University of California Berkeley Sponsored Projects …Sponsored Projects Annual Report 2018 Page 3 The University of California, Berkeley is one of the world’s leading universities

University ofCalifornia, BerkeleySponsored

ProjectsAnnual Report

Fiscal Year 2018

Sponsored Projects Annual Report 2018

Page 2

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

© 2018 The Regents of the University of California

Photograph Credits: Keegan Houser (front cover); Alan Nyiri, Atkinson Photographic Archive (others)

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 2018 15 Award Highlights 16

Sponsored Projects Annual Report, Fiscal Year 2018 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 30,500 undergraduates and over 11,300 graduate students. The campus employs 1,608 full-time and 732 part-time faculty in more than 170 academic departments and more than 100 interdisciplinary 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 approximately 300 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 2009-2018(dollars in millions)

2009 2010 2011 2012 2013 2014 2015 2016 2017 2018Requested $2,465.9 $2,470.7 $2,345.2 $1,930.6 $1,770.7 $2,087.6 $2,163.7 $2,811.7 $3,100.5 $2,373.5Received $642.9 $744.5 $720.2 $713.7 $703.9 $742.3 $690.8 $676.3 $847.5 $708.5

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Ten-Year Comparison of Project and Budget Period Funding, FY 2009-2018(dollars in millions)

Ten-Year Comparison of Proposals Submitted and Awards Received, FY 2009-2018

2009 2010 2011 2012 2013 2014 2015 2016 2017 2018Budget $681.3 $722.4 $698.2 $784.5 $668.4 $717.0 $744.3 $751.5 $741.6 $675.6Project $642.9 $744.5 $720.2 $713.7 $703.9 $742.3 $690.8 $676.3 $847.5 $708.5

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Ten‐Year Comparison of Project and Budget Period Funding, FY 2009‐2018(dollars in millions)

2009 2010 2011 2012 2013 2014 2015 2016 2017 2018Proposals 3,728 3,731 3,333 3,487 3,006 3,279 3,739 3,713 4,147 3,730Awards 1,695 1,807 1,623 1,613 1,498 1,440 1,605 1,584 1,736 1,762

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Number of Proposals submitted compared to Awards received ‐ 2009 ‐ 2018

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 declined by 9% in fiscal year 2018, while project period funding decreased by 16%.


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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 2009-2018($7.19 billion total - dollars in millions)

Fiscal Year 2018 Funding Summary by Activity Type($708.5 million total - dollars in millions)

Basic research$550.1 78%

Other$53.1 7%

Applied research$72.4 10%

Instruction$0.3 0%

Services$18.8 3% Training

$13.7 2%

Fiscal Year 2018 Funding Summary by Activity Type($708.5 million total ‐ dollars in millions)

Other$53.17%

Basic research$5,203.7 72%

Other$565.0 8%

Applied research$548.2 8%

Instruction$433.5 6%

Services$213.6 3%

Training$226.6 3%

Ten Year Funding Summary by Activity Type, FY 2009‐2018 ($7.19 billion total ‐ dollars in millions)

Applied Research

$72.410%

Instruction$0.30%

Services$18.8

3%

Training$13.72%

Basic Research

$550.178%

Other$565.0

8%

Applied Research

$548.28%

Instruction$433.5

6%

Services$213.6

3%

Training$226.6

3%

Basic Research$5,203.7

72%


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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 by Control Unit, FY 2009-2018(36,131 total)

Fiscal Year 2018 Number of Proposals Submitted by Control Unit(3,736 total)

Colleges, Schools, & Divisions1,712 46%

Organized Research945 25%

Letters & Science1,004 27%

Student Affairs3 0%

Others72 2%

Fiscal Year 2018 Number of Proposals Submitted by Control Unit(3,736 total)

Organized Research

94525%

Letters and Science

1,00427%

Student Affairs3

0%

Others722%

Colleges, Schools, and

Divisions1,71246%

Colleges, Schools, & Divisions16,835 47%

Organized Research9,654 27%

Letters & Science8,747 24%

Student Affairs77 0%

Others818 2%

Ten Year Number of Proposals Submitted by Control Unit(36,131 total)

Ten Year Number of Proposals Submitted by Control Unit

Colleges, Schools, and

Divisions16,83547%

Student Affairs770%

Others8182%

Letters and Science

8,74724%

Organized Research

9,65427%


Page 8

Funding by Campus Control Unit

Ten-Year Funding Summary by Control Unit, FY 2009-2018($7.19 billion total - dollars in millions)

Fiscal Year 2018 Funding Summary by Control Unit($708.5 million total - dollars in millions)

Colleges, Schools, & Divisions$317.645%

Research$211.430%

Letters & Science$110.316%

Student Affairs$17.32%

Others$51.97%

Fiscal Year 2018 Funding Summary by Control Unit($708.5 million total ‐ dollars in millions)

Research$211.430%

Letters and Science$110.316%


Others$51.97%

Colleges, Schools, & Divisions$3,778.953%

Research$2,144.030%

Letters & Science$1,147.216%


Others$33.20%

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

Colleges, Schools, and Divisions

$317.645%

Research$2,144.0

30%

Letters and Science$1,147.2

16%

Student Affairs$87.3

1%

Others$33.20%

Colleges, Schools, and Divisions

$3,778.953%


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Funding by Campus Colleges, Schools, and Divisions

Ten-Year Funding Summary by Colleges, Schools, and Divisions, FY 2009-2018($3.8 billion total - dollars in millions)

Fiscal Year 2018 Funding Summary by Colleges, Schools, and Divisions($317.6 million total - dollars in millions)

Engineering$152.1 48%

Chemistry$45.2 14%

Natural Resources

$49.0 16%

Public Health$42.5 13%

Education$4.1 1%

Optometry$6.1 2%

Social Welfare$8.0 3%

Others$10.6 3%

Fiscal Year 2018 Funding Summary for Colleges, Schools, & Divisions($317.6 million total ‐ dollars in millions)

Natural Resources$49.016%

Optometry$6.12%

Education$4.11%

Others$10.63%

Engineering$1,396.537%

Chemistry$359.59%

Natural Resources$400.210%

Public Health$552.215%

Library$47.61%

Education$102.33%

Graduate Division$265.77%

Optometry$103.13%

Social Welfare$443.312%

Others$108.53%

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

Optometry$103.1

3%

Library$47.6

1%

Others$108.5

3%

Public Health$42.513%

Natural Resources$400.2

10%

Engineering$152.148%

Engineering$1,396.5

37%

Public Health$552.2

15%

Social Welfare$443.3

12%

Chemistry$359.5

9%

Chemistry$45.214%

Graduate Division$265.7

7%

Education$102.3

3%

Social Welfare$8.03%


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In fiscal year 2018, federal funding remained essentially flat from fiscal year 2017, at $422 million. Federal funding again made up the largest portion of total funding received with nearly 60% of the total.

Funding from nonprofit organizations in fiscal year 2018, including foundations, charities, research institutes, and institutions of higher education, decreased by 23% to a total of $146.4 million.

State of California funding reached its lowest total in 10 years in fiscal year 2018, at $29.6 million. Funding from other governmental sources totaled $18.7 million, 73% greater than fiscal year 2017. Funding from corporate sponsors decreased by 8% to a total of $65.6 million.

Awards by Funding Source Overview - All Sponsors

Award Highlight

Real-Time Intelligent Secure Explainable Systems (RISELab)The UC Berkeley RISELab has been awarded $10 million in funding over five years under a NSF Expedition Award. The award, from the National Science Foundation, will enable the RISELab to make fundamental advances in the theory and design of real-time, intelligent, secure, and explainable systems.

This research has the potential to transform the next generation of systems that interact with the real-world, including autonomous vehicles, medical robots, privacy-preserving information exchanges, fraud detection systems, and the power grid.

RISELab’s Expeditions project will work on building AI decision systems to address these challenges by developing open source platforms, tools and algorithms. The project will also empower a large community of pioneers to build innovative applications and solutions, as well as broaden participation in research activities by allowing students and researchers across many disciplines to contribute.

https://rise.cs.berkeley.edu/

https://rise.cs.berkeley.edu/


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Overview - All Sponsors

Fiscal Year 2018 Funding Summary - All Sponsors($708.5 million total - dollars in millions)

Ten-Year Funding Summary - All Sponsors, FY 2009-2018($7.19 billion total - dollars in millions)

Federal422.059%

Not for Profit146.421%

State of California29.64%

Industry65.69%

University of California

26.14%

Non Federal Governmental

18.73%

Fiscal Year 2018 Funding Summary ‐ All Sponsors

Not for Profit$146.4

21%

Industry$65.69%

University ofCalifornia

$26.14%

Nonfederal Governmental

$18.73%

Federal$422.0

59%

State ofCalifornia

$29.64%

Federal$4,061.857%

Not for Profit$1,404.120%

State of California$952.813%

Industry$452.56%

University of California$216.53%


$102.81%

Ten Year Funding Summary, Fiscal Year 2009‐2018 ‐ All Sponsors

Not for Profit$1,404.1

20%

Industry$452.5

6%


$216.53%


$102.81%

Federal$4.061.8

57%

State ofCalifornia

$952.813%


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In fiscal year 2018, the Department of Health and Human Services was again the largest source of federal funds, with $156.9 million, a 25% increase from fiscal year 2017 and 37% of the federal total. The National Science Foundation was second largest with $100 million, a 22% decline from fiscal year 2017. Federal funding overall was essentially flat from fiscal year 2017. Federal funding again made up the largest portion of total funding received with 60% of the total.

Federal Agencies

Fiscal Year 2018 Funding Summary - Federal Sponsors($422.0 million total - dollars in millions)

Ten-Year Funding Summary - Federal Sponsors, FY 2009-2018($4.06 billion total - dollars in millions)

Health & Human Services$156.937%

National Science Foundation$100.124%

Other$8.82%

Energy$54.713%

Defense$37.89%

NASA$46.411%

Education$7.82%

Agriculture$6.21%

Interior$3.31% Transportation

$0.00%

Fiscal Year 2018 Funding Summary ‐ Federal Sponsors($422 million total ‐ dollars in millions)

Other$8.82%

NASA$46.411%

DOED$7.82%

DHHS$156.937%DOD

$37.89%

NSF$100.124%

DOE$54.713%

USDA$6.21%

DOI$3.31%

DOT$0.00%

Health & Human Services$1,332.233%

National Science Foundation$1,140.028%

NASA$420.810%

Energy$442.811%

Defense$365.09%

Other$172.84%

Education$85.82%

Agriculture$50.81%

Transportation$26.31% Interior

$25.31%

Ten Year Funding Summary, Fiscal Year 2009‐2018 ‐ Federal Sponsors($4.06 billion total ‐ dollars in millions)

NASA$420.8

10%

Other$172.8

4%

DOT$26.3

1%

DHHS$1,332.2

33%

DOD$365.0

9%

NSF$1,140.0

28%

DOE$442.8

11%

USDA$50.8

1% DOI$25.3

1%

DOED$85.8

2%


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Federal Agencies

Award Highlight

Center for Genome Editing and RecordingFunded by $10.4 million from the National Institutes of Health, the Center for Genomic Editing and Recording (CGER) is a collaboration between the Doudna, Joung, Liu, and Weissman labs, CGER s seeking to build on CRISPR-Cas9 genome engineering technology to expand greatly our ability to detect, alter, and record the sequence and output of the genome in individual cells and tissues.

http://doudnalab.org/

Ten-Year Funding Summary for Top-Five Federal Sponsors, FY 2009-2018(dollars in millions)

2009 2010 2011 2012 2013 2014 2015 2016 2017 2018DHHS $115.7 $175.6 $138.2 $138.2 $92.7 $123.4 $135.4 $133.5 $122.5 $156.9NSF $89.0 $154.3 $142.8 $119.5 $92.1 $99.0 $110.5 $103.6 $128.8 $100.1NASA $25.7 $21.8 $43.8 $18.4 $23.1 $158.2 $20.1 $20.6 $42.6 $46.4DOE $27.6 $30.6 $38.9 $56.3 $42.6 $52.3 $29.8 $52.7 $57.4 $54.7DOD $29.2 $54.1 $29.4 $38.1 $35.3 $21.1 $25.5 $41.2 $53.2 $37.8

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Ten Year Funding Summary for Top Five Federal Sponsors, FY 2009‐2018 (dollars in millions)

http://doudnalab.org/project/center-for-genomic-editing-and-recording-cger-one-of-the-centers-for-excellence-in-genomic-science-cegs/


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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 2018 Funding Summary - Nonfederal Sponsors($286.4 million total - dollars in millions)

Ten-Year Funding Summary - Nonfederal Sponsors, FY 2009-2018($3.13 billion total - dollars in millions)

Not for Profit$146.451%


Industry$65.623%



$18.77%

Fiscal Year 2018 Funding Summary ‐ Nonfederal Sponsors($286.4 million total ‐ dollars in millions)

Industry$65.623%


$26.19%


$18.77%

Not for Profit$146.4

51%

State ofCalifornia

$29.610%

Not for Profit$1,404.145%


Industry$452.515%



$102.83%

Ten Year Funding Summary, Fiscal Years 2009‐2018 ‐ Nonfederal Sponsors($3.13 billion total ‐ dollars in millions)

Industry$452.5

15%


$216.57%


$102.83%

Not for Profit$1,404.1

45%

State ofCalifornia

$952.830%


Page 15

Fiona Doyle, Graduate Division, “Graduate Research Fellowship Program,” National Science Foundation, $54,304,755

Jeffrey Mackie-Mason, Library, “Scholarly Resource Content and Library Services,” Lawrence Berkeley National Laboratory (U.S. Department of Energy prime sponsor), $15,176,157

David Feinberg, Helen Wills Neuroscience Institute, “MRI Corticography: Developing Next Generation Microscale Human Cortex MRI Scanner,” National Institute of Biomedical Imaging and Bioengineering, $13,427,345

Martyn Smith, School of Public Health, “Toxic Substances in the Environment,” National Institute of Environmental Health Sciences, $10,819,256

Jennifer Doudna, California Institute for Quantitative Biosciences, “Center for Genome Editing and Recording,” National Human Genome Research Institute, $10,373,390

Ion Stoica, Electrical Engineering and Computer Sciences, “Secure, Real-Time Decisions on Live Data,” National Science Foundation, $9,999,999

Omar Yaghi, Chemistry, “KACST-UC Berkeley Center of Excellence for Nanomaterial Clean Energy Applications (CENCEA) Collaborative Research Center,” King Abdulaziz City for Science and Technology, $8,083,333

Prabal Dutta, Electrical Engineering and Computer Sciences, “CONIX: Computing On Network Infrastructure for Pervasive Perception, Cognition, and Action,” Carnegie Mellon University (Semiconductor Research Corporation prime sponsor), $6,625,000

Claire Tomlin, Electrical Engineering and Computer Sciences, “Design of HIgh CONfidence LEARNing-Enabled Systems (HICON-LEARN),” Office of Naval Research (Air Force Research Laboratory prime sponsor), $6,031,963

Ali Niknejad, Electrical Engineering and Computer Sciences, “ComSenTer: A Center for Converged TeraHertz Communications and Sensing,” UC Santa Barbara (Semiconductor Research Corporation prime sponsor), $5,808,184

Krishna Niyogi, Plant and Microbial Biology, “Systems Analysis and Engineering of Biofuel Production in Chromochloris Zofingiensis, an Emerging Model Green Alga,” U.S. Department of Energy, $5,472,272

Lee Riley, School of Public Health, “Global Health Equity Scholars Program - D43 Fogarty Training,” National Institutes of Health Fogarty International Center, $5,021,806

Adrian Lee, Space Sciences Laboratory, “Advancing Focal Plane TRL for LiteBIRD and Other Next Generation CMB Space Missions,” National Aeronautics and Space Administration, $4,853,768

Daniel Nomura, Nutritional Science and Toxicology, “Chemoproteomics-Enabled Covalent Ligand and Degrader Discovery Against Druggable Hotspots,” Novartis Pharmaceuticals Corporation, $4,488,588

John Ngai, Molecular and Cell Biology, “A Comprehensive Whole-Brain Atlas of Cell Types in the Mouse,” Allen Institute for Brain Science (National Institute of Mental Health prime sponsor), $4,446,647

Matthew Walker, Psychology, “Tau Pathology, Sleep Disruption, and Hippocampal Memory Decline in Older Adults,” National Institute on Aging, $4,378,782

Alexandre Bayen, Civil and Environmental Engineering, “Data Hub and Decision Support System Pilot,” California Department of Transportation, $3,999,911

Richard Allen, Berkeley Seismological Laboratory, “Implementation and Development of US West Coast ShakeAlert: Collaborative Research with Univ. of California at Berkeley, California Institute of Technology, Univ. of Washington, and Univ. of Oregon,” U.S. Geological Survey, $3,908,823

Oscar Dubon, Center for Educational Partnerships, “University of California, Berkeley Upward Bound Program: A Project Designed to Generate in Students the Skills and Motivation Necessary for Success in Education Beyond Secondary School,” U.S. Department of Education, $3,625,055

Largest Awards, Fiscal Year 2018


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CONIX: Computing On Network Infrastructure for Pervasive Perception, Cognition, and ActionThe CONIX Research Center aims to provide a new middle tier of distributed computing that tightly couples the cloud and edge by pushing increased levels of autonomy and intelligence into the network. This infrastructure will be critical for future perception, cognition and action applications like augmented reality, smart cities and mobile robotics.

The Semiconductor Research Corporation is awarding the center at Carnegie Mellon University $27.5 million – with $6.6 million going to UC Berkeley – to develop the infrastructure linking the cloud with devices on the “edge” or periphery of networks, such as sensors, drones and virtual reality headsets.

https://conix.io/

Award Highlights

ShakeAlertShakeAlert® is an earthquake early warning system that detects significant earthquakes so quickly that alerts can reach many people before shaking arrives.

The U.S. Geological Survey along with a coalition of State and university partners, including researchers at the UC Berkeley Seismological Lab, is developing and testing the ShakeAlert® System for the U.S. West Coast.

The purpose of the ShakeAlert® System is to identify and characterize an earthquake a few seconds after it begins, calculate the likely intensity of ground shaking that will result, and deliver warnings to people and infrastructure in harm’s way.

https://www.shakealert.org/

https://conix.io/

https://www.shakealert.org/

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University of California Berkeley Sponsored Projects …Sponsored Projects Annual Report 2018 Page 3 The University of California, Berkeley is one of the world’s leading universities