Alfred P. Sloan Foundation

Alfred P. Sloan Foundation 630 5th Ave., Ste. 2550 New York, NY 10111-0242 Telephone: (212) 649-1649 Contact: Paul L. Joskow, Pres. Fax: (212) 757-5117 URL: www.sloan.org Type of Grantmaker: Independent foundation IRS Exemption Status: 501(c)(3) Financial Data (yr. ended 12/31/11): Assets: $1,653,512,812; Total giving: $75,008,312 EIN: 131623877 990-PF: 2011 2010 2009 2008 2007 2006 2005 2004 2003 2002 2001 E-Grant Reporter Glass Pockets Last Updated: 9/12/2012

Donor(s) Note: If a donor is deceased, the symbol (‡) follows the name. Alfred P. Sloan, Jr.‡ Irene Jackson Sloan‡ New Castle Corp.

Background Incorporated in 1934 in DE. Founded by the late Alfred P. Sloan, who was for many years the President and C.E.O. of General Motors Corp. He was active in the affairs of the foundation until his death in 1966. From 1934 to 1974, the foundation received gifts totaling about $182 million from him personally; from his estate and that of his wife's, Irene Jackson Sloan; and from New Castle Corp., their personal holding company. The foundation's funds are spent in two ways: 1) on programs and activities developed by foundation staff for which grants are awarded, usually on a competitive basis, to institutions; and 2) in response to unsolicited, competitively judged proposals.

Limitations Giving primarily focused on U.S. institutions with occasional grants to foreign institutions. No support for non-profit institutions, or for creative or performing arts (except for those that educate the public about science), humanities, religion, or primary or secondary education, or for projects aimed at pre-college students. No grants to individuals (except for research and publication), or for endowment or building funds, medical research, or equipment not related directly to foundation-supported projects; no loans.

Purpose and Activities Grants are made primarily to support original research and broad-based education related to science, technology, economic performance and the quality of American life. The foundation has a deep-rooted belief that carefully reasoned systematic understanding of the forces of nature and society, when applied inventively and wisely, can lead to a better world for all. In each of its grants programs, the foundation seeks proposals for original projects with a high expected return to society which are led by outstanding individuals or teams and for which funding from the private sector, government or other foundations is not yet widely available.

Program Area(s) The grantmaker has identified the following area(s) of interest: Basic Research The foundation believes that a carefully reasoned and systematic understanding of the forces of nature and society, when applied inventively and wisely, can lead to a better world for all. Grantmaking initiatives in STEM Research seek to expand that understanding by funding original, high-quality research in science, technology, engineering, and mathematics. Also funded through this area are programs that examine the ethical and societal risks associated with the pursuit of scientific knowledge and regulatory measures designed to mitigate those risks. To maximize impact, grantmaking focuses on a small number of limited initiatives. Current initiatives supported in this area include research characterizing microbiological populations in built environments, investigation into the abundance, distribution, and properties of deep earth carbon, and examinations of ethical and regulatory issues raised by advances in synthetic biology. For application information visit the foundation's website. Civic Initiatives Grants in this program area respond to unique opportunities to benefit the New York City metro area in ways that advance the foundation's interests in science, technology, engineering, mathematics and economics. Representative grants in this program include support for the Sloan Public Service Awards, which recognize achievement among NYC civil servants, and the Sloan Awards for Excellence in Teaching Science and Mathematics, which honor exceptional science and math instruction in NYC public schools. For application information visit the foundation's website. Digital Information Technology and the Dissemination of Knowledge Grants in this program area aim seeks to better our understanding of the relationship between technology, information, and society, primarily through research on and the development of digital information technology for the conduct of scholarly research and public engagement with knowledge. Grantmaking focuses on three sub-areas: data and computational research, scholarly communication, and universal access to knowledge. Grants in data and computational research aim to help researchers develop tools, establish norms, and build the institutional and social infrastructure needed to take full advantage of contemporary developments in data-driven, computation-intensive research. Grants in scholarly communication aim to support the development of new models of filtering and curating online scholarly materials and engage the emerging community of stakeholders and practitioners tackling similar issues in widely divergent disciplinary contexts. Grants in universal access to knowledge support the digitization and democratization of scientific and cultural knowledge in all its forms and aim to preserve its openness and accessibility for the widest public benefit. For application information visit the foundation's website. Economic Performance and the Quality of Life The foundation believes that a theory-based, empirically-tested understanding of the U.S. economy and the U.S. workforce is essential to improving the lives of all Americans. In this program area, the foundation funds grants to support high-quality research and programs to enhance U.S. economic performance and the quality of American life. To maximize impact, grantmaking focuses on a small number of limited initiatives. Current initiatives supported in this area include support for research on U.S. economic institutions, understanding work-life decisions made by older workers, research broadening our understanding of the science and engineering work force and efforts aimed at improving the quality of federal statistics. For application information visit the foundation's website. Public Understanding of Science Grants in this program area aim to enhance people's lives by providing a better understanding of the increasingly scientific and technological environment in which we live, and to convey some of the challenges and rewards of the scientific and technological enterprise and of the lives of the men and women who undertake it. The program supports the use of books, film, radio, television, theater, and other efforts to reach a wide general audience. For application information see the foundation's website. Sloan Research Fellowships This program seeks to stimulate fundamental research by early-career scientists and scholars of outstanding promise. Its two-year fellowships are awarded yearly to 126 researchers in recognition of distinguished performance and a unique potential to make substantial contributions to their field. Candidates are required: a ) to hold a Ph.D. (or equivalent) in chemistry, computer science, economics, mathematics, computational and evolutionary molecular biology, neuroscience, ocean sciences, physics or in a related interdisciplinary field; b) be members of the regular teaching faculty (i.e., tenure track) of a degree-granting college or university in the United States or Canada; and c) be no more than six years from completion of the most recent Ph.D. or equivalent as of the year of their nomination (some exceptions are made in special circumstances). Candidates must be nominated by department heads or other senior researchers. Direct applications are not accepted. The deadline is Sept. 15. For nomination and other information visit the foundation's website. STEM Higher Education Grants in the STEM Higher Education program area aim to increase the quality and diversity of higher education in science, technology, engineering and mathematics. To maximize impact, grantmaking focuses on a limited number of initiatives. Current initiatives include fellowship support for minority students engaged in post-graduate work in STEM disciplines, projects aimed at better understanding undergraduate and graduate retention and attrition in STEM fields, new applications of the science of teaching and learning STEM at the post-secondary level, and programs to help advance underrepresented minorities in leadership roles in science and academia. For application information visit the foundation's website.

Fields of Interest Subjects Economics Engineering/technology Family services Higher education Safety/disasters, research Science Science, administration/regulation Science, formal/general education Science, information services Science, public education Science, research

Geographic Focus National

Types of Support Program evaluation Research

Publications Annual report Application guidelines Grants list IRS Form 990 or 990-PF printed copy available upon request Informational brochure (including application guidelines)

Application Information Nomination forms available on foundation web site for fellowship candidates; direct applications not accepted. Application procedures are available at http://www.sloan.org/apply. Application form not required. Applicants should submit the following: Timetable for implementation and evaluation of project Results expected from proposed grant Qualifications of key personnel Copy of IRS Determination Letter Detailed description of project and amount of funding requested Initial approach: Letter of inquiry Copies of proposal: 1 Board meeting date(s): Quarterly Deadline(s): Rolling deadlines Final notification: Early in year for research fellowships; within 3 months for others

Officers and Trustees Note: An asterisk (*) following an individual's name indicates an officer who is also a trustee or director. Sandra O. Moose,* Chairperson

 Affiliation(s): 
 Strategic Advisory Services, President

Paul L. Joskow,* President

 Affiliation(s): 
 MIT, Elizabeth and James Killian Prof. of Economics, Emeritus

Leslie Lin,* Sr. Vice President, Finance and Operations William B. Petersen,* Sr. Vice President and C.I.O. Gail M. Pesyna,* Vice President, Human Resources and Program Management Doron Weber,* Vice President, Programs Christopher T. Sia,* Treasurer and Chief Technology Officer Richard Bernstein

 Affiliation(s): 
 Richard Bernstein Advisors, Chief Executive Officer

Kevin Burke

 Affiliation(s): 
 Consolidated Edison, Board Chairperson, Chief Executive Officer and President

Mary Schmidt Campbell

 Affiliation(s): 
 Tisch School of the Arts, New York University, Dean

Frederick Henderson

 Affiliation(s): 
 General Motors Corporation, Former President and Chief Executive Officer
 SunCoke Energies, Chairperson and Chief Executive Officer

Freeman A. Hrabowski, III

 Affiliation(s): 
 University of Maryland, Baltimore County, President

Peter S. Kim

 Affiliation(s): 
 Merck Research Laboritories, President

Robert Litterman

 Affiliation(s): 
 Quantitative Investment Strategies Group, Retired Chairperson
 Kepos Capital LP, Partner

James Poterba

 Affiliation(s): 
 National Bureau of Economic Research, Chief Executive Officer and President
 MIT, Mitsui Professor of Economics

Marta Tienda

 Affiliation(s): 
 Princeton University, Prof., Sociology and Public Affairs

Sheila E. Widnall

 Affiliation(s): 
 Massachusetts Institute of Technology, Institute Prof., Dept. of Aeronautics & Astronautics

Staff Number of Staff 30 unspecified staff Key Staff Note: Does not include officers. Julia Bellamy, Executive Assistant Joseph Bohrer, Director, Investments Elizabeth S. Boylan, Program Director Maria F. Charry-Vera, Acct. Kathleen E. Christensen, Program Director Nicholas Csicsko, Associate Investment Director Jeffrey Cunningham, Operations Management Specialist Delia DiBiasi, Sr. Program Assistant Peter DiFranco, IT/Budget Specialist Sonia Epstein, Program Associate Daniel L. Goroff, Program Director Joshua L. Greenberg, Program Director Dorigen Horlivy, Investment Operations Manager Sibo Lu, Program Associate Anne L. McKissick, Director, Grants Management and Information Svc(s). David Michel, Program Assistant Everod L. Nelson, Business Analyst Dorothy Noel, Program Assistant Paula J. Olsiewski, Program Director Travis Shore, Investment Director Nathan R. Williams, Communications Associate Sarah Winters, Program Assistant Yolanda Wolf, Program Assistant

Memberships Regional Associations of Grantmakers Philanthropy New York Associations and Other Philanthropic Organizations Council on Foundations Independent Sector

Financial Data Year ended 12/31/11: Assets: $1,653,512,812 (market value) Expenditures: $93,725,806 Total giving: $75,008,312 Qualifying distributions: $83,690,433 Giving activities include: $69,044,003 for grants $5,964,309 for grants to individuals $622,373 for foundation-administered programs

Additional Location Information County: New York Metropolitan area: New York-Northern New Jersey-Long Island, NY-NJ-PA Congressional district: New York District 12

Selected Grants The following grants are a representative sample of this grantmaker's funding activity: $10,000,000 to Astrophysical Research Consortium, Seattle, WA, in 2012. For the Sloan Digital Sky Survey IV, which will study the history of the Milky Way, the evolution of galaxies, and the expansion of the Universe and dark energy over the last 12 billion years, payable over 6 years. $4,398,616 to University of Michigan, Ann Arbor, MI, in 2011. To create and analyze datasets that combine the Health and Retirement Study (HRS) with data from the Census Bureau from the firms where HRS respondents have worked, payable over 5 years. $3,768,800 to National Action Council for Minorities in Engineering, White Plains, NY, in 2011. For Sloan Minority Ph.D. and Sloan Indigenous Graduate Partnership Program, payable over 5 years. $3,458,800 to National Action Council for Minorities in Engineering, White Plains, NY, in 2012. To fund obligations in the Minority Ph.D. program and the Sloan Indigenous Graduate Partnership, payable over 5 years. $3,200,145 to University of Texas, Austin, TX, in 2012. To follow up the original nationally representative High School and Beyond (HSB) study to produce a valuable new data infrastructure and research findings about the foundation for working longer, payable over 3 years. $3,000,000 to Wikimedia Foundation, San Francisco, CA, in 2011. To help Wikipedia develop and sustain its educational mission while constantly improving quality, diversity, and access to knowledge for people everywhere, payable over 3 years. $2,500,000 to W G B H Educational Foundation, Boston, MA, in 2011. To research and produce documentaries on the role of science and technology in history for The American Experience with ancillary outreach including interactive games and marketing campaign, payable over 2 years. $1,501,154 to University of Texas, Austin, TX, in 2011. To determine the capability of U.S. shale gas to contribute significantly to natural gas supply over the next twenty years, given various assumptions about natural gas prices, payable over 2 years. $1,200,000 to Digital Public Library of America, Cambridge, MA, in 2012. To launch Digital Public Library of America (DPLA) as independent, national organization and hire executive director and two key staff to begin operations and scale up for the first two years, payable over 2 years. $1,199,471 to Dartmouth College, Hanover, NH, in 2012. To increase understanding of how recessions, including the Great Recession, affect the labor market activities and retirement of older Americans, payable over 4 years. $685,950 to Mozilla Foundation, Mountain View, CA, in 2012. To improve the quality of software produced by scientists, and to drive the development of tools, practices, and diverse community around digitally networked science, payable over 2 years. $401,461 to Goudreau Museum of Mathematics in Art and Science, New Hyde Park, NY, in 2011. To equip science festivals with portable, interactive, and hands-on mathematical activities, payable over 2.25 years. $308,028 to National Bureau of Economic Research, Cambridge, MA, in 2011. To investigate the structure and performance of labor markets in the aftermath of the Great Recession, payable over 2 years. $270,250 to University of California, Berkeley, CA, in 2011. To collect and analyze experimental data for powerful statistical tests of how weatherization affects household energy efficiency, payable over 2 years. $249,739 to Harvard University, Cambridge, MA, in 2012. To examine the transmission of human associated microbes by public transportation surfaces, payable over 2 years. $125,000 to W E T A-Greater Washington Educational Telecommunications Association, Arlington, VA, in 2012. To enhance public understanding of the issues raised by aging U.S. workforce, payable over 1 year. $124,993 to Polytechnic University, Brooklyn, NY, in 2011. For a pilot project for a cyber security lecture series in New York City, payable over 1 year. $100,000 to San Jose State University, San Jose, CA, in 2012. For Winner of the 2012 Alfred P. Sloan Award for Best Practices for Faculty Retirement Transitions, payable over 1 year. $50,000 to Princeton University, Princeton, NJ, in 2011. For Alfred P. Sloan Research Fellowship in Computer Science, payable over 2 years. $50,000 to University of Victoria, Victoria, Canada, in 2012. For Alfred P. Sloan Research Fellowship in Ocean Science, payable over 2 years.