University of California Berkeley Research Administration and Compliance

Sponsored Projects Office Annual Report Fiscal Year 2011 The University of California, Berkeley

Chancellor Robert J. Birgeneau

Executive Vice Chancellor and Provost George W. Breslauer

Vice Chancellor for Research Graham R. Fleming

Published by the Research Administration and Compliance Office University of California, Berkeley Berkeley, CA 94704-5940 510/642-0120

Assistant Vice Chancellor - Research Administration and Compliance: Patrick Schlesinger

© 2011 The Regents of the University of California University of California, Berkeley - Research Administration and Compliance Office

Annual Report, Fiscal Year 2011 Table of Contents

Research Administration and Compliance Overview 5 Research Proposals and Awards, Fiscal Year 2011 Funding Overview 6 Funding by Campus Control Unit 7 Research Grants and Contracts by Funding Source, Fiscal Year 2011 Overview - All Sponsors 8 Federal Agencies 10 American Recovery and Reinvestment Act of 2009 11 Nonfederal Agencies 12 Funding by Sponsor - Five-Year Summary 13 Campus Control Units - Five-Year Funding Summary 14 Largest Awards, Fiscal Year 2011 16 Honors to Individual Faculty, Fiscal Year 2011 21

Page 3 2011 Annual Report The Campanile, seen from the hills east of campus. Photograph by Steve McConnell / University of California, Berkeley University of California, Berkeley - Research Administration and Compliance Office Research Administration and Compliance Overview

TheUniversity of California, Berkeley is one of the world’s leading universities in research, teaching, and public service, with an enrollment of 25,540 undergraduates and 10,298 graduate students in Fall 2010. The campus employs 1,582 full-time and 500 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 7,000 courses in 350 degree programs and produces more Ph.D.s annually than any other U.S. university. The Research Administration and Compliance Office (RAC), led by Assistant Vice Chancellor Patrick Schlesinger, is the administrative office at UC Berkeley responsible for facilitating and ensuring campus compliance with federal, state, and university regulations pertaining to research administration, including policies governing research animal care and use, human research subjects protection, financial conflict of interest in research, export controls, and grants and contracts administration. RAC is under the purview of the Office of the Vice Chancellor for Research. 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 also provides resources for finding funding opportunities, and coordinates application to programs with institutional limits on proposals. Berkeley Coeus is the campus research contract and grant system of record and is managed by the RAC Information Systems team. The Berkeley Coeus web site, http://coeus.spo.berkeley.edu/, provides UC Berkeley departments and organized research units with reports on contract and grant proposals and awards administered within the unit, based on current information in the Berkeley Coeus database system. The Berkeley Coeus web site also provides reports on funding by sponsor category and funding by department that can be accessed by the public. The Animal Care and Use Committee (ACUC) at UC Berkeley is the institutional committee charged with reviewing and approving all proposed uses of live vertebrate animals in teaching and research. The ACUC’s activities are mandated by the U.S. Animal Welfare Act and Public Health Service Policy. The RAC Office for Animal Care and Use (OACU) provides the administrative infrastructure required to support the Committee’s work to review, approve, and administer those activities. The Campanile, seen from the hills east of campus. Photograph by Steve McConnell / University of California, Berkeley The Committee for Protection of Human Subjects (CPHS) serves as the institutional review board (IRB) at UC Berkeley. The IRB must review and approve the use of human subjects in research. The process is designed to ensure that the rights and welfare of human subjects are protected throughout their participation in research projects. UC Berkeley operates within the regulations and guidelines set forth by federal authorities, primarily the Office for Human Research Protections and the Food and Drug Administration, as well as other bodies. The Office for the Protection of Human Subjects (OPHS) provides operational and staffing support to the CPHS and administers all human subjects research performed on behalf of UC Berkeley. The faculty Conflict of Interest Committee is responsible for the review and assessment of all financial disclosures related to research projects at UC Berkeley and for determining any actions required to ensure that real or perceived financial conflicts of interest are managed or eliminated. RAC staff provide the operational support required to implement and administer COI Committee decisions.

Page 5 2011 Annual Report University of California, Berkeley - Research Administration and Compliance Office Research Proposals and Awards, Fiscal Year 2011 Funding Overview

The Research Administration and Compliance Office is pleased to present this annual report on Berkeley’s sponsored research, teaching, and public service for fiscal year 2011, from July 1, 2010 through June 30, 2011. In fiscal year 2011, the Berkeley campus received $717.3 million in contract and grant awards, a decrease of slightly more than 4 percent from the prior year funding of $743.6 million. One factor contributing to the decrease was the American Recovery and Reinvestment Act (ARRA), enacted in 2009, which resulted in $12 million in fiscal year 2011 awards. The campus has received $90.5 million in total ARRA funding from May 1, 2009, the date of the first ARRA award, through June 30, 2011. Excluding ARRA funds, the campus showed an increase of 6 percent over fiscal year 2010, from $665 million in fiscal year 2010 to $705.3 million in fiscal year 2011. The campus submitted 3,275 proposals requesting $2 billion in fiscal year 2011, with the number of submissions down less than 4 percent and the requested funding up more than 4 percent from the prior year. Number of Proposals Submitted Compared with Awards Received, FY 2002 - 2011 Number of Proposals Submitted Compared with Awards Received, FY 2002 - 2011

4,000 4,000 3,500 3,500 3,000 3,000 2,500 2,500 2,000 2,000 1,500 1,500 1,000 1,000 500 500 0 0 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 Proposals 2,299 2,491 2,672 2,921 2,920 2,991 3,038 3,703 3,387 3,275 Proposals 2,299 2,491 2,672 2,921 2,920 2,991 3,038 3,703 3,387 3,275 Awards 1,459 1,383 1,420 1,507 1,533 1,577 1,507 1,520 1,461 1,378 Awards 1,459 1,383 1,420 1,507 1,533 1,577 1,507 1,520 1,461 1,378

Funding Dollars Requested Compared with Funding Received, FY 2002 - 2011 Funding Dollars Requested Compared(dollars in withmillions) Funding Received, FY 2002 - 2011 (dollars in millions) $2,500 $2,500

$2,000 $2,000

$1,500 $1,500

$1,000 $1,000

$500 $500

$- $- 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 Requested $1,703.02002 $1,593.72003 $1,414.12004 $1,539.22005 $1,271.02006 $1,916.22007 $1,619.22008 $2,357.52009 $1,918.52010 $2,001.72011 Requested $1,703.0 $1,593.7 $1,414.1 $1,539.2 $1,271.0 $1,916.2 $1,619.2 $2,357.5 $1,918.5 $2,001.7 Received $442.7 $459.4 $584.8 $491.2 $469.2 $504.2 $956.6 $649.4 $743.6 $717.3 Received $442.7 $459.4 $584.8 $491.2 $469.2 $504.2 $956.6 $649.4 $743.6 $717.3

2011 Annual Report Page 6

University of California, Berkeley - Research Administration and Compliance Office Research Proposals and Awards, Fiscal Year 2011 Campus Control Units

The following statistics reflect funding activity for campus control units in fiscal year 2011. Departments reporting to the Executive Vice Chancellor and Provost (EVCP) 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.

Number of Proposals Submitted by Control Unit, FY 2002 - 2011 Number of Proposals Submitted by Control Unit, FY 2002 - 2011 4,000 4,000 3,500 3,500 3,000 3,000 2,500 2,500 2,000 2,000 1,500 1,500 1,000 1,000 500 500 0 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 0 EVCP 2002902 2003946 2004958 20051,313 20061,415 20071,543 20081,584 20091,906 20101,813 20111,684 EVCPResearch 902936 1,035946 1,173958 1,3131,004 1,415852 1,543828 1,584795 1,9061,001 1,813772 1,684831 ResearchL&S 936448 1,035481 1,173509 1,004576 852630 828603 795622 1,001742 772720 831686 L&SOthers 44813 48129 50932 57628 63023 60317 62237 74254 72082 68674 OthersTotal 2,29913 2,49129 2,67232 2,92128 2,92023 2,99117 3,03837 3,70354 3,38782 3,27574 Total 2,299 2,491 2,672 2,921 2,920 2,991 3,038 3,703 3,387 3,275

Ten Year Funding Dollar Summary by Control Unit, FY 2002 - 2011 Ten Year Funding Dollar(dollars Summary in millions)by Control Unit, FY 2002 - 2011 $1,000 (dollars in millions) $1,000

$750 $750

$500 $500

$250 $250

$0 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 $0 EVCP $186.72002 $197.72003 $237.02004 $217.72005 $265.92006 $302.52007 $325.22008 $331.22009 $404.62010 $402.52011 EVCPResearch $186.7$186.0 $197.7$175.0 $237.0$270.9 $217.7$171.8 $265.9$136.9 $302.5$122.9 $325.2$516.4 $331.2$189.6 $404.6$219.1 $402.5$181.8 ResearchL&S $186.0$65.6 $175.0$80.9 $270.9$68.2 $171.8$98.6 $136.9$57.3 $122.9$67.7 $516.4$99.2 $189.6$114.0 $219.1$97.2 $181.8$118.5 L&SOthers $65.6$4.3 $80.9$5.8 $68.2$8.6 $98.6$3.1 $57.3$9.1 $67.7$11.2 $99.2$15.8 $114.0$14.6 $97.2$22.7 $118.5$14.5 OthersTotal $442.7$4.3 $459.4$5.8 $584.8$8.6 $491.2$3.1 $469.2$9.1 $11.2$504.3 $15.8$956.6 $14.6$649.4 $22.7$743.6 $14.5$717.3 Total $442.7 $459.4 $584.8 $491.2 $469.2 $504.3 $956.6 $649.4 $743.6 $717.3

Page 7 2011 Annual Report

University of California, Berkeley - Research Administration and Compliance Office Research Contracts and Grants by Funding Source Overview - All Sponsors

In fiscal year 2011, federal funding once again comprised the largest portion of the total amount received, at 63 percent of the total, unchanged from the previous year despite a decrease in the amount of ARRA funding. Of the nonfederal funding, $58.9 million came from charitable organizations and $41.1 million from universities outside the UC system. Industry sponsors awarded $45.2 million. Funding from nonfederal governmental sources included $100.8 million from State of California agencies and $3.1 million from foreign governments.

Number of Proposals Submitted by Sponsor Category, FY 2002 - 2011 Number of Proposals Submitted by Sponsor Category, FY 2002 - 2011

4,000 4,000 3,500 3,500 3,000 3,000 2,500 2,500 2,000 2,000 1,500 1,500 1,000 1,000 500 500 0 0 2002 2003 2004 2005 2006 2007 2008 2,009 2010 2011 2002 2003 2004 2005 2006 2007 2008 2,009 2010 2011 Federal 1,089 1,228 1,371 1,358 1,286 1,256 1,232 1,731 1,541 1,441 Federal 1,089 1,228 1,371 1,358 1,286 1,256 1,232 1,731 1,541 1,441 Nonfederal 1,210 1,263 1,301 1,563 1,634 1,735 1,806 1,972 1,846 1,834 Nonfederal 1,210 1,263 1,301 1,563 1,634 1,735 1,806 1,972 1,846 1,834 Total 2,299 2,491 2,672 2,921 2,920 2,991 3,038 3,703 3,387 3,275 Total 2,299 2,491 2,672 2,921 2,920 2,991 3,038 3,703 3,387 3,275

Funding Dollars Requested by Sponsor Category, FY 2002 - 2011 Funding Dollars Requested(dollars by inSponsor millions) Category, FY 2002 - 2011 (dollars in millions) $2,500 $2,500

$2,000 $2,000

$1,500 $1,500

$1,000 $1,000

$500 $500

$0 $0 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 Federal $1,342.1 $1,206.8 $1,062.4 $1,123.2 $861.9 $1,010.6 $1,065.8 $1,687.5 $1,393.9 $1,475.2 Federal $1,342.1 $1,206.8 $1,062.4 $1,123.2 $861.9 $1,010.6 $1,065.8 $1,687.5 $1,393.9 $1,475.2 Nonfederal $360.9 $386.9 $351.7 $416.0 $409.1 $905.5 $553.4 $670.1 $524.6 $526.5 Nonfederal $360.9 $386.9 $351.7 $416.0 $409.1 $905.5 $553.4 $670.1 $524.6 $526.5 Total $1,703.0 $1,593.7 $1,414.1 $1,539.2 $1,271.0 $1,916.1 $1,619.2 $2,357.6 $1,918.5 $2,001.7 Total $1,703.0 $1,593.7 $1,414.1 $1,539.2 $1,271.0 $1,916.1 $1,619.2 $2,357.6 $1,918.5 $2,001.7

2011 Annual Report Page 8

University of California, Berkeley - Research Administration and Compliance Office

Fiscal Year 2011 Funding Dollars by Sponsor Category ($717.3 million total - dollars in millions) University of California (2%), Fiscal Year 2011 Funding$15.5 Dollars byForeign Sponsor and Other Category Other Universities Govt (0%), $3.1 (6%),($717.3 $41.1 million total - dollars in millions) University of Industry California (2%), (6%), $45.2 $15.5 Foreign and Other Other Universities Govt (0%), $3.1 (6%), $41.1

Not for ProfitIndustry (8%), $58.9(6%), $45.2

Not for Profit (8%), $58.9 State of California (14%), $100.8 Federal (63%), $452.7

State of California (14%), $100.8 Federal (63%), $452.7

Ten Year Funding Dollar Summary by Sponsor Category, FY 2002 - 2011 ($6 billion total - dollars in millions) University of California (4%), Foreign and Other Ten Year Funding $220.1Dollar Summary by Sponsor Category, FY 2002 - 2011 ($6 billion totalGovt - dollars (1%), $55.7 in millions) Other Universities (6%), $331.8 University of California (4%), Foreign and Other Industry $220.1 Govt (1%), $55.7 (10%),Other $590.1Universities (6%), $331.8

Not forIndustry Profit (10%), (10%),$621.1 $590.1

Not for Profit (10%), Federal (57%), $621.1 $3,410.4

State of California (13%), $780.8 Federal (57%), $3,410.4

State of California (13%), $780.8

Page 9 2011 Annual Report University of California, Berkeley - Research Administration and Compliance Office Research Contracts and Grants by Funding Source Federal Agencies

Funding from federal sources totaled $452.7 million in fiscal year 2011, a decrease of over 3 percent from the record $468.4 million received in fiscal year 2010. The National Science Foundation awarded 32 percent of federal funding with $142.8 million. The Department of Health and Human Services provided 31 percent with $138.2 million in funding. National Aeronautics and Space Administration funding of $43.8 million nearly doubled from the prior year. Department of Defense agencies decreased sharply to a total of $26.5 million after a sharp increase in fiscal year 2010.

Fiscal Year 2011 Funding Dollar Summary by Federal Sponsor ($452.7($452.7 millionmillion totaltotal -- dollars in millions)

DOT (1%), $4.4 DOED (5%), $24.4 DOT (1%), $4.4

DOD (6%), $26.5 NSF (32%), $142.8 Other (7%), $33.7

DOE (9%), $38.9

NASA (10%), $43.8

DHHS (31%), $138.2

Ten Year Funding Dollar Summary by Federal Sponsor, FY 2002 -- 2011 ($3.4($3.4 billionbillion totaltotal -- dollars in millions)

DOED (4%), $124.5 DOT (1%), $31.4

Other (5%), $175.9 DHHS (35%), DOE (7%), $240.7 DHHS (35%), $1,182.9

DOD (8%), $272.4

NASA (11%), $364.1

NSF (30%), $1,018.8

2011 Annual Report Page 10

University of California, Berkeley - Research Administration and Compliance Office

Ten-Year Funding Dollar Summary for Top 5 Federal Sponsors, FY 2002 - 2011 (dollars in millions)

$200

$180

$160

$140

$120

$100Ten-Year Funding Dollar Summary for Top 5 Federal Sponsors, FY 2002 - 2011 (dollars in millions) $80 $200 $60 $180 $40 $160 $20 $140 $0 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 $120 DHHS $88.1 $99.5 $113.4 $131.4 $108.7 $101.1 $113.1 $116.4 $175.5 $138.2 $100 NSF $77.4 $104.8 $102.9 $78.8 $76.6 $90.0 $102.3 $89.0 $154.3 $142.8 DOD $36.7 $18.8 $16.6 $18.8 $18.8 $21.9 $30.9 $29.2 $54.1 $26.5 $80 DOE $16.2 $14.6 $24.7 $22.8 $20.6 $18.4 $24.8 $27.6 $32.1 $38.9 $60 NASA $39.5 $30.3 $115.0 $18.6 $23.9 $16.1 $29.3 $25.8 $21.8 $43.8

$40

$20

American$0 Recovery and Reinvestment Act of 2009 (ARRA) 2002 2003Ten-Year2004 Funding2005 Dollar Summary2006 Showing2007 2008ARRA Impact,2009 FY 20102002 - 20112011 DHHS $88.1 $99.5 $113.4 $131.4 $108.7(dollars$101.1 in millions)$113.1 $116.4 $175.5 $138.2 ARRA wasNSF enacted$77.4$1,000 in February$104.8 $102.9 2009. In$78.8 fiscal $76.6year 2011,$90.0 the campus$102.3 requested$89.0 $154.3 less than$142.8 $1 million as fundingDOD for ARRA$36.7 was $18.8winding$16.6 down. The$18.8 $12$18.8 million$21.9 received$30.9 in fiscal$29.2 year 2011$54.1 included$26.5 $1.8 million from theDOE National$16.2 $900Science$14.6 Foundation,$24.7 $22.8$1.6 million$20.6 from$18.4 the National$24.8 Institutes$27.6 $32.1 of Health,$38.9 $1.8 million NASA $39.5 $30.3 $115.0 $18.6 $23.9 $16.1 $29.3 $25.8 $21.8 $43.8 from other universities,$800 and $1.9 million from industry. Since ARRA was enacted the campus has submitted

435 proposals requesting$700 $329.2 million; $90.5 million has been received in total and more than $7.5 million has been sub-awarded to other organizations through June 30, 2011. $600 Ten-Year Funding Dollar Summary Showing ARRA Impact, FY 2002 - 2011 $500 (dollars in millions)

$1,000 $400

$900 $300

$800 $200

$700 $100

$600 $0 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 $500With ARRA $649.4 $743.6 $717.3 Without ARRA $442.7 $459.4 $584.8 $491.2 $469.2 $504.2 $956.6 $639.8 $674.8 $705.3 $400

$300

$200

$100

$0 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 With ARRA $649.4 $743.6 $717.3 Without ARRA $442.7 $459.4 $584.8 $491.2 $469.2 $504.2 $956.6 $639.8 $674.8 $705.3

Page 11 2011 Annual Report

University of California, Berkeley - Research Administration and Compliance Office Research Contracts and Grants by Funding Source Nonfederal Agencies

Funding from nonfederal sources totaled $264.6 million in fiscal year 2011, down 4 percent from the previous year. Of the $264.6 million, $160.7 million came from non-profit, non-governmental sources, including $58.9 million from charitable organizations, $41.1 million from universities outside the UC system, and $45.2 million from industry sources.

FiscalFiscal Year Year 2011 2011 Funding Funding Dollar Dollar Summary Summary by by Nonfederal Nonfederal Sponsor Sponsor ($264.6($264.6 million million total total - -dollars dollars in in millions) millions) Foreign and Other University of Foreign and Other University of GovtGovt (1%), (1%), $3.1 $3.1 CaliforniaCalifornia (6%), (6%), $15.5$15.5

OtherOther Universities Universities (16%), $41.1 (16%), $41.1 StateState of of California California (38%),(38%), $100.8 $100.8

IndustryIndustry (17%), (17%), $45.2$45.2

NotNot for for Profit Profit (22%), (22%), $58.9$58.9

TenTen Year Year Funding Funding Dollar Dollar Summary Summary by by Nonfederal Nonfederal Sponsor, Sponsor, FY FY 2002 2002 - -2011 2011 ($2.6 ($2.6 billion billion total total - -dollars dollars in in millions) millions) ForeignForeign and and Other Other Govt (2%), $55.7 UniversityUniversity of of Govt (2%), $55.7 CaliforniaCalifornia (8%), (8%), $220.1$220.1 StateState of of California California (30%),(30%), $780.8 $780.8 OtherOther Universities Universities (13%),(13%), $331.9 $331.9

IndustryIndustry (23%), (23%), $590.1$590.1

NotNot for for Profit Profit (24%), (24%), $621.0$621.0

2011 Annual Report Page 12

University of California, Berkeley - Research Administration and Compliance Office Funding by Sponsor - Five-Year Funding Summary

FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 Federal Agriculture $3,754,302 $3,781,047 $6,143,314 $6,996,752 $3,542,326 Commerce 80,981 809,992 11,486,398 923,739 1,434,551 Defense 21,913,073 30,922,189 29,188,030 54,078,069 26,520,550 Education 22,902,566 7,312,265 8,228,159 6,877,414 24,393,606 Energy 9,065,929 4,197,711 5,525,739 19,342,668 20,871,045 Environmental Protection Agency 76,998 1,003,414 374,921 928,385 8,548,007 Health and Human Services 101,050,776 113,056,292 116,367,931 175,522,394 138,238,583 Interior 1,345,170 1,627,843 1,499,058 6,513,849 1,264,267 National Aeronautics and Space Administration 16,076,459 29,278,087 25,810,247 21,771,876 43,783,361 National Endowments for the Arts and Humanities, Institute of Museum and Library Services 2,114,073 1,547,996 1,225,119 1,234,191 1,079,324 National Science Foundation 89,959,672 102,286,247 88,983,109 154,295,580 142,793,198 Other 10,640,470 22,864,898 26,971,541 17,590,266 35,923,019 Transportation 3,329,328 3,865,672 3,357,402 2,333,575 4,355,516 Subtotal 282,309,797 322,553,653 325,160,968 468,408,758 453,747,423

Industry Foreign Industry 10,331,009 352,975,698 4,453,485 6,165,252 11,152,075 U.S. Industry 21,677,263 31,554,819 17,392,719 33,121,249 34,013,810 Subtotal 32,008,272 384,530,517 21,846,204 39,286,501 45,165,885

Nonfederal Governmental Foreign Government Agencies 3,816,745 3,006,848 4,852,570 2,204,657 1,030,059 Local Agencies and Schools 2,710,522 9,545,104 1,131,942 603,005 1,210,093 Other U.S. Government Agencies 229,108 240,969 448,379 214,875 903,858 State Agencies 64,394,770 78,505,619 145,484,866 101,468,369 100,751,627 Subtotal 71,151,145 91,298,540 151,917,757 104,490,906 103,895,637

Not for Profit Foreign Organizations 2,935,529 16,858,767 9,438,823 6,325,592 4,912,024 Other U.S. Organizations 22,025,646 15,855,643 19,934,800 23,259,706 8,618,833 U.S. Foundations and Charities 44,261,339 55,906,970 45,610,004 49,395,803 47,240,829 U.S. Institutes of Higher Education 26,368,727 32,405,088 46,033,446 33,151,952 39,208,177 Subtotal 95,591,241 121,026,468 121,017,073 112,133,053 99,979,863

University of California 23,204,061 37,143,980 29,485,529 19,295,117 15,461,607 Subtotal 23,204,061 37,143,980 29,485,529 19,295,117 15,461,607

Total $504,264,516 $956,553,158 $649,427,531 $743,614,335 $717,250,415

Page 13 2011 Annual Report University of California, Berkeley - Research Administration and Compliance Office Campus Control Units - Five-Year Funding Summary

Control Unit Division FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 Executive Vice Chancellor and Provost (EVCP) BAM/PFA $619,337 $797,501 $555,630 $611,709 $724,358 Cal Performances/SMA 288,500 1,324,500 634,000 774,000 772,500 College of Natural Resources 30,820,872 31,063,361 35,411,141 38,270,393 37,183,569 College of Chemistry 28,834,580 26,611,323 30,039,465 30,269,304 29,423,841 College of Engineering 78,580,684 121,220,404 94,149,039 146,447,668 130,592,566 College of Environmental Design 4,800,551 139,511 290,190 10,000 28,608 Division of Undergraduate Education 1,794,528 2,617,393 515,052 2,958,382 4,087,392 Executive Vice Chancellor and Provost 514,000 50,000 200,000 65,000 Goldman School of Public Policy 447,471 1,367,291 708,009 687,566 790,731 Graduate Division 16,329,324 17,136,203 17,934,515 10,509,168 36,253,370 Graduate School of Education 6,302,592 7,019,514 13,381,485 18,446,201 10,390,826 Haas School of Business 24,000 45,000 700,246 528,485 International and Area Studies 18,221,153 3,929,824 3,330,837 3,558,878 9,192,657 School of Information 40,000 11,700 680,956 1,049,177 1,009,921 School of Journalism 568,602 3,503,364 1,956,175 700,925 1,469,375 School of Law 1,855,000 3,912,692 2,524,773 2,715,798 3,217,792 School of Optometry 5,608,357 10,090,828 11,021,107 9,035,883 13,428,484 School of Public Health 56,210,830 40,064,685 38,838,683 87,306,424 58,504,556 School of Social Welfare 34,948,119 36,978,642 54,332,202 33,599,934 52,073,058 The Library 2,088,861 1,871,780 7,614,619 1,557,856 2,576,004 Vice Provost Academic Affairs and Faculty Welfare 12,475,917 15,448,639 17,183,248 14,907,115 9,758,309 Vice Provost Academic Planning and Facilities 1,112,827 35,440 250,000 357,849 Subtotal 302,462,105 325,168,595 331,196,126 404,566,627 402,429,251

College of Letters and Science (L&S) College of Letters and Science 1,000,000 2,330,000 105,000 68,100 Division of Arts and Humanities 3,134,281 983,113 2,197,496 2,330,266 890,912 Division of Physical Sciences 20,948,673 50,929,750 39,793,403 36,388,966 36,774,812 Division of Social Sciences 3,048,022 3,241,700 5,930,990 4,544,948 6,492,945 Biological Sciences 39,606,540 42,033,924 63,768,106 53,839,381 74,252,220 Undergraduate Division 2,051,347 6,900 Subtotal 67,737,516 99,239,834 114,019,995 97,215,461 118,478,989

2011 Annual Report Page 14 University of California, Berkeley - Research Administration and Compliance Office

Control Unit Division FY 2007 FY 2008 FY 2009 FY 2010 FY 2011 Vice Chancellor - Administration Associate VC - Business and Administrative Services Associate VC - Health and Human Services 287,043 509,600 1,446,208 1,879,689 Intercollegiate Athletics Division 500,000 (485,000) 25,000 Office of the Vice Chancellor - Administration 50,000 Public Safety 99,487 25,000 Subtotal 287,043 99,487 1,009,600 1,036,208 1,904,689

Vice Chancellor - Research VC Administrative Units 2,084,720 3,642,985 778,499 3,406,368 Other Research Units 38,086,036 59,370,220 82,008,626 112,893,083 51,007,020 VC Research 5,512,500 (100,000) 82,568 597,474 Museums and Field Stations 4,407,351 1,595,179 3,087,030 3,231,471 5,343,174 Vice Chancellor for Research ORUs 80,415,176 447,825,735 100,993,121 102,125,211 121,488,446 Subtotal 122,908,563 516,388,354 189,631,762 219,110,832 181,842,482

Vice Chancellor - Student Affairs Admissions and Enrollment 1,977,415 3,080,573 3,844,994 935,892 2,283,653 Residential and Student Services Programs 30,000 30,000 1,006,820 Vice Chancellor - Student Affairs Division 8,861,874 11,068,323 7,344,737 8,924,367 5,547,445 Subtotal 10,869,289 14,148,896 11,219,731 10,867,079 7,831,098

Vice Chancellor for Equity and Inclusion Office of Equity and Inclusion 800,000 1,719,211 568,128 Subtotal 800,000 1,719,211 568,128

Other Capital Projects 10,250,000 2,750,000 Information Services & Technology 707,992 631,106 2,013,906 707,992 631,106 10,250,000 4,763,906

Total $504,264,516 $956,553,158 $649,427,531 $743,614,335 $717,250,415

Page 15 2011 Annual Report University of California, Berkeley - Research Administration and Compliance Office Largest Awards, Fiscal Year 2011

Midanik, Lorraine T., School of Social Welfare, “Title IV-E Social Work Training Program,” State of California Department of Social Services, $33,454,962 Yablonovitch, Eli, Engineering Research Support Organization, “Center for Energy Efficient Electronics Science (Center for E3S),” National Science Foundation, $25,000,000 Isacoff, Ehud, Molecular and Cell Biology, “NDC for the Optical Control of Biological Function,” National Eye Institute, $24,571,294 Lin, Robert P., Space Sciences Laboratory, “Phase B/C/D for the Mars Atmosphere and Volatile Evolution (MAVEN) Mission,” National Aeronautics and Space Administration, $16,023,889 Angelopoulos, Vassilis, Space Sciences Laboratory, “Time History of Events and Macroscale Interactions during Substorms (THEMIS),” National Aeronautics and Space Administration, $14,587,112 Szeri, Andrew J., Graduate Division Dean, “Graduate Research Fellowship Program,” National Science Foundation, $13,238,917 Moore, Donald S., Institute of Business and Economic Research, “Exploring the Optimal Forecasting Frontier: How Much Room is There to Improve Subjective Forecasting Accuracy? ,” Intelligence Advanced Research Projects Activity, $11,561,109 Balmes, John R., Labor Occupational Health Program, “Occupational Safety and Health Education and Research Centers,” Centers for Disease Control and Prevention, $6,860,042 Polse, Kenneth A., School of Optometry, “Berkeley Clinical Scientist Development Program,” National Eye Institute, $6,055,560 Ragland, David, School of Public Health, “Sobriety Checkpoint Mini-Grant Program 2010-2011,” State of California Office of Traffic Safety, $5,297,059 Yeh, Wen-Hsin, Institute of East Asian Studies, “Academic Exchange and Cooperation Project between the Top University Strategic Alliance Program in the Republic of China (Taiwan) and the University of California, Berkeley,” Government of Taiwan, Republic of China, $4,867,500 Tirrell, Matthew V., Bioengineering, “Synthetic Biology Institute,” Agilent Technologies, $4,000,000 Bloom, Joan R., School of Public Health, “Alameda County Network Program for Reducing Cancer Disparities,” National Cancer Institute, $3,813,716 Yu, Bin, Engineering Research Support Organization, “Emerging Frontiers of Science of Information,” Purdue University, $3,750,000 Nikaido, Hiroshi, Molecular and Cell Biology, “Biochemistry of Bacterial Cell Membranes,” National Institute of Allergy and Infectious Diseases, $3,474,579 Harris, Eva, School of Public Health, “Epidemiology, Transmission, and Phylogenetics of Influenza in a Tropical Country,” National Institute of Allergy and Infectious Diseases, $3,296,832 Oxendine, Jeffrey, School of Public Health, “California-Pacific Public Health Training Center,” Health Resources and Services Administration, $3,249,129 Ellwood, John W., School of Public Health, “Robert Wood Johnson Foundation Scholars in Health Policy Research,” Robert Wood Johnson Foundation, $2,936,700 Botchan, Michael, Molecular and Cell Biology, “Regulatory Interactions between Tumor Viruses and Cells,” National Cancer Institute, $2,787,237 Thorner, Jeremy W., Molecular and Cell Biology, “Yeast MARK Signaling Networks: Specificity, Regulation and Function,” National Institute of General Medical Sciences, $2,768,609 Basri, Gibor, Academic Achievement Division, “Student Support Service Program,” Department of Education, $2,453,050 Bautista, Diana, Molecular and Cell Biology, “New Approaches to Identity Molecular Mechanisms of Touch and Pain in Mammals,” National Institutes of Health Office of the Director, $2,302,500 Herr, Amy, Institute for Quantitative Biomedical Research, “Towards High Throughout Proteomics: A Micro/Nanofluidic Framework for Blotless Western Technology,” National Institutes of Health Office of the Director, $2,302,500 Iglesia, Enrique, Chemical and Biomolecular Engineering, “Catalysts and Processes for the Conversion of Carbon Feedstocks to Fuels and Chemicals,” BP Group, $2,300,000

2011 Annual Report Page 16 University of California, Berkeley - Research Administration and Compliance Office

Shortell, Stephen M., School of Public Health, “National Study of Physician Organizations 3 (NSPO3),” Robert Wood Johnson Foundation, $2,200,000 Zilberman, Daniel, Plant and Microbial Biology, “GEPR: Epigenetic Mechanisms Regulating Gene Imprinting in Rice Seeds,” National Science Foundation, $2,106,725 Bell, Alexis T., Chemical and Biomolecular Engineering, “Catalytic Chemistry for the Utilization of Synthesis Gas,” BP Group, $2,100,000 Wallis, Jonathan D., Helen Wills Neuroscience Institute, “Neural Representation of Reward in Frontal Cortex,” National Institute on Drug Abuse, $2,088,852 Gutierrez, Maria P., Center for Environmental Design Research, “EFRI-SEED: Solar Optics-Based Active Pasteurization (SOAP) for Greywater Reuse and Integrated Thermal (GRIT) Building Control,” National Science Foundation, $2,000,000 Li, Song, Institute for Quantitative Biomedical Research, “Multipotent Stem Cells for Tissue Regeneration,” National Institutes of Health, $1,984,007 Organista, Kurt C., Institute of Business and Economic Research, “Structural-Environmental Factors, Alcohol and HIV Risk in Latino Migrant Laborers,” National Institute on Alcohol Abuse and Alcoholism, $1,959,259 Stephens, Richard S., School of Public Health, “Mechanisms of Host Cell Infection by Chlamydia,” National Institute of Allergy and Infectious Diseases, $1,918,750 Jagust, William J., Helen Wills Neuroscience Institute, “PET/CT Imaging System,” National Center for Research Resources, $1,896,426 Hybiske, Kevin, School of Public Health, “Molecular Determinants of Chlamydia Extrusion from Host Cells,” National Institute of Allergy and Infectious Diseases, $1,877,560 Zhou, Qiang, Molecular and Cell Biology, “Tat Cofactors and Control of HIV-1 Latency,” National Institute of Allergy and Infectious Diseases, $1,876,454 Stahl, Andreas, Nutritional Sciences and Toxicology, “Dependence of Thermogenesis and Brown Adipose Tissue Function on FatP1 and CD36,” National Institute of Diabetes and Digestive and Kidney Diseases, $1,873,076 Robey, Ellen A., Molecular and Cell Biology, “Signals that Control Thymocyte Migration,” National Institute of Allergy and Infectious Diseases, $1,872,184 Cicero, Carla, Museum of Vertebrate Zoology, “ABI Development: Collaborative Research: VertNet, a New Model for Biodiversity Networks,” National Science Foundation, $1,871,968 Miller, Craig T., Molecular and Cell Biology, “Developmental Genetics of Tooth Number Variation in Sticklebacks,” National Institute of Dental and Craniofacial Research, $1,790,572 Auslander, David M., Engineering Research Support Organization, “Recovery Act: Distributed Intelligent Automated Demand Response (DIADR) Building Management System,” Department of Energy, $1,787,674 Chang, Christopher, Chemistry Department, “Development of an Integrated Microbrial-Electrocatalytic (MED) System for Liquid Diofuel Production from C02,” Department of Energy, $1,781,190 Koshland, Douglas E., Molecular and Cell Biology, “Establishment of Sister Chromatid Cohesion,” National Institute of General Medical Sciences, $1,771,315 Westphal, Andrew, Space Sciences Laboratory, “Coordinated Synchrotron X-Ray Microprobe, TEM, and Ion Microprobe Analysis of Stardust Cometary Samples,” National Aeronautics and Space Administration, $1,720,000 Nguyen, Clark T. C., Engineering Research Support Organization, “Q-Boosted Optomechanical Resonators,” Defense Advanced Research Projects Agency, $1,707,427 Winoto, Astar, Cancer Research Laboratory, “Programmed Cell Death in Normal and Malignant T Cells,” National Cancer Institute, $1,693,256 Cohen, Marvin L., Physics, “Theoretical Solid State Physics,” National Science Foundation, $1,690,000 Crommie, Michael F., Physics, “Infrastructure Upgrade for UC Berkeley Atomic, Nanoscale, and Quantum Characterization Facility,” National Science Foundation, $1,682,741 Levi, Dennis, School of Optometry, “A New Approach to Restoring Visual Acuity and Steropsis in Adult and Children with Amblyopia,” National Eye Institute, $1,675,162 Garriga, Gian, Molecular and Cell Biology, “Wnt Regulation of C. Elegans Neuroblast and Neuronal Polarity,” National Institute of Neurological Disorders and Stroke, $1,646,180

Page 17 2011 Annual Report University of California, Berkeley - Research Administration and Compliance Office Largest Awards, Fiscal Year 2011 (continued)

Ngai, John, Molecular and Cell Biology, “Programs of Gene Expression in Olfactory Neurogenesis,” National Institute on Deafness and Other Communication Diso, $1,630,940 Banfield, Jill F., Earth and Planetary Science, “Development and Integration of Genome-Enabled Techniques to Track and Predict the Cycling of Carbon in Model Microbial Communities,” Department of Energy, $1,624,867 Firestone, Mary K., Environmental Science, Policy and Management: Ecosystem Sciences, “Plant Stimulation of Soil Microbial Community Succession: How Sequential Expression Mediates Soil Carbon Stabilization and Turnover,” DOE Department of Energy Miscellaneous Offices & Programs, $1,609,401 Wilson, Mark, Graduate School of Education, “Learning Progressions in Middle School Science Instruction and Assessment,” Department of Education, $1,599,931 Cohen, Ronald C., Chemistry Department, “DISCOVER-AQ (Deriving Information on Surface Conditions from COlumn and VERtically Resolved Observations Relevant to Air Quality) ,” National Aeronautics and Space Administration, $1,581,062 Fleiszig, Suzanne M. J., School of Optometry, “Bacterial Interactions with Corneal Epithelium in Health and Disease,” National Eye Institute, $1,535,000 Sadoulet, Bernard, Physics, “SuperCDMS Soudan,” National Science Foundation, $1,531,109 Robey, Ellen A., Molecular and Cell Biology, “Visualizing of Immune Responses to Toxoplasma Gondii,” National Institute of Allergy and Infectious Diseases, $1,523,489 Poo, Mu-Ming, Molecular and Cell Biology, “Spike Timing-Dependent Plasticity of Neural Circuits,” National Institute of Neurological Disorders and Stroke, $1,511,015 Basri, Gibor, Disabled Students’ Program, “Disabled Students’ Program TRIO/Student Support Services Project,” Department of Education, $1,507,420 Pisano, Albert P., Engineering Research Support Organization, “Phase II - III: The Microcoluminated Loop Heat Pipe (mLHP): The Future of Electronic Substrates,” Defense Advanced Research Projects Agency, $1,500,000 Covello, Claudia, University Health Services, “Berkeley Builds Capacity (BBC),” Substance Abuse and Mental Health Services Administration, Center for Substance Abuse Prevention, $1,500,000 Schaffer, David, Institute for Quantitative Biomedical Research, “Engineering Defined and Scaleable Systems for Dopaminergic Neuron Differentiation of hPSCs,” California Institute for Regenerative Medicine, $1,493,928 Abrams, Barbara F., College of Natural Resources, “Intergenerational Obesity: Do Early Adversity and Pregnancy Explain Disparities? ,” National Center on Minority Health and Health Disparities, $1,493,110 Harris, Eva, School of Public Health, “Determinants of Protection and Enhancement of Dengue Infection/Disease in Vivo,” National Institute of Allergy and Infectious Diseases, $1,491,103 Wilmoth, John R., Institute of Business and Economic Research, “Studies in Global Mortality,” National Institute on Aging, $1,477,690 Lee, Luke P., Engineering Research Support Organization, “Integrated Microfluidic Universal Sample Preparation and Pre- concentration (USP) Module for Parallel Diagnostics of Infectious Diseases,” Bill and Melinda Gates Foundation, $1,465,210 Conolly, Steven, Institute for Quantitative Biomedical Research, “Magnetic Particle Imaging: A Novel Ultra-Sensitive Imaging Scanner for Tracking Stem Cells in Vivo,” California Institute for Regenerative Medicine, $1,452,360 Bruns, Thomas Dickinson, Plant and Microbial Biology, “To Investigate the Processes and Source Responsible for Indoor Microbial Communities and Indoor Air Quality,” Alfred P. Sloan Foundation, $1,451,191 Bale, Stuart, Space Sciences Laboratory, “FIELDS Investigation Solar Probe Plus Phase A Efforts,” Johns Hopkins University, $1,442,880 Morse, Edward C., Engineering Research Support Organization, “ARI/LA: Domestic Nuclear Security Technology,” Department of Homeland Security, $1,435,126 Yildiz, Ahmet, Institute for Quantitative Biomedical Research, “Mechanism and Coordination of Cytoplasmic Dynein Motility,” National Institute of General Medical Sciences, $1,422,894 Barnes, Georjana, Molecular and Cell Biology, “Saccharomyces Cerevisiae Microtubule Cytoskeleton,” National Institute of General Medical Sciences, $1,418,292

2011 Annual Report Page 18 University of California, Berkeley - Research Administration and Compliance Office

Hadler, Jeffrey, Graduate Division Dean, “UCB - UCLA Consortium for the Southeast Asia Studies National Resource Center and Foreign Language and Areas Studies Fellowship Program,” Department of Education, $1,416,000 Sjolander, Kimmen V., Institute for Quantitative Biomedical Research, “Phylogenomic Tools and Web Resources for the Systems Biology Knowledgebase,” DOE Department of Energy Chicago Field Office, $1,412,313 Toste, Dean, Chemistry Department, “Catalytic Methods for Carbon-Carbon and Carbon-Heteroatom Bond Formation,” National Institute of General Medical Sciences, $1,395,388 Staskawicz, Brian J., Plant and Microbial Biology, “Molecular Basis of NLR-Mediated Innate Immunity in Arabidopsis Thaliana,” National Institute of General Medical Sciences, $1,355,911 Kaskutas, Lee A., School of Public Health, “Graduate Research Training on Alcohol Problems,” National Institute on Alcohol Abuse and Alcoholism, $1,353,010 Bokor, Jeffrey, Engineering Research Support Organization, “Nanomagnet Logic,” University of Notre Dame, $1,350,000 Stahl, Andreas, Nutritional Sciences and Toxicology, “Molecular Physiology of Liver Fatty Acid Transporters,” National Institute of Diabetes and Digestive and Kidney Diseases, $1,329,731 Ray, Raka, Graduate Division Dean, “National Resource Center and Foreign Language and Area Studies Fellowship - Center for South Asia Studies,” Department of Education, $1,326,000 Slezkine, Yuri, Graduate Division Dean, “National Resource Centers (NRC) Program for Foreign Language and Area Studies and Foreign Language and Area Studies (FLAS) Fellowships Program,” Department of Education, $1,326,000 Hintzen, Percy C., Graduate Division Dean, “Comprehensive National Resource Center and Foreign Language and Area Studies Fellowships- Center for African Studies,” Department of Education, $1,326,000 Leonard, Thomas C., University Library, “Public Health Library Information Services Agreement,” State of California Department of Public Health, $1,319,647 Buehring, Gertrude C., School of Public Health, “UC Berkeley - Public Health Lab Directors Training,” State of California Department of Public Health, $1,310,000 Feldman, Daniel E., Helen Wills Neuroscience Institute, “Neural Mechanisms of Tactile Sensation in Rodent Somatosensory Cortex,” National Institute of Neurological Disorders and Stroke, $1,306,493 Cascardi, Anthony J., Data Services, “Bamboo Technology Proposal: Phase 1,” Andrew W. Mellon Foundation, $1,293,000 Firestone, Gary L., Center for Educational Partnerships, “Berkeley Bridges to the Baccalaureate,” National Institute of General Medical Sciences, $1,259,564 Lee, Ronald D., Institute of Business and Economic Research, “Interdisciplinary Training in Demography,” National Institute of Child Health and Human Development, $1,256,331 Breslauer, George W., Physical Sciences Dean, “I3 Berkeley Science Connections Program,” National Science Foundation, $1,248,798 Varaiya, Pravin P., Institute of Transportation Studies, “Tools for Operation Planning (TOPL4): Real Time Operations,” State of California Department of Transportation, $1,248,646 Collins, Kathleen, Molecular and Cell Biology, “Structure and Function of Telomerase,” National Institute of General Medical Sciences, $1,241,635 Eichengreen, Barry J., Economics, “Berkeley Economic History Laboratory,” Institute for New Economic Thinking, $1,239,700 Schaffer, David, Institute for Quantitative Biomedical Research, “Investigation of Promoter Sequence-Function Relationships in a Model Retrovirus,” National Institute of General Medical Sciences, $1,230,540 Burgmann, Roland, Berkeley Seismological Laboratory, “TremorScope: Imaging the Deep Workings of the San Andreas Fault,” Gordon and Betty Moore Foundation, $1,228,785 Gong, Xiaohua, School of Optometry, “Mechanisms of Lens Growth Regulation,” National Eye Institute, $1,228,000 Luo, Kunxin, Molecular and Cell Biology, “Systems Analysis of TGFbeta Signaling and SnoN Function in Liver,” National Institute of Diabetes and Digestive and Kidney Diseases, $1,223,832 Harland, Richard M., Molecular and Cell Biology, “A Genome Assembly for Xenopus Laevis,” National Institute of Child Health and Human Development, $1,222,507 Haiman, Mark, Center for Pure and Applied Mathematics, “EMSW21-RTG: Research Training Group in Interactions of Representation Theory, Geometry and Combinatorics,” National Science Foundation, $1,200,079

Page 19 2011 Annual Report University of California, Berkeley - Research Administration and Compliance Office Largest Awards, Fiscal Year 2011 (continued)

Weir, Margaret M., Institute of Governmental Studies, “Research Network on Building Resilient Regions, Phase III,” John D. and Catherine T. MacArthur Foundation, $1,200,000 Song, Xiaodong Dawn, Engineering Research Support Organization, “Software Protection in Contaminated Environments,” Science Applications International Corporation, $1,200,000 Walker, Gretchen H., Lawrence Hall of Science, “Activating Science Learners in Their Communities: A Pilot Project,” Gordon and Betty Moore Foundation, $1,200,000 Agrawala, Maneesh, Engineering Research Support Organization, “Intel Science and Technology - Visual Computing,” Intel Corporation, $1,200,000 Keasling, Jay, Institute for Quantitative Biomedical Research, “Engineering E. Coli as an Electrofuels Chassis for Isooctane Production,” Ginkgo BioWorks, $1,200,000 Rio, Donald C., Molecular and Cell Biology, “Methods for Purification of Individual Nuclear Pre-Messenger RNA-Protein Complexes,” National Institute of General Medical Sciences, $1,195,927 Bishop, James K., Earth and Planetary Science, “Autonomous Particulate Inorganic Carbon Sensor and Carbon Explorer Deployment,” National Science Foundation, $1,165,324 Sadoulet, Bernard, Physics, “SuperCDMS Operation at Soudan,” National Science Foundation, $1,154,213 Fisher, George H., Space Sciences Laboratory, “The Connections between the Solar Interior and the Solar Atmosphere,” National Aeronautics and Space Administration, $1,150,500 Wu, Ming, Engineering Research Support Organization, “MEMS SWEEPER with High Contrast Grating Mirrors,” Defense Advanced Research Projects Agency, $1,142,789 Banks, Martin S., School of Optometry, “Blur, Accommodation, and Vision,” National Eye Institute, $1,125,785 Patterson, David A., Engineering Research Support Organization, “Universal Parallel Computing Research Center,” UC Discovery Grant, $1,125,000 Madanat, Samer M., Institute of Transportation Studies, “Hybrid Data Traffic Collection Roadmap: Pilot Procurement of Third Party Traffic Data (Task Order 1) ,” State of California Department of Transportation, $1,101,276 Werthimer, Dan, Space Sciences Laboratory, “Advanced Multibeam Spectrometer for the GBT,” National Science Foundation, $1,100,000 Gilbert, Neil, Center for Child and Youth Policy, “National Resource Center for Programs Serving Abandoned Infants, Infants at Rick of Abandonment and Infants at Risk of Maltreatment and Their Families,” Administration for Children and Families, $1,099,997 Bilder, David, Molecular and Cell Biology, “Mechanisms of Drosophila Tumor Suppression,” National Institute of General Medical Sciences, $1,094,761 Robey, Ellen A., Molecular and Cell Biology, “Human Immune System Mouse Models as Preclinical Platforms for Stem Cells Derived Grafts,” California Institute for Regenerative Medicine, $1,079,393 Fernandez-Pello, A. Carlos, Graduate Division, “Jacob K. Javits Fellowship,” Department of Education, $1,050,120 Battles, John J., Center for Forestry, “SNAMP - 1. Public Participation Facilitation and Research,” USDA Forest Service, $1,041,000 Cuff, Kevin E., Lawrence Hall of Science, “Clean Energy Literacy and Leadership,” National Science Foundation, $1,040,661 Ray, Raka, Center for South Asian Studies, “National Resource Center and Foreign Language and Area Studies Fellowship - Center for South Asia Studies,” Department of Education, $1,036,764 Klein, Stanley A., Optometry, “Processes and Mechanisms of Perceptual Learning in Normal and Compromised Vision,” National Eye Institute, $1,024,613 Totino, Joanna, Lawrence Hall of Science, “Collaborative Approach to Learning: Bridging Language and Science Teaching (CAL:BLAST) ,” State of California Department of Education, $1,011,017 Baldocchi, Dennis, Natural Resources Dean, “Using Regional Cluster of AmeriFlux Sites in Central California to Advance Our Knowledge on Decadal-Scale Ecosystem-Atmosphere Carbon Dioxide Exchange,” Department of Energy, $1,002,405 Schlissel, Mark, Biological Sciences Dean, “UC Berkeley Amgen Scholars Program,” Amgen Foundation, $1,000,000

2011 Annual Report Page 20 University of California, Berkeley - Research Administration and Compliance Office Honors to Individual Faculty, Fiscal Year 2011

American Academy of Arts and Sciences The John D. and Catherine T. Macarthur Foundation Claude Fischer, Sociology Macarthur Fellows Martin Head-Gordon, Chemistry Emmanuel Saez, Economics Michael Jordan, Electrical Engineering and Computer Dawn Song, Electrical Engineering and Computer Sciences Sciences and Statistics National Academy of Sciences American Association for the Advancement of Science James Demmel, Mathematics and Electrical Engineering and Benito de Lumen, Nutritional Science and Toxicology Computer Sciences Eugene Wong, Electrical Engineering and Computer Michael Hanemann, Agricultural and Resource Economics Sciences Athanasios Theologis, Plant and Microbial Biology Patricia Claire Zambryski, Plant and Microbial Biology National Academy of Education American Philosophical Society Mark Wilson, Education Svetlana Leontief Alpers, History of Art Paula Fass, History National Academy of Engineering Graham Fleming, Chemistry Armen Der Kiureghian, Civil and Environmental Engineering Jitendra Malik, Electrical Engineering and Computer Sciences BBVA Foundation Frontiers of Knowledge Award in Basic and Statistics Sciences Ramamoorthy Ramesh, Materials Science and Engineering Gabor Somorjai, Chemistry and Physics

Benjamin Franklin Medal in Earth and Environmental David and Lucile Packard Foundation Fellowship in Science Science and Engineering Jillian Banfield, Earth and Planetary Science and Feng Wang, Physics Environmental Science, Policy, and Management Pew Scholars in the Biomedical Sciences Einstein Medal, Albert Einstein Society Craig Miller, Molecular and Cell Biology Saul Perlmutter, Physics Presidential Early Career Award for Scientists and Global Energy International Prize Engineers (PECASE) Arthur Rosenfeld, Physics (shared with Philip Rutberg, Alexandre Bayen, Electrical Engineering and Computer Institute for Electrophysics and Electric Power, St. Sciences and Civil and Environmental Engineering Petersburg) Alfred P. Sloan Foundation Research Fellows Gruber Cosmology Prize Pieter Abbeel, Electrical Engineering and Computer Sciences Marc Davis, Astronomy and Physics (shared with George Per-Olof Persson, Mathematics Efstathiou, Kavli Institute for Cosmology in Cambridge; David Savage, Molecular and Cell Biology Carlos Frenk, Institute for Computational Cosmology Koushik Sen, Electrical Engineering and Computer Sciences at Durham University; and Simon White, Max Planck Institute for Astrophysics)

John Simon Guggenheim Memorial Foundation Fellow Martin White, Physics and Astronomy

Institute of Medicine Jennifer Doudna, Molecular and Cell Biology

L’Oréal-UNESCO “For Women in Science” Award Jillian Banfield, Earth and Planetary Science and Environmental Science, Policy, and Management

Page 21 2011 Annual Report