University of California Berkeley Sponsored Projects ... · Sponsored Projects Annual Report 2016 Page 3 The University of California, Berkeley is one of the world’s leading universities

University ofCalifornia, BerkeleySponsored

ProjectsAnnual Report

Fiscal Year 2016

Sponsored Projects Annual Report 2016

Page 2

University of California, BerkeleyChancellorNicholas B. Dirks

Interim Executive Vice Chancellor and ProvostCarol Christ

Vice Chancellor for ResearchPaul Alivisatos

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

© 2016 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 2016 15 Award Highlights 16

Sponsored Projects Annual Report, Fiscal Year 2016 Table of Contents

http://rac.berkeley.edu


Page 3

The University of California, Berkeley is one of the world’s leading universities in research, teaching, and public service, with an enrollment of over 27,000 undergraduates and over 10,000 graduate students. The campus employs 1,623 full-time and 635 part-time faculty in more than 170 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 10,000 undergraduate and graduate courses in approximately 300 degree programs, and typically produces more Ph.D.s than any other U.S. research 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 (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 2007-2016(dollars in millions)

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016Requested $2,005.3 $2,492.4 $2,490.4 $2,494.5 $2,387.3 $1,967.3 $1,782.6 $2,102.6 $2,289.1 $2,060.9Received $504.3 $953.9 $643.0 $744.0 $720.1 $713.7 $703.8 $741.5 $691.1 $673.9

$0

$500

$1,000

$1,500

$2,000

$2,500

$3,000

Ten-Year Comparison of Funding Requested and Funding Received, FY 2007-2016(Dollars in Millions)


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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. Bud-get period funding increased by 1% in fiscal year 2016, while project period funding declined by 3%.

Ten-Year Comparison of Project and Budget Period Funding, FY 2007-2016(dollars in millions)

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016Budget $544.0 $625.3 $683.7 $721.6 $700.2 $784.7 $668.3 $716.5 $744.3 $752.4Project $504.3 $953.9 $643.0 $744.0 $720.1 $713.7 $703.8 $741.5 $691.1 $673.9

$0

$200

$400

$600

$800

$1,000

$1,200

Ten-Year Comparison of Project and Budget Period Funding, FY 2007-2016(dollars in millions)

Ten-Year Comparison of Number of New Awards Received, FY 2007-2016

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016Federal 573 553 551 773 601 555 474 487 506 544All 1603 1714 1700 1817 1627 1622 1502 1436 1610 1519

0

250

500

750

1000

1250

1500

1750

2000

Ten-Year Comparison of Number of New Awards Received, FY 2007-2016


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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 2007-2016($7.08 billion total - dollars in millions)

Fiscal Year 2016 Funding Summary by Activity Type($673.9 million total - dollars in millions)

Basic research$487.5 72%

Other$32.9 5%

Applied research$72.9 11%

Instruction$42.6 6%

Services$15.3 2%

Training$22.8 4%

Fiscal Year 2016 Funding Summary by Activity Type($673.9 million total - dollars in millions)

Other$32.9

5%

Basic research$5,098.5

72%

Other$591.3

8%

Applied research$528.4

7%

Instruction$413.4

6%

Training$257.8

4%

Services$199.9

3%

Ten Year Funding Summary by Activity Type, FY 2007-2016($7.08 billion total - dollars in millions)

Applied Research

$72.911%

Instruction$42.6

6%

Services$15.32%

Training$22.84%

Basic Research

$487.572%

Other$591.3

8%

Applied Research

$528.47%

Instruction$413.4

6%

Training$257.8

4%

Services$199.9

3%

Basic Research$5,098.5

72%


Page 6

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


Page 7

Proposals by Campus Control Unit

Ten-Year Number of Proposals Submitted by by Control Unit, FY 2007-2016(34,321 total)

Fiscal Year 2016 Number of Proposals Submitted by Control Unit(3,396 total)

Colleges, Schools, & Divisions

1,625 48%

Organized Research795 23%

Letters & Science912 27%

Student Affairs51 2%

Others13 0%

Fiscal Year 2016 Number of Proposals Submitted by Control Unit(3,396 total)

Organized Research

79523%

Letters and Science

91227%

Student Affairs512%

Others130%

Colleges, Schools, and

Divisions1,62548%


16,829 49%

Organized Research8,946 26%

Letters & Science7,860 23%

Student Affairs526 2%

Others160 0%

Ten Year Number of Proposals Submitted by Control Unit(34,321 total)

Ten Year Number of Proposals Submitted by Control Unit

Colleges, Schools, and

Divisions16,82949%

Student Affairs5262%

Others1600%

Letters and Science7,86023%

Organized Research

8,94626%


Page 8

Funding by Campus Control Unit

Ten-Year Funding Summary by Control Unit, FY 2007-2016($7.08 billion total - dollars in millions)

Fiscal Year 2016 Funding Summary by Control Unit($673.9 million total - dollars in millions)


$374.856%Research

$164.824%

Letters & Science$127.6

19%

Student Affairs$3.20%

Others$3.51%

Fiscal Year 2016 Funding Summary by Control Unit($673.9 million total - dollars in millions)

Research$164.824%

Letters and Science$127.619%

Student Affairs$3.20%

Others$3.51%

Colleges, Schools, & Divisions$3,559.1

50%

Research$2,329.7

33%

Letters & Science$1,053.1

15%

Student Affairs$101.8

1%

Others$45.5

1%

Ten Year Funding Summary by Control Unit($7.08 billion total - dollars in millions)

Colleges, Schools, and Divisions

$374.856%

Research$2,329.7

33%

Letters and Science$1,053.1

15%

Student Affairs$101.8

1%

Others$45.5

1%

Colleges, Schools, and Divisions

$3,559.150%


Page 9

Funding by Campus Colleges, Schools, and Divisions

Ten-Year Funding Summary by Colleges, Schools, and Divisions, FY 2007-2016($3.55 billion total - dollars in millions)

Fiscal Year 2016 Funding Summary by Colleges, Schools, and Divisions($374.8 million total - dollars in millions)

Engineering$124.6 33%

Chemistry$31.4 8%Natural

Resources$46.4 …

Public Health$63.6 17%

Education$7.8 2%

Optometry$7.0 2%

Others$94.0 25%

Fiscal Year 2016 Funding Summary for Colleges, Schools, & Divisions($374.8 million total - dollars in millions)

Natural Resources$46.413%

Optometry$7.02%

Education$7.82%

Others$94.025%

Engineering$1,266.7

35%

Chemistry$326.1

9%Natural Resources

$374.410%

Public Health$562.3

16%

Library$32.7

1%

Education$102.3

3%

Graduate Division$249.8

7%

Optometry$101.0

3%

Social Welfare$414.3

12%

Others$129.6

4%

Ten Year Funding Summary for Colleges, Schools, & Divisions($3.55 billion total - dollars in millions)

Optometry$101.0

3%

Library$32.7

1%

Others$129.6

4%

Public Health$63.617%

Natural Resources$374.4

10%

Engineering$124.6

33%

Engineering$1,266.7

35%

Public Health$562.316%

Social Welfare$414.3

12%

Chemistry$326.1

9%

Chemistry$31.48%

Graduate Division$249.8

7%

Education$102.3

3%


Page 10

In fiscal year 2016, federal funding declined by 2% from fiscal year 2015. Federal funding again made up the largest portion of total funding received with 55% of the total.

Funding from nonprofit organizations in fiscal year 2016, including foundations, charities, research institutes, and institutions of higher education, decreased by 21% to a total of $115.3 million.

State of California funding decreased by 3% in fiscal year 2016, at $94 million. Funding from other governmental sources totaled $14 million, an increase of 21% from fiscal year 2015. Funding from corporate sponsors increased by 34% to a total of $63.3 million.

Awards by Funding Source Overview - All Sponsors

Award Highlight

U.S.-China Clean Energy Research Center for Water Energy Technologies (CERC-WET)UC Berkeley, in partnership with UC Irvine and Lawrence Berkeley National Laboratory, was awarded a five-year, multi-million dollar international research consortium that tackles water-related aspects of energy production and use. Three additional UC campuses – UC Davis, UC Merced and UCLA – and Massachusetts-based Stockholm Environment Institute-US are also part of the collaboration. The bilateral investment in CERC-WET will total $50 million over five years. The U.S. Department of Energy will provide $12.5 million of the funding, and the remaining U.S. partners will match that for a total of $25 million. The remaining $25 million will come from the Chinese Ministry of Science and Technology and its consortium partners.

The mission of CERC-WET is to build and transfer a foundation of knowledge, technologies, human capabilities, and relationships that position the United States, in particular with relevant industries, non-profits, and our research peers in China, to thrive in a future with constrained energy and water resources in a changing global climate.

http://cerc-wet.berkeley.edu/

http://cerc-wet.berkeley.edu/


Page 11

Overview - All Sponsors

Fiscal Year 2016 Funding Summary - All Sponsors($673.9 million total - dollars in millions)

Ten-Year Funding Summary - All Sponsors, FY 2007-2016($7.08 billion total - dollars in millions)

Federal370.026983

55%

Not for Profit115.34343

17%

State of California94.022581

14%

Industry63.344323

9%

University of California17.250642

3%

Non Federal Governmental

13.9574222%

Fiscal Year 2016 Funding Summary - All Sponsors

Not for Profit$115.317%

Industry$63.39%

University ofCalifornia

$17.33%

Nonfederal Governmental

$14.02%

Federal$370.0

55%

State ofCalifornia

$94.014%

Federal$3,818.4

54%

Not for Profit$1,287.4

18%

State of California$934.9

13%

Industry$732.3

11%

University of California

$233.13%


$83.01%

Ten Year Funding Summary, Fiscal Year 2007-2016 - All Sponsors


18%

Industry$732.3

11%


$233.13%


$83.01%

Federal$3,818.4

54%

State ofCalifornia

$934.913%


Page 12

The Department of Health and Human Services was once again the largest source of federal funds in fiscal year 2016, awarding $133.5 million. The National Science Foundation awarded $103.6 million. Together, these two agencies awarded a total of $246.8 million, almost 37% of total funding in fiscal year 2016.

Federal Agencies

Fiscal Year 2016 Funding Summary - Federal Sponsors($370.0 million total - dollars in millions)

Ten-Year Funding Summary - Federal Sponsors, FY 2007-2016($3.81 billion total - dollars in millions)

Health & Human Services$133.5

36%

National Science Foundation

$103.628%

Other$5.82%

Energy$52.714%

Defense$41.211%

NASA$20.6

6%

Education$4.91%

Agriculture$3.51%

Interior$3.41% Transportation

$0.90%

Fiscal Year 2016 Funding Summary - Federal Sponsors($370 million total - dollars in millions)

Other$5.82%

NASA$20.66%

DOED$4.91%

DHHS$133.536%

DOD$41.211%

NSF$103.628%

DOE$52.714%

USDA$3.51%

DOI$3.41%

DOT$0.90%

Health & Human Services$1,265.7

33%

National Science Foundation

$1,102.929%

NASA$377.2

10%

Energy$373.7

10%

Defense$326.7

8%

Other$167.0

4%

Education$101.4

3%

Agriculture$48.0

1%

Transportation$33.4

1% Interior$22.4

1%

Ten Year Funding Summary, Fiscal Year 2007-2016 - Federal Sponsors($3.81 billion total - dollars in millions)

NASA$377.210%

Other$167.0

4%

DOT$33.4

1%

DHHS$1,265.7

33%

DOD$326.7

8%

NSF$1,102.9

29%

DOE$373.710%

USDA$48.0

1% DOI$22.4

1%

DOED$101.4

3%


Page 13

Federal Agencies

Award Highlight

Fourth California Climate Change AssessmentUnder a $5 million agreement with the State of California Natural Resources Agency , the Berkeley Energy & Climate Institute (BECI) is managing 17 research projects for the Fourth California Climate Change Assessment. These projects are focused primarily on investigating ways to help California communities and ecosystems adapt and build resilience in the face of climate change. The Assessment will provide critical additional information to support decisions that will safeguard the people, economy and resources of California.

http://beci.berkeley.edu/research/ cafourthclimateassessment/

Ten-Year Funding Summary for Top-Five Federal Sponsors, FY 2007-2016(dollars in millions)

2007 2008 2009 2010 2011 2012 2013 2014 2015 2016DHHS $101.1 $111.4 $115.7 $175.6 $138.2 $138.3 $92.6 $123.2 $136.2 $133.5NSF $90.0 $102.3 $89.0 $154.3 $142.8 $119.5 $92.1 $98.9 $110.6 $103.6NASA $16.1 $29.3 $25.8 $21.8 $43.8 $18.4 $23.1 $158.2 $20.1 $20.6DOE $18.3 $24.7 $27.6 $30.6 $38.9 $56.3 $42.6 $52.3 $29.8 $52.7DOD $21.9 $30.9 $29.2 $54.1 $29.3 $38.1 $35.3 $21.1 $25.5 $41.2

$0

$50

$100

$150

$200

Ten Year Funding Summary for Top Five Federal Sponsors, FY 2007-2016 (dollars in millions)

http://beci.berkeley.edu/research/cafourthclimateassessment/

http://beci.berkeley.edu/research/cafourthclimateassessment/


Page 14

Over the last ten years, funding from the nonprofit sector has made up almost 40% of nonfeder-al funding. In fiscal year 2016, that sector provided 38% of the $303 million received from nonfederal sources.

Nonfederal Agencies

Fiscal Year 2016 Funding Summary - Nonfederal Sponsors($303.0 million total - dollars in millions)

Ten-Year Funding Summary - Nonfederal Sponsors, FY 2007-2016($2.96 billion total - dollars in millions)

Not for Profit$115.3

38%

State of California$94.031%

Industry$63.321%


$17.36%


$14.04%

Fiscal Year 2016 Funding Summary - Nonfederal Sponsors($303 million total - dollars in millions)

Industry$63.321%


$17.36%


$14.04%

Not for Profit$115.338%

State ofCalifornia

$94.031%


39%

State of California$934.9

29%

Industry$732.3

22%


$233.17%


$83.03%

Ten Year Funding Summary, Fiscal Years 2007-2016 - Nonfederal Sponsors($2.96 billion total - dollars in millions)

Industry$723.322%


$233.17%


$83.03%


39%

State ofCalifornia

$934.929%


Page 15

Jeffrey L. Edleson, School of Social Welfare, “Title IV-E Social Work Training Program,” State of California Department of Social Services, $36,617,250

Ashok J. Gadgil, Civil and Environmental Engineering, “UC/China Clean Energy Research Center for Water-Energy Solutions and Technologies (CERC WEST),” U.S. Department of Energy, $12,500,001

Eva Harris, School of Public Health, “Protective Immunity Following Dengue Virus Natural Infections and Vaccination,” National Institute of Allergy and Infectious Diseases, $11,955,318

John R. Balmes, School of Public Health, “Occupational Safety and Health Education and Research Centers,” Centers for Disease Control and Prevention, $9,307,313

Mary K. Firestone, Environmental Science, Policy and Management, “Establishment to Senescence: Plant-Microbe and Microbe-Microbe Interactions Mediate Switchgrass Sustainability,” U.S. Department of Energy, $9,161,780

Susan Hyde, Institute of Governmental Studies, “Strengthening Evaluation in Governance and Politics,” Department for International Development, $7,158,823

Irfan Siddiqi, Physics, “Continuous Quantum State Tracking and Error Correction (CQSTEC),” Army Research Office, $6,950,155

Alexandre M. Bayen, Civil and Environmental Engineering, “Connected Corridors (ICM 2),” State of California Department of Transportation, $6,599,998

Peggy Lemaux, Plant and Microbial Biology, “Epigenetic Control of Drought Response in Sorghum (EPICON),” U.S. Department of Energy, $6,574,495

Jeffrey L. Edleson, School of Social Welfare, “Regional Training Academy Coordination Project,” State of California Department of Social Services, $6,355,878

Laurent Coscoy, Cancer Research Laboratory, “Master Collaborative Research Agreement,” Aduro Biotech, $5,930,446

Chris Somerville, Energy Biosciences Institute, “EBI,” BP Group, $5,000,000

Paul K. Wright, California Institute for Energy and Environment, “California’s Fourth Climate Change Assessment,” State of California Natural Resources Agency, $5,000,000

Catherine D. Wolfram, Haas Centers and Institutes, “Unlocking Industrial Energy Efficiency Through Optimized Energy Management Systems,” State of California Energy Commission, $4,981,729

Dan Werthimer, Astronomy, “Breakthrough LISTEN Berkeley: Radio and Optical SETI,” Breakthrough Prize Foundation, $4,470,752

Elad Alon, Electrical Engineering and Computer Sciences, “Agile Hardware Design in Extreme Process Technologies (AHDEPT),” Defense Advanced Research Projects Agency, $4,111,911

Carl J. Blumstein, California Institute for Energy and Environment, “Customer-Controlled, Price-Mediated, Automated Demand Response for Commercial Buildings,” State of California Energy Commission, $4,000,000

Judith P. Klinman, California Institute for Quantitative Biosciences, “Looking in New Directions for Origins and Cryptic Mechanisms of Enzyme Catalysis,” National Institute of General Medical Sciences, $3,935,728

Rebecca Heald, Molecular and Cell Biology, “Mechanisms of Mitosis and Size Control in Xenopus,” National Institute of General Medical Sciences, $3,888,620

Jeffery Cox, Molecular and Cell Biology, “Host-Directed Strategies to Create Synergistic Antibacterial Therapies,” National Institute of Allergy and Infectious Diseases, $3,832,921

Largest Awards, Fiscal Year 2016


Page 16

Connected Corridors: Integrated Corridor ManagementConnected Corridors is a collaborative program to research, develop, and test an Integrated Corridor Management (ICM) approach to managing transportation corridors in California. ICM looks comprehensively at an entire transportation network—including freeways, arterial streets, transit, parking, travel demand, agency collaboration, and more—and considers all opportunities to move people and goods in the most efficient and safest way possible.

Connected Corridors is led by the California Department of Transportation (Caltrans) in partnership with Partners for Advanced Transportation Technology (PATH) at UC Berkeley. In 2015, the project received funding of $6.6 milllion from Caltrans.

http://connected-corridors.berkeley.edu/

Award Highlights

Berkeley SETI: Breakthough Listen ProjectThe 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.

In 2015, the Breakthrough Prize Foundation provided funding of $4.5 million to the Berkeley SETI Research Center, the creators of the SETI@home volunteer computing software, that utilizes spare resources on volunteer computers to aid in processing data from radio telescopes.

http://astro.berkeley.edu/p/breakthrough-listen

http://connected-corridors.berkeley.edu/

http://astro.berkeley.edu/p/breakthrough-listen

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University of California Berkeley Sponsored Projects ... · Sponsored Projects Annual Report 2016 Page 3 The University of California, Berkeley is one of the world’s leading universities