University of California Berkeley Research Administration and Compliance

Sponsored Projects Office Annual Report Fiscal Year 2008 The University of California, Berkeley

Chancellor Robert J. Birgeneau

Executive Vice Chancellor and Provost George W. Breslauer

Vice Chancellor for Research Beth Burnside

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: Marcia Smith

Annual Report, Fiscal Year 2008 Table of Contents

Research Administration and Compliance Overview 5 Research Proposals and Awards, Fiscal Year 2008 Funding Overview 6 Funding by Campus Control Unit 7 Research Grants and Contracts, Fiscal Year 2008 Overview - All Sponsors 8 Federal Agencies 10 Nonfederal Agencies 12 Funding by Sponsor - Five-Year Summary 13 Campus Control Units - Five-Year Funding Summary 14 Largest Awards, Fiscal Year 2008 16 Honors to Individual Faculty, Fiscal Year 2008 17

Page 2008 Annual Report Wheeler Hall and the Campanile, viewed from Barrows Hall, University of California, Berkeley Photograph by Steve McConnell / University of California, Berkeley University of California, Berkeley - Research Administration and Compliance Office Research Administration and Compliance Overview

The University of California, Berkeley is one of the world’s leading universities in research, teaching, and public service, with an enrollment of 24,636 undergraduates and 10,317 graduate students in Fall 2007. The campus employed 2,135 faculty in 2008 in more than 130 academic departments and interdepartmen- tal groups, and more than 65 interdisciplinary research units contribute to this dynamic and vital research and teaching environment. The Research Administration and Compliance Office (RAC), lead by Assistant Vice Chancellor Marcia Smith, 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, and grants and contracts administration. RAC is under the purview of the Office of the Vice Chan- cellor 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 ap- plication 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. Coeus was licensed from the Massachusetts Institute of Technology in 1997 and adapted for use at Berkeley in July of 1998. 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 of the ACUC (OACUC) provides the administrative infrastructure required to support the Committee’s work to review, approve, and administer those activities. 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 de- signed 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 authori- ties, 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 dis- closures 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 2008 Annual Report University of California, Berkeley - Research Administration and Compliance Office Research Proposals and Awards, Fiscal Year 2008 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 2008, from July 1, 2007 through June 30, 2008. In fiscal year 2008, the Berkeley campus received more than $956 million in contract and grant awards, an increase of almost ninety-two percent from the prior year funding of $504 million. The major factor contributing to the increase was a 10-year, $350 million award from BP to establish the Energy Biosci- ences Institute, a joint effort led by Vice Chancellor Burnside at UC Berkeley and Director Steven Chu at the Lawrence Berkeley National Laboratory. Excluding the $350 million BP award, the campus received $606.6 million in fiscal year 2008, an increase of 20 percent from the previous year.

The campus submitted 3,038 proposals requesting $1.62 billion, with the number of submissions up three Number of Proposals Submitted Compared with Awards Received, percent from the prior fiscal year. FY 1999 - 2008

3,500 Number of Proposals Submitted Compared with Awards Received, FY 1999 - 2008 3,000 3,500

2,500 3,000

2,000 2,500

1,500 2,000

1,000 1,500

500 1,000

0 500 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 Proposals 2,521 2,336 2,319 2,299 2,491 2,672 2,921 2,920 2,991 3,038 0 Awards 1,3301999 1,464 2000 1,460 2001 1,459 2002 1,383 2003 1,420 2004 1,507 2005 1,533 2006 1,577 2007 1,507 2008 Proposals 2,521 2,336 2,319 2,299 2,491 2,672 2,921 2,920 2,991 3,038 Awards 1,330 1,464 1,460 1,459 1,383 1,420 1,507 1,533 1,577 1,507

Funding Dollars Requested Compared with Funding Received, FY 1999 - 2008 (dollars in millions)

$2,000 Funding Dollars Requested Compared with Funding Received, FY 1999 - 2008 (dollars in millions)

$2,000

$1,500

$1,000

$500

$- 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 Requested $1,171.5 $1,135.8 $1,027.9 $1,703.0 $1,593.7 $1,414.1 $1,539.2 $1,271.0 $1,916.2 $1,619.2 $- Received $432.31999 $430.9 2000 $426.2 2001 $442.7 2002 $459.4 2003 $584.8 2004 $491.2 2005 $469.2 2006 $504.2 2007 $956.6 2008 Requested $1,171.5 $1,135.8 $1,027.9 $1,703.0 $1,593.7 $1,414.1 $1,539.2 $1,271.0 $1,916.2 $1,619.2 2008 Annual Report Page Received $432.3 $430.9 $426.2 $442.7 $459.4 $584.8 $491.2 $469.2 $504.2 $956.6 University of California, Berkeley - Research Administration and Compliance Office Research Proposals and Awards, Fiscal Year 2008 Campus Control Units

The following statistics reflect funding activity for campus control units in fiscal year 2008. Departments re- porting to the Executive Vice Chancellor and Provost (EVCP) include the Colleges of Chemistry, Engineer- ing, 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 Transporta- tion 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 1999 - 2008 Number of Proposals Submitted by Control Unit, FY 1999 - 2008 4,000

3,5004,000

3,0003,500

2,5003,000

2,0002,500

1,5002,000

1,0001,500

5001,000

5000 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 0 EVCP 9141999 825 2000 830 2001 902 2002 946 2003 958 2004 1,313 2005 1,415 2006 1,543 2007 1,584 2008 ResearchEVCP 1,005914 1,011 825 999 830 936 902 1,035 946 1,173 958 1,004 1,313 852 1,415 828 1,543 795 1,584 L&SResearch 5811,005 482 1,011 473 999 448 936 481 1,035 509 1,173 576 1,004 630 852 603 828 622 795 OthersL&S 21581 18 482 17 473 13 448 29 481 32 509 28 576 23 630 17 603 37 622 TotalOthers 2,52121 2,336 18 2,319 17 2,299 13 2,491 29 2,672 32 2,921 28 2,920 23 2,991 17 3,038 37 Total 2,521 2,336 2,319 2,299 2,491 2,672 2,921 2,920 2,991 3,038

Ten Year Funding Dollar Summary by Control Unit, Ten YearFY Funding1999 - 2008 Dollar (dollars Summary in millions) by Control Unit, $1,000 FY 1999 - 2008 (dollars in millions) $1,000

$750

$500

$250

$0 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 $0 EVCP $183.61999 $167.8 2000 $152.1 2001 $186.7 2002 $197.7 2003 $237.0 2004 $217.7 2005 $237.8 2006 $294.1 2007 $325.3 2008 L&SEVCP $96.4$183.6 $82.2 $167.8 $78.8 $152.1 $65.6 $186.7 $80.9 $197.7 $68.2 $237.0 $98.6 $217.7 $58.3 $237.8 $66.7 $294.1 $103.8 $325.3 ResearchL&S $142.8$96.4 $175.6 $82.2 $193.4 $78.8 $186.0 $65.6 $175.0 $80.9 $270.9 $68.2 $171.8 $98.6 $170.2 $58.3 $135.5 $66.7 $511.7 $103.8 OthersResearch $9.4$142.8 $5.3 $175.6 $1.9 $193.4 $4.3 $186.0 $5.8 $175.0 $8.6 $270.9 $3.1 $171.8 $3.7 $170.2 $7.9 $135.5 $15.8 $511.7 TotalOthers $432.3$9.4 $430.9 $5.3 $426.2 $1.9 $442.7 $4.3 $459.4 $5.8 $584.8 $8.6 $491.2 $3.1 $469.0 $3.7 $504.2 $7.9 $956.6 $15.8 Total $432.3 $430.9 $426.2 $442.7 $459.4 $584.8 $491.2 $469.0 $504.2 $956.6

Page 2008 Annual Report University of California, Berkeley - Research Administration and Compliance Office Research Contracts and Grants by Funding Source Overview - All Sponsors

For the first time, federal funding was not the largest share of the campus’ research portfolio. The Energy Biosciences Institute award from BP made industry the largest share (40 percent) of the total funding at $384.5 million, followed by federal funding with $322.6 million representing 34 percent of the $956.6 million total.

Of the nonfederal funding, $122 million came from non-profit sources. Of that, $48.3 million was provided by other universities, a 57 percent increase from the prior year and an indication of an increase in multi- disciplinary collaborative research; $78.5 million came from State of California sources; $37.1 million came from the UC system ($25.4Number million of Proposals from other Submitted UC campuses by Sponsor and $11.7Category, million FY 1999 from - 2008 system-wide funding programs); the remaining $12.8 million was from foreign and other US governmental sources. 3,500 Number of Proposals Submitted by Sponsor Category, FY 1999 - 2008 3,000

3,5002,500

3,0002,000

2,5001,500

2,0001,000

1,500500

1,0000 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 Federal500 1,230 1,014 1,001 1,089 1,228 1,371 1,358 1,286 1,256 1,232 Nonfederal 1,291 1,322 1,318 1,210 1,263 1,301 1,563 1,634 1,735 1,806 0 Total 19992,521 2000 2,336 2001 2,319 2002 2,299 2003 2,491 2004 2,672 2005 2,921 2006 2,920 2007 2,991 2008 3,038 Federal 1,230 1,014 1,001 1,089 1,228 1,371 1,358 1,286 1,256 1,232 Nonfederal 1,291 1,322 1,318 1,210 1,263 1,301 1,563 1,634 1,735 1,806 Total 2,521 2,336 2,319 2,299 2,491 2,672 2,921 2,920 2,991 3,038

Funding Dollars Requested by Sponsor Category, FY 1999 - 2008 (dollars in millions) $2,500 Funding Dollars Requested by Sponsor Category,

$2,000 FY 1999 - 2008 (dollars in millions) $2,500

$1,500 $2,000

$1,000 $1,500

$500 $1,000

$0 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 $500 Federal $855.2 $800.8 $755.6 $1,342.1 $1,206.8 $1,062.4 $1,123.2 $861.9 $1,010.6 $1,065.8 Nonfederal $316.3 $335.0 $272.3 $360.9 $386.9 $351.7 $416.0 $409.1 $905.5 $553.4 $0 Total $1,171.51999 $1,135.8 2000 $1,027.9 2001 $1,703.0 2002 $1,593.7 2003 $1,414.1 2004 $1,539.2 2005 $1,271.0 2006 $1,916.2 2007 $1,619.2 2008 Federal $855.2 $800.8 $755.6 $1,342.1 $1,206.8 $1,062.4 $1,123.2 $861.9 $1,010.6 $1,065.8 Nonfederal $316.3 $335.0 $272.3 $360.9 $386.9 $351.7 $416.0 $409.1 $905.5 $553.4 Total $1,171.5 $1,135.8 $1,027.9 $1,703.0 $1,593.7 $1,414.1 $1,539.2 $1,271.0 $1,916.2 $1,619.2 2008 Annual Report Page University of California, Berkeley - Research Administration and Compliance Office

FiscalFiscal YearYear 20082008 FundingFunding DollarsDollars byby SponsorSponsor CategoryCategory ($956.6 million total) (dollars(dollars inin millions)millions)

UniversityUniversity ofof CaliforniaCalifornia ForeignForeign andand OtherOther (4%),(4%), $37.1$37.1 GovtGovt (1%),(1%), $12.8$12.8 OtherOther UniversitiesUniversities (5%),(5%), $48.3$48.3

NotNot forfor ProfitProfit (8%),(8%), $73.5$73.5

IndustryIndustry (40%),(40%), $384.5$384.5 StateState ofof CaliforniaCalifornia (8%),(8%), $78.5$78.5

FederalFederal (34%),(34%), $322.6$322.6

TenTen YearYear FundingFunding DollarDollar SummarySummary byby SponsorSponsor Category,Category, FYFY 19991999 -- 20082008 (dollars(dollars inin millions)millions)

ForeignForeign andand OtherOther GovtGovt University of California University of California (1%),(1%), $53.2$53.2 (4%), $196.1 OtherOther UniversitiesUniversities (4%), $196.1 (5%),(5%), $255.5$255.5

IndustryIndustry (11%),(11%), $549.9$549.9

Not for Profit (11%), Not for Profit (11%), FederalFederal (57%),(57%), $552.5 $552.5 $2,970.0$2,970.0

StateState ofof CaliforniaCalifornia (12%),(12%), $621.0$621.0

Page 2008 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 $322.6 million in FY 2008, a 15 percent increase from last year’s $282.3 million. DHHS provided 35 percent of that, with $113.1 million in funding. NSF followed with Fiscal Year 2008 Funding Dollar Summary by Federal Sponsor $102.3 million. (dollars in millions)

Fiscal Year 2008 Funding Dollar Summary by Federal Sponsor (dollars in millions) DOT (1%), $3.9 DOED (2%) , $7.3

Other (3%), $11.1 DOT (1%), $3.9 DOED (2%) , $7.3 DOE (8%), $24.8 Other (3%), $11.1

DOE (8%), $24.8 DHHS (35%), $113.1 NASA (9%), $29.3

DHHS (35%), $113.1 NASA (9%), $29.3

DOD (10%), $30.9

NSF (32%), $102.3

Ten Year Funding Dollar Summary by Federal Sponsor, FY 1999 - 2008 (dollars in millions)

DOT (1%), $33.4 Ten Year Funding Dollar Summary by Federal Sponsor, FY 1999 - 2008 DOED (4%), $112.8 (dollars in millions) Other (4%), $128.2 DOT (1%), $33.4 DOED (4%), $112.8 DOE (6%), $183.4 Other (4%), $128.2

DHHS (36%), $1,079.0 DOD (9%), $275.8 DOE (6%), $183.4

DHHS (36%), $1,079.0 DOD (9%), $275.8

NASA (11%), $329.3

NSF (28%), $828.1

2008 Annual Report Page 10

NSF (28%), $828.1 University of California, Berkeley - Research Administration and Compliance Office

Ten-Year Funding Dollar Summary for Top 5 Federal Sponsors, FY 1999 - 2008 (dollars in millions)

$140

$120

$100

$80

$60

$40

$20

$0 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 DHHS $129.5 $103.5 $90.9 $88.1 $99.5 $113.4 $131.4 $108.7 $101.1 $113.1 NSF $65.2 $63.8 $66.4 $77.4 $104.8 $102.9 $78.8 $76.6 $90.0 $102.3 DOD $25.1 $39.8 $48.3 $36.7 $18.8 $16.6 $18.8 $18.8 $21.9 $30.9 NASA $32.2 $14.9 $9.5 $39.5 $30.3 $115.0 $18.6 $23.9 $16.1 $29.3 DOE $13.5 $14.3 $13.6 $16.2 $14.6 $24.7 $22.8 $20.6 $18.4 $24.8

Page 11 2008 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 $634.4 million in FY 2008, up 286 percent from the $221.7 million in received in FY 2007.Fiscal Year 2008 Funding Dollar Summary by Nonfederal Sponsor (dollars in millions)

University of Foreign and Other Govt (2%), $12.8 FiscalCalifornia Year 2008 (6%), Funding $37.1 Dollar Summary by Nonfederal Sponsor (dollars in millions) Other Universities (8%), $47.5 University of Foreign and Other California (6%), $37.1 Govt (2%), $12.8

Other Universities Not for Profit (12%),(8%), $47.5 $73.5

Not for Profit (12%), $73.5 Industry (60%), $384.5 State of California (13%), $78.5 Industry (60%), $384.5 State of California (13%), $78.5

Ten Year Funding Dollar Summary by Nonfederal Sponsor, FY 1999 - 2008 (dollars in millions)

Foreign and Other Govt Ten Year Funding Dollar Summary(2%), $53.2 by Nonfederal Sponsor, FY 1999 - 2008 (dollars in millions) University of California (9%), $196.1 Foreign and Other Govt (2%), $53.2 State of California (28%), $621.0 OtherUniversity Universities of California (11%), (9%),$254.7 $196.1 State of California (28%), $621.0 Other Universities (11%), $254.7

Industry (25%), $549.9

Not for Profit (25%), Industry (25%), $549.9 $552.5

Not for Profit (25%), $552.5

2008 Annual Report Page 12 University of California, Berkeley - Research Administration and Compliance Office Funding by Sponsor - Five-Year Funding Summary

FY 2004 FY 2005 FY 2006 FY 2007 FY 2008 Federal Agriculture $6,399,110 $3,899,912 $7,884,103 $3,754,302 $3,781,047 Commerce 937,578 220,944 1,152,614 80,981 809,992 Defense 16,603,095 18,775,598 18,777,144 21,913,073 30,922,189 Education 22,434,196 3,794,473 14,105,286 22,902,566 7,312,265 Energy 7,221,650 13,035,140 9,111,091 9,065,929 4,197,711 Environmental Protection Agency 1,224,969 4,500,774 1,376,444 76,998 1,003,414 Health and Human Services 113,379,976 131,436,000 108,658,599 101,050,776 113,056,292 Interior 4,054,251 1,802,107 1,497,644 1,345,170 1,627,843 National Aeronautics and Space Administration 114,956,548 18,611,412 23,919,907 16,076,459 29,278,087 National Endowments for the Arts and Humanities, Institute of Museum and Library Services 1,434,833 1,288,782 744,744 2,114,073 1,547,996 National Science Foundation 102,872,226 78,839,417 76,605,884 89,959,672 102,286,247 Other 19,255,960 12,985,685 13,277,127 10,640,470 22,864,898 Transporation 4,026,273 2,706,030 2,839,219 3,329,328 3,865,672 Subtotal 414,800,665 291,896,274 279,949,806 282,309,797 322,553,653

Industry Foreign Industry 2,431,459 11,274,965 4,797,960 10,331,009 352,975,698 U.S. Industry 8,028,867 16,033,954 10,992,097 21,677,263 31,554,819 Subtotal 10,460,326 27,308,919 15,790,057 32,008,272 384,530,517

Nonfederal Governmental Foreign Government Agencies 1,137,508 2,330,092 2,052,874 3,816,745 3,006,848 Local Agencies and Schools 1,535,640 1,327,636 962,771 2,710,522 9,545,104 Other U.S. Government Agencies 356,536 (240,020) 509,138 229,108 240,969 State Agencies 52,198,384 65,230,539 85,838,545 64,394,770 78,505,619 Subtotal 55,228,068 68,648,247 89,363,328 71,151,145 91,298,540

Not for Profit Foreign Organizations 1,145,848 2,735,939 2,831,678 2,935,529 16,858,767 Other U.S. Organizations 32,605,246 20,206,528 6,822,290 22,025,646 15,855,643 U.S. Foundations and Charities 27,722,345 42,008,382 30,476,500 44,261,339 55,906,970 U.S. Institutes of Higher Education 26,939,762 20,119,711 22,220,748 26,368,727 32,405,088 Subtotal 88,413,201 85,070,560 62,351,216 95,591,241 121,026,468

University of California 15,868,661 18,238,381 21,718,490 23,204,061 37,143,980 Subtotal 15,868,661 18,238,381 21,718,490 23,204,061 37,143,980

Total $584,770,921 $491,162,381 $469,172,897 $504,264,516 $956,553,158

Page 13 2008 Annual Report University of California, Berkeley - Research Administration and Compliance Office Campus Control Units - Five-Year Funding Summary

Control Unit Division FY 2004 FY 2005 FY 2006 FY 2007 FY 2008 Executive Vice Chancellor and Provost (EVCP) BAM/PFA $2,826,036 $897,906 $867,613 $619,337 $797,501 Cal Performances/SMA 1,128,250 1,686,460 714,057 288,500 1,324,500 College of Natural Resources 36,949,533 35,992,371 27,080,059 30,820,872 31,063,361 College of Chemistry 29,420,456 39,526,574 23,357,555 28,834,580 26,611,323 College of Engineering 101,141,439 67,866,304 66,665,660 78,580,684 121,220,404 College of Environmental Design 30,000 1,274,965 4,207,500 4,800,551 139,511 Division of Undergraduate Education 1,769,060 367,028 2,264,364 1,794,528 2,617,393 Executive Vice Chancellor and Provost 592,500 852,858 125,000 514,000 Goldman School of Public Policy 1,029,483 816,896 4,224,201 447,471 1,367,291 Graduate Division 17,098,675 10,691,459 16,903,670 16,329,324 17,136,203 Graduate School of Education 20,523,475 7,585,403 14,942,791 6,302,592 7,019,514 Haas School of Business 120,000 470,937 74,700 24,000 International and Area Studies 13,361,952 6,252,487 1,846,387 18,221,153 3,929,824 School of Information 2,271,346 685,640 425,000 40,000 11,700 School of Journalism 920,595 475,624 5,213,994 568,602 3,503,364 School of Law 56,000 672,000 802,500 1,855,000 3,912,692 School of Optometry 6,005,245 5,749,646 8,586,191 5,608,357 10,090,828 School of Public Health 37,397,804 44,049,157 43,317,791 56,210,830 40,064,685 School of Social Welfare 22,313,690 25,922,971 34,996,787 34,948,119 36,978,642 The Library 2,090,882 2,181,004 1,952,362 2,088,861 1,871,780 Vice Provost Academic Affairs and Faculty Welfare 6,541,589 6,060,300 5,655,544 12,475,917 15,448,639 Vice Provost Academic Planning and Facilities 100,000 342,542 1,650,000 1,112,827 35,440 Subtotal 303,688,010 260,420,532 265,873,726 302,462,105 325,168,595

College of Letters and Science (L&S) College of Letters and Science 1,668,000 1,000,000 Division of Arts and Humanities 875,323 923,743 883,044 3,134,281 983,113 Division of Physical Sciences 14,437,482 18,026,352 20,275,756 20,948,673 50,929,750 Division of Social Sciences 4,978,559 7,124,915 1,844,296 3,048,022 3,241,700 Biological Sciences 47,857,384 70,771,144 34,068,825 39,606,540 42,033,924 Undergraduate Division 72,538 54,112 178,079 2,051,347 Subtotal 68,221,286 98,568,266 57,250,000 67,737,516 99,239,834

2008 Annual Report Page 14 University of California, Berkeley - Research Administration and Compliance Office

Control Unit Division FY 2004 FY 2005 FY 2006 FY 2007 FY 2008 Vice Chancellor - Administration Associate VC - Business and Administrative Services 10,000 113,000 47,750 Associate VC - Health and Human Services 42,700 159,875 278,651 287,043 Intercollegiate Athletics Division 37,500 595,000 Public Safety 99,487 Subtotal 90,200 867,875 326,401 287,043 99,487

Vice Chancellor - Research VC Administrative Units 2,084,720 Other Research Units 20,433,546 31,927,812 35,998,482 38,086,036 59,370,220 VC Research 2,447,970 5,512,500 Museums and Field Stations 6,006,232 6,131,580 5,459,995 4,407,351 1,595,179 Vice Chancellor for Research ORUs 172,996,471 85,726,188 93,009,356 80,415,176 447,825,735 Subtotal 199,436,249 123,785,580 136,915,803 122,908,563 516,388,354

Vice Chancellor - Student Affairs Admissions and Enrollment 1,530,726 1,225,338 694,166 1,977,415 3,080,573 Residential and Student Services Programs 30,000 Vice Chancellor - Student Affairs Division 11,040,252 5,995,735 8,112,801 8,861,874 11,068,323 Subtotal 12,570,978 7,221,073 8,806,967 10,869,289 14,148,896

Vice Chancellor for Equity and Inclusion Office of Equity and Inclusion 800,000 Subtotal 800,000

Other Capital Projects 287,055 Information Services & Technology 764,198 12,000 707,992 764,198 299,055 707,992

Total $584,770,921 $491,162,381 $469,172,897 $504,264,516 $956,553,158

Page 15 2008 Annual Report University of California, Berkeley - Research Administration and Compliance Office Largest Awards, Fiscal Year 2008

Mary Beth Burnside, Vice Chancellor for Research, “Energy Biosciences Institute,” BP, $350,000,000 Lorraine T. Midanik, School of Social Welfare, “Title IV-E Social Work Training Program,” California Department of Social Services, $27,611,522 Robert Tjian, Stem Cell Center, “UC Berkeley CIRM Center of Excellence,” California Institute for Regenerative Medicine, $20,183,500 Kevin Lesko, Physics, “Deep Underground Science and Engineering Laboratory (DUSEL) Site Selection and Technical Design Development,” National Science Foundation, $15,000,000 Kathleen Collins, Molecular and Cell Biology, “The Molecular Basis of Cell Function,” National Institute of General Medical Sciences, $8,814,601 Paulo J. Monteiro, College of Engineering, “Green Concrete and Sustainable Construction: A Multi-Scale Approach,” King Abdullah University of Science and Technology, $8,086,504 Mark D’Esposito, Helen Wills Neuroscience Institute, “Frontal Cortex and Executive Function,” National Institute of Neurological Disorders and Stroke, $6,656,180 Adrian Lee, Physics, “POLARBEAR: Ultra-High Energy Physics with Measurements of Cosmic Microwave Background Polarization,” National Science Foundation, $6,232,850 David A. Patterson, College of Engineering, “Parallel Laboratory,” Microsoft Corporation, $6,000,000 James Midgley, School of Social Welfare, “Mental Health Educational Stipend Program - Los Angeles County,” Los Angeles County, $5,818,340 Neil Davies, Vice Chancellor for Research, “Moorea Biocode Project,” Gordon and Betty Moore Foundation, $5,211,000 Stephen Morris Rappaport, School of Public Health, “Biological Response Indicators of Environmental Stress Centers,” National Institute of Environmental Health Sciences, $4,795,761 Kameshwar Poolla, College of Engineering, “IMPACT: Integrated Modeling, Process, and Computation for Technology,” UC Discovery Grant, $4,771,928 Randy W. Schekman, Molecular and Cell Biology, “Cellular and Whole Animal Imaging in Support of the Health Sciences Initiative,” Gordon and Betty Moore Foundation, $4,561,000 Leo Blitz, Radio Astronomy Laboratory, “Allen Telescope Array,” The Paul G. Allen Family Foundation, $4,000,000 Lisa F. Barcellos, School of Public Health, “The Identification of Risk Factors for the Complex MS Phenotype,” National Institute of Allergy and Infectious Diseases, $3,708,301 Arthur L. Reingold, School of Public Health, “UCB/UCSF AIDS International Training and Research Program (AITRP),” Fogarty International Center, $3,696,632 John R. Balmes, School of Public Health, “Occupational Safety and Health Education and Research Centers,” Centers for Disease Control and Prevention, $3,450,200 Albert P. Pisano, College of Engineering, “King Abdullah University of Science and Technology Academic Excellence Alliance,” King Abdullah University of Science and Technology, $3,368,000 Tai Phan, Space Sciences Laboratory, “Coupled Observational-Theoretical Investigations of Magnetic Reconnection in Support of the MMS Mission Design, Operation, and Data Analysis,” National Aeronautics and Space Administration, $3,325,000 Kam-Biu Luk, Physics, “Purchase of Photomultiplier Tubes and a High Voltage Power Supply System for the Daya Bay Project,” Lawrence Berkeley National Laboratory, $3,285,074 Chenming Hu, College of Engineering, “Scalable Steep-Subthreshold-Slope Transistor Technology,” Space and Naval Warfare Systems Command, $3,275,000

2008 Annual Report Page 16 University of California, Berkeley - Research Administration and Compliance Office Honors to Individual Faculty, Fiscal Year 2008

Mellon Foundation Distinguished Achievement Award Thomas Laqueur, History

Shaw Prize in Astronomy Reinhard Genzel, Physics

Gruber Cosmology Prize Saul Perlmutter, Physics (shared with Brian Schmidt, Australian National University)

Kyoto Prize Richard Karp, Electrical Engineering and Computer Sciences

Wolf Prize in Chemistry Gabor Somorjai, Chemistry

National Institutes of Health New Innovator Award Michael Rape, Molecular and Cell Biology

National Book Award (in Poetry) Robert Hass, English

Pulitzer Prize (for Poetry) Robert Hass, English

National Academy of Sciences Michael Botchan, Molecular and Cell Biology Jasper Rine, Molecular and Cell Biology George Smoot, Physics

National Academy of Engineering Enrique Iglesia, Chemical Engineering Robert Sawyer, Mechanical Engineering James Sethian, Mathematics

American Academy of Arts and Sciences Ruzena Bajcsy, Electrical Engineering and Computer Sciences John Kuriyan, Molecular and Cell Biology and Chemistry James Powell, Economics Jasper Rine, Molecular and Cell Biology Yuri Slezkine, History

American Philosophical Society Francesca Rochberg, Near Eastern Studies Randy Schekman, Molecular and Cell Biology

The John D. and Catherine T. Macarthur Foundation Macarthur Fellow Claire Kremen, Environmental Science, Policy, and Management

David and Lucile Packard Foundation Fellowship in Science and Engineering Arash Komeili, Plant and Microbial Biology

Page 17 2008 Annual Report University of California, Berkeley - Research Administration and Compliance Office

Alfred P. Sloan Foundation Research Fellows Maneesh Agrawala, Electrical Engineering and Computer Sciences Diana Bautista, Molecular and Cell Biology Raj Chetty, Economics Stefano DellaVigna, Economics Noureddine El Karoui, Statistics Sanjit Seshia, Electrical Engineering and Computer Sciences Yun Song, Electrical Engineering and Computer Sciences Feng Wang, Physics

John Simon Guggenheim Memorial Foundation Fellows Margaret Lavinia Anderson, History Stanley Brandes, Anthropology Giovanni Ferrari, Classics Paolo Mancosu, Philosophy Arthur Shimamura, Psychology Kaja Silverman, Rhetoric and Film

American Association for the Advancement of Science Robert Fischer, Plant and Microbial Biology Stephen Hinshaw, Psychology Nicholas Jewell, Biostatistics and Statistics Judith Klinman, Chemistry Mimi Koehl, Integrative Biology Richard Norgaard, Energy and Resources Group and Agriculture and Resource Economics Kevin Padian, Integrative Biology David Patterson, Electrical Engineering and Computer Sciences Thomas Powell, Integrative Biology Randy Schekman, Molecular and Cell Biology

Howard Huges Medical Institute Investigators Christopher Chang, Chemistry Yang Dan, Molecular and Cell Biology Abby Dernburg, Molecular and Cell Biology Michael Eisen, Molecular and Cell Biology

2008 Annual Report Page 18