Alfred P. Sloan Foundation $ 2019 Annual Report 2019 Annual Report 1 Alfred P. Sloan Foundation $ 2019 Annual Report Driven by the promise of great ideas. Alfred P. Sloan Foundation $ 2019 Annual Report Contents Preface 2 Mission 3 From the President 4 On Racism and Our Responsibilities 6 The Year in Discovery 8 Deep Carbon Observatory 18 Microbiology of the Built Environment 21 About the Grants Listing 24 2019 Grants by Program 25 2019 Financial Review 123 Audited Financial Statements and Schedules 125 Board of Trustees 156 Officers and Staff 157 Index of 2019 Grant Recipients 158 Cover: A student participant in the Environmentor program holds a turtle. An initiative of RISE (the Rockaway Institute for Sustainability), the Environmentor program is a Sloan-supported science research mentorship that offers NYC high school students the opportunity to conduct authentic, hands-on environmental research on Jamaica Bay and the Rockaway shoreline. (PHOTO: RISE ROCKAWAY) 1 Alfred P. Sloan Foundation $ 2019 Annual Report Preface The Alfred P. Sloan Foundation administers a private fund for the benefit of the public. It accordingly recognizes the responsibility of making periodic reports to the public on the management of this fund. The Foundation therefore submits this public report for the year 2019. 2 Alfred P. Sloan Foundation $ 2019 Annual Report Mission The Alfred P. Sloan Foundation makes grants primarily to support original research and education related to science, technology, engineering, mathematics, and economics. The Foundation believes that these fields— and the scholars and practitioners who work in them— are chief drivers of the nation’s health and prosperity. The Foundation also believes that a reasoned, systematic understanding of the forces of nature and society, when applied inventively and wisely, can lead to a better world for all. 3 Alfred P. Sloan Foundation $ 2019 Annual Report From the President ADAM F. FALK his letter serves as the introduction to a re- where Foundation funds and expertise can best be port on grantmaking by the Alfred P. Sloan leveraged to help adapt to the evolving crisis. Foundation in 2019. I find myself writing it, T In the longer term, the dire seriousness of this situa- however, in May of 2020, as the COVID-19 pandemic tion impels us to recommit to an essential principle. rages here in New York City and throughout the world. The initiatives we choose to support, the programs we So much in our society has changed since we made choose to mount, the questions we choose to inves- the grants described herein, and by the time this report tigate—these things must truly matter, must go to the is published, many things will no doubt have changed heart of issues of fundamental importance for society, again, in ways I would not now presume to anticipate. for science, and for the world. How should the Sloan Foundation respond to a world That is, we must take this moment to step back and in which a global pandemic has upturned so much of look not just at what we choose to do, but at why we what was once stable and familiar? How do we as- choose to do it. sure our work is relevant, that we are using to fullest advantage the extraordinary opportunity afforded us to I find myself encouraged by such an examination of improve the world through our grantmaking? the Sloan Foundation’s programs, that they speak directly to singularly important and enduring issues. The answer, I believe involves both immediate action Our Technology Program, for example, is a response to and considered reflection. In the short term, there is the profound changes computing and the internet have immense and pressing need for institutions of all types wrought in the ways we share our ideas, our thoughts, to do what they can to blunt the impact of the pan- and our lives. Our Diversity, Equity, and Inclusion in demic. Beginning in the spring of 2020, the Foundation STEM Higher Education program is a response both has responded by making a series of grants aimed at to extraordinary demographic changes in 21st century mitigating the worst of its harms. We have made grants America and to the lasting impact of hundreds of to aid public health initiatives, to alleviate conditions years of racism and sexism in academia and our larger here in New York, to support institutions made vulner- society. And our Energy & Environment program is a able by economic shutdowns, and to study the vari- response to the permanent changes we humans are ous effects of the pandemic. We will continue to look making to our only planet, changes whose meaning we for opportunities over the coming weeks and months are far from fully understanding. 4 Alfred P. Sloan Foundation $ 2019 Annual Report Because our programs address enduring issues, Alfred P. Sloan, I believe, was truly driven by the promise they speak to COVID-19 as well, even though the of great ideas: in the manufacture of the best ball bear- Foundation does not fund biomedical research directly. ings, in the building of General Motors, and in the estab- In our Technology program we’ve funded many of the lishment of the foundation that bears his name. We are tools that enable the global scientific collaboration the stewards of his legacy, and I believe he would look necessary to solving the many puzzles of COVID-19. upon what we are doing today and agree that his foun- In our Microbiology of the Built Environment and dation continues to be driven by the promise of great Chemistry of the Indoor Environment programs, we’ve ideas, just as he was, and that great ideas continue to funded scientists investigating issues central to under- matter, perhaps never so urgently than in a world caught standing coronavirus transmission, like how ventilation in a tumult of fear and hope, endeavor and peril. systems interact with microbial communities indoors. In our Economics program, we support behavioral economists who study the effectiveness of policy “nudges” designed to induce pro-social behaviors such as mask-wearing, as well as researchers mount- ing surveys to study the impacts of the pandemic on our society. And our Public Understanding of Science program has long worked to build in our society a deeper appreciation of science and scientists, seeking to bridge the sorts of cultural divides that too easily bedevil us in times of crisis. Beyond examining individual programs, however, there’s a deeper lens for understanding what we do at Sloan. In supporting projects in science, technology, and eco- nomics, we are driven by four fundamental questions. • What can we learn? • How will research be done? • Who participates in research? • Why does it matter? Every grant we make, in every program, addresses at least one of these fundamental questions. Many ad- dress all four. Whatever the field, we seek not only to acquire new knowledge, but to support and improve the communities that do the research. And we believe that the purposes and impacts of research matter pro- foundly and are everybody’s business. Last year we at Sloan took some time to examine our own identity, asking questions such as “how do we understand ourselves?” and “what do we project to the world?”. What we learned is that we’ve been quite suc- cessful at conveying the rigor and care that we bring to our grantmaking, but less thoughtful about conveying the deep sense of purpose and, in fact, joy we feel in doing this work. We support the projects we support not merely because we believe they will succeed, but because we believe their success matters. Among the outcomes of this exercise were a new, more approachable logo and visual identity, reflected in the design of this report, and a new tagline that we think captures the essence of who we are: Driven by the promise of great ideas. 5 Alfred P. Sloan Foundation $ 2019 Annual Report On Racism and Our Responsibilities ADAM F. FALK, PRESIDENT On June 4, 2020, in reaction to widespread protests and social unrest in cities across the nation over the issue of racial injustice in policing, President Adam Falk issued the following statement on behalf of himself and the Alfred P. Sloan Foundation. he sickening murders of George Floyd and hope, and point a way forward. But is there anything to Ahmaud Arbery, recorded and then viewed by be said that could truly be adequate to our situation? Tmillions, represent but the smallest and most vis- Out of the concern that mere statements cannot be ible part of a centuries-long history of racist violence di- enough, I initially hesitated to presume to cast more rected against Black Americans. Once again, Americans words into the growing cacophony of voices. But in the are speaking up in public spaces to express our shame end, I suspect the sin of silence is worse than the sin at the racism our society permits and indeed encour- of inadequacy. So I’d like to try, on my behalf and that ages, and our desperate hope that we can be better. of the Sloan Foundation, to capture this moment, find Equally important, we are also striving to listen, care- reason to hope, and point a way forward. fully and with humility, to the voices of those who have It’s essential to begin by recognizing the extraordinary been harmed and continue to be harmed by the anti- privilege inherent to working at Sloan, privileges that Black racism that infects every corner of our society. are enjoyed by the Foundation as a whole and by each It is tempting to feel we have been here before, that of us as individuals.