Table of Contents Introduction
Highlights Major Accomplishments FY 2010 Expenditures Expenditures Expenditures Expenditures Expenditures Expenditures ExpendituresAwards Awards Awards Awards Awards Awards Awards-
3
4
All Sponsored Programs, 5 Year History by Function 7 Research, Instruction, Public Service 5 Year History by College/School/Unit 8 Research, 5 Year History by College/School/Unit 9 All Sponsored Programs by Funding Source 10 All Sponsored Programs by Funding Source Percentage Graph 11 Research, Instruction, Public Service by College/School/Unit and Department 12
All Sponsored Programs, 5 Year History by Function All Sponsored Programs, 5 Year History by College/School/Unit Research, 5 Year History by College/School/Unit All Sponsored Programs by Funding Source All Sponsored Programs by Funding Source Percentage Graph All Sponsored Programs, 5 Year History by College/School/Unit and Department
Submissions Submissions- All Sponsored Programs by College/School/Unit and Department
16 17 18 19 20 21
26
Research Centers Research Centers Expenditures FY 07 - FY 10 Research Centers Awards FY 07 - FY 10 Research Centers Submissions FY 07 - FY 10
31 32 33
Research Compliance Research Compliance FY 10 Research Compliance Activity, 5 Year History
34 36
Technology Transfer Technology Transfer FY 10 37 Intellectual Property and Licensing, 5 Year History 38 Alabama Innovation and Mentoring of Entrepreneurs Alabama Innovation and Mentoring of Entrepreneurs FY 10
39
Central Analytical Facility Central Analytical Facility FY 10
41
The Office for Research is pleased to present the Fiscal Year (FY) 2010 Annual Report. This report includes statistical information for the units within the Office for Research: Sponsored Programs, Contract and Grant Accounting, Research Compliance, Technology Transfer, Alabama Innovation and Mentoring of Entrepreneurs (AIME) and the Central Analytical Facility (CAF), and presents information on the activity of University centers. The Office for Research would like to thank all the principal investigators and project directors and their staffs for their efforts in preparing applications for funding consideration, for submitting such applications and for receiving awards from extramural funding sources. We would also like to thank the many individuals who served on the Research Grants Committee (RGC), the University’s Institutional Review Board for the Protection of Human Subjects (both medical and non-medical), the Institutional Animal Care and Use Committee and other regulatory compliance committees. In addition, we would like to thank faculty, staff and students who disclosed intellectual property and for whom the University filed or received a patent or copyright. This report is available on the University Research website, as well as the Sponsored Programs website for downloading and printing. www.ua.edu/research http://osp.ua.edu/
Dr. Joe Benson, Vice President for Research Dr. Dan Daly, Director, AIME Dr. William E. Gathings, Director, Technology Transfer Ms. Cindy Hope, Assistant Vice President for Research and Director, Office for Sponsored Programs Ms. Tanta Myles, Director, Office for Research Compliance Dr. David Nikles, Director, Central Analytical Facility
Office for Research
Major Accomplishments – Fiscal Year 2010 Office for Sponsored Programs • For the third consecutive year, Sponsored Research, Instruction, and Public Service awards reached a record for the institution. These awards totaled $78.9 million, an increase of 3% over the previous year and a 5-year increase of 46% over FY 2005. • Sponsored Research awards totaled $46.4 million in FY 2010, an increase of 20% over FY 2009 and a record for the institution. • Sponsored Research, Instruction and Public Service expenditures increased by 6% over FY 2009 to a record for the institution of $65.8 million in FY 2010. Sponsored Research expenditures increased by 12% over the previous year. • Contract and grant submissions increased for the third consecutive year, up slightly from FY 2009 to 687 in FY 2010. This is the highest number of submissions during the past 5 years. • Expenditures attributable to UA Centers have remained relatively steady during the past four years over which they have been measured. Both Awards and Submissions have increased overall during that time but Awards were a bit lower in FY 2010 than in FY 2009. • Significant funding was added to the Research Grants Committee program during FY 2010 resulting in an increase of 40% in the number of awards and a 77% increase in the total funding awarded. The number of submissions was also higher in FY 2010, with an increase of 12% over FY 2009. • The third University-wide Undergraduate Research Conference grew in the participation of both undergraduate students and their faculty mentors. The numbers have steadily grown since the competition was open to all undergraduate students in 2008. In 2010, participation of students giving oral or poster presentations increased by 18%.
Office for Research Compliance • The ORC processed more than 2000 requests during 2010. • The office provided additional “hands-on” IRB training sessions for first time applicants for research involving human subjects. • The second IRB retreat for medical and non-medical IRB members was held to foster scientific and social interactions among faculty, staff and community members affiliated with the IRB. • Extensive training was provided to staff, faculty and board members for each program managed by the ORC. The trainings have been in the form of seminars and webinars as well as on-line training. • In summer 2010, a memorandum of understanding was negotiated with Tuscaloosa VA Medical Center (VAMC) so that proposals from University investigators conducted completely at VAMC could be reviewed only by VAMC’s IRB (with notification to the University IRB). • Post Approval Monitoring of projects increased from FY 09 to FY 10 by 92% to a total of 140
monitored projects. • Excluding modifications, a total of 787 protocols were reviewed in FY 10, an increase of 13% compared to the number reviewed in FY 09 and 60% greater than the FY 06 total.
Office for Technology Transfer • OTT executed two new option/license agreements in FY 2010. • Of the 20 semi-finalist teams in the 2009/2010 Alabama Launchpad Business Plan Competition, four submitted plans based on OTT-managed technologies. A fifth team’s plan, submitted by AIME, was based on an external technology. Two UA teams were subsequently selected for the finals. • PheroGreen, LLC, a Bama Technology Incubator company, placed third in the 2010 Alabama Launchpad competition. • FreezePruf®, a plant cryoprotectant developed at the University and that was introduced to the consumer market in FY 2009, is presently undergoing field test trials to determine if it is a viable product for the commercial growers’ market. • Sponsored research agreements based on UA-owned technologies, combined with SBIR and STTR grants, generated over $500,000 for UA in FY 2010.
Alabama Innovation and Mentoring of Entrepreneurs • Development work conducted through AIME resulted in the filing of two patents. • AIME outreach and visibility continued to broaden to entities outside of the state of Alabama with the AIME Director acting as Co-Chair for the American Chemical Society Division of Business and Development and as Editor for its newsletter. • Student Entrepreneurship and Innovation teams produced twenty-three business models for University inventors. • Eight student-based AIME teams were among thirty-four teams from across the state that participated in the Alabama Launchpad Business Plan competition. Two of the AIME teams advanced to the finals, with one of these teams winning third place. • Six student teams from AIME participated in the 2010 Elevator Pitch Competition, hosted by the Culverhouse College of Commerce and Business Administration, and one of the teams won second place. • AIME hosted its inagural AIME Day, in which all of the AIME-sponsored activities were showcased in prototype development or incubator support and gave business plan presentations to a panel of judges.
Central Analytical Facility • The unique capabilities of the CAF’s LEAP have attracted scientists from the University of Florida, the University of Michigan and the Massachusetts Institute of Technology to visit the University to use the LEAP in their research. • With support from the College of Engineering the CAF has purchased the NanoMegas ASTAR
System. This is an upgrade for the Tecnai F20 transmission electron microscope that adds electron back scattered detection. •
The 53rd International Field Emission Symposium will be held in Tuscaloosa on the campus of The University of Alabama in May 2012.
• The CAF has implemented the CAF Instrumentation Expert program to recognize those rare, highly accomplished instrument users. The first two CAF Instrumentation Experts will be announced in early December. • The CAF installed 3D serial sectioning – EBSD (texture analysis) platform capability on the FEI Quanta 3D FIB. The cutting edge capability allows the users to provide quantitative analysis of grain boundary character. This attachment, along with the University’s atom probe tomography capability and TEM tomography capability allows CAF users the opportunity to characterize a material in 3D from angstroms (atoms) to hundreds of microns or six orders of magnitude in length scale. • A graduate student user of the instruments in the CAF was awarded the Microscopy Society of America’s MSA Presidential Student Award.
Expenditures - All Sponsored Programs 5 Year History by Function
Research, Instruction & Public Service Research Instruction
FY 06
FY 07
FY 08
FY 09
FY 10
$28,382,820
$33,169,571
$31,058,951
$29,312,083
$32,913,475
7,189,636
10,499,578
9,778,900
9,032,278
7,242,596
20,989,438
18,333,147
21,796,142
23,817,403
25,645,768
$56,561,894
$62,002,296
$62,633,993
$62,161,764
$65,801,839
12,977,741
14,384,321
16,530,777
20,834,066
42,336,864
1,243,737
2,949,496
35,860,097
3,242,542
23,495,369
Subtotal:
$14,221,478
$17,333,817
$52,390,874
$24,076,608
$65,832,233
Grand Total:
$70,783,372
$79,336,113 $115,024,867
Public Service
Subtotal: Other Sponsored Activity Scholar/Fellow/Aid Construction
$86,238,372 $131,634,072
Expenditures - Research, Instruction and Public Service 5 Year History by College/School/Unit
Colleges/Schools
FY 06
FY 07
FY 08
FY 09
FY 10
$14,717,341
$16,961,854
$17,350,542
$17,547,380
$19,440,195
1,415,988
996,311
1,320,772
1,563,953
1,485,147
811,697
875,406
1,051,194
628,336
479,616
College of Community Health Sciences
1,125,060
1,496,408
1,617,850
1,719,382
1,536,639
College of Continuing Studies
2,096,965
3,155,793
3,840,597
4,339,671
4,674,252
College of Education
3,769,768
6,301,098
6,653,869
6,563,720
6,256,185
14,391,206
16,551,203
15,133,167
15,190,308
17,421,209
4,485,627
1,666,236
1,893,722
2,409,881
2,306,970
School of Law
151,733
467,024
662,504
946,345
544,129
University Libraries
296,475
258,225
124,026
15,281
16,245
Capstone College of Nursing
531,958
1,197,059
1,097,736
1,001,423
897,584
2,628,934
3,658,271
3,973,036
3,387,125
3,518,747
$46,423,058
$53,584,888
$54,719,015
$55,312,805
$58,576,918
7,011,089
4,787,786
4,409,198
5,687,870
6,233,083
College of Arts & Sciences1 Culverhouse College of Commerce & Business Administration College of Communication & Information Sciences
College of Engineering
1
Honors College College of Human Environmental Sciences
School of Social Work Subtotal:
306
Other Units Academic Affairs1 University Advancement Community Affairs
3,069 258,738
119,217
89,792
79,808
Financial Affairs
56,873
Graduate School University Relations Research Student Affairs Subtotal: Audit Adjustments Grand Total:
1
251,303
227,648
223,341
3,334,473
780,189
378,789
82,270
70,375
81,532
$8,417,408
$7,914,978
$6,848,959
$7,224,921
$62,002,296
$62,633,993
$62,161,764
$65,801,839
27,604
33,151
-755
2,679,519
3,321,944
176,798
155,310
$10,153,748 (14,912) $56,561,894
See Center Report. Beginning with FY 2007, MINT expenditures allocable to departments are reported in Engineering and A&S.
Expenditures - Research
5 Year History by College/School/Unit Colleges/Schools
FY 06
FY 07
FY 08
FY 09
FY 10
$8,901,856
$12,040,938
$10,819,058
$11,116,444
$12,600,634
Culverhouse College of Commerce & Business Administration
442,576
143,272
98,252
413,647
429,280
College of Communication & Information Sciences
117,274
28,981
8,858
319
44,923
College of Community Health Sciences
262,695
392,708
433,192
181,739
46,991
College of Continuing Studies
31,144
74
13,600
-945
College of Education
81,312
226,447
434,445
397,084
527,893
13,208,880
15,651,244
14,272,211
14,180,224
16,788,372
43,097
68,363
65,777
1,108,630
807,775
59,293
82,215
19,553
-6,378
28,512
243,059
College of Arts & Sciences1
College of Engineering
1
College of Human Environmental Sciences University Libraries Capstone College of Nursing School of Social Work
Subtotal:
11,434
26,552
134,129
323,912
347,755
146,257
169,427
$23,234,397
$28,961,710
$26,561,837
$27,606,009
$31,651,031
2,462,672
907,165
1,077,371
862,103
859,825
85,270
63,782
21,330
Other Units Academic Affairs1 Community Affairs Financial Affairs Research
Subtotal: Â Audit Adjustment
Grand Total:
1
2,500 2,679,519
3,300,696
3,334,473
780,189
378,789
$5,142,191
$4,207,861
$4,497,114
$1,706,074
$1,262,444
$33,169,571
$31,058,951
$29,312,083
$32,913,475
6,232 $28,382,820
See Center Report. Beginning with FY 2007, MINT expenditures allocable to departments are reported in Engineering and A&S.
Expenditures – All Sponsored Programs By Funding Source
Federal Funding Agency
Dollars Expended
Dept. of Commerce
$ 9,722,712
Dept. of Defense
2,283,857
Dept. of Education
44,321,720
Dept. of Energy
5,057,313
Dept. of Health & Human Services
19,250,862
Dept. of Interior
1,110,370
Dept. of Labor
1,606,454
Dept. of Transportation
5,642,217
National Aeronautics & Space Administration
1,044,890
National Science Foundation
9,370,355
Small Business Administration
1,829,674
Federal Miscellaneous
3,141,333
Total Federal
$104,381,757
Other Funding State
21,827,427
Local Government
475,350
Private
4,949,538
Total Other
$ 27,252,315
Total Expenditures
$131,634,072
10
Expenditures – All Sponsored Programs By Funding Source – Percentage
All Sources Total $131,634,072
Federal Sources Total $104,381,757
11
FY 2010 Expenditures - Research, Instruction and Public Service By College/School/Unit and Department
College/School and Department
Research
College of Arts & Sciences
$12,600,634
Anthropology Biological Sciences
Instruction
Public Service
$116,828
2,857,808
Communicative Disorders Criminal Justice / Sociology
100,753
Dean’s Office, Arts & Sciences
Geological Sciences History ISSR
2,960,260
5,700,525
5,700,525 3,395,739
16,000
887
388,907
69,986
69,986
-5,983
-5,983
English Geography
1,699
3,395,739 372,020
$19,440,195 236,044
Brewer-Porch Children’s Center Chemistry
$6,722,733
236,044
Total
3,975 903,814 69,673 362,479
75
3,973
3,973
381,184
385,159
30,922
934,736
48,915
118,663
679
363,158
Mathematics
13,950
13,950
New College
37,837
37,837
Physics & Astronomy
2,084,346
2,661
2,087,007
167,549
3,942
171,491
Psychology
2,031,397
547,346
2,578,743
Culverhouse College of Commerce & Busniess Administration
$429,280
$1,055,867
$1,485,147
6,191
313,070
319,261
390,701
640,178
1,030,879
4,509
382
4,891
102,237
102,237
$434,693
$479,616
262,185
262,185
156,301
156,301
16,207
16,207
Political Science
Alabama Productivity Center Center for Bus. & Econ. Research Dean’s Office, C&BA Info Systems/Statistics/Mgmt Science
27,879
Small Business Development Center College of Communication & Information Sciences Advertising & Public Relations
$44,923 36,503
Center for Public Television & Radio Graduate Studies in Communication
27,879
36,503
8,420
Journalism Library & Information Studies
12
8,420
FY 2010 Expenditures - Research, Instruction and Public Service By College/School/Unit and Department
College/School and Department College of Community Health Sciences
Research
Instruction $1,564
$1,488,084
$1,536,639
25
1564
691,558
693,147
335,366
335,366
2,457
18,497
Dean’s Office & Resident Affairs Family Medicine & Internal Medicine
16,040
Pediatrics
16,973
Rural Health Institute for Clinical & Translational Science
13,953 ($945)
16,973 458,703
472,656
$573,001
$4,102,196
$4,674,252
86,637
86,637
439,603
2,557,363
2,996,966
1,238,980
1,238,980
Academic Outreach Dean’s Office, Continuing Studies Environmental Prgrms/Safe State Professional Development/Conf. College of Education
-945
133,398
219,216
351,669
$527,893
$4,200,968
$1,527,324
$6,256,185
6,000
6,000
880,237
1,340,706
-1,823
-1,823
9,358
125,719
135,077
259,518
323,397
582,915
3,572,414
850
3,573,264
Alabama Disability Sports Curriculum & Instruction
416,381
44,088
Dean’s Office, Education Ed. Leadership, Policy, Tech. Studies
25,304
Ed. Stud in Psych, Resrch, Counsel. Education Policy Center In-service Center Kinesiology
86,208
Special Ed & Multiple Abilities College of Engineering Aerospace Engineering & Mechanics
$16,788,372 2,209,561
Civil & Environmental Engineering
1,854,059
Computer Science
5,900,037
Electrical & Computer Engineering
25,304
12,211
98,419
303,379
192,944
496,323
$62,020
$570,817
$17,421,209
959,591
Chemical & Biological Engineering
Dean’s Office, Engineering
Total
$46,991
Community & Rural Medicine
College of Continuing Studies
Public Service
959,591 2,209,561 42,772
5,900,037
6,993 1,280,137
11,996 4671
Engineering Student Services Mechanical Engineering
2,664,933
Metallurgical & Materials Engineering
1,913,061
13
1,896,831
57,349
18,989 1,284,808
346,353
346,353
169,696
2,834,629 1,970,410
FY 2010 Expenditures - Research, Instruction and Public Service By College/School/Unit and Department
College/School and Department College of Human Environmental Sciences
Research
Instruction
$807,775
Child Develop. Resources & Services Dean’s Office, Human Environmental Sci. Health Studies/Athletic Training
719,012
Total
$1,499,195
$2,306,970
1,055,220
1,055,220
73,513
792,525
76,583
76,583
Human Dev/Univ Child Care Services Human Nutrition/Hospitality Mgmt
Public Service
22,116 12,180
22,116 12,180
RISE Program
348,346
348,346
School of Law
217,317
326,812
544,129
School of Law
217,317
326,812
544,129
-6,378
22,623
16,245
-6,378
22,623
16,245
98,119
897,584
University Libraries Libraries Capstone College of Nursing Dean’s Office, Nursing
243,059
556,406
57,626
253,784
46,901
556,406
40,493
643,800
School of Social Work
169,427
1,180,487
2,168,833
3,518,747
School of Social Work
169,427
1,180,487
Nursing Instruction
196,158
WOW/YSI
College/School Subtotal:
270,543
1,620,457
1,898,290
1,898,290
$31,651,031
$6,908,591
$20,017,296
$58,576,918
$859,825
$333,514
$5,039,744
$6,233,083
53,376
53,376
Alabama Disabilities Advocacy Prgm
1,729,689
1,729,689
Alabama International Trade Center
408,410
408,410
2,082,656
2,082,656
-2,325
331,189
Other Units/Departments Academic Affairs Academic Affairs - Other
Alabama Small Business Dev. Consortium Center for Teaching & Learning
333,514
MINT-Materials for Info Tech
214,599
University of Alabama Museums
633,787
204,630
838,417
11,439
563,308
574,747
University Center for Econ Develop
214,599
Community Affairs
$21,330
$491
$229,482
$251,303
Community Affairs
21,330
491
229,482
251,303
Financial Affairs
$2,500
$54,373
$56,873
Financial Affairs
2,500
54,373
56,873
14
FY 2010 Expenditures - Research, Instruction and Public Service By College/School/Unit and Department
College/School and Department
Research
Instruction
Graduate School
Dean’s Office, Graduate School Research AIME NSF EPSCoR VP for Research
$223,341
223,341
223,341 $378,789
2,770
2,770
324,485
324,485
51,534
51,534
Women’s Resource Center
Grand Total:
Total
$223,341
$378,789
Student Affairs
Other Units Subtotal:
Public Service
$81,532
$81,532
81,532
81,532
$1,262,444
$334,005
$5,628,472
$7,224,921
$32,913,475
$7,242,596
$25,645,768
$65,801,839
15
Awards - All Sponsored Programs 5 Year History by Function
Research, Instruction & Public Service
FY 06
FY 07
FY 08
FY 09
$34,159,217
$29,574,054
$31,180,542
$38,706,015
$46,362,210
7,819,388
5,340,615
13,233,006
11,970,816
9,176,038
22,311,069
21,349,422
20,249,640
26,006,138
23,353,128
$64,289,674
$56,264,091
$64,663,188
$76,682,969
$78,891,376
30,011,283
492,644
16,708,418
39,722,350
43,702,940
Subtotal:
$30,011,283
$492,644
$16,708,418
$39,722,350
$43,702,940
Grand Total:
$94,300,957
$56,756,735
Research Instruction Public Service/Other
Subtotal:
FY 10
Other Sponsored Activity Construction
16
$81,371,606 $116,405,319 $122,594,316
Awards - All Sponsored Programs
5 Year History by College/School/Unit Colleges/Schools
FY 06
FY 07
FY 08
FY 09
FY 10
$16,003,588
$13,876,799
$18,646,719
$24,499,805
$25,898,392
Culverhouse College of Commerce & Business Administration
2,022,046
958,926
3,251,164
971,072
2,203,055
College of Communication & Information Sciences
1,080,388
897,187
806,690
652,210
385,520
College of Community Health Sciences
1,287,467
911,886
2,012,671
1,526,594
1,632,796
College of Continuing Studies
2,801,502
2,058,931
3,079,822
6,249,255
5,094,415
College of Education
5,058,049
9,591,718
6,677,740
7,945,001
5,295,441
16,662,867
14,589,858
15,442,748
17,792,221
25,356,865
4,633,749
1,731,527
1,938,073
3,220,242
1,554,448
1,053,332
313,706
3,445,604
218,500
150,000
Capstone College of Nursing
1,185,635
1,286,224
1,468,694
1,074,771
702,389
School of Social Work
5,149,741
2,139,537
2,731,204
4,411,248
4,392,878
152,049
5,000
$57,090,413
$48,361,299
$59,501,129
$68,560,919
$72,701,957
4,779,306
4,714,399
4,366,488
6,720,693
5,385,894
136,000
45,000
214,480
230,000
110,000
16,708,418
39,522,350
44,017,940
College of Arts & Sciences
College of Engineering College of Human Environmental Sciences School of Law
University Libraries
Subtotal:
35,758
Other Units Academic Affairs Community Affairs Financial Affairs
29,616,840
President’s Office Research
30,000 2,604,158
3,395,990
494,025
1,299,312
297,000
Student Affairs
74,240
89,392
87,066
72,045
81,525
Subtotal:
$37,210,544
$8,274,781
$21,870,477
$47,844,400
$49,892,359
$94,300,957
$56,636,080
Grand Total:
17
$81,371,606 $116,405,319 $122,594,316
Awards - Research
5 Year History by College/School/Unit Colleges/Schools
FY 06
FY 07
FY 08
FY 09
$12,070,918
$10,636,942
$12,691,153
$16,968,283
$17,579,599
1,612,023
573,908
1,835,686
118,571
1,296,163
College of Communication & Information Sciences
223,367
35,000
4,000
75,000
College of Community Health Sciences
657,042
339,385
294,529
244,900
75,560
College of Continuing Studies
26,130
College of Education
72,048
43,228
670,046
575,490
1,049,091
16,086,149
13,492,592
13,839,935
16,668,601
24,417,363
College of Human Environmental Sciences
94,047
54,568
144,905
1,354,658
457,420
Capstone College of Nursing
67,290
21,157
111,643
248,950
389,891
School of Social Work
364,595
182,037
247,534
354,028
133,458
University Libraries
152,049 $31,425,658
$25,378,817
$29,835,431
$36,537,481
$45,473,545
141,773
599,247
764,836
779,222
591,665
85,000
90,000
494,025
1,299,312
297,000
College of Arts & Sciences Culverhouse College of Commerce & Business Administration
College of Engineering
Subtotal:
FY 10
Other Units Academic Affairs Community Affairs Research
2,591,785
3,595,990
Student Affairs
Subtotal: Grand Total:
1,250 $2,733,558
$4,195,237
$1,345,111
$2,168,534
$888,665
$34,159,216
$29,574,054
$31,180,542
$38,706,015
$46,362,210
18
Awards - All Sponsored Programs By Funding Source
Federal Funding Agency
Dollars Awarded
Department of Commerce
$ 30,104,647
Department of Defense
2,750,705
Department of Education
2,042,203
Department of Energy
16,049,599
Department of Health & Human Services
16,512,473
Department of Labor
1,363,600
Department of Transportation
5,705,233
National Aeronautics & Space Administration
1,834,820
National Science Foundation
9,479,227
Small Business Administration
2,667,192
Federal Miscellaneous
1,870,783
Total Federal
$ 90,380,482
Other Funding State
27,182,468
Local Government
281,720
Private
4,749,646
Total Other
$ 32,213,834
Total Award Dollars
$122,594,316
19
Awards - All Sponsored Programs By Funding Source - Percentage
All Sources Total $122,594,316
Federal Sources Total $90,380,482
20
Awards - All Sponsored Programs
5 Year History by College/School/Unit and Department College/School and Department College of Arts & Sciences
FY 06 $16,003,588
FY 07
FY O8
FY O9
FY 10
$13,876,799
$18,646,719
$24,499,805
$25,898,392
73,128
67,598
310,058
219,185
3,133,949
2,069,400
4,258,027
4,951,546
Anthropology Art
350,301
Biological Sciences
2,719,390
Brewer-Porch Children’s Center
3,135,392
2,731,416
5,015,721
5,953,388
5,875,358
Chemistry
3,359,956
3,633,020
3,321,275
5,361,211
4,013,533
10,000
512,894
796,397
807,204
34,794
34,727
Communicative Disorders Criminal Justice/Sociology English
44,028 7,950
1,000
3,500
52,151
Geography
242,254
24,997
553,069
420,792
15,000
Geological Sciences
692,416
559,464
1,769,054
915,987
4,580,779
73,278
169,441
50,000
218,949
ISSR
186,834
442,187
675,384
319,258
65,609
Mathematics
121,043
126,106
176,890
389,061
603,754
Music
148,084
45,613
90,917
110,409
78,597
1,879,898
1,743,261
2,468,253
2,514,217
1,989,322
19,250
61,780
224,001
15,072
3,386,122
1,142,411
1,811,655
2,842,272
2,047,032
6,943
16,681
12,615
$2,022,046
$958,926
$3,251,164
$971,072
$2,203,055
269,969
657,976
359,501
1,543,360
25,000
180,000
51,000
4,913
History
4,875
New College Physics & Astronomy Political Science Psychology Theatre & Dance Women’s Studies Culverhouse College of Commerce & Business Administration
1,920
Accounting Center for Business & Economic Research
28,900 667,604
Dean’s Office, CBA Econ. Finance & Legal Studies
21,500
Management & Marketing Info Systems, Stats & Management Science Small Business Development Center
15,000
35,000
20,000 1,186,860
535,555
2,109,686
471,571
555,280
167,582
79,502
282,002
89,000
64,502
21
Awards – All Sponsored Programs
5 Year History by College/School/Unit and Department College/School and Department College of Communication & Information Sciences
FY 06 $1,080,388
FY 07
FY 08
FY 09
FY 10
$897,187
$806,690
$652,210
$385,520
4,000
75,000
289,184
Advertising & Public Relations
8,000
Center for Creative Media
238,702
Center for Public Television & Radio
476,629
517,851
433,131
251,471
350,000
375,000
275,000
325,000
Institute for Communication Research
Dean’s Office, Comm.
25,000
25,000
Library & Information Studies
58,542
21,336
23,559
21,739
21,336
$1,287,467
$911,886
$2,012,671
$1,526,594
$1,632,796
Community & Rural Medicine
168,553
614,050
745,173
676,047
664,479
Family Medicine
428,872
407,655
50,000
521,957
Telecommunication & Film College of Community Health Sciences
6,515
Health Promotion & Wellness
1,250
Internal Medicine
13,575
Obstetrics & Gynecology Pediatrics Rural Health Institute for Clinical & Translational Science College of Continuing Studies Academic Outreach Dean’s Office, CCS Environmental & Industrial Programs/Safe State Professional & Management Programs Prof. Develop/Conference Services
29,922 71,835
132,668
88,231
63,966
17,500
618,207
135,246
756,787
736,581
428,860
$2,801,502
$2,058,931
$ 3,079,822
$6,249,255
$5,094,415
513,625
931,063
839,450
237,319
320,000
2,209,187
3,547,600
2,675,550
1,357,923
1,628,931
28,931
1,349,000
1,245,000
110,000
328,079
421,592
334,415
1,098,000
108,260
22
Awards – All Sponsored Programs
5 Year History by College/School/Unit and Department College/School and Department College of Education
FY 06
FY 07
FY O8
FY O9
FY 10
$5,058,049
$9,591,718
$ 6,677,740
$7,945,001
$5,295,441
Curriculum & Instruction
685,489
4,202,763
592,285
532,342
1,041,930
Dean’s Office, Education
117,208
95,034
Ed. Leadership, Policy, & Technical Studies
265,000
290,697
290,697
326,997
261,965
Education Policy Center
34,062
1,061,050
Ed. Studies in Psych, Res. Methods, Counselling
22,464
132,594
22,464
181,126
71,160
3,663,344
3,566,380
4,732,553
6,481,137
3,620,658
19,982
1,000
62,400
78,266
96,967
250,500
242,200
977,341
345,133
138,261
College of Engineering
$16,662,867
$14,589,858
$15,442,748
$17,792,221
$25,356,865
Aerospace Engineering & Mechanics
928,567
718,586
906,400
1,003,519
1,397,065
Alabama Engineering Research Laboratory
83,491
In-Service Center Kinesiology Special Education & Multiple Abilities
64,500
Chemical & Biological Engineering
2,023,431
620,233
1,772,157
2,077,319
7,553,219
Civil, Construction & Environmental Engineering
3,561,583
1,052,058
2,250,980
2,561,813
2,427,692
Computer Science
5,734,500
7,021,584
5,558,739
6,572,766
6,078,853
2,105,743
Dean’s Office, Engineering Electrical & Computer Engineering
39,000 299,657
1,220,719
851,083
2,036,071
Engineering Student Services
38,096
164,036
39,489
39,944
Industrial Engineering
27,368
35,677
Mechanical Engineering
2,730,633
2,365,050
2,536,605
1,407,487
3,514,960
Metallurgical & Materials Engineering
1,235,541
1,352,915
1,527,295
2,093,302
2,279,333
23
Awards – All Sponsored Programs
5 Year History by College/School/Unit and Department College/School and Department College of Human Environmental Sciences Child Development Resources & Services
FY 06
FY 07
FY O8
FY 10
$4,633,749
$1,731,527
$1,938,073
$3,220,242
$1,554,448
4,199,674
1,350,395
1,321,804
1,227,944
730,900
1,397,179
202,926
94,047
54,568
22,522
108,074
230,457
108,074
Dean’s Office, HES Health Science
FY O9
Human Dev. & Family Studies Human Nutrition & Hosp. Mgmt
242,172 12,479
12,322
RISE Program
340,028
218,490
363,290
474,566
366,128
School of Law
$1,053,332
$313,706
$3,445,604
$218,500
$150,000
School of Law
1,053,332
313,706
3,445,604
218,500
150,000
$1,185,635
$1,286,224
$1,468,694
$1,074,771
$702,389
1,185,635
1,286,224
1,468,694
1,074,771
702,389
School of Social Work
$5,149,741
$2,139,537
$2,731,204
$4,411,248
$4,392,878
School of Social Work
5,149,741
2,139,537
2,731,204
4,411,248
4,392,878
Capstone College of Nursing Nursing
University Libraries
$35,758
University Libraries
35,758
College/School Subtotal:
$57,090,413
$48,361,299
$59,501,129
$68,560,919
$72,701,957
$4,779,306
$4,714,399
$6,720,693
2,053,982 584,189 356,965
2,355,613 260,801 322,965
$4,366,488 1,000 1,508,320 725,743 20,000
1,465,229 487,068 175,000
$5,385,894 4,333 1,777,738 340,160 205,500
2,599,656
1,980,190
768,693 20,000 125,000
306,984
Other Units/Departments Academic Affairs Academic Affairs – Misc. Alabama Disabilities Adv. Prgm Alabama Intern. Trade Center AL Museum of Natural History AL Small Business Dev. Consort. Center for Com. & Ed. Tech. Center for Teaching & Learning Graduate School MINT Program Moundville Archaeological Park
400,387 295,427
283,176
806,219
126,023 642,493
237,500 592,644
169,650
24
112,246
Awards – All Sponsored Programs
5 Year History by College/School/Unit and Department Other Units/Departments Office of Archaeological Res.
FY 06
FY 07
FY 08
193,674
455,994
631,556
FY 09 637,672
Student Financial Aid University Center for Econ. Dev.
FY 10 528,947 35,000
126,166
205,706
504,000
University of Alabama Museums
439,375
92,796
3,000
2,000
Community Affairs
$136,000
$45,000
$214,480
$230,000
$110,000
Community Affairs
136,000
45,000
214,480
230,000
110,000
Financial Affairs
$29,616,840
$16,708,418
$39,522,350
$44,017,940
Financial Affairs
29,616,840
16,708,418
39,522,350
44,017,940
$3,595,990
$494,025
$1,299,312
$297,000
2,473,954
3,595,990
494,025
1,299,312
297,000
$74,240
$89,392
$87,066
$72,045
$81,525
74,240
89,392
85,816
72,045
81,525
$ 7,210,544
$ 8,474,781
$21,870,477
$47,844,400
$49,892,359
$94,300,957
$56,836,080
$81,371,606
$116,405,319
$122,594,316
University Relations
$30,000
University Relations Research
30,000 $2,604,158
Alabama Innovation & Mentoring of Entrepreneurs Vice President for Research Student Affairs
130,204
University Recreation Women’s Center
Subtotal: Grand Total:
1,250
25
Submissions - All Sponsored Programs By College/School/Unit and Department
College/School and Department College of Arts & Sciences Anthropology Art Biological Sciences Brewer-Porch Children’s Center
FY 06
FY 071
FY O8
FY O9
FY 10
232.15
187.42
194.14
228.67
276.65
7.00
11.00
7.00
8.60
13.00
35.17
41.40
52.19
71.95
1.00
0.50
44.15
1.00
5.00
7.00
5.00
9.00
6.00
60.98
38.76
40.70
53.19
52.19
Communicative Disorders
2.00
1.00
4.00
4.75
3.20
Criminal Justice
2.60
4.50
1.00
1.91
3.64
Chemistry
Dean’s Office, A&S English Geography Geological Sciences
1.92 3.00
1.00
1.45
1.10
7.00
3.30
4.28
4.50
9.00
5.91
18.00
12.00
13.50
19.83
16.33
History
0.50
1.00
1.50
3.00
ISSR
5.38
2.38
1.55
3.92
2.57
Mathematics
6.83
4.92
2.15
6.65
11.13 0.20
Modern Languages and Classics
1.00
1.00
Music
5.00
2.00
0.33
New College
0.25
3.00
Philosophy Physics & Astronomy
4.00
6.00
2.00
1.00
29.86
33.81
32.91
31.16
50.76
1.00
1.00
2.00 1.10
1.00
26.78
25.46
24.20
13.93
20.13
15.69
11.96
9.00
3.00
5.00
1.50
1.00
2.14
1.00
1.00
3.80
5.50
10.21
1.29
3.00
6.00
1.50
1.00
Economics, Finance & Legal Studies
Management & Marketing Small Business Development Center
1.00
1.00
Dean’s Office, C&BA Info systems, Stats & Management Science
25.27
3.00 18.98
Accounting Center for Business & Econ. Research
18.79
1.00 16.50
Theatre & Dance
Culverhouse College of Commerce & Business Administration
1.50
2.00
Religious Studies Women’s Studies
1.83
34.30
Political Science Psychology
7.50
26
2.99
6.00 4.67
5.00
0.13
3.13
3.99
1.00
Submissions - All Sponsored Programs By College/School/Unit and Department
College/School and Department
FY 06
College of Communication & Information Sciences
19.00
Advertising & Public Relations
1.00
Center for Creative Media
2.00
Center for Public Television & Radio
9.00
Dean’s Office, Communications Institute For Communication Research
FY 071 13.00
FY O8 12.00
FY O9 10.42
1.00 8.00
5.00
FY 10 13.50 1.00
5.00
1.00
5.00 1.00
1.00
2.50
0.42
Journalism
1.00
1.50
6.00
4.00
5.00
School of Library & Information Studies
3.00
1.50
Telecommunication & Film Department
2.00
1.00
15.34
17.50
22.70
18.06
11.15
Community and Rural Medicine
4.00
3.35
7.00
6.41
2.10
Family Medicine
2.00
0.10
3.00
4.00
3.00
College of Community Health Sciences
Health Promotion and Wellness
0.50
Internal Medicine
0.50
Obstetrics & Gynecology
0.50
0.05
Pediatrics
2.00
3.00
1.00
0.82
0.50
Rural Health Institute for Clinical and Translational Science
7.34
10.55
10.70
6.83
5.50
College of Continuing Studies
9.87
4.00
12.00
10.00
9.00
Academic Outreach
2.00
0.70
0.35
2.00
Dean’s Office, Continuing Studies Environmental & Industrial Programs Professional & Management Programs College of Education
1.33
5.30
3.65
5.2
3.00
2.00
2.00
4.00
1.34
1.00
4.00
4.00
3.00
42.47
29.20
38.87
42.86
32.42
Curriculum & Instruction
5.97
6.00
9.22
5.86
7.89
Dean’s Office, Education
2.00
1.00
Ed. Leadership, Policy, & Technical Studies
3.00
3.20
Education Policy Center
6.00
2.00
Ed. Studies in Psych, Res. Methods, Counselling
1.00
1.00
14.50 4.50
In-Service Center Kinesiology
27
0.30 2.00
7.15
6.20
1.00
1.50
6.90
8.42
1.00
7.20
10.15
8.00
5.00
6.00
3.60
4.00
3.00
Submissions - All Sponsored Programs By College/School/Unit and Department
College/School and Department Special Education & Multiple Abilities College of Engineering Aerospace Engineering & Mechanics Alabama Engineering Research Lab
FY 06
FY 071
FY O8
FY O9
FY 10
5.50
2.80
7.00
8.43
7.53
191.90
155.34
202.28
226.45
217.78
23.85
17.94
12.92
15.57
12.82
1.04
Chemical & Biological Engineering
28.78
14.73
13.56
22.61
16.46
Civil, Const & Environmental Eng.
28.68
23.42
28.00
23.00
20.97
Computer Science
26.05
33.83
59.40
43.55
50.94
1.00
0.33
13.00
37.20
56.30
66.34
Dean’s Office, Engineering Electrical & Computer Engineering
13.40
Engineering Student Services
0.45
Industrial Engineering
5.19
4.15
Mechanical Engineering
43.68
23.13
26.67
29.86
26.94
Metallurgical & Materials Engineering
20.78
24.14
24.20
35.56
23.31
College of Human Environmental Sciences
25.50
15.00
17.35
33.45
23.35
Child Dev. Resources & Services
17.00
6.00
6.00
6.00
4.00
Consumer Sciences
0.20
Dean’s Office, HES Health Science
4.50
2.00
Human Development & Family Studies
0.10
3.00
13.25
6.30
1.20
3.30
3.00
3.00
2.45
3.95
1.90
2.50
3.00
Human Nutrition & Hospitality Management
1.00
RISE Program
3.00
4.00
3.00
6.00
5.00
School of Law
2.50
4.00
8.00
7.00
4.00
School of Law
2.50
4.00
8.00
7.00
4.00
Capstone College of Nursing
12.10
6.70
9.42
13.12
21.00
Capstone College of Nursing
12.10
6.70
9.42
13.12
21.00
School of Social Work
11.00
9.00
21.87
25.20
15.22
School of Social Work
11.00
9.00
21.87
25.20
15.22
28
Submissions - All Sponsored Programs By College/School/Unit and Department
College/School and Department
FY 06
FY 071
FY O8
FY O9
FY 10
University Libraries
1.00
2.00
1.00
1.00
University Libraries
1.00
2.00
1.00
1.00
590.61
468.62
563.83
630.16
644.20
40.35
42.39
41.75
27.58
25.70
1.00
1.58
15.00
16.00
11.00
4.00
9.00
Alabama International Trade Center
2.00
4.00
5.00
5.00
1.00
Alabama Museum of Natural History
5.00
3.00
2.00
Subtotal: Other Units/Departments Office for Academic Affairs Academic Affairs – Miscellaneous Alabama Disabilities Advocacy Program
0.25
Alabama Small Business Dev Consortium
5.00
Center for Com. & Ed. Technology
0.10
Center for Teaching & Learning
5.00
Dean’s Office, Graduate School
1.00
1.00
4.00
1.00
0.50
1.00
1.00
4.85
2.75
1.00
1.00
Moundville Archaeological Park
2.00
1.00
Office of Archaeological Research
7.00
9.00
10.00
3.00
5.00
MINT Program
Student Finacial Aid University Center for Econ. Dev.
0.70 3.00
4.04
4.00
5.00
2.00
University of Alabama Museums
1.00
1.00
1.00
2.00
University Press
1.00
2.00
Community Affairs
2.00
2.00
1.25
3.00
2.30
Community Affairs
2.00
2.00
1.25
3.00
2.30
Financial Affairs
1.00
11.67
10.35
6.80
Financial Affairs
1.00
11.67
10.35
6.80
University Relations
1.00
University Relations
1.00
29
Submissions - All Sponsored Programs By College/School/Unit and Department
College/School and Department
FY 06
Office for Research
4.04
AL Innovation & Mentoring of Entrep.
1.04
Office for Research Student Affairs
FY 071 4.00
Subtotal: Grand Total:
1
FY O9
FY 10
4.00
4.91
7.00
2.00
3.66
6.00
3.00
4.00
2.00
1.25
1.00
2.00
2.00
2.50
1.00
1.00
Student Affairs/Recreation Women’s Center
FY O8
1.50 2.00
2.00
1.00
1.00
1.00
49.39
50.39
61.17
46.84
42.80
640.00
519.00
625.00
677.00
687.00
Prior to FY 2007, continuations were counted as additional submissions.
30
Research Centers
Expenditures FY 07 - FY 10 Center
FY 07
FY 08
Aging Infrastructure Systems Center of Excellence
$1,680,852
$1,980,207
$680,025
$649,284
Alabama Innovation & Mentoring of Entrepreneurs
219,490
195,658
71,474
2,240
Alabama International Trade Center
446,511
498,435
560,911
416,644
Alabama Productivity Center
406,224
450,740
Alabama Small Business Development Consortium Belser-Parton Literacy Center
FY 09
FY 10
351,250
319,261
1,812,891
2,010,355
506,113
961,730
840,637
852,992
3,141,854
5,080,041
4,689,331
5,012,644
Center for Advanced Vehicle Technologies
311,474
529,159
502,390
816,694
Center for Business and Economic Research
400,788
624,988
447,329
324,713
Center for Economic Development
153,938
38,993
378,640
536,381
1,451,687
1,020,630
862,923
829,677
Center for Advanced Public Safety
Center for Freshwater Studies Center for Green Manufacturing Center for Materials for Information Technology Center for Mental Health and Aging Center for Prevention of Youth Behavior Problems
351,705
300,314
271,730
341,737
2,556,062
2,029,411
1,870,211
1,836,728
346,347
165,624
501,359
307,727
1,165,929
968,289
832,295
1,089,148
55,244
104,638
Center for Sedimentary Basin Studies Education Policy Center
112,673
112,640
406,523
535,608
Environmental Institute
187,931
63,909
517,761
154,932
In-Service Center
4,835,553
4,388,860
3,816,877
3,529,335
Institute for Social Sciences Research
1,128,377
735,404
424,896
357,149
24,190
229,098
694,928
594,856
127,616
171,949
115,811
101,811
3,118
18,436
447,945
385,854
Rural Health Inst. for Clinical & Translational Sci. Small Business Development Center Summersell Center for the Study of the South University Transportation Center for Alabama
Total
459,318
664,396
$20,014,632 $21,210,475 $21,156,499 $21,128,844
31
Research Centers
Awards FY 07 - FY 10 Center
FY 07
Aging Infrastructure Systems Center of Excellence
$83,998
Alabama Innovation & Mentoring of Entrepreneurs
297,970
Alabama International Trade Center Alabama Productivity Center
FY 08
FY 09
FY 10
$1,381,872
$427,685
$591,668
260,801
725,743
487,068
340,160
420,000
420,000
353,000
347,000
2,599,656
1,980,190
Alabama Small Business Development Consortium Belser-Parton Literacy Center
3,542,166
43,000
46,000
46,750
Center for Advanced Public Safety
2,930,336
2,870,779
5,287,639
5,226,040
Center for Advanced Vehicle Technologies
779,295
630,905
140,648
530,003
Center for Business and Economic Research
329,814
657,976
359,501
1,543,360
Center for Economic Development
214,761
504,000
439,375
92,796
Center for Freshwater Studies
526,386
984,561
561,616
712,790
Center for Green Manufacturing
503,032
284,533
423,262
869,564
1,826,049
2,356,884
1,398,515
1,507,767
257,120
251,194
715,544
33,144
25,476
761,947
823,834
1,150,968
Center for Materials for Information Technology Center for Mental Health and Aging Center for Prevention of Youth Behavior Problems Center for Sedimentary Basin Studies
228,284
10,000
717,404
Education Policy Center
1,136,747
290,697
290,697
291,965
Environmental Institute
40,000
72,585
694,056
403,672 3,620,658
In-Service Center
3,563,380
4,613,573
6,481,137
Institute for Social Sciences Research
431,618
803,252
412,033
Rural Health Inst. for Clinical & Translational Sci.
237,991
769,773
879,004
543,875
64,502
184,502
40,000
64,502
Small Business Development Center Summersell Center for the Study of the South
50,000
University Transportation Center for Alabama
Total
222,990
560,503
138,395
706,437
$17,694,432 $19,396,563 $23,058,665 $21,320,713
32
Research Centers
Submissions FY 07 - FY 10 Center
FY 07
FY 08
FY 09
FY 10
Aging Infrastructure Systems Center of Excellence
1
6
7
11
Alabama Innovation & Mentoring of Entrepreneurs
1
4
6
Alabama International Trade Center
4
6
5
1
Alabama Productivity Center
4
3
2
1
5
4
Alabama Small Business Development Consortium Belser-Parton Literacy Center Center for Advanced Public Safety Center for Advanced Vehicle Technologies
1
3
4
5
11
22
14
17
1
3
5
1
13
9
3
5
Center for Economic Development
3
4
5
2
Center for Freshwater Studies
2
7
14
16
Center for Green Manufacturing
2
1
27
17
10
10
12
23
Center for Mental Health and Aging
6
13
12
22
Center for Prevention of Youth Behavior Problems
2
3
10
14
Center for Business and Economic Research
Center for Materials for Information Technology
Center for Sedimentary Basin Studies
3
2
4
Education Policy Center
3
1
4
6
Environmental Institute
5
7
2
3
In-Service Center
5
10
8
5
Institute for Social Sciences Research
2
2
4
2
12
12
13
8
2
2
4
1
Rural Health Inst. for Clinical & Translational Sci. Small Business Development Center Summersell Center for the Study of the South
1
University Transportation Center for Alabama
Total
33
2
4
5
5
92
132
171
179
Research Compliance The Office for Research Compliance (ORC) provides support and training for faculty members, researchers, students and staff in regulatory requirements for scientific research. ORC is responsible for the development and implementation of University policies related to use of animals in research training and demonstration (Institutional Animal Care and Use Committee), human subjects in research (Institutional Review Board), conflicts of interest, misconduct in science, export control, Responsible Conduct of Research (RCR) and other regulatory compliance programs.
Highlights – 2010 • •
• •
• •
Processed more than 2000 requests during 2010. Provided additional “hands-on” IRB training sessions for first time applicants for research involving human subjects. The sessions provide a general overview of the steps for submitting an IRB application, what to expect during the review process, post approval expectations and tips to ease the overall review process. Hosted the second IRB retreat for medical and non-medical IRB members to foster scientific and social interactions among faculty, staff and community members affiliated with the IRB. Provided extensive training to staff, faculty and board members for each program managed by the ORC. The trainings have been in the form of seminars and webinars as well as online training. This training has allowed the ORC to operate more efficient processes and better manage programs while maintaining continued compliance with University and federal regulations. Negotiated in summer 2010 a memorandum of understand with Tuscaloosa VA Medical Center (VAMC) so that proposals from University investigators conducted completely at VAMC could be reviewed only by VAMC’s IRB (with notification to the University IRB). Continued implementation and management of the RCR plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduates, graduate students, and postdoctoral researchers supported by NSF or NIH funding.
Institutional Review Board for the Protection of Human Subjects in Research
In accordance with University of Alabama policy governing the use of human subjects in research, as described in the Federal-wide Assurance (FWA) maintained with the U.S. Department of Health and Human Services (DHHS), Office for Human Research Protections (OHRP), all human subjects research conducted by or under the auspices of The University of Alabama is performed in accordance with Title 45 of the Code of Federal Regulations, Part 46 (45 CFR 46). In addition, the actions of The University of Alabama conform to all applicable federal, state and local laws and regulations. Institutional policy requires that all research involving human subjects (as defined in 45 CFR 46) that is conducted by anyone affiliated with The University of Alabama (i.e., all faculty, staff, undergraduate and graduate students, postdoctoral fellows) must be reviewed and approved by the Institutional Review Board for the Protection of Human Subjects in Research (IRB) prior to such studies being undertaken. This policy applies to any work whether new, ongoing, or proposed for funding, whether conducted at the University or elsewhere. The University of Alabama currently has two IRBs in operation and approved by the Department of Health and Human Services. The University of Alabama has one IRB dedicated to Non-Medical or social science, behavioral sciences and educational research as well as a Medical IRB which is dedicated to review of clinical trials and other medical related research. Animal Care Program Oversight of the care and use of animals in research and instruction is the responsibility of the Institutional Animal Care and Use Committee (IACUC) as required by the Public Health Service (PHS)
34
and the USDA. In July 2006 the Office for Laboratory Animal Care reviewed and approved the renewal of the University of Alabama Animal Welfare Assurance for the next five years. This document is a legally binding institutional commitment to the Public Health Service (PHS) and is necessary to receive PHS support. The assurance number is A3202-01. The Association for the Assessment and Accreditation of Laboratory Animal Care - International (AAALAC) granted The University of Alabama Full Accreditation in 1980 and conducted the most recent re-accreditation site visit in November 2008. AAALAC accreditation is accepted as evidence of program excellence and demonstrates that an institution is in full compliance with all Federal animal welfare policies and regulations. Accreditation by AAALAC is the only accreditation recognized by the Public Health Service evidencing compliance with the PHS Policy on the Humane Care and Use of Laboratory Animals. Within the past year the IACUC has reviewed and approved 39 protocols. There were no protocols suspended because of non-compliance. Financial Conflict of Interest The ORC is responsible for obtaining financial conflict of interest disclosures for all faculty members engaged in funded research. University policies mandate that all principal investigators, co-principal investigators, and any other person at the institution who is responsible for the design, conduct, or reporting of funded research is required to disclose all significant financial interests that would reasonably appear to be affected by the research. When a potential hazard is recognized, the ORC will work closely with the faculty member and other responsible parties to ensure an adequate conflict of interest management plan is developed with the best interest of the investigator and the University in mind.
Export Control The ORC is responsible for ensuring federal export control regulations are followed by faculty members conducting research. It is University of Alabama policy that, absent extraordinary circumstances, teaching, research, and service will be accomplished openly and without prohibitions or restrictions on the publication and dissemination of the results of academic and research activities. Therefore, it is the policy of The University of Alabama to pursue its mission in teaching, research, and service in a manner that is consistent with the applicable export control regulations while making reasonable efforts to maximize the situations in which the University may claim the benefit of the public domain for fundamental research exemptions to the regulations. Cuba Travel Authorizations The University of Alabama ORC maintains a license from the United States Department of the Treasury, Office of Foreign Assets Control, which allows students enrolled in undergraduate or graduate degree programs and full-time permanent employees to engage in travel-related transactions involving Cuba. The ORC is responsible for reviewing each Cuba related travel request and determining if the request conforms with the travel regulations as set forth in 31 CFR 515.560 (c). Between the period of October 2009 to September 2010, 30 Cuba travel requests were reviewed and approved by ORC. Scientific Misconduct ORC provides support to the University in the effort to promote ethical conduct of research. University policies and procedures are consistent with PHS polices on research misconduct under 42 CFR Part 46. Over the past year there was one allegation of scientific misconduct at The University of Alabama.
35
RESEARCH COMPLIANCE THE UNIVERSITY OF ALABAMA OFFICE FOR RESEARCH FINANCIAL CONFLICT OF INTEREST, EXPORT CONTROL, IACUC, CLINICAL TRIALS AND INSTITUTIONAL REVIEW BOARD 10/1/2006 – 9/30/10 Financial Conflict of Interest
FY 06
FY 07
FY 08
FY 09
FY 10
61
57
59
47
64
0
1
2
2
6
102
115
139
157
175
37
43
42
59
30
37
20
29
29
39
9
9
9
4
4
0
0
0
0
1
Number of Projects Monitored (IRB)
37
51
107
Number of Projects Monitored (IACUC)
20
22
33
713
1237
959
Number of Disclosures Number of Conflict Management Plans
Export Controls Number of Disclosures Number of Licenses (Cuba) IACUC Number of Approved Protocols Clinical Trials Number of Active Trials Scientific Misconduct Number of Allegations Post Approval Monitoring (PAM)
Institutional Review Board (IRB) for Protection of Human Subjects Number of Investigators who completed Human Subject Research Training
681
633
Number of Reviewed Protocols Modification
179
Exclusions
5
15
17
13
15
Exempt
144
79
97
105
111
Expedited
294
425
403
493
563
Full Board
50
47
58
85
98
493
566
575
696
966
Total
36
Office for Technology Transfer The mission of the Office for Technology Transfer (OTT) is to effectively protect, manage and deploy the intellectual property assets of The University of Alabama. OTT is primarily responsible for commercializing the patented innovations generated by University faculty, staff and students, either through licenses to industry or via the formation of spin-off companies based on University technologies. The office also works in collaboration with the Office for Sponsored Programs, faculty and staff to secure external funding for research and development activities associated with University-patented inventions. Through its support of and participation in Alabama Launchpad, the state’s premier business plan competition, OTT and the University contribute to economic growth in the state. Over the past four years, the University has begun to realize a return on investment (ROI) in its technology transfer enterprise. This ROI is a direct result of the administration’s ongoing support of OTT, the commitment of University researchers to think about innovation, and OTT’s pledge to position the office at the forefront of technology commercialization and establish best practices for the new, evolving technology transfer model. The model focuses on making the best business decisions possible for the University and positioning our innovations for commercial viability. For example, we have adopted practices to leverage our intellectual property in a manner that encourages longterm strategic partnerships with industry partners and other stakeholders. OTT is also recruiting an External Advisory Board to assist in implementing an accelerator fund for proof-of-concept funding and prototype development, thereby adding value to our early-stage innovations for more effective deployment into the commercial sector.
Highlights – FY 2010 • While the number of invention disclosures fell by 25% from FY 2009, the number of disclosures is
still well above the national average in proportion to research expenditures. • OTT executed two new option/license agreements in FY 2010. • Of the 20 semi-finalist teams in the 2009/2010 Alabama Launchpad Business Plan Competition, four submitted plans based on OTT-managed technologies. A fifth team’s plan was based on an
37
external technology submitted by AIME. Two University teams were subsequently selected for the finals. • PheroGreen, LLC, a Bama Technology Incubator company that is developing a slow-release pheromone technology for control of the coddling moth in fruit orchards, placed third in the 2010 Alabama Launchpad competition. • FreezePruf®, a plant cryoprotectant developed at the University and that was introduced to the consumer market in FY 2009 is presently undergoing field test trials to determine if it is a viable product for the commercial growers’ market. • Sponsored research agreements based on UA-owned technologies, combined with SBIR and STTR grants, generated over $500,000 for the University in FY 2010. Although The University of Alabama was a late entry into the technology transfer and commercialization arena, OTT remains steadfast in its vision of what technology transfer is and should be. First and foremost, we are a service organization committed to ensuring that inventions created by University faculty, staff and students are effectively commercialized. Moreover, OTT views technology transfer as a series of ongoing, long-term partnerships, alliances and relationships with established companies, our spin-off ventures and other stakeholders, and we remain committed to the growth of the technology transfer enterprise at The University of Alabama.
Intellectual Property and Licensing 10/1/2005– 9/30/2010
Annual Activity
FY06
FY07
FY08
FY09
FY10
15 36 8 9 19 0 2
46 48 16 6 26 0 24
41 84 17 4 63 5 6
41 35 17 4 5 4 7
31 45 17 5 23 1 7
1 0 29 7 0 0
5 1 39 15 4 8
3 1 35 18 2 2
3 2 43 17 1 0
2 3 45 17 2 6
$0 $185,000 $0
$150,000 $815,000 $436,091
$43,000 $552,000 $524,000
$25,000 $460,000 $374,568
$77,000 $466,000 $324,000
$185,000
$1,401,091
$1,119,000
$859,658
$867,000
Metrics Invention Disclosures Patent Applications – U.S. or PCT Provisional Patent Applications U.S. Utility Filings Foreign Filings Patents Awarded – U.S. Patent Awarded - Foreign License/Option Agreements Executed Yielding Income Non-disclosure Agreements Material Transfer Agreements Inter-institutional Agreements Sponsored Research Agreements Income Licensing/Royalty Income Sponsored Research Income1 Associated Income Total Income
Sponsored Research Income is based on funding agreement from companies that have licensed UA intellectual property and may also be included in the figures provided in the Office for Sponsored Programs section of this Annual Report. 1
38
Alabama Innovation and Mentoring of Entrepreneurs The Alabama Innovation and Mentoring of Entrepreneurs (AIME) Center is dedicated to enhancing the culture of high technology research and development through innovation, mentoring, and entrepreneurship. The primary mission of AIME is to identify and facilitate value-added innovation and foster entrepreneurship leading to commercialization of intellectual property created by faculty and students at The University of Alabama. AIME works for the University by: • Bringing together highly productive and creative multifunctional, multidisciplinary researchdevelopment teams that include researchers and students. • Forming teams of highly motivated students for market research and business model/plan development to evaluate markets where University ideas and intellectual property can penetrate. • Teaching undergraduate and graduate students of various disciplines (engineering, science, business, law) how to start a company through training in entrepreneurship and innovation. • Forming and implementing strategic partnerships with other universities, industry and government agencies. Highlights – FY 2010 AIME researchers continued the development of several new technologies to strengthen the University of Alabama patent portfolio for the ionic liquid market. This year’s development work at AIME has also resulted in two filed patents. The visibility of AIME has continued to broaden to entities outside of the state of Alabama with the AIME Director acting as Co-Chair for the American Chemical Society division of Business and Development and as Editor of its newsletter. Student Entrepreneurship and Innovation teams produced twenty-three business models for University inventors. These reports assist the University Intellectual Property Committee and our outside legal counsel in the cost effective protection of University intellectual property. Eight student-based AIME teams were among thirty-four teams from across the state that participated in the Alabama Launchpad Business Plan competition. Two of the AIME teams advanced to the finals, with one of these teams winning third place. Six student teams from AIME participated in the 2010 Elevator Pitch Competition hosted by the Culverhouse College of Commerce and Business Administration, and one of the teams won second place. AIME hosted its inaugural AIME Day, in which it showcased all of the AIME-sponsored activities in prototype development or incubator support and gave business plan presentations to a panel of judges. Throughout FY 10, strategic partnerships continued to develop with diverse companies. Product Development The projects developed by AIME are focused on adding valuation to University Intellectual Property. Thus, each project has an associated supporting business plan and is positioned to present a licensing opportunity or to be the basis for a start-up company. • • • • • • • •
Development Development Development Development Development Development Development Development recovery
of of of of of of of of
ionic liquids for solar cell applications coal-wood composites for co-firing processes self-assembled graphene sheets pectin-based beads for anti-tumor applications pectin-based beads for pesticide applications pectin-based macrobeads for colon-specific drug delivery preparation methods of conductive polymers utilizing ionic liquids ionic liquid-amine carbamate platform for biomass processing and ionic liquid
39
Student Entrepreneurship and Innovation Triage Teams The Office of Technology Transfer provided invention disclosures to student teams. Students researched patents and prior art and presented completed business models to the inventors, who could choose whether or not to utilize the model. FY 2010 Disclosures Received
23
Models Produced
23
Utilization by Inventor
23
Alabama Launchpad Business Plan Competition Thirty-four teams registered to participate in the state-wide 2009-2010 Alabama Launchpad Business Plan Competition. Thirteen of those teams were from The University of Alabama, including eight from AIME. Two teams advanced to the finals with one team winning third place. In conjunction with the Alabama Launchpad competition, AIME once again hosted a Business Plan Writing workshop. Elevator Pitch Competition Six student teams from AIME entered the spring 2010 Elevator Pitch Competition that is hosted by the University’s Culverhouse College of Commerce and Business Administration, with one of these teams finishing in second place. Strategic Partnerships AIME staff members have developed and/or maintained strategic partnerships, throughout FY 2010, with the following entities: Harbert Venture Partners, Greer Capital, Flourishing Business, UAB, Queen’s University Belfast, CytoViva, Ascend Performance Materials, Auburn University, Nippon Chemicals, Sutterlin Technologies, The White Oak Group, Global Protocols, Parker Towing, Alabama Development Office, Tuscaloosa County Industrial Development Authority, Hancock Horizon Funds, KOAI, Southern Research Institute, Louisiana State University, Park Manor Health & Rehabilitation LLC, Mark Rubino, Globe Metallurgical, Maxwell, Bruce Rhyne.
40
Central Analytical Facility The Central Analytical Facility (CAF) is a user-faculty enabling and facilitating, collaborative, multiinvestigator, multi-campus, regional facility involving major research instrumentation. Its mission is service in support of the teaching, research and service missions of The University of Alabama. The state-of-the-art instrumentation is used in formal classes to teach students modern techniques in materials characterization. Graduate students earn advanced degrees while being educated as experts on this instrumentation. The facility supports the research mission of the University by providing unique, cutting-edge capabilities. It supports the service mission of the University by providing sister institution, industrial and government laboratories access to the instruments. During fiscal year 2010, the number of trained users increased to 234. The University CAF is a beacon of major research instrumentation for the State of Alabama and for the Southeast region. Highlights • •
• • •
•
The unique capabilities of the CAF’s LEAP have attracted scientists from the University of Florida, the University of Michigan and the Massachusetts Institute of Technology to visit the University to use the LEAP in their research. With support from the University’s College of Engineering, the CAF has purchased the NanoMegas ASTAR System. This is an upgrade for the Tecnai F20 transmission electron microscope that adds electron back scattered detection. This provides scientists the means to determine crystal orientation and phase mapping for nanocrystals. Rich Martens and Greg Thompson attended the 52nd International Field Emission Symposium in Sydney, Australia. They made a presentation to the program committee and were awarded the 53rd IFES. It will be held in Tuscaloosa on the campus of The University of Alabama in May 2012. The CAF has implemented the CAF Instrumentation Expert program to recognize those rare, highly accomplished instrument users. The first two CAF Instrumentation Experts will be announced in early December. The CAF installed 3D serial sectioning – EBSD (texture analysis) platform capability on our FEI Quanta 3D FIB. This upgrade was funded by a combination of a NASA grant with investigators Gregory Thompson and Mark Weaver (Department of Metallurgical and Materials Engineering) and some start up funding from Alberto Perez-Huerta (Department of Geological Sciences). The cutting edge capability allows the users to provide quantitative analysis of grain boundary character, such as mis-orientation, which helps develop microstructure models that can lead to means to engineer grain boundary character for improved properties, such as mechanical strength. The 3D ability also reveals the true morphology of the material’s microstructure, which is often inferred from 2D images. This attachment, along with our atom probe tomography capability and TEM tomography capability allows CAF users the opportunity to characterize a material in 3D from angstroms (atoms) to hundreds of microns or six orders of magnitude in length scale. Karen Torres Henry, a graduate student user of the instruments in the CAF was awarded the Microscopy Society of America’s MSA Presidential Student Award.
Instrumentation: • Atom Probe. Imago LEAP®. Atom probe tomography determines the structure of a material with near atomic resolution. It finds application in understanding the grain structure in metallurgy, charactering very thin multilayered magnetic materials, determining the distribution of dopant atoms in semiconductor junctions. • Electron Microprobe. JEOL-8600. The electron microprobe is a SEM with wavelength dispersive x-ray detectors and a cathode luminescence detector. This instrument is most often used to map the elemental composition of geological specimens. • Scanning Electron Microscopes. Philips XL-30 and JEOL-7000. The SEM provides high resolution
41
•
•
•
images of samples. Both instruments have an energy dispersive x-ray detector, allowing elemental mapping. Transmission Electron Microscope. FEI Tecnai TF-20 STEM. TEM images of thin sample specimens allow scientists to characterize the microstructure of the samples. In the STEM and the EDX detector, high resolution maps of elemental composition can be obtained. Selected area electron diffraction provides structural characterization. Focused Ion Beam. FEI Quanta 3D Dual Beam. The dual beam FIB has a tungsten filament electron source for imaging and a gallium ion source for ion milling samples. This instrument is most often used to prepare specimens for TEM or for atom probe tomography. XPS-Auger Electron Spectroscopy. Kratos Axis 165. Is a multi-technique Electron Spectometer equipped with both standard dual (Mg/Al) anode and monochromatic X-ray sources for XPS analysis and imaging; an electron gun for AES analysis and Auger or secondary electron imaging; and an ion gun for sputter depth profile, sample surface cleaning and sputter deposition. This instrument allows scientists to determine the composition and chemistry of surfaces.
Instrument Usage 10/01/09 to 09/30/10 Instrument Name Atom Probe - Imago LEAP® Electron Microprobe - JEOL-8600 SEM - Philips XL-30 SEM - JEOL-7000 TEM - FEI Tecnai TF-20 FEI Quanta 3D Dual Beam XPS-Auger - Kratos Axis 165 Brukker D8 XRD
Total Hours 2096 1253 704 2463 2465 2624 710 1188
Facility Users 10/01/09 to 09/30/10 UA Departments and Centers
External Users
Aerospace Engineering
Geological Survey of Alabama
Biological Sciences
Mississippi State University
Chemical Engineering
St. Jude Children’s Research Hospital
Chemistry
UAB Materials
Electrical and Computer Engineering
UAB – Biomedical Engineering
Geological Sciences
UAB – Physics
Mechanical Engineering
University of Florida
Metallurgical and Materials Engineering
University of Michigan
MINT Center
University of North Alabama
Physics and Astronomy
42