University of California Berkeley Sponsored Projects ...The Sponsored Projects Office (SPO) at UC Berkeley is responsible for endorsing and authorizing proposals to and interpreting,

University ofCalifornia, BerkeleySponsored

ProjectsAnnual Report

Fiscal Year 2019

Sponsored Projects Annual Report 2019

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University of California, BerkeleyChancellorCarol T. Christ

Executive Vice Chancellor and ProvostPaul Alivisatos

Vice Chancellor for ResearchRandy H. Katz

Assistant Vice Chancellor for Research Administration and CompliancePatrick Schlesinger

Published by the Research Administration and Compliance OfficeUniversity of California, Berkeley510/642-0120https://rac.berkeley.edu

© 2019 The Regents of the University of California

Photograph Credits: Alan Nyiri, Atkinson Photographic Archive

University of California, Berkeley / Sponsored Projects Overview 3Proposal and Award Overview 3Proposals and Awards by Campus Control Unit 6 Proposals by Campus Control Unit 7 Funding by Campus Control Unit 8 Funding by Campus Colleges, Schools, and Divisions 9Awards by Funding Source Overview - All Sponsors 10 Award Highlight 10 Federal Agencies 12 Award Highlight 13 Nonfederal Agencies 14Largest Awards, Fiscal Year 2019 15 Award Highlights 16

Sponsored Projects Annual Report, Fiscal Year 2019 Table of Contents

http://rac.berkeley.edu


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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 over 30,800 undergraduates and over 11,600 graduate students. The campus employs 1,621 full-time and 826 part-time faculty in 184 academic departments and programs and 129 research units. UC Berkeley is divided into 14 colleges and schools, most of which are subdivided into departments. The campus offers over 10,000 undergraduate and graduate courses in more than 350 degree programs, and ranks among the top five Ph.D.-granting institutions.

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 (RAC), under the Vice Chancellor for Research.

University of California, Berkeley / Sponsored Projects Overview

Proposal and Award Overview

Ten-Year Comparison of Funding Requested and Funding Received, FY 2010-2019(dollars in millions)

2010 2011 2012 2013 2014 2015 2016 2017 2018 2019Requested $2,549 $2,384.6 $2,010.5 $1,877.9 $2,135.9 $2,249.1 $2,900.8 $3,251.5 $2,492.1 $2,521.9Received $744.5 $720.2 $713.7 $703.9 $742.3 $690.8 $676.3 $847.5 $708.5 $779.8

$0

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Ten-Year Comparison of Project and Budget Period Funding, FY 2010-2019(dollars in millions)

Ten-Year Comparison of Proposals Submitted and Awards Received, FY 2010-2019

2010 2011 2012 2013 2014 2015 2016 2017 2018 2019Budget $722.4 $698.2 $784.5 $668.4 $717.0 $744.3 $751.6 $741.6 $675.1 $816.0Project $744.5 $720.2 $713.7 $703.9 $742.3 $690.8 $676.3 $847.6 $708.5 $779.8

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Ten‐Year Comparison of Project and Budget Period Funding, FY 2010‐2019(dollars in millions)

2010 2011 2012 2013 2014 2015 2016 2017 2018 2019Proposals 4,112 3,715 3,917 3,413 3,736 4,349 4,290 4,864 4,503 4,717Awards 1,807 1,623 1,614 1,498 1,442 1,610 1,587 1,760 1,865 1,907

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Number of Proposals submitted compared to Awards received ‐ 2010 ‐ 2019

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. Budget pe-riod funding increased by 21% in fiscal year 2019, while project period funding increased by 10%.


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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.

Ten-Year Funding Summary by Activity Type, FY 2010-2019($7.33 billion total - dollars in millions)

Fiscal Year 2019 Funding Summary by Activity Type($779.8 million total - dollars in millions)

Basic research$548.070%

Instruction$17.82%

Applied Research $35.15%

Other$64.68%

Services$11.72%

Training$102.513%

Fiscal Year 2019 Funding Summary by Activity Type($708.5 million total ‐ dollars in millions)

Other$64.6

8%

Applied research$538.87%

Basic Research$5,353.473%

Instruction$413.96%

Other$521.97%

Services$201.63%

Training$297.94%

Ten Year Funding Summary by Activity Type, FY 2010‐2019 ($7.33 billion total ‐ dollars in millions)

Applied Research$35.15%

Instruction$17.82%

Services$11.72%

Training$102.513%

Basic Research

$548.070%

Other$521.9

7%

Applied Research$538.8

7%

Instruction$413.9

6%

Services$201.6

3%

Training$297.9

4%

Basic Research$5,353.4

73%


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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.

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

Organized Research Units (ORUs) report to the Vice Chancellor for Research and are organized around broad substantive research topics, e.g., international affairs, information technology and science, and the environment. As such, they draw into their research programs faculty and students from multiple departments and 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.

Proposals and Awards by Campus Control Unit


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Proposals by Campus Control Unit

Ten-Year Number of Proposals Submitted by Control Unit, FY 2010-2019(41,616 total)

Fiscal Year 2019 Number of Proposals Submitted by Control Unit(4,717 total)

Colleges, Schools, & Divisions2,256 48%

Letters & Science1,258 27%

Organized Research1,133 24%

Others65 1%

Student Affairs5 0%

Fiscal Year 2019 Number of Proposals Submitted by Control Unit(4,717 total)

Letters andScience

1,25827%

Organized Research

1,13324%

Others651%

Student Affairs5

0%

Colleges, Schools, and

Divisions2,25648%

Colleges, Schools, & Divisions19,747 48%

Organized Research10,534 25%

Letters & Science10,508 25%

Student Affairs77 0%

Others750 2%

Ten Year Number of Proposals Submitted by Control Unit(41,616 total)

Ten Year Number of Proposals Submitted by Control Unit

Colleges, Schools, and

Divisions19,74748%

Student Affairs770%

Others7502%

Letters and Science10,50825%

Organized Research

10,53425%


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Funding by Campus Control Unit

Ten-Year Funding Summary by Control Unit, FY 2010-2019($7.33 billion total - dollars in millions)

Fiscal Year 2019 Funding Summary by Control Unit($779.8 million total - dollars in millions)

Colleges, Schools, & Divisions$331.442%

Research$215.728%

Letters & Science$171.422%

Student Affairs$8.01%

Others$53.37%

Fiscal Year 2019 Funding Summary by Control Unit($708.5 million total ‐ dollars in millions)

Research$215.728%

Letters and Science$171.422%

Student Affairs$8.01%

Others$53.37%

Colleges, Schools, & Divisions$3,849.053%

Research$2,163.330%

Letters & Science$1,198.516%

Student Affairs$86.61% Others

$30.10%

Ten Year Funding Summary by Control Unit($7.19 billion total ‐ dollars in millions)

Colleges, Schools, and Divisions

$331.442%

Research$2,163.3

30%

Letters and Science$1,198.5

16%

Student Affairs$86.6

1%

Others$30.10%

Colleges, Schools, and Divisions

$3,849.053%


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Funding by Campus Colleges, Schools, and Divisions

Ten-Year Funding Summary by Colleges, Schools, and Divisions, FY 2010-2019($3.8 billion total - dollars in millions)

Fiscal Year 2019 Funding Summary by Colleges, Schools, and Divisions($331.4 million total - dollars in millions)

Engineering$108.4 33%

Chemistry$34.5 11%

Natural Resources$37.3 11%

Public Health$30.2 9%

Education$7.9 2%

Optometry$12.7 4%

Social Welfare$89.8 27%

Others$10.6 3%

Fiscal Year 2019 Funding Summary for Colleges, Schools, & Divisions($331.4 million total ‐ dollars in millions)

Natural Resources$37.311%

Optometry$12.74%

Education$7.92%

Others$10.63%

Engineering$1,410.937%

Chemistry$363.09%

Natural Resources$400.9 10%

Public Health$544.614%

Library$41.31%

Education$96.93%

Graduate Division$300.28%

Optometry$104.73%

Social Welfare$478.712%

Others$107.73%

Ten Year Funding Summary for Colleges, Schools, & Divisions($3.8 billion total ‐ dollars in millions)

Optometry$104.7

3%

Library$41.31%

Others$107.7

3%

Public Health$30.29%

Natural Resources$400.9

10%

Engineering$108.4

33%

Engineering$1,410.9

37%

Public Health$544.6

14%

Social Welfare$478.7

12%

Chemistry$363.0

9%

Chemistry$34.511%

Graduate Division$300.2

8%

Education$96.9

3%

Social Welfare$89.827%


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IIn fiscal year 2019, federal funding declined by 2% from fiscal year 2018, at $414 million. Federal funding again made up the largest portion of total funding received with 53% of the total.

Funding from nonprofit organizations in fiscal year 2019, including foundations, charities, research institutes, and institutions of higher education, remained the same as last year with a total of $146 million.

After reaching its lowest total in 10 years in fiscal year 2018, State of California funding increased by almost 300% in fiscal year 2019, to a total of $119 million. Funding from other governmental sources totaled 7 million, less than half than in fiscal year 2018. Funding from corporate sponsors increased by 5% to a total of $71 million.

Awards by Funding Source Overview - All Sponsors

Award Highlight

The Molecular Basis of Cell FunctionThe Molecular Basis of Cell Function (MCF) training program is a multi-disciplinary program within Molecular and Cell Biology (MCB) that is funded by a T32 training grant from the National Institutes of Health. A 2018 award of $8.24 million from the NIH National Institute of General Medical Sciences in supports the program for the next five years.

The long-standing philosophy of the MCF program is to provide an early and persistent emphasis on multidisciplinary training for a flexible and individually-directed path to an innovative research career. The program fosters cross-disciplinary interactions by uniting faculty from the five research divisions within MCB to create an extremely collaborative environment among faculty, students, and research groups. Students are trained for a diversity of careers and prepared to meet present and future biomedical, scientific and societal challenges.

https://mcb.berkeley.edu/grad/molecular-basis-cell-function-training-program

https://mcb.berkeley.edu/grad/molecular-basis-cell-function-training-program


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Overview - All Sponsors

Fiscal Year 2019 Funding Summary - All Sponsors($779.8 million total - dollars in millions)

Ten-Year Funding Summary - All Sponsors, FY 2010-2019($7.33 billion total - dollars in millions)

Federal414.253%

Industry70.89%

Non Federal Governmental

6.71%

Not for Profit146.519%

State of Califronia118.815%

University of California

22.93%

Fiscal Year 2019 Funding Summary ‐ All Sponsors

Not for Profit$146.519%

Industry$70.8

9%

Universityof California

$22.93%

Nonfederal Governmental

$6.71%

Federal$414.2

53%

State of California

$118.815%

Federal$4,151.857%

Industry$502.27%


$102.21%

Not for Profit$1,429.819%

State of Califronia$931.413%

University of California$210.13%

Ten Year Funding Summary, Fiscal Year 2010‐2019 ‐ All Sponsors

Not for Profit$1,429.8

19%

Industry$502.2

7%

University ofCalifornia

$210.13%


$102.21%

Federal$4,151.8

57%

State ofCalifornia

$931.413%


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In fiscal year 2019, the Department of Health and Human Services was the largest source of federal funds, with $144 million, a 9% decrease from fiscal year 2018 and 38% of the federal total. The National Science Foundation was the second largest with $101 million, essentially flat from fiscal year 2018. Federal funding again made up the largest portion of total funding received with 61% of the total.

Federal Agencies

Fiscal Year 2019 Funding Summary - Federal Sponsors($414.1 million total - dollars in millions)

Ten-Year Funding Summary - Federal Sponsors, FY 2010-2019($4.15 billion total - dollars in millions)

Agriculture$2.51%

Defense$39.29%

Education$17.84%

Energy$73.318%

Health & Human Services$144.0 35%

Interior$4.01%

NASA$21.25%

National Science Foundation$100.924%

Other$10.73%

Transportation$0.70%

Fiscal Year 2019 Funding Summary ‐ Federal Sponsors($414 million total ‐ dollars in millions)

NSF$100.924%

Other$10.73%

DOE$73.318%

NASA$21.25%

DHHS$144.0

35%

DOI$4.01%

USDA$2.51%

DOD$39.29%

DOED$17.84%

Agriculture$47.11%

Defense$375.09%

Education$95.32%

Energy$488.512%

Health & Human Services$1,360.533%

Interior$27.81%

NASA$416.210%

National Science Foundation$1,151.928%

Other$165.84%

Transportation$23.60%

Ten Year Funding Summary, Fiscal Year 2010‐2019 ‐ Federal Sponsors($4.15 billion total ‐ dollars in millions)

NASA$416.2

10%

Other$165.8

4%

USDA$47.11%

DOE$488.5

12%NSF

$1,151.928%

DHHS$1,360.5

33%DOI

$27.81%

DOT$23.60% DOD

$375.09%

DOED$95.32%

DOT$0.70%


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Federal Agencies

Award Highlight

HERA: Unveiling the Cosmic DawnThe Hydrogen Epoch of Reionization Array (HERA) is a radio telescope dedicated to observing large scale structure during and prior to the epoch of reionization. Cosmic reionization corresponds to the epoch when the neutral intergalactic medium is reionized by the first luminous objects (stars, black holes. In 2018 the National Science Foundation awarded $7.2 million to the project.

https://reionization.org/

Ten-Year Funding Summary for Top-Five Federal Sponsors, FY 2010-2010(dollars in millions)

2010 2011 2012 2013 2014 2015 2016 2017 2018 2019DHHS $175.6 $138.3 $138.2 $92.7 $123.4 $135.4 $133.6 $122.5 $156.9 $144.0NSF $154.7 $142.8 $119.5 $92.1 $99.0 $110.5 $103.6 $128.8 $100.1 $100.9NASA $21.8 $43.8 $18.4 $23.1 $158.2 $20.1 $20.6 $42.6 $46.4 $21.2DOE $30.6 $38.9 $56.3 $42.6 $52.3 $29.8 $52.7 $57.4 $54.7 $73.3DOD $54.1 $29.4 $38.1 $35.3 $21.2 $25.5 $41.2 $53.2 $37.8 $39.2

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Ten Year Funding Summary for Top Five Federal Sponsors, FY 2010‐2019 (dollars in millions)

https://reionization.org/


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Over the last ten years, funding from the nonprofit sector has made up almost 45% of nonfeder-al funding. In fiscal year 2018, that sector provided 51% of the $286.4 million received from nonfederal sources.

Nonfederal Agencies

Fiscal Year 2019 Funding Summary - Nonfederal Sponsors($365.61 million total - dollars in millions)

Ten-Year Funding Summary - Nonfederal Sponsors, FY 20010-2019($3.18 billion total - dollars in millions)

Industry$70.819%


$6.72%


State of California$118.833%


Fiscal Year 2019 Funding Summary ‐ Nonfederal Sponsors($365.61 million total ‐ dollars in millions)

Industry$70.819%


$22.96%


$6.72%


State ofCalifornia

$118.833%

Industry$502.216%


$102.23%

Not for Profit$1,429.845%

State of California$931.429%


Ten Year Funding Summary, Fiscal Years 2010‐2019 ‐ Nonfederal Sponsors($3.18 billion total ‐ dollars in millions)

Industry$502.2

16%


$210.17%


$102.23%

Not for Profit$1,429.8

45%

State ofCalifornia

$931.429%


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Jeffrey Edleson, Social Welfare, “Title IV-E Social Work Training Program,” California Department of Social Services (Administration for Children and Families prime sponsor), $78,172,644

Jeffrey Edleson, Social Welfare, “Regional Training Academy Coordination Project FY18-21,” California Department of Social Services, $10,217,929

David Mongeau, Data Science Institute, “Data Science Innovation Program,” Janssen Pharmaceuticals, Inc., $8,469,758

Matthew Welch, Molecular and Cell Biology, “The Molecular Basis of Cell Function,” National Institute of General Medical Sciences, $8,129,854

Andrew Siemion, Astronomy, “Breakthrough Listen Activities: Second Triennium,” Breakthrough Prize Foundation, $7,914,683

Aaron Parsons, Radio Astronomy Laboratory, “HERA: Unveiling the Cosmic Dawn,” National Science Foundation, $7,173,107

Alexandre Bayen, Institute of Transportation Studies, “I-210 Hard Pilot Deployment and Operation ICM 5 - Revised,” California Department of Transportation, $7,000,000

Trevor Darrell, Electrical Engineering and Computer Sciences, “BAIR OCR Participation Agreement,” Facebook, $6,200,000

Richard Allen, Berkeley Seismological Laboratory, “CEEWS 2018 Seismic Station Build Out,” California Emergency Management Agency, $5,500,000

Hillel Adesnik, Molecular and Cell Biology, “High Speed, High Precision Volumetric Multiphoton Neural Control,” National Institute of Neurological Disorders and Stroke, $5,098,104

Norman Ying Yao, Physics, “Driven Quantum Matter for Metrology (DQM2),” Defense Advanced Research Projects Agency, $4,290,769

John Hartwig, Chemistry, “Discovery and Development of Organic Reactions Catalyzed by Transition Metals Valuable for Medicinal Chemistry,” National Institute of General Medical Sciences, $3,993,336

David Bilder, Molecular and Cell Biology, “Polarity, Growth, and Morphogenesis of Epithelia,” National Institute of General Medical Sciences, $3,976,473

Janet Luhmann, Space Sciences Laboratory, “In-Situ Measurements of Particles and CME Transients (IMPACT) Extension,” National Aeronautics and Space Administration, $3,599,170

Ming Hsu, Social Science Matrix, “Dopaminergic Mechanisms Underlying Human Social Behavior: A Multimodal Approach,” National Institutes of Health, $3,450,127

Richard Kramer, School of Optometry, “NEI Center CORE Grant for Vision Research,” National Eye Institute, $3,140,000

Richmond Sarpong, Chemistry, “Strategies and Methods for Complex Molecule Synthesis,” National Institute of General Medical Sciences,” $3,089,100

Trevor Darrell, Electrical Engineering and Computer Sciences, “BAIR Open Research Commons,” Honda, $3,000,000

Lisa Barcellos, California Institute for Quantitative Biosciences, “ICLIC-MS for Enhancing Outcomes Research and Clinical Care in Multiple Sclerosis,” National Institutes of Health, $2,913,012

George Brooks, Integrative Biology, “Aging Mitochondrial Fragmentation and Metabolic Inflexibility,” National Institute on Aging, $2,849,066

Dennis Levi, School of Optometry, “Training Program in Vision Science,” National Eye Institute, $2,683,223

Marcia Linn, School of Education, “Collaborative Research: Supporting Teachers in Responsive Instruction for Developing Expertise in Science,” National Science Foundation, $2,604,685

Largest Awards, Fiscal Year 2019


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Connected Corridors Program: The I-210 PilotThe objective of the I-210 Pilot project is to reduce congestion and improve mobility in a section of the I-210 corridor in the San Gabriel Valley of Los Angeles County. This objective will be achieved by coordinating the principal elements in the corridor and managing them as an integrated and cohesive whole. To attain these operational improvements, the project team will design, develop, implement, and evaluate a pilot Integrated Corridor Management system that will help transportation system managers in their decision-making tasks and enable operators, control systems, vehicles, and travelers to work together in a productive and coordinated way.

In 2019, the State of California Department of Transportation awarded $7 million in funding to the I-210 Pilot.

https://connected-corridors.berkeley.edu/i-210-pilot-landing-page

Award Highlights

Berkeley SETI: Breakthough Listen InitiativeThe Breakthrough Listen Initiative, funded by the Breakthrough Prize Foundation, is the most powerful, comprehensive and intensive scientific search ever undertaken for signs of intelligent life beyond Earth. The project is using the Green Bank radio telescope in West Virginia and the Parkes Telescope in Australia to search for radio transmissions from advanced civilizations. In addition, the Automated Planet Finder at Lick Observatory is being used to search for optical laser transmissions from other technological civilizations.

The Breakthrough Prize Foundation provided funding of $7.9 million to the Berkeley SETI Research Center in 2018.

https://seti.berkeley.edu/listen/

https://connected-corridors.berkeley.edu/i-210-pilot-landing-page

https://seti.berkeley.edu/listen/

Documents

University of California Berkeley Sponsored Projects ...The Sponsored Projects Office (SPO) at UC Berkeley is responsible for endorsing and authorizing proposals to and interpreting,