Office of Grants and Contracts Administration

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2001 - 2002
Annual Report

• Office of Grants and Contracts Administration

The University of Alabama at Birmingham July 2002
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TABLE OF CONTENTS
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TABLE OF CONTENTS (Continued)
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Trends in Extramural Support Active Awards

• In the past year, extramural support for UAB
  increased by 44,100,939, bringing total active
  awards to 364,904,661 from 320,803,722. This
  represents a 13.7 increase. (Exhibit I) Note
  Because of the award process used by the CDC, the
  information in Exhibit I does not capture the
  Special Interest Projects (SIPs) which in FY01
  amounted to 7,679,045 dollars resulting in
  underestimates of total awards in the Departments
  of Medicine (3,146,302), Psychology
  (3,119,802), Health Behavior (431,327),
  Occupational Therapy (336,852), Health Care
  Organization Policy (241,607), Obstetrics
  Gynecology (149,994), Health Services
  Administration (130,806) and Oral Biology
  (122,355).
• The volume of awards remained steady with a total
  of 1914 active awards. This represents less than
  a 1 decrease from last years 1933 active
  awards. (Exhibit III)
• The number of active contracts in FY02 increased
  slightly from 849 to 853, while the FY02 volume
  of active grants decreased slightly from 1084 to
  1061. (Exhibit V)
• The number of awards received that exceeded
  500,000 grew from 80 awards in FY01 to 90 awards
  in FY02, an increase of 12.5. These awards
  comprise 5 of total awards received. Forty
  percent of all awards are between 100,000 and
  500,000. (Exhibit VI)
• The majority of awards continue to be for the
  School of Medicine and the Joint Departments.
  Awards to the School of Medicine represent 59.34
  of all awards to UAB and awards to the Joint
  Departments represent 17.9. (Table I)
• The School of Medicine had the largest increase
  in awarded dollars. Medicine had a growth of
  more than 34 million, representing an 18.7
  increase. The Joint Departments had the second
  largest increase in awarded dollars growing by
  more than 6 million. The School of Engineering
  was the third with an increase of 3.1 million.
  (Table I)
• The units with the largest percentage growth in
  dollars awarded since last year were UAB
  Options (78.44), the School of Education
  (58.57), and the School of Engineering (52.44).
  (Table I)

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EXHIBIT IActive Grants and Contracts As of July
11993 - 2002
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EXHIBIT IIGrowth in Grant and Contract Awarded
Dollars1993 - 2002
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EXHIBIT IIIGrowth in Number of Active
Awards1993 - 2002
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EXHIBIT IVComparison of New Awards and
Non-Competing Continuation Awards1993 - 2002
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EXHIBIT VVolume of Grants and Contracts1993 -
2002
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EXHIBIT VIAwards Received by Size2002
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EXHIBIT VIIActive Dollars by SchoolAs of 7/1/02
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UAB Full Time Faculty as of July 1
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EXHIBIT VIIISchool of Dentistry1996 - 2002
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EXHIBIT IXActive Dollars by Department for
School of DentistryAs of 7/1/02
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EXHIBIT XSchool of Health Related
Professions1996 - 2002
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EXHIBIT XIActive Dollars by Department for
School of Health Related ProfessionsAs of 7/1/02
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EXHIBIT XIISchool of Medicine1996 - 2002
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EXHIBIT XIIIActive Dollars by Department for
School of MedicineAs of 7/1/02
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EXHIBIT XIVActive Dollars by Division for
Department of MedicineAs of 7/1/02
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EXHIBIT XVJoint Departments1996 - 2002
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EXHIBIT XVIActive Dollars by Department for
Joint DepartmentsAs of 7/1/02

The Department of Comparative Medicine was
renamed Genomics and Pathobiology.
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EXHIBIT XVIISchool of Nursing1996 - 2002
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EXHIBIT XVIIIActive Dollars by Department for
School of NursingAs of 7/1/02
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EXHIBIT XIVSchool of Optometry1996 - 2002
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EXHIBIT XXSchool of Public Health1996 - 2002
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EXHIBIT XXIActive Dollars by Department for
School of Public HealthAs of 7/1/02
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EXHIBIT XXIISchool of Arts Humanities1996 -
2002
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EXHIBIT XXIIISchool of Business1996 - 2002
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EXHIBIT XXIVActive Dollars by Department for
School of BusinessAs of 7/1/02
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EXHIBIT XXVSchool of Education1996 - 2002
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EXHIBIT XXVIActive Dollars by Department for
School of EducationAs of 7/1/02
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EXHIBIT XXVIISchool of Engineering1996 - 2002
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EXHIBIT XXVIIIActive Dollars by Department for
School of EngineeringAs of 7/1/02
The Department of Materials Mechanical
Engineering has split into two separate
departments.
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EXHIBIT XXIXSchool of Natural Science
Mathematics1996 - 2002
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EXHIBIT XXXActive Dollars by Department for
School of Natural Science MathematicsAs of
7/1/02
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EXHIBIT XXXISchool of Social Behavioral
Sciences1996 - 2002
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EXHIBIT XXXIIActive Dollars by Department for
School of Social Behavioral SciencesAs of
7/1/02
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EXHIBIT XXXIIIGraduate School1996 - 2002
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EXHIBIT XXXIVUAB Options1996 - 2002
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Trends in Indirect Cost Recovery

• This years awarded indirect cost dollars of
  74,392,290 represent 25.6 of the total
  extramural support dollars of 364,904,661.
  (Exhibit XXXV)
• The indirect cost dollars awarded rose 12.6
  since last year. Awarded indirect dollars are
  74,392,290 this year versus 66,074,909 last
  year. Since FY99, there has been a 28.95
  increase (16,702,173). (Table II)
• Indirect cost recovery from philanthropic
  foundations has increased steadily since 1999,
  reaching 762,471 in FY02. (Table II)
• Awards from Federal government agencies accounted
  for the majority of indirect dollars. Federal
  sources represent 84.6 (62.9 million) of the
  awarded indirect cost dollars. Industry is the
  second leading source of indirect cost dollars
  with 9,520,719 this fiscal year. (Exhibit
  XXXVI)
• 95.3 of the indirect dollars were from research
  projects. The remaining 4.7 came from service
  and training projects. Indirect dollars from
  training nearly doubled last year. (Table III)
• Projects of the School of Medicine and Joint
  Departments accounted for 79.93 of the awarded
  indirect dollars for FY02. (Table IV)
• Faculty from the Joint departments account for
  only 9 of total faculty but generated 23 of the
  indirect dollars awarded in FY02. (Table IV)
• Since FY99, the awarded indirect dollars for the
  School of Medicine has increased by over 12.7
  million, the single largest dollar increase for
  any of the schools. Joint Departments had the
  second largest growth in indirect dollars since
  FY99 with an increase of 3.5 million. (Table
  IV)
• The School of Medicine, the Joint Departments,
  the School of Optometry, and the Graduate School
  contribute the largest percentage of indirect
  dollars relative to full time faculty
  appointments. (Table IV)

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EXHIBIT XXXVDirect and Indirect Awarded Dollars
7/1/02
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Federal sponsor type includes federal dollars as
well as federal dollars passed down to UAB
through a non-federal agency.
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EXHIBIT XXXVIDistribution of Awarded Indirect
Dollars by Sponsor TypeAs of 7/1/02
Federal sponsor type includes federal dollars as
well as federal dollars passed down to UAB
through a non-federal agency.
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Federal sponsor type includes federal dollars as
well as federal dollars passed down to UAB
through a non-federal agency.
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UAB Full Time Faculty as of July 1
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EXHIBIT XXXVIIAwarded Direct and Indirect
Dollars by School 7/1/02
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Trends in Proposal Submission

• The School of Medicine and the Joint Departments
  submitted the largest number of proposals this
  fiscal year (a total of 2,054) and had the
  largest amount of dollars requested
  (985,591,363). This represented an 18.9 growth
  in dollars requested and a 6.4 growth in volume.
  The Joint Departments account for 9 of the full
  time faculty but 18.4 of the proposals
  submitted, 21.8 of the dollars requested, and
  17.9 of the dollars awarded. (Tables V and VI)
• Of the ten departments with the largest number of
  proposals submitted, seven were in the School of
  Medicine, two were in the Joint Departments, and
  one was in the School of Engineering. These ten
  departments account for 40 of all submissions.
  (Table VII)
• The volume of proposals submitted rose from 2,761
  last year to 2,878, a 4.2 increase. Since FY99,
  there has been a 12.5 increase in submissions.
  (Exhibit XXXVIII)
• The volume of proposals submitted to non-federal
  sponsors rose from 1,011 in FY01 to 1,117 in
  FY02, an increase of 10.5. The volume of
  proposals to the federal government rose slightly
  from 1,750 in FY01 to 1,761 in FY02. (Exhibit
  XXXVIII)
• UAB faculty have a high success rate for the
  proposals submitted for extramural funding across
  all sponsor types. The highest rates of award
  versus proposals submitted are for proposals
  submitted to industry sponsors (88.3 awarded),
  the State of Alabama (77.1 awarded), and local
  agencies (70.8 awarded). These high rates
  probably result from the fact that proposals are
  rarely submitted to these sponsors without
  preliminary contacts having been made. The
  success rate of UAB proposals submitted to the
  federal government is an impressive 48.7. The
  statistics quoted are for FY01, the latest year
  with complete data. The numbers do not include
  proposals for non-competing continuations,
  supplements, and revisions. (Table VIII)
• Proposals to the DOD have increased by 42.8 over
  the past three years. This is the largest
  increase in proposal submission to any of UABs
  leading sponsors. (Table IX)

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UAB Full Time Faculty as of July 1
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UAB Full Time Faculty as of July 1
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TABLE VII
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EXHIBIT XXXVIIIProposals Processed1993 - 2002
Federal sponsor type includes federal dollars as
well as federal dollars passed down to UAB
through a non-federal agency.
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EXHIBIT XXXIXProposals Submitted by Type1993 -
2002
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Trends in Sponsor Support

• Federal government grants and contracts continue
  to dominate as sources of extramural support to
  UAB. (Exhibit XL) Dollars from federal sources
  have increased over 30 since FY99, and
  constitute 75.2 of the total dollars awarded in
  2002. (Table X)
• Clinical trial awards accounted for 42,621,362
  in awarded dollars. Federal awards accounted for
  51.2 of the total and industry-sponsored awards
  for 46. The number of clinical trials has
  declined by 23.6 since FY98. (Table XI)
• Federal dollars for research projects accounted
  for 69.4 of UABs extramural support and
  non-federal funds for research represented 20.3.
  Service and training dollars, both federal and
  non-federal, composed the remaining 10.3.
  (Table XII)
• Federal support for training has increased by
  2.2 million since FY99. (Table XII)
• The majority of UABs extramural support
  continues to come from NIH. Since last year, NIH
  funds to UAB have risen approximately 24
  million, representing a 13.3 increase in one
  year. (Exhibit XLII)
• Since FY97 NIH funding has grown 69.6, an
  increase of 85.6 million. During this same
  five-year period, funds from non-federal sources
  have risen 41.4, an increase of 26.4 million.
  (Exhibit XLII)
• Within the NIH, the institutes providing the
  largest amount of funding to UAB are NIAID, NCI,
  and NHLBI. (Exhibit XLIII). In terms of the
  percentage of available dollars awarded for FY01,
  the leading NIH sponsors were the Fogarty
  International Center, NIAMS, NIAID, and NICHD.
  (Table XIII)
• The leading industry sponsor for the past three
  years has been Sankyo Co., LTD. (Table XIV)

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EXHIBIT XLDistribution of Awarded Dollars by
Sponsor TypeAs of 7/1/02
Federal sponsor type includes federal dollars as
well as federal dollars passed down to UAB
through a non-federal agency.
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Federal sponsor type includes federal dollars as
well as federal dollars passed down to UAB
through a non-federal agency.
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Federal sponsor type includes federal dollars as
well as federal dollars passed down to UAB
through a non-federal agency.
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EXHIBIT XLIFederal Funding Trends by
Purpose1993 - 2002
Federal sponsor type includes federal dollars as
well as federal dollars passed down to UAB
through a non-federal agency.
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EXHIBIT XLIIExtramural Funding Trends by
Source1993 - 2002
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EXHIBIT XLIIISources of Health and Human
Services Funding to UAB July 1, 2002
HHS Funding
NIH Funding
Dollars in Millions
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TABLE XV