TechnologyTransferInitiative

BenchmarkingR&DSummary

November2015

DavidL.Gulley,PhDDirector,TechnologyTransferOffice

TableofContentsIntroduction1. BenchmarkingComparativeR&DPerformanceinAcademicInstitutions................................22.R&DExpendituresforHigherEducationInstitutionsinPuertoRico........................................33.R&DStaffing.............................................................................................................................74.ClinicalTrials.............................................................................................................................85.PublicationCitationMap..........................................................................................................9Attachment

PuertoRicoScience,TechnologyandResearchTrustTechnologyTransferInitiative

BenchmarkingR&DSummary

November2015

IntroductionThePuertoRicoScience,TechnologyandResearchTrust(Trust)TechnologyTransferinitiativeisaimed at designing, creating and implementing an agile and effective structure to foster thecommercializationoflocallydevelopedscientificinventionsanddiscoveries.Through this initiative the Trust seeks to establish a Technology Transfer Office (TTO) thatservesasanumbrellaentitytomoveinnovationsfromacademiatotheprivatesector.ThegoalofthisTechnologyTransferinitiativeisthecreationofnewproductsandcompanies,expansionofemployment,andfuelingeconomicactivityinPuertoRico.BenchmarkingBenchmarking academic institutions and their technology transfer performance andopportunitiesrequiresadetailedunderstandingofthreeareas:

• research&developmentperformance,• technologytransfermetrics,and• theuseofbestpractices

This benchmarking document represents research& development performance. Technologytransfermetricsandtheuseofbestpracticesarepresentedseparately.1. BenchmarkingComparativeR&DPerformanceinAcademicInstitutions

ResearchanddevelopmentexpendituresarereportedannuallybyeachinstitutiontotheU.S.National Science Foundation and reported by the NSF National Center for Science andEngineeringStatistics inanannualHigherEducationResearchandDevelopmentSurvey. Onlythose individualcampuses reporting toNSFare included. The latestdataavailable isFY2013(July2013-June2014).Summarytablesarepresentedthataggregateinformationfor:

• UniversityofPuertoRicoSystem(UPR)campuses- Mayagüez,MedicalSciences,andRioPiedras

• AnaG.MéndezUniversitySystem(SUAGM)campuses- Metropolitana,Turabo,anddelEste

• PonceHealthScienceUniversity(PHSU)• UniversityCentraldelCaribe(UCC)

Fourareasarebenchmarked:• R&DExpenditures:Five-YearTrends,bySource,byField• R&DStaffing• ClinicalTrials• PublicationCitation

2. R&DExpendituresforHigherEducationInstitutionsinPuertoRico

Research and development at institutions of higher education provide researchers with thefundsnecessarytopursuenewknowledge,addressspecificorbroadissues,andmakethatnewknowledgeand thosesolutionsavailable to their scientific colleagues, theprivate sector,andthepublic.To facilitate this transfer of knowledge, publication in academic journals andpresentation atacademic conference are encouraged and key tomaking the resultswidely available. As theresultof theU.S.Bayh-DoleAct (Pub.L.96-517,1980)universitiesand their researchershavebeenincentivizedtoalsotransfertheresultsoffederallyfundedresearchtotheprivatesectorthrough a technology transfer process that involves the protection (e.g., patenting) andlicensingof intellectualproperty. Asa result, technology transferofficeswereestablished inuniversities and a new profession emerged that links science to business, with the goals ofdevelopingnewproductsandprocessesandbenefittingthepublicatlarge.Keyindicatorsoftechnologytransferpotentialarethefundinglevel,sourceoffunds,andfieldoffundedresearch.Eachindicatorispresentedinthefollowingtables.

2.1. Five-YearTrends

Puerto Rico’s universities compete with all U.S. universities for federal funds to supportresearch programs. In 2013, Puerto Rico’s universities spent1$140 million on research anddevelopment, a 23% increase over a five-year period. Expenditures from the one-timeAmericanRecoveryandReinvestmentActof2009(ARRA)havedecreasedthrough2013.ThepublicUniversity of PuertoRico System (UPR) consistently achieved thehighest ranking,producing about 75% of all R&D expenditures at Puerto Rico’s universities. In addition, itsexpendituresincreasedfrom$97.9millionin2009to$105millionin2013,a7%increase.Themost rapid increases in R&D expenditureswere from the Ana G.Méndez University System(SUAGM),from$1.7millionto$16.3million,andthePonceHealthSciencesUniversity(PHSU),from$7.1millionto$12.3million,whileUniversidadCentraldelCaribe(UCC)showedaslightdecline.

1R&Ddataismeasuredby“expenditures”,i.e.,thefundsactuallyspentonresearch.

PuertoRicoHigherEducationR&DExpenditures(2009-2013),rankedbyFY2013expenditures(Dollarsinthousands)

Institution 2009 2010 2011 2012 2013UniversityofPuertoRicoSystem 97,953 99,022 134,473 114,728 105,014AnaG.MéndezUniversitySystem 1,729 9,880 10,843 17,905 16,309PonceHealthSciencesUniversity 7,085 8,934 10,502 11,586 12,243UniversityCentraldelCaribe 7,484 7,122 7,515 7,313 7,095

ThetotalandindividualcampusesandtheirrankamongU.S.institutionsarerepresentedbelow.

U.S.HigherEducationR&DExpenditures(2009-2013),rankedbyFY2013expenditures(Dollarsinthousands) Rank Institution 2009 2010 2011 2012 2013

AllPuertoRicoinstitutions 114,251

124,958

163,333

151,532

140,661

206 U.PR,MedicalSciencesCampus 41,668 39,134 64,017 45,649 43,374232 U.PR,RioPiedras 31,592 30,515 32,582 33,099 29,234233 U.PR,Mayaguez 20,991 26,475 34,424 32,115 29,225307 PonceSchoolofMedicineandHealthSciences 7,085 8,934 10,502 11,586 12,243353 U.Metropolitana 597 1,888 2,387 9,472 7,835358 U.CentraldelCaribe 7,484 7,122 7,515 7,313 7,095362 U.delTurabo 423 6,620 7,098 6,953 6,916539 U.PR,Cayey 1,735 927 1,474 1,916 1,726556 U.delEste 709 1,372 1,358 1,480 1,558566 U.PR,Humacao 1,967 1,971 1,976 1,949 1,455

SOURCE:National Science Foundation,National Center for Science and Engineering Statistics, Higher Education Research andDevelopmentSurvey.

2.2. BySourceThe sourceof funds isan indicatorof theuniversity’sability to competeamong itspeers, itslinkagestoitsregion,tobusinesses,andothernon-profits.Inaddition,thefundsexpendedbythe institution itself can reflect research priorities and the financial commitments needed tocompetewithpeers.Of the total ($140.6 million), Puerto Rico’s institutions receive the majority (2/3 or $92.2million)oftheirR&Dfundingfromthefederalgovernmentthroughcompetitivegrantprocesses,asdomostU.S.universities,bothpublicandprivate.AsexpectedtheUPR’sshare($66million)representedthehighestleveland63%ofitstotalexpenditures.Inaddition,itledinallothercategories. Ofnotearefundssourcedfrombusiness ($3.3millionor2%)andthedeviationfrom overall U.S. university performance, which is a challenge for effective technologytransferinPuertoRico.DuringFY2013,U.S.institutionsexpended$3.5billion(or5%)sourcedfrombusinessofthetotal$67billioninR&Dexpenditures.

PuertoRicoHigherEducationR&DExpenditures,bysourceoffundsFY2013(Dollarsinthousands)

InstitutionAllR&D

expendituresFederal

government

Stateandlocal

governmentInstitution

funds BusinessNonprofit

organizations

Allothersources

UniversityofPuertoRicoSystem 105,014 66,017 3,640 29,574 3,329 2,042 412AnaG.MéndezUniversitySystem 16,309 8,945 0 7,364 0 0 0PonceHealthSciencesUniversity 12,243 11,251 992 0 0 0 0UniversityCentraldelCaribe 7,095 5,946 230 919 0 0 0

ThetotalandindividualcampusesandtheirrankamongU.S.institutionsarerepresentedbelow.

U.S.HigherEducationR&DExpenditures,bysourceoffundsFY2013

(Dollarsinthousands)

Rank InstitutionAllR&D

expendituresFederal

government

Stateandlocal

governmentInstitution

funds BusinessNonprofit

organizations

Allothersources

AllPuertoRicoinstitutions 140,661 92,159 4,862 37,857 3,329 2,042 412

206 U.PR,MedicalSciencesCampus 43,374 31,037 2,582 7,119 1,490 1,146 0

232 U.PR,RioPiedras 29,234 17,946 99 10,629 0 296 264233 U.PR,Mayaguez 29,225 14,414 959 11,265 1,839 600 148307 PonceSchoolofMedicine

andHealthSciences 12,243 11,251 992 0 0 0 0353 U.Metropolitana 7,835 7,226 0 609 0 0 0358 U.CentraldelCaribe 7,095 5,946 230 919 0 0 0362 U.delTurabo 6,916 747 0 6,169 0 0 0539 U.PR,Cayey 1,726 1,168 0 558 0 0 0556 U.delEste 1,558 972 0 586 0 0 0566 U.PR,Humacao 1,455 1,452 0 3 0 0 0

SOURCE:National Science Foundation,National Center for Science and Engineering Statistics, Higher Education Research andDevelopmentSurvey.

2.3. ByField

Thediscipline, or field, of research is important to better understandwherenewknowledgemay impact further research as well as present opportunities to link with a private sectorpartnerwiththeabilitytodevelopthediscoveryforaparticularmarket.TheprofileofPuertoRico’sinstitutionsisnotonlycharacterizedbythefundinglevelsofvariousfederal agencies, but also shows similarity to the average funding percentages of U.S.universitiesin6of9fields,forexample:

• Lifesciencesrepresent56%oftheU.S.totaland53%ofPuertoRico’stotal.• Environmentalsciencesrepresent5%oftheU.S.totaland8%ofPuertoRico’stotal.

Whilethreefieldsshowdifferences:• Mathandcomputersciencesrepresent4%oftheU.S.totaland1%ofPuertoRico’stotal.• Physicalsciencesrepresent7%oftheU.S.totaland15%ofPuerto’sRico’stotal.• Engineeringrepresents16%oftheU.S.totaland9%ofPuerto’sRico’stotal.

Inplanningfortechnologytransfer,thefieldsoflifesciences,physicalsciences,engineering,and environmental sciences provide the foundation for discovery and commercializationopportunities.

PuertoRicoHigherEducationR&DExpenditures,bycontrolandR&DfieldFY2013(Dollarsinthousands)

InstitutionAllR&D

expendituresEnvironmental

sciencesLife

sciences

Mathandcomputersciences

Physicalsciences Psychology

Socialsciences

Sciences,nec Engineering

Allnon-S&Efields

UniversityofPuertoRicoSystem 105,014 11,655 53,995 1,294 15,558 1,709 1,989 2,541 12,607 3,666AnaG.MéndezUniversitySystem 16,309 30 1,736 403 5,178 58 179 40 476 8,209PonceHealthSciencesUniversity 12,243 0 12,243 0 0 0 0 0 0 0UniversityCentraldelCaribe 7,095 0 7,095 0 0 0 0 0 0 0

Thetotalandindividualcampusesarerepresentedbelow.

U.S.HigherEducationR&DExpenditures,bycontrolandR&DfieldFY2013(Dollarsinthousands)

State,institutionalcontrol,andinstitution

AllR&Dexpenditures

Environmentalsciences

Lifesciences

Mathandcomputersciences

Physicalsciences Psychology

Socialsciences

Sciences,nec Engineering

Allnon-S&Efields

PuertoRico 140,661 11,685 75,069 1,697 20,736 1,767 2,168 2,581 13,083 11,875

Public 105,014 11,655 53,995 1,294 15,558 1,709 1,989 2,541 12,607 3,666

U.PR,Cayey 1,726 53 0 0 205 0 173 1,295 0 0U.PR,Humacao 1,455 0 158 0 1,294 0 0 0 0 3U.PR,Mayaguez 29,225 7,517 3,463 981 3,841 0 205 0 12,034 1,184U.PR,MedicalSciencesCampus

43,374 0 43,374 0 0 0 0 0 0 0

U.PR,RioPiedras 29,234 4,085 7,000 313 10,218 1,709 1,611 1,246 573 2,479

Private 35,647 30 21,074 403 5,178 58 179 40 476 8,209

PonceSchoolofMedicineandHealthSciences

12,243 0 12,243 0 0 0 0 0 0 0

U.CentraldelCaribe 7,095 0 7,095 0 0 0 0 0 0 0

U.delEste 1,558 0 1,241 0 0 58 179 40 0 40U.delTurabo 6,916 2 88 0 0 0 0 0 476 6,350U.Metropolitana

7,835 28 407 403 5,178 0 0 0 0 1,819

SOURCE:National Science Foundation,National Center for Science and Engineering Statistics, Higher Education Research andDevelopmentSurvey.

3. R&DStaffingFundedresearchisconductedbyaprincipal investigator(s)andsupportedbyotherpersonnelneededtoaccomplishtheresearchprogram’sobjectives.Theseothersaretechnicallyqualifiedstaff in the field and experienced in research instrumentation or protocols, or theymay begraduatestudentsinvolvedintheresearchprojectorpost-doctoralstudentsonalimitedtermappointmentfollowingtheirdegree.In Puerto Rico there were 2,258 university personnel involved in R&D during FY2013. Asexpected,UPRrepresentsnearly60%ofthetotal,andover80%ofprincipalinvestigators.Ofthe total,511 were principal investigators that represent a cadre of researchers that mayhaveopportunitiestoparticipateinthetechnologytransferprocess.Further,the48postdocsrepresentanopportunitytoengageinnewentrepreneurialefforts.Effectivetechnologytransferrequiresfacultyresearcherswhohaveanunderstandingofrelatedinstitutional polices and practices, the ability to recognize discoveries that might havecommercial potential, and the desire to participate, and the confidence in working withtechnologytransferprofessionals.

PuertoRicoHigherEducationR&DHeadcount,bycontrolFY2013

Institution

Allpersonnel

TotalPrincipal

investigatorsOther

personnel PostdocsaUniversityofPuertoRicoSystem 1,336 420 916 45AnaG.MéndezUniversitySystem 609 29 580 0PonceHealthSciencesUniversity 193 27 166 1UniversityCentraldelCaribe 120 35 85 2

Thetotalandindividualcampusesarerepresentedbelow.

U.S.HigherEducationR&DHeadcount,bycontrolFY2013

State,institutionalcontrol,andinstitution

Allpersonnel

TotalPrincipal

investigatorsOther

personnel Postdocsa

Total 2,258 511 1,747 48

PuertoRico

Public U.PR,Cayey 68 8 60 1U.PR,Humacao 18 10 8 0U.PR,Mayaguez 375 279 96 4U.PR,MedicalSciencesCampus 258 95 163 13U.PR,RioPiedras 617 28 589 27

Private PonceSchoolofMedicineandHealthSciences 193 27 166 1U.CentraldelCaribe 120 35 85 2U.delEste 56 8 48 0U.delTurabo 99 12 87 0U.Metropolitana 454 9 445 0

*Postdocsareincludedintotalsreportedforallpersonnel.Postdocsarepersonnelwithdoctoraldegreesgenerallyawardedwithinthelast5yearsandwhoareworkingforaninstitutionunderalimited-termappointmentfortraininginresearch.SOURCE:National Science Foundation,National Center for Science and Engineering Statistics, Higher Education Research andDevelopmentSurvey.

4. ClinicalTrialsTwocampusesreportedclinicaltrialsinFY2013:UPRMedicalSciencesCampusandthePonceHealthSciencesUniversity.Clinicaltrialcapabilitydoesnotintersectwithtechnologytransfer,butitdoesreflectcapabilitiesinresearchservices,clinicalmonitoring,andprojectmanagement.

U.S.HigherEducationR&DExpenditures,byinstitutionsreportingclinicaltrialsFY2013

(Dollarsinthousands)

State,institutionalcontrol,andinstitutionTotal Federal Nonfederal

AllR&Dexpenditures

Clinicaltrials

AllR&Dexpenditures Clinicaltrials

AllR&Dexpenditures Clinicaltrials

PuertoRico

Public U.PR,MedicalSciencesCampus 43,374 3,652 31,037 3,593 12,337 59

PrivatePonceSchoolofMedicineandHealthSciences

12,243 675 11,251 0 992 675

SOURCE:NationalScienceFoundation,NationalCenterforScienceandEngineeringStatistics,HigherEducationResearchandDevelopmentSurvey.

5. PublicationCitationMapAnadditional indicatorof technology transferpotential canbeshown in researchpublicationproductivity and publication citations. The SCImago Journal& Country Rank is a portal thatincludes the journals and country scientific indicators developed from the informationcontainedintheScopus®database(ElsevierB.V.).TheseindicatorscanbeusedtoassessandanalyzescientificdomainsandvisibilityofthejournalscontainedintheScopus®databasefrom1996.A review of publication co-citation references from 2011-2012 for Puerto Rico (attached)2showsdistinctpatternsofstrongpublicationproductivity/citationclusters:

• Medicine:includingbiochemistry,genetics,andmolecularbiology• PhysicsandAstronomy• AgriculturalandBiologicalSciences• EngineeringandMaterialsScience

The protection of intellectual property (IP) is fundamental in attracting private sectorbusinesses,entrepreneursandinvestors.Businesses(licensees)desireacompetitiveadvantagethroughalicensethattransfersrightstoexploittheIP.WithoutIPprotection,discoveriesandinventions may be publicly available through publication in journals, presentations atconferences,orothermethodsofpublicdisclosure.Thegoalofatechnologytransferoffice istoworkcloselywithresearcherstofacilitatetimelydisclosureofpotentialinventions.Therearethreekeystoaneffectiverelationship:

• Educateresearchersabouthowtorecognizearesearchdiscoveryandwhentodisclosethefindingstothetechnologytransferoffice.

• Synchronize the filing of IP protection/patents so as not to impede the researchersabilitytopublish.

• Build confidence in the researchers the technology transfer process will be robust,unbiased,andtimely.

2SCImago.(2007).SJR—SCImagoJournal&CountryRank.RetrievedMay25,2015,fromhttp://www.scimagojr.com

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