Office of the Vice Provost for Research and Graduate Education Re p o r t

Transcription

1 Office of the Vice Provost for Research and Graduate Education 2007 Re p o r t of Sponsored Project Activity

2 Table of Contents Introduction...iii Executive Summary...iv Proposals...1 Proposals by Sponsor Type...2 Chart A-1. Number of Submitted Proposals by Sponsor Type FY Chart A-2. Requested Amounts for Submitted Proposals by Sponsor Type FY Table A-1. Submitted Proposals by Sponsor Type FY Proposals by Type...3 Table A-2. Submitted Proposals by Type FY Proposals by Unit...3 Chart A-3. Requested Amounts for Submitted Proposals by School FY Table A-3. Submitted Proposals by School & Department FY Proposals by Principal Investigator (PI)...6 Table A-4. Number of Proposals Submitted by Principal Investigator (PI) FY Table A-5. Principal Investigators Submitting 4 or More Proposals FY Awards...10 Awards by Sponsor Type...11 Chart B-1. Number of Awards by Sponsor Type FY Chart B-2. Awarded Funds by Sponsor Type FY Chart B-3. Number of Federal Awards by Agency FY Chart B-4. Federal Awards by Agency FY Table B-1. Awards by Sponsor Type FY Five-Year Historical Comparison of Awards...17 Chart B-5. Federal and Non-Federal Awards FY2003-FY Table B-2. Federal and Non-Federal Awards FY2003-FY Chart B-6. Federal Awards by Agency FY2003-FY Table B-3. Federal Awards by Agency FY2003-FY Chart B-7. Non-Federal Awards by Sponsor Type FY2003-FY Table B-4. Non-Federal Awards by Sponsor Type FY2003-FY Chart B-8. NIH Awards by Institution and Year Chart B-9. NIH Awards by Institution, Number and Size i

3 University of Connecticut Office of the Vice Provost for Research and Graduate Education Report of Sponsored Activity, Fiscal Year 2007 This report has been prepared by the Vice Provost for Research and Graduate Education (Storrs) and the Office of Sponsored Programs (OSP Storrs) to assist the University community in assessing the results of all sponsored activities. The major source of external support continues to be the federal government. In addition, the State of Connecticut and its subdivisions in particular, as well as corporations, non-profit entities, private foundations, and other colleges and universities are significant sponsors. Sponsored activities can be for research and non-research endeavors. Examples of non-research endeavors include training and public service. The bulk of sponsored activities are dedicated to research endeavors. In the pages that follow, we report the three measures commonly used by universities to assess research efforts, in addition to F & A recovery tables: 1) Proposal submissions in a given fiscal year to all outside sponsors, 2) Awards received in a given fiscal year from all outside sponsors, 3) Expenditures for both direct and indirect costs made during a given fiscal year on all sponsored projects. An analysis of new proposal submissions and of the sponsoring agencies to which proposals are submitted can indicate the research propensity and interests of the Faculty and the priorities of the sponsors solicited. These data can also help calibrate the effort expended in various units to secure external support. The remaining data all relate to dollars allocated ( awards ) or spent ( expenditures ). The award establishes a budget and gives the researcher authority to spend money in support of their research. If the grant is very large, awards in a given year could appear larger than usual. Some awards come as a lump sum in one year. Funds for a multi-year grant are usually made available over multiple years. In these cases, a new award is counted as each new budget period begins. For example, a three year grant for $75,000 may be awarded in three, $25,000 periodic increments. An award of $25,000 would be made in each period of the project. Each project period award made would be counted in the university s fiscal year in which it was made. Expenditures measure the amount that has been spent (and collected via cash management ) on sponsored research efforts. Revenue to the university from sponsored activities cannot be measured until work is performed and expenses are charged against a grant. The sponsoring agency is then billed for both the direct costs of the research and the portion of the indirect costs incurred by the university in its support of research. Award and expenditure data are reported by department and by center. Awards and expenditures by department reports credit the primary investigator s academic department with the award or expenditure. Where the primary investigator does not have an academic department, the award or expenditure is credited to the center. Awards and Expenditures by Center reports credit the department or organizational unit that has fiscal responsibility for the account. The last section tabulates the F & A recovery by College, Department and Center. iii

4 Executive Summary In fiscal year 2007, there were 1397 new proposal submitted with a total requested budget of $425million. The highest number of new proposal was submitted by the College of Liberal Arts and Sciences requesting over $345 million. The second highest number of new proposals was submitted ty the School of Engineering (at about $109 million). The total awards to Storrs+ (all campuses except the UCHC) totaled just over $93million, which is constitutes about a 2% increase over the awards for last year. This total included significantly more awards from the State and a slight reduction in total Federal awards. Expenditures for FY 2007 were about the same as FY The pattern parallels awards in that State support is up, and Federal slightly down. The greater State support is significantly attributable to the support for the stem cell research program, and slight decline in Federal support partly due to substantially reduced support for set asides ( earmarks ) by the Congress. The F&A recovery rate increased by one percent to 25%. iv

5 A collaborative multi-institutional research effort to assess the physiology, distribution, and potential ecosystem impacts of the invasive red alga Grateloupia turuturu in Long Island Sound included monthly samplings at Millstone Point in Waterford, Connecticut. Proposals

6 Proposals by Sponsor Type Chart A-1. Number of Submitted Proposals by Sponsor Type FY2007* (Number of proposals and percent) Corporate 112 proposals / 8% Foundation 92 proposals / 7% Federal 936 proposals / 66% Non-Federal** 461 proposals / 34% Non-Profit 140 proposals / 10% State & Local Government 91 proposals / 7% Universities & Colleges 26 proposals / 2% Chart A-2. Requested Amounts for Submitted Proposals by Sponsor Type FY2007* (Total dollars in millions and percent) Corporate $8.2 / 2% Foundation $11.4 / 3% Federal $385 / 91% Non-Federal** $40 / 9% Non-Profit $9.5 / 2% State & Local Government $10.0 / 2% Universities & Colleges $1.4 / <1% * The numbers and amounts shown in Charts A-1 & A-2 reflect all years requested. ** In the FY2006 Annual Report, the Non-Federal category included proposal figures that pass through other entities to UCONN rather than including the proposals under the Originating Sponsor, as is shown in FY2007. Table A-1. Submitted Proposals by Sponsor Type FY2007 # Proposals Requested Amount (millions) Federal 936 $384.7 Corporate 112 $8.2 Foundation 92 $11.4 Non-Profit 140 $9.5 State & Local Government 91 $10.0 Universities & Colleges 26 $ $425.2 FY2006 Total (1108) ($354.7) 2

7 Proposals by Type Table A-2. Submitted Proposals by Type FY2007 # Proposals Requested Amount (millions) New 1108 $344.6 Preproposal 20 $6.1 Renewal 134 $54.3 Continuation 71 $18.3 Supplement 64 $ $425.2 FY2006 Total (1108) ($354.7) Proposals by Unit Chart A-3. Requested Amounts for Submitted Proposals by School FY2007 (Total dollars in millions and percent) Engineering $109 / 26% Liberal Arts & Sciences $197 / 46% Pharmacy $33 / 8% Agriculture $27 / 6% Education $25 / 6% $33 / 8% Research & Grad Education $9.0 / 2% Social Work $8.6 / 2% Nursing $6.6 / 2% Academic & Service Programs $5.0 / 1% Business $3.8 / 1% Law $0.3 / <1% Fine Arts $0.3 / <1% 3

8 Table A-3. Submitted Proposals by School & Department FY2007 Agricultural Experiment Station Total of Requested Budgets (all years) $49,960 Number of Proposals 1 Number of Individual PI's with Proposals 1 Average Amount Requested per Proposal $49,960 Applied Health Science - Dietetics Program $155, $77,517 Connecticut Small Business Development Center $234, $234,424 Department of Extension $2,995, $80,952 Dept of Agricultural and Resource Economics $1,656, $207,019 Dept of Allied Health Sciences $66, $66,829 Dept of Animal Science $3,239, $134,974 Dept of Natural Resources Management and Engineering $1,855, $71,351 Dept of Nutritional Sciences $6,203, $213,900 Dept of Pathobiology & Veterinary Science $7,281, $520,122 Dept of Plant Science $3,559, $122,743 College of Agriculture & Natural Resources $27,296, $157,783 Asian American Studies Institute $749, $749,621 Center for Integrative Geoscience $236, $118,437 Center for Survey Research and Analysis $1,020, $39,232 College of Liberal Arts and Sciences Office of Dean $11, $11,011 Dept of Anthropology $4,013, $267,591 Dept of Chemistry $20,729, $243,882 Dept of Communication Sciences $2,877, $287,756 Dept of Ecology and Evolutionary Biology $14,975, $332,793 Dept of Economics $859, $57,311 Dept of English $119, $39,800 Dept of Geography $795, $88,405 Dept of History $342, $57,160 Dept of Human Dev/Family Studies $1,944, $216,011 Dept of Linguistics $2,869, $1,434,920 Dept of Marine Sciences $26,685, $375,851 Dept of Mathematics $2,719, $181,306 Dept of Modern and Classical Languages $232, $77,486 Dept of Molecular and Cell Biology $36,917, $519,964 Dept of Physics $7,395, $264,122 Dept of Physiology and Neurobiology $15,704, $654,364 Dept of Political Science $73, $36,500 Dept of Psychology $52,858, $508,254 Dept of Public Policy $1,464, $122,046 Dept of Sociology $1,119, $186,585 Dept of Statistics $461, $76,970 College of Liberal Arts & Sciences $197,178, $345,322 Center on Postsecondary Education and Disability $2,180, $436,119 Dept of Curriculum and Instruction $7,566, $504,407 Dept of Educational Leadership $213, $53,250 Dept of Educational Psychology $11,059, $257,192 Dept of Kinesiology $4,303, $143,456 Dept of Physical Therapy $40, $40,000 Education Dean $154, $77,313 NEAG School of Education $25,517, $255,173 4

9 Table A-3. Submitted Proposals by School & Department FY2007 Total of Requested Budgets (all years) Average Amount Requested Number of Number of Proposals Individual PI's with Proposals per Proposal Connecticut Information Technology Institute $100, $100,000 Dept of Accounting $1,409, $281,842 Dept of Operations and Information Management $2,146, $536,598 Other $173, $173,169 School of Business $3,828, $348,070 Connecticut Global Fuel Cell Center $2,454, $188,781 Connecticut Transportation Institute $726, $145,249 Dept of Chemical, Materials & Biomolecular Engr $23,448, $293,105 Dept of Civil & Environmental Engineering $8,465, $201,551 Dept of Computer Science & Engineering $20,234, $354,990 Dept of Electrical & Computer Engineering $23,710, $289,150 Dept of Mechanical Engineering $28,995, $376,569 School of Engineering Office of Dean $864, $216,135 School of Engineering $ 108,898, $302,497 School of Fine Arts $282, $94,230 School of Law $310, $103,627 School of Nursing $ 6,632, $368,461 Dept of Pharmaceutical Sciences $32,483, $523,933 Dept of Pharmacy Practice $136, $19,461 School of Pharmacy $ 32,620, $472,755 School of Social Work $8,634, $359,789 Avery Point Campus Instruction and Research $1,049, $524,960 Center for Continuing Studies $1,506, $376,575 Division of Student Affairs $253, $84,641 Office of Multicultural and International Affairs $815, $101,928 Provost and Exec VP Academic Affairs $100, $50,000 Stamford Campus Instruction and Research $172, $86,058 Undergraduate Education $936, $104,028 University Libraries $187, $187,785 Academic & Service Programs $5,021, $161,991 Center for Regenerative Biology $558, $186,194 Institute of Materials Science $4,665, $388,825 National Undersea Research Center $2,875, $261,432 Roper Center and Institute for Social Inquiry $558, $558,552 Sea Grant College Program $224, $44,862 Technology Incubation Program $102, $51,250 Vice Provost Research & Grad Education $8,985, $264,282 Grand Total $425,208, $304,372 5

10 Proposals by Principal Investigator (PI) Table A-4. Number of Proposals Submitted by Principal Investigator (PI) FY2007 Proposals Submitted per PI PIs Submitting Proposals Proposals Submitted # University Total

11 Awards CEHDL Connecticut Center for Eliminating Health Disparities among Latinos Connecticut Center for Eliminating Health Disparities among Latinos (CEHDL) high school summer interns practicing the delivery of health and nutrition education through puppetry.

12 Awards by Sponsor Type Chart B-1. Number of Awards by Sponsor Type FY2007* (Number of awards and percent) Corporate 98 awards / 10% Foundation 40 awards / 4% Federal ** 636 awards / 65% Non-Federal 348 awards / 35% Non-Profit 99 awards / 10% State & Local Government 92 awards / 9% Universities & Colleges 19 awards / 2% Chart B-2. Awarded Funds by Sponsor Type FY2007* (Total dollars in millions and percent) Corporate $4.7 / 5% Foundation $1.6 / 2% Federal ** $73 / 78% Non-Federal $20 / 22% Non-Profit $4.2 / 5% State & Local Government $9.1 / 10% Universities & Colleges $0.5 / <1% * Amounts shown include all funds received in Fiscal Year 2007 (July 1, June 30, 2007) for new, renewal, continuation, and supplement awards. Multi-year awards are reported only in the fiscal year during which they are received. ** Federal awards include federal funds that pass through other entities to UCONN. 11

13 Chart B-3. Number of Federal Awards by Agency FY2007 (Number of awards and percent) NIH 104 awards / 16% DOD 66 awards / 10% Other DHHS 21 awards / 4% DHHS 125 awards 20% Other Agencies 60 awards / 9% DOC 29 awards / 5% US ED 26 awards / 4% NSF 129 awards / 20% DOE 25 awards / 4% EPA 16 awards / 3% NASA 12 awards / 2% USDA* 148 awards / 23% Chart B-4. Federal Awards by Agency FY2007 (Total dollars in millions and percent) US ED $7.3 / 10% DOD $4.6 / 6% Other Agencies $3.3 / 5% DOC $2.4 / 3% DOE $1.9 / 3% EPA $1.2 / 2% NASA $1.0 / 1% USDA* $12.7 / 17% Other DHHS $3.0 / 4% DHHS $25 / 34% NSF $13.8 / 19% NIH $21.8 / 30% * USDA awards include formula funds (e.g. Smith-Lever and Hatch Act), which are distributed as individual awards to multiple PIs. 12

14 Five-Year Historical Comparison of Awards Chart B-5. Federal and Non-Federal Awards FY2003-FY Federal Non-Federal (millions) FY2003 FY2004 FY2005 FY2006 FY2007 Table B-2. Federal and Non-Federal Awards FY2003-FY2007 (in millions) FY2003 FY2004 FY2005 FY2006 FY2007 Federal Non-Federal Grand Total $92.1 $91.9 $91.2 $91.7 $

15 Chart B-6. Federal Awards by Agency FY2003-FY FY2003 FY2004 FY2005 FY FY2007 (millions) DHHS NSF USDA US ED DOD Other Agencies DOC DOE EPA NASA Table B-3. Federal Awards by Agency FY2003-FY2007 (in millions) FY2003 FY2004 FY2005 FY2006 FY2007 DHHS (Includes NIH) NSF USDA US ED DOD Other Agencies * DOC DOE EPA NASA Federal Total $75.9 $76.1 $73.7 $75.0 $73.0 * Other Agencies include: Dept of Commerce, Dept of Interior, Dept of Justice, Dept of Labor, Dept of Transportation, Dept of Veteran Affairs, Institute for the Application of Geospatial Technology, Institute of Museum and Library Services, Internal Revenue Service, Library of Congress, National Foundation on Arts & Humanities, Small Business Administration, US Agency for International Development 18

16 Chart B-7. Non-Federal Awards by Sponsor Type FY2003-FY FY2003 FY2004 FY2005 FY FY2007 (millions) State & Local Government Corporate Non-Profit Foundation Universities & Colleges Other Table B-4. Non-Federal Awards by Sponsor Type FY2003-FY2007 (in millions) FY2003 FY2004 FY2005 FY2006 FY2007 State & Local Government Corporate Non-Profit Foundations Universities & Colleges Other * Total Non-Federal $16.3 $15.8 $17.5 $16.8 $20.1 * For FY2007, the sponsors previously listed under "Other" have been allocated to one of the other categories. 19

17 Chart B-8. NIH Awards by Institution and Year A (millions) Univ. of Iowa Univ. of Massachusetts Worcester A Univ. of Connecticut- includes Health Center Rutgers Univ. Univ. of Vermont & St Agric College Univ. of Tennessee- All Campuses Univ. of Missouri-Columbia Colorado State Univ. Univ. of Massachusetts Amherst Iowa State Univ. Univ. of New Hampshire Information taken from National Institutes of Health "Award Data for Individual Organizations" ( Chart B-9. NIH Awards by Institution, Number and Size A $500 $ Number of Awards 20 Number of Awards Univ. of Iowa Univ. of Massachusetts Worcester Univ. of Tennessee- All Campuses Univ. of Connecticut- includes Health Center Rutgers Univ. Univ. of Missouri-Columbia Univ. of Vermont & St Agric College Colorado State Univ. Univ. of Massachusetts Amherst Iowa State Univ. Univ. of New Hampshire A Information taken from National Institutes of Health "Award Data for Individual Organizations" ( $400 $350 $300 $250 $200 $150 $100 $50 $0 Average Award (thousands) Number of Awards Number of Awards Number of Awards Number of Awards Number of Awards Average Amount of Award

18 Awards by Size Chart B-10. Number of Awards by Size FY2007 Federal and Non-Federal Federal Non-Federal <5K 5K-10K 10K-25K 25K-50K 50K-100K 100K-200K 200K-300K 300K-400K 400K-500K 500K-1M >1M Number of Awards Award Size Table B-5. Federal and Non-Federal Awards by Size FY2007 Federal Non-Federal < 5K K - 10K K - 25K K - 50K K - 100K K - 200K K - 300K K - 400K K - 500K K - 1M 20 1 > 1M 4 2 Total Count

19 Table B-6. Number of Federal Awards by Size FY2007 Other Agencies DOC US ED DOE Other DHHS EPA NASA TOTAL USDA NSF NIH DOD < 5K K - 10K K - 25K K - 50K K - 100K K - 200K K - 300K K - 400K K - 500K K -1M > 1M Total Count Table B-7. Number of Non-Federal Awards by Size FY2007 Non-Profit Corporate State & Local Governments Foundation Universities & Colleges TOTAL < 5K K - 10K K - 25K K - 50K K - 100K K - 200K K - 300K K - 400K K - 500K K -1M > 1M Total Count

20 Chart B-11. Number of Federal Awards and Average Size by Agency FY Number of Awards Average Award Quantity of Awards Average Award Amount (thousands) USDA NSF NIH DOD Other Agencies DOC US ED DOE Other DHHS EPA NASA Table B-8. Federal Awards and Average Size by Agency FY2007 # of Awards Total Amount (millions) Average Amount (thousands) USDA NSF NIH DOD Other Agencies DOC US ED DOE Other DHHS EPA NASA Total Federal 636 $73.0 $

21 Chart B-12. Number of Non-Federal Awards and Average Size by Sponsor FY Number of Awards Average Award Number of Awards Average Award Amount (thousands) Non-Profit Corporate State & Local Government Foundation Universities & Colleges - Table B-9. Non-Federal Awards and Average Size by Sponsor FY2007 # of Awards Total Amount (millions) Average Amount (thousands) Non-Profit Organizations Corporate State & Local Government Foundation Universities & Colleges Total Non-Federal 348 $20.1 $

22 Table B-10. Award Amounts by Center * FY FY2007 FY2006 FY2007 Agri Publications Office 1,000 75,612 Agricultural Experiment Station 289, ,142 Applied Health Science - Dietetics Program 232,648 Connecticut Small Business Development Center 234,424 Department of Extension 3,637,730 3,599,677 Dept of Agricultural and Resource Economics 1,070, ,603 Dept of Allied Health Sciences 139,759 Dept of Animal Science 398, ,858 Dept of Natural Resources Management and Engineering 1,077, ,031 Dept of Nutritional Sciences 2,618,110 3,038,727 Dept of Pathobiology & Veterinary Science 1,420,416 1,981,024 Dept of Plant Science 1,430,424 2,147,046 Institute of Water Resources 18,401 15,880 College of Agriculture & Natural Resources 11,961,751 14,617,431 Center for Integrative Geoscience 127,052 Center for Latin American and Caribbean Studies 3,000 Center for Survey Research and Analysis 1,681, ,775 Connecticut Center for Economic Analysis 207, ,050 Dept of Anthropology 195,096 24,000 Dept of Chemistry 3,367,139 2,717,842 Dept of Communication Sciences 570, ,275 Dept of Ecology and Evolutionary Biology 2,788,038 2,378,322 Dept of Economics 167, ,720 Dept of English 123,000 67,000 Dept of Geography 101, ,637 Dept of History 6, ,000 Dept of Human Dev/Family Studies 72,876 Dept of Linguistics 346,460 Dept of Marine Sciences 6,941,782 4,115,143 Dept of Mathematics 489, ,733 Dept of Modern and Classical Languages 8,000 Dept of Molecular and Cell Biology 2,407,612 3,173,940 Dept of Philosophy 5,985 Dept of Physics 2,469,379 2,042,674 Dept of Physiology and Neurobiology 2,059,853 2,930,158 Dept of Psychology 4,297,196 5,199,036 Dept of Public Policy 702, ,358 Dept of Sociology 164,672 35,000 Dept of Statistics 392, ,725 College of Liberal Arts & Sciences 29,142,944 27,032,776 Center on Postsecondary Education and Disability Dept of Curriculum and Instruction 527,673 Dept of Educational Leadership 96,574 Dept of Educational Psychology 6,046,783 Dept of Kinesiology 590,250 Education Dean 128,068 Neag School of Education 7,389,347 40, , ,000 5,349, ,361 6,722,447 School of Allied Health 274,670 * Awards are listed according to the Department or affiliated Center responsible for administering the award, with the exception of BECAT. 25

23 Table B-10. Award Amounts by Center * FY FY2007 (continued) FY2006 Connecticut Small Business Development Center 1,118,576 Dept of Management 6,000 Dept of Marketing 365,645 School of Business 1,490,221 FY , ,000 BECAT 4,641,729 6,811,196 Connecticut Global Fuel Cell Center 1,498,022 1,530,635 Connecticut Transportation Institute 1,124,596 1,724,756 Dept of Chemical, Materials & Biomolecular Engr 57,299 Dept of Civil & Environmental Engineering 373, ,503 Dept of Computer Science & Engineering 288,001 94,051 Dept of Electrical & Computer Engineering 1,052, ,526 Dept of Mechanical Engineering 1,468,411 1,045,914 School of Engineering 10,446,878 12,468,881 School of Family Studies School of Fine Arts School of Law School of Nursing Dept of Pharmaceutical Sciences Dept of Pharmacy Practice School of Pharmacy School of Social Work 65,730 60, , ,249 2,108,384 14,761 2,123,145 3,863,904 85, ,936 4,083,417 76,510 4,159,927 6,168,449 Avery Point Campus- Instruction and Research 75,502 Division of Student Affairs 31,505 95,000 Executive Vice President Health Affairs 65,000 65,000 Office of Multicultural and International Affairs 1,084, ,569 Public and Environmental Safety 22,800 Undergraduate Education 1,847,862 1,917,148 University Libraries 44,122 Academic & Service Programs 3,028,444 2,428,141 Center for Environmental Sciences and Engineering 2,550,045 1,723,876 Center for Health, Intervention and Prevention 10,331,429 8,781,602 Center for Public Health and Health Policy 36,250 Center for Regenerative Biology 963,390 1,582,339 Institute of Material Science 4,881,204 4,386,365 National Undersea Research Center 695, ,557 Office of Vice Provost Research & Graduate Educ 179, ,506 Roper Center and Institute for Social Inquiry 139,000 Sea Grant College Program 1,221,299 1,318,275 Technology Incubation Program 37,500 Vice Provost Research & Graduate Education 20,822,452 18,779,271 Grand Total 91,110,306 93,096,258 * Awards are listed according to the Department or affiliated Center responsible for administering the award, with the exception of BECAT. 26

24 Table B-11. Award Amounts by Department * FY FY2007 FY2006 FY2007 Agri Publications Office 289,441 75,612 Agricultural Experiment Station 949,142 Agriculture & Natural Resource - Dean's Office 1,000 Applied Health Science - Dietetics Program 232,648 Connecticut Small Business Development Center 234,424 Department of Extension 3,637,730 3,693,458 Dept of Agricultural and Resource Economics 1,070, ,574 Dept of Allied Health Sciences 78,502 Dept of Animal Science 685,083 1,917,830 Dept of Natural Resources Management and Engineering 1,826,011 1,334,935 Dept of Nutritional Sciences 5,900,460 3,050,215 Dept of Pathobiology & Veterinary Science 1,989,850 1,839,524 Dept of Plant Science 1,637,924 2,153,546 Technology Incubation Program 65,000 College of Agriculture & Natural Resources 17,102,661 16,317,410 Center for Survey Research and Analysis 563, ,650 Dept of Anthropology 195, ,401 Dept of Chemistry 4,533,536 3,721,793 Dept of Communication Sciences 1,872,803 2,267,532 Dept of Ecology and Evolutionary Biology 3,122,659 2,485,487 Dept of Economics 374, ,770 Dept of English 123,000 67,000 Dept of Geography 101, ,637 Dept of History 6, ,000 Dept of Human Dev/Family Studies 104,090 Dept of Linguistics 346,460 Dept of Marine Sciences 6,917,206 4,287,569 Dept of Mathematics 489, ,733 Dept of Modern and Classical Languages 8,000 Dept of Molecular and Cell Biology 3,484,260 3,706,591 Dept of Philosophy 5,985 Dept of Physics 2,569,708 2,182,674 Dept of Physiology and Neurobiology 2,059,853 2,930,158 Dept of Political Science 13,000 Dept of Psychology 9,167,892 11,548,438 Dept of Public Policy 1,814, ,483 Dept of Sociology 288, ,985 Dept of Statistics 392, ,725 College of Liberal Arts & Sciences 38,083,987 37,397,176 Center on Postsecondary Education and Disability Dept of Curriculum and Instruction 527,673 Dept of Educational Leadership 96,574 Dept of Educational Psychology 6,046,783 Dept of Kinesiology 718,318 Education Dean 412,580 Neag School of Education 7,801,927 40, , ,000 5,349, ,644 6,799,730 School of Allied Health 274,670 * Awards are listed according to the tenure home of the PI on each project. Awards led by PIs with appointments in Centers, and not in an academic Department, are attributed to the Centers. 27

25 Table B-11. Award Amounts by Department * FY FY2007 (continued) FY2006 Connecticut Small Business Development Center 1,118,576 Dept of Management 6,000 Dept of Marketing 365,645 School of Business 1,490,221 Connecticut Global Fuel Cell Center 730,049 Connecticut Transportation Institute 440,669 Dept of Chemical Engineering 1,316,756 Dept of Chemical, Materials & Biomolecular Engr Dept of Civil & Environmental Engineering 1,835,202 Dept of Computer Science & Engineering 2,422,883 Dept of Electrical & Computer Engineering 2,807,665 Dept of Material Science 912,684 Dept of Mechanical Engineering 2,874,144 School of Engineering Office of Dean 185,000 School of Engineering 13,525,053 FY , , , ,070 1,978,608 2,278,162 1,578,533 5,192,419 2,873,419 49,500 15,094,619 School of Family Studies School of Fine Arts School of Law School of Nursing Dept of Pharmaceutical Sciences Dept of Pharmacy Practice School of Pharmacy School of Social Work 65,730 60, , ,124 2,406,681 16,261 2,422,942 3,863,904 85, ,805 4,099,817 80,110 4,179,927 6,199,897 Division of Student Affairs 31,505 95,000 Office of Multicultural and International Affairs 1,084, ,568 Public and Environmental Safety 22,800 Undergraduate Education 1,847,862 1,917,149 University Libraries 44,122 Academic & Service Programs 2,963,444 2,287,639 Center for Environmental Sciences and Engineering 636, ,500 Center for Public Health and Health Policy 36,250 Center for Regenerative Biology 76,000 Institute of Materials Science 1,166,968 1,152,219 National Undersea Research Center 720, ,557 Office of Vice Provost Research & Graduate Educ 98, ,006 Sea Grant College Program 661,755 1,400,023 Technology Incubation Program 102,500 Vice Provost Research & Graduate Education 3,283,439 3,763,055 Grand Total 91,724,674 93,096, * Awards are listed according to the tenure home of the PI on each project. Awards led by PIs with appointments in Centers, and not in an academic Department, are attributed to the Centers.

26 Expenditures The UConn parasitology team dissecting intestines of sharks for tapeworms at a fish market in Senegal on a project funded by NSF s PEET program

27 Expenditures by Sponsor Type Chart C-1. Federal and Non-Federal Expenditures FY2007 (Total dollars in millions and percent) Corporate $4.6 / 5% Foundation $2.1 / 2% Federal $65 / 76% Non-Federal $21/ 24% Non-Profit $5.1 / 6% State & Local Government $8.4 / 10% Universities & Colleges $0.5 / 1% Chart C-2. Expenditures by Source and Purpose FY2003-FY % A 82% A 80% A A 76% 78% A Federal, Research Federal, Non-Research Non-Federal, Research Non-Federal, Non-Research (millions) % A 18% A 18% A 20% A 24% A 10 - FY2003 FY2004 FY2005 FY2006 FY2007 A Percentage of Total Annual Expenditures Table C-1. Expenditures by Source and Purpose FY2003-FY2007 (in millions) FY2003 FY2004 FY2005 FY2006 Non- Non- Non- Non- Federal Federal Federal Federal Federal Federal Federal Federal FY2007 Non- Federal Federal Non-Research Research TOTAL $62.0 $17.1 $70.2 $15.9 $75.1 $16.1 $69.2 $17.2 $65.4 $

28 Chart C-3. Federal Expenditures by Agency FY2003-FY FY2003 FY2004 FY2005 FY2006 FY (millions) DHHS NSF USDA DOD US ED Other Agencies EPA NASA DOC DOE Table C-2. Federal Expenditures by Agency FY2003-FY2007 (in millions) FY2003 FY2004 FY2005 FY2006 FY2007 DHHS NSF USDA DOD US ED Other Agencies * EPA NASA DOC DOE Federal Total $62.0 $70.2 $75.1 $70.4 $65.4 * Other Agencies include: Dept of Commerce, Dept of Interior, Dept of Justice, Dept of Labor, Dept of Transportation, Dept of Veteran Affairs, Institute for the Application of Geospatial Technology, Institute of Museum and Library Services, Internal Revenue Service, Library of Congress, National Foundation on Arts & Humanities, Small Business Administration, US Agency for International Development 31

29 Chart C-4. Non-Federal Expenditures by Sponsor FY2003-FY FY2003 FY2004 FY2005 FY2006 FY (millions) State & Local Government Non-Profit Corporate Foundation Universities & Colleges Other Table C-3. Non-Federal Expenditures by Sponsor Type FY2003-FY2007 (in millions) FY2003 FY2004 FY2005 FY2006 FY2007 State & Local Government Non-Profit Corporate Foundation Universities & Colleges Other * Non-Federal Total $17.1 $15.9 $16.1 $16.0 $20.7 * For FY2007, the sponsors previously listed under "Other" have been allocated to one of the other categories. 32

30 40 Expenditures by Unit Chart C-5. Direct and F&A Expenditures by Unit FY2002-FY2007* 35 Direct Expenditures F&A Expenditures (millions) Liberal Arts & Sciences Agriculture & Natural Resources Engineering Education Social Work Other Units Pharmacy Nursing Business Law Fine Arts Allied Health FamilyStudies *expenditures credited to tenure home of the PI Chart C-6. Research and Non-Research Expenditures by Unit FY2002-FY2007* Research Non-Research (millions) Liberal Arts & Sciences Agriculture & Natural Resources Engineering Education Social Work Other Units Pharmacy Nursing Business Law Fine Arts Allied Health FamilyStudies *expenditures credited to tenure home of the PI 33

31 34 Chart C-7. Total R&D Expenditures by Institution and Year * 400, % A 350, % A 300, % A 5.5% A 250, % A 6.2%A 4.1% A 200, % A (thousands) 150, % A 8.8% A 9.9% A 100,000 50,000 0 U. VT U. NH U. MA Amherst U. MA Worcester UCONN Includes Health Center IA State U. U. MO- Columbia U. IA Rutgers** CO State U. U. TN all campuses Institution A Average annual rate of growth * Information taken from The National Science Foundation, Division of Science Resource Statistics ( ** Rutgers, All campuses Table C-4. Total R&D Expenditures by Institution and Year * Institution Thousands U. IA $178,228 $184,414 $199,063 $207,135 $236,944 $255,348 $288,808 $292,035 $312,914 $334,144 $346,357 Rutgers** $185,103 $183,038 $197,053 $213,838 $225,268 $236,793 $258,829 $278,763 $296,534 $309,531 $308,204 CO State U. $126,701 $128,580 $140,179 $150,281 $152,279 $161,144 $178,845 $187,054 $214,888 $236,211 $253,992 U. TN all campuses $149,331 $154,230 $150,694 $158,930 $163,690 $161,898 $188,261 $217,389 $228,760 $255,699 $249,067 IA State U. $151,914 $155,433 $156,766 $161,301 $175,558 $179,196 $188,664 $199,566 $211,996 $209,545 $221,998 U. MO-Columbia $119,079 $128,178 $136,061 $149,002 $158,861 $174,782 $177,011 $205,212 $217,550 $220,718 $215,240 UCONN Includes Health Center $147,522 $140,840 $134,448 $134,986 $161,084 $164,366 $172,003 $190,341 $211,236 $219,982 $215,184 U. MA Worcester $63,341 $71,346 $82,950 $83,040 $97,587 $111,221 $132,729 $148,823 $169,090 $176,349 $191,659 U. MA Amherst $73,678 $85,811 $89,970 $86,576 $96,907 $97,976 $109,332 $113,512 $120,788 $127,487 $136,057 U. VT $53,659 $59,526 $57,832 $64,049 $63,391 $75,597 $88,602 $104,994 $114,120 $115,693 $121,841 U. NH $45,693 $45,886 $52,359 $57,613 $72,108 $87,879 $93,222 $96,415 $103,935 $108,378 $115,117 * Information taken from The National Science Foundation, Division of Science Resource Statistics ( ** Rutgers, All campuses

32 Table C-5. Expenditures by Center FY2006-FY2007 * FY2006 FY2007 Agri Publications Office 68,000 73,391 Agricultural Experiment Station 190, ,589 Applied Health Science - Dietetics Program 329,445 Connecticut Small Business Development Center 595,039 Department of Extension 3,511,635 3,273,637 Dept of Agricultural and Resource Economics 635, ,619 Dept of Allied Health Sciences 114,512 Dept of Animal Science 877, ,282 Dept of Natural Resources Management and Engineering 982,767 1,350,095 Dept of Nutritional Sciences 2,542,989 2,394,568 Dept of Pathobiology & Veterinary Science 1,488,081 1,427,089 Dept of Plant Science 1,685,213 1,708,357 Institute of Water Resources 18,401 College of Agriculture & Natural Resources 12,000,992 12,718,622 Center for Integrative Geoscience 3,040 27,851 Center for Latin American and Caribbean Studies 3,000 Center for Survey Research and Analysis 1,516,999 1,225,889 Connecticut Center for Economic Analysis 215, ,154 Dept of Anthropology 68,899 95,232 Dept of Chemistry 3,080,643 3,138,724 Dept of Communication Sciences 75, ,633 Dept of Ecology and Evolutionary Biology 1,727,970 1,844,646 Dept of Economics 74, ,455 Dept of English 104,665 51,231 Dept of Geography 89, ,299 Dept of History 147,738 3,978 Dept of Human Dev/Family Studies 103,801 Dept of Linguistics 20,876 89,630 Dept of Marine Sciences 4,687,184 4,184,914 Dept of Mathematics 340, ,418 Dept of Modern and Classical languages 45,487 29,616 Dept of Molecular and Cell Biology 3,844,739 3,802,575 Dept of Philosophy 40,000 Dept of Physics 2,127,880 2,280,719 Dept of Physiology and Neurobiology 2,489,296 2,186,458 Dept of Political Science 5,237 Dept of Psychology 5,064,378 3,226,400 Dept of Public Policy 1,343, ,218 Dept of Sociology 111, ,108 Dept of Statistics 288, ,584 College of Liberal Arts & Sciences 27,518,103 24,891,535 Center on Postsecondary Education and Disability 24,581 Dept of Curriculum and Instruction 947, ,686 Dept of Educational Leadership 174, ,214 Dept of Educational Psychology 4,564,923 4,722,749 Dept of Kinesiology 441, ,163 Dept of Physical Therapy 1 Education Dean 157,905 Neag School of Education 6,285,807 6,423,393 School of Allied Health 457,156 * Expenditures are listed according to the Department or affiliated Center responsible for administering the account, with exception of BECAT. 35

33 Table C-5. Expenditures by Center FY2006-FY2007 * (cont) FY2006 FY2007 Connecticut Small Business Development Center 1,039,606 Dept of Management 6,000 Dept of Marketing 375, ,442 School of Business 1,421, ,442 BECAT 4,801,509 5,139,650 Connecticut Global Fuel Cell Center 848,733 1,539,101 Connecticut Transportation Institute 1,695,630 1,412,962 Dept of Chemical Engineering Dept of Chemical, Materials & Biomolecular Engr 92, ,927 Dept of Civil & Environmental Engineering 238, ,883 Dept of Computer Science & Engineering 454, ,887 Dept of Electrical & Computer Engineering 1,035, ,092 Dept of Material Science 254,078 Dept of Mechanical Engineering 1,711,097 1,054,261 School of Engineering 11,132,229 10,606,762 School of Family Studies 134,319 School of Fine Arts 53,936 56,761 School of Law 101,117 84,091 School of Nursing 174, ,584 Dept of Pharmaceutical Sciences 1,800,765 3,019,414 Dept of Pharmacy Practice 79,118 81,426 School of Pharmacy 1,879,882 3,100,841 School of Social Work 4,298,483 5,831,864 Avery Point Campus Instruction and Research 296,040 Division of Student Affairs 15,959 39,177 Executive Vice President Health Affairs 10,148 Office of Multicultural & International Affairs 459, ,058 Public and Environmental Safety 54,383 85,190 Prov and Exec VP Academic Affairs 21,816 Stamford Campus Instruction and Research 2,309 5,985 Torrington Campus Office of the Director Undergraduate Education 1,460,852 1,630,652 University Libraries 87,170 78,580 Academic & Service Programs 2,113,430 2,829,853 Center for Environmental Sciences and Engineering 4,085,112 2,673,409 Center for Public Health and Health Policy 28,271 15,548 Center for Regenerative Biology 1,504,264 1,420,424 Center for Health, Intervention and Prevention 6,052,475 8,872,346 Institute of Materials Science 3,929,349 4,001,094 National Undersea Research Center 1,528, ,099 Office of Vice Provost Research & Graduate Educ 200, ,340 Roper Center and Institute for Social Inquiry 99, ,730 Sea Grant College Program 1,034, ,610 Technology Incubation Program 66,780 Vice Provost Research & Graduate Education 18,462,981 18,770,382 Grand Total 86,033,994 86,126,130 * Expenditures are listed according to the Department or affiliated Center responsible for administering the account, with exception of BECAT. 36

34 Table C-6. Expenditures by Department FY2006-FY2007 * FY2006 FY2007 Agri Publications Office 72,906 73,391 Agricultural Experiment Station 180, ,081 Agriculture and Natural Resources - Dean's Office 4,892 Applied Health Science - Dietetics Program 326,121 Connecticut Small Business Development Center 595,039 Department of Extension 3,490,733 3,302,961 Dept of Agricultural and Resource Economics 642, ,639 Dept of Allied Health Sciences 55,301 Dept of Animal Science 2,001,622 1,566,254 Dept of Natural Resources Management and Engineering 2,462,392 2,671,503 Dept of Nutritional Sciences 3,060,782 3,936,781 Dept of Pathobiology & Veterinary Science 1,949,367 1,140,751 Dept of Plant Science 1,594,192 1,672,746 Technology Incubation Program 10,148 College of Agriculture & Natural Resources 15,464,946 16,155,459 Center for Integrative Geoscience 3,040 1,833 Center for Latin American and Caribbean Studies 3,000 Center for Survey Research and Analysis 617,383 1,187,285 Dept of Anthropology 566, ,953 Dept of Chemistry 4,869,187 4,388,681 Dept of Communication Sciences 299,591 1,193,947 Dept of Ecology and Evolutionary Biology 1,910,084 2,065,265 Dept of Economics 274, ,609 Dept of English 104,665 51,231 Dept of Geography 89, ,299 Dept of History 87,305 6,009 Dept of Human Dev/Family Studies 103,801 Dept of Linguistics 20,876 89,630 Dept of Marine Sciences 4,739,587 4,490,295 Dept of Mathematics 340, ,418 Dept of Modern and Classical Languages 45,487 29,616 Dept of Molecular and Cell Biology 4,649,278 4,286,779 Dept of Philosophy 42,309 5,985 Dept of Physics 2,294,288 2,403,309 Dept of Physiology and Neurobiology 2,489,296 2,186,458 Dept of Political Science 166, ,388 Dept of Psychology 8,761,784 8,695,243 Dept of Public Policy 2,088, ,386 Dept of Sociology 567, ,839 Dept of Statistics 288, ,584 College of Liberal Arts & Sciences 35,319,477 34,455,844 Center on Postsecondary Education and Disability 24,581 Dept of Curriculum and Instruction 947, ,686 Dept of Educational Leadership 174, ,214 Dept of Educational Psychology 4,363,225 4,722,749 Dept of Kinesiology 403, ,374 Dept of Physical Therapy Education Dean 811,057 1 Neag School of Education 6,698,597 6,482,604 School of Allied Health 457,156 * Expenditures are listed according to the tenure home of the PI on each project. Expenditures on projects led by PIs with appointments in Centers, and not in an academic Department, are attributed to the Centers. 37

35 Table C-6. Expenditures by Department FY2006-FY2007 * (cont) FY2006 FY2007 Connecticut Small Business Development Center 1,039,606 Dept of Management 6,000 Dept of Marketing 375, ,442 School of Business 1,421, ,442 Connecticut Global Fuel Cell Center Connecticut Transportation Institute Dept of Chemical Engineering Dept of Chemical, Materials & Biomolecular Engr Dept of Civil & Environmental Engineering Dept of Computer Science & Engineering Dept of Electrical & Computer Engineering Dept of Material Science Dept of Mechanical Engineering School of Engineering Office of Dean School of Engineering School of Family Studies 171, ,640 1,359,577 2,008,283 2,136,251 3,872,286 1,372,923 2,244, ,321 14,649, , , ,087 1,918,103 1,612,633 2,125,409 3,510,907 2,305, ,823 13,110,933 School of Fine Arts 53,936 56,761 School of Law 101,117 84,091 School of Nursing 332, ,226 Dept of Pharmaceutical Sciences 1,982,317 3,125,547 Dept of Pharmacy Practice 81,673 86,346 School of Pharmacy 2,063,990 3,211,893 School of Social Work 4,298,483 5,829,319 Avery Point Campus Instruction and Research 6,861 Division of Student Affairs 16,959 39,177 Hartford Campus Instruction and Research 15,255 Office of Multicultural & International Affairs 511, ,431 Prov and Exec VP Academic Affairs 21,816 Public and Environmental Safety 54,383 85,190 Stamford Campus Instruction and Research 126,109 Torrington Campus Office of the Director Undergraduate Education 1,460,852 1,630,652 University Libraries 87,170 78,580 Academic & Service Programs 2,301,490 2,523,202 Center for Environmental Sciences and Engineering 632, ,286 Center for Regenerative Biology 24,758 Institute of Materials Science 244, ,039 National Undersea Research Center 1,538, ,883 Office of Vice Provost Research & Graduate Educ 140,406 77,562 Sea Grant College Program 493,915 1,217,048 Technology Incubation Program 66,780 Vice Provost Research & Graduate Education 3,049,612 3,108,355 Grand Total 86,360,074 86,126,130 * Expenditures are listed according to the tenure home of the PI on each project. Expenditures on projects led by PIs with appointments in Centers, and not in an academic Department, are attributed to the Centers. 38

36 University of Connecticut Office of the Vice Provost for Research & Graduate Education 438 Whitney Road Extension, Unit 1006 Storrs, CT Telephone: (860) Facsimile: (860) Web: March 2008