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Arizona Commerce and Economic Development Commission and the Arizona Department of Commerce in association with Arizona's public research universities and the Arizona Board of Regents
� 2003 Battelle Memorial Institute
Technolog y Partnership Practice Battelle Memorial Institute Cleveland, Ohio
April 2003
Battelle Memorial Institute (Battelle) does not endorse or recommend particular companies, products, services, technologies nor does it endorse or recommend financial investments and/or the purchase or sale of securities. Battelle makes no warranty or guarantee, express or implied, including without limitation, warranties of fitness for a particular purpose or merchantability, for any report, service, data or other information provided herein.
Table of Contents
Executive Summary................................................................................................................. i Introduction ................................................................................................................................................ i Assessment of Arizona's Position in Research Innovation ...................................................................... iii Summary and Conclusions ..................................................................................................................... xvi Introduction .......................................................................................................................... 1 Project Approach and Methodology .......................................................................................................... 1 Setting the Research Context ................................................................................................... 3 Research Funding ...................................................................................................................................... 3 Peer Recognition ....................................................................................................................................... 7 Publications/Citations................................................................................................................................ 8 Grant Analysis ........................................................................................................................................... 8 A Closer Look at the Research Clusters .................................................................................. 12 Ecological Sciences ................................................................................................................................. 12 Agricultural Sciences............................................................................................................................... 15 Earth Sciences ......................................................................................................................................... 16 Space Sciences......................................................................................................................................... 18 Computer Modeling and Simulation Software ........................................................................................ 19 Anthropology........................................................................................................................................... 22 Mathematics ............................................................................................................................................ 22 Evolutionary Biology .............................................................................................................................. 24 Electronics and Optical Sciences............................................................................................................. 25 Chemistry and Materials Science ............................................................................................................ 28 From Research Clusters to Core Competencies........................................................................ 31 Electronics and Optics ............................................................................................................................. 32 Computer Modeling and Simulation........................................................................................................ 36 Chemistry and Materials.......................................................................................................................... 40 Space Sciences......................................................................................................................................... 43 Ecological Sciences ................................................................................................................................. 45 Plant and Agricultural Sciences............................................................................................................... 49 World Class Research Signatures for Arizona ......................................................................... 52 Technology Platforms, Products and Market Niches for Arizona ............................................... 54 Communications...................................................................................................................................... 55 Information Technology .......................................................................................................................... 64 Bioengineering ........................................................................................................................................ 74 Sustainable Systems ................................................................................................................................ 79 Identification of Gaps, Options, and Opportunities to Further Improve Competitiveness in the Technology Platforms ........................................................................................................... 88 Platform-Specific Gaps and Options ....................................................................................................... 88 Cross Cutting Opportunities .................................................................................................................... 97 Creating a Collaborative Environment .................................................................................................. 100 Attracting the Best and Brightest........................................................................................................... 103 Application Centers ............................................................................................................................... 104 Business Development and Marketing .................................................................................................. 106 Technology Transfer and Commercialization ....................................................................................... 107 Summary and Conclusions .................................................................................................. 109 Appendix: University Research Profiles--Grants, Funding, Publications and Degrees ............... 110 The University of Arizona ..................................................................................................................... 110 Arizona State University ....................................................................................................................... 112 Northern Arizona University ................................................................................................................. 116
Executive Summary
Research universities are emerging as a key economic asset in today's global knowledge-based economy. States across the nation are increasingly seeking to leverage the science and technology assets found at their research universities as a source of "World class research is a passport competitive advantage. Research universities are becoming to success in the global economy. anchors for an exciting array of state economic development Industry can no longer compete by selling standard products made with initiatives involving commercialization activities, collaborative standard processes and that could and multi-disciplinary research centers, and innovative new be produced anywhere in the world curriculum and educational programs needed for workforce at lower cost. Businesses must training. But each state's research base offers different areas of strength and economic opportunity. States are learning that to gain economic value from their research universities, they need to assess the specific areas of research focus and excellence found at their universities and determine how those research capacities link to market opportunities and locally-based industry specializations. With three public research universities generating a combined $500 million annually in research funding, the opportunity for Arizona to harness the economic potential of its research universities is clear.
constantly innovate to raise the quality of production, introduce new product lines or services, and add greater value to their outputs. For this reason, states must create an environment that supports continuous innovation. This requires investment in cutting-edge research, facilities and equipment." National Governors Association, State Leadership in the Global Economy Task Force, 2002
Accordingly, as Arizona develops its comprehensive state economic development strategy, a critical aspect is to determine how to further build the state's growing research stature and reputation in specific university research fields that can also link to the state's efforts to build its economic future through private-public partnerships between industry, higher education, and government.
Project Approach and Methodology
The focus of this study is to identify the specific research competencies found at Arizona's research universities from both a research and broader economic development perspective, identify areas for raising Arizona's research stature and potential niches for economic development, and present opportunities for future collaborations that will fill key gaps. This effort builds upon a recently completed assessment of the state's position in the biosciences, particularly in biomedical research efforts. This project was funded by the Flinn Foundation and conducted by the Battelle Technology Partnership Practice. Arizona's Commerce and Economic Development Commission and the Arizona Department of Commerce, in consultation with the state's research universities, engaged Battelle to extend their core competency assessment to the non-bioscience areas found in the state.
Conducting this assessment requires a variety of integrated and complementary analyses involving both quantitative analysis and qualitative intelligence gathering from interviews and market research. The overall methodology involved a four-step process. � Rigorous Quantitative Analysis. First, a variety of quantitative analyses of research activities were undertaken to identify leading areas of research focus found across the research universities in Arizona, which would underpin areas of core competency. Analyses included examination of Arizona's position in research funding across research areas, review of studies of peer recognition, analysis of publications activity, and an assessment of grant activity using cluster analysis. In-Depth Qualitative Analysis. Second, an extensive interview process with research administrators and research leaders in Arizona--with 60 interviews being conducted--was undertaken to better interpret the quantitative analyses. This also helped determine how the leading research areas link into research core competencies that are based on factors such as competitive differentiation, ability to transcend single business areas, and how difficult they are for competitors to imitate. Market Assessment. Third, an assessment involving market research was conducted to identify whether these core competency areas can be related to technology platforms that link to market opportunities and avenues for economic development in the state. Gaps, Options, and Opportunities Assessment. Fourth, the interviews and market research data, combined with analysis of programs in other states, were used to identify gaps both within and across technology platforms. These gaps identify options and opportunities to strengthen the platforms and the overall state infrastructure supporting technology-based economic development.
Our overall approach is shown in Figure ES1.
Figure ES1: Overall Core Competency Project Plan
Quantitative Analysis of University Research Activities to Identify Potential Core Competency Areas
Key Competitive Efforts in Other States
Qualitative Assessment of University Core Competency Areas
Broad Market Assessment
Core Competency Assessment � Analysis of core research areas � basic research, enabling and applications � Linkages across core research areas � Broad market potentials � Development potential in Arizona
Gaps, Options, & Opportunities
Core Competency Areas
To identify leading areas of research activity, Battelle identified those research areas that had a concentration of activity and excellence as demonstrated by having: � A significant number of clusters of federally funded research grants awarded through rigorous peer-review processes such as those at the National Science Foundation, the Department of Defense, the Department of Energy, the U.S. Department of Agriculture (USDA), NASA, and other federal agencies. These clusters are groups of grants that relate to one another based on the actual research activities underway in each grant. To undertake this cluster analysis, Battelle used a proprietary data-mining tool, known as Starlight, which identifies textual similarities in each of the grants' abstracts. A broad base of principal investigators, along with prominent researchers who hold multiple peer-review grants. Substantial level and impact of publications for the five-year period of 1997 to 2001, based on a compilation by ISI Thomson Scientific in its University Science Indicators database. We highlighted those research fields with at least 150 publications and a relative citation impact of 40 percent higher than the national average in that field.
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The high rankings in funding or the high standing in peer recognition were based on surveys conducted by US News and World Report. An initial set of ten leading research areas (outside of biomedical research) in Arizona were identified. Further analysis of these leading research areas, informed by intelligence gathered through structured interviews with research administrators and leaders, enabled Battelle to identify six areas of core competency (Figure ES2). These core competencies reflect areas of research focus in Arizona meeting the following criteria: breadth, depth, reputation and impact on their field, competitive differentiation, ability to transcend single business areas, and hard for competitors to imitate.
Figure ES2: Research Strengths to Core Competencies
Leading Research Areas
Ecological Sciences Earth Sciences Evolutionary Biology Anthropology Agricultural Sciences Space Sciences Computer Modeling Mathematics
Electronics & Optical Sciences Chemistry & Material Sciences
Core Competencies
Ecological Sciences
Agriculture & Plant Sciences Space Sciences Computer Modeling & Simulation Electronics & Optics Chemistry & Materials
A brief description of each of the core competencies is set out in Table ES1 below.
Table ES1: Description of Non-Biomedical Core Competency Areas Identified Across Arizona Research Universities � Electronics and Optics � It is the combination and integration of electronics and optics that places Arizona in a class with very few other states (perhaps only New York and California). Therefore, in characterizing this competence, we emphasize where these two research areas converge, namely in optoelectronics, photonics, semiconductors, optics in computing/storage, and both wireline and wireless applications. A robust group of approximately 60 faculty works in this combined field across primarily University of Arizona and Arizona State University, and is closely linked to the high tech industry in the region and nationally. � Computer Modeling and Simulation � The computer modeling and simulation core competency depends on two key attributes: the wide range of software applications, from environment and health to materials and electronics, and the strong foundation in applied mathematics. This area underpins much of the research effort at all three universities. Approximately 400 principal investigators are engaged in mathematics and computer modeling and simulation research endeavors. Computer modeling and simulation is very applications-oriented, with particular emphasis on electronics, communications, and data management. Other pockets of concentration are in materials science, energy, environment, and biology. � Chemistry and Materials � This core competency ranges from geochemistry to electronic materials. It is impossible to separate out chemistry from materials inasmuch as chemistry plays a crucial role in materials synthesis, materials performance, and materials characterization. More than 100 researchers are engaged in this competence. New or improved materials are being created to advance technologies in the semiconductor, electronics, aerospace, health sciences and other industries. Chemical and materials research is found across all research universities in Arizona and is closely tied to research in other departments such as physics, electrical engineering, bioengineering, mechanical engineering, and optical science. � Space Sciences � The Arizona Space Grant College Consortium ties all three Arizona research universities together. The Consortium is a NASA-sponsored program of outreach, training, and research to encourage understanding of space exploration and provide a stream of trained professionals into the industry. About 60 faculty are engaged in space sciences (astronomy and planetary sciences). Key areas of focus include basic science concerned with observations in our solar system and the emerging area of biogeochemistry to study materials on earth and other planets. However, the focus of this core competency is the engineered devices and systems that are the means to that end (i.e., powerful telescopes and satellites, measuring instruments and related materials, optics and electronics developments). The combination of astronomy and planetary sciences at UA, ASU, and NAU makes the state a national leader in space science and engineering. � Ecological Sciences � Significant expertise and resources in the ecological sciences exists at all three universities, making this area by far the strongest core competence in Arizona. Over 300 faculty are engaged in research on ecology. If one counts faculty engaged in the related fields of Earth Sciences, Anthropology, and Evolutionary Biology, there are over 500 principal investigators, and with graduate students, well over 2,000 researchers are involved. Fundamental research is underway in Arizona on how all living creatures interact within our environment on Earth, embracing research on environmental effects like global climate change and adaptation, evolutionary biology of plants, mammals and insects, botany, natural resources (i.e., water, land, forests) management, earth sciences, population, communities, and landscape changes (i.e., urban ecology). Since ecology
covers such a broad area of science, engineering, and policy, the connections to other areas of research strength are numerous. � Plant and Agricultural Sciences � Arizona has traditional agricultural science addressing the challenges of growing crops in arid/semi arid lands at each of its research universities, which is closely related to Ecological Sciences and Earth Sciences.
Sustainable agriculture is strong at NAU. Plant science looks at genetics and other key mechanisms of plant development, such as photosynthesis, and is strong at both Arizona State and the University of Arizona. However, it is the integration of these two research areas that makes this a state core competence.
Opportunities for World Class Research "Signature" for Arizona
Battelle was also asked to identify potential world class research areas in the universities, which are worthy of nurturing as potential state "signature" research. Clearly, not all components of the core competencies meet this criterion. Below are some areas that Battelle believes are worthy of state recognition and nurturing as potential research signatures. Arizona's strongest core competence by far is the ecological sciences. There are three areas of world-class research and scholarship in this broad and deep competence. � � � Arid/semi-arid lands ecology � Battelle could not find another university system that possessed the same depth of knowledge. Urban ecology � The extension of the remote sensing and urban environmental systems studies to many other cities around the world substantiates Arizona's leadership here. Hydrology and water resources � UA is #1 nationally in hydrology; add to that distinction the four water centers, each dealing with a different problem area, and ASU's and NAU's contributions, and Arizona has what is arguably the world's biggest and best water resource portfolio. The only other collection of water resources that Battelle found is the memorandum of understanding that links the water resource centers in universities in Washington, Idaho and Oregon, with Pacific Northwest National Laboratory and Idaho National Environment and Engineering Laboratory.
After ecology, the next best core competence for Arizona is electronics and optics, which is complemented by chemistry and materials as well as computer modeling and simulation. Within this competence, Battelle sees three areas of strength (the first enhanced by the chemistry and materials competence; the last two enhanced by the computer modeling and simulation competence), but each has serious competitors in other universities in New York and California. � � � Materials that are being produced at the electronics/optics interface � photonic, optoelectronic, and nanoelectronic materials are specialties. Integration of these materials into complex circuitry � strength in embedded systems is pervasive. Wireless � wireline infrastructure unification is a key competence.
In the bioengineering area, discussed in the Flinn Foundation study, the clear strength that Arizona has is the linkage of neuroscience with the materials, software, and electronics capabilities to provide a neural engineering platform. Neural engineering advances in Arizona include using
thoughts to instruct robots for an advanced neural prosthetic interface, and spinal cord stimulation to restore gait. This could definitely be developed into a world-class bioengineering specialty with enormous impact in the health field. Competitors do exist, however. Oregon boasts a world class neuroscience core competence at Oregon Health and Science University and University of Oregon, and a growing neuro-products (imaging) industry cluster. Space Sciences has two areas of world class research. For example: � � Advanced land-based and space telescope design and mirror construction at UA; and Design of remotely operated instruments for measurements in space.
Competitors include the University of Colorado, Cornell, and the University of Chicago, but Battelle could not find any state university system that possessed the combined strengths of astronomy and planetary sciences that Arizona has, hence the interest in the integration of these research capabilities. Plant sciences also has two strong areas, which could be very powerful if integrated: � � The Plant Genomics Institute at UA, led by Rod Wing, sequences plant genomes, which can be used in crop enhancement and as models for human disease; and The Arizona Biodesign Institute at ASU, where Charles Arntzen's group is a world leader in development and manufacture of edible vaccines.
Competitors in plant sciences include St. Louis, with Washington University, Danforth Plant Sciences Center, Monsanto and others; the Research Triangle; Cornell University; and Saskatoon, Canada. Nevertheless, it is the breadth of plant science capability at UA and ASU, including crop genetics, the use of plants as models for human disease, and edible vaccines that makes this area an attractive signature research candidate.
Developing and Forming Technology Platforms
Technology platforms serve as a bridge between the research core competencies and their use in commercial applications and products. They share the following characteristics: � � � � � Applications orientation, merging early-stage laboratory-scale science and technology into systems and devices; Robust and "evergreen" to address current as well as emerging market opportunities; Produce a regular stream of innovative, perhaps disruptive, products (i.e., a product pipeline); Require cross department and cross-university collaborations � brand new teams as well as enhanced existing teams; and Require partnership with industry to provide customer perspective and productization skills.
Based on Battelle's assessment, the six science and technology core competencies can be ordered into four technology platforms that could be a source of innovative technologies and/or products for Arizona's economy. These are: � � Communications Information technology � � Bioengineering Sustainable Systems
The overall scheme is shown in Figure ES3.
Figure ES3: Framework for Arizona Public University Technology/Product Pipeline to Industry
Core Competencies
Foundational Applied
Technology Platforms
"Fusion or Convergence"
� Nano/Micro
� Photonic/Electro
Electronics & Optics Space Sciences Computer Modeling & Simulation Information Technology Ecological Sciences Bioengineering Plant & Agricultural Sciences Communications
Optic Devices Systems
� Wireless Networks/ � Embedded Systems � Molecular Electronics � "Green" Chip
Fabrication TELECOMMUNICATIONS
� Optics in
� Implants/Prosthetics � Medical Imaging/
Materials & Chemistry
� Analytical
Instruments SUSTAINABILITY INDUSTRIES
- agricultural bioproducts - environmental engineering - integrated resource management
� Bioproducts
Sustainable Systems
� Biomass Energy � Water
� Geospatial Devices
There are several key niches identified for Arizona in each of these technology platforms. The analysis provided in the full report describes in more detail the key components of each technology platform, and some near and longer-term product opportunities, based on the market analysis. At this stage, it will not be a complete "pipeline," but rather, examples with obvious market potential, which should be of interest to industry.
This platform addresses the telecommunications challenge. It is closely tied to the second platform on Information Technology; in fact some include telecom in the IT classification. However, we have chosen to keep the two separate in order to bring focus to a real strength of Arizona, namely the existence of four core competencies that can be integrated into next generation telecom systems--electronics and optics, computer modeling and simulation, chemistry and materials, and space sciences. All four of the core competencies, if carefully integrated and nurtured, could give Arizona a world leadership position in telecommunications. In this market space, Arizona universities' core competencies are being used to produce innovative technologies and/or products in three niche areas, all of which play into the telecom system of the future:
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High bandwidth, high-speed wireline technologies (0-5 years); Unification of wireless and wireline systems (0-5 years); and Micro/nano satellites (approximately 10 years).
Information Technology
Like the preceding technology platform, the IT platform addresses the "anywhere, anytime" promise of the Internet, but from the perspectives of computers and peripherals, semiconductors and software. Because of the hardware and software dimensions, this platform embraces the electronics and optics, chemistry and materials, and computer modeling and simulation core competencies. In the IT market space, key commercialization opportunities for Arizona's technologies are: � � � � � Ubiquitous computing environments (0-5years); Software systems (0-5 years); Semiconductor materials/manufacturing (0-5 years); Optics in computing/storage (5-10 years); and Nano (molecular) electronics (>10 years).
Inasmuch as bioengineering is an interdisciplinary area, it uses almost all the identified core competencies, plus connections to other university units, such as Mechanical Engineering, the Manufacturing Institute (design and manufacturing), Industrial Engineering (e.g., human factors, ergonomics), Systems Science and Engineering Research Center (for neuroengineering), and Exercise Science and Physical Education (for motor control and biomechanics). This area was identified in the Flinn Foundation-supported Arizona Biosciences Roadmap and a Phase II effort is underway to further investigate these bioengineering niches to insure that Arizona can increase its research and technology competence in this area. Some near-term opportunities (0-5 years) and some longer-term areas (approximately 10 years) that will be under consideration for Arizona leadership in this rapidly growing and crowded field include: � � � Neural engineering (0-5 years); Application of optics for medical diagnosis and treatment (0-5 years); and Implantable biocompatible devices (more than 10 years).
Sustainable Systems
This platform is based on the thesis that if we want economic progress to continue, we must systematically restructure the global economy to make it environmentally sustainable. An economy is sustainable only if it respects the principles of ecology. An eco-economy would be one that satisfies current needs without jeopardizing the prospects of future generations to meet their needs. The ecological sciences are Arizona's top core competence and the plant and agricultural sciences competence is also strong. Therefore, this is an area where Arizona has an opportunity to be both a market creator and leader. There are several areas of sustainability that Arizona could take the
lead in. In developing this platform, it is important to look beyond the traditional measures of commercialization. The knowledge gained from environmental research will play a critical role in land use planning, siting of industrial and residential developments, agricultural policies, and so on, which will have a different but no less important impact on economic development. Arizona could well become the lead state for the best model of sustainable growth. � Sustainable manufacturing � (0-5 years) For environmentally compatible products and manufacturing processes that fit into current fabrication plant designs; (5-10 years) designing the next generation fabrication plant to take advantage of miniaturization that micro/nano systems provide, which will radically reduce the plant footprint; and (more than 10 years) the emerging areas of bio-nanomaterials and molecular electronics. High value bioproducts � (0-5 years) "Green factory" producing edible vaccines; and (5-10 years) new, environmentally friendly industrial products such as chemicals for plastics, solvents, and fibers. Water resources � (0-5 years) The concentration of hydrology and water expertise in the state makes this a potentially very rich area to mine for technology that will help solve world water problems and also create economic benefit. Remote sensing � (0-5 years) The strong remote sensing and data analysis capabilities of the Arizona universities would be an asset to the state's environmental engineering/consulting cluster, providing new capabilities to assess water resources, land use, forest health, etc. In the longer term (5-10 years), these capabilities could be linked to the micro/nanosatellite competence to produce a new business of remote monitoring and control. New construction materials � (5-10 years) The investments being made in new materials technology that fuses chemistry, biology, and physics can produce new bio-inspired construction materials, which will not require the high energy input to fabricate, yet will have the strength of traditional steels or concrete. They can also be designed to be biodegradable after their useful operating lifetime. Sustainable agriculture � (0-5 years) NAU and UA are already engaged in sustainable agriculture, which can be further enhanced through integration with the plant genomics advances. Sustainable forests � (0-5 years) NAU and UA are studying a broad range of forest issues, including fire management, tree growth, and use of low-grade wood from clear-cutting. Renewable energy � (more than 10 years) The state has abundant wind and solar energy and a small group of companies in Flagstaff (wind) and Phoenix (solar). NAU has an active wind energy research program that could be leveraged to grow this industry. Infectious disease treatments � (more than 10 years) Concerns over environmental variability and change and its impact on human health are steadily growing around the world. Many of the possible threats are becoming more widespread in arid and semi-arid regions around the world, and this provides a unique opportunity for Arizona.
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Gaps, Options, and Opportunities
For three platforms--Communications, Information Technology, and Sustainable Systems-- Battelle identified the gaps within these platforms and the options to be addressed to build and strengthen each platform. The report also identifies opportunities that cut across these three platforms to position Arizona's public research universities and the state for the future. These represent preliminary analysis of gaps, options, and opportunities and a full roadmap for each platform would enable the setting of priorities and implementation plans for each platform, an activity outside the scope of the current project.
Key gaps in communications to build a more robust platform includes:
� � � � � � Limited coordination Limited collaboration at system scale Quality and depth of graduate student pool Facilities for interdisciplinary showcases Faculty gaps in specialty areas � � � System capabilities to draw industry Deficiencies in technology transfer/ commercialization process Limited strategic alliances and partnerships with other research centers
University-industry differences in interest/time frames Key options to consider in addressing these gaps in the communications platform include:
� � � Statewide umbrella communications entity Showcase facilities for interdisciplinary, systems labs to engage industry Recruit world-class faculty from higher education and industry � � Establish statewide program of graduate student excellence in communications Improve communications between researchers and technology transfer function
Information Technology
Gaps for information technology included several that overlapped communications, but there were also distinct issues.
� � � Address talent base at K-12 Not nationally competitive in major federal research awards Limited hardware/software system infrastructure across universities to interest industry � � � No software focus to build critical mass within state Aging non-competitive IT labs and materials Chip development fragmentation of focus/interests
To position Arizona in this highly competitive information technology platform, the following options might be considered:
� � � Enhance faculty gaps Improve technology transfer/ commercialization processes Compare and follow Sematech Roadmap to Chart Arizona's IT Future � � � Focus IT efforts around translational research/product development key areas Increase IT collaboration across research universities Attract industry IT research operations to Arizona
Sustainable Systems
There were some similarities in Battelle's findings as to gaps, options, and opportunities regarding the communications and information technology platforms. However, in the case of sustainability, this platform is at a more formative or developmental stage, necessitating a different set of needs and requirements.
� � � Limited markets for sustainability Applications at local/regional levels missing No single national center of leadership and responsibility � � � Building research quality through faculty/student excellence needed Technology commercialization support critical to "building your own" Green manufacturing niche area for Arizona through research collaboration
Additional gaps include: � � � � Need for central users facility; No federal research anchor for sustainability in Arizona now; Losing star researchers outside the state; and No industry association linking users and products of sustainability.
Among the options that might go into an investment plan or strategy for what is at the earliest stages of what could become a full technology platform are the following:
� Establish statewide sustainability organization linking state government and universities Establish or reposition a state industry association � � Attract major federal sustainability center/institute to Arizona Establish pilot regional projects in Arizona
Cross Cutting Opportunities
Although we have proposed specific platform options to address gaps for each platform, there are options and opportunities that are generic to all platforms. We call these "cross cutting opportunities" that address all three technology platforms just discussed. This does not negate the options and opportunities specific to each platform but represent macro-level solutions across all three areas. What is very encouraging is that many of the solutions have already been initiated in part by at least one university, so there is momentum and a base to build on. These crosscutting opportunities are presented in five categories: � � � � � Creating a collaborative environment; Attracting the best and brightest; Application centers; Business development and marketing; and Technology transfer and commercialization.
Creating a Collaborative Environment
Of all the gaps identified in interviews, the challenge of starting and maintaining collaborations across the universities in the state was mentioned most frequently.
Cross-Institutional Collaborations
Options to address enhanced cross-institutional collaborations are suggested for each of the technology platforms, because these are the engines for economic growth. Fortunately for Arizona, in most cases a collaborative effort exists on which to build. Collaboration options for each platform include: Telecommunications. It may be possible to form a university-industry collaboration around the technologies needed for the telecom system of the future--the unification of wireless systems with the conventional wireline infrastructure. This collaboration could be built on the foundations provided by Connection 1, an NSF industry/university cooperative research center, and the Consortium for Embedded and Internetworking Technology (CEINT) at ASU, and the proposed Center for Intelligent Optical Networks at UA. Information Technology. A possible base for research university collaboration and a universityindustry collaboration is to capitalize on the convergence of electronics and optics, which will yield new optoelectronic materials, semiconductors, lasers, molecular/nanoelectronics, and optical computing and storage systems, revolutionizing information technology infrastructure. A new initiative is needed to embrace all the research at ASU, NAU and UA that can contribute to this convergence. A start is being made at UA with the proposed Photonic Technology Center that will serve to integrate the university's enabling capabilities. Sustainability. This broad area is the wave of the future, and so now is the time to bring the contributing components together into a systems approach that can address community and industry needs and provide answers that are backed by good science. The foundation for a statewide collaboration could be the Institute for the Study of Planet Earth (ISPE), formed at UA.
Making ISPE the Arizona Institute for Planet Earth is the logical next step, with coordinating offices at ASU and NAU.
Improving Connectivity
With the major research and development resources in Arizona being geographically dispersed, one option is creating a "Collaboratory" for each platform, in which the state's researchers can work cooperatively to further research and develop applications for technology without regard to geographical location. Hardware and software is now available that can enable researchers to interact with their colleagues, access instrumentation, share data and computation resources, and access information in digital libraries. By providing access to instruments, data, and computer display sharing, the Collaboratory would enable researchers in different geographical locations to interact as if they were located more closely. Another option for improving connectivity is for Arizona to organize and provide support for formal technical networks that will foster the collaboration needed between research and industry to achieve the state's technical and economic goals. The value to participants includes the expansion of their knowledge base, access to resources not available in their home institutions, and increased opportunities for collaborative R&D funding. Technical network activities could include developing and maintaining an inventory of network capabilities, conducting topical workshops or seminars sponsored by the partners, and developing joint research opportunities and contributions to new intellectual property and capabilities. The Collaboratory environment discussed above would be very useful in enabling the networks. The state could assist in organizing the networks and make funding available to support network activities such as Web sites, workshops, and other gatherings.
Attracting the Best and Brightest Recruiting Incentives
There are still major opportunities to enhance the depth of research, management, and entrepreneurial capacity in Arizona. Specific actions might include: � Develop the Arizona Executive Corps, to bring serial entrepreneurial managers to the state both to temporarily manage prototype development and seed and pre-seed funds, and offer business counseling and mentoring. Eventually, these managers can serve as CEOs and CFOs of spin-offs and startups coming from these technology platforms. Expand the entrepreneurial assistance role through university-industry partnerships to offer in-depth training and networking programs to develop qualified CEOs and help train firms in various aspects of business and technology management and other skills, including taking greater advantage of the universities' business schools, faculty, and student body.
Growing Your Own
For long-term sustainability, a state must have a system that continuously yields first-class students, researchers, entrepreneurs and business leaders. New programs that encourage innovation and commercial deployment are needed. A few that are compatible with Arizona's capabilities and culture include:
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Advanced interdisciplinary science courses for high schools that are developed in the universities and taught in their laboratories with university/private sector mentors; Increase the number of local state science fairs that would produce high school teams for international competitions like Intel's Science Fair; Expand on the Flinn Scholars program to further increase the scholarships and/or internships available to the best students in advanced communications, information technology, biosciences and ecological sciences; Address the need for additional resources for pre-prototype development and technology commercialization support such as capital gaps, by forming private equity funds focused on seed and early stage investing in each platform area; and Establish stronger industry relationships and partnerships in each platform through an applied matching grant program, leveraging industry funds and forming collaboration between research faculty in each platform and small and large firms in and outside the state.
Application Centers
Infrastructure is either missing or deficient for all the platforms. This gap was the second most frequently mentioned in interviews. Therefore, to help forge and sustain the collaborative environment, Battelle suggests that Arizona help create and fund the initial operation of Application Centers around each platform, which will provide access to facilities, equipment and experts to enable industry, working in partnership with academic researchers, to adapt, develop, and utilize discoveries from the state's research institutions. The Application Center will: � � � � � � � Include one-of-a-kind equipment or facilities (e.g., wet labs, clean rooms) that enhance the current or planned capabilities of Arizona's research institutions and industry; Operate as user facilities, shared by both research institutes and private industry; Focus on translational research, i.e., activities undertaken to increase the commercial value of Arizona's innovations; Provide a training ground for undergraduates and graduates; Emphasize the development of products that will support the growth of emerging markets and the creation of brand new markets; Seek to leverage and influence federal investments in research and development; and Be networked to institutions conducting basic science research and the companies that are the end users of the technology being developed.
The Centers would provide demonstration and test-bed facilities as well as testing and evaluation services. Examples of the type of services that could be provided by the Centers include capabilities to allow for the manufacture of limited quantities of prototypes for testing, and further development or access to a computer-aided design facility to provide software development and simulation. An additional attractive feature would be availability of space to incubate entrepreneurial startup companies. Such an infrastructure would help Arizona surpass its competitors in these areas by reducing commercialization time.
Business Development and Marketing Growing the R&D Business
To move to the next level, Arizona's public research universities might push the envelope in addressing how to secure additional federal research dollars. More market intelligence is needed to create awareness of large opportunities before they become wired to other institutions. Centralizing this function at the university, or having a single office for the Arizona university system, would be advantageous. University assignments to key federal agencies would help build "mind share" within those agencies. Also, a continuous Washington presence is required to work with Arizona's delegation. Strategic hiring of key government officials after they have retired is one way to initiate this. Finally, each platform should have at least one business development professional to work with faculty on large procurement opportunities. While competitive intelligence is very important, the key to success is building the team that can deliver the winning proposals. Strategic hires of professional project managers, who can pull together universityindustry partnerships, would be a great investment.
Technology Transfer and Commercialization
This area is the Achilles heel of most universities and research institutes and Arizona is no exception. While this is a subject of much interest to faculty, there appears to be a general lack of knowledge of the universities' current programs, policies, and changes in personnel and practice in recent years. UA, ASU, and NAU (through its agreement whereby ASU manages its intellectual property) have made critical new hires and changed policies and procedures to reduce the barriers to successful commercial development of inventions. Universities' will need to continue to address this general communication problem between faculty and the Technology Transfer Offices, and gaps in the overall system, such as ASU's recent technology ventures initiative.
Arizona has a considerable research base in its three public research universities on which to build a strong technology-based economic development effort. Combining this analysis with the earlier Arizona biosciences roadmap suggests six technology platforms on which Arizona's public research universities can focus: � � � � � � � Communications; Information technology; Sustainable systems; Bioengineering; Neurological sciences; and Cancer-therapeutics.
These six platforms represent: Competitive research areas nationally for the state's three public research universities as measured by the "market place" of academic research, e.g., citation analysis and federal funding concentrations (e.g., multiple PI awards), and augmented by Battelle's "Starlight" cluster analysis of linkages within and across these areas. Interdisciplinary areas that, for the most part, take advantage of a wide range of disciplines and whose enhancement is more likely through higher education collaboration across Arizona's public research universities. The basis for sustained and growing industry, government, and academic partnerships in both research and knowledge and technology commercialization.
The six core competencies identified in this study were blended into four technology platforms that have the potential of catching the next major technological waves: advanced communications, gene-based medicine, and sustainable systems. Gaps and options for enhancement of three of the platforms--communications, information technology, and sustainability--were identified through interviews and analysis of similar programs elsewhere. The fourth platform, bioengineering, is currently the subject of a platform development strategy, supported by the Flinn Foundation and involving the three research universities, other research organizations, and Battelle. Finally, Battelle identified five crosscutting opportunities and actions that might be considered and needed to address all technology platforms. Because a core competency analysis led to the identification of these platforms, this study can only address gaps, options and opportunities in a preliminary fashion. To further build Arizona's future in these platforms, each will need to be further developed as comprehensive roadmaps.
Research universities are emerging as a key economic asset in today's global, knowledge-based economy. States across the nation are increasingly seeking to leverage the science and technology assets found at their research universities as a source of competitive advantage. Research universities are becoming anchors for an exciting array of state economic development initiatives involving commercialization activities, collaborative "World class research is a passport and multi-disciplinary research centers and innovative to success in the global economy. new curriculum and educational programs needed for Industry can no longer compete by workforce training. But each state's research base offers different areas of strength and economic opportunity. States are learning that to gain economic value from their research universities they need to assess the specific areas of research focus and excellence found at their universities and determine how those research capacities link to market opportunities and locallybased industry specializations. With three public research universities generating a combined $500 million annually in research funding, the opportunity for Arizona to harness the economic potential of its research universities is clear.
selling standard products made with standard processes and that could be produced anywhere in the world at lower cost. Businesses must constantly innovate to raise the quality of production, introduce new product lines or services, and add greater value to their outputs. For this reason, states must create an environment that supports continuous innovation. This requires investment in cutting-edge research, facilities and equipment." National Governors Association, State Leadership in the Global Economy Task Force, 2002
Accordingly, as Arizona develops its comprehensive state economic development strategy, a critical aspect is to determine how to further build the state's growing research stature and reputation in specific university research fields that can also link to the state's efforts to build its economic future through private-public partnerships between industry, higher education, and government.
This study has the following major objectives: 1. Identify the specific research competencies found at Arizona's research universities from both a research and a broader economic development perspective; 2. Indicate areas of research that should be emphasized to raise Arizona's research stature internationally; and 3. Propose potential technology platforms and niches that are appropriate for economic development, and identify gaps that afford opportunities to strengthen them. This effort builds upon a recently completed project, funded by the Flinn Foundation and conducted by the Battelle Technology Partnership Practice, to assess the state's position in the biosciences, particularly in biomedical research efforts.
Arizona's Commerce and Economic Development Commission and the Arizona Department of Commerce, in consultation with the state's research universities, engaged Battelle to extend their core competency assessment to the non-bioscience areas found in the state. To conduct this assessment requires a variety of integrated and complementary analyses that involve both quantitative analysis, qualitative intelligence gathering from interviews and market research. The overall methodology involved a four-step process: � First, a variety of quantitative analyses of research activities were undertaken to identify leading areas of research focus found across the research universities in Arizona that would underpin areas of core competency. Analyses included examination of Arizona's position in research funding across research areas, review of studies of peer recognition, analysis of publications activity, and an assessment of grant activity using cluster analysis. Second, an extensive interview process with research administrators and research leaders in Arizona--with 60 interviews being conducted--to better interpret the quantitative analyses and determine how the leading research areas link into research core competencies, based on such factors as competitive differentiation, ability to transcend a single business area and difficult for competitors to imitate. Third, an assessment involving market research was conducted to identify whether these core competency areas can be related to technology platforms that link to market opportunities and avenues for economic development in the state. Fourth, the interviews and market research data, combined with analysis of programs in other states, were used to identify gaps, both within and across technology platforms, which present opportunities to strengthen the platforms and the overall state infrastructure supporting technology-based economic development.
Figure 1: Project Approach and Methodology
Ke y Competitive Efforts in Other States
Our overall approach is shown in Figure 1. The report is organized into the following components: � � � � Setting the research context; A closer look at the research clusters; From research clusters to core competencies; Areas upon which to build a world class science and technology image;
Quantitative Analysis of University Research Activities to Identify Potential Core Competency Areas
Qualitative Assessment of University Core Competency Areas
Broad Market Assessment
Core Competency Assessment � Analysis of core research areas � basic research, enabling and applications � Linkages across core research areas � Broad market potentials � Development potential in Arizona
Gaps, Options, & Opportunities
� �
Technology platforms, products and market niches for Arizona; and Gaps and opportunities to strengthen the technology platforms to further improve competitiveness.
Setting the Research Context
To develop an understanding of the position and characteristics of non-bioscience research activities in Arizona, we have reviewed secondary data sources and assessed existing or emerging areas of research and development strength with technology and/or commercial potential. This includes: 1. Trends in research funding found across Arizona's universities, focusing on research fields in which Arizona excels; 2. National rankings on research excellence based on peer recognition; 3. Analysis of publications and citation activity across research fields; and 4. Analysis of federal research grants using pattern recognition software.
Across non-bioscience research areas, Arizona stands as a top tier state in university research funding. Arizona ranks 16th in the nation across all states in non-bioscience university research funding. By comparison, in total university research funding, including biosciences, Arizona slips to 21st in the nation. Arizona has risen sharply in non-bioscience university research relative to the nation over the past twenty-five years, though in recent years has lagged national growth in research. As Figure 2 shows, back in the early 1970s, Arizona stood at roughly 1.6 percent of national university research funding in the non-bioscience fields. By 1995, Arizona had climbed to 2.4 percent of the nation's university research funding--nearly doubling Arizona's share of national university research funding. However, since 1995 Arizona has fallen off slightly and is now at roughly 2.2 percent.
Figure 2: Arizona Non-Life Science Academic R&D as a Percentage of Total U.S. Academic R&D
1.4% 1973 1974 1975 1976 1977 1978 1979 1980 1981 1982 1983 1984 1985 1986 1987 1988 1989 1990 1991 1992 1993 1994 1995 1996 1997 1998 1999 2000
Arizona is a national leader in research funding in a number of specific non-bioscience research fields--including astronomy, earth sciences and engineering. A closer look at research funding by specific fields (see Table 1 below) reveals that, as a state, Arizona ranks among the top ten of all states in the physical sciences (7th), led by astronomy (2nd) in which Arizona has nearly 18 percent of all university research activities nationwide. Arizona ranks 7th in earth sciences; and also is highly ranked in a number of engineering fields, such as mechanical (11th), civil (12th) and electrical (14th).
Table 1: Research Funding by Specific Fields in Arizona
Field ALL DISCIPLINES PHYSICAL SCIENCES Astronomy Chemistry Physics ENVIRONMENTAL SCIENCES Atmospheric Earth Oceanography MATHEMATICAL SCIENCES COMPUTER SCIENCES ENGINEERING Aeronautical Bioengineering Chemical Civil Electrical Mechanical Metallurgical
Arizona's Top 3 Universities NSF R&D Funding (thousands of 2001 Dollars) FY 2000 % US Rank 513,951 1.5 21 114,362 3.8 7 75,727 17.6 2 2 1,405 2 17 10,633 0.8 29 25,316 1.3 23 3,544 1.1 19 21,342 3.4 7 402 0.1 28 5,229 1.4 20 8,755 0.9 24 94,529 1.9 17 1,233 3,950 8,687 1 8,540 28,441 22,405 2,768 0.4 2.1 2.1 2.8 2.3 3.2 0.6 26 18 18 12 14 11 24
On an individual basis, in research funding Arizona universities are among the national leaders in non-bioscience fields. University of Arizona ranks first among all universities in astronomy, while Arizona State University is 10th in earth sciences. Both University of Arizona and Arizona State University show strengths in engineering fields, including civil, electrical, mechanical and in the case of University of Arizona, chemical engineering (Table 2).
Table 2: Individual University Rankings in Arizona
A r iz o n a U n iv e r s ity 's A m o n g T o p 2 5 o f A ll U n iv e r s itie s B y F ie ld F ie ld U n iv e r s ity T o ta l U n iv e rs ity R e s e a rc h U n i v e r s i t y o f A r i z o n a (2 2 n d ) A s tro n o m y U n i v e r s i t y o f A r i z o n a (1 s t ) E a rth S c ie n c e s E n g in e e rin g T o ta l C h e m ic a l E n g in e e rin g C iv il E n g in e e rin g E le c tric a l E n g in e e rin g M e c h a n ic a l E n g in e e rin g A r i z o n a S t a t e U n i v e r s i t y (1 0 t h ) U n i v e r s i t y o f A r i z o n a (2 0 t h ) U n i v e r s i t y o f A r i z o n a (1 8 t h ) U n i v e r s i t y o f A r i z o n a (2 6 t h ) A r i z o n a S t a t e U n i v e r s i t y (1 8 t h ) U n i v e r s i t y o f A r i z o n a (2 2 n d ) A r i z o n a S t a t e U n i v e r s i t y (2 4 t h ) U n i v e r s i t y o f A r i z o n a (1 9 t h ) A r i z o n a S t a t e U n i v e r s i t y (2 2 n d ) U n i v e r s i t y o f A r i z o n a (1 1 t h )
In federal research funding to universities, Arizona is a leader in NASA and NSF research funding--reflecting Arizona's strengths in astronomy, earth sciences and engineering. Across Arizona's three research universities, the state ranks highly in key federal agency R&D funding, standing 9th among all states in NASA research funding to universities and 14th in NSF funding. Federal research funding to universities in Arizona, however, is falling off the pace of national growth, similar to recent trends in overall non-bioscience university research funding in Arizona. From FY 1996 to FY 2000, federal research funding to universities grew in Arizona by only nine percent compared to 12 percent nationally. Closer examination shows this fall off in growth relative to the nation is due to declines in NASA funding and slower growth in DOD, but NSF funding is outpacing the nation (Figures 3 and 4, next page)
Figure 3: Percentage of Change in Federal Agency Funding for Arizona vs. U.S., FY 1996�2000
90% 81.5% 80%
Arizona United States
60% 53.5% Percentage Change 50% 53.9%
34.3% 27.4% 25.5% 17.3% 14.7%
10% 3.2% 0% HHS -10% NSF NASA -6.4% Agency Other Research Funding DoD
Figure 4: Arizona Universities Federal Research Funding, FY 1996�2000
Millions of Dollars
NASA DoD
Other Research Funding
In peer recognition conducted by US News & World Report, Arizona's research universities are also among the national leaders in fields of geology, analytical chemistry, optics, and applied mathematics (Table 3).
Table 3: Individual University Rankings and Peer Assessments for Arizona
U S News & World Report Ranking and Peer Assessment Score Field In stitu tio n Rank Peer Assessment Score (out of 5) U n iv ersity of Arizona 41 3 .3 E n g in eerin g , General Industrial/Manufacturing A riz o n a State Univ. 18 N /A P h .D . Programs in the Sciences U n iv ersity of Arizona 7 4 .1 G e o lo g y A riz o n a State Univ. 25 3 .3 Hydrogeology U n iv ersity of Arizona 1 N /A Sedimentology/Stratigraphy U n iv ersity of Arizona 4 N /A Tectonics/Structure U n iv ersity of Arizona 4 N /A U n iv ersity of Arizona 37 3 .4 C h em is tr y A riz o n a State Univ. 54 3 Analytical Chemistry U n iv ersity of Arizona 6 N /A U n iv ersity of Arizona 21 3 .7 A p p lied Mathematics A riz o n a State Univ. 44 3 .1 U n iv ersity of Arizona 38 3 .3 Ph y sics A riz o n a State Univ. 52 3 Atomic/Molecular/Optical/ Plasma U n iv ersity of Arizona 12 N /A U n iv ersity of Arizona 35 3 .2 C o m p u ter Science A riz o n a State Univ. 55 2 .7 U n iv ersity of Arizona 42 3 .4 M a th e m a tic s A riz o n a State Univ. 60 3
* Bold is a major category. Indented Field is a Sub discipline of a larger category. Sub disciplines do not have Peer Assessment Scores.
Analysis of publications/citations in the ISI Thomson Scientific Database shows significant diversity across research fields. We have used criteria of at least 150 publications and relative impact above 1.30, which measures percent of citations per publication in Arizona to percent of citations per publication for the nation in that field. Altogether there are 15 non-bioscience fields where Arizona stands out. Key strengths in publications/citation analysis are found in environment/ecology, earth sciences, plant sciences, space sciences and physics (Table 4).
Table 4: Top Fields in Publication, FY 1997�2001
Top Fields in Publications, FY 1997-2001 (at least 150 publications and relative citation impact of 40% higher)
Percent Higher Relative Citation Publication Impact than Concentration Publications US Ratio 1,482 1.55 5.56 1,441 1.50 0.91 1,053 1.63 1.91 1,010 1.44 1.89 897 1.46 0.92 488 1.92 1.20 402 1.46 0.70 378 1.69 1.09 371 1.43 1.64 354 1.60 0.51 257 1.72 2.18 248 1.48 0.80 234 2.74 0.47 233 2.25 1.84 169 2.14 1.48 Change in Publications 1996-2000 to 1997-2001 72 (19) 99 202 64 91 35 0 (24) (11) 20 (4) 29 (1) 22
Field Space Science Appl Phys/Cond Matt/Mat Sci Earth Sciences Environment/Ecology Physics Plant Sciences Chemistry & Analysis Elect & Electronic Engn Optics & Acoustics Materials Sci and Engn Entomology/Pest Control Mechanical Engineering Chemistry Civil Engineering Engineering Mgmt/General
To gain a deeper assessment of research focus areas, Battelle conducted a specialized analysis of the substance of grant activities using a sophisticated cluster analysis that examines how grants relate to one another based on the actual research activities underway in each grant. To undertake this cluster analysis, we used a proprietary data-mining tool, known as Starlight, which identifies textual similarities in each of the grants' abstracts. Battelle developed this tool for use by the intelligence community for pattern recognition and has applied it in its own efforts to identify technology focus areas within its overall research activities across its many offices and laboratories.
In this cluster effort, we are looking for those areas of research where both concentration of activity and excellence are demonstrated by having: � � A significant number of research grants awarded through rigorous peer-review processes such as those at NSF, DOD and NASA; and A broad base of principal investigators, along with prominent researchers who hold multiple peer-review grants.
We have focused on peer-reviewed grants awarded from 1997 to 2001, which constitute over 1,100 new grant awards. Because of disparities in the grant information provided by NSF (good descriptors) versus the grant information provided by other agencies' data bases (poor descriptors), it was decided to make two Starlight runs: one with NSF data only, and one with all other agency data. The results were generally consistent with respect to cluster themes. The results from the two Starlight runs show ten "significant clusters," namely clusters of grant activities that have more than 50 grant awards and a base of principal investigators that exceeds 40 (see Table 5).
Table 5: Grant Clusters from Starlight Analysis Cluster Title Number of Clusters Total Number of Grants 338 Number by University ASU � 80 UA � 215 NAU - 43 ASU � 9 UA � 80 NAU � 6 ASU � 48 UA � 73 NAU � 7 ASU � 13 UA � 55 NAU � 1 ASU � 114 UA � 82 NAU � 4 ASU � 16 UA � 36 NAU � 5 ASU � 28 UA � 22 NAU � 11 ASU � 13 UA � 56 NAU � 6 ASU � 16 UA � 38 NAU � 0 ASU � 52 UA � 61 NAU � 7 Number of PIs
SPACE SCIENCES COMPUTER MODELING and SIMULATION SOFTWARE ANTHROPOLOGY
EVOLUTIONARY BIOLOGY ELECTRONICS/OPTICAL SCIENCES CHEMISTRY and MATERIALS SCIENCES
Another way to depict the Starlight analysis is through a data visualization approach presented in Figure 5 below. Below is a data visualization of NSF grant awards over the period 1997 to 2002. The clusters highlighted in the picture represent technology areas with the highest concentration of grants, with the arrows pointing to the specific clusters in each cluster area. Not reflected in the picture is the agriculture cluster area because it is based on grant awards from USDA.
Figure 5: Starlight Cluster Presentation
NSF Grants for ASU, NAU, and UA
Source: NSF 1997-2002 Chemistry/Material Sciences Computer Modeling / Simulation Planetary Sciences
Electronics/Optical Electronics/Optical Sciences
Mathematics Anthropology
Earth Sciences
Evolutionary Biology
Ecological Sciences
Note: NSF Grant abstracts from the three Arizona state universities were loaded into data visualization software called Starlight. Starlight created "clusters" of grants based on textual similarities in the grant abstracts. The clusters highlighted in the picture represent technology areas with the highest concentrations of grants.
A Closer Look at the Research Clusters
A more detailed examination of the ten topical areas contained in the grant clusters reveals the depth and breadth of the research in the three institutions.
Arizona is very well endowed with expertise and resources in the ecological sciences at all three universities. Over three hundred principal investigators are engaged in a wide variety of research projects and publications have grown strongly from 1996 to 2001, showing a 20 percent increase (Table 6). At Northern Arizona University, the College of Ecosystem Science and Management includes the Ecological Restoration Institute, the Merriam Powell Center of Environmental Research and the Forestry Department. At the University of Arizona ecological sciences are focused in the departments of Ecology and Evolutionary Biology and Soil, Water and Environmental Science and the Institute for Planet Earth; and at Arizona State University in the Department of Ecology and Organismal Biology.
Table 6: Ecological Sciences Publication Indexes
Ecological Sciences Publication Indexes Field Publications Publication Percent Higher Concentration Relative Citation Ratio Impact than US 257 2.18 72% Entomology/Pest Control Environmental Studies, Geography & 180 2.19 -18% Development 1,010 1.89 44% Environment/Ecology 110 0.88 151% Environment Engineering/Energy 65 0.50 49% Environment Medical & Public Health
Northern Arizona University. Research covers current conservation issues, environmental
planning, conflicts about resource utilization, ecosystems, natural resource recreation, and other aspects of the natural environment including: � � � � � � � Watershed restoration, including channel restoration and monitoring; Sediment transport analysis and modeling; Urban and rural stream and river repair; Water pollution and wastewater standards research and development; Urban drainage modeling and analysis; Land management and restoration practices designed to sustain ecosystems; Carbon cycle and global climate change;
� �
Renewable energy--solar and wind; and Forest management.
The Colorado Plateau Cooperative Ecosystem Studies Unit (CPCESU) is a cooperative network, transcending political and institutional boundaries, which creates innovative opportunities for research, education, and technical assistance in support of the management and stewardship by partner agencies of the Colorado Plateau's natural, cultural, and social resources. The Ecological Restoration Institute is a new initiative to restore forest health. The Center for Sustainable Environments involves 27 Native American tribes in a broad range of sustainability research, including conservation biology, sustainable community development, and food systems analysis.
Arizona State University. A very important and central ecology project is the Central Arizona�
Phoenix Long-Term Ecological Research (CAP LTER) Project funded by the National Science Foundation, in which Phoenix is a "living laboratory," monitoring the effects of the urban environment on plants, insects, amphibians and mammals. It is one of two such centers in the U.S. with $1 million in annual NSF funding. Other related programs include the NASAsponsored Urban Environmental Monitoring of 100 Cities, Agrarian Landscapes in Transition, Networking Urban Ecological Models, and the Greater Phoenix 2100. Related research activities include: � � � � � � Physiological ecology, of amphibians and reptiles; Organismal biology applied to conservation and management; Environmentally induced diseases and environmental toxicology with focus on heavy metals/lead poisoning and pesticides; Conservation of desert herpetofauna; GIS applications in ecology and resource management; and Ecological modeling addressing questions of the relationship among spatial patterns, ecological processes, and scale.
University of Arizona. The Institute for the Study of Planet Earth (ISPE) provides an integrating
point for ecological research, including: � � � � � � � � Hydrology and water resources; Ecosystems, soils, and biogeochemistry; Weather and climate variability and predictability; Land use and land-cover change; Climate, environment, and human health; Agriculture and ranching; Engineering for a sustainable future; and Remote sensing of natural and anthropogenic environmental change.
The Advanced Resources Technology Laboratory (ART) is an interdisciplinary research group in the School of Renewable Natural Resources that provides state-of-the-art tools in computer analysis and modeling, geographic information systems (GIS), remote sensing and artificial
intelligence to assess and analyze the natural resource base of Arizona and other southwestern arid lands. UA is also the lead group in a new $16 million, multi-university center that is developing ways to efficiently manage water resources in semiarid regions. The SAHRA STC (Science and Technology Center) is developing water management strategies that integrate and accommodate a wide variety of needs, both environmental and human. And the Arizona Water Resources Research Center (WRRC) facilitates university research at all three Arizona universities on water problems of critical importance to the state and region. It is also important to note the number of graduates pursuing degrees in the respective clusters (Table 7). The ecological sciences at Arizona institutions graduate the second highest number of students of any cluster, with the University of Arizona and Northern Arizona University comprising the greatest share of the degrees at nearly 80 percent between the two universities. While most Arizona institutions offer programs in these areas, the University of Arizona makes up more than half of the degrees with about 54 percent and Northern Arizona University makes up roughly 24 percent of the degrees, with both institutions offering degrees at all levels except Associates.
Table 7: Ecological Science Degrees
Program Areas Degrees in Ecological Sciences AY 1999 - 2001 Associates Bachelors Masters
25 177 43 4 5 1 81 1 6 13 26 27 20 113 757 51 31 216 25 9 98 16 24 10 8 15 36 11 5 15
8 19
Total Number of Degrees
38 211 43 4 276 56 1 128 1 30 52 36 27 96 153 1,152
Conservation & Renewable Natural Resources, Other Ecology Environmental & Pollution Control Technologies Environmental Control Technologies, Other Environmental Science/Studies Environmental/Environmental Health Engineering Farm and Ranch Management Forestry Sciences Forestry, General Natural Resources Management & Protective Services, Other Natural Resources Conservation, General Natural Resources Management and Policy W ater Quality/Wastewater Treatment Technologies W ater Resources Engineering W ildlife and Wildlands Management Ecological Sciences Total
265 31
6 22
Agricultural sciences in Arizona address the growth patterns of crops and the influence of land and water quality in the southwest, and are therefore closely related to both ecological sciences and plant sciences. Agribusiness is the business of food and fiber production and the technology necessary to change a raw material (a commodity) or an idea into a new product or business for the world's consumers. Arizona universities publish strongly in agricultural related topics and have a strong impact, as measured by citations (Table 8).
Table 8: Agricultural Science Publication Indexes
Agricultural Sciences Publication Indexes Field Publications Publication Percent Higher Concentration Relative Citation Ratio Impact than US 56 0.44 25% Agricultural Chemistry 126 0.74 39% Agriculture/Agronomy 136 0.53 23% Aquatic Sciences 488 1.20 92% Plant Sciences
University of Arizona. A number of departments and centers focus on agricultural issues in the
southwestern US. These include agribusiness; agricultural biosystems, which merge the physical with the biological sciences, and include irrigation and water resource engineering, biosystems/biological engineering, and bio-environmental engineering; the Controlled Environmental Agriculture Center; the Plant Genomics Institute, which specializes in genome/EST sequencing (rice, corn, tomato, cotton); and Tucson Area Agricultural Centers, which provide facilities and services in support of the research, teaching, extension, and public service activities of the College of Agriculture and Life Sciences.
Northern Arizona University. As noted earlier, the Center for Sustainable Environments (CSE)
serves as a catalyst for collaborative research, education, training, and stewardship in the application of sustainable land, water, and energy use practices. Sustainable agriculture is one focus area.
Arizona State University. The Morrison School of Agribusiness and Resource Management
provides academic programs that combine business and technology in food marketing and management. Four Arizona Institutions provide the 331 degrees in agricultural sciences from 1999-2001 (Table 9): � � � � Arizona Western College; Central Arizona College; Prescott College; and University of Arizona.
While Arizona Western and Central Arizona Colleges had only eight degrees at the Associates level over the three-year period, Prescott College had eight at the Bachelor and Master's levels. The University of Arizona made up 95 percent of the total degrees awarded in agricultural
sciences, primarily at the Bachelor's level, though issuing nearly half of these degrees at the Master's and Ph.D. levels as well.
Table 9: Agriculture Sciences Degrees
Program Areas
Degrees in Agricultural Sciences AY 1999 - 2001 Associates Bachelors Masters Ph.D's
19 3 8 85 3 5 40 2 12 169 1 10 10 4 2 40 86 9 3 7 3 25 68 13 6 12 9
Total Number of Degrees
44 15 11 1 104 3 13 56 7 77 331
Agricultural Engineering Agricultural Plant Pathology Agriculture/Agricultural Sciences, Other Agronomy and Crop Science Animal Sciences, General Animal Sciences, Other Genetics, Plant and Animal Plant Sciences, General Range Science and Management Soil Sciences Agricultural Sciences Total
Closely related to the environmental and ecological research, Earth Sciences also explores the earth's crust, seismic activity, and mineral resources. At least eighty principal investigators are engaged in this research area and publish regularly (see Table 10).
Table 10: Earth Sciences Publication Indexes
Earth Sciences Geology/Petroleum/ Mining Engineering
Earth Sciences Publication Indexes Publications Publication Percent Higher Concentration Relative Citation Ratio Impact than US 1,053 1.91 63% 22 0.46 139%
Arizona State University. The Geology and Geography Departments conduct research on earth surface and interior processes. Geology strengths include: � � � � � � � Solid state geochemistry and mineral physics; Meteorites and cosmochemistry; Active tectonics, geomorphology and quantitative structural geology; Astrobiology; Deep earth processes, geophysics; Geological remote Sensing Laboratory(GRSL); GeoSIMS Laboratory for characterization studies; and
Vulcanology, including lava flow morphology and rheology.
Geology is linked to chemistry and biology via an emerging strength in biogeochemistry; and to planetary sciences, with research on earth and Mars. Geography strengths include: � � � � Earth surface processes, including geomorphology; Remote sensing; Geographical information systems (GIS); and Natural resources and the environment.
Northern Arizona University. The Department of Geology covers a fairly broad area, but the
theme is in field geological research, with a focus on the Colorado Plateau. Fundamental research includes specific problems in: � � � � Neotectonics; Volcanology; Igneous and metamorphic petrology; and Sedimentology.
Applied research has an environmental orientation, and includes a research group funded through USGS--the Grand Canyon Monitoring and Research Center--that examines nutrient recycling. The Department also has a high profile in paleontology (e.g., a Mammoth discovery).
University of Arizona. Research interests include:
� � Geomechanics and excavation, including rock mechanics; Geomorphology, using modeling, fieldwork, small-scale experiments, and remote sensing techniques to gain a more comprehensive understanding of the dynamics of the Earth's surface; The Southern Arizona Seismic Observatory (SASO), which conducts research on different aspects of seismology, fault mechanics, active tectonics, and geodynamics; and The Center for Mineral Resources, which specializes in economic Geology.
� � � � � � �
Five schools in Arizona offer a degree in earth sciences/geology (Table 11): Arizona Western College; Eastern Arizona College; Arizona State University; Northern Arizona University; and University of Arizona.
The latter three institutions comprised 95 percent of these degrees with more than half being awarded at The University of Arizona. Nearly all of the degrees during this time frame were awarded at the bachelor's level and above.
Table 11: Earth Sciences Degrees
Program Areas
Degrees in Earth Sciences (Geology) AY 1999 - 2001 Associates Bachelors Masters Ph.D's
5 1 27 162 49 244 10 6 86 10 112 14 8 41 1 64
Total Number of Degrees
29 1 41 290 60 1 422
Earth and Planetary Sciences G eochem istry Geological Engineering Geology Mining and Mineral Engineering Mining Tech./Technician Earth Sciences (Geology) Total
1 1 2
The combination of astronomy and planetary sciences makes this area a major research and training focus for Arizona at all three universities. They have produced a wealth of space science publications over the past ten years (see Table 12).
Table 12: Space Science Publications
Physics Space Science
Space Sciences Publication Indexes Percent Higher Publications Publication Concentration Relative Citation Impact than US Ratio 897 0.92 46% 1,482 5.56 55%
University of Arizona. Ranked #1 in research grants, the Department of Astronomy and Steward
Observatory has a very impressive program of research that ranges from telescope design and optics to theoretical astrophysics. Research is grouped into specialties such as infrared astronomy, X-ray astronomy, astrochemistry, quasars, solar system, stellar astronomy, asteroids, brown dwarfs, cosmology, galactic astronomy, supernovae, and extra-solar planets. The Department of Planetary Sciences and Lunar and Planetary Laboratory conducts: � � � � � � Astronomical studies of solar system bodies, and stellar and interstellar objects; Laboratory analysis of extraterrestrial matter to seek clues about the origin and early evolution of the solar system; Investigations of the surfaces, atmospheres, and magnetospheres of planets; Studies of the sun; analyses of imaging and spectroscopic planetary data; Efforts to plot the distribution of useful resources in space and to develop techniques for beneficial use of such resources; Efforts to discover and study other planetary systems; and
Theoretical and experimental investigations of planetary interiors, tectonics, the interplanetary/interstellar medium, cosmic rays, cosmic magnetic fields, and the formation of stars and planetary systems.
Arizona State University. The astronomy group's research spans a wide variety of topics in
observational astronomy and theoretical astrophysics, including studies of: � � � The solar system; The structure and physics of the interstellar medium, novae and cataclysmic variables, compact objects, and galactic structure; and Cosmology.
The Planetary Exploration Laboratory conducts research on the geology of a wide variety of planetary environments via integrated field, laboratory, and remote sensing investigations; planet Mars is a particular focus. The Mars Space Flight Facility is NASA mission control for two instruments currently in orbit around Mars and another scheduled for landing in 2004. The ASU Sat Lab conducts a student satellite program that engages undergraduates in satellite design and construction for actual deployment. ASU has also entered into a formal agreement with NASA's Jet Propulsion Laboratory that will allow the two institutions to share resources and to significantly expand on past collaborative research and teaching activities in space science and exploration.
Northern Arizona University. The Department of Physics and Astronomy is home to active
research and training programs in surface physics and astrophysics. Some of the research topics sponsored by the NASA Space Grant include: � � � � Infrared spectra of embedded luminous stars; Heterogeneous reactions on water ice films at stratospheric temperatures; The composition of Titan's troposphere; and P.I.E. (Probing for Ice on Europa).
Among all the clusters, space sciences offer the fewest number of graduates from 1999�2001 with only 77, yet all of these came from The University of Arizona at the bachelor's level and above (Table 13).
Table 13: Space Sciences Degrees
Program Areas
Degrees in Space Sciences AY 1999 - 2001 Associates Bachelors Masters
23 17 40 6 13 19
13 5 18
Total Number of Degrees
42 35 77
Astronomy Atmospheric Sciences and Meteorology Planetary Sciences Total
Computer modeling and simulation ranges from basic algorithms to specific applications in manufacturing, energy, communications, electronics and materials. A large number of principal investigators (265) are involved in this work. We believe that the average publication record
shown in Table 14 is due to their papers more likely being published in journals associated with the application areas.
Table 14: Computer Modeling and Simulation Publications
Computer Modeling and Simulation Publication Indexes Publications Publication Percent Higher Concentration Relative Citation Ratio Impact than US Computer Sciences & Engineering 188 1.28 -9% Information Technology & Communication Systems 93 0.88 86% Field
Arizona State University has a strong department in Computer Science and Engineering, plus a
Collaborative Program for Ubiquitous Computing, a Computational Materials Science Group, and a Partnership for Research in Stereo Modeling. The department has 1600 undergraduate students and about 400 graduate students and has established a Consortium for Embedded and Internetworking Technology (CEINT) that is unique in the nation; it attracts $1 million in annual revenue from Intel and Motorola. Other related centers include the Design Automation Laboratory, Telecommunications Research Center, and the Systems Science and Engineering Research Center. Relevant research areas are: � � � � Artificial intelligence applied to distributed planning systems, incremental planning, and applications. Multi-media data mining. Graphics and visualization. Advanced database research and multimedia information systems. Current research is targeted toward commercial and manufacturing applications. Funded by NSF and industrial sources, it is emerging as a national leader. Distributed processing and parallel high performance systems that facilitate the fault tolerant usage of computer networks and multi-processors. This has NSF and industrial support. Microprocessor design, involving extensive research collaboration with companies, such as AT&T, En. Gen. Inc., Enhanced Software Inc., Inter-Tel, Motorola, Municipal Services & Software, and Unizone, Inc. Networks of all types--computer networks, wireless networks and communications, mobile computing, optical networks, and biosensor networks. Software engineering spanning the software life cycle and covering central as well as distributed and parallel systems, web-based software, middleware, and software architecture construction.
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University of Arizona also has strong Computer Science and Computer Engineering
departments, which are linked through collaborative research with Electrical Engineering, Physics, Environment, Materials and Optics, and Medical departments. Their areas of research include: � Multi-modal data, digital libraries, multimedia information retrieval, and data mining;
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Compilers, program analysis and optimization, programming language implementation; Network and transport protocols for high speed, for mobility and for wireless links; Geometric pattern matching, and spatial data bases; Algorithms for mobile robots; Intelligent information management systems, and agent-based artificial intelligence; Software engineering: specification and design of software systems, automated test data generation, mathematical models for program comprehension; Design and analysis of algorithms for computational biology, algorithm implementation, combinatorial optimization and bioinformatics; XML indexing and query processing, high performance spatial and multidimensional databases, scalable web servers, data mining and warehousing, and parallel and distributed processing; and Computer and network architecture, operating systems, distributed systems, and systems programming.
Northern Arizona University. Faculty in Computer Science and Engineering has expertise in:
� � � � Artificial intelligence; Software engineering; Image processing; and Digital signal processing.
While many of the institutions in Arizona offer degrees in computer modeling and simulation areas, roughly 84 percent of them are awarded at the University of Arizona and Arizona State University combined, 15 percent and 69 percent of the total, respectively. Also of note is the fact that 691 (72 percent) of the 960 degrees awarded at all Arizona institutions were awarded at the associates and bachelor levels (Table 15).
Table 15: Computer Modeling and Simulation Degrees
Degrees in Computer Modeling and Simulation AY 1999 - 2001 Program Areas Associates Bachelors Masters Ph.D's Total Number of Degrees
Computer Engineering Computer Programming Computer Science Computer Systems Analysis Computer Modeling and Simulation Total 55 3 12 60 130 299 10 252 244 25 354 13 533 60 960
Anthropology in Arizona covers a broad set of research interests involving over sixty principal investigators, which range from archeology, social behavior, and anthropological genetics to linguistic anthropology and specific issues with indigenous peoples of the southwest. There is some overlap with ecology and evolutionary biology. The ISI publication database does not break out the field of anthropology, so we have no information on their productivity.
Arizona State University. With 34 full-time faculty plus other staff members, the Department of
Anthropology offers courses and degree programs covering diverse areas of the discipline. Research is undertaken in all the major sub disciplines: archaeology, physical anthropology, sociocultural anthropology, and linguistics. The Institute of Human Origins is among the preeminent centers of the world for the study of human origins and evolution.
University of Arizona. The Bureau of Applied Research in Anthropology (BARA), with over 20
professionals, applies social science knowledge toward an enhanced understanding of real-world problems. Its diverse range of research activities--in both domestic and international contexts-- addresses critical human issues dealing with change and development, power and poverty, gender and ethnicity, growth and learning, social justice and equity, and environmental change and sustainability.
Northern Arizona University. Ten faculty and students are engaged in applied research in
cultural anthropology, archeology, and linguistic anthropology. While six institutions in Arizona offer degrees in the field of anthropology, the University of Arizona, Arizona State University, and Northern Arizona University account for 98 percent of this total from 1999 to 2001. Totals for all institutions are shown in Table 16.
Table 16: Anthropology Degrees
Program Areas
Anthropology Anthropology Total
Degrees in Anthropology AY 1999 - 2001 Associates Bachelors Masters Ph.D's
10 10 551 551 180 180 63 63
Total Number of Degrees
804 804
The integration of applied mathematics with computer science and engineering is an essential research foundation for Arizona. Applied mathematics is the area of cross-fertilization between mathematical theory and applications in the natural, economic, engineering, social, and psychological sciences. Over 120 principal investigators are involved, and they are cited roughly 25 percent more than other institutions in the field (Table 17).
Table 17: Mathematics Publications
Mathematics Publication Indexes Publications Publication Percent Higher Concentration Relative Citation Ratio Impact than US 305 0.80 35%
Arizona State University. Applied mathematics research includes:
� Studies in nonlinear dynamical systems, chaos, fractals, and related areas of perturbation theory and ordinary, partial, and functional differential equations. Specific applications in mathematical biology, flow instabilities, and control theory. Control and systems theory, including adaptive nonlinear and infinite dimensional control, (differential) geometry of highly nonlinear systems, stochastic partial differential equations, and applications to vision and pattern recognition. Ordinary, partial, and functional differential equations and related areas such as bifurcation, perturbation and stability theories, and dynamical systems. Mathematical biology concerns cellular and neural modeling, ecology, epidemics, genetics, physiology, and population dynamics.
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University of Arizona. Applied mathematics is a highly interdisciplinary research topic with
applications ranging from physics to the environment. Some selected focus areas include: � � � � � � � � � � � � � Differential equations, integral equations; Materials theory, modeling and simulation, structural defects; Mathematics programming applications in production systems design; Nonlinear dynamics (pattern formation, envelope equations, weak turbulence) and applications to hydrodynamics, optics and biology; Digital communication/data storage systems, data compression, digital signal/image processing; Optics and laser modeling; Remote sensing; and Fluid mechanics.
Northern Arizona University. Mathematics research is focused on:
Combinatorics and combinatorial group theory; Differential equations including nonlinear PDEs; Dynamical systems, nonlinear functional analysis and numerical analysis; Operations research; and Statistics (measures of agreement, mixed linear models, nonlinear regression, variance components), and topology.
Most Arizona institutions offer degrees in mathematical science fields with the majority of them awarded at the bachelor's level (see Table 18). Most of these degrees are awarded by Arizona State University and the University of Arizona.
Table 18: Mathematics Sciences Degrees
Program Areas
Degrees in Mathematics Sciences AY 1999 - 2001 Associates Bachelors Masters Ph.D's Total Number of Degrees
19 19 244 9 253 25 25 77 127 15 31 46 40 25 371 9 445
Applied Mathematics, General Mathematical Statistics Mathematics Mathematics, Other Mathematics Total
This area involves over seventy principal investigators, many of whom also have strong ties to the ecological sciences and anthropology. The ISI database does not break out evolutionary biology as a separate category, so we do not have data on their publication experience.
Arizona State University. The Department of Biology has a 40-person faculty with related
research programs in urban ecology, host-pathogen biology, biological stoichiometry, astrobiology, behavioral biology, molecular biology, bioimaging, computational biology, and biology and society. Evolutionary biology research focuses on: � � Evolutionary theory, mating systems, reptilian reproductive physiology, conservation biology, and zoos and endangered species. Vertebrate evolution, primarily amphibians and reptiles of arid regions; mate recognition and sexual selection in amphibians and reptiles; conservation of desert herpetofauna.
University of Arizona. The Department of Ecology & Evolutionary Biology maintains five
zoological collections that are Arizona's largest and among the nation's largest regionally oriented collections. They represent an irreplaceable resource of material and information on the unique biota of the southwestern United States and northwestern Mexico. The Center for Insect Science and the Genetics Program are also located at UA. Key research activities include: � � � � � � Evolutionary biology and behavioral ecology, especially in natural bird populations. Mechanics of molecular evolution; transmission genetics; asexual organisms and organelle genes. Plant evolution and global change. Evolutionary genetics; transposable elements in Drosophila; insect disease vectors. Population and evolutionary genetics; chromosomal evolution; speciation; mammalian evolution. Evolutionary ecology; patterns of species diversity; theory and mechanisms of habitat selection and population dynamics; structure of mammalian communities.
The cluster analysis showed a high level of relationship between these two areas, with at least sixty principal investigators. Both the University of Arizona and Arizona State University have very strong electrical engineering departments and specialized centers of excellence in leading edge areas of electronics, photonics, and semiconductor research, which are closely linked to the high tech industry in the region and nationally. Electrical engineering at both schools is also linked to their computer science and engineering programs. Other important linkages are with Bioengineering, Materials and Optical Sciences. University of Arizona's Optical Sciences program is number one at the graduate level in the United States. Arizona universities are leading producers of publications in optics, analytical chemistry/spectroscopy, and electrical engineering, with high impact (see Table 19).
Table 19: Electronics and Optics Publications
Electronics & Optics Publication Indexes Field Publications Publication Percent Higher Concentration Relative Citation Ratio Impact than US Optics & Acoustics 371 1.64 43% Electronics & Electronic Engineering 378 1.09 69% Instrumentation/ Measurement 82 0.49 33% Spectroscopy/ Instrumentation/ Analytical Sciences 257 0.52 27% AI, Robotics & Auto Control 153 0.89 5%
University of Arizona. Research has two main themes: photonics/electro-optics systems and
electronics manufacturing. Key areas include: � � � � � � � Broadband networks and multimedia communications; Efficient parallel retrieval and processing of data by moving the bulk of database operations from electronics to optics; Application of optical interconnects for use in high-speed massively parallel computer systems; Application of optical components and optical interconnection architectures to communications problems in parallel processing systems; Electromagnetics, microwaves and antennas; Microelectronic devices and processing focused on environmental factors in the design and development of new tools and processes in the semiconductor industry; Electrical and thermal characteristics of electronic device packages, and interconnected devices;
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Volume optical storage, pattern recognition, and optoelectronic devices/systems; and Photonic techniques that enhance the capabilities of information processing, communication, and sensing systems.
UA has two NSF Centers in collaboration with universities throughout the U.S.: � NSF/SRC Engineering Research Center for Environmentally Benign Semiconductor Manufacturing � Integrating Design for the Environment into new processes and tools for the industry is the technical driver and the common theme of the Center's research. The Center's interdisciplinary research efforts involve six universities, and about 30 professors, 30 undergraduates, and 50 graduate students in 11 different academic disciplines. NSF Center for Microcontamination Control � Shared with Rensselaer Polytechnic Institute, the focus is on thin oxide quality, particle and film nucleation and growth, electronic characterization of ultra-thin oxide films, and CMP improvements.
The Optical Sciences Center is recognized internationally for its strong research programs and partnerships with industry. It has over 50 faculty members, including 2 Nobel Laureates, and 190 graduate students. Center revenues are about $20M/year with $3M from State and the rest from DoD, NASA, Industry and NIH. Focus areas include quantum optics, optoelectronics, optical communications, optical systems design and fabrication, optical imaging systems and analysis, and metrology, test, and measurement.
Arizona State University. Areas of leading edge research include:
� � � � Electromagnetics, including computational electromagnetics; microwave circuits; wireless RF circuits; semiconductor device simulations; Nanoelectronics for low power, high performance components and circuits; Fiber optics and electro-optics; Electronic circuits and mixed-signal integrated circuit design, including impact of device design on system performance through behavioral modeling and ultra-small device fabrication; Communication Systems and Signal Processing, including VLSI architectures and algorithms for signal processing and image processing, low power system design, high level synthesis for low power, CAD tools for VLSI, and VLSI design; and Silicon and III-V semiconductor Quantum Dots, properties and applications.
ASU has several centers related to electronics and telecommunication with significant ties to industry: � Center for Low Power Electronics Research � Collaboration with UA to address fundamental, industry-relevant research problems in the design of ultra-low power portable computing and communication systems. Center for Solid State Sciences � focuses on electron microscopy and other advanced characterization tools, materials and device integration. Within CSSS, the Center for High Resolution Electron Micrsocopy (CHREM), an NSF Center, advances knowledge in and applications of high-resolution electron microscopy. Center for Solid State Electronics Research (CSSER) � focuses on fabrication and processing for solid-state electronics, molecular electronics, biochips and MEMS. Current emphasis is on CEMOS process, nanotechnology and fluidics, and molecular electronics. The Nanostructures Research Group performs modeling and experiments for next generation systems based on quantum dots, strained silicon (on relaxed SiGe) and ultra-submicron devices. Communication Circuits and Systems Research Center (Connection One) � Goal is the unification of wireless systems with the conventional wireline infrastructure. A key focus area is integration of complex RF, analog and digital systems on a chip.
Northern Arizona University. A small number of faculty (approximately 6) have interests and
experience in microelectronic materials and devices. Five Arizona institutions offer degrees in electronics/optical sciences with the vast majority of these awards occurring at the Bachelor's level and above (see Table 20): � � � � � Arizona State University; Embry Riddle Aeronautical University-Prescott; ITT Technical Institute; Northern Arizona University; and University Of Arizona.
Degrees in Electronics/Optical Sciences AY 1999 - 2001 Associates Bachelors Masters Ph.D's
Table 20: Electronic/Optical Sciences Degrees
Program Areas Total Number of Degrees
419 1,246 136 1,801
Electrical & Electronic Engineering and Related Technologies Electrical, Electronics & Communication Optics Electronics/Optical Sciences Total
136 665 801
479 82 561
102 54 156
It was impossible to resolve this cluster grouping into separate materials and chemistry clusters; it appears to be a materials chemistry concentration with well over 100 principal investigators. Analytical chemistry and spectroscopy (both development and application) are broadly strong at Arizona State and University of Arizona, while Northern Arizona has a niche strength in environmental chemistry. The publication record and impact in materials science and chemistry are impressive (see Table 21).
Table 21: Chemistry and Material Sciences Publications
Chemistry and Materials Sciences Publication Indexes Field Publications Publication Percent Higher Concentration Relative Citation Ratio Impact than US Applied Physics/Conductive 1,441 0.91 50% Materials/Materials Sciences 51 0.20 4% Chemical Engineering Chemistry 234 0.47 174% 354 0.51 60% Materials Science and Engineering Organic Chemistry/ Polymer Science 211 0.34 0 Physical Chemical /Chemical Physics 589 0.73 34%
University of Arizona. Illustrative activities include:
� � � � � � � � � � � � Bio-mimetic materials; Diffusion and permeability in polymers for barrier materials and coatings; Intelligent materials; Conducting polymers; Organic optical materials; Electronic packaging materials research; Thin film growth and characterization; Plasma chemistry and plasma-solid reaction; Photo-enhanced reactions; Sol-gel synthesis of ceramics and nanocomposites; Wet chemical approaches for the generation of electronic and opto-electronic materials; and Analytical chemistry utilizes a broad range of instrumentation to analyze interfacial processes in electronic materials, the environment and biological materials.
Arizona State University. Research interests include:
� � � Materials produced by high temperature and high pressure. Semiconductor materials processing. Synthesis of molecules for custom device application (e.g. molecular electronics, biomolecular nanotechnology, Bio-MEMS). This area is a key component of the new Arizona Biodesign Institute, which includes a NanoBiosystems Center and the Center for Single Molecule Biophysics. Development and application of novel microscopy techniques for material characterization. CHREM has the most comprehensive collection of advanced electron microscopes of any academic institution in the U.S. The Center is a local and regional resource for applications of high-resolution electron microscopy, including imaging, microanalysis, electron diffraction, electron holography and surface microscopy, as well as developments in methods and instrumentation. All of its expertise and facilities are available for use by the scientific community. The Center for Solid State Electronics has a specialty in optoelectronic materials and devices. The Computational Materials Science Group uses computer simulation to study the structure, properties, and processing of materials on the atomic scale. The Laboratories for Growth of Novel Materials researches high temperature engineered microsystems based on GaN, the improvement of dielectric materials for microwave applications, the fundamental mechanism of III-N semiconductor growth, and development of superconductor devices for photonic applications. The Nanostructures Research Group focuses on quantum dots in silicon and III-V materials, modeling semiconductor devices, strained silicon (on relaxed SiGe) as a material for advanced devices, physics of quantum transport, fast photo-excitation of semiconductors and development of processing technology for ultra-submicron devices. Analytical chemistry is focused on development of new methods for analysis of trace metals in the environment and analysis of DNA and proteins.
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Northern Arizona University.
� In the Chemistry Department, research is focused on interfacial chemistry and surface analysis of environmental systems; atmospheric chemistry; chemical genotoxicity; and natural product synthesis. The Physics and Astronomy Department is conducting an expanding set of research activities using MEMS microsensors to detect chemical and biological species in liquid and gaseous environments, with applications to hazardous waste cleanup and military needs.
With the third largest number of degrees awarded among the cluster areas, chemistry and materials sciences in Arizona accounted for more than 1,100 degrees from 1999-2001 awarded at nine different Arizona institutions. Roughly 72 percent of these degrees were awarded at the bachelor degree level among all universities (see Table 22) and the University of Arizona, Arizona State University and Northern Arizona University awarded 49 percent, 39 percent and 10 percent of the total respectively.
Table 22: Chemistry and Material Sciences Degrees
Program Areas Degrees in Chemistry and Materials Sciences AY 1999 - 2001 Associates Bachelors Masters Ph.D's
150 270 305 3 27 47 802 4 39 102 1 18 164 12 24 77
Total Number of Degrees
166 333 494 3 28 84 1,108
Biochemistry Chemical Engineering Chemistry, General Chemistry, Other Material Engineering Materials Science Chemistry and Materials Sciences Total
19 132
From Research Clusters to Core Competencies
While all the areas of research strength found in Arizona meet the criteria for research breadth, depth, reputation and impact, it is not automatic that all are Arizona's core competencies, particularly given the interest in having a foreseeable path to some commercial outcome. To take the analysis further, we have chosen to apply an industrially-focused core competency definition, which is widely used by technology-based firms. As defined by Hamel and Prahalad, in "Competing for the Future," a competence is a bundle of skills and technologies, rather than a single discrete skill or technology. It represents the sum of learning across individual skill sets and individual organizational units. Further, three tests can be used to identify a core competency: 1. Is it a significant source of competitive differentiation? Does it provide a unique signature for the state? 2. Does it transcend a single business? Does it cover a range of businesses, both current and new? 3. Is it hard for competitors to imitate? Applying this qualitative screen to the ten individual clusters of research strength produces six areas of university-based research that in our opinion qualify as Arizona's research core competencies.
Figure 6: Research Strengths to Core Competencies
Leading Research Areas
Ecological Sciences Earth Sciences Evolutionary Biology Anthropology Agricultural Sciences Space Sciences Computer Modeling Mathematics
Electronics & Optical Sciences Chemistry & Material Sciences
Core Competencies
Ecological Sciences
Agriculture & Plant Sciences Space Sciences Computer Modeling & Simulation Electronics & Optics Chemistry & Materials
We maintain that these six core competencies meet these criteria. They are broad, deep, very competitive, and if nurtured properly, can provide a pipeline of innovative technologies and products for Arizona's industry sectors, today and in the future. This section characterizes the six core competencies from the perspective of the total university asset base at Arizona's disposal. We have identified each university's research strengths in the process, but ultimate success for the state will depend on treating the three universities as a unit, a sort of "Arizona U Inc.", a $500 million per year research engine.
It is the combination and integration of electronics and optics that places Arizona in a class with very few other states (perhaps only New York and California). Therefore, in characterizing this competence, we emphasize where these two research areas converge, namely in optoelectronics, photonics, optics in computing, and both wireline and wireless applications.
Research in Electronics and Optics
Our analysis of grants revealed a robust group of approximately 60 faculty working in this combined field (Table 23).
Table 23: Grants and Faculty Number of Clusters Total Number of Grants Number of Grants by University Number of PI's Number of Principal Investigators with multiple NSF Grants
9 PIs
There are areas of collaboration between the two universities, but each university has its special focus areas.
University of Arizona. Much of UA's electrical engineering research is related to fusion of
electronics and optics and is closely linked with optical, materials and computer sciences. A second theme is environmentally-friendly electronics manufacturing. Faculty are experts in: � � � Broadband networks and multimedia communications with particular emphasis on quality of service, routing, and resource allocation issues over wireline and wireless networks. Efficient parallel retrieval and processing of data by moving the bulk of database operations from electronics to optics. Application of optical interconnects for use in high-speed massively parallel computer systems, including a novel, highly-integrated, highly-scalable optical interconnect architecture called the Scalable Optical Crossbar Network (SOCN). Application of optical components and optical interconnection architectures to communications problems in parallel processing systems, including three-dimensional optical network architectures that require simple optical implementations with existing optical hardware.
Neurobiologically-inspired architectures and representations. Neuromorphic VLSI chips incorporate architectures and representations inspired by neurobiology in a mix of analog and digital circuitry. Electromagnetics, microwaves, and antennas. Microelectronic devices and processing focused on environmental factors in the design and development of new tools and processes in the semiconductor industry Modeling of electrical and thermal characteristics of electronic device packages (Levels 1 and 2), and interconnected devices. Volume optical storage. Photonic techniques that enhance the capabilities of information processing, communication, and sensing systems.
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In addition, the Optical Sciences Center has significant research efforts in six areas: Quantum Optics � theoretical atom optics, nonlinear optics, atomic cooling, semiconductor nonlinear optics, optical propagation, laser theory, solid state theory and semiconductor quantum dots and quantum wells. Optoelectronics � nonlinear materials, thin films, device fabrication, displays, lasers and non linear optic devices, photorefractive polymers, nanophotonics, multilayered materials and superlattices. Optical Communications � magneto optics, storage media, optical signal processing, ODS head design, holographic storage, fiber optic systems and components, optical sensors and optical waveguides. Optical Systems Design and Fabrication � optical design and analysis, fabrication of very large optics, active optics control software, materials for optical mounts, lithography, diffractive optics, and optical coatings. Optical Imaging Systems and Analysis � acoustic imaging systems, magnetic resonance imaging systems, imaging processing and classification for radiology, pathology and ophthalmology, extreme UV microlithography imaging algorithms and active optics control software. Metrology, Test and Measurement � scanning probe microscopy, confocal microscopy, ellipsometry, interferometry, Shack-Hartmann tester for aspheric optics, thermal expansion, and absolute radiometric calibration of advanced remote sensing systems.
Arizona State University. Faculty work in four areas of leading edge electronics research:
Electromagnetics, including: � Electromagnetics, antenna and radar cross-section measurement, printed antenna design and analysis. Microwave circuits, microwave and millimeter-wave semiconductor devices and passive components. � � Wireless RF Circuits. Interconnection limitations in VLSI and the development of neurally inspired systems for VLSI to overcome these limitations. Fiber optics, holography, and electrooptics.
Electronic Circuits and Mixed-Signal Integrated Circuit Design, including: � Low voltage/power analog CMOS for A/D converters and RF circuits; ultra small device fabrication. BiCMOS devices and circuits; analog integrated circuits; VLSI circuits. � Wireless and wireline communication transceiver systems; mixed signal IC design; RF design; low power mixedsignal circuit design. Design for packagability.
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Communication Systems and Signal Processing, including: � � Controlling QoS in integrated services networks. Digital signal processing. Optical networks.
VLSI architectures and algorithms for signal processing and image processing, CAD tools for VLSI design. Solid State Electronics, including: � � � Quantum and nanostructure devices and device technology. Micro- and nano-electronics manufacturing and contamination control. III-V and II-VI semiconductor materials. � Wide band gap materials for optoelectronics, high frequency, high power and high temperature applications. Molecular electronics, based on organic materials.
Northern Arizona University. A small number of faculty (approximately 6) have interests and
experience in: � � � � � � Microelectronic materials and devices. Semiconductor device fabrication and characterization. Sensor design and development for environmental and biological applications. Microwave devices, and antennas. Neural networks and design verification, communication theory, modulation and detection for high-speed wireless, wireless networking, and satellite communications. Digital signal processors and their application to communications and signal processing, with emphasis in embedded systems and networks of embedded processing elements.
Key Resources University of Arizona. UA has three NSF Centers in collaboration with universities throughout
the United States: Center for Electronic Packaging Research is developing new simulation tools for high-speed interconnect systems NSF/SRC Engineering Research Center for Environmentally Benign Semiconductor Manufacturing is integrating Design for the Environment into new processes and tools. The Center's interdisciplinary research efforts involve six universities, and about 30 professors, 30 undergraduates and 50 graduate students in 11 different academic disciplines.
NSF Center for Microcontamination Control, shared with Rensselaer Polytechnic Institute, focuses on thin oxide quality, particle and film nucleation and growth, electronic characterization of ultra-thin oxide films, and CMP improvements. Additionally, the Optical Sciences Center has three specialized facilities: � � � Microfabrication and Clean Room; Thin Film Physics Laboratory; and Optical Fabrication.
In an attempt to integrate across the photonics space, a Photonic Technology Center has recently been proposed. The Photonic Technology Center (PTC) would be a multi-disciplinary research and academic Center, bringing together research and educational programs in the areas of photonics, optoelectronics, material science and engineering, electrical and computer engineering, chemical engineering, physics, chemistry, molecular biology, mathematics and physiology. With this uniquely strong resource base, it is hoped that the PTC will be able to pursue emerging research opportunities and prepare students for dynamic careers in the photonics industries, including photonic communication devices, optoelectronics components, photonic materials, nanophotonic components, biophotonic and plastic optoelectronics. In addition, UA is a finalist for an NSF Engineering Research Center that would be devoted to Intelligent Optical Networks, which compliments the Communications Center recently awarded to ASU (see below).
Arizona State University has three relevant centers:
Center for Low Power Electronics Research, a collaboration with UA to address fundamental, industry-relevant research problems in the design of ultra-low power portable computing and communication systems. Center for Solid State Electronics Research (CSSER) conducts research, develops technology and provides educational programs in solid-state electronics, including, CMOS, molecular electronics, biochips and MEMS. The Nanostructures Research group is a part of CSSER. Its research focus is advanced devices based on quantum dots, strained silicon (on relaxed SiGe) and development of processing technology for ultra-submicron devices. Special facilities are available for electron beam lithography, surface chemical analysis, transport measurements and chemically enhanced vapor etching (CEVE) patterning. NSF Cooperative Research Center for Communication Circuits and Systems Research (Connection 1), where the focus is "system-on-a-chip," a new circuit technique for the higher integration of complex RF, analog and digital systems, combined with novel communication protocols, algorithms and embedded system designs. The University of Arizona is currently developing the industry/university interaction necessary to become part of this Center and has a planning grant from NSF. A strong link exists between this center and the Consortium for Embedded and Internetworking Technology (CEINT), housed at ASU, which is described below. In addition, related facilities include the W.M. Keck Laboratory (electron microscopy) and laboratories for fiber optic cable test, optoelectronic materials and device preparation, growth of novel materials for photonic applications and laser diagnostics.
Northern Arizona University has two relevant facilities: 35
The Wireless Networks Laboratory, which is integrating cutting-edge, low-cost circuit and system technology into a wireless environmental sensing network--WISARDNet--based on an evolvable architecture that will meet an immediate and critical need: to dramatically improve coverage and spatial density while greatly reducing the total cost. The Advanced Microelectronics Laboratory (AML) is a facility for designing and fabricating integrated circuits using micro-manufacturing processes, with support from Honeywell, Intel, and Raytheon.
Both the University of Arizona and Arizona State University have very strong electrical engineering departments and specialized centers of excellence in leading edge areas of electronics, nanoelectronics, photonics and advanced semiconductor research, which are closely linked to the high tech industry in the region and nationally. Electrical engineering at both schools is also linked to their computer science and engineering and materials science programs. The new NSF center, Connection 1, at ASU brings together a world-class group of scientists focused on advanced wireless technology based on "system on a chip." The Optical Sciences Center at UA is ranked number one in the US and is recognized internationally for its strong programs and partnership with industry. Two new initiatives there are the Photonics Technology Center and the Center for Intelligent Optical Networks. Optical sciences also links in to a number of research areas, including physics, and chemistry (spectroscopy), astronomy and planetary sciences, materials science (laser processing techniques), bioengineering (imaging), and electrical engineering (fiber optics) at both UA and ASU. Northern Arizona University has a small group of faculty engaged in micro-manufacturing of electronic circuits and new sensors, with support from industry.
The computer modeling and simulation core competency depends on two key attributes, namely the wide range of software applications, from environment and health to materials and electronics, and the strong foundation in applied mathematics. This area underpins much of the research effort at all three universities. In particular, the synergism with electronics and electrical engineering is noteworthy.
Research in
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