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 © 2008 The Regents of the University of California University of California, Berkeley - Research Administration and Compliance Office 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 compli- ance 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 propos- als 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 $1,500 $1,000 $1,000 $500 $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