University of California Berkeley Sponsored Projects ... · Patrick Schlesinger Published by the Research Administration and Compliance Office. University of California, Berkeley

University ofCalifornia, BerkeleySponsored

ProjectsAnnual Report

Fiscal Year 2013

Sponsored Projects Annual Report 2013

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University of California, BerkeleyChancellorNicholas B. Dirks

Executive Vice Chancellor and ProvostGeorge W. Breslauer

Vice Chancellor for ResearchGraham R. Fleming

Assistant Vice Chancellor - Research Administration and CompliancePatrick Schlesinger

Published by the Research Administration and Compliance OfficeUniversity of California, BerkeleyBerkeley, CA 94704-5940510/642-0120http://rac.berkeley.edu

© 2013 The Regents of the University of CaliforniaPhotograph Credit: Alan Nyiri, Atkinson Photographic Archive

http://berkeley.edu

University of California, Berkeley / Sponsored Projects Overview 3Research Proposals and Awards Funding Overview 3 Funding by Campus Control Unit 6Research Contracts and Grants by Funding Source Overview - All Sponsors 9 Federal Agencies 11 Nonfederal Agencies 13Largest Awards, Fiscal Year 2013 14 Award Highlights 15

Sponsored Projects Annual Report, Fiscal Year 2013 Table of Contents

http://rac.berkeley.edu

http://www.terraswarm.org


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The University of California, Berkeley is one of the world’s leading universities in research, teaching, and public service, with an enrollment of nearly 26,000 undergraduates and more than 10,000 graduate students. The campus employs 1,505 full-time and 604 part-time faculty in more than 130 academic departments and more than 80 interdisciplinary research units. UC Berkeley is divided into 14 colleges and schools, most of which are subdivided into departments. The campus offers over 9,800 undergraduate and graduate courses in 375 degree programs, and typically produces more Ph.D.s than any other U.S. university.

The Sponsored Projects Office (SPO) at UC Berkeley is responsible for endorsing and authorizing proposals to and interpreting, negotiating, and accepting contracts and grants for projects funded by federal and state agencies, foundations, and other public and private sources. SPO prepares and negotiates all subawards for collaborative research. SPO is part of the Research Administration and Compliance Office, under the Vice Chancellor for Research.

Berkeley Coeus is the campus research contract and grant system of record and is managed by the Research Administration and Compliance Office. The Berkeley Coeus web site provides UC Berkeley departments and organized research units with reports on contract and grant proposals and awards administered within the unit. The site also provides reports on funding by sponsor category and funding by department that can be accessed by the public.

University of California, Berkeley / Sponsored Projects Overview

Research Proposals and Awards, Funding Overview

Column Labels2004 2005 2006 2007 2008 2009 2010 2011

Sum of Amount $1,413.6 $1,539.2 $1,271.0 $1,936.3 $2,110.0 $2,376.4 $2,290.4 $2,343.4$584.8 $491.2 $469.2 $504.3 $953.9 $643.0 $744.0 $717.3

2004 2005 2006 2007 2008 2009 2010 2011Requested $1,413.6 $1,539.2 $1,271.0 $1,936.3 $2,110.0 $2,376.4 $2,290.4 $2,343.4Received $584.8 $491.2 $469.2 $504.3 $953.9 $643.0 $744.0 $717.3

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013Requested $1,413.6 $1,539.2 $1,271.0 $1,936.3 $2,110.0 $2,376.4 $2,290.4 $2,343.4 $1,937.3 $1,736.7Received $584.8 $491.2 $469.2 $504.3 $953.9 $643.0 $744.0 $717.3 $713.7 $709.8

$0.0

$500.0

$1,000.0

$1,500.0

$2,000.0

$2,500.0

Ten-Year Comparison of Funding Requested and Funding Received, FY 2004-2013


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2004 2005 2006 2007 2008 2009 2010 2011 2012 2013Project $584.8 $491.2 $469.2 $504.3 $953.9 $643.0 $744.0 $717.3 $713.7 $709.8Budget $496.2 $539.4 $512.0 $542.9 $624.1 $683.1 $720.8 $698.6 $777.0 $645.8

$-

$200.0

$400.0

$600.0

$800.0

$1,000.0

$1,200.0

Ten-Year Comparison of Project and Budget Period Funding, FY 2004-2013 (dollars in millions)

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013Federal 592 601 533 573 553 551 775 602 554 463All 1,484 1,545 1,514 1,603 1,713 1,701 1,818 1,627 1,613 1,408

-

250

500

750

1,000

1,250

1,500

1,750

2,000

Ten-Year Comparison of Number of New Awards Received, FY 2004-2013

Project period funding includes all funding anticipated for a project, reporting in the fiscal year of its begin date. Budget period funding reports each budget period for a project in the fiscal year of its begin date.


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Basic research $4,612.6

71%

Other $579.2

9%

Applied research $496.1

7%

Instruction $374.7

6%

Training $286.0

4%

Public Service $182.5

3%

Ten-Year Funding Summary by Activity Type, FY 2004-2013 ($6.53 billion total - dollars in millions)

Basic research $510.9

72%

Other $53.8

8%

Applied research $27.4

4%

Instruction $68.1 10%

Research Training

$24.4 3%

Public Service $25.3

3%

Fiscal Year 2013 Funding Summary by Activity Type ($709.9 million total - dollars in millions)


Activity type “Other” primarily includes funding transferred from the Lawrence Berkeley National Laboratory for administrative purposes, along with projects that span multiple activities or do not cleanly fit into the five other categories.


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UC Berkeley colleges, schools, and divisions include the Colleges of Chemistry, Engineering, Natural Resources, and Environmental Design, as well as Optometry, Law, Journalism, Public Policy, Public Health, Education, Business, Social Welfare, and others.

Organized Research Units (ORUs) report to the Vice Chancellor for Research and span many disciplines. These institutes, centers, and departments exist primarily to conduct research, and include the Space Sciences Laboratory, the Institute of Transportation Studies, the Berkeley Seismological Laboratory, and many others.

The College of Letters and Science, or L&S, includes Biological, Physical, Social Science, and Arts and Humanities Divisions.

Research Proposals and Awards, Funding by Campus Control Unit


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Colleges, Schools, & Divisions

1,600 53%

Letters & Science 746 25%

Organized Research

598 20%

Student Affairs 57 2%

Others 11 0%

Fiscal Year 2013 Number of Proposals Submitted by Control Unit (3,012 total)

Count of Count Column LabelsColleges & Schoo Letters & Science Organized Student Affairs Others Grand Total

Row Labels2004 1,439 555 599 63 15 2,671 2005 1,574 609 671 51 19 2,924 2006 1,480 672 707 55 9 2,923 2007 1,608 657 733 39 4 3,041 2008 1,636 666 853 34 12 3,201 2009 1,893 779 1,003 44 11 3,730 2010 1,887 813 903 52 32 3,687 2011 1,708 753 874 68 9 3,412 2012 1,824 806 799 66 7 3,502 2013 1,600 746 598 57 11 3,012 Grand Total 16,649 7,056 7,740 529 129 32,103

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013Colleges & Schools 1,439 1,574 1,480 1,608 1,636 1,893 1,887 1,708 1,824 1,600Letters & Science 555 609 672 657 666 779 813 753 806 746Organized Research 599 671 707 733 853 1,003 903 874 799 598Student Affairs 63 51 55 39 34 44 52 68 66 57Others 15 19 9 4 12 11 32 9 7 11

-

200

400

600

800

1,000

1,200

1,400

1,600

1,800

2,000

Ten-Year Comparison of Number of Proposals Submitted by Control Unit, FY 2004-2013

Funding by Campus Control Unit


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$-

$100.0

$200.0

$300.0

$400.0

$500.0

$600.0

2004 2005 2006 2007 2008 2009 2010 2011 2012 2013Colleges & Schools $290.6 $254.1 $259.0 $289.0 $321.8 $321.4 $400.3 $392.3 $456.6 $390.7Organized Research $209.3 $130.5 $138.8 $132.4 $524.3 $188.6 $221.1 $190.6 $149.4 $214.4Letters & Science $71.4 $98.2 $60.3 $70.6 $92.1 $118.4 $101.3 $119.9 $94.9 $92.6Others $13.4 $8.4 $11.0 $12.3 $15.8 $14.6 $21.3 $14.5 $12.9 $12.2

Ten-Year Funding Summary by Control Unit, FY 2004-2013 (dollars in millions)

Colleges, Schools, & Divisions

$390.7 55%

Organized Research $214.4

30%

Letters & Science $92.6 14%

Student Affairs $11.8

2%

Others $0.4 0%

Fiscal Year 2013 Funding Summary by Control Unit ($709.9 million total - dollars in millions)

Funding by Campus Control Unit


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In the current fiscal year, federal funding again made up the largest portion of total funding received, although the federal share declined from 56% in fiscal year 2012 to 47% in fiscal year 2013. This is partly due to the impacts of federal funding sequestration and partly to the large amount of funding received from nonprofit organizations.

Nonprofit organizations, including foundations, charities, research institutes, and institutions of higher education, increased by nearly 210% over last year’s $74.8 million, at $226.7 million in fiscal year 2013.

Funding from nonfederal governmental sources included $73.6 million from State of California agencies, down from $111.2 million last year.

Research Contracts and Grants by Funding Source Overview - All Sponsors

Award Highlight

MasterCard Foundation Scholars Program: Supporting Sub-Saharan African Students at BerkeleyThe vision of the MasterCard Foundation Scholars Program is to educate and develop bright yet economically marginalized young people in Africa who have a demonstrated “give-back” ethos and who will contribute to the transformation of the continent. The MasterCard Foundation Scholars Program is a $500 million education initiative that will provide 15,000 talented, yet economically disadvantaged students from developing countries— particularly in Africa— with comprehensive support for secondary and university education.

At UC Berkeley, a $30 million award from this program will provide holistic support—financial, academic, social, and career counseling—to 113 students from Sub-Saharan Africa from 2012 to 2020. The scholars will pursue both undergraduate and professional master’s degrees.

Administered out of the Center for African Studies, the program at the University of California, Berkeley is supported by a broad cross-section of functional and disciplinary units on campus including the Division of Student Affairs, Undergraduate Admissions, the Graduate Division, the Berkeley International Office, and the International House.

http://admissions.berkeley.edu/mastercardfoundation


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Federal $3,567.4

55%

Not for Profit $1,141.3

17%

Industry $655.0

10%

State of California $873.8

13%

Foreign & Other Government

$61.9 1%

University of California

$231.7 4%

Ten-Year Funding Summary by Sponsor Category, FY 2004-2013 ($6.53 billion total - dollars in millions)

Federal $335.1 47%

Not for Profit $226.7

32%

State of California $73.6 10%


$4.7 1%

Industry $44.4

6%


$25.3 4%

Fiscal Year 2013 Funding Summary by Sponsor Category ($709.9 million total - dollars in millions)

Overview - All Sponsors


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DHHS $1,226.3

34%

NSF $1,048.2

29%

NASA $335.8

9%

DOE $307.9

9%

DOD $290.1

8%

Other $129.0

4%

DOED $122.2

3%

USDA $51.7

2%

DOT $34.1

1%

USDI $22.2

1%

Ten-Year Funding Summary by Federal Sponsor, FY 2004-2013 ($3.57 billion total - dollars in millions)

DHHS $92.6 28%

NSF $92.1 27%

NASA $23.1

7%

DOE $42.0 13%

DOD $35.3 11%

Other $33.1 10%

DOED $7.6 2%

USDA $4.8 1%

DOT $3.4 1%

USDI $1.0 0%

Fiscal Year 2013 Funding Summary by Federal Sponsor ($335 million total - dollars in millions)

Funding from federal sources declined by 15% in fiscal year 2013. The Department of Health and Human Services and the National Science Foundation each awarded slightly more than $92 million, making up 28% and 27% of the federal total respectively, down from the 35% and 30% respectively in fiscal year 2012.

Federal Agencies


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2004 2005 2006 2007 2008 2009 2010 2011 2012 2013DHHS $113.4 $131.4 $108.7 $101.1 $111.4 $115.7 $175.6 $138.2 $138.3 $92.6NSF $102.9 $78.8 $76.6 $90.0 $102.3 $89.0 $154.3 $142.8 $119.5 $92.1DOE $24.6 $22.8 $20.5 $18.3 $24.7 $27.6 $31.1 $39.3 $56.9 $42.0NASA $115.0 $18.6 $23.9 $16.1 $29.3 $25.8 $21.8 $43.8 $18.4 $23.1DOD $16.6 $18.8 $18.8 $21.9 $30.9 $29.2 $54.1 $26.5 $38.1 $35.3

$0

$20

$40

$60

$80

$100

$120

$140

$160

$180

$200

Ten-Year Funding Summary for Top Five Federal Sponsors, FY 2004-2013

Federal Agencies

Award Highlight

Development Impact Lab: New Technological Solutions to Global Development ProblemsThe Development Impact Lab (DIL), based at UC Berkeley, will bring together world-class science, engineering, and economics to change the way new technologies for development are designed, evaluated, and scaled in the developing world. DIL’s legacy will include a new inter-disciplinary field of Development Engineering that formalizes the use of advanced science and technology to understand and address development problems. DIL is funded under a $20 million award that is part of the Higher Education Solutions Network, a USAID program designed to enhance the Agency’s ability to pioneer scientific, technological and innovative approaches to development challenges.

http://dil.berkeley.edu/

http://dil.berkeley.edu/


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Not for Profit $1,141.3

39%

State of California $873.8

29%

Industry $655.0

22%


$231.7 8%


$61.9 2%

Ten-Year Funding Summary by Nonfederal Sponsor, FY 2004-2013 ($2.96 billion total - dollars in millions)

Not for Profit $226.7

60%

State of California $73.6 20%

Industry $44.4

12%


$25.3 7%


$4.7 1%

Fiscal Year 2013 Funding Summary by Nonfederal Sponsor ($374.7 million total - dollars in millions)

Funding from nonfederal sources increased by more than 15% in fiscal year 2013, at $374.7 million, helping to offset the drop in federal funding. $226.7 million was received from nonprofit agencies, more than in any prior year and more than double the amount received in fiscal year 2012.

Nonfederal Agencies


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Jeffrey L. Edleson, Social Welfare, “Title IV-E Social Work Training Program,” State of California Department of Social Services, $32,587,458

Richard M. Karp, Simons Institute for the Theory of Computing, “Simons Institute for the Theory of Computing,” Simons Foundation, $31,500,000 (initial phase)

Harry Le Grande, Center for African Studies, “MCF Global Scholars Program at UC Berkeley,” MasterCard Foundation, $30,077,837

David Ragland, Environmental Health Sciences, “Sobriety Checkpoint Program 2012-2013,” State of California Office of Traffic Safety (Federal Highway Administration prime sponsor), $28,470,735

Edward A. Lee, Engineering Research Support Organization, “The TerraSwarm Research Center,” Microelectronics Advanced Research Corporation, $27,573,125

Ashok J. Gadgil, Engineering Research Support Organization, “Development Innovations Lab (DIL),” U.S. Agency for International Development, $20,000,000

Thomas C. Leonard, University Library, “Digital Resource Licenses,” Lawrence Berkeley National Laboratory, $12,025,563

Jamie H. Cate, California Institute for Quantitative Biosciences, “Center for RNA Systems Biology,” National Institute of General Medical Sciences, $9,992,931

Kathleen Collins, Molecular and Cell Biology, “The Molecular Basis of Cell Function,” National Institute of General Medical Sciences, $8,645,138

Fiona M. Doyle, Engineering Research Support Organization, “BEARS - Berkeley,” Berkeley Education Alliance for Research in Singapore, $6,021,420

Xiang Zhang, Engineering Research Support Organization, “An Optical Nanoscope for Imaging Beyond Diffraction Limit,” Gordon and Betty Moore Foundation, $6,000,000

Jan M. Rabaey, Engineering Research Support Organization, “Systems on Nanoscale Information fabriCs (SONIC) Center,” University of Illinois (Microelectronics Advanced Research Corporation prime sponsor), $5,364,998

Largest Awards, Fiscal Year 2013


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Simons Institute: Collaborative Research in Theoretical Computing and “Big Data”A groundbreaking $60 million award given to UC Berkeley from the Simons Foundation will establish the campus as the worldwide center for theoretical computer science. The grant — a significant investment in the University’s future — funds the creation of the Simons Institute for the Theory of Computing, where top computer theorists and researchers from around the globe converge to explore the mathematical foundations of computer science and extend them to tackle challenges in fields as diverse as mathematics, health care, climate modeling, astrophysics, genetics, economics and business. At the same time, Berkeley researchers secured two multi-million-dollar awards from the National Science Foundation to enhance research approaches that tackle “big data,” data sets so large and complex that they defy conventional analysis using existing software tools and mathematical approaches.

http://simons.berkeley.edu

Award Highlights

TerraSwarm: Integrating the Physical World with the Cyber World to Improve Quality of LifeResearchers at UC Berkeley’s Electrical Engineering and Computer Science department are spearheading a multi-university team that is being awarded $27.5M for the new TerraSwarm Research Center. The Center, launched on January 15, 2013, is addressing the huge potential (and associated risks) of pervasive integration of smart, networked sensors and actuators into our connected world. The five-year grant is being awarded by the industry members of the Semiconductor Research Corporation and the Defense Advanced Research Projects Agency.

In the TerraSwarm view, “the swarm” is an extension of “the cloud” that goes well beyond information technology to improve our energy efficiency, safety, comfort, security, and human effectiveness by integrating the physical world with the cyber world. It leverages recent advances in the variety, cost, size, and power consumption of sensing and actuation devices and the associated communication networks.


http://simons.berkeley.edu/


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University of California Berkeley Sponsored Projects ... · Patrick Schlesinger Published by the Research Administration and Compliance Office. University of California, Berkeley