 14,028 11,061 51,672 464,444 472,635

(1) Internal Medicine in FY07 includes ―Proteomics Core Lab‖, which was listed on a separate line in ―Other‖ in the FY06 Annual Report.

(2) Administration: Clinical Research Faculty, Division of Comparative Medicine, Experimental Neurol/Neuro Surgery, Facilities Management, Health

Administration Program, Human Research Protection Office, New Parking Garage, Student Affairs, Medical School Administration, MBP-Protein Neucleic Acid Chemia, Neurotrophic Factors.


22

Office of Technology Management Executive Summary

During Fiscal Year 2007, the Office of Technology Management (OTM) received 100 new invention disclosures. Of these disclosures, 78% originated in the School of Medicine, 11% from the School of Engineering, 6% from the School of Arts & Sciences, and the remainder 5% from across disciplines. The Office handled 22% fewer disclosures than the prior year. The University filed 67 new United States patent applications. The U.S. Patent Office issued 11 patents on behalf of the University. Foreign offices issued 6 patents on behalf of the University. The University generated $12M in total technology transfer revenue. This amount held constant from the previous fiscal year. The University entered into a total of 41 revenue generating license agreements during the year. Of the new license agreements, 88% were non-exclusive. Open source software licenses, most involving gene sequencing and related topics, numbered 1,572. Technology transfer revenues generated by each School were as follows:

School of Medicine $10.6M School of Engineering $1.1M School of Arts and Sciences $0.3M

Industry sponsored research agreements decreased 4% and other agreements (including confidentiality, evaluation and option, inter-institutional, service, and material transfer) remained about the same. OTM continues its community involvement through such organizations as RCGA, BioGenerator, Danforth Plant Sciences Center Alliance, CORTEX, Coalition for Plant and Life Sciences, NIDUS, CET, MOBio, Missouri Venture Forum, Midwest Research Universities Network and the Research Alliance of Missouri. Involvement with these various organizations extends the mission of the university to local, state and regional levels. In its relationships with these organizations, OTM works to build the economy and to develop channels for commercializing Washington University technologies. OTM staff members work continuously with the Business School’s entrepreneurship program and the larger Kaufmann Foundation (e.g. iBridge) entrepreneurship undertaking. The work by the students contributes to the assessment of ideas within a commercial context—whether in a start-up situation or the licensing of ideas to large, established companies. Most of the students involved have advanced technical degrees in the life sciences, chemistry, math, physics or computer sciences.

23


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

24


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

25

Invention Disclosures by School

Under the University Intellectual Property (IP) Policy, creators are required to disclose to OTM inventions made using significant University resources. OTM evaluates each new ―disclosure‖ to determine:

accuracy of the disclosure potential commercial value protection of the intellectual property the best mode for its commercialization if the University wishes to retain title to invention.

During Fiscal Year 2007, the Office of Technology Management received 100 new invention disclosures. Of these disclosures, 78% originated in the School of Medicine, 11% from the School of Engineering, 6% from the School of Arts & Sciences, and the remainder 5% from across disciplines. The Office handled 22% less disclosures than the prior year. The University filed 67 new United States patent applications.

Table 1

Figure 1

7

71

13

6

86

1

7

28

85

2

8

8

80

17

14

6

1

78

4

11

0

20

40

60

80

100

120

140


Invention Disclosures by School

Arts & Sciences Law School

Medicine Inventions Across Schools

Engineering


Arts & Sciences 7 6 28 8 6

Engineering 13 7 8 14 11

Medicine 71 86 85 80 78

Law School 0 0 0 0 1

Inventions Across Schools 0 1 2 17 4

Total 91 100 123 119 100

26

Invention Disclosures by Department

Table 2

Disclosures by FY FY03 FY04 FY05 FY06 FY07Total new disclosures for FY 91 102 123 119 100

Department FY03 FY04 FY05 FY06 FY07Arts & Sciences

Biology 3 1 22 5 3

Chemistry 0 1 4 2 0

Earth & Planetary Sciences 1 2 0 0 1

Physics 2 0 0 1 2

Psychology 1 2 1 0 0

0 0 1 0 0

Arts & Sciences Total 7 6 28 8 6


Biomedical Engineering 0 0 3 4 2

Energy, Environmental & Chemical Engineering 1 0 1 2 3

Computer Science & Engineering 5 5 3 6 2

Electrical & Systems Engineering 6 2 0 1 0

1 0 0 0 0

Mechanical, Aerospace & Structural Engineering 0 0 1 1 2

Mechanical / Chemical Engineering 0 0 0 0 2

Engineering & Applied Science Total 13 7 8 14 11

School of Medicine

Anatomy & Neurobiology 1 2 1 2 1

Anesthesiology 2 2 0 1 2

Anesthesiology / Radiology 0 0 0 1 0

Anesthesiology / Surgery 0 0 0 0 3

Anesthesiology / Surgery / Radiology 0 0 0 0 1

Biochemistry & Molecular Biophysics 0 0 1 0 3

Cardiology 0 0 0 4 2

Cell Biology & Physiology 3 3 4 0 1

Dermatology 0 0 0 0 2

Genetics 2 3 0 3 2

Genertics / Pathology & Immunology 0 0 0 0 1

Institute of Biological Computing 0 0 0 0 0

Internal Medicine 18 27 20 21 16

Internal Medicine / Anesthesiology / Surgery / Radiology 0 0 0 1 0

Internal Medicine / Biostatistics 0 0 1 0 0

Internal Medicine / Molecular Biology & Pharmacology 0 0 3 1 0

Internal Medicine / Neurology 0 0 1 1 0

Internal Medicine / Pathology & Immunology 0 0 1 0 0

Internal Medicine / Surgery 0 0 0 0 1

Medpics 0 0 0 2 0

Molecular Biology & Pharmacology 4 3 5 4 4

Molecular Biology & Pharmacology / Pediatrics 0 0 0 0 1

Molecular Microbiology 3 1 2 1 3

Molecular Microbiology / Pathology & Immunology 0 0 0 0 1

Neurology 2 3 3 6 2

Neurology / Endocrinology 0 0 0 1 0

Neurology / Biology & Biological Sciences / Psychiatry 0 0 0 0 1

Neurology / Cardiology 0 0 0 0 1

Neurology / Neurosurgery / Psychiatry 0 0 0 0 1

Neurology / Radiology 0 0 0 1 0

Neurosurgery 1 3 0 1 2

Mathematics

Electrical Engineering / Computer Science

27

Invention Disclosures by Department

Table 2 (cont.)

Department FY03 FY04 FY05 FY06 FY07Medicine

Ophthalmology & Visual Sciences 1 1 6 2 3

Ophthalmology / Radiology 0 0 0 1 0

Orthopedic Surgery 0 0 1 1 1

Otolaryngology 0 1 3 2 1

Pathology & Immunology 6 11 13 3 1

Pediatrics 10 3 7 0 1

Physical Therapy 0 0 0 0 2

Psychiatry 2 1 3 1 2

Psychiatry / Immunlology & Pathology 0 0 0 1 0

Radiation Oncology 3 2 0 5 0

Radiation Oncology / Radiology 0 0 0 2 0

Radiology 11 9 5 6 5

Radiology / Cardiology 0 0 0 0 1

Radiology / Surgery / Anesthesiology 0 0 0 0 2

Siteman Cancer Center 1 0 0 1 0

Surgery 0 10 4 4 8

Surgery / Pathology & Immunology 0 0 1 0 0

Medicine Total 70 85 85 80 78

School of Law

Law 0 0 0 0 1

Law Total 0 0 0 0 1

Biomedical Engineering / Biochemistry & Molecular Biology 0 0 0 1 0

Biomedical Engineering / Biology 0 0 0 1 0

Biomedical Engineering / Neurosurgery 0 0 1 0 0

Biomedical Engineering / Ophthalmology 0 0 0 0 1

Biomedical Engineering / Organic Chemistry / Internal Medicine 0 0 0 3 0

Biomedical Engineering / Physics / Cell Biology & Physiology 0 0 0 0 1

Biomedical Engineering / Radiology 0 0 0 2 0

Biomedical Engineering / Surgery 0 0 0 2 0

Computer Science / Biology / Anatomy & Neurobiology 0 0 0 0 1

Electrical Engineering / Biology 0 0 0 0 1

Electrical Engineering / Genetics / Surgery 0 0 1 0 0

Mathematics / Radiology / Radiation Oncology 0 0 0 1 0

Mechanical Engineering / Computer Science / Anatomy / Neurology 0 0 0 2 0

Mechanical Engineering / Neurology 0 0 0 3 0

Psychology / Radiology 0 0 0 0 0

Physics / Biochemistry / Molecular Biophysics 0 1 0 0 0

Physics / Biochemistry & Molecular Biology / Internal Medicine 0 0 0 1 0

Physics / Cardiology 0 0 0 1 0

Joint Disclosure Total 0 1 2 17 4Total 90 99 123 119 100

Inventions Across Schools

28

US Patent Applications by School

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

Table 3

Figure 2




Medicine 52 97 78 63 56

US Patents- Joint 0 0 1 2 3

Total 65 117 96 77 67

6

52

7

8

97

12

9

78

1

8

1

63

2

11

1

56

3

7

0

20

40

60

80

100

120


US Patent Applications by School

Arts & Sciences Medicine Patents Across Schools Engineering

29

US Patent Applications by Department

Table 4

Department FY03 FY04 FY05 FY06 FY07Total US Patent Applications for FY 65 117 96 77 67

Department FY03 FY04 FY05 FY06 FY07

Arts & SciencesBiology 6 6 6 1 1

Chemistry 0 1 3 0 0


Physics 0 0 0 0 0



Engineering & Applied ScienceBiomedical Engineering 0 0 2 5 2

Computer Science & Engineering 4 6 4 3 1

0 1 1 2 4

Electrical & Systems Engineering 2 5 0 0 0

Energy, Environmental & Chemical Engineering 0 0 1 1 0

Mechanical, Aerospace & Structural Engineering 1 0 0 0 0


MedicineAnatomy & Neurobiology 3 2 0 1 2


0 1 0 0 0

Anesthesiology / Radiology 0 0 0 1 0


Bioorganic Chemistry & Molecular Pharmacology 0 7 6 0 0



Comparative Medicine 0 0 0 0 0

Genetics 1 6 1 1 2

Inst. For Biomedical Computing 0 0 0 0 0


Internal Medicine / Emergency Medicine 0 0 0 1 0

Internal Medicine / Genetics 0 0 0 1 0

0 4 4 1 0

Internal Medicine / Neurology 0 1 2 2 0

Internal Medicine / Pathology & Immunology 0 0 0 1 0

Internal Medicine / Surgery 0 0 0 1 1



Neurology 5 2 2 3 1

Neurology / Anatomy & Neurobiology 0 0 0 1 0

Neurology / Pediatrics 0 0 0 1 0

Neurology / Radiology 0 0 0 1 0


Neurosurgery / Psychiatry 0 0 0 0 1

Obstetrics & Gynecology 0 0 0 0 0





Pathology & Immunology / Molecular Biology & Pharmacology 0 0 2 0 0

Pathology & Immunology / Molecular Microbiology 0 0 0 0 2



Radiology 8 7 11 8 5

Radiology / Anesthesiology / Surgery 0 0 0 0 1

Radiology / Neurosurgery 0 0 0 0 0

Radiology / Ophthalmology 0 0 0 0 1


Renal Division 1 1 0 0 0

Surgery 0 2 3 1 0


Social Work

Social Work 0 0 0 0 0

Social Work Total 0 0 0 0 0

US Patents filed on Inventions Across Schools

Biomedical Engineering / Neurosurgery 0 0 1 1 1

Biomedical Engineering / Surgery 0 0 1 0 0

Chemistry / Radiology 0 0 0 1 0

Electrical Engineering / Surgery / Genetics 0 0 0 0 1

Mechanical Engineering / Neurology 0 0 0 1 0

Mechanical Engineering / Neurosurgery 0 0 0 0 1

Joint US Patents Total 0 0 1 2 3

Total 65 117 96 77 67

Anesthesiology / Pediatrics

Computer Science / Electrical Engineering

Internal Medicine / Molecular Biology & Pharmacology

30

Licenses

Patented and unpatented inventions are transferred to industry through a variety of licensing arrangements. The rights to a license are defined by the allowed field of use and by the exclusivity of the license. Payment terms are also highly varied including one or a combination of license fees due on signing, maintenance fees, milestone payment and earned royalties on sales. Defined here are major categories used in this report.

Exclusive:

A fee-and royalty-bearing exclusive license grants the sole right to commercialize a technology (may include sublicensing rights).

Non-Exclusive:

Fee-and royalty-bearing license: grants of rights to commercialize the technology; may be granted to multiple licenses.

Paid-up license: a non-exclusive license granted in return for a one-time, 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 (frequently computer software) that is generally licensed to others for a fee.

License Modifications:

Amendment: an agreement modifying the terms of an existing license Assignment: a reassignment of rights caused by a change in ownership of the

license through merger or acquisition. The majority of licenses granted by the University are to existing commercial companies located in the United States, with a smaller number to foreign entities. The University is also beginning to focus more on partnerships with Missouri and St. Louis companies and is actively supporting and encouraging the creation of new business ventures. Licensing technology to start-up companies can provide the best mode of commercialization for early-state platform technologies. The University generated $12M in total technology transfer revenue. This amount has held constant from the previous fiscal year. The University entered into a total of 36 revenue generating license agreements during the year. Of the new license agreements, 74% were non-exclusive. Open source software licenses, most involving gene sequencing and related topics, numbered 1,578.

31

Licenses by School

Table 5

Figure 3




Medicine 44 29 33 39 36


TOTAL 81 56 43 41 36

1

44

2

34

3

29

4

20

1

33

1

8

39

2

36

0

10

20

30

40

50

60

70

80

90


Revenue Generating License Agreements

by School

Arts & Sciences Medical School Engineering Social Work

32

Licenses by Department

Table 6


Total Licenses for FY 92 56 43 41 36


Arts & SciencesBiology 2 3 0 0 0

Chemistry 0 0 0 0 0




Engineering & Applied ScienceBiomedical Engineering 0 0 0 0 0

Computer Science 0 0 1 0 0

Electrical Engineering 2 4 0 0 0

Mechanical Engineering 1 0 0 0 0


MedicineAnatomy & Neurobiology 0 2 1 1 0



Biostatistics 0 0 0 0 1



Dermatology 0 0 0 0 0

Genetics 11 4 5 3 4





Neurology 1 0 2 1 1






Radiology 4 1 2 1 0

Siteman Cancer Center 0 0 0 1 0

Surgery 0 2 0 0 0


Social WorkSocial Work 34 20 8 2 0


Subtotal 92 56 43 41 36

No Fee Licenses 147 679 2074 1725 1578

Total Licenses 239 735 2117 1766 1614

33

License Type by Department

Table 7

Non-Exclusive

Department Exclusive Roy. Bearing Paid-up No Fee

Arts & SciencesBiology 0 0 0 0

Chemistry 0 0 0 1

Earth & Planetary Sciences 0 0 0 0

Psychiatry 0 0 0 0

Arts & Sciences Total 0 0 0 1

Engineering & Applied ScienceBiomedical Engineering 0 0 0 0

Computer Science 0 0 0 0

Electrical Engineering 0 0 0 0

Mechanical Engineering 0 0 0 0

Engineering & Applied Science Total 0 0 0 0

MedicineAnatomy & Neurobiology 0 0 0 0

Anesthesiology 0 0 0 0

Biochemistry & Molecular Biophysics 0 1 0 1

Biostatistics 0 0 1 0

Cardiology 0 0 0 0

Cell Biology & Physiology 0 0 0 0

Dermatology 0 0 0 0

Genetics 0 0 4 1572

Institute of Biological Computing 0 0 0 0

Internal Medicine 1 5 0 0

Internal Medicine / Neurology 0 1 0 0

Molecular Biology & Pharmacology 2 3 1 1

Molecular Microbiology 0 1 0 0

Neurology 0 1 0 0

Ophthalmology & Visual Sciences 0 0 0 0

Otolaryngology 0 0 2 0

Pathology & Immunology 1 10 1 0

Pediatrics 1 0 0 0

Psychiatry 0 0 0 3

Radiology 0 0 0 0

Siteman Cancer Center 0 0 0 0

Surgery 0 0 0 0

Medicine Total 5 22 9 1577

Social WorkSocial Work 0 0 0 0

Social Work Total 0 0 0 0

Total 5 22 9 1578

Total Licenses by Department 1614

34

License Revenue by School

Under most licenses, OTM receives gross licensing income in the form of license fees, maintenance fees, milestone payments, and earned royalties against product sales. In addition, the University collects patent expense reimbursement from some licensees, particularly when the license is exclusive.

Legal expenses represent the amounts paid out to external law firms engaged in the preparation and prosecution of patents. Other expenses may include specific out-of-pocket costs incurred as part of technology licensing (e.g. consulting fees, marketing fees) or non-patent legal costs.

The University generated $12M in total technology transfer revenue. Technology transfer revenues generated by each School were as follows:

Table 8

Figure 4


Arts & Sciences 810,051$ 91,445$ 458,213$ 272,734$ 312,773$

Engineering 937,343$ 764,034$ 961,856$ 1,196,798$ 1,054,607$

Medicine 12,508,498$ 8,689,587$ 10,233,584$ 10,113,380$ 10,642,473$

Social Work 70,634$ 36,520$ 1,710$ N/A N/A

TOTALS 14,326,527$ 9,581,586$ 11,655,363$ 11,582,912$ 12,009,853$

$-

$2,000,000

$4,000,000

$6,000,000

$8,000,000

$10,000,000

$12,000,000

$14,000,000

$16,000,000


Arts & Sciences Engineering Medicine Social Work

35

License Revenue by School

Table 9

Arts &

SciencesEngineering Medicine Total

IncomeLicensing Income 262,068$ 878,944$ 9,247,447$ 10,388,459$

Expense Reimbursements OTM Current FY (External) 50,704$ 148,110$ 1,202,924$ 1,401,739$

Expense Reimbursements OTM Prior FY (External) -$ 27,554$ 192,102$ 219,655$

Expense Reimbursements for Dept. (External) -$ -$ -$ -$

Expense Credits -$ -$ -$ -$

Other -$ -$ -$ -$

Subtotal Income 312,773$ 1,054,607$ 10,642,473$ 12,009,853$

ExpensesLegal 82,572$ 205,879$ 1,825,466$ 2,113,917$

Other 20$ 12$ 299$ 331$

Subtotal Expenses 82,592$ 205,891$ 1,825,765$ 2,114,248$

Distributions (1)Distribution to Inventors 92,994$ 420,664$ 4,145,246$ 4,658,904$

Distribution to Schools (Lic. Income) 110,764$ 378,597$ 3,682,678$ 4,172,039$

Distribution to Schools (Other Income) -$ -$ -$ -$

Distribution to Third Parties 43,580$ 28,674$ 592,433$ 664,687$

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 247,338$ 827,935$ 8,420,358$ 9,495,631$

Contributions to OTM Operations $ (17,157) $ 20,781 $ 396,350 399,974$

(1) Distribution percentages:

Inventors: 44.8%

School's: 40.2%

OTM: 7.4%

Fiscal Year 07

36

License Revenue

Table 10

03 04 05 06 07

IncomeLicensing Income 12,815,429$ 8,174,816$ 9,968,317$ 10,129,404$ 10,388,459$

Expense reimbursements OTM Current FY

(External) 800,900$ 719,325$ 997,848$ 1,061,823$ 1,401,739$

Expense reimbursements OTM Prior FY

(External) 91,349$ (8,041)$ (2,449)$ 50,964$ 219,655$

Expense reimbursements for Dept. (External) 15,227$ 49,266$ -$ (10,542)$ -$

Expense Credits 592,687$ 638,601$ 691,138$ 351,263$ -$

Other 10,934$ 7,620$ 510$ -$ -$

Subtotal Income 14,326,526$ 9,581,586$ 11,655,363$ 11,582,912$ 12,009,853$

ExpensesLegal 1,585,941$ 1,555,481$ 1,981,139$ 2,705,939$ 2,113,917$

Other 4,284$ 3,561$ 581$ 3,625$ 331$

Subtotal Expenses 1,590,225$ 1,559,042$ 1,981,720$ 2,709,564$ 2,114,248$

DistributionsDistribution to inventors 5,625,302$ 3,742,581$ 4,530,055$ 4,464,274$ 4,658,904$

Distribution to schools (Lic. Income) 5,062,039$ 3,276,202$ 3,982,250$ 3,928,374$ 4,172,039$

Distribution to schools (Other Income) 10,934$ 7,620$ 510$ -$ -$

Distribution to third parties 889,129$ 554,331$ 745,307$ 739,633$ 664,687$

Expense Payback to Third Parties from Lic.

Rev. 608$ 1,500$ 4,930$ -$ -$

Expense Payback to Dept. from Lic. Rev. 75,376$ 41,107$ 268$ -$ -$

Expense Reimbursements for Dept. (External) 83,089$ 49,266$ -$ -$ -$

Carry forward - - Expenses Held/Paid in

Advance 8,827$ -$ -$ -$ -$

CFU legal expense recovery -$ -$ -$ -$ -$

Transfer to reserve -$ -$ -$ -$ -$

Patent Expenses held in advance - -$ -$ -$ -$

Patent expense adjustment -$ -$ -$ -$ -$

Subtotal Distributions 11,755,304$ 7,672,607$ 9,263,320$ 9,132,281$ 9,495,631$

Contribution to OTM operations 980,997$ 349,937$ 410,322$ (258,933)$ 399,974$

Fiscal Year

37

Industry Sponsored Research Agreements by School

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

Table 11

Figure 5

FY04 FY05 FY06 FY07

Arts & Sciences 1 3 2 4

Engineering 11 13 13 1

Medicine 19 34 31 33

Total 31 50 46 38

1

11

19

3

13

34

2

13

31

4

1

33

0

5

10

15

20

25

30

35

40

45

50

FY04 FY05 FY06 FY07

Industry Sponsored Research Agreements

Arts & Sciences Engineering Medicine

38

Industry Sponsored Research Agreements by Department

Table 12

FY04 FY05 FY06 FY07

Total Research Agreements for FY 31 50 46 38

Department FY04 FY05 FY06 FY07

Arts & Sciences

Biology 1 0 2 3

Chemistry 0 3 0 1

Earth & Planetary Sciences 0 0 0 0

Physics 0 0 0 0

Psychology 0 0 0 0

Arts & Sciences Total 1 3 2 4

Engineering & Applied ScienceBiomedical Engineering 0 1 0 0

Computer Science & Engineering 3 7 8 1

Electrical & Systems Engineering 5 4 2 0

Energy, Environmental & Chemical Engineering 3 0 1 0

Mechanical, Aerospace & Structural Engineering 0 1 2 0

Engineering & Applied Science 11 13 13 1

Medicine

Anatomy & Neurobiology 0 0 0 0

Anesthesiology 0 0 0 2

Biochemistry & Molecular Biophysics 3 2 0 0

Biostatistics 1 0 0 0

Cell Biology & Physiology 0 4 1 0

Center for Human Nutrition 0 0 1 0

Comparative Medicine 0 0 0 0

Genetics 1 1 1 0

Institute of Biological Computing 0 0 0 0

Internal Medicine 6 9 7 3

Internal Medicine / Pathology & Immunology 0 0 0 1

Molecular Biology & Pharmacology 0 0 3 2

Molecular Microbiology 0 1 1 1

Neurology 1 4 1 1

Neurosurgery 1 0 0 0

Obstetrics & Gynecology 0 1 0 0

Occupational Therapy 0 0 0 0

Ophthalmology & Visual Sciences 0 2 3 0

Orthopedic Surgery 0 3 0 1

Otolaryngology 0 0 0 0

Pathology & Immunology 1 0 1 4

Pediatrics 0 2 4 4

Psychiatry 0 1 1 3

Radiation Oncology 0 2 1 2

Radiology 1 2 6 8

Surgery 4 0 0 1

Medicine Total 19 34 31 33

Social Work

Social Work 0 0 0 0

Social Work Total 0 0 0 0

Total 31 50 46 38

39

Other Agreements by Department

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

Table 13

ConfidentialityEvaluation

& OptionInterinstitutional

Research /

ServiceSublicense

Total Other Agreements for FY 108 4 10 52 3

Department ConfidentialityEvaluation

& OptionInterinstitutional

Research /

ServiceSublicense

Arts & Sciences

Biology 3 0 0 0 0

Chemistry 5 0 1 1 0


Physics 2 0 0 0 0


Office of Technology Management 1 0 0 0 0


Engineering & Applied Science

Biomedical 6 0 0 0 0

Computer Science 2 0 1 7 0

Electrical & Systems 0 0 0 2 0

Energy, Environmental & Chemical 3 0 0 6 0

Mechanical, Aerospace & Structural 5 0 0 0 0


Medicine

Anatomy & Neurobiology 3 0 0 0 0



Biostatistics 2 0 0 0 0


Center for Human Nutrition 0 0 0 1 0

Comparative Medicine 0 0 0 0 0

Genetics 2 0 1 1 0





Neurology 12 0 1 4 0


Obstetrics & Gynecology 0 0 0 0 0

Occupational Therapy 0 0 0 0 0


Ophthalmology / Genetics 1 0 0 0 0







Radiology 8 0 2 3 0

Siteman 0 0 0 0 0

Surgery 1 0 0 2 0

Washington University 3 1 0 0 0


Social Work



Total 108 4 10 52 3

40

Material Transfer Agreements by Department

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

Table 14

Total Material Transfer Agreements for FY

Department Incoming Outgoing Incoming Outgoing Incoming Outgoing

Arts & Sciences

Biology 12 18 17 30 20 26

Chemistry 0 0 1 3 1 1

Earth & Planetary Sciences 0 0 0 0 0 0

Physics 0 0 0 0 0 0

Psychology 0 1 0 0 0 0

Arts & Sciences Total 12 19 18 33 21 27

Engineering & Applied Science

Biomedical Engineering 3 1 2 0 1 1

Computer Science 0 0 0 0 0 0

Electrical & Systems Engineering 0 0 0 0 0 0

Energy, Environmental & Chemical 0 0 0 0 0 0

Mechanical, Aerospace & Structural Engineering 0 0 1 0 0 0

Engineering & Applied Science Total 3 1 3 0 1 1

Medicine

Anatomy & Neurobiology 9 0 25 1 21 6

Anesthesiology 8 4 17 6 9 2

Biochemistry & Molecular Biophysics 2 0 5 4 5 0

Bioorganic Chemistry & Molecular Pharmacology 0 2 0 0 0 0

Cancer Center 0 0 0 0 0 1

Cardiology 0 0 0 0 0 0

Cell Biology & Physiology 15 9 47 39 26 22

Central Institute for the Deaf 0 0 1 0 0 0

Comparative Medicine 0 0 0 0 0 0

Dermatology 0 0 0 0 5 0

Genetics 4 0 21 1 9 0

Institute of Biological Computing 0 0 0 0 0 0

Internal Medicine 93 111 123 145 107 94

Molecular Biology & Pharmacology 22 65 38 91 24 87

Molecular Microbiology 19 18 24 32 9 23

Neurology 14 20 29 20 23 17

Neurosurgery 2 0 2 1 2 0

Obstetrics & Gynecology 2 0 6 1 3 0

Occupational Therapy 0 0 0 0 0 0

Oncology / Endocrinology 0 0 12 1 1 0

Ophthalmology & Visual Sciences 11 13 23 13 17 10

Orthopedic Surgery 8 0 6 1 6 0

Otolaryngology 8 1 8 1 10 0

Pathology & Immunology 43 42 94 46 69 38

Pediatrics 16 15 27 30 21 25

Psychiatry 3 6 6 6 3 5

Radiation Oncology 9 2 8 2 8 0

Radiology 13 16 17 49 6 30

Surgery 15 2 30 2 21 3

Washington University 0 0 0 0 0 2

Medicine Total 316 326 569 492 405 365

Social Work

Social Work 0 0 0 0 0 0

Social Work Total 0 0 0 0 0 0

Total 331 346 590 525 427 393

590

FY05 FY06 FY07

1115 820

41

Fiscal Years 2007 - 2005

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

The Alvin J. Siteman Cancer Center at Barnes-Jewish Hospital and Washington University School of Medicine in St. Louis is an international leader in patient care, cancer research, prevention, education

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

The Center for Clinical Studies (CCS), at Washington University Medical School in St. Louis-MO, supports the effective, efficient, and reliable evaluation of new pharmaceuticals and medical devices in collaboration with sponsoring organizations (industry and/or

government). CCS supports Wash U. faculty with industry contract negotiation and clinical trial referrals, a full spectrum of services for planning and conducting clinical trials, and programs to streamline relevant Medical Center-wide processes. CCS also

Industry Sponsored Clinical Trials Executive Summary

http://www3.cancer.gov/cancercenters/description.html

http://www3.cancer.gov/cancercenters/description.html

http://medicine.wustl.edu/



42

provides sponsoring organizations with access to top-quality investigators, study coordinators, and participants for the conduct of clinical trials and other ancillary resources. CCS is the department responsible for negotiating all clinical trial contracts performed at Washington University, Barnes-Jewish Hospital and St. Louis Children’s Hospital. The department has a staff of 11 nurse/coordinators that can be utilized to complete clinical trials. CCS also provides assistance to create clinical trial budgets, opens clinical trial accounts, deposits funds from industry sponsors, and provides other forms of administrative support. In addition, CCS has 5,400 square feet of outpatient research space on the 11th floor of the Center for Advanced Medicine Building that can be utilized to conduct clinical trials. This fully staffed and dedicated clinical trial space has six patient exam rooms, phlebotomy room, consultation room, 2 long-term lounges for extended visits, portable ECG machine, IV infusion pumps, laboratory specimen processing and packaging area. Currently CCS provides clinical trial support services for 1 out of 6 clinical trials performed at the institution.

In order to improve patient accrual in clinical trials, CCS has instituted a program called Volunteer for HealthTM (VFH). This innovative program seeks to develop a patient registry of potential study candidates and improve recruitment efficiency. Currently, the registry of volunteers exceeds 28,000 individuals. Working with the Washington University Institutional Review

Board, VFH also assists Washington University faculty place advertisements seeking clinical trial volunteers. As of fiscal year 2007, VHF placed more than 1,200 advertisements in all forms of media (radio, newspaper, posters and flyers, etc.).

The Washington University AIDS Clinical Trials Unit (ACTU) was established in 1987 to conduct clinical research and participate in clinical trials for persons with HIV-associated disease. Since its inception, 3,000 HIV-infected persons have been seen at the unit and more than 1,300 have been enrolled in clinical trials of new agents for primary HIV infection or for its associated opportunistic infections. Many patients have volunteered to participate in other clinical research protocols at this unit.

Studies of anti-retroviral agents and immunomodulators have been conducted in patients with asymptomatic HIV disease, symptomatic infection and AIDS. In addition, the unit has participated in collaborative trials investigating the treatment and prevention of most of the opportunistic infections associated with AIDS. Unit oncologists perform studies in AIDS-related malignancies. The ACTU has a neurology clinical core to participate in specific neurologic protocols and to perform more detailed neurologic sub-studies of patients actively enrolled in other ACTU protocols. In addition, we have recently established a metabolic clinical core to perform more detailed metabolic sub-studies of patients with HIV disease as these become a greater problem in infected individuals.


http://ccs.wustl.edu/contracts/contracts.aspx

43

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


44

Figure 1

Industry Sponsored Clinical Trials by Department of the School of Medicine

Department

#'s $ #'s $ #'s $ #'s $

Internal Medicine 683 11,746,362 691 12,559,967 628 12,279,318 9% -4%

Surgery 132 1,968,265 135 1,709,189 147 1,778,660 -10% 11%

Neurology 110 2,484,777 110 2,204,449 101 1,253,842 9% 98%

Pediatrics 101 917,159 94 892,206 108 1,072,408 -6% -14%

Radiology 63 1,889,619 83 1,012,135 69 1,100,496 -9% 72%

Pathology & Immunology 46 620,793 61 569,369 47 463,307 -2% 34%

Psychiatry 35 1,254,825 31 1,412,699 42 1,684,310 -17% -25%

Obstetrics & Gynecology 29 675,200 34 484,147 28 470,295 4% 44%

Orthopedic Surgery 22 689,710 25 878,324 19 218,849 16% 215%

Emergency Medicine 16 22,875 17 110,837 15 223,006 7% -90%

Anesthesiology 14 224,498 24 370,796 29 317,958 -52% -29%

Siteman Cancer Center 13 572,209 9 172,805 10 204,934 30% 179%

Ophthalmology & Visual Sciences 13 540,730 8 15,109 9 55,330 44% 877%

Neurological Surgery 12 220,520 11 170,895 8 94,449 50% 133%

Radiation Oncology 9 411,826 11 452,998 11 186,150 -18% 121%

Otolaryngology 8 157,658 10 85,896 5 70,133 60% 125%

Molecular Biology & Pharmacology 5 32,375 3 18,750 4 30,258 25% 7%

Molecular Microbiology 2 7,535 4 - 2 25,756 0% -71%

Biochemistry & Molecular Biophysics 2 - 1 - 1 20,000 100% -100%

Occupational Therapy 1 2,599 2 8,968 2 5,900 -50% -56%

Div of Comparative Medicine 1 - 2 (7,151) 1 2,554 0% -100%

Health Administration 1 - 0 - 4 (200,256) -75% -100%

Genetics 0 - 4 - 3 7,569 -100% -100%

Cell Biology & Physiology 0 - 0 - 1 - -100% 0%

Total 1,318 24,439,532 1,370 23,122,386 1,294 21,365,225 4% 13%

% Inc / (Dec)

FY 2007 FY 2006 FY 2005 FY 05 - FY 07

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.


45

Figure 2

Industry Sponsored Clinical Trials by Division of the

Department of Internal Medicine

Divisions of

Internal Medicine #'s $ #'s $ #'s $ #'s $

Medical Oncology 189 2,693,822 183 3,132,872 168 3,000,685 13% -10%

Cardiology 104 1,288,036 107 1,067,968 104 1,119,505 0% 15%

Pulmonary 56 1,207,936 50 873,866 35 878,367 60% 38%

Lipid Research 18 930,797 17 3,175,321 18 3,012,183 0% -69%

Bone Marrow Transplant 25 730,254 12 157,607 6 31,500 317% 2218%

Endocrine / Metabolism 62 707,511 66 675,025 47 916,493 32% -23%

Center for Human Nutrition 13 666,952 15 398,593 14 440,108 -7% 52%

Renal 31 594,400 40 576,758 35 794,602 -11% -25%

Dermatology 24 501,081 41 382,873 30 465,100 -20% 8%

Geriatrics / Gerontology 4 416,232 3 25,658 3 19,280 33% 2059%

Chrom Kidney Center 30 404,510 30 601,943 38 606,794 -21% -33%

Gastroenterology 42 364,920 41 642,198 33 427,258 27% -15%

Bone & Mineral Diseases 14 305,216 16 136,020 8 73,431 75% 316%

Rheumatology 18 246,372 14 181,735 16 224,543 13% 10%

Infectious Diseases 17 240,450 14 182,577 21 111,888 -19% 115%

Hematology 12 223,229 5 159,208 4 35,896 200% 522%

AIDS Clinical Trial Unit 17 178,336 32 119,857 37 92,262 -54% 93%

Immunology 5 36,308 4 69,886 5 15,164 0% 139%

General Medical Sciences 1 10,000 0 - 0 - 100% 100%

Applied Physiology 1 - 1 - 1 - 0% 0%

Medical Education 0 - 0 - 5 14,259 -100% -100%

Total 683 11,746,362 691 12,559,967 628 12,279,318 9% -4%

% Inc / (Dec)

FY 2007 FY 2006 FY 2005 FY 05 - FY 07

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


46

Figure 3

New Contracts Completed FY07-FY05

FY07 FY06 FY05 Inc/Dec

Clinical Studies 252 313 355 -29%

Confidentiality Agreements 131 114 88 49%

Amendments (all types) 230 226 183 26%

Other 32 37 37 -14%

Total 645 690 663 -3%


47

This report presents an overview of expenditure activity for sponsored research projects at Washington University during the fiscal year of 2007 (FY07). The expense dollars reported are for all transactions that occur on or between July 1, 2006 and June 30, 2007.

Data Sources

The data presented in this report was obtained from the Washington University’s Financial Information System (FIS) and it reflects the expenditure activity incurred during the performance of sponsored projects. Excluded are expenses associated with projects supported by sales and service agreements and clinical trials. The report includes expenses related to training and the U.S. Department of Education’s College Work-Study Program; however, these activities represent only a very small fraction of total expenditures.

Expenditure Activity

The University’s total research expenditures for FY07 amounted to $537 million, an increase of 3% over FY06. This percentage increase is driven primarily from additional dollars ($5.8 million) from the National Institutes for Health (NIH). The NIH continues to provide the single largest funding stream, thus the costs for those projects represent 77% of total expenditures during the fiscal year. In addition to the NIH, several large projects funded by the National Science Foundation contributed to the rise in the expenditure level ($9.4 million). The University maintained a strong position in sponsored research during FY07. Detailed schedules regarding this activity have been compiled in several formats (see Tables 1 – 12). Noted below are definitions and descriptions of the key expenditure categories.

Sponsor / Sponsor Type

Federal Direct Agreements Expenditures incurred under sponsored agreements awarded by a Federal agency directly to the University.

DHHS - Department of Health and Human Services (Agencies other than HRSA and NIH)

DOD - Department of Defense (Includes Air Force, Army, Navy, DARPA, and ARPA)

DOE - Department of Energy

EPA - Environmental Protection Agency

HRSA - Health Resources and Services Administration (A division of DHHS)

NASA - National Aeronautics and Space Administration

NIH - National Institutes of Health (A division of DHHS)

NSF - National Science Foundation

USDA - United States Department of Agriculture

USDE - United States Department of Education

Sponsored Research Expense Executive Summary

48

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.

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.


49

Schools

School of Medicine

School of Arts & Sciences


George Warren Brown School of Social Work

Other John M. Olin School of Business Sam Fox School of Design and Visual Arts School of Law

Cost Category

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

F&A Costs Abbreviated term for Facilities and Administrative (F&A) Costs (also

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

Cost Sharing Defined as costs incurred under a specific cost objective which are not

supported by the sponsoring agency. Cost sharing can be described as the dollar amount the University provides to support a sponsored project. The University monitors and maintains cost sharing expenditures by establishing separate accounts/funds in the general ledger. For each sponsored project, a specific cost sharing account will be established based upon the terms and conditions of the award. See Table 12 for a summary of the University’s cost sharing contributions.


50

Facilities and Administrative (F&A) Rates

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

54% Federal on-campus research rate for projects awarded during the period 7/1/01 – 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.

50% Base rate for non-federal sponsors. Applied to total direct costs.

26% Federal off-campus research rate.

8% Federal rate for research training and fellowship projects.

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

Sponsored Projects Accounting

The mission of Sponsored Projects Accounting (SPA) is to provide consistent and high quality financial stewardship, policy interpretation and compliance assurance to the University's research community and the sponsoring agencies. Members of the department strive to perform accurate and timely transaction approvals, financial analysis and reporting of costs incurred for sponsored projects. We monitor and maintain the accounting structure involved with revenue, expense and receivable transactions for sponsored projects so that these amounts are properly stated in the University's financial statements. In conjunction with Grants and Contracts and the Research Office, SPA develops a coordinated and consistent approach on institutional issues involving sponsored projects.

The office of Sponsored Projects Accounting reports to Barbara Feiner, Vice Chancellor for Finance and Chief Financial Officer. This report and other data are available on the SPA website (http://www.spa.wustl.edu/).


http://www.spa.wustl.edu/

51

Table 1

Direct and F&A Expenditures by Sponsor Type – FY07 and FY06

(000s)

Sponsors

Direct

Costs

% Total

Direct

F&A

Costs

% Total

F&A Total % Total

Direct

Costs

% Total

Direct

F&A

Costs

% Total

F&A Total % Total

Federal $356,513 88% $127,701 96% $484,214 90% $339,028 89% $131,051 96% $470,079 91%

Private Sources 46,792 12% 5,608 4% 52,400 10% 43,931 11% 5,299 4% 49,230 9%

Other Government 533 0% 111 0% 644 0% 458 0% 104 0% 562 0%

TOTAL $403,838 100% $133,420 100% $537,258 100% $383,417 100% $136,454 100% $519,871 100%

FY07 FY06

Direct and F&A Expenditures

52

Table 2

Direct and F&A Expenditures by School and Cost Category – FY07 and FY06

(000s)

SCHOOLS

DIRECT

COSTS

F&A

COSTS TOTAL

DIRECT

COSTS

F&A

COSTS TOTAL $$ %

MEDICINE $347,474 $115,828 $463,302 $328,055 $119,088 $447,143 $16,159 4%

ARTS & SCIENCES 31,940 10,255 42,195 32,844 10,495 43,339 (1,144) -3%

ENGINEERING 14,025 5,684 19,709 13,535 5,217 18,752 957 5%

SOCIAL WORK 5,937 1,270 7,207 4,783 1,385 6,168 1,039 17%

OTHER 4,462 383 4,845 4,200 269 4,469 376 8%

TOTAL $403,838 $133,420 $537,258 $383,417 $136,454 $519,871 $17,387 3%

FY07 FY06 CHANGE


53

Table 3

Direct and F&A Expenditures by School and Project Type – FY07 and FY06

(000s)

Research Research Training Other Sponsored Activities Total

SCHOOLS FY07 FY06 FY07 FY06 FY07 FY06 FY07 FY06

MEDICINE $409,292 $398,374 $39,535 $36,620 $14,475 $12,149 $463,302 $447,143

ARTS & SCIENCES

37,248

37,935

2,394

2,417

2,553

2,987

42,195

43,339

ENGINEERING

18,124

17,400

1,202

955

383

397

19,709

18,752

SOCIAL WORK

5,638

4,664

706

672

863

832

7,207

6,168

OTHER

544

888

(11)

101

4,312

3,480

4,845

4,469

TOTAL $470,846 $459,261 $43,826 $40,765 $22,586 $19,845 $537,258 $519,871


54

Table 4

Expenditures by Sponsor and Agreement Type – FY07 and FY06

(000s)

DIRECT

AGREEMENTS

SUB

AGREEMENTS TOTAL

DIRECT

AGREEMENTS

SUB

AGREEMENTS TOTAL $$ %

FEDERAL AGENCIES

NIH $392,482 $21,897 $414,379 $386,579 $22,004 $408,583 $5,796 1%

NSF 33,284 1,282 34,566 22,842 2,337 25,179 9,387 37%

USDE 5,639 249 5,888 4,876 56 4,932 956 19%

NASA 6,711 1,771 8,482 7,070 1,736 8,806 (324) -4%

DOD 5,303 2,149 7,452 5,065 2,547 7,612 (160) -2%

EPA 266 253 519 893 170 1,063 (544) -51%

DHHS OTHER 3,100 829 3,929 3,832 1,048 4,880 (951) -19%

DOE 2,751 1,564 4,315 2,748 1,158 3,906 409 10%

DHHS HRSA 2,257 828 3,085 2,035 900 2,935 150 5%

USDA 622 128 750 679 570 1,249 (499) -40%

OTHER 524 325 849 767 167 934 (85) -9%

TOTAL FEDERAL 452,939 31,275 484,214 437,386 32,693 470,079 14,135 3%

OTHER GOVERNMENT 644 - 644 562 - 562 82 15%

PRIVATE SOURCES

INDUSTRY 8,959 - 8,959 8,970 - 8,970 (11) 0%

FOUNDATIONS & TRUSTS 28,357 - 28,357 27,332 - 27,332 1,025 4%

VOL HEALTH 9,454 - 9,454 8,187 - 8,187 1,267 15%

OTHER 5,630 - 5,630 4,741 - 4,741 889 19%

TOTAL PRIVATE 52,400 - 52,400 49,230 - 49,230 3,170 6%

TOTAL $505,983 $31,275 $537,258 $487,178 $32,693 $519,871 $17,387 3%

FY07 FY06 CHANGE

Expenditures

55

Expenditures by Sponsor Type – FY03 to FY07

(000s)

Figure 1 Figure 2

Figure 3

FEDERAL FUNDING

300,000

375,000

450,000

525,000

Do

lla

rs

(in

th

ou

san

ds)

Federal 409,801 427,390 458,523 470,079 484,214


OTHER GOV'T FUNDING

-

300

600

900

1,200

1,500

Do

lla

rs

(in

th

ou

san

ds)

Other Gov't 741 703 670 562 644


PRIVATE FUNDING

-

10,000

20,000

30,000

40,000

50,000

60,000

Do

lla

rs

(in

th

ou

san

ds)

Private 40,372 40,650 44,662 49,230 52,400


Expenditures

56

Table 5

Expenditures by Sponsor and Project Type – FY07 and FY06

(000s)

FY07 FY06 FY07 FY06 FY07 FY06 FY07 FY06

FEDERAL AGENCIES

NIH $379,928 $378,151 $32,587 $29,829 $1,864 $603 $414,379 $408,583

NSF 32,358 23,107 2,116 2,059 92 13 34,566 25,179

USDE 249 56 - - 5,639 4,876 5,888 4,932

NASA 8,015 8,382 467 424 - - 8,482 8,806

DOD 7,168 7,386 284 226 - - 7,452 7,612

EPA 513 1,052 6 11 - - 519 1,063

DHHS OTHER 3,105 4,011 323 340 501 529 3,929 4,880

DOE 4,315 3,906 - - - - 4,315 3,906

DHHS HRSA 60 43 - 20 3,025 2,872 3,085 2,935

USDA 693 1,206 57 43 - - 750 1,249

OTHER 614 376 - 4 235 554 849 934

TOTAL FEDERAL 437,018 427,676 35,840 32,956 11,356 9,447 484,214 470,079

OTHER GOVERNMENT 167 204 - 23 477 335 644 562

PRIVATE SOURCES

INDUSTRY 8,213 8,138 579 686 167 146 8,959 8,970

FOUNDATIONS & TRUSTS 15,189 15,113 3,435 3,279 9,733 8,940 28,357 27,332

VOL HEALTH 5,993 4,972 3,412 3,150 49 65 9,454 8,187

OTHER 4,266 3,158 560 671 804 912 5,630 4,741

TOTAL PRIVATE 33,661 31,381 7,986 7,786 10,753 10,063 52,400 49,230

TOTAL $470,846 $459,261 $43,826 $40,765 $22,586 $19,845 $537,258 $519,871

Research Research Training Other Sponsored Activities Total

Expenditures

57

Expenditures by Project Type – FY03 to FY07

(000s)

Figure 4 Figure 5

Figure 6

SPONSORED RESEARCH

300,000

375,000

450,000

525,000

Do

llars

(in

th

ou

san

ds)

Research 402,974 417,123 447,659 459,261 470,846


RESEARCH TRAINING

-

10,000

20,000

30,000

40,000

50,000

Do

llars

(in

th

ou

san

ds)

Research Training 32,724 36,403 37,584 40,765 43,826


OTHER SPONSORED ACTIVITIES

-

5,000

10,000

15,000

20,000

25,000

Do

llars

(in

th

ou

san

ds)

Other Sponsored

Activities

15,216 15,217 18,612 19,845 22,586


Expenditures

58

Table 6

Expenditures by Sponsor and School – FY07

(000s)

FY07

$ Change

from

FY06 FY07

$ Change

from

FY06 FY07

$ Change

from

FY06 FY07

$ Change

from

FY06 FY07

$ Change

from

FY06 FY07

$ Change

from

FY06

TOTAL FEDERAL $421,111 $13,405 $37,768 ($470) $17,199 $935 $3,810 ($77) $4,326 $342 $484,214 $14,135

OTHER GOVERNMENT 556 61 7 (8) 11 (34) - - 70 63 644 82

PRIVATE SOURCES

Industry 6,585 388 1,120 (582) 1,249 188 - (6) 5 1 8,959 (11)

Foundations & Trusts 22,676 446 1,261 (178) 776 (243) 3,221 960 423 40 28,357 1,025

Vol Health 9,134 1,196 68 13 252 58 - - - - 9,454 1,267

Other 3,240 663 1,971 81 222 53 176 162 21 (70) 5,630 889

TOTAL PRIVATE 41,635 2,693 4,420 (666) 2,499 56 3,397 1,116 449 (29) 52,400 3,170

TOTAL ALL SOURCES $463,302 $16,159 $42,195 ($1,144) $19,709 $957 $7,207 $1,039 $4,845 $376 $537,258 $17,387

Other Schools Total UniversitySchool of Medicine Arts & SciencesSchool of Engineering

& Applied Science

GWB School of Social

Work

Expenditures

59

Table 7

Expenditures by Detailed Cost Category and Sponsor Type – FY07 and FY06

(000s)

DETAILED COST

CATEGORY FY07 FY06

% Of

Change

from FY06 FY07 FY06

% Of

Change

from FY06 FY07 FY06

% Of

Change

from FY06 FY07 FY06

% Of

Change

from FY06

Academic Salaries $66,974 $66,061 1% $47 $52 -10% $8,070 $8,035 0% $75,091 $74,148 1%

Staff Salaries 72,438 75,782 -4% 303 259 17% 9,393 9,674 -3% 82,134 85,715 -4%

Grad Assistant 20,634 17,267 19% 3 - 100% 2,915 1,804 62% 23,552 19,071 23%

Subtotal Salaries 160,046 159,110 1% 353 311 14% 20,378 19,513 4% 180,777 178,934 1%

Fringe Benefits 32,782 33,755 -3% 85 74 15% 4,591 4,458 3% 37,458 38,287 -2%

Stipends/Health Allowance 14,108 13,795 2% - - 0% 3,285 3,123 5% 17,393 16,918 3%

Consultants 1,280 1,402 -9% 25 12 108% 515 640 -20% 1,820 2,054 -11%

Consumable Supplies 49,942 43,922 14% 2 35 -94% 6,061 5,829 4% 56,005 49,786 12%

Other 39,859 37,161 7% 60 16 275% 6,262 5,715 10% 46,181 42,892 8%

Travel 4,790 4,839 -1% 6 2 200% 1,079 1,123 -4% 5,875 5,964 -1%

Subcontracts 40,508 32,077 26% - - 0% 3,021 1,689 79% 43,529 33,766 29%

Equipment 13,198 12,967 2% 2 8 0% 1,600 1,841 -13% 14,800 14,816 0%

TOTAL DIRECT COSTS 356,513 339,028 5% 533 458 16% 46,792 43,931 7% 403,838 383,417 5%

F&A Costs 127,701 131,051 -3% 111 104 7% 5,608 5,299 6% 133,420 136,454 -2%

TOTAL $484,214 $470,079 3% $644 $562 15% $52,400 $49,230 6% $537,258 $519,871 3%

FEDERAL OTHER GOVERNMENT PRIVATE SOURCES TOTAL

Expenditures

60

Table 8

Expenditures by Detailed Cost Category and School – FY07

(000s)

DETAILED COST

CATEGORY FY07

$ Change

from FY06 FY07

$ Change

from FY06 FY07

$ Change

from FY06 FY07

$ Change

from FY06 FY07

$ Change

from FY06 FY07

$ Change

from FY06

Academic Salaries $63,629 $1,295 $6,689 ($102) $3,536 ($250) $1,027 ($7) $210 $8 $75,091 $944

Staff Salaries 74,955 (3,586) 3,766 2 805 168 1,488 (101) 1,120 (65) 82,134 (3,582)

Grad Assistant 14,232 3,746 4,824 (19) 4,305 734 35 22 156 22 23,552 4,505

Subtotal Salaries 152,816 1,455 15,279 (119) 8,646 652 2,550 (86) 1,486 (35) 180,777 1,867

Fringe Benefits 33,345 (789) 2,591 (98) 986 109 449 (47) 87 (2) 37,458 (827)

Stipends/Health Allowance 14,886 779 1,647 (225) 466 (132) 394 58 - (5) 17,393 475

Consultants 833 (163) 463 (168) 101 3 354 206 69 (113) 1,820 (235)

Consumable Supplies 53,076 6,219 1,837 (197) 969 225 111 (6) 12 (20) 56,005 6,221

Other 39,542 2,048 2,528 236 867 25 604 234 2,640 712 46,181 3,255

Travel 3,651 - 1,297 (185) 475 67 368 73 84 (37) 5,875 (82)

Subcontracts 37,389 8,892 4,412 943 532 (562) 1,107 722 89 (233) 43,529 9,762

Equipment 11,935 976 1,889 (1,088) 976 96 - - - - 14,800 (16)

TOTAL DIRECT COSTS 347,473 19,417 31,943 (901) 14,018 483 5,937 1,154 4,467 267 403,838 20,420

F&A Costs 115,829 (3,258) 10,252 (243) 5,691 474 1,270 (115) 378 109 133,420 (3,033)

TOTAL $463,302 $16,159 $42,195 ($1,144) $19,709 $957 $7,207 $1,039 $4,845 $376 $537,258 $17,387

Other Schools Total UniversitySchool of Medicine Arts & Sciences

School of Engineering &

Applied Science


Work

Expenditures

61

Expenditures by School – FY03 to FY07

(000s)

Figure 7 Figure 8

SCHOOL OF MEDICINE

-

100,000

200,000

300,000

400,000

500,000

Dollars

(in

th

ou

san

ds)

School of Medicine 390,451 401,982 431,621 447,143 463,302


DANFORTH SCHOOLS

-

9,000

18,000

27,000

36,000

45,000

Do

lla

rs (

in t

ho

usa

nd

s)

A&S 32,919 38,214 41,740 43,339 42,195

Engineering 15,970 17,730 18,830 18,752 19,709

Other 5,262 4,874 5,336 4,469 4,845

Social Work 6,312 5,943 6,328 6,168 7,207


Expenditures

62

Table 9

F&A Expenditures (Recovery) by Sponsor and F&A Rate – FY07 and FY06

(000s)

FY07 FY06 FY07 FY06 FY07 FY06 FY07 FY06 FY07 FY06 FY07 FY06

FEDERAL AGENCIES

NIH $107,019 $110,598 $0 $0 $2,475 $3,267 $2,043 $1,860 $756 $603 $112,293 $116,328

NSF 7,226 5,373 - - 60 149 20 6 54 1,444 7,360 6,972

USDE 121 36 - - 40 34 21 23 226 56 408 149

NASA 2,511 2,498 - - 18 15 - - - - 2,529 2,513

DOD 1,981 1,892 - - 144 105 36 20 23 27 2,184 2,044

EPA 162 185 - - - 6 - - - - 162 191

DHHS OTHER 546 552 - - 226 318 31 14 82 112 885 996

DOE 983 1,052 - - 140 99 - - - 3 1,123 1,154

DHHS HRSA 21 46 - - 266 297 6 - 220 154 513 497

USDA 21 14 - - - - 4 3 77 89 102 106

OTHER 81 48 - - 10 6 - - 51 47 142 101

TOTAL FEDERAL 120,672 122,294 - - 3,379 4,296 2,161 1,926 1,489 2,535 127,701 131,051

OTHER GOVERNMENT 12 25 - - (1) (1) 4 2 96 78 111 104

PRIVATE SOURCES

INDUSTRY 456 469 1,927 1,845 1 9 34 31 109 156 2,527 2,510

FOUNDATIONS & TRUSTS 260 158 56 83 - - 40 62 1,731 1,867 2,087 2,170

VOL HEALTH - - (2) 3 - - 14 17 616 498 628 518

OTHER 73 21 75 43 31 21 48 37 139 (21) 366 101

TOTAL PRIVATE 789 648 2,056 1,974 32 30 136 147 2,595 2,500 5,608 5,299

TOTAL $121,473 $122,967 $2,056 $1,974 $3,410 $4,325 $2,301 $2,075 $4,180 $5,113 $133,420 $136,454

F&A RATE PERCENTAGES

54% / 53% /52.5% 50% 26% 8% OTHER Total F&A Costs


63

Table 10

F&A Expenditures (Recovery) by Sponsor and Agreement Type – FY07 and FY06

(000s)

DIRECT

AGREEMENTS

SUB

AGREEMENTS TOTAL

DIRECT

AGREEMENTS

SUB

AGREEMENTS TOTAL $$ %

FEDERAL AGENCIES

NIH $105,448 $6,845 $112,293 $109,629 $6,699 $116,328 ($4,035) -3%

NSF 6,969 391 7,360 6,269 703 6,972 388 6%

USDE 365 43 408 141 8 149 259 174%

NASA 1,956 573 2,529 1,938 575 2,513 16 1%

DOD 1,526 658 2,184 1,292 752 2,044 140 7%

EPA 89 73 162 138 53 191 (29) -15%

DHHS OTHER 784 101 885 884 112 996 (111) -11%

DOE 854 269 1,123 913 241 1,154 (31) -3%

DHHS HRSA 455 58 513 414 83 497 16 3%

USDA 77 25 102 5 101 106 (4) -4%

OTHER 79 63 142 75 26 101 41 41%

TOTAL FEDERAL 118,602 9,099 127,701 121,698 9,353 131,051 (3,350) -3%

OTHER GOVERNMENT 111 - 111 104 - 104 7 7%

PRIVATE SOURCES

INDUSTRY 2,527 - 2,527 2,510 - 2,510 17 1%

FOUNDATIONS & TRUSTS 2,087 - 2,087 2,170 - 2,170 (83) -4%

VOL HEALTH 628 - 628 518 - 518 110 21%

OTHER 366 - 366 101 - 101 265 262%

TOTAL PRIVATE 5,608 - 5,608 5,299 - 5,299 309 6%

TOTAL $124,321 $9,099 $133,420 $127,101 $9,353 $136,454 ($3,034) -2%

FY07 FY06 CHANGE


64

Table 11

Federal Expenditures by Federal Agency and School – FY07

(000s)

FEDERAL AGENCIES

FY07

$ Change

from FY06 FY07

$ Change

from FY06 FY07

$ Change

from FY06 FY07

$ Change

from FY06 FY07

$ Change

from FY06 FY07

$ Change from

FY06

NIH $390,700 $4,497 $12,505 ($181) $7,099 $1,530 $3,757 $80 $318 ($130) $414,379 $5,796

NSF 16,149 9,609 12,487 (594) 5,865 609 (41) (141) 106 (96) 34,566 9,387

USDE 498 99 1,398 62 122 23 82 17 3,788 755 5,888 956

NASA 862 (10) 7,188 (192) 432 (122) - - - - 8,482 (324)

DOD 4,639 852 405 (248) 2,408 (764) - - - - 7,452 (160)

EPA - - 6 (5) 513 (539) - - - - 519 (544)

DHHS OTHER 3,900 (921) 17 11 - - 12 (33) - - 3,929 (943)

DOE 435 (445) 3,279 649 601 205 - - - - 4,315 409

DHHS HRSA 3,085 150 - - - - - - - - 3,085 150

USDA 435 (619) 181 53 134 67 - - - - 750 (499)

OTHER 408 193 302 (25) 25 (72) - - 114 (181) 849 (85)

TOTAL FEDERAL $421,111 $13,405 $37,768 ($470) $17,199 $937 $3,810 ($77) $4,326 $348 $484,214 $14,143



Applied Science


Work


65

Table 12

Cost Sharing Expenditures by Detailed Cost Category and School – FY07

(000s)

DETAILED COST

CATEGORY FY07

$ Change

from FY06 FY07

$ Change

from FY06 FY07

$ Change

from FY06 FY07

$ Change

from FY06 FY07

$ Change

from FY06 FY07

$ Change

from FY06

Academic Salaries $12,605 $199 $1,734 ($64) $206 $42 $41 $21 $115 $84 $14,701 $282

Staff Salaries 3,625 503 85 (23) 1 (5) 17 4 - (67) 3,728 412

Grad Assistant 308 101 211 98 10 5 - - - - 529 204

Subtotal Salaries 16,538 803 2,030 11 217 42 58 25 115 17 18,958 898

Fringe Benefits 2,972 209 351 (16) 26 (1) 13 5 27 1 3,389 198

Stipends/Health Allowance 115 27 - - 9 9 - - - - 124 36

Consultants 19 (10) 5 (1) - - - - - (14) 24 (25)

Consumable Supplies 5,814 2,579 50 (33) 2 (1) - - - - 5,866 2,545

Other 2,065 345 233 (5) 2,368 252 - - 20 5 4,686 597

Travel 8 (16) 39 26 4 (4) - - 1 - 52 6

Subcontracts 30 30 - - - - - - - - 30 30

Equipment 251 (2,787) 14 (65) 10 4 - - - - 275 (2,848)

TOTAL DIRECT COSTS 27,812 1,180 2,722 (83) 2,636 301 71 30 163 9 33,404 1,437

F&A Costs 7,035 569 1,044 48 100 (39) 23 13 38 5 8,240 596

TOTAL $34,847 $1,749 $3,766 ($35) $2,736 $262 $94 $43 $201 $14 $41,644 $2,033



Applied Science


Work


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Appendix 1 Changes in Business Rules and Historical Trend Data

Changes in Business Rules and Historical Trend Data Reflected in Annual Reports as of Fiscal Year 2005

An analysis conducted in 2005 showed that the ―new award‖ data provided in past years had 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 have been modified to reflect only new dollars.

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Appendix 2 Trends in Federal Research Funding

This Appendix to the OVCR Annual Report provides information compiled from various sources, including the American Association for the Advancement of Science (AAAS), regarding trends in federal research funding.

According to the AAAS Budget and Policy Program, ―Federal research did very well between 1998 and 2003 because of the campaign to double the budget of NIH, the largest supporter of research. Other agencies also increased their research investments in that time period because a string of budget surpluses freed up resources for domestic appropriations. But with the return of budget deficits in 2002 followed by restraints on domestic spending thereafter, growth in research funding for NIH and other domestic agencies slowed in 2004 and then reversed. At the same time, DOD research support lagged as the Pentagon went to war in 2003 and shifted resources away from research toward near-term projects, and NASA research fell even within a stable R&D budget as it shifted resources from research first to returning the Space Shuttle to flight and then toward developing the Shuttle’s replacement.‖ Source http://www.aaas.org/spp/rd/prev08p.htm

The graphs below reflect historical trends in Federal R& D funding for selected agencies in constant dollars.

http://www.aaas.org/spp/rd/prev08p.htm

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President Bush signed a bill into law on February 15, 2007, which included the American Competitiveness Initiative (ACI). That initiative increased funding for three key agencies, including: the National Science Foundation (NSF), the Department of Energy’s Office of Science (DOE OS), and the National Institute of Standards and Technology Laboratories (NIST). The National Institutes of Health (NIH) received an inflationary increase instead of flat funding. Notice the increase in total NSF R&D funding in FY07, reversing two years of cuts in 2005 and 2006. ―President Bush also signed into law an NIH authorization bill that formally authorized a Common Fund cutting across NIH institute and appropriations lines to fund trans-NIH initiatives such as the Roadmap for Medical Research. Most NIH Institutes and Centers (ICs) received the same budgets in 2007 as last year, but the transfer of trans-NIH funding from individual ICs to OD (Office of the Director) in 2007 should allow most ICs to increase their research funding by 1.2 percent. The 2007 appropriation allows NIH to barely keep pace with economy-wide inflation in 2007 after two years of real cuts, but leaves NIH 3% below 2004 funding in real terms.‖ Source: http://www.yale.edu/oranewsletter/archive1/feature1.html The chart below shows the NIH R&D, in current dollars. Note that, since FY98, obligations in current dollars to Universities and Colleges have increased every year. The change in current dollars from FY98 to FY06 was 107.5%.

http://www.yale.edu/oranewsletter/archive1/feature1.html

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The graph below represents NIH R&D funding from 1998 to 2006 in constant dollars. During the 5-year period from 1998 to 2003, the NIH budget more than doubled from $13B to more than $27B. Since 2003, however, the trend has stalled. The following graph illustrates (in constant 2007 dollars) how NIH funding dramatically increased to Universities and Colleges during the years 1998-2003, before the stall and downward trend that began in 2004.

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The graph below shows the NIH budget for the past 30 years. Note that in current dollars (blue), the budget doubled in the 5-year period between 1998 and 2003, with a small increase in 2004 and a subsequent leveling through 2007, while the constant dollars (green) actually decreased from 2003 through 2007, indicating that the NIH budget is not keeping pace with inflation. (Source: http://www.nber.org/~sewp/Early%20Careers%20for%20Biomedical%20Scientists.pdf. Slide 19.)

Trend toward collaborative research ―The federal government, including the National Institutes of Health and the National Science Foundation, now supports projects that ask for researchers in different disciplines to work together. The NIH road map, a project that is determining the agency’s future extramural and intramural research mission, has defined certain areas for study, such as nanomedicine and structural biology, which will involve research within and across disciplines, and, in some cases, with industry. The new programs support research as well as the education of next-generation scientists to look across disciplines when doing research. The NSF also has ―cross-cutting/interdisciplinary programs‖ that seek new and multidisciplinary approaches in research, education, earth systems, and organizational structures.― (Source: http://ccnmtl.columbia.edu/projects/rcr/rcr_science/foundation/index.html#2_B )

http://www.nber.org/~sewp/Early%20Careers%20for%20Biomedical%20Scientists.pdf

http://ccnmtl.columbia.edu/projects/rcr/rcr_science/foundation/index.html#2_B

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Multiple PIs ―All Federal research agencies including NIH are preparing policies and procedures to formally allow multiple Principal Investigators (PI) on individual research awards. However, it is intended to supplement, and not to replace, the traditional single PI model. The overarching goal is to maximize the potential of team science efforts, responsive to the challenges and opportunities of the 21st century.‖ (Source: http://grants.nih.gov/grants/multi_pi/index.htm)

Caps on F&A Recovery Reductions of F&A recovery and the imposition of arbitrary caps on reimbursement of F&A costs (such as the cap on F&A costs on Department of Defense sponsored research) is a trend that could place additional burden on universities. Projections: Future of Funding ―The AAAS analysis of the latest outyear projections reveals that the Bush budget would cut R&D funding for all major R&D programs over the next five years except for NASA's space exploration programs and the three agencies singled out in the American Competitiveness Initiative (DOE Science, NSF, and NIST). Even defense and homeland security R&D, recipients of large increases until this year and projected for increases in past budgets, would decline in the latest projections.‖ (Source: http://www.aaas.org/spp/rd/guioutyr.htm)

http://grants.nih.gov/grants/multi_pi/index.htm

http://www.aaas.org/spp/rd/proj07p.htm

http://www.aaas.org/spp/rd/guioutyr.htm

Documents

FY07 Annual Report