Harvard University Report on Federal Awards in Accordance with OMB Circular A-133 June 30, 2012 EIN

Transcription

1 Report on Federal Awards in Accordance with OMB Circular A-133 June 30, 2012 EIN

2 Index June 30, 2012 Page Part I - Financial Statements Report of Independent Auditors... 1 Financial Statements Notes to Financial Statements Part II Notes to the Part III - Reports on Internal Controls and Compliance Part IV - Findings Report of Independent Auditors on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards Report of Independent Auditors on Compliance with Requirements That Could Have a Direct and Material Effect on Each Major Program and on Internal Control over Compliance in Accordance with OMB Circular A Schedule of Findings and Questioned Costs Summary Schedule of Prior Audit Findings Management s Views and Corrective Action Plan

3 Part I Financial Statements

4 Report of Independent Auditors To the Board of Overseers of Harvard College: In our opinion, the accompanying Balance Sheet and the related Statements of Changes in Net Assets with General Operating Account Detail, Changes in Net Assets of the Endowment, and Cash Flows present fairly, in all material respects, the financial position of Harvard University (the University ) at June 30, 2012, and the changes in its net assets of the General Operating Account and endowment funds and its cash flows for the year then ended, in conformity with accounting principles generally accepted in the United States of America. These financial statements are the responsibility of the University s management. Our responsibility is to express an opinion on these financial statements based on our audit. The prior year summarized comparative information has been derived from the University s fiscal 2011 financial statements, and in our report dated October 28, 2011, we expressed an unqualified opinion on those financial statements. We conducted our audit of these statements in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the financial statements are free of material misstatement. An audit includes examining, on a test basis, evidence supporting the amounts and disclosures in the financial statements, assessing the accounting principles used and significant estimates made by management, and evaluating the overall financial statement presentation. We believe that our audit provides a reasonable basis for our opinion. In accordance with Government Auditing Standards, we have also issued our report dated November 2, 2012 on our consideration of the University s internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts and grant agreements and other matters for the year ended June 30, The purpose of that report is to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing, and not to provide an opinion on the internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards and should be considered in assessing the results of our audit. Our audit was conducted for the purpose of forming an opinion on the financial statements taken as a whole. The accompanying is presented for purposes of additional analysis as required by U.S. Office of Management and Budget Circular A-133, Audits of States, Local Governments, and Non Profit Organizations, and is not a required part of the financial statements. The information is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the financial statements. The Schedule of Expenditures of Federal Awards has been subjected to the auditing procedures applied in the audit of the financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the financial statements or the financial statements themselves and other additional procedures, in accordance with auditing standards generally accepted in the United States of America. In our opinion, the is fairly stated, in all material respects, in relation to the financial statements taken as a whole. November 2, 2012 PricewaterhouseCoopers LLP, 125 High Street, Boston, MA T: (617) , F: (617) ,

5 balance sheets with summarized financial information as of June 30, 2011 harvard university financial statements June 30 In thousands of dollars ASSETS: Cash $ 155,088 $ 142,503 Receivables, net (Note 6) 227, ,231 Prepayments and deferred charges 171, ,886 Notes receivable, net (Note 7) 363, ,356 Pledges receivable, net (Note 8) 908, ,441 Fixed assets, net (Note 9) 5,776,545 5,647,077 Interests in trusts held by others (Note 4) 343, ,408 Investment portfolio, at fair value (Notes 3 and 4) 43,385,126 46,817,373 Securities pledged to counterparties, at fair value (Notes 3 and 4) 6,383,535 6,768,202 TOTAL ASSETS 57,714,643 61,211,477 LIABILITIES: Accounts payable 284, ,911 Deposits and other liabilities 648, ,326 Securities lending and other liabilities associated with the investment portfolio (Notes 3, 4 and 12) 12,294,626 14,335,814 Liabilities due under split interest agreements (Note 11) 670, ,568 Bonds and notes payable (Note 12) 6,039,139 6,335,709 Accrued retirement obligations (Note 13) 1,056, ,885 Government loan advances (Note 7) 67,044 66,987 TOTAL LIABILITIES 21,060,212 23,348,200 NET ASSETS, attributable to non-controlling interests in the pooled general investment account (Note 3) 1,070, ,339 NET ASSETS, attributable to the University 35,584,295 37,030,938 TOTAL LIABILITIES AND NET ASSETS $ 57,714,643 $ 61,211,477 Temporarily Permanently June 30 Unrestricted restricted restricted NET ASSETS, attributable to the University: General Operating Account (Note 14) $ 2,743,325 $ 1,448,690 $ 96,498 $ 4,288,513 $ 4,500,420 Endowment (Note 10) 5,362,336 19,763,294 5,619,904 30,745,534 32,012,729 Split interest agreements (Note 11) 70, , , ,789 TOTAL NET ASSETS $ 8,105,661 $ 21,282,689 $ 6,195,945 $ 35,584,295 $ 37,030,938 The accompanying notes are an integral part of the financial statements.

6 statements of changes in net assets with general operating account detail with summarized financial information for the year ended June 30, 2011 For the year ended Temporarily Permanently June 30 In thousands of dollars Unrestricted restricted restricted OPERATING REVENUE: Student income: Undergraduate program $ 264,513 $ 264,513 $ 254,095 Graduate and professional degree programs 432, , ,152 Board and lodging 155, , ,972 Continuing education and executive programs 281, , ,390 Scholarships applied to student income (Note 15) (357,001) (357,001) (335,036) Total student income 776, , ,573 Sponsored support (Note 16): Federal government - direct costs 493, , ,958 Federal government - indirect costs 176, , ,270 Non-federal sponsors - direct costs 60,750 $ 78, , ,044 Non-federal sponsors - indirect costs 15,971 7,472 23,443 20,555 Total sponsored support 746,284 86, , ,827 Gifts for current use (Note 17) 90, , , ,914 Investment income: Endowment returns made available for operations (Note 10) 258,151 1,163,913 1,422,064 1,321,743 goa returns made available for operations 141, , ,178 Other investment income 10,318 7,192 17,510 21,624 Total investment income 410,273 1,171, ,581,378 1,491,545 Other income (Note 18) 557, , ,600 Net assets released from restrictions 1,506,745 (1,506,745) 0 0 TOTAL OPERATING REVENUE 4,087,636 (50,488) 0 4,037,148 3,907,459 OPERATING EXPENSES: Salaries and wages 1,497,928 1,497,928 1,420,023 Employee benefits (Note 13) 476, , ,010 Depreciation (Note 9) 288, , ,027 Interest (Note 12) 287, , ,843 Space and occupancy 274, , ,853 Supplies and equipment 235, , ,655 Scholarships and other student awards (Note 15) 128, , ,510 Other expenses (Note 19) 851, , ,647 TOTAL OPERATING EXPENSES 4,041, ,041,698 3,907,568 harvard university financial statements NET OPERATING SURPLUS/(DEFICIT) 45,938 (50,488) 0 (4,550) (((109) NON-OPERATING ACTIVITIES: Income from GOA investments 10,938 10,938 20,946 Realized and unrealized (depreciation)/appreciation, net (Note 3) (162,764) (162,764) 649,799 GOA returns made available for operations (141,804) (141,804) (148,178) Change in pledge balances (Note 8) 123, ,553 36,616 Change in interests in trusts held by others 8,140 8,140 6,120 Capital gifts for loan funds and facilities (Note 17) 25,969 $ ,243 32,987 Change in retirement obligations (Note 13) (208,814) (208,814) 172,482 Other changes (17,226) (17,226) (51,364) Transfers between GOA and endowment (5,832) 138,971 7, ,142 19,090 Transfers between GOA and split interest agreements 12,053 2,182 14,235 14,100 Non-operating net assets released from restrictions 59,664 (50,606) (9,058) 0 0 TOTAL NON-OPERATING ACTIVITIES (465,838) 258, ) (207,357) 752,598 GENERAL OPERATING ACCOUNT NET CHANGE DURING THE YEAR (419,900) 207, (211,907) 752,489 Endowment net change during the year (233,444) (1,445,399) 411,648 (1,267,195) 4,447,700 Split interest agreement net change during the year (Note 11) (3,268) 35,727 32,459 95,816 NET CHANGE DURING THE YEAR, attributable to the University (653,344) (1,241,075) 447,776 (1,446,643) 5,296,005 NET CHANGE IN NET ASSETS, attributable to non-controlling interests in the pooled general investment account 237, , ,004 NET CHANGE DURING THE YEAR (415,547) (1,241,075) 447,776 (1,208,846) 5,531,009 Net assets, beginning of year 9,591,344 22,523,764 5,748,169 37,863,277 32,332,268 NET ASSETS, end of year $ 9,175,797 $ 21,282,689 $ 6,195,945 $ 36,654,431 $ 37,863,277 The accompanying notes are an integral part of the financial statements.

7 statements of changes in net assets of the endowment with summarized financial information for the year ended June 30, 2011 For the year ended Temporarily Permanently June 30 In thousands of dollars Unrestricted restricted restricted Investment return (Note 3): Income from general investments $ 19,269 $ 84,840 $ 104,109 $ 161,206 Realized and unrealized appreciation/(depreciation), net (15,806) (87,903) (103,709) 5,339,178 Total investment return 3,463 (3,063) ,500,384 Endowment returns made available for operations (258,151) (1,163,913) (1,422,064) (1,321,743) Net investment return (254,688) (1,166,976) 0 (1,421,664) 4,178,641 harvard university financial statements Gifts for capital (Note 17) 6,223 17,217 $ 203, , ,364 Transfers between endowment and the goa (Note 10) 5,832 (138,971) (7,003) (140,142) (19,090) Capitalization of split interest agreements (Note 11) 18,684 39,583 58,267 56,000 Change in pledge balances (Note 8) 7,761 17,749 25,510 (49,534) Change in interests in trusts held by others (Note 10) 911 (16,661) (15,750) 47,660 Other changes (159,130) 159, ,659 Net assets released from restrictions (Note 2) 9,189 (24,895) 15, NET CHANGE DURING THE YEAR (233,444) (1,445,399) 411,648 (1,267,195) 4,447,700 Net assets of the endowment, beginning of year 5,595,780 21,208,693 5,208,256 32,012,729 27,565,029 NET ASSETS OF THE ENDOWMENT, end of year $ 5,362,336 $ 19,763,294 $ 5,619,904 $ 30,745,534 $ 32,012,729 The accompanying notes are an integral part of the financial statements.

8 statements of cash flows For the year ended June 30 In thousands of dollars CASH FLOWS FROM OPERATING ACTIVITIES: Change in net assets $ (1,208,846) $ 5,531,009 Adjustments to reconcile change in net assets to net cash used in operating activities: Change in net assets, attributable to non-controlling interests in the pooled general investment account (237,797) (235,004) Depreciation 288, ,027 Realized and unrealized loss/(gain) on investments, net 154,235 (6,175,282) Change in fair value of interest rate exchange agreements (18,675) (330,270) Change in interests in trusts held by others 7,610 (53,779) Change in liabilities due under split interest agreements (101,326) 65,967 Gifts of securities (83,471) (53,717) Gifts restricted for capital purposes (212,776) (235,636) Loss on redemption of debt 17,185 32,190 Loss on disposal of assets 1,348 35,023 Change in accrued retirement obligations 238,130 (91,308) Changes in operating assets and liabilities: Receivables, net (28,170) 43,243 Prepayments and deferred charges (7,140) 1,625 Pledges receivable, net (150,117) 13,771 Accounts payable (14,666) (42,568) Deposits and other liabilities (30,430) (56) NET CASH USED IN OPERATING ACTIVITIES (1,386,041) (1,213,765) CASH FLOWS FROM INVESTING ACTIVITIES: Loans made to students, faculty, and staff (48,024) (45,987) Payments received on student, faculty, and staff loans 46,383 37,470 Change in other notes receivable 1,431 9,470 Proceeds from the sales of gifts of securities 83,471 53,717 Proceeds from the sales and maturities of investments 46,924,811 72,153,105 Purchases of investments (47,337,633) (69,719,820) Additions to fixed assets (437,673) (445,936) NET CASH (USED IN)/PROVIDED BY INVESTING ACTIVITIES (767,234) 2,042,019 CASH FLOWS FROM FINANCING ACTIVITIES: Change in overdrafts included in accounts payable (24,003) 30,866 Proceeds from the issuance of debt 136,280 1,065,587 Debt repayments (450,035) (1,046,265) Gifts restricted for capital purposes 212, ,636 Change associated with securities lending agreements 2,290,785 (1,008,795) Change in government loan advances 57 5,591 NET CASH PROVIDED BY/(USED IN) FINANCING ACTIVITIES 2,165,860 (717,380) harvard university financial statements NET CHANGE IN CASH 12, ,874 Cash, beginning of year 142,503 31,629 CASH, end of year $ 155,088 $ 142,503 Supplemental disclosure of cash flow information: Accounts payable related to fixed asset additions $ 44,057 $ 62,049 Cash paid for interest $ 302,149 $ 295,616 The accompanying notes are an integral part of the financial statements.

9 1. university organization harvard university notes to financial statements Harvard University (the University ) is a private, not-for-profit institution of higher education with approximately 7,250 undergraduate and 13,800 graduate students. Established in 1636, the University includes the Faculty of Arts and Sciences, the School of Engineering and Applied Sciences, the Division of Continuing Education, ten graduate and professional Schools, the Radcliffe Institute for Advanced Study, a variety of research museums and institutes, and an extensive library system to support the teaching and research activities of the Harvard community. The President and Fellows 2. summary of significant accounting policies Basis of presentation The consolidated financial statements present the activities of Harvard University as a whole, including significant affiliated organizations controlled by the University. The financial statements include certain prior year summarized comparative information in total, not by net asset classification. This information is not presented in sufficient detail to conform with generally accepted accounting principles (gaap). Accordingly, such information should be read in conjunction with the University s financial statements for the year ended June 30, 2011, from which the summarized information is derived. Certain prior year amounts have been reclassified to conform to current year presentation. The reclassifications include moving the portion of the endowment payout accounted for in Transfers between goa and endowment in non-operating activities to Endowment returns made available for operations in operating revenues in the Statement of Changes in Net Assets with General Operating Account Detail. This reclassification reduced the prior year operating deficit by $129.7 million. Additionally, the University reclassified $60.7 million of Receivables and $3.8 million of Accounts payable to the Investment portfolio in the Balance Sheets. During a review of its endowment funds, the University noted that there were certain inconsistencies related to the recording of donor directed principal activity. As a result, the University has correctly reclassified $159.2 million from temporarily restricted to permanently restricted in the Other changes line item on the Statement of Changes in Net Assets of the Endowment for the year ended June 30, This reclassification had no impact on total net assets. Funds transferred to the University on behalf of specific beneficiaries (agency funds) are recorded as assets and liabilities in the Balance Sheets and are not included in the of Harvard College (the Corporation ), a governing board of the University, has oversight responsib ility for all of the University s financial affairs. The Corporation delegates substantial authority to the Schools and departments for the management of their resources and operations. The University includes Harvard Management Company (hmc), a wholly owned subsidiary founded in 1974 to manage the University s investment assets. hmc is governed by a Board of Directors that is appointed by the Corporation. Statements of Changes in Net Assets with General Operating Account Detail. Net asset classifications For the purposes of financial reporting, the University classifies resources into three net asset categories pursuant to any donor-imposed restrictions and applicable law. Accordingly, the net assets of the University are classified in the accompanying financial statements in the categories that follow: unrestricted net assets are not subject to donor-imposed restrictions. Funds invested in fixed assets and unrestricted endowment funds comprise 91% of the University s unrestricted net assets as of June 30, In addition, this category includes unrestricted gifts and endowment income balances, University-designated loan funds, and other unrestricted current funds. temporarily restricted net assets are subject to legal or donor-imposed stipulations that will be satisfied either by actions of the University, the passage of time, or both. These net assets include gifts donated for a particular purpose, amounts subject to time restrictions such as funds pledged for future payment, or amounts subject to legal restrictions such as portions of otherwise unrestricted capital appreciation and income, which must be reported as temporarily restricted net assets until appropriated for spending in accordance with Massachusetts law. permanently restricted net assets are subject to donor-imposed stipulations that they be invested to provide a perpetual source of income to the University. Generally, donors of these assets require the University to maintain and invest the original contribution in perpetuity, but permit the use of some or all investment returns for general or specific purposes.

10 Revenues from sources other than contributions are generally reported as increases in unrestricted net assets. Expenses are reported as decreases in unrestricted net assets. Investment returns earned by restricted donor funds are initially classified as temporarily restricted net assets and then reclassified to unrestricted net assets when expenses are incurred for their intended purpose. supplemented with commercial excess insurance above the University s self-insured retention. In addition, the University is self-insured for unemployment, the primary senior health plan, and all health and dental plans for active employees. The University s claims liabilities are recognized as incurred, including claims that have been incurred but not reported, and are included in operating expenses. Unconditional pledges are reported as increases in the appropriate categories of net assets in accordance with donor restrictions. Gains and losses on investments are reported as increases or decreases in unrestricted net assets, unless their use is restricted by donor stipulations or by law. Expirations of temporary restrictions on net assets are reported as reclassifications from temporarily restricted to unrestricted net assets and appear as Net assets released from restrictions and Non-operating net assets released from restrictions in the Statements of Changes in Net Assets. Net operating surplus/(deficit) Revenues earned, expenses incurred, and returns made available for operations for the purpose of teaching, conducting research, and the other programs and services of the University are the components of Net operating surplus/ (deficit) in the Statements of Changes in Net Assets with General Operating Account Detail. Collections The University s vast array of museums and libraries houses priceless works of art, historical treasures, literary works, and artifacts. These collections are protected and preserved for public exhibition, education, research, and the furtherance of public service. They are neither disposed of for financial gain nor encumbered in any manner. Accordingly, such collections are not recorded for financial statement purposes. Insurance programs The University, together with the Harvard-affiliated teaching hospitals, participates in a group captive insurance company, Controlled Risk Insurance Company (crico), to secure limited professional liability, general liability, and medical malpractice insurance for its member shareholders. The University self-insures a portion of its professional liability and general liability programs and maintains a reserve for incurred claims, including those related to Harvard Medical School activities occurring away from the affiliated teaching hospitals. The crico provided malpractice coverage applies with no deductible for medical professionals practicing within Harvard s University Health Services department, the School of Dental Medicine, and the School of Public Health. The University also maintains reserves for the self-insured portion of claims related to automobile liability, property damage, and workers compensation; these programs are Tax-exempt status The University is a tax-exempt organization under Section 501(c)(3) of the Internal Revenue Code. Use of estimates The preparation of financial statements in accordance with gaap in the United States of America requires management to make estimates and assumptions that affect reported amounts and disclosures. Actual results could differ from those estimates. New accounting pronouncements Effective July 1, 2010, the University adopted asu , Improving Disclosures about Fair Value Measurements. asu requires additional disclosures for significant transfers in and out of Levels 1 and 2 and the presentation of gross trading activity within the Level 3 rollforward. Further, asu clarifies existing disclosures to include fair value measurement disclosures for each class of assets and liabilities as well as to require additional disclosures about inputs and valuation techniques utilized to measure fair value for Levels 2 and 3. The effects of adopting this amendment are addressed in Notes 3 and 4. Effective July 1, 2010, the University adopted asu , Disclosures about the Credit Quality of Financing Receivables and the Allowance for Credit Losses. asu requires additional disclosures surrounding credit losses on long-term receivables. The effects of adopting this amendment are addressed in Note 7. Effective July 1, 2010, the University retroactively adopted asu Not-for-Profit Entities Mergers and Acquisitions. While the University was not a party to any mergers or acquisitions, the guidance also impacts the financial statement treatment of non-controlling interests in consolidated entities. This guidance requires the University to report non-controlling interests in consolidated entities as a separate component of net assets on the Statement of Financial Position and the change in net assets attributable to the non-controlling interests separately within the Statements of Changes in Net Assets with General Operating Account Detail. The effects of adopting this amendment are addressed in Note 3. harvard university notes to financial statements

11 3. investments The significant accounting policies of the University related to investments are as follows: by the external advisor along with any relevant market data to measure the investment s fair value as of that date. harvard university notes to financial statements A) Investments are presented at fair value based on trade date positions as of June 30, 2012 and The University endeavors to utilize all relevant and available information in measuring fair value. B) The preparation of financial statements requires management to make estimates and assumptions about the effects of matters that may be inherently uncertain. Estimates, by their nature, are based on judgment and available information. Changes in assumptions could have a significant effect on the fair value of certain instruments. Actual results could differ from these estimates and could have a material impact on the financial statements. C) Cash and short-term investments are recorded at cost, which approximates fair value, and include cash in bank accounts, institutional money market funds, and other temporary investments held for working capital purposes with maturities of three months or less. Cash and short-term investments do not include cash balances held as collateral. D) Instruments listed or traded on a securities exchange are valued at the last quoted price on the primary exchange where the security is traded. Where no sale has occurred on the valuation date, long positions are valued at the bid price and short positions are valued at the ask price. Restrictions that are attached to a security are factored into the valuation of that security, reflective of the estimated impact of those restrictions. Investments in non-exchange traded debt and equity instruments are primarily valued using inputs provided by independent pricing services or by broker/dealers who actively make markets in these securities. Investments managed by external advisors include investments in private equity, real assets, and certain other investments in limited partnerships and hedge funds classified as domestic equity, high yield, and absolute return. The majority of these external investments are not readily marketable and are reported at fair value utilizing the most current information provided by the external advisor, subject to assessments that the information is representative of fair value and in consideration of any additional factors deemed pertinent to the fair value measurement. The University evaluates its external advisors through a manager due-diligence program executed by hmc, which includes an analysis of an advisor s use of and adherence to fair value principles. In situations where the information provided by the external advisor is deemed to not be representative of fair value as of the measurement date, management will evaluate specific features of the investment and utilize supplemental fair value information provided Fair value measurements of real assets (including direct investments in natural resources and real estate) are based on a combination of information obtained from independent appraisals and/or one or more industry standard valuation techniques (e.g., income approach, market approach, or cost approach). The income approach is primarily based on the investment s anticipated future income using one of two principal methods, the discounted cash flow method or the capitalization method. Inputs and estimates developed and utilized in the income approach may be subjective and require judgment regarding significant matters such as estimating the amount and timing of future cash flows and the selection of discount and capitalization rates that appropriately reflect market and credit risks. The market approach derives investment value through comparison to recent and relevant market transactions with similar investment characteristics. The cost approach is utilized when the cost or the replacement cost amounts are determined to be the best representation of fair value. This method is typically used for newly purchased or undeveloped assets. These valuations are determined by management and subject to review by the hmc Board of Directors. Over the counter derivative products classified as due to/ from brokers include option, swap, credit default, interest rate, and forward contracts. These types of instruments are primarily valued using industry standard models with externally provided inputs or independent broker quotes. Inputs such as prices, spreads, curves, and/or broker quotes are evaluated for source reliability and consistency with industry standards. Counterparty marks obtained and used to determine daily collateral requirements are also used to corroborate input reasonability. Management considers current market conditions including interest rate and credit risks in its evaluation of inputs, pricing methodologies, and models utilized to determine fair values. E) Dividend income is recognized net of applicable withholding taxes on the ex-dividend date. Non-cash dividends are recorded at the fair value of the securities received. Interest income and expenses are recorded net of applicable withholding taxes on the accrual basis of accounting. The University amortizes bond premiums and accretes bond discounts using the effective yield method and when cash collection is expected. F) The University utilizes a number of wholly owned subsidiary entities to support its investment activities. The consolidated financial statements include all assets, liabilities, income, and expenses associated with these entities. All intercompany accounts and transactions have been eliminated during consolidation.

12 G) The University may enter into repurchase agreements, whereby the University acquires a security (collateral) for cash subject to an obligation by the counterparty to repurchase the security at an agreed-upon price and time. The University requires the fair value of the collateral received to be equal to or in excess of the total amount of the repurchase agreement, including interest. Securities purchased under repurchase agreements are reflected as an asset on the Balance Sheets. Interest earned or paid is recorded as a component of Investment income on the Statements of Changes in Net Assets. Generally, in the event of counterparty default, the University has the right to use the collateral to offset losses incurred. The collateral advanced under security borrowing agreements is in the form of cash. The minimum collateral the University requires by contract on each loaned security is 100% of the fair value of the security loaned. Collateral is exchanged as required by fluctuations in the fair value of the security loaned. H) The Balance Sheets display both the assets and corresponding liabilities generated by reverse repurchase and securities lending transactions. Under the terms of a reverse repurchase agreement, the counterparty takes possession of an underlying security subject to an obligation of the University to repurchase the security at an agreed-upon price and time. The University pays the counterparty interest over the term of the reverse repurchase agreement. The University also separately reports the fair value of assets for which counterparties have the right to pledge or exchange the collateral they have received; assets of the investment portfolio that are unencumbered are included in Investment portfolio, at fair value in the Balance Sheets. Income and expenses related to reverse repurchase and securities lending transactions are included in Income from general investments in the Statements of Changes in Net Assets of the Endowment. These transactions are executed to support the investment activities of hmc. The majority of the University s investments are managed by hmc in the General Investment Account (gia), a pooled fund that consists primarily of endowment assets. Other investments are managed separately from the gia. These investments consist primarily of cash, short-term investments, and fixed income securities (principally government securities) held for the University s working capital and liquidity needs, interest rate contracts on the University s debt portfolio, and publicly traded securities associated with split interest agreements. All investments are measured at fair value using valuation techniques consistent with asc 820 and the accounting policies presented herein. The University s investment holdings as of June 30, 2012 and 2011 are summarized in the following table (in thousands of dollars): Investment portfolio, at fair value: Pooled general investment account assets 1 $ 47,788,308 $ 51,276,581 Other investments 1,980,353 2,308,994 Investment assets 2 49,768,661 53,585,575 harvard university notes to financial statements Pooled general investment account liabilities (11,912,733) (13,935,246) Interest rate exchange agreements (381,893) (400,568) Investment liabilities (12,294,626) (14,335,814) TOTAL INVESTMENTS 37,474,035 39,249,761 Non-controlling interests attributable to the pooled general investment account (1,070,136) (832,339) TOTAL INVESTMENTS, NET $ 36,403,899 $ 38,417,422 1 Includes securities pledged to counterparties of $6,383,535 and $6,768,202 at June 30, 2012 and 2011, respectively. 2 Investment holdings include cash and cash equivalents that consist principally of deposits that have maturities of 90 days or less. Cash and cash equivalents classified as investments were $926,896 and $1,363,712 at June 30, 2012 and 2011, respectively. A summary of the University s total return on investments for fiscal 2012 and 2011 is presented below (in thousands of dollars): Return on pooled general investment account: Realized and change in unrealized gains, net $ (141,861) $ 6,100,258 Net investment income 117, ,192 Total return on pooled general investment account 1 (24,292) 6,284,450 Return on other investments: Realized and change in unrealized (losses)/gains, net (12,374) 75,024 Net investment income 28,979 35,284 Total return on other investments 16, ,308 Realized and unrealized (losses)/gains on interest rate exchange agreements, net (140,219) 7,877 TOTAL RETURN ON INVESTMENTS $ (147,906) $ 6,402,635 1 Net of all internal and external management fees and expenses.

13 harvard university notes to financial statements The University s investment strategy incorporates a diversified asset allocation approach and maintains, within defined limits, exposure to the movements of the global equity, fixed income, real estate, commodities, and private equity markets. The Policy Portfolio provides hmc with a guide as to the targeted allocation in the core investment portfolio. The Policy Portfolio is the long-term asset mix determined by the hmc Board of Directors and management team that is considered most likely to meet the University s long-term return goals with the designated level of risk. It serves as the benchmark against which the performance of the pooled general investment account is measured. In addition, the University seeks to enhance the returns of certain asset classes through relative strategies designed to capture mispricing in specific financial instruments without changing the fundamental risk profile of the core investment account. The University has various sources of liquidity at its disposal within its investment pools, including approximately $3.8 billion in cash and cash equivalents (including repurchase agreements of $3.0 billion) at June 30, 2012 in the General Investment Account and the General Operating Account. In addition, management estimates that as of June 30, 2012, it could liquidate additional unencumbered US government securities of $1.4 billion within one business day (typical settlement terms) to meet any immediate short-term needs of the University. The pooled general investment account assets and liabilities below have been disaggregated into asset classes based on the exposure of the investment to various markets. Exposure to each asset class is achieved through investments in individual securities, direct investments in special purpose vehicles, and/ or through vehicles advised by external managers. The pooled general investment account assets and liabilities as of June 30, 2012 and 2011 are summarized as follows (in thousands of dollars): POOLED GENERAL INVESTMENT ACCOUNT ASSETS: Investment assets: Domestic common and convertible equity $ 3,510,380 $ 3,806,649 Foreign common and convertible equity 1,771,081 2,062,218 Domestic fixed income 5,232,751 4,982,365 Foreign fixed income 1,774,283 3,112,809 Emerging market equity and debt 2,959,047 2,411,371 High yield 1,557,938 1,634,649 Absolute return 4,751,754 5,033,413 Private equities 7,095,625 7,262,271 Real assets 1 10,156,008 8,816,619 Inflation-indexed bonds 919,081 1,303,314 Due from brokers 299, ,001 Total investment assets 2 40,027,466 41,423,679 Repurchase and securities borrowing agreements 6,002,202 7,765,585 Cash and short-term investments 750, ,141 Other assets 3 1,007,907 1,146,176 POOLED GENERAL INVESTMENT ACCOUNT ASSETS 47,788,308 51,276,581 POOLED GENERAL INVESTMENT ACCOUNT LIABILITIES: Investment liabilities: Equity and convertible securities sold, not yet purchased 38, ,553 Fixed income securities sold, not yet purchased 3,343,931 4,225,876 Due to brokers 63, ,307 Total investment liabilities 3,446,297 5,387,736 Reverse repurchase and securities lending agreements 6,725,670 6,198,268 Other liabilities 4 1,740,766 2,349,242 POOLED GENERAL INVESTMENT ACCOUNT LIABILITIES 11,912,733 13,935,246 Non-controlling interests attributable to the pooled general investment account 1,070, ,339 POOLED GENERAL INVESTMENT ACCOUNT NET ASSETS 5 $ 34,805,439 $ 36,508,996 1 Real assets includes investments in natural resources and real estate managed by external advisors of $3,941,571 and $3,650,447 as of June 30, 2012 and 2011, respectively. The remaining balance consists of direct investments in natural resources and real estate held through special purpose vehicles of $6,214,437 and $5,166,172 as of June 30, 2012 and 2011, respectively. 2 Includes fair value of securities pledged to counterparties where the counterparty has the right to sell or repledge the securities of $6,383,535 and $6,768,202 as of June 30, 2012 and 2011, respectively. 3 As of June 30, 2012, other assets consisted primarily of receivables for the sale of securities of $179,148, and assets consolidated under ASC 810 of $426,018. As of June 30, 2011, other assets consisted primarily of receivables for the sale of securities of $748,598, and assets consolidated under ASC 810 of $397, As of June 30, 2012, other liabilities consisted primarily of payables for the purchase of securities of $143,644, and other liabilities consolidated under ASC 810 of $1,203,333. As of June 30, 2011, other liabilities consisted primarily of payables for the purchase of securities of $1,433,911, and other liabilities consolidated under ASC 810 of $844, The cost of the total pooled general investment account net assets was $33,203,550 and $32,266,809 as of June 30, 2012 and 2011, respectively.

14 As of June 30, 2012 and 2011, the gia was comprised of the following components (in thousands of dollars): POOLED GENERAL INVESTMENT ACCOUNT Endowment 1 $ 29,907,024 $ 31,153,645 General operating account 3,792,118 4,202,095 Split interest agreements 761, ,563 Other internally designated funds 344, ,693 TOTAL POOLED GENERAL INVESTMENT ACCOUNT NET ASSETS $ 34,805,439 $ 36,508,996 1 Includes only the portion of the endowment invested in the GIA and excludes pledges, interests in trusts held by others, other non-gia investments, and GIA income. The asset allocation of the University s investment portfolio involves exposure to a diverse set of markets. The investments within these markets involve various risks such as price, interest rate, market, sovereign, currency, liquidity, and credit risks. Additionally, the gia s investments in real assets, which include investments in natural resources and real estate, expose the University to a unique set of risks such as operational, environmental, and political risks. Furthermore, a component of the investment portfolio s asset allocation includes two diversified funds managed by external advisors, which represent 14% of the gia net asset value ( nav ), in the aggregate. The University anticipates that the value and composition of its investments may, from time to time, fluctuate substantially in response to any or all of the risks described herein. The table on page 24 includes the total fair value of securities pledged to counterparties where the counterparty has the right, by contract or practice, to sell or repledge the securities. The total fair value of securities pledged that cannot be sold or repledged was $56.3 million and $172.6 million as of June 30, 2012 and 2011, respectively. The fair value of collateral accepted by the University was $5,571.8 million and $7,759.8 million as of June 30, 2012 and 2011, respectively. The portion of this collateral that was sold or repledged was $45.3 million and $178.9 million as of June 30, 2012 and 2011, respectively. the University that are required to be presented on the University s balance sheet under gaap. The table on page 24 includes the minority interest portion of real assets of $1,223.4 million and $892.0 million as of June 30, 2012 and 2011, respectively. Other assets include the minority interest portion of cash, receivables, and fixed assets of $56.1 million and $48.6 million as of June 30, 2012 and 2011, respectively. Other liabilities include the minority interest portion of accruals, payables, and debt of $209.4 million and $108.3 million as of June 30, 2012 and 2011, respectively. The net increase in non-controlling interests year over year relates to $78.1 million of new non-controlling interests acquired during the year ended June 30, 2012, and appreciation on existing non-controlling interests of $159.7 million for the year then ended. Other liabilities on page 24 include debt outstanding on consolidated real asset portfolio investments of $979.4 million and $599.9 million as of June 30, 2012 and 2011, respectively. Based on the structure, duration, and nature of the debt being consolidated, the amounts approximate the fair value of the debt as of each reporting period. This debt is specific to real assets held by the investment portfolio, and does not extend to other assets held by the University. harvard university notes to financial statements The University has consolidated certain non-controlling interests relating to its investments in real assets under asu These non-controlling interests represent the minority interest portion of the real assets controlled by

15 4. fair value of investment assets and liabilities harvard university notes to financial statements The University s investments have been categorized based upon the fair value hierarchy in accordance with asc 820. The asc 820 fair value hierarchy prioritizes the inputs to valuation techniques used to measure fair value of investment assets and liabilities into three levels. The hierarchy gives the highest priority to unadjusted quoted prices in active markets for identical assets or liabilities (Level 1 measurements) and the lowest priority to unobservable inputs (Level 3 measurements). The three levels of the fair value hierarchy under asc 820 are: level 1 Unadjusted quoted prices in active markets that are accessible at the measurement date for identical, unrestricted assets or liabilities; level 2 Quoted prices in markets that are not considered to be active or financial instruments for which all significant inputs are observable, either directly or indirectly; level 3 Prices or valuations that require inputs that are significant to the fair value measurement, unobservable and/ or require the University to develop its own assumptions. The level of an asset or liability within the fair value hierarchy is based on the lowest level of any input that is significant to the fair value measurement. Transfers between levels are recognized at the beginning of the year. Investments that trade in inactive markets, but are valued based on quoted market prices, broker/dealer quotations, or independent pricing services supported by observable inputs are primarily classified within Level 2. These may include non-exchange traded equity and fixed income securities, securities subject to restriction, and certain over the counter derivatives. In evaluating the level at which the University s externally managed investments have been classified within this hierarchy, management has assessed factors including, but not limited to price transparency, the ability to redeem these investments at nav at the measurement date, and the existence or absence of certain restrictions at the measurement date. Investments in externally managed funds generally have limited redemption options for investors and, subsequent to final closing, may or may not permit subscriptions by new or existing investors. These entities may also have the ability to impose gates, lockups, and other restrictions on an investor s ability to readily redeem out of their investment interest in the fund. At June 30, 2012 and 2011, certain externally managed funds where the University has the ability and the right to redeem interests within the next twelve months have been classified as Level 2 investments. The University s Level 3 investments consist almost entirely of investments managed by external advisors, and direct investments in natural resources and real estate. Externally managed investments are generally valued using the most current information received from the external advisor, subject to assessments that the value is representative of fair value and in consideration of any additional factors deemed pertinent to the valuations. Direct investments are primarily valued using a combination of independent appraisals, when available, and/or other industry standard methodologies as applicable. Level 3 investments also include certain over the counter derivative products primarily valued using independent broker quotes. Valuations determined using significant and unobservable inputs or assumptions are subject to additional review and consideration by management; the University strives to corroborate information from third-party sources for relevance and accuracy. Valuation policies for these types of investments are further discussed in Note 3.

16 The following is a summary of the levels within the fair value hierarchy for those investment assets and liabilities subject to fair value measurement as of June 30, 2012 (in thousands of dollars): Level 1 Level 2 Level 3 Total INVESTMENT ASSETS: Cash and short-term investments $ 926,896 $ 926,896 Domestic common and convertible equity 190,117 $ 1,693,625 $ 1,807,661 3,691,403 Foreign common and convertible equity 82,331 1,056, ,439 1,852,129 Domestic fixed income 5,212, , ,313,119 Foreign fixed income 1,797,397 3,120 1,800,517 Emerging market equity and debt 2,540, , ,712 2,959,047 High yield 12, , ,763 1,570,874 Absolute return 2,734,708 2,017,046 4,751,754 Private equities 1,952 7,193,196 7,195,148 Real assets 63,430 71,316 10,036,845 10,171,591 Inflation-indexed bonds 936, ,662 Due from brokers 30, ,474 26, ,519 Other investments 19,279 1,321 7,862 28,462 TOTAL INVESTMENT PORTFOLIO ASSETS * 11,812,885 7,081,091 22,603,145 41,497,121 Interests in trusts held by others 343, ,798 TOTAL INVESTMENT ASSETS $ 11,812,885 $ 7,081,091 $ 22,946,943 $ 41,840,919 * Excludes repurchase and securities borrowing agreements and other assets of $8,271,540. INVESTMENT LIABILITIES: Equity and convertible securities sold, not yet purchased $ 36,792 $ 2,062 $ 38,854 Fixed income securities sold, not yet purchased 3,233, ,810 3,343,931 Due to brokers 6, ,719 $ 1, ,405 TOTAL INVESTMENT LIABILITIES ** 3,276, ,591 1,270 3,828,190 Liabilities due under split interest agreements 670, ,242 TOTAL LIABILITIES $ 3,276,329 $ 1,220,833 $ 1,270 $ 4,498,432 ** Includes fair value of interest rate exchange agreements of $381,893 and excludes reverse repurchase and securities lending agreements and other liabilities of $8,466,436. The following is a summary of the levels within the fair value hierarchy for those investment assets and liabilities subject to fair value measurement as of June 30, 2011 (in thousands of dollars): Level 1 Level 2 Level 3 Total INVESTMENT ASSETS: Cash and short-term investments $ 1,363,712 $ 1,363,712 Domestic common and convertible equity 298,522 $ 1,749,239 $ 1,948,111 3,995,872 Foreign common and convertible equity 158,333 1,092, ,485 2,137,590 Domestic fixed income 5,064,584 1,969 12,405 5,078,958 Foreign fixed income 3,138,090 3,138,090 Emerging market equity and debt 1,757, , ,984 2,411,371 High yield 20, , ,459 1,655,015 Absolute return 2,733,664 2,299,749 5,033,413 Private equities 45,020 7,312,137 7,357,157 Real assets 73,736 77,889 8,680,598 8,832,223 Inflation-indexed bonds 1,323,144 1,323,144 Due from brokers 21, ,681 63, ,001 Other investments 28,856 1,744 3,677 34,277 TOTAL INVESTMENT PORTFOLIO ASSETS * 13,248,230 7,756,481 22,354,112 43,358,823 Interests in trusts held by others 351, ,408 TOTAL INVESTMENT ASSETS $ 13,248,230 $ 7,756,481 $ 22,705,520 $ 43,710,231 * Excludes repurchase and securities borrowing agreements and other assets of $10,226,752. harvard university notes to financial statements INVESTMENT LIABILITIES: Equity and convertible securities sold, not yet purchased $ 358,553 $ 358,553 Fixed income securities sold, not yet purchased 4,225,876 4,225,876 Due to brokers 34,513 $ 1,160,179 $ 9,183 1,203,875 TOTAL INVESTMENT LIABILITIES ** 4,618,942 1,160,179 9,183 5,788,304 Liabilities due under split interest agreements 771, ,568 TOTAL LIABILITIES $ 4,618,942 $ 1,931,747 $ 9,183 $ 6,559,872 ** Includes fair value of interest rate exchange agreements of $400,568 and excludes reverse repurchase and securities lending agreements and other liabilities of $8,547,510.

17 The following is a rollforward of Level 3 investments for the year ended June 30, 2012 (in thousands of dollars): harvard university notes to financial statements Beginning Realized Change in Transfer Transfer Ending balance as of gains/ unrealized into out of balance as of July 1, 2011 (losses) gains/(losses)* Purchases Sales Level 3 Level 3** June 30, 2012 INVESTMENT ASSETS: Domestic common and convertible equity $ 1,948,111 $ 134,362 $ 109,828 $ 212,045 $ (653,700) $ 57,015 $ 1,807,661 Foreign common and convertible equity 886,485 38,737 (152,352) 138,770 (238,737) 40, ,439 Domestic fixed income 12,405 1, ,133 (23,498) $ (4,512) 319 Emerging market equity and debt 288,984 (50,485) (93,460) 51,476 (168,518) 176, ,712 High yield 858,459 38,501 30,168 86,320 (229,986) 30,738 (218,437) 595,763 Absolute return 2,299, ,439 (241,720) 474,511 (986,508) 216,618 (1,043) 2,017,046 Private equities 7,312, ,506 (453,981) 991,832 (1,294,758) 41,460 7,193,196 Real assets 8,680,598 72, ,569 1,660,883 (1,046,146) 6,573 10,036,845 Due from brokers 63,507 (101) (19,009) (18,095) 26,302 Other investments 3, ,179 7,862 TOTAL INVESTMENT PORTFOLIO ASSETS 22,354,112 1,087,013 (153,667) 3,629,970 (4,659,946) 569,655 (223,992) 22,603,145 Interests in trusts held by others 351,408 (7,610) 343,798 TOTAL INVESTMENT ASSETS $ 22,705,520 $ 1,087,013 $ (161,277) $ 3,629,970 $ (4,659,946) $ 569,655 $ (223,992) $ 22,946,943 INVESTMENT LIABILITIES: Due to brokers $ 9,183 $ (527) $ (7,913) $ 527 $ 1,270 TOTAL INVESTMENT LIABILITIES $ 9,183 $ (527) $ (7,913) $ 527 $ 1,270 * Total change in unrealized gains/(losses) relating to Level 3 investment assets and investment liabilities still held by the University at June 30, 2012 is $(573,061) and is reflected in Realized and unrealized (depreciation)/appreciation, net in the Statements of Changes in Net Assets. ** Changes in classification for certain externally managed funds from Level 3 to Level 2 are included in the above table as transfers out of Level 3. The following is a rollforward of Level 3 investments for the year ended June 30, 2011 (in thousands of dollars): Beginning Realized Change in Transfer Transfer Ending balance as of gains/ unrealized into out of balance as of July 1, 2010 (losses) gains/(losses)* Purchases Sales Level 3 Level 3** June 30, 2011 INVESTMENT ASSETS: Domestic common and convertible equity $ 1,977,249 $ 111,921 $ 902,554 $ 12,507 $ (292,430) $ (763,690) $ 1,948,111 Foreign common and convertible equity 711,184 (103,157) 555,610 (59,742) (217,410) 886,485 Domestic fixed income 24,613 7,734 (4,024) 25,322 (48,449) $ 7,209 12,405 Foreign fixed income (1,095) 1,095 Emerging market equity and debt 418,433 42,924 53,188 88,054 (677,190) 364,961 (1,386) 288,984 High yield 869,213 (6,474) 118, ,377 (270,074) (691,762) 858,459 Absolute return 2,679, , , ,737 (1,293,301) (291,500) 2,299,749 Private equities 6,358, , ,492 1,100,628 (1,792,791) 165,640 (45,072) 7,312,137 Real assets 6,145, ,546 1,274,343 1,893,867 (771,784) (18,330) 8,680,598 Due from brokers 45,973 3, ,138 (3,554) (34) 63,507 Other investments 3, ,677 TOTAL INVESTMENT PORTFOLIO ASSETS 19,233,624 1,056,959 4,128,588 4,635,630 (5,209,315) 537,810 (2,029,184) 22,354,112 Interests in trusts held by others 297,629 53, ,408 TOTAL INVESTMENT ASSETS $ 19,531,253 $ 1,056,959 $ 4,182,367 $ 4,635,630 $ (5,209,315) $ 537,810 $ (2,029,184) $ 22,705,520 INVESTMENT LIABILITIES: Equity and convertible securities sold, not yet purchased $ 209 $ 202 $ (135) $ (276) Fixed income securities sold, not yet purchased 620 (2,104) Due to brokers 15, (151) (1,626) $ (5,839) $ 9,183 TOTAL INVESTMENT LIABILITIES $ 16,730 $ (1,004) $ 262 $ (966) $ (5,839) $ 9,183 * Total change in unrealized gains/(losses) relating to Level 3 investment assets and investment liabilities still held by the University at June 30, 2011 is $2,766,382 and is reflected in Realized and unrealized appreciation/(depreciation), net in the Statements of Changes in Net Assets. ** Changes in classification for certain externally managed funds from Level 3 to Level 2 are included in the above table as transfers out of Level 3.

18 The University has entered into agreements with private equity and real asset partnerships and other external investment managers, which include commitments to make periodic contributions in the form of cash in future periods. The amounts of these expected disbursements as of June 30, 2012 and 2011 are broken out below (in thousands of dollars): As of June 30, 2012 Remaining unfunded Estimated Fair value* commitments remaining life** Private equities $ 6,494,120 $ 2,382, Real assets 3,214,819 1,606, Other externally managed funds*** 850, , TOTAL $ 10,559,053 $ 4,575,539 As of June 30, 2011 Remaining unfunded Estimated Fair value* commitments remaining life** Private equities $ 6,428,104 $ 2,888, Real assets 2,356,477 2,050, Other externally managed funds*** 1,155, , TOTAL $ 9,939,908 $ 5,429,212 * Represents the fair value of the funded portion of investments with remaining unfunded commitments for each asset class. ** The estimated remaining lives of these funds, expressed in years, are forward-looking projections based on management s estimates and could vary significantly depending on the investment decisions of external managers, changes in the University s investment portfolio, and other circumstances. *** Investments in externally managed funds primarily include exposures to absolute return, domestic, foreign, and emerging equities, and high yield asset classes. The University s interests in many of its partnership investments (primarily private equity and real estate) generally represent commitments that are not subject to redemption; instead the University is a limited partner in funds that invest in private companies or properties, or pursue specific investment strategies. The nature of these investments is that distributions are received through the liquidation of the underlying assets of the partnership. The fair value of the investments in these asset classes has generally been estimated using the University s capital account balance with each partnership, unless management has deemed the nav to be an inappropriate representation of fair value. The University generally classifies its interest in these types of entities as Level 3 investments within the aforementioned fair value hierarchy. harvard university notes to financial statements

19 5. derivatives harvard university notes to financial statements The University uses a variety of financial instruments with off-balance sheet risk involving contractual or optional commitments for future settlement, which are exchange traded or executed over the counter. These instruments are used in both the core portfolio to increase or decrease exposure to a given asset class and in the relative value strategies, with the goal of enhancing the returns of certain asset classes. The University may also invest in derivative instruments when it believes investments or other derivatives are mispriced in relation to other investments, and the University can benefit from such mispricing. The fair value of these financial instruments is included in the Investment portfolio, at fair value and Securities lending and other liabilities associated with the investment portfolio line items of the Balance Sheets, with changes in fair value reflected as Realized and changes in unrealized appreciation/(depreciation), net within the Statements of Changes in Net Assets. The market risk of a strategy is influenced by the relationship between the financial instruments with off-balance sheet risk and the offsetting positions recorded in the Balance Sheets. The University manages exposure to market risk through the use of industry standard analytical tools that measure the market exposure of each position within a strategy. The strategies are monitored daily, and positions are frequently adjusted in response to changes in the financial markets. Derivative instruments entered into by limited partnerships and commingled investment vehicles pose no direct off-balance sheet risk to the University due to the limited liability structure of the investments. The following table presents the gross fair values and the net profit/(loss) from derivatives by primary risk exposure for the year ended June 30, 2012 (in thousands of dollars): For the year ended As of June 30, 2012 June 30, 2012 Gross Gross derivative derivative Net profit/ Primary risk exposure assets liabilities (loss) Equity instruments: Equity futures $ 3,615 $ 58,307 Equity options $ 58,236 31,730 7,871 Equity exchange agreements 83,168 55,589 (488,127) TOTAL EQUITY INSTRUMENTS 141,404 90,934 (421,949) Fixed income instruments: Fixed income futures 10,069 5,075 (113,800) Fixed income options 5,409 4, Interest rate exchange agreements 1 776,602 1,070,542 (205,686) Interest rate caps and floors 169, , TOTAL FIXED INCOME INSTRUMENTS 961,979 1,251,978 (318,387) Commodity instruments: Commodity futures 26,619 30,052 19,898 Commodity options 53,846 41,019 2,706 Commodity exchange agreements 42,660 18,109 (62,253) TOTAL COMMODITY INSTRUMENTS 123,125 89,180 (39,649) Currency instruments: Currency forwards 1,780,893 1,777,928 71,673 Currency options 42,498 11,581 (2,087) Currency exchange agreements 34,649 21,013 4,558 TOTAL CURRENCY INSTRUMENTS 1,858,040 1,810,522 74,144 CREDIT INSTRUMENTS 47,071 34,878 (6,099) TOTAL 3,131,619 3,277,492 $ (711,940) Counterparty netting 2 (2,820,570) (2,820,556) INCLUDED IN INVESTMENT PORTFOLIO, AT FAIR VALUE $ 311,049 $ 456,936 1 Includes $11,531 and $393,424 of gross derivative assets and liabilities, respectively, and a net profit/(loss) of $(140,219), related to interest rate exchange agreements on the University s debt portfolio, further discussed in Note GAAP permits the netting of derivative assets and liabilities and the related cash collateral received and paid when a legally enforceable master netting agreement exists between the University and a derivative counterparty.

20 The following table presents the gross fair values and the net profit/(loss) from derivatives by primary risk exposure For the year ended for the year ended June 30, 2011 (in thousands of dollars): As of June 30, 2011 June 30, 2011 Gross Gross derivative derivative Net profit/ Primary risk exposure assets liabilities (loss) Equity instruments: Equity futures $ 1,090 $ (400) Equity options $ 37,715 7,894 1,016 Equity exchange agreements 75,846 71, ,299 TOTAL EQUITY INSTRUMENTS 113,561 80, ,915 Fixed income instruments: Fixed income futures 28,014 17,401 7,376 Fixed income options 6,259 5,033 (3,678) Interest rate exchange agreements 1 662, ,106 34,733 Interest rate caps and floors 65,781 67,942 32,692 TOTAL FIXED INCOME INSTRUMENTS 762,738 1,019,482 71,123 Commodity instruments: Commodity futures 9 9 Commodity exchange agreements 6,314 2, ,309 COMMODITY INTSTRUMENTS 6,323 2, ,309 Currency instruments: Currency forwards 1,663,481 1,686,469 (31,707) Currency options 52,753 32,822 (6,694) Currency exchange agreements 21,852 10,949 11,666 TOTAL CURRENCY INSTRUMENTS 1,738,086 1,730,240 (26,735) CREDIT INSTRUMENTS 48,751 42,226 (24,329) TOTAL 2,669,459 2,874,794 $ 927,283 Counterparty netting 2 (1,662,597) (1,662,058) INCLUDED IN INVESTMENT PORTFOLIO, AT FAIR VALUE $ 1,006,862 $ 1,212,736 harvard university notes to financial statements 1 Includes $8,861 and $409,429 of gross derivative assets and liabilities, respectively, and a net profit/(loss) of $7,877, related to interest rate exchange agreements on the University s debt portfolio, further discussed in Note GAAP permits the netting of derivative assets and liabilities and the related cash collateral received and paid when a legally enforceable master netting agreement exists between the University and a derivative counterparty. The following section details the accounting for each type of derivative contract, as well as the University s intended purpose for entering into each type of derivative instrument. Options The University purchases and sells put and call options to take advantage of mispricing due to expectations in the marketplace of future volatility of the underlying instruments. When purchasing an option, the University pays a premium, which is included in the pooled general investment account table in Note 3 as an asset and subsequently marked-to-market to reflect the current value of the option. Premiums paid for purchased options that expire unexercised are treated as realized losses within the Statements of Changes in Net Assets. When the University sells (writes) a call or put option, an amount equal to the premium received is recorded as a liability in the pooled general investment account table in Note 3 and subsequently marked-to-market to reflect the current fair value of the option written. Premiums received from writing options that expire unexercised are treated as realized gains within the Statements of Changes in Net Assets. When a purchased option is closed before expiration or exercise, the University records a realized gain or loss equal to the difference between the proceeds received upon closing and the premium paid. When a written option is closed before expiration or exercise, the University records a realized gain or loss equal to the difference between the cost to close the option and the premium received from selling the option. During fiscal 2012, the University transacted approximately 500 equity and fixed income option trades with an average transaction size of approximately 2,500 contracts. Additionally, the University transacted approximately 400 currency option contracts with average usd equivalent notional amounts of approximately $23.0 million per contract.

21 harvard university notes to financial statements During fiscal 2011, the University transacted approximately 500 equity and fixed income option trades with an average transaction size of approximately 3,500 contracts. Additionally, the University transacted approximately 275 currency option contracts with average usd equivalent notional amounts of approximately $25.0 million per contract. Swap contracts The University enters into swap contracts, which are contracts between two parties to exchange future cash flows at periodic intervals based on a notional principal amount. Payments are exchanged at specified intervals, accrued daily commencing with the effective date of the contract and recorded as realized gains or losses. Gains or losses are realized in the event of an early termination of a swap contract. Risks of loss may include unfavorable changes in the returns of the underlying instruments or indexes, adverse fluctuations of interest rates, failure of the counterparty to perform under the terms of the agreement, and lack of liquidity in the market. Collateral in the form of securities or cash may be posted to or received from the swap counterparty in accordance with the terms of the swap contract. Realized gains or losses are recorded within the Statements of Changes in Net Assets on periodic payments received or made on swap contracts and with respect to swaps that are closed prior to termination date. When the University enters into a swap transaction, it may make or receive a payment equal to the value of the swap on the entry date and amortizes such payments to realized gain or loss over the outstanding term of the swap. The terms of the swap contracts can vary, and they are reported at fair value based on a valuation model or a counterparty provided price. The University enters into swap contracts to increase or decrease its exposure to changes in the level of interest rates, underlying asset values and/or credit risk. In the normal course of its trading activities, the University enters into credit default, interest rate, and total return swap contracts. Credit default contracts The University enters into credit derivatives to simulate long and short bond exposure that is either unavailable or considered to be less attractively priced in the bond market, or to hedge exposure obtained in the bond market. The University also uses these derivatives to reduce risk where it has exposure to the issuer, or to take an active long or short position with respect to the likelihood of an event of default. The reference obligation of the derivative can be a single issuer, a basket of issuers, or an index. During fiscal 2012, the University transacted approximately 700 credit default contracts with average notional amounts of approximately $22.0 million. During fiscal 2011, the University transacted approximately 600 credit default contracts with average notional amounts of approximately $11.5 million. In instances where the University has purchased credit protection on an underlying reference obligation, the University is obligated to pay the seller of the credit protection a periodic stream of payments over the term of the contract in return for a contingent payment upon the occurrence of a credit event with respect to the underlying reference obligation. The contingent payment may be a cash settlement or a physical delivery of the reference obligation in return for payment of the face amount of the obligation. The amount paid for purchased protection is typically a nominal percentage of the notional amount. In instances where the University has sold credit protection on an underlying reference obligation, the University receives a fixed rate of income throughout the term of the contract, which typically is between one month and five years, and in some instances up to ten years. In the case where the University sold credit protection, if a credit event occurs, the University may cash settle the contract or pay the purchaser of credit protection the full notional value of the contract in exchange for the reference obligation. As of June 30, 2012, the University s purchased and written credit derivatives had gross notional amounts of $1.8 billion and $0.3 billion, respectively, for total net purchased protection of $1.5 billion in notional value. As of June 30, 2011, the University s purchased and written credit derivatives had gross notional amounts of $2.0 billion and $0.2 billion, respectively, for total net purchased protection of $1.8 billion in notional value.

22 The table below summarizes certain information regarding credit protection purchased and written as of June 30, 2012 and 2011 (in thousands of dollars): Purchased protection Years to maturity As of June 30, 2012 Written protection Net written Purchased Total Offsetting Net credit Credit rating notional Purchased written purchased written protection on underlying amount* fair value < 5 years 5-10 years notional notional** notional fair value A- to AAA $ 654,143 $ 2,777 $ 75,000 $ 23,000 $ 98,000 $ 12,000 $ 86,000 $ (3,269) BBB- to BBB+ 854, ,000 50,000 50,000 3,601 Non-investment grade 252,208 31, , ,042 12, ,042 (23,606) TOTAL $ 1,760,351 $ 35,468 $ 238,042 $ 23,000 $ 261,042 $ 24,000 $ 237,042 $ (23,274) * Amounts shown are net of purchased credit protection that directly offsets written credit protection, as discussed in the note (**) below. ** Offsetting purchased credit derivatives represent the notional amount of purchased credit derivatives to the extent they hedge written credit derivatives with identical underlyings. Purchased protection Years to maturity As of June 30, 2011 Written protection Net written Purchased Total Offsetting Net credit Credit rating notional Purchased written purchased written protection on underlying amount* fair value < 5 years 5-10 years notional notional** notional fair value A- to AAA $ 584,750 $ 194 $ 14,498 $ 26,500 $ 40,998 $ 17,998 $ 23,000 $ 166 BBB- to BBB+ 1,210,115 (271) 28,500 28,500 28,500 (326) Non-investment grade 175,368 32,905 38,581 59,386 97,967 24,250 73,717 (29,735) TOTAL $ 1,970,233 $ 32,828 $ 53,079 $ 114,386 $ 167,465 $ 42,248 $ 125,217 $ (29,895) harvard university notes to financial statements Credit ratings on the underlying reference obligation, together with the period of expiration, are indicators of payment/ performance risk. For example, the seller of credit protection is least likely to pay or otherwise be required to perform where the credit ratings are AAA and the period of expiration is < 5 years. The likelihood of payment or performance is generally greater as the credit ratings fall and period of expiration increases. Interest rate contracts The University enters into interest rate swaps (including swaptions) to hedge certain investment positions against interest rate fluctuations; to benefit from interest rate fluctuations; to obtain better interest rate terms than it would have been able to get without the swap; or to manage the interest, cost, and risk associated with its outstanding debt and to hedge issuance of future debt. Interest rate swaps involve the exchange by the University with another party of its respective commitments to pay or receive interest at specified intervals based on a notional amount of principal. During fiscal 2012, the University transacted approximately 3,500 interest rate swap and cap and floor contracts with average notional amounts of approximately $200.0 million. During fiscal 2011, the University transacted approximately 3,500 interest rate swap and cap and floor contracts with average notional amounts of approximately $400.0 million. Total return swaps The University enters into total return swaps to manage its exposure to market fluctuations in various asset classes. Total return swaps involve commitments to pay interest in exchange for a market linked return, both based on notional amounts. To the extent the total return of the security or index underlying the transaction exceeds or falls short of the offsetting interest rate obligation, the University will receive a payment from or make a payment to the counterparty, respectively. During fiscal 2012, the University transacted approximately 400 commodity swap contracts, 700 equity swap contracts, and 200 currency swap contracts with average notional amounts of approximately $12.0 million,

23 harvard university notes to financial statements $10.0 million, and $8.0 million, respectively. During fiscal 2011, the University transacted approximately 90 commodity swap contracts, 1,300 equity swap contracts, and 250 currency swap contracts with average notional amounts of approximately $30.0 million, $2.5 million, and $13.0 million, respectively. Forward currency contracts The University enters into forward currency contracts in connection with settling planned purchases or sales of securities, for investment purposes, or to hedge the currency exposure associated with some or all of the University s portfolio securities. A forward currency contract is an agreement between two parties to buy and sell a currency at a set price on a future date. The value of a forward currency contract fluctuates with changes in forward currency exchange rates. Forward currency contracts are marked-to-market daily and the change in fair value is recorded by the University as an unrealized gain or loss. Realized gains or losses equal to the difference between the fair value of the contract at the time it was opened and the fair value at the time it was closed are recorded upon delivery or receipt of the currency or, if a forward currency contract is offset by entering into another forward currency contract with the same broker, upon settlement of the net gain or loss. During fiscal 2012, the University transacted approximately 5,700 forward currency contracts with average usd equivalent notional amounts of approximately $3.0 million. During fiscal 2011, the University transacted approximately 5,000 forward currency contracts with average usd equivalent notional amounts of approximately $2.3 million. Futures contracts The University uses futures contracts to manage its exposure to financial markets, including to hedge such exposures. Buying futures tends to increase the University s exposure to the underlying instrument. Selling futures tends to decrease exposure to the underlying instrument. Upon entering into a futures contract, the University is required to deposit with its prime broker an amount of cash or liquid securities in accordance with the initial margin requirements of the broker or exchange. Gains and losses are realized when the contracts expire or are closed. Futures contracts are marked-to-market daily based on settlement prices established by the board of trade or exchange on which they are traded, and an appropriate payable or receivable for the change in fair value is recorded by the University. During fiscal 2012, the University transacted approximately 10,000 futures trades with an average transaction size of approximately 100 contracts. During fiscal 2011, the University transacted approximately 5,000 futures trades with an average transaction size of approximately 100 contracts. Counterparty credit exposure Financial instruments with off-balance sheet risk involve counterparty credit exposure. The policy of the University is to require collateral to the maximum extent possible under normal trading practices. Collateral is moved on a daily basis as required by fluctuations in the market. The collateral is generally in the form of debt obligations issued by the US Treasury. In the event of counterparty default, the University has the right to use the collateral to offset the loss associated with the replacements of the agreements. The University enters into arrangements only with counterparties believed to be creditworthy. Specific credit limits are established for counterparties based on their individual credit ratings. Credit limits are monitored daily by the University and are adjusted according to policy. Some of the financial instruments entered into by the University contain credit-risk-related contingency features that allow the parties to the agreement to demand immediate payment for outstanding contracts and/or collateral. If material credit-risk-related contingency features were triggered on June 30, 2012 and 2011, the additional collateral due to counterparties for derivative contracts would have been $6.4 million and $19.5 million, respectively. 6. receivables The major components of receivables, net of reserves for doubtful accounts of $12.0 million and $13.1 million as of June 30, 2012 and 2011, respectively, were as follows (in thousands of dollars): Federal sponsored support $ 66,902 $ 63,557 Publications 37,114 31,113 Gift receipts 27,167 7,402 Executive education 23,286 22,978 Non-federal sponsored support 13,450 13,108 Tuition and fees 12,807 12,670 Other 46,675 48,403 TOTAL RECEIVABLES, NET $ 227,401 $ 199,231

24 7. notes receivable Notes receivable are recorded initially at face value plus accrued interest, which approximates fair value. Notes receivable, and the related allowance for doubtful accounts, were as follows (in thousands of dollars): Receivable Allowance Net Receivable Allowance Net Student loans: Government revolving $ 80,039 $ 2,619 $ 77,420 $ 80,664 $ 2,509 $ 78,155 Institutional 83,931 2,955 80,976 82,244 2,800 79,444 Federally insured ,434 1,434 Total student loans 164,955 5, , ,342 5, ,033 Faculty and staff loans 187, , , ,366 Other loans 22,393 4,867 17,526 22,932 3,975 18,957 TOTAL $ 374,429 $ 10,863 $ 363,566 $ 373,062 $ 9,706 $ 363,356 Government revolving loans are funded principally with federal advances to the University under the Perkins Loan Program and certain other programs. These advances totaled $67.0 million as of June 30, 2012 and 2011, are classified as liabilities in the Balance Sheets. Interest earned on the revolving and institutional loan programs is reinvested to support additional loans. The repayment and interest rate terms of the institutional loans vary considerably. Faculty and staff notes receivable primarily consists of mortgage and educational loans. Mortgages include shared appreciation loans and loans that bear interest at the applicable federal rate. In addition, certain mortgages bear interest at the current market rate, which may be subsidized for an initial period. The educational loans are primarily zero-interest loans. The University assesses the adequacy of the allowance for doubtful accounts by evaluating the loan portfolio, including such factors as the differing economic risks associated with each loan category, the financial condition of specific borrowers, the economic environment in which the borrowers operate, the level of delinquent loans, the value of any collateral, and, where applicable, the existence of any guarantees or indemnifications. In addition to these factors, the University reviews the aging of the loans receivable and the default rate in comparison to prior years. The allowance is adjusted based on these reviews. The University considers the allowance at June 30, 2012 and 2011 to be reasonable and adequate to absorb potential credit losses inherent in the loan portfolio. harvard university notes to financial statements 8. pledges receivable Unconditional promises to donate to the University in the future are initially recorded at fair value (pledge net of discount) and subsequently amortized over the expected payment period, net of an allowance for uncollectible pledges. Discounts of $34.4 million and $41.8 million for the years ended June 30, 2012 and 2011, respectively, were calculated using discount factors based on the appropriate US Treasury Note rates for pledges received prior to the adoption of asc 820, and using the University s taxable unsecured borrowing rate for pledges received since fiscal Pledges receivable included in the financial statements as of June 30, 2012 and 2011 are expected to be realized as follows (in thousands of dollars): Within one year $ 157,294 $ 134,080 Between one and five years 629, ,317 More than five years 210, ,902 Less: discount and allowance for uncollectible pledges (88,493) (105,858) TOTAL PLEDGES RECEIVABLE, NET $ 908,558 $ 758,441

25 Pledges receivable as of June 30, 2012 and 2011 have been designated for the following purposes (in thousands of dollars): General Operating Account balances: Gifts for current use $ 429,859 $ 330,138 Non-federal sponsored grants 106,149 95,768 Loan funds and facilities 62,391 47,886 Total General Operating Account balances 598, ,792 Because of uncertainties with regard to realizability and valuation, bequest intentions and other conditional promises are only recognized as assets if and when the specified conditions are met. Non-bequest conditional pledges totaled $63.8 million and $30.4 million as of June 30, 2012 and 2011, respectively. Endowment 310, ,649 TOTAL PLEDGES RECEIVABLE, NET $ 908,558 $ 758,441 harvard university notes to financial statements 9. fixed assets Fixed assets are reported at cost or, if a gift, at fair value as of the date of the gift, net of accumulated depreciation. Depreciation is computed using the straight-line method over the estimated useful lives of the assets. The major categories of fixed assets as of June 30, 2012 and 2011 are summarized as follows (in thousands of dollars): Estimated useful life (in years) Research facilities $ 2,091,652 $ 1,990,895 * Classroom and office facilities 1,572,065 1,324, Housing facilities 1,173,626 1,150, Other facilities 526, , Service facilities 568, , Libraries 434, , Museums and assembly facilities 312, , Athletic facilities 167, , Land 698, ,570 n/a Construction in progress 719, ,095 n/a Equipment 950, ,903 ** SUBTOTAL AT COST 9,215,198 8,799,288 Less: accumulated depreciation (3,438,653) (3,152,211) FIXED ASSETS, NET $ 5,776,545 $ 5,647,077 * Estimated useful lives of components range from 10 to 45 years. ** Estimated useful lives of equipment range from 3 to 8 years. Certain University facilities are subject to restrictions as to use, structural modifications, and ownership transfer. Included in the fixed asset balances are restricted facilities with a net book value of $226.4 million and $222.3 million as of June 30, 2012 and 2011, respectively. The costs of research facilities are separated into the shell, roof, finishes, fixed equipment, and services. These components are separately depreciated. Equipment includes general and scientific equipment, computers, software, furniture, and vehicles. The University has asset retirement obligations of $61.3 million and $67.4 million, which are included in the Deposits and other liabilities in the Balance Sheets as of June 30, 2012 and 2011, respectively.

26 10. endowment The University s endowment consists of approximately 12,000 separate funds established over many years for a wide variety of purposes. Endowment fund balances, including funds functioning as endowment, are classified and reported as unrestricted, temporarily restricted, or permanently restricted net assets in accordance with donor specifications and state law. Net unrealized losses on permanently restricted endowment funds are classified as a reduction to unrestricted net assets until such time as the fair value equals or exceeds historic dollar value. Unrestricted net assets were reduced by $23.4 million and $13.1 million for such losses in fiscal 2012 and 2011, respectively. Although funds functioning as endowment are not subject to donor restrictions, decisions to spend their principal require the approval of the Corporation. All but a small fraction of the endowment is invested in the gia (Note 3). The University is also the beneficiary of certain irrevocable trusts held and administered by others. The estimated fair values of trust assets, which include the present values of expected future cash flows from outside trusts and the fair value of the underlying assets of perpetual trusts, are recognized as assets and increases in net assets when the required trust documentation is provided to the University. The fair values of these trusts are provided by the external trustees and are adjusted annually by the University. These are included as Level 3 investments in the fair value hierarchy table in Note 4. The endowment consisted of the following as of June 30, 2012 and 2011 (in thousands of dollars): Temporarily Permanently Unrestricted restricted restricted Total Total Endowment funds $ (23,417) $ 17,204,271 $ 5,064,566 $ 22,245,420 $ 23,131,202 Funds functioning as endowment 5,385,753 2,511,525 7,897,278 8,288,451 Pledge balances 34, , , ,649 Interests in trusts held by others 12, , , ,427 TOTAL ENDOWMENT $ 5,362,336 $ 19,763,294 $ 5,619,904 $ 30,745,534 $ 32,012,729 harvard university notes to financial statements The University s endowment distribution policies are designed to preserve the value of the endowment in real terms (after inflation) and generate a predictable stream of available income. Each fall, the Corporation approves the endowment distribution for the following fiscal year. The endowment distribution is based on presumptive guidance from a formula that is intended to provide budgetary stability by smoothing the impact of annual investment gains and losses. The formula s inputs reflect expectations about long-term returns and inflation rates. For fiscal 2012, the endowment distribution approved by the Corporation (prior to decapitalizations) was equal to 4.6% of the fair value of the endowment invested in the gia as of the beginning of the fiscal year. The total endowment distribution made available for operations was $1.4 billion and $1.3 billion in fiscal 2012 and 2011, respectively. Each year the Corporation also approves certain decapitalizations from the endowment to support strategic, mission-critical activities or objectives that are typically one-time or timelimited. These decapitalizations totaled $308.5 million and $105.0 million in fiscal 2012 and 2011, respectively. These additional decapitalizations, in combination with the endowment distribution, resulted in an aggregate payout rate of 5.5% and 5.3% in fiscal 2012 and 2011, respectively.

27 11. split interest agreements harvard university notes to financial statements Under split interest agreements, donors enter into trust arrangements with the University in which the University receives benefits that are shared with other beneficiaries and institutions. Split interest agreement (sia) investment assets are invested primarily in the gia and publicly traded securities, a small segment is managed by an external advisor, and all are recorded at fair value as discussed in Notes 3 and 4. The publicly traded securities are included as Level 1 and externally managed investments are included as Level 3 investments in the fair value hierarchy table in Note 4. Associated liabilities are recorded at the present value of estimated future payments due to beneficiaries and other institutions. These liabilities were calculated using discount factors based on the appropriate US Treasury Note rates for gifts received prior to the adoption of asc 820, and using the University s current taxable unsecured borrowing rate for gifts received beginning in fiscal The changes in split interest agreement net assets for fiscal 2012 and 2011 were as follows (in thousands of dollars): Temporarily Permanently restricted restricted Total Total Investment return: Investment income $ 3,571 $ 10,392 $ 13,963 $ 15,670 Realized and unrealized appreciation/(depreciation), net (7,112) (20,697) (27,809) 193,148 Total investment return (3,541) (10,305) (13,846) 208,818 Gifts for capital (Note 17) * 6,671 13,497 20,168 24,891 Payments to annuitants (14,899) (43,358) (58,257) (58,925) Transfers to endowment (18,684) (39,583) (58,267) (56,000) Transfers between sia and the goa (12,053) (2,182) (14,235) (14,100) Change in liabilities and other adjustments 39, , ,896 (8,868) NET CHANGE DURING THE YEAR (3,268) 35,727 32,459 95,816 Total split interest agreement net assets, beginning of year 73, , , ,973 TOTAL SPLIT INTEREST AGREEMENT NET ASSETS, end of year $ 70,705 $ 479,543 $ 550,248 $ 517,789 * Shown at net present value. The undiscounted value of these gifts was $51,045 and $41,807 for the years ended June 30, 2012 and 2011, respectively. Split interest agreement net assets as of June 30, 2012 and 2011 consisted of the following (in thousands of dollars): Split interest agreement investments (Note 3): Charitable remainder trusts $ 786,258 $ 842,092 Charitable lead trusts 115, ,115 Charitable gift annuities 213, ,335 Pooled income funds 104, ,815 Total split interest agreement investments 1,220,490 1,289,357 Liabilities due under split interest agreements: Amounts due to beneficiaries (560,474) (656,138) Amounts due to other institutions (109,768) (115,430) Total liabilities due under split interest agreements (670,242) (771,568) TOTAL SPLIT INTEREST AGREEMENT NET ASSETS, end of year $ 550,248 $ 517,789

28 12. bonds and notes payable Bonds and notes payable as of June 30, 2012 and 2011 were as follows (in thousands of dollars): Tax-exempt bonds and notes payable: Fiscal year Years to One-year Outstanding principal of issue final maturity * yield ** 2012 *** 2011 **** Variable-rate bonds and notes payable: Series R - daily % $ 131,200 $ 131,200 Series Y - weekly , ,905 Commercial paper 2012 < , ,681 Total variable-rate bonds and notes payable , ,786 Fixed-rate bonds: Series N ,210 79,109 Series Z ,143 19,748 Series DD 2002 n/a ,071 Series FF , ,312 Series 2005A ,049 93,213 Series 2005B , ,512 Series 2005C , ,622 Series 2008B , ,094 Series 2009A , ,106 Series 2010A , ,987 Series 2010B , ,672 Total fixed-rate bonds 5.0 2,982,880 3,136,446 Total tax-exempt bonds and notes payable 4.2 3,520,720 3,705,232 Taxable bonds and notes payable: Series GG2 - weekly 2005 n/a ,355 Series 2006A , ,437 Series 2008A , ,760 Series 2008C , ,205 Series 2008D ,820 1,196,376 Series 2010C , ,038 Commercial paper 2012 < ,007 44,045 Total taxable bonds and notes payable 5.4 2,367,401 2,477,216 harvard university notes to financial statements Other notes payable Various Various Various 151, ,261 TOTAL BONDS AND NOTES PAYABLE 4.7% $ 6,039,139 $ 6,335,709 * The weighted average maturity of the portfolio on June 30, 2012 was 17.8 years. ** Exclusive of interest rate exchange agreements. Inclusive of these agreements, the overall portfolio rate was 5.1%. *** Series N, FF, 2006A, 2008A, 2008D, 2009A and 2010C principal are net of $0.8 million, $1.3 million, $0.5 million, $0.2 million, $3.2 million, $15.8 million and $1.9 million of discounts, respectively. Series 2005A, 2005B, 2005C, 2008B, 2010A and 2010B principal include premiums of $3.9 million, $3.8 million, $3.6 million, $7.0 million, $43.6 million and $56.9 million, respectively. **** Series N, DD, FF, 2006A, 2008A, 2008D, 2009A and 2010C principal are net of $0.9 million, $0.8 million, $1.2 million, $0.6 million, $0.2 million, $3.6 million, $14.9 million and $2.0 million of discounts, respectively. Series Z, 2005A, 2005B, 2005C, 2008B, 2010A and 2010B principal include premiums of $0.01 million, $4.1 million, $4.0 million, $3.7 million, $7.2 million, $47.0 million and $60.6 million, respectively Interest expense related to bonds and notes payable was $285.8 million and $296.4 million for fiscal 2012 and 2011, respectively. The interest expense in the Statement of Changes in Net Assets with General Operating Account Detail includes additional components related to capital leases. Excluding maturity of commercial paper and unamortized discounts and premiums, scheduled principal payments are (in thousands of dollars): Fiscal year Principal payments 2013 $ 345, , , , ,724 Thereafter 4,979,013 TOTAL PRINCIPAL PAYMENTS $ 5,497,449

29 harvard university notes to financial statements In fiscal 2012, the University redeemed Series DD and Series GG2 in full ($135.9 million and $16.6 million, respectively) by exercising the bonds call options and $200.0 million of Series 2008D, scheduled to mature in 2014, by exercising the bond s make-whole call option. The redemption of these bonds was funded with cash on hand. In fiscal 2012, the University entered into a $2.0 billion unsecured, revolving credit facility with a syndicate of banks, of which $1.0 billion expires in January 2013 and $1.0 billion expires in January There was no outstanding balance on the credit facility at June 30, In fiscal 2012, the University s AAA/Aaa credit ratings were affirmed with Standard & Poor s and Moody s Investors Service, respectively. As of June 30, 2012, the University had $249.1 million of variable-rate bonds outstanding (excluding commercial paper) with either a daily or weekly interest rate reset, as noted in the bonds and notes payable table on page 39. In the event that the University receives notice of any optional tender on its variable-rate bonds, or if the bonds become subject to mandatory tender, the purchase price of the bonds will be paid from the remarketing of such bonds. However, if the remarketing proceeds are insufficient, the University will have a general obligation to purchase the bonds tendered. In fiscal 2011, the University issued $601.1 million of tax-exempt fixed-rate Series 2010B bonds, and $300.0 million of taxable fixed-rate Series 2010C bonds. The proceeds from these bonds were primarily used for a combination of redemptions, refinancings, and the funding of certain capital projects and acquisitions. In fiscal 2011, the University also redeemed $300.0 million of Series 2008D bonds by exercising the bond s make-whole call option. Interest rate exchange agreements The University has entered into various interest rate exchange agreements in order to manage the interest cost and risk associated with its outstanding debt and to hedge issuance of future debt. The interest rate exchange agreements were not entered into for trading or speculative purposes. Each of these agreements is collateralized, as described in Note 5, and thereby carries liquidity risk to the extent the relevant agreements have negative mark-to-market valuations (pursuant to methodologies described below). In fiscal 2012, the University terminated interest rate exchange agreements with a notional value of $756.0 million, for which it realized a loss of $134.6 million. In addition, interest rate exchange agreements with $207.8 million notional value matured during fiscal The fair value of interest rate exchange agreements is the estimated amount that the University would have received or (paid), including accrued interest, to terminate the agreements on the dates of the Balance Sheets. The notional amount and fair value of interest rate exchange agreements were $1,075.6 million and $(381.9) million, respectively, as of June 30, 2012 and $2,039.4 million and $(400.6) million, respectively, as of June 30, The fair value of these agreements is included in the Securities lending and other liabilities associated with the investment portfolio line in the Balance Sheets. The net expense realized related to interest rate exchange agreements was $23.0 million and $36.3 million for fiscal 2012 and 2011, respectively. All unrealized and realized gains and losses and settlements from interest rate exchange agreements are included in the Realized and unrealized (depreciation) / appreciation, net line in the Statements of Changes in Net Assets with General Operating Account Detail. The estimated fair value of the University s outstanding bonds and notes payable, including accrued interest, was $7,213.9 million and $6,854.6 million as of June 30, 2012 and 2011, respectively. NOTIONAL AMOUNT OF INTEREST RATE EXCHANGE AGREEMENTS In thousands of dollars Beginning balance, July 1, 2011 $ 2,039,355 Interest rate exchange agreements terminated/matured (963,800) ENDING BALANCE, JUNE 30, 2012 $ 1,075,555 In July 2012, the University redeemed the remaining $186.5 million outstanding of Series FF by exercising the bond s call option, and funded the redemption with cash. In August 2012, the University obtained reauthorization of its tax-exempt commercial paper program.

30 13. employee benefits The University offers current employees a choice of health plans, a dental plan, short-term and long-term disability plans, life insurance, tuition assistance, and a variety of other benefits such as subsidized passes for public transportation and for Harvard athletic facilities. In addition, the University has retirement plans covering substantially all employees. The University uses a measurement date of June 30 for its pension and postretirement health plans. Pension benefits All eligible faculty members, staff and hourly employees are covered by retirement programs that include a defined benefit component, a defined contribution component, or a combination of the two. In accordance with the Employee Retirement Income Security Act (erisa) requirements, the University has established a trust to hold plan assets for its defined benefit pension plans. The fair value of the trust s assets was $755.4 million and $746.9 million as of June 30, 2012 and 2011, respectively. During fiscal year 2012, the University used $36.9 million of internally designated funds for a discretionary defined benefit pension plan contribution. The University recorded expenses for its defined contribution plans of $110.3 million and $104.5 million for fiscal 2012 and 2011, respectively. Gross benefits paid for pensions were $41.0 million and $41.3 million as of June 30, 2012 and 2011, respectively. Postretirement health benefits The University provides postretirement health coverage and life insurance to substantially all of its employees. As of June 30, 2012, the University had internally designated and invested $339.0 million to fund the postretirement health benefit accrued liability of $901.5 million. As of June 30, 2011, the University had internally designated and invested $311.9 million to fund an accrued liability of $782.2 million. The following table sets forth the pension and postretirement plans funded status that is reported in the Balance Sheets as of June 30, 2012 and 2011 (in thousands of dollars): Postretirement Pension benefits health benefits Change in projected benefit obligation: Projected benefit obligation, beginning of year $ 782,567 $ 762,862 $ 782,219 $ 812,336 Service cost 13,514 14,491 32,748 38,091 Interest cost 43,200 44,951 46,628 50,323 Plan participants contributions 3,089 2,876 Plan change * (41,605) Gross benefits paid (41,013) (41,345) (26,660) (22,087) Expected federal subsidy on benefits paid 790 Actuarial (gain)/loss 107,811 1, ,261 (99,320) Special termination benefits 3,830 PROJECTED BENEFIT OBLIGATION, end of year 909, , , ,219 harvard university notes to financial statements Change in plan assets: Fair value of plan assets, beginning of year 746, ,005 Actual return on plan assets 8, ,241 Employer contributions 40,708 Gross benefits paid (41,013) (41,345) FAIR VALUE OF PLAN ASSETS, end of year 755, , UNFUNDED STATUS $ (154,545) $ (35,666) $ (901,470) $ (782,219) * The 2012 postretirement current year prior service credit was primarily due to the introduction of a medical deductible and co-insurance and a new cost sharing program for pharmacy. The accumulated benefit obligation associated with pension benefits was $791.5 million and $659.9 million at June 30, 2012 and 2011, respectively. The funded status disclosed above has been prepared in accordance with pension accounting rules. When measured on an irs funding basis, which informs the University s required cash contribution amount, the plan was overfunded at January 1, 2012.

31 harvard university notes to financial statements Net periodic benefit (income)/cost Components of net periodic benefit (income)/cost recognized in operating activity and other amounts recognized in non-operating activity in unrestricted net assets in the Statements of Changes in Net Assets with General Operating Account Detail are summarized as follows for the years ended June 30 (in thousands of dollars): Postretirement Pension benefits health benefits Components of net periodic benefit (income)/cost: Service cost $ 13,514 $ 14,491 $ 32,748 $ 38,091 Interest cost 43,200 44,951 46,628 50,323 Expected return on plan assets (48,694) (52,231) Amortization of: Actuarial (gain)/loss 264 (975) (4,227) 2,895 Prior service (credit)/cost (1,247) (4,633) 727 1,411 Transition (asset)/obligation 6,062 6,062 Cost of special termination benefits 3,830 Total net periodic benefit (income)/cost recognized in operating activity 10,867 1,603 81,938 98,782 Other amounts recognized in non-operating activity in unrestricted net assets: Current year actuarial (gain)/loss 147,737 (68,402) 104,261 (99,320) Amortization of: Current year prior service (credit)/cost (41,605) Transition asset/(obligation) (6,062) (6,062) Prior service credit/(cost) 1,247 4,633 (727) (1,411) Actuarial gain/(loss) (264) 975 4,227 (2,895) Total other amounts recognized in non-operating activity* 148,720 (62,794) 60,094 (109,688) Total recognized in Statements of Changes in Net Assets with General Operating Account Detail $ 159,587 $ (61,191) $ 142,032 $ (10,906) Cumulative amounts recognized as non-operating changes in unrestricted net assets are summarized as follows for the years ended June 30 (in thousands of dollars): Net actuarial (gain)/loss $ 141,160 $ (6,313) $ 89,563 $ (18,926) Prior service (credit)/cost 118 (1,129) (35,529) 741 Transition (asset)/obligation 12,125 Cumulative amounts recognized in unrestricted net assets* $ 141,278 $ (7,442) $ 54,034 $ (6,060) * These amounts totaling $208.8 million in fiscal 2012 and ($172.5) million in fiscal 2011 include gains and losses and other changes in the actuarially determined benefit obligations arising in the current period but that have not yet been reflected within net periodic benefit (income)/cost and are included in the Change in Retirement Obligations line in the Statements of Changes in Net Assets with General Operating Account Detail. The estimated net actuarial gain and prior service credit for the defined benefit plan that will be amortized from unrestricted net assets into net periodic benefit (income)/ cost in fiscal 2013 are $11.9 million and ($0.1) million, respectively. The estimated prior service cost for the postretirement health benefit that will be amortized from unrestricted net assets into net periodic benefit (income)/ cost in fiscal 2013 is ($3.2) million. Assumptions and health care cost trend rates used in determining the year end obligation as well as the net periodic benefit (income)/cost of the pension and postretirement health plans are summarized as follows for fiscal 2012 and 2011: Postretirement Pension benefits health benefits Weighted-average assumptions used to determine benefit obligation as of June 30: Discount rate 4.45% 5.60% 4.55% 5.80% Rate of compensation increase 4.00% 4.00% 4.00% 4.00% Health care cost trend rate: Initial rate n/a n/a 7.00% 8.50% Ultimate rate n/a n/a 5.00% 5.00% Years to ultimate rate n/a n/a 6 7 Weighted-average assumptions used to determine net periodic benefit (income)/cost: Discount rate 5.60% 6.00% 5.80% 6.00% Expected long-term rate of return on plan assets 7.25% 7.50% n/a n/a Rate of compensation increase 4.00% 4.00% 4.00% 4.00% Health care cost trend rate: Initial rate n/a n/a 8.50% 11.00% Ultimate rate n/a n/a 5.00% 5.00% Years to ultimate rate n/a n/a 7 8

32 As an indicator of sensitivity, a one percentage point change in assumed health care cost trend rate would affect 2012 as shown in the following table (in thousands of dollars): 1% point 1% point increase decrease Effect on 2012 postretirement health benefits service and interest cost 24,544 (16,218) Effect on postretirement health benefits obligation as of June 30, ,970 (146,831) The expected return on pension plan assets is determined by utilizing hmc s capital markets model, which takes into account the expected real return, before inflation, for each of the pension portfolio s asset classes, as well as the correlation of any one asset class to every other asset class. This model calculates the real returns and correlations and derives an expected real return for the entire portfolio, Plan assets The actual asset allocation of the investment portfolio for the pension plan at June 30, 2012 and 2011, along with target allocations for June 30, 2013, is as follows: given the percentage weighting allocated to each asset class. After calculating the expected real return, an assessment is made to accommodate the expected inflation rate for the forthcoming period. The final expected return on assets is the aggregate of the expected real return plus the expected inflation rate target June 30, 2012 June 30, 2011 Asset allocation by category for pension plan: Equity securities 30 50% 42.0% 48.2% Fixed income securities Real estate Commodities Absolute return Cash TOTAL OF ASSET ALLOCATION CATEGORIES 100.0% 100.0% harvard university notes to financial statements The University s investment strategy for the pension portfolio is to manage the assets across a broad and diversified range of investment categories, both domestic and international. The objective is to achieve a risk-adjusted return that is in line with the long-term obligations that the University has to the pension plan beneficiaries. During fiscal year 2012, the University has increased its allocation to fixed income securities to better manage the interest rate volatility associated with its pension obligations. The University expects to continue this strategy in future years. The investment program is also managed to comply with all erisa regulations. The following is a summary of the levels within the fair value hierarchy for the pension plan assets subject to fair value measurement as of June 30, 2012 (in thousands of dollars): Level 1 Level 2 Level 3 Total INVESTMENT ASSETS: Absolute return and special situations funds $ 123,891 $ 24,681 $ 148,572 Cash and short-term investments $ 34,591 34,591 Domestic common and convertible equity 6,777 97, ,658 Domestic fixed income 208, ,820 Due from broker Emerging market equity and debt 51,900 51,900 Foreign common and convertible equity 42,538 46,136 88,674 High yield 4, ,640 Private equities 68,261 68,261 Real estate 42,918 42,918 TOTAL INVESTMENT ASSETS* $ 344,861 $ 272,544 $ 135,864 $ 753,269 * Excludes investment assets not subject to fair value of $2,095.

33 The following is a summary of the levels within the fair value hierarchy for the pension plan assets subject to fair value measurement as of June 30, 2011 (in thousands of dollars): harvard university notes to financial statements Level 1 Level 2 Level 3 Total INVESTMENT ASSETS: Absolute return and special situations funds $ 77,766 $ 87,999 $ 165,765 Cash and short-term investments $ 22,814 22,814 Domestic common and convertible equity 19, , ,092 Domestic fixed income 100, ,997 Emerging market equity and debt 66,471 66,471 Foreign common and convertible equity 50,644 53, ,873 High yield 4,544 4,544 Inflation-indexed bonds 38,737 38,737 Private equities 72,717 72,717 Real estate 43,456 43,456 TOTAL INVESTMENT ASSETS* $ 299,632 $ 241,662 $ 204,172 $ 745,466 * Excludes investment assets not subject to fair value of $1,435. The following is a rollforward of Level 3 investments for the year ended June 30, 2012 (in thousands of dollars): Beginning Realized Change in Net transfers Ending balance as of gains/ unrealized out of balance as of July 1, 2011 (losses) gains/(losses) Purchases Sales Level 3 June 30, 2012 INVESTMENT ASSETS: Absolute return and special situations funds $ 87,999 $ 54 $ (2,496) $ 21 $ (1,258) $ (59,639) $ 24,681 Foreign common and convertible equity (4) 4 High yield 4 4 Private equities 72,717 9,179 (1,937) 4,508 (16,206) 68,261 Real estate 43, ,626 1,445 (5,389) 42,918 TOTAL INVESTMENT ASSETS $ 204,172 $ 10,009 $ (1,803) $ 5,974 $ (22,849) $ (59,639) $ 135,864 The following is a rollforward of Level 3 investments for the year ended June 30, 2011 (in thousands of dollars): Beginning Realized Change in Ending balance as of gains/ unrealized Net transfers balance as of July 1, 2010 (losses) gains/(losses) Purchases Sales into Level 3 June 30, 2011 INVESTMENT ASSETS: Absolute return and special situations funds $ 80,446 $ 4,395 $ 5,101 $ 24,357 $ (26,300) $ 87,999 Domestic fixed income (14) 7 (3) $ 10 Foreign common and convertible equity 1,547 (2,520) 2,594 (1,621) High yield (57) (58) Private equities 76,337 8,298 3,312 8,317 (23,547) 72,717 Real estate 39,250 2,258 4,745 1,460 (4,257) 43,456 TOTAL INVESTMENT ASSETS $ 197,637 $ 12,475 $ 15,702 $ 34,134 $ (55,786) $ 10 $ 204,172

34 Expected future benefit payments There are no expected employer contributions for fiscal 2013 to funded pension or postretirement health benefit plans. The following table summarizes expected benefit payments and subsidies for pension and other postretirement benefits for the University (in thousands of dollars): Expected benefit payments Postretirement Expected Medicare Net Postretirement Fiscal year Pension health Part D subsidies health 2013 $ 49,877 $ 21,484 $ 52 $ 21, ,841 23, , ,191 25, , ,292 27, , ,749 29, ,813 Thereafter 275, ,569 3, , general operating account The goa consists of the general or current funds of the University as well as the assets and liabilities related to student and faculty loans and facilities. The goa accepts, manages, and pays interest on deposits made by University departments; invests surplus working capital; makes loans; and arranges external financing for major capital projects. It is used to manage, control, and execute all University financial transactions, except for those related to investment activities conducted by hmc. The goa consisted of the following as of June 30, 2012 and 2011 (in thousands of dollars): Temporarily Permanently Unrestricted Restricted Restricted Total Total General Operating Account $ 2,743,325 $ 1,448,690 $ 96,498 $ 4,288,513 $ 4,500,420 harvard university notes to financial statements The temporarily restricted net assets consist primarily of unexpended income, gifts, and pledges. The permanently restricted net assets are loan funds. 15. student financial aid Financial aid granted to students in fiscal 2012 and 2011 is summarized as follows (in thousands of dollars): Scholarships and other student awards: Scholarships applied to student income $ 357,001 $ 335,036 Scholarships and other student awards paid directly to students 128, ,510 Total scholarships and other student awards 485, ,546 Student employment 64,088 66,690 Student loans 22,015 22,059 Agency financial aid * 9,158 16,779 TOTAL STUDENT FINANCIAL AID $ 581,255 $ 557,074 * Represents aid from sponsors for which the University acts as an agent for the recipient.

35 16. sponsored support harvard university notes to financial statements Total expenditures funded by US government sponsors or by institutions that subcontract federally sponsored projects to the University were $669.6 million and $686.2 million in fiscal 2012 and 2011, respectively. The University s principal source of federal sponsored funds is the Department of Health and Human Services. The University also has many non-federal sources of sponsored awards and grants, including corporations, foundations, state and local governments, foreign governments, and research institutes. 17. gifts Gifts that are available for current purposes are classified as either Gifts for current use or Non-federal sponsored grants, as appropriate. Gifts that have been restricted by the donor or designated by the Corporation for facilities, loan funds, endowment, or similar purposes are classified as Gifts for capital. Gifts for current use, non-federal sponsored grants, and gifts for capital are classified as unrestricted, temporarily restricted, or permanently restricted net assets in accordance with donor specifications. Sponsored grants and contracts normally provide for the recovery of direct and indirect costs. The University recognizes revenue associated with direct costs as the related costs are incurred. Recovery of related indirect costs is generally recorded at fixed or predetermined rates negotiated with the federal government and other sponsors. Predetermined federal indirect cost rates have been established for the University Area and the Medical School (including the School of Dental Medicine) through fiscal year The School of Public Health has predetermined indirect cost rates through fiscal Funds received for federally sponsored activity are subject to audit. Gifts received for the years ended June 30, 2012 and 2011 are summarized as follows (in thousands of dollars): Gifts for current use $ 289,217 $ 276,914 Non-federal sponsored grants 88,262 91,980 Gifts for capital: Endowment funds 226, ,364 Split interest agreements * 20,168 24,891 Loan funds and facilities 26,243 32,987 Total gifts for capital 272, ,242 TOTAL GIFTS $ 650,384 $ 639,136 * Shown at net present value. The gross value of these gifts was $51,045 and $41,807 for the years ended June 30, 2012 and 2011, respectively. 18. other income The major components of other income for the years ended June 30, 2012 and 2011 were as follows (in thousands of dollars): 19. other expenses The major components of other expenses for the years ended June 30, 2012 and 2011 were as follows (in thousands of dollars): Rental and parking $ 147,373 $ 136,102 Royalties from patents, copyrights, and trademarks 112, ,067 Publications 78,086 78,079 Services income 68,080 62,010 Health and clinic fees 51,689 49,878 Sales income 45,605 49,103 Interest income 11,280 10,768 Other student income 5,934 6,711 Other 36,304 46,882 TOTAL OTHER INCOME $ 557,165 $ 546, Services purchased $ 424,898 $ 381,536 Subcontract expenses under sponsored projects 160, ,297 Travel 79,459 68,020 Publishing 49,579 44,371 Taxes and fees 33,543 30,286 Postage 21,181 22,177 Advertising 19,728 18,876 Insurance 13,212 18,409 Telephone 12,907 12,307 Other 36,235 58,368 TOTAL OTHER EXPENSES $ 851,703 $ 824,647

36 20. functional classification of operating expenses Operating expenses are allocated functionally on a direct basis. Interest, depreciation, and operations and maintenance expenses are allocated based on square footage. Operating expenses by functional classification for the years ended June 30, 2012 and 2011 were as follows (in thousands of dollars): Instruction $ 1,063,971 $ 1,016,221 Research 769, ,526 Institutional support 657, ,424 Academic support 539, ,948 Auxiliary services 478, ,075 Libraries 237, ,629 Student services 167, ,235 Scholarships and other student awards 128, ,510 TOTAL EXPENSES $ 4,041,698 $ 3,907, commitments and contingencies Lease commitments The University is the lessee of equipment and space under operating (rental) and capital leases. Rent expense related to leases was $51.8 million and $48.4 million for the years ended June 30, 2012 and 2011, respectively. Future minimum payments under these operating and capital leases are as follows (in thousands of dollars): Operating Capital 2013 $ 58,554 $ 7, ,426 7, ,518 7, ,287 7, ,497 7,916 Thereafter 90, ,029 TOTAL FUTURE MINIMUM PAYMENTS $ 294,602 $ 213,228 to their net present value. Management is not aware of any existing conditions that it believes are likely to have a material adverse effect on the University s financial position, changes in net assets, or cash flows. Utilities purchase commitments The University has entered into Power Purchase Agreements (PPAs) with a series of utilities providers to purchase natural gas and electricity for various quantities and time periods. As of June 30, 2012, future obligations under the PPAs are as follows (in thousands of dollars): 2013 $ 21, , , , ,930 Thereafter 29,685 TOTAL UTILITY FUTURE PURCHASE OBLIGATIONS $ 86,749 harvard university notes to financial statements Fixed asset-related commitments The University has various commitments for capital projects involving construction and renovation of certain facilities, real estate acquisitions, and equipment purchases, for which the outstanding commitments as of June 30, 2012 totaled approximately $301.7 million. Environmental remediation The University is subject to laws and regulations concerning environmental remediation and has established reserves for potential obligations that management considers to be probable and for which reasonable estimates can be made. These estimates may change substantially depending on new information regarding the nature and extent of contamination, appropriate remediation technologies, and regulatory approvals. Costs of future environmental remediation have been discounted General The University is a defendant in various legal actions arising from the normal course of its operations. While it is not possible to predict accurately or determine the eventual outcome of such actions, management believes that the outcome of these proceedings will not have a material adverse effect on the University s financial position, changes in net assets, or cash flows. The University has evaluated subsequent events through November 2, 2012, the date the financial statements were available for issuance.

37 Part II

38 Research and Development and Research Training Cluster Direct Awards Agency for International Development Executive Management Education for Emerging Hospital Leaders (USAID) 98.unknown 263-G No $ 181,799 Subtotal of 98.unknown 98.unknown 181,799 Entrepreneurial Finance Lab Research Initiative AID-OAA-G No 4,141 Subtotal of ,141 Total Agency for International Development Direct Awards 185,940 Corporation for National and Community Service Measuring and Explaining Civic Inequality Using CPS Data BIHMA002 No 195,287 Subtotal of ,287 Total Corporation for National and Community Service Direct Award 195,287 Department of Commerce Mapping Regional Innovation Clusters No 902,066 Subtotal of ,066 Emission Rates for CH4 and N2O in California by Location and Sector Inferred using airborne measurements during the NOAA CalNex Study NA11OAR No 1,000 Improving Process-Level Understanding of the Factors Underlying Long-Term Trends and Year-to-Year Variability in Carbon Sequestration of Northeastern Forests NA11OAR No 111,412 Measurements of CH4, CO, CO2, and N2O in CalNex NA09OAR No 47,021 Subtotal of ,433 Increasing the Precision of Astronomical Photometry to Address the Dark Energy Crisis in Fundamental Physics NANB8H8007 No (2,242) Instrumentation to Improve the Precision of Astronomical Photometry: Building the Tools for Addressing the Dark Energy Crisis NANB12D139 No 5,753 Precision Search for an Electric Dipole moment of the Electron using ThO NANB8D8130 No 23,164 Quantum control techniques for diamond-based magnetometers with applications to quantum information processing NANB10D002 No 433,071 Subtotal of ,746 Total Department of Commerce Direct Awards 1,521,245 Department of Defense Investigation of Optical Properties of Black SI 12.unknown W15QKN-07-P-0092 No 74,005 Subtotal of 12.unknown 12.unknown 74,005 Atomistic Modeling of Nanoscale Corrosion Phenomena in Al Alloys and the Influence of Chlorine N No 93,042 Development of Evolvable Sequence-Defined Synthetic Polymers N No (3,936) Discovery of Microbes for the Extraction of Rare Earth Metals N No 102,261 Efficient reasoning from background knowledge and incomplete and inconsistent data N No 25,886 Foundation of Developmental Molecular Self-Assembly N No 189,430 Foundations for the physics-based analysis of natural visual scenes N DOD35CAP No 79,298 Human genetic polymorphisms regulating cell and molecular pathways in NIHL N No 98,169 Label-Free Magnetophoretic Analysis of Blood N G005 No 239,689 Molecular Spintronics: Nanomagnetic Control of Electronic Spins N DOD35CAP No 204,485 Multiplexed Pathway and Organism Engineering N No 149,055 Noise Induced Hearing Loss Gene Chip N No 330,814 Novel High-Resolution Experimental Approaches to Investigate Nanoscale Corrosion Phenomena in Metals and Alloys N No 11,134 One-Dimensional Nanostructures as Building Blocks for Functional Electronic and Bioelectronic Materials N DOD35CAP No 775,451 Oxide Materials for the Next Generation Thermal Barrier Coatings N DOD35CAP No 79,186 PECASE: Soaring mechanisms for flapping-wing micro air vehicles N No 162,837 Protein Sensors for Voltage and magnetism N No 197,533 Pulmonary and Nasal Drug Delivery for Cochlear Protection against NIHL N No 286,383 Self-Assembly of Large Scale Shape Controlled DNA Nano- Structures N No 126,357 Studies on Functional Oxide Materials and Interfaces Displaying Phase Transitions and Electric Field Effects N DOD35CAP No 90,806 Ultra-fast Correlated Oxide (CO) Switches as Active Components in Radar Systems N No 27,195 Wireless Computing Architectures III FA No 285,136 Subtotal of ,550,211 34

39 Coherent Molecular Profiling Using Nano- Structured Environments HDTRA DOD35CAP No 420,415 Mid-infrared high-power, broadband quantum cascade laser arrays for standoff detection HDTRA DOD35CAP No 264,624 Subtotal of ,039 Antiangiogenic Natural Products Targeting Anthrax Toxin W81XWH No 17,861 BRCA1 Pathway Functionality in Basal-Like Breast Cancer W81XWH No 5,658 Defining the therapeutic implications of the integrative stress response in TSC W81XWH No 203,666 Development of Affinity Reagents for Multiplexed, Rapid Diagnosis of Bacterial Infections at the Point-of-Care using Diagnostic Magnetic Resonance W81XWH No 225,064 Early Life Processes, Endocrine Mediators and Number of Susceptible Cells in Relation to Breast Cancer Risk W81XWH No (1,155) Experimental Analysis and Computational Modeling of Network States and Drug Responses in the P13K/Akt/mTOR Network W81XWH No 72,173 Materials to Engineer the Immune System W81XWH No 193,765 Maternal Fisk Factors for Autism Spectrum Disorders in Children of the Nurses Health Study II W81XWH No 126,783 Maternal Risk Factors for Autism Spectrum Disorders in Children of the Nurses' Health Study II W81XWH No 102,154 Microarray and Viral Genome Sample Processing and Analysis Supporting USAMRIID TMTI Development and Characterization of Animal Models for Arenavirus W81XWH No 389,354 Microarray processing and analysis of biological samples from Non-Human Primate models of viral infections and Human clinical samples supporting USAMRIID grant: Identification of Biomarkers W81XWH No 193,075 New Methods of Low-Field Magnetic Resonance Imaging for Applications to Traumatic Brain Injury W81XWH No 907,115 Understanding the Relationship between Normal Mammary Development and Breast Cancer Pathogenesis: The Role of Prostate Derived Ets Factor (PDEF) W81XWH No 104,260 Subtotal of ,539,773 Bioinspired, Mobile Robots with High Stability, Functionality, and Low Cost W911NF No 539,112 Cephalopod-Inspired Adaptive Photonic Systems (CINAPSE) W911NF No 1,238,218 Chemical Communications W911NF No 639,992 Coherent Instabilities and Self-Mode-Locking in Quantum Cascade Lasers W911NF No (138) Deep Impurity Band Silicon for Subbandgap Photodetection W911NF No 10,654 Development of Mesoscale Programmable Matter W911NF No (3,647) Femtosecond-laser Microstructured Silicon for High-Sensitivity Infrared Photodetectors W911NF No (253) Fundamental Studies on Confinement Effects in Ionic Conduction Conduction and Inversion Layers in 2-D Single Crystal Free Standing Oxide Membranes W911NF DOD35CAP No 163,030 Instant Flame Suppression W911NF No 791,571 Integrated Human Organ-on-Chip Microphysiological Systems W911NF No 241,337 Measuring, Understanding, and Responding to Covert Social Networks: Passive and Active Tomography W911NF DOD35CAP No 1,077,626 Multi-Qubit Systems Based on Electron Spins in Coupled Quantum Dots W911NF No 3,498,942 Novel Therapeutics to Increase Survival in Viral Pneumonias W911NF No 453,017 Physics-based Approaches to Visual Scene Analysis W911NF DOD35CAP No 74,582 Programmable Matter W911NF No 262,779 Scalable Biomarker Discovery for Diverse High-Dimensional Phenotypes W911NF No 55,693 Shock Response of Dry and Water-Saturated Soils W911NF No 76,004 Spectral Methods and Inference for the Analysis of Graphs and Networks: New Tools for Massive Data Sets W911NF DOD35CAP No 249,838 Synthetic Biological Engineering of Photosynthesis W911NF No 69,171 The Human Microbiome as a Multipurpose Biomarker W911NF No 10,917 Subtotal of ,448,445 A novel approach to measuring oxygen isotopes in the amino acids in hair HM No 100,208 Biotic Camera for Circular Dichroism Imaging HM No 16,193 Nanowire Photovoltaic Power Sources for Integrated Nanoelectronic Systems HM No (1,449) Subtotal of ,952 35

40 A Comprehensive Study of Aeroelasticity in Flapping-Wing MAVs FA DOD35CAP No 59,454 A High-Temperature Combinatorial Technique for the Thermal Analysis of Materials FA No 37,982 Beam-shaped single mode spiral lasers FA DOD35CAP No 369 Bifunctional catalysts for C02 reduction FA DOD35CAP No 81,179 Bio-Inspired Optics: Offering Physical and Technological Insights in Color and Structure (BIOOPTICS) FA DOD35CAP No 1,638,481 Characterization and control of femtosecond laser pulses for nanofabrication of three-dimensional metamaterials FA DOD35CAP No 51,345 Construction of an Ultra-High Vacuum, Low Temperature Spin-Polarized Scanning Tunneling Microscope to Manipulate and Image Magnetic Nanostructures FA No 178,089 Electrochemical Power Extraction from S. Onidensis at the Single Cell Level FA DOD35CAP No 147,123 Exploratory Phase Transition-Based Switches Using Functional Oxides FA No (3,024) Fabrication and Characterization of Novel Refractory Coatings using Combinatorial Nanocalorimetry FA No 459 Fabrication and Electrical Characterization of Correlated Oxide Field Effect Switches for High Speed Electronics FA No 4,757 High Performance Terahertz Quantum Cascade Nonlinear Optical Sources and Lasers FA DOD35CAP No 203,958 Integrated Nano Optoplasmonics FA DOD35CAP No 120,042 Integrating Programming Language and Operating System Information Security Mechanisms FA No 3,048 Nanofabrication of Three-Dimensional Metamaterials FA DOD35CAP No 259,954 Plasmon-Bolometric Multi-spectral THz Integrated Detector Circuit Utilizing Carbon Nanotubes and Quantum Wires FA DOD35CAP No 176,083 Quantum Control of Light and Matter: from the Macroscopic to the Nano Scale FA DOD35CAP No 907,681 Quantum Simulations of Condensed Matter Systems using Ultra-cold Atomic Gases FA No 1,595,790 Slow Light: Novel Techniques for Optical Signal Processing Based on Stationary Pulses of Light FA No (9,143) Synthesis of One-dimensional Pd (III) Wires FA DOD35CAP No 64,612 The Production and Study of Antiprotons and Cold Antihydrogen FA DOD35CAP No 147,355 The Study and Production of Antiprotons and Cold Anithydrogen FA DOD35CAP No 138,086 Subtotal of ,803,680 Center for Reconfigurable Photonic NEMS N DOD35CAP No 543,068 Continuous Directed Evolution of Synthetic Regulatory Elements for Use in Mammalian Cells HR No 903,099 Development of Novel Quantum Devices Using Nitrogen Vacancy Centers in Diamond HR DOD35CAP No 94,839 Diamond Based Magnetometry for Quantum Information Processing Using Endohedral Fullerenes HR No 690,127 MEMS/NEMS S and T Fundamentals Center: Microfludic Systems for Ultra-Sensitive Biomolecule Detection HR No (2,408) Molecular spintronics:nanomagnetic control of electronic spins N DOD35CAP No 49,533 New Homotopy Theoretic Methods in Geometry, Topology and Physics HR DOD35CAP No 261,166 Practical Quantum Simulators N DOD35CAP No 61,890 Programmable Inorganic Materials Synthesis with DNA Nano-structures N No 119,417 SERS Engineering Collaboration (SEC) FA No 87,029 Spleen-on-a-Chip Sepsis Therapeutic Device N No 1,808,840 Subtotal of ,616,600 Antidepressants and the risk of self-harm and unintentional injury among young veterans Contract W81XWH No 105,274 Bioactive Peptide libraries for rapid identification of Novel therapeutics Contract HDTRA1-12-C-0038 No 35,796 De Novo lipogenesis, fat intake and prostate cancer survival Contract W81XWH No 72,625 Design strategies for multi-dimensional synthetic biology Contract HR C-0061 No 14,885 Development of Diamond Nanoscale Ma gnetometer Using Quantum Assisted Sensing and Readout Contract HR C-0073 No 2,108,201 DNA/RNA Sequencing Contract W81XWH-10-P-0374 No 9,082 Elucidating the Role of a Novel Tumor Suppressor in Breast Cancer Contract W81XWH No 38,359 Endangered butterflies as a model system for managing source-sink dynamics on Department of Defense lands Contract W912HQ-11-C-0050 No 620,281 General and Flag Officer Homeland Security Executive Seminar Contract W912SV-11P-0099 No 4,752 Genetic systems for recording misuse and escape of microbes Contract N C-4203 No 531,069 Identification of Genes and Compounds that Control the Viability of Cells Lacking Tsc2 Contract W81XWH No 4,127 Macrophage Genomic 'Barcodes' for Rapid Identification of Pathogens and Therapeutic Targets Contract HDTRA1-10-C-0052 No 423,901 Phylogenetic Analysis of Human Primary Breast Cancers and Metastases Contract W81XWH No 40,890 Roles of SGK Isoform Signaling in Breast Cancer Migration and Invasion Contract W81XWH No 41,437 Safe Industrial Organisms Contract N C-4040 No 61,932 The Influence of Basement Membrane and Other Extracellular Matrix Components on Response to HER2-Targeted Therapies Contract W81XWH No 84,456 The Role of FSP1+ Fibroblasts in Breast Cancer Metastasis Contract W81XWH No 1,435 Ultrahigh-Throughput Virus-Host Cell PicoReactor System for Predictive Modeling of Viral Evolution Contract HR C-0093 No 2,444,784 Unbiased Combinatorial Genomic Approaches to Identify Alternative Therapeutic Targets within the TSC Signaling Network Contract W81XWH No 15,067 Subtotal of Contract Contract 6,658,353 Total Department of Defense Direct Awards 33,491,058 36

41 Department of Education Advancing Ecosystems Science Education via Situated Collaborative Learning in Multi-User Virtual Environments A R305A No 189,663 Developing more effective test-based accountability by improving validity under high-stakes conditions A R305A No 95,294 Effective Early Childhood Education Programs: Meta-Analytic Lessons from High Quality Program Evaluations A R305A No 203,745 Language Diversity and Literacy Development: Increasing Opportunities-to-Learn in Urban Middle Schools A R305A No 73,463 NCER-AARW, Goal 3: World Generation: An Efficacy Trial A R305A No 755,014 Preparing to Succeed: An Efficacy Trial of Two Early Childhood Curricula A R305A No 141,705 Studying the Potential of Virtual Performance Assessments for Measuring Student Achievement in Science A R305A No 126,407 Subtotal of A A 1,585,291 National Center for Teacher Effectiveness: Validating Measures of Effective Math Teaching C R305C No 2,035,011 Subtotal of A C 2,035,011 Intended and Unintended Consequences of State High-Stakes Testing: Evidence from Standards-Based Reform in Massachusetts E R305E No 91,232 Subtotal of E E 91,232 Project READS: Using Data to Promote Summer Reading and Close the Achievement Gap for Low-SES Students in North Carolina B U396B Yes 1,445,430 Subtotal of B B 1,445,430 Total Department of Education Direct Awards 5,156,964 Department of Energy Dark Energy Survey Calibration and Software Integration 81.unknown 12-S-28 No 1,694 LSST Detector Test System Development Work 81.unknown No 140,991 Subtotal of 81.unknown 81.unknown 142,685 Actuation of Bioinspired, Adaptive 'Hairs' Powered by Responsive Hydrogels DE-SC No 630,328 Bystander Effects of Ionizing Radiation DE-FG02-05ER No 11,928 Detection of Long-Term trends in Carbon Accumulation by Forest in Northeastern U.S. and Determination of Causal Factors DE-FG02-07ER64358 No 5,193 Development of new and integrated stable isotope tools for characterizing Nitrogen-Uranium cycling in subsurface environments DE-SC No 44,739 Dynamic Self-Assembly, Emergence, and Complexity DE-FG02-00ER45852 No 451,682 Electron Diffraction Determination of Nanoscale Structures DE-FG02-01ER45921 No 60,065 Electron Imaging in Graphene DE-FG02-07ER46422 No 125,004 Evaluating the Contribution of Climate Forcing and Forest Dynamics to Accelerating Carbon Sequestration by Forest Ecosystems in the Northeastern U.S DE-SC No 181,442 Hierarchical Petascale Simulation Framework for Stress Corrosion Cracking DE-FC02-06ER25790 No 115,189 Improving interannual prediction skill in a changing climate via the identification of compensating coupled model errors DE-SC No 244,694 In-situ Generation of Iron-chromium Precipitates for Long Term Immobilization of Chromium at the Hanford 100H Site DE-SC No 25,997 Microbial Ecology, Proteogenomics and Computational Optima DE-FG02-02ER63445 No 2,049,006 Modeling, Patterning and Evolving Syntrophic Communities that Link Fermentation to Metal Reduction DE-SC No 112,210 Molecular-scale Understanding of Selective Oxidative Transformations of Alcohols Promoted by Au and Au-based Alloys DE-FG-02-84ER13289 No 205,806 Nanoscale Morphology Evolution Under Ion Irradiation DE-FG02-06ER46335 No 227,073 Partitioning CO2 fluxes with isotopologue measurements and modeling to understand mechanisms of forest carbon sequestration DE-SC No 27,495 Process Studies of Climatically Relevant Parts of the Aerosol Life Cycle: Chamber Experiments on the Role of Aqueous-Phase Chemistry in CNN Activity of Secondary Organic Aerosol DE-SC No 175,585 Research in High Energy Physics DE-FG02-91ER40654 No 1,574,870 Research in High Energy Physics DE-SC No 323,573 Research in Theoretical High Energy Physics DE-SC No 63,624 SISGER: Transport and Imaging of Mesoscopic Phenomena in Single and Bilayer Graphene DE-SC No 423,650 SISGR: Room Temperature Single-Molecule Detection and Imaging by Stimulated Emission Microscopy DE-SC No 214,210 Study of Plant Cell Wall Polymers Affected by Metal Accumulation Using Stimulated Raman Scattering Microscopy DE-SC No 290,571 Surface Studies of Liquid Metals: Electronic and Tokamak Interests DE-FG02-88ER45379 No 778 The ARM Climate Research Facility in the Amazon Basin DE-SC No 18,246 Theoretical Studies of Atomic Collision Physics DE-FG02-88ER13861 No 94,709 Theory of Electron Imaging in Small Devices DE-FG02-08ER46513 No 134,869 Ultracold Molecules: Physics in the Quantum Regime DE-FG02-08ER46513 No 100,945 Understanding Jets at The Large Hadron Collider DE-SC No 65,467 Subtotal of ,998,948 37

42 Hydrogen and its Isotopes at Ultra-High Pressure DE-FG52-10NA29656 No 129,662 Planetary Science and Astrophysical Applications of Experimental Studies with the SNL Z facilities DE-FG52-09NA29549 No 286,797 Soft X-Ray Shock Loading and Momentum Coupling in Meteorite and Planetary Material DE-FG52-09NA29457 No 172,275 Subtotal of ,734 Engineering a Bacterial Reverse Fuel Cell DE-AR No 1,434,036 Subtotal of ,434,036 Attaining the Photometric Precision Required by Future Dark Energy Projects DE-FG02-08ER41569 No (255) Subtotal of (255) A Proposal for v Experiment and R and D Work Contract PO No 990,213 Multi-Family Retrofit Project- Education and Survey Elements Contract No 9,799 Subtotal of Contract Contract 1,000,012 Total Department of Energy Direct Awards 11,164,160 Department of Homeland Security Exercise Tolerance as a Predictor of Firefighters' Future Risks 97.unknown EMW-2009-FP No 240,193 Subtotal of 97.unknown 97.unknown 240,193 FY2011 Homeland Security National Training Grant Program EMW-2011-CA No 183,618 Subtotal of ,618 Predicting Cardiovascular Risk and Fitness in Firefighters EMW-2006-FP No 72,113 Subtotal of ,113 Total Department of Homeland Security Direct Awards 495,924 Department of Housing & Urban Development Benchmarking the Benefits of Green Public Housing: Health, Comfort and Environmental Performance 14.unknown MALIIH No 230,310 Subtotal of 14.unknown 14.unknown 230,310 Body Building: Architectural Narratives of Ability and Disability H-21606SG No 6,000 The End of Poverty, or the Emergence of the Horizontal Ghetto: Post-public housing spatial concentration and young adult transition in Baltimore H-21630SG No 14,860 Subtotal of ,860 Total Department of Housing & Urban Development Direct Awards 251,170 Department of Justice National Executive Institute (NEI) XXXIII, Cycle Two 16.unknown No Award Number No (20) Subtotal of 16.unknown 16.unknown (20) Policing in the New Century: An Executive Session on Public Safety IJ-CX-0038 No (1) Policing in the New Century: An Executive Session on Public Safety IJ-CX-0025 No 197,350 Subtotal of ,349 Total Department of Justice Direct Awards 197,329 Department of Labor Designing Microfinance to Enable Consumption Smoothing: Evidence from India Contract DOLJ109K31204 No 5,752 Long-Run Effects of a Public Housing Program on Occupational Opportunities and Economic Outcomes Contract DOLB119K32540 No 75,159 Subtotal of Contract Contract 80,911 Total Department of Labor Direct Awards 80,911 Department of the Interior 3D structural velocity model of the Santa Maria basin, California, for improved strong ground motion prediction G12AP20020 No 66,280 Subtotal of ,280 Monitoring phenology as a method to track ecosystem responses to climate change G10AP00129 No 26,073 Subtotal of ,073 Total Department of the Interior Direct Awards 92,353 U.S. Department of State - Bureau of Democracy, Human Rights and Labor Models of Mutual Aid for Internet Robustness AID-OAA-A No 29,891 Subtotal of ,891 Total U.S. Department of State - Bureau of Democracy, Human Rights and Labor 29,891 38

43 Department of Transportation Center of Excellence for Research in the Intermodal Transport Environment (RITE) 20.unknown 07-C-RITE-HU No 168,195 Center of Excellence for Research in the Intermodal Transport Environment (RITE) 20.unknown 10-C-RITE-HU No 161,064 Health Impacts of Aviation-Related Air Pollutants (PARTNER PHASE III-FY10) 20.unknown 09-C-NE-HU No 121,693 Health Impacts of Aviation-Related Air Pollutants (PARTNER Project 11) 20.unknown 07-C-NE-HU No (2,372) Subtotal of 20.unknown 20.unknown 448,580 Public Health Impacts of Noise in National Parks Contract DTRT57-11-P No 10,517 Sleep and Health Education Program: A Web-Based Sleep Disorders Screening Survey and Education Module on Sleep Health and Safety in the Railroad Industry Contract DTRT57-10-C No 265,835 Subtotal of Contract Contract 276,352 Total Department of Transportation Direct Awards 724,932 Department of Veterans Affairs Ultraviolet Nursing Home Influenza Prevention (UNHIP) Field Study Contract VA C-0045 No 6,974 Subtotal of Contract Contract 6,974 Total Department of Veterans Affairs 6,974 Department of Health and Human Services Biological Questionnaire Collection to Study Premenopausal Hormones in Mongolian Women 93.unknown HHSN P No (21,164) Subtotal of 93.unknown 93.unknown (21,164) Minority Faculty Development Program (MFDP) Cooperative Agreement for Minority Workforce Development MPCMP No 48,330 Subtotal of ,330 Impact Evaluation of Combination HIV Prevention Interventions in Botswana U01GH revised No 882,058 Subtotal of ,058 Lung Cancer Disparities Center: Jointly Addressing Race and Socioeconomic Status P50CA S1 No 1,934,434 Subtotal of ,934,434 Epidemiological MCH/SPH Institute T03MC No 26,040 Maternal and Child Health Training Grant T76MC No 363,500 MCH Distance Learning/Youth Suicide Prevention: Internet-Based Training T02MC No 8,357 Subtotal of ,897 Air pollution and Parkinson Disease: a GIS-based approach K01ES No 92,113 Ambient Particles and Cardiac Vulnerability in Humans P01ES revised No 277,605 Analysis of High-Dimensional Environmental Health Data R01ES rev No 75,069 Arsenic Exposure and Birth Outcomes in Bangladesh R01ES No 456,024 Cardiovascular Effects of Particles: The Role of Oxidative Stress and Metal Pathways R01ES rev No 365,028 CBH Partnership on Environmental Public Health Exploration and Mitigation R21ES No 480,414 Childhood Dioxin Exposure and Energy Homeostasis Dysregulation R03ES No 47,318 Climate Change and Cardiac Vulnerability in Humans R21ES No 135,536 Crossover Study on Human Exposure to Phthalates and Male Fertility R01ES No 429,227 Design of a high-throughput screen for chemicals that cause meiotic aneuploidy K99ES No 58,999 Dioxins and Male Pubertal Growth and Development R01ES No (2,985) Dioxins and Male Pubertal Growth and Development R01ES No 498,657 DNA methylation and endocrine disrupting chemical exposure in children R21ES No 219,001 DNA Methylation as a Biomarker of Exposure and Effect for Particles and Metals R01ES No 135,227 Early Life Environmental Toxicant Exposure and Oral Health K99ES No 71,649 Epidemiology of Immunotoxicant Exposure in Children R01ES revised No (1,158) Epidemiology of Immunotoxicant Exposure in Children R01ES rev No 362,222 Epigenetic Effects of Particles and Metals on Cardiac Health of an Aging Cohort R01ES No 21,537 Epigenetic Effects of Prenatal Arsenic Exposure and Fetal Growth K01ES rev No 21,981 Epigenetic Regulation by Large Non-Coding RNAs in the p53 Mediated DNA Damage Response R01ES No 311,982 Graduate Training in Biostatistics T32ES rev No 551,025 Health Effects of Lifetime Exposure to Food Contaminants R01ES No 16,475 39

44 HSPH NIEHS Center for Environmental Health P30ES rev No 1,878,179 Human Exposure to Bisphenol A, Phthalates and Fertility, Pregnancy Outcomes R01ES No 656,097 Impact of Obesity on Airway Responses to Air Pollution R01ES No 387,678 Individual and Community Factors Conveying Vulnerability to Weather Extremes R21ES No 53,862 Indoor Air Pollution Interventions for Child Pneumonia in the Gambia R21ES rev No 210,453 Influence of HFE on metal pharmacokinetics and neurotoxicity K99ES rev No 52,164 Influence of Iron Status on the Neurotoxicity of Inhaled Manganese R01ES rev No 220,361 Interdisciplinary Training in Genes and the Environment T32ES No 279,512 Liability threshold modeling of genes and environment in case-control studies R21ES No 5,792 Maternal Pesticide Exposure and Pregnancy Outcomes R01ES rev No 135,416 Measurement Errors in Environmental Epidemiology R01ES No 607,022 Mercury Associated Neurobehavioral Deficit in Children R01ES rev No 300,223 Mercury exposure from fish consumption in subsistence fishers in rural Oklahoma R21ES No 369,791 Mercury, Selenium, and Risk of Cardiovascular Disease in Women and Men R01ES No 750,512 Nano-Scale Tools for Use in Cell Biology R01ES No 352,598 Population-Based Study of Environmental Risk Factors for ALS R01ES No 506,800 Prenatal Programming of Neonatal Asthma Susceptibility R01ES No 636,129 RNAi Screen in Air Pollutant-Enhanced Influenza Infection R21ES No 187,475 Scavenger Receptors and Inhaled Particles R01ES rev No 132,440 Semiparametric Methods for Secondary Outcomes in Case-control Studies R21ES No 161,502 Summer Intern Program (SIP) in Environmental Health Sciences R25ES No 85,913 The Cardiopulmonary Effects of Particulate Exposure R01ES No 440,172 The Role of Ultraviolet Radiation and Skin Pigmentation in Melanoma Development F30ES No 18,389 Theory and Methods for Sufficient Cause Interactions R01ES No 268,588 Three-generation Human Study of Reproductive Effects of Marine Food Contaminants R01ES Rev No 359,242 Training Program in Environmental Epidemiology T32 ES No 10,750 Training Program in Environmental Epidemiology T32ES No 488,946 Subtotal of ,178,952 A Cognitive Approach to Refine and Enhance Use of a Dental Diagnostic Terminology R01DE No 877,191 BMP2 regulation of the intramembranous bone stem cell niche K99DE REVISED No 125,637 c-kit Signaling in Osteoclast Function R03DE No 88,983 Characterization of cranial dermal bone-specific mirnas R21DE No 217,553 Engineering Skeletal Muscle With Biodegradable Hydrogels R01DE No 55,793 Engineering Skeletal Muscle With Biodegradable Hydrogels R01DE REVISED 2 No 246,657 Polymeric Matrices With Defined Cell Adhesion R37DE No 431,058 Programming dendritic cells in concert with morphagen delivery for periodontal regeneration R01DE No 730,399 Wnt Signaling in the Induction of New Tooth Formation R00DE REVISED No 256,097 Subtotal of ,029,368 Harvard Prevention Research Center on Nutrition and Physical Activity - Category U48DP REV No 1,636,644 Subtotal of ,636,644 National Academic Centers of Excellence on Youth Violence Prevention U49CE REVISED No 101,613 Unintentional Poisoning from Prescription Drug Overdoses Among Veterans R21CE rev No 86,677 Subtotal of ,290 Superfund Metal Mixtures, Biomarkers and Neurodevelopment P42ES No 2,907,303 Subtotal of ,907,303 Center of Excellence in Minority Health and Health Disparities D34HP No 577,046 Subtotal of ,046 40

45 Accurate analysis of genome structural variation using large-scale sequence data U01HG REVISED No 14,440 Bayesian Inference of Haplotypes and Genetic Interactions R01HG REVISED No 146,099 Causal Transcriptional Consequences of Human Genetic Variation (CTCHGV) P50HG REVISED No 4,652,320 Computational Haplotype Analysis for SNPs R01 HG (rev) No (1,603) Detecting natural selection by comparing African-ancestry populations R03HG A1 No 6,248 DNA/Carbon Nanotube Hybrids: Specific Interactions for Sequencing F32HG No 18,655 Electronic Sequencing in Nanopores R01HG REVISED No 1,603,366 Flybase: A Drosophila Genomic and Genetic Database P41HG REVISED No 3,994,840 Insights from ancient and recent population mixture relevant to medical genetics F32HG No 38,621 Methods for Genome-wide Association Studies in Admixed Populations R01HG No 429,609 New Technologies for Quantitative Phosphorylation Analysis R01HG No 547,209 Population Genetics to Improve Homozygosity and Mapping in Admixed Groups F32HG No 48,398 Real-time single-molecule nucleic acid sequencing with flurogenic nucleotides R01HG REVISED No 808,349 Sequencing regions associated with breast cancer risk in European and African Americans U01HG No 131,420 The Protein Complex Map of the Drosophila Proteome R01HG REVISED No 336,514 Understanding the Genetic Architecture of Gene Expression Regulation R03HG No 61,644 Subtotal of ,836,129 A conditional RNAi approach to find genes required for hearing in mice R21DC No 257,762 Biophysics of forward and lateral connections in a genetically-tractable circuit F32DC REVISED No (507) Cellular and Molecular Mechanisms of Ear Morphogenesis R01DC No 284,931 Characterization of neural circuits mediating social behavior F32DC No 53,037 Characterizing Odor Maps in the Olfactory Bulb and Cortex R01DC No 448,218 Cortical Organization of Noun and Verb Processing R01DC REV No 53,189 Genetic analysis of brain circuits underlying pheromone signaling R01DC No 271,001 Genetic Dissection of Auditory Circuit Assembly R01DC No 341,049 In Toto Imaging and genomics to Decode Ear Hair Cell Formation and Regeneration R01DC REVISED No 392,798 Mechanics of Inner Ear Hair Bundles R03DC REVISED No 150,032 Molecular and Cellular Mechanisms of a Neuronal Network that Regulates Olfactory Learning R01DC No 473,503 Molecular Basis of Inherited Deafness R01DC A2 REVISED No 326,691 Molecular Mechanisms of Auditory Transduction R01DC No 245,435 Non-Canonical Olfactory and Vomeronasal Receptors R01DC No 469,069 Olfactory navigation in Drosophila as a model for multi-sensory integration K99DC REVISED No 38,299 Optogenetic Studies of Mouse Olfaction R01DC REVISED No 442,141 Streamlined cloning of auditory and vestibular mutants by whole genome sequencing R21DC No 188,394 Synaptic and Circuit Mechanisms of Olfactory Processing R01DC REVISED No 320,019 The Role of an olfactory-specific histone variant in olfactory development and function R21DC No 162,825 The Role of Eya4 in Hearing and Disease R01DC No 88,589 Subtotal of ,006,475 Assessment of the Value of Global Polio Vaccination and willingness-to-pay for Vaccines U66IP rev No (24) Subtotal of (24) Mentoring and Research in Placebo Studies, Asian Medicine, and CAM K24AT REVISED No 7,498 Research Training: Complementary and Integrative Medicine T32AT REVISED No 275,503 Structural Integration for Chronic Low Back Pain K01AT No 151,457 Tai chi, physiologic complexity, and healthy aging R21AT REVISED No 93,343 Subtotal of ,801 Health Policy Training Program T32HS No 247,487 Subtotal of ,487 Comparative Effectiveness and Safety of Depression Treatments during Pregnancy R01HS No 401,713 Factors Associated with Effective Implementation of a Surgical Safety Checklist R18HS No 280,152 Pay for Performance in Medicaid: Evidence from the Field R01HS revised No 312,181 Policy and Demographic Predictors of Medicaid Take-Up Among Non-Elderly Adults R03HS No 22,265 Spaced Education to Optimize Prostate Cancer Screening K08HS REVISED No 69,050 Subtotal of ,085,361 Finding a Research Path for the Identification of Biomarkers of Sleepiness R13HL No 27 Genetics of Sleep in Zebrafish R01HL No 393,088 Subtotal of ,115 41

46 A new approach to mental health: Phenotypes in family genomewide association scans R01MH S1 No 395,383 Analysis of Multiple Informant Data in Psychiatry R01MH REVISED No 245,323 Biological Basis of Schizotypal Personality Disorder R01 MH REVISED No 66,370 Characterizing the Genetic Systems of Autism through Multi-Disease Analysis R01MH S1 No 624,802 Developing research capacity for mental health interventions for youth in Haiti R21MH No 44,062 Effects of HIV and ARV Exposure on Child Health and Neurodevelopment in Botswana R01MH No 671,924 Effects of Mental Parity on High-Cost and Severely-ill Individuals R01MH REVISED No 242,204 Epidemiology-- National Comorbidity Survey Replication U01MH REVISED No 203,482 Event-related Neuroimaging of Human Memory Formation R01MH No 538,107 Family Based Prevention of Mental Health Problems in HIV/AIDS Affected Children R34MH S1 No 167,744 Family Based Tests of Association for Complex Diseases R01MH rev No 111,958 Genetic Determinants of PTSD in Women R01MH No 383,959 Hurricane Katrina Community Advisory Group R01MH REVISED No 227,207 Imprinting a connectome: developmental circuit approach to mental illness P50MH No 1,350,769 Influences on Psychiatrist Prescribing of Antipsychotics R01MH A1 No 40,253 Learning and Compression in Human Working Memory R03MH REVISED No 52,987 Mental Health Coverage in Health Care Reform R01MH No 265,119 Mental Health Spending and Quality of Care R01MH REVISED No 428,443 Modeling schizophrenia gamma deficits using cell-specific RNAi knockdown of GAD R21MH No 148,668 Modeling the Impact of HIV Prevention Interventions R01MH No 609,235 Neural circuits that regulate dopamine neuron activity R01MH A1 No 4,986 Neural Dynamics in Schizophrenia R01MH No 279,242 Neurogenetics of serotonin regulation: building naturalistic rhesus monkey models R21 MH No (1,488) Neuronal Epigenomic Changes in Neurodevelopment and Disease R01MH No 406,534 Neurophysiological Studies of Schizophrenia R01MH No 520,065 Novel Statistical Approaches to Mental Health Phenotype Analysis in GWA Studies R01MH No 15,185 Novel Statistical Approaches to Mental Health Phenotype Analysis in GWA Studies R01MH No 67,469 Novel tools to study circuit function, development, and periods of vulnerability R21 MH No (227) Prevalence and Risk and Preventive Factors for Suicidal Behaviors R01MH No 14,386 Quality of Care for Bipolar Disorder K01MH REVISED No 105,611 Regulation of Memory by the microrna/risc Pathway R01MH REVISED No 341,552 Regulation of neuron and synapse function by neuropeptides R01MH No 328,679 Risk Factors for Psychopathology in the WHO WMH Surveys R01MH REVISED No 296,736 Social Imprinting in the Development of Major Depression R01MH No 325,190 Suicide Attempts and Unintentional Injury Among Older Americans on Psychotropics R01MH No 242,321 Synaptic Basis of Sleep Cycle Control R01MH REVISED No 349,821 Why Sub-Saharan African Patients Discontinue HIV Care R21MH No 108,056 World Congress of Psychiatric Genetics Student Awards R13MH No 30,578 Subtotal of ,252,695 HSPH Center for Excellence to Promote a Healthier Workforce U19OH S1rev No 703,824 Interactions of Biomechanics and Psychosocial Stressors and MSDs in the Modern Office R01OH rev No 140,697 Lung Disease in Chinese Textile Workers R01OH rev No (34) The Harvard School of Public Health Center for Work, Health and Wellbeing U19OH rev No 694,703 The HSPH Education and Research Center for Occupational Safety and Health T42OH No 1,330,284 Upper Extremity Dynamics During Keying R01OH rev No 129,820 Subtotal of ,999,294 Alcohol and Cell Adhesion R01AA A1 REVISED No 100,145 Alcohol and Cell Adhesion R37AA No 155,856 Alcohol and Chronic Disease Among Vulnerable Populations R01 AA No 378 Behavioral Couples Group Therapy for Alcoholic Patients: Clinical and Cost Outcomes R01AA No 500,976 Functional genetic evolution of human brain and behavior R01AA No 340,942 GABAa receptor subtype mechanisms in nonhuman primate models of alcohol abuse R01AA No 108,932 Opioid Receptor Polymorphisms and Nonhuman Primate Models of Alcohol Abuse R01AA No 441,641 Patients, Clinics, and Systems: Screening for Alcohol Use K24AA REVISED No 67,632 Subtotal of ,716,502 Drug Abuse-related Neurobiology and Genetic Variance Modeled in Rhesus Monkeys K02DA No 124,866 Subtotal of ,866 42

47 Anxiolytic Effects and Abuse of BZ Receptor Ligands R01DA No 355,047 Behavioral Couples Therapy for Female Drug-Abusing Patients R01DA No 428,756 Biological Prediction of Psychosis Susceptibility among Adolescent Cannabis Users R01DA No 126,089 Cannabinoid Inhibition of Divalent Metal Transporter-1 Activity R21DA rev No 20,881 Developmental Genetics of Serotonin Neuron Subtypes in Brain Reward Circuits R21DA REVISED No 3,351 Dopaminergic Enabling of Synaptic Plasticity in Prefrontal Circuits R01DA No 410,053 Duration of Behavioral Counseling Treatment Needed to Optimize Smoking Abstinence R01DA No 470,606 Epigenetic Regulation of Serotonin: Relevance to HIV and Methamphetamine Abuse R21DA No 370,866 Function of RIM-Dependent Synaptic Plasticity in Cocaine-Induced Behaviors K01DA No 115,585 HFE: A Genetic Determinant of Olfactory Mn Absorption and Toxicity R03DA No 134,769 Methamphetamine and neurodevelopment in adolescent and adult mice R21DA No 284,211 Molecular and Genetic Adaptations Associated with Compulsive Cocaine Intake R01DA REVISED No 23,954 Monitoring Neural Activity in Freely Behaving Zebrafish Larvae with Bioluminescence R01DA No 506,172 Naltrexone and AIDS progression R21DA No 1,285 Neurosteroid-BZ combinations: Strategy for reducing abuse and sedation R01DA No 706 Nonhuman Primate Models of Reinstated Cocaine Seeking R01DA No 338,810 Opioid Patients: Behavioral Family Counseling and Naltrexone R01DA No 123,310 Retrograde Signaling by Endogenous Cannabinoids R01DA No 406,508 World Congress of Psychiatric Genetics with Emphasis on Genes or Drug Abuse R13DA No 24,567 Subtotal of ,145,526 Activity-dependent phosphorylation of MeCP K08MH No 235,725 Function of microtubule plus-end-tracking proteins in the neuronal growth cone K99MH No 40,440 Mentoring in Qualitative Methods for Patient-Oriented Research on HIV Care K24MH No 110,582 Modifiable Protective Processes in the Mental Health of Refugee Children K01MH No 184,482 Subtotal of ,229 Associative representations in parietal cortex F31MH No 4,541 Control of Glutamatergic Transmission by Acetylcholine Release in Striatum F31MH No 33,056 Etiology of Adolescent Depression: Gene and Social Environment Interactions F31MH No 6,254 Health Policy Training Program T32MH REVISED No 282,634 Ph.D. Training in Neuroscience T32MH No 595,918 Training Program in Psychiatric Genetics and Translational Research T32MH No 302,093 Subtotal of ,224,496 Nat Preparedness Leadership Initiative NPLI, A Joint Prog of the Harvard School of Public Health and the Kennedy School of Government U90TP Rev No 588,180 Subtotal of ,180 Bio-imaging with Isothermal DNA Self-Assembly K99EB No 28,900 Building the Hematopoietic Stem Cell Niche R01EB No 385,030 Development of hyperpolarized silicon nanoparticles as molecular MRI agents R21 EB No 2 Engineering Microbial Rhodopsins as Optical Voltage Sensors R01EB REVISED No 386,549 New Chemical Methods for Molecular Imaging to Impact Clinical Care R01EB REVISED No 488,005 Statistical Model of the AIDS Epidemic R56EB A1rev No 45,230 Subtotal of ,333,716 Functional Activity and Inter-organismal Interactions in the Human Microbiome R01HG No 504,847 Subtotal of ,847 Harvard School of Public Health MHIRT Training Program Grant T37MD rev No 133,320 MassCONECT 4 Kids: Promoting Smoke-Free Homes R24MD Rev No 549,233 Understanding Disparities in Patient-Centered Hospital Care R01MD A1 No 26,146 Subtotal of ,699 43

48 A New Genetic Approach for Studying Prions and other Pathogenic Protein Aggregates DP1AI No 1,055,669 Assays for Discovery of Translation Inhibitors R21NS No (75,365) Biophysical approaches to complex navigational behaviors in larval Drosophila melanogaster DP1GM No 592,525 Cellular Control of Microtubule-based Transport: Unraveling its Molecular Mechanism DP2 OD No 524,072 Discovery metabolite profiling of the prolyl peptidases DP2OD No 276,983 Dynamic cellular architecture of bacteria by system-wide super-resolution R01GM No 1,062,080 Engineering Bioimaging Probes Based on Triggered Molecular Geometry DP2OD No 518,496 Epistatic and Cross Tissue Analysis for Human Gene Expression Traits R01MH No 370,886 Expression, Labeling and NMR Structure Determination of Integral Membrane Proteins R01 GM No (217) Functional Metagenomic Reprogramming of the Human Microbiome through Mobilome Engineering DP5OD No 157,460 High Resolution Connectomics of Mammalian Neural Circuits R01NS No 820,757 Host and Pathogen Evolution in Lassa Fever DP2OD Rev5 No 749,064 Imaging the Invisible with no Labels: A Major Opportunity in Biology and Medicine R01EB No 820,596 Investigating the role of alternative splicing regulatory networks in nervous system development and function DP5OD No 324,411 M.tuberculosis Protease ClpP1P2 - An attractive drug target R21NS A1 No 158,295 Modeling the Aging Epigenome DP1AG No 708,913 Molecule-to-gene approaches to new natural products R01GM No 333,963 Nano- and Microelectronic Tools for Interrogating Neuronal Circuits and Networks DP1DA REVISED No 526,641 Nanowire Nanoelectronic Cell Assemblies as Hybrid Functional Biomaterials DP1GM No 663,498 Optical Sensing of Voltage, ph, and Small Molecules Using Microbial Rhodopsins DP2OD No 213,705 Pancreatic Islet Design and Engineering (SysCODE 3 of 10) RL1DK No 548,379 Pharmaco Response Signatures and Disease Mechanism U54HG No 2,788,184 Quantitative Imaging of Signaling Networks R01GM No 834,158 Revealing fear: new methods to study neural circuits, behavior and disease DP2OD No 739,660 RNA and Chromatin Formation: From Discovery to Mechanism DP2OD No 198,555 Schnurri-3 Inhibitors: specific inducers of adult bone formation R03MH No 42,567 Target-Based High-Throughput Screens for Plasmodium falciparum Malaria R21 NS REVISED No 18,997 Variation in M. tuberculosis in response to host selection DP2OD S1 No 372,189 Watching a vertebrate brain learn and behave in a virtual environment DP1NS No 959,231 Subtotal of ,304,352 Harvard Clinical and Translational Science Center (KL2) KL2TR No 1,013,725 Harvard Clinical and Translational Science Center (TL1) TL1TR No 516,170 Subtotal of ,529,895 HRQOL Impacts of Illness on Family and Caregivers R01NR rev No 411,912 Subtotal of ,912 Clinical Training in Primate Medicine R25RR REVISED No 46,153 Development of Validated Drosophila in Vivo RNAI Models of Human Diseases R24OD No 341,009 Establishment of SPF Rhesus Macaque Breeding Colony U42RR REVISED No 450,011 New England Primate Research Center Base Grant P51OD REVISED No 12,644,594 Research Training in Veterinary and Comparative Pathology T32RR No (1,405) Research Training in Veterinary and Comparative Pathology T32OD No 327,574 Restrictive Provisions in Faculty Consulting Agreements with Industry (Phase I) R21RR No 258,668 Self-Injurious Behavior and Primate Well-Being R24OD No 297,441 A Multi-user Super Resolution Microscope for Developmental Biology S10RR No 1,044,639 AvanceIII 700MHz NMR spectrometer with cryogenic probe S10RR REVISED No 1,154,484 MicroXCT-200 X-ray Scanner S10RR No 6,850 Modern Public Health data storage for High volume using the Powervault MD S10RR No 127,396 Spinning Disk Confocal for Live Cell Imaging with Accessories S10RR No 10,486 VivaCT 40 Scanner S10RR A1 No 396,700 Subtotal of ,104,600 NIH Director's Pioneer Award DP1OD REVISED No 250,900 Subtotal of ,900 44

49 Cancer and Changing Trends in US Mortality Inequities: R03CA No 1,143 Cell Entry and Spread by Polyoma Virus R01CA No 190,583 Circulating Vitamin D Levels and Risk of Breast and Colorectal Cancer: a Pooled Analysis R01CA No 849,611 Clinical and Cost-Effectiveness of HPV Vaccination in the US R01 CA No 22,627 Comparative and Cost-Effectiveness of Preventing HPV-Related Diseases R01CA A1 No 11,445 Design and Characterization of Cigarettes R01CA rev No 640,576 Design Considerations for Two-Phase Studies R03CA No 17,097 Dietary Patterns, Diet Quality and Cancer Risk R01CA No 320,280 Discovery, Biology and Risk of Inherited Variants in Breast Cancer U19CA rev No 1,436,552 Do Medicare Claims Measure Cancer Relapse Patients: An External Validation Study R21CA No 165,678 Energy Balance-Related Hormones and Prostate Cancer Incidence and Progression R01CA No 461,259 Fractures, Heart Disease, and Stroke on Aromatase Inhibitors R01CA No 121,569 Gastric Cancer Prevention: Evaluating U.S. Risk Factor Trends and New Technology K07CA No 135,004 Gene-environment EBV Interactions in the Etiology of Nasopharyngeal Carcinoma (NPC) R01CA No 290,202 Genetic Susceptibility to Lung Cancer R01CA No (7,417) Genome Wide Predictors of Plasma Folate Homocysteine R03 CA No 16,473 Genomic targets of oncoproteins and tumor suppressors R01CA No 529,113 Gut microbiota and inflammatory monocytes in colorectal cancer R01CA No 451,534 Histone Demethylases and Regulation of Chromatin and Transcription in Eukaryotes R01CA REVISED No (76,879) Improving Systems for Colorectal Cancer Screening R01CA REVISED No 72,428 Integrative Modeling of Genetic and Epigenetic Variation in Colorectal Cancer R03CA No 40,479 Measurement Errors in Cancer Epidemiology R01CA rev No 551,719 Mechanisms of Eukaryotic Translation Initiation R01CA No 245,174 Methods to Identify Genetic Markers That Interact with Multiple Environmental Exposure R21CA No 40,013 Molecular and Genetic Analysis of Lung Cancer Survival R01CA No 674,519 Population-based assessment of cancer trial generalizability in the elderly R01CA No 353,036 Premonopausal Hormone Levels and Risk of Breast Cancer R01CA No 514,653 Prospective Studies of Diet and Cancer in Men and Women P01 CA rev No (3,856) Prospective Studies of Diet and Cancer in Men and Women U19CA Revised No 3,982,303 Regulatory mechanisms and role of the PI3K-TSC-mTOR signaling network in tumors R01CA No 255,729 Risk Factors for Breast Cancer in Younger Nurses R01 CA No (330,996) Risk Factors for Breast Cancer in Younger Nurses R01CA No 1,603,214 Statistical Informatics for Cancer Research P01CA No 535,833 Statistical Methods for Correlated and High-Dimensional Biomedical Data R37CA No 5 Statistical Methods for Correlated and High-Dimensional Biomedical Data R37CA No 401,532 Subjective and Behavior Responses to PREP Design and Marketing R01CA rev No 360,528 Tumor Host Range Mutants of Polyoma and Their Targets R01CA No 20,675 Use of Geographic Variations to Estimate Effectiveness with Non-Randomized Data R01CA No 548,337 Validity of Diet and Activity Measures in Men U01CA No 1,297,483 Subtotal of ,739,258 Influences on Physical Activity of Young Latino Children R21CA rev No 35,046 Novel Blood Assay for Lung Cancer Detection R21CA REVISED No 276,893 Technetium and Rhenium in Nuclear Medicine R01CA REVISED No 74,523 Subtotal of ,462 Abrogating human CD59 activity for antibody-based cancer therapy R21CA REVISED No 100,622 Applications of Natural Products to Chemical Biology R01CA REVISED No (338) Development of Translation Initiation Inhibitors and their Anti-Cancer Activity R01CA REVISED No 406,145 International Center for the Evaluation of East Asian Botanicals for Cancer U19CA REVISED No 55,142 Mechanistic Pharmacology of Anti-Mitotics and Apoptosis Regulation P01CA No 1,889,897 Probing Cell Division with Synthetic Chemistry P01 CA No 513 Synthesis and Study of Natural and Non-natural Antiproliferative Agents R01CA S1 No 818,656 Targeting Endoplasmic Reticulum Stress Response for cancer Therapy R01CA A1 REVISED No 331,951 Therapeutic/Toxic Effects of Electron Emitting Nuclides R01CA No 688,454 Subtotal of ,291,042 45

50 Cell and Tumor Genetics of Mitotic Arrest Checkpoints R01CA REVISED No 5,218 Cell Death Regulation in Lumen Formation and Oncogenesis R01CA S1 No 475,848 Contribution of resident stem cells to tumor stroma and vasculature R21CA No 89,789 Mitogenic and Oncogenic Regulation of ERK/RSK Signaling R37CA No 610,426 Notch Signaling in Mammary Development and Tumorigenesis R01CA No 370,484 Structural and Mechanistic Studies of Regulation of let-7 biogenesis by Lin28' R01CA No 16,361 Structure and Mechanism in DNA Excision Repair R01CA REVISED No 331,065 T-bet and Tumor Immunity R01CA rev No 219,484 Transcriptional Activator/Coactivator Interactions R01CA REVISED No 227,912 Subtotal of ,346,587 Harvard Transdisciplinary Research in Energetics and Cancer U54CA No 1,182,140 Subtotal of ,182,140 A Global Screen for Genes Regulating Cdt1 Turnover In Response To DNA Damage F32CA No 54,936 Alternative Splicing of Pyruvate Kinase M: Regulation and Significance in Cancer F31CA REVISED No 7,200 Biostatistics/Epidemiology Training Grant in Biostatistics T32CA No 439,183 Biostatistics/Epidemiology Training Grant in Biostatistics T32CA No 46,590 Cellular plasticity and survival mechanisms in medulloblastoma stem cells F31CA No 4,547 Exploring the mechanism and function of somatic homolog pairing F32CA REVISED No 36,275 Harvard Education Program in Cancer Prevention Control R25CA No 587,142 Imaging Dynamic Aspects of Mammary Morphogenesis and Oncogenesis K25CA No 56,005 Mitochondrial Apoptotic Sensitivity in Predicting Acute Myeloid Leukemia Response F31CA REVISED No 26,363 Modeling Breast Carcinoma in Situ: Implications for Prevention and Control F32 CA rev No (475) Molecular analysis of the function of BRCA1-TONSL complexes F30CA REVISED No 5,508 Networking organization and dynamics of the Hippo pathway during oncogenesis F32CA No 20,590 Nutritional Epidemiology of Cancer Education and Career Development Program R25CA No 476,794 Pathobiology of Cancer at the Host and Population Level T32CA No 229,124 Program for Training in Cancer Epidemiology T32 CA No 995 Program for Training in Cancer Epidemiology T32CA No 763,922 Radiation Biology Training Program T32 CA rev No 18,699 Role of IGF-I Receptor Signaling Pathways in Cell Survival and Migration K08CA REVISED No (1,314) Somatic Mutation Discovery in Lung Squamous Cell Carcinoma F31CA REVISED No 10,811 Studies of Receptor Mediated Signal Transduction Processes in Mammalian Cancer Biology K22CA A1 No 74,228 Synthetic Biological Devices for Understanding the Effect of Hypoxia on Cancer Cells F32CA No 7,283 The Role of Mechanics in Tumor Progression and Malignancy F32CA No 51,555 The Role of the Human Holliday Junction Resolvase Component SLX4 in DNA Recombination and Repair F32CA No 47,982 Virus-Host Interactions in Cancer T32 CA No 48,693 Subtotal of ,012,636 Prostate Cancer Prevention by n-3 Unsaturated Fatty Acids R01CA REVISED No (689) Statistical Methods for Analysis of Failure Time Data R01CA rev No 63,627 Subtotal of ,938 46

51 A Multidisciplinary Approach to Elucidating Gene Function in a Model Gram-positive Bacterium RC2GM REVISED Yes 665,910 A Systems Approach to Advancing Workforce Inclusion and Diversity DP4GM REVISED Yes 773,092 Accounting for confounding bias and heterogeneity in comparative effectiveness RC4MH REVISED Yes 480,506 ALSISE: Assessment of Life Science Intermediate School Educators RC1HD Yes 245,537 Anatomical and Biochemical Organization of the Retina R01EY S1 Yes 4,918 Anxiolytic Effects and Abuse of BZ Receptor Ligands R01DA S1 Yes 32,414 Assessment of Infant Outcomes After in Utero Exposure to Antiretroviral Therapy R01HD Yes 817,397 Association of Telomere Length with Colorectal Cancer and Adenoma R03CA Yes 9,911 Automated Acquisition of C. elegans Survival Curves with a Flatbed Scanner R03AG S1 Yes (74) Biochemical dissection of epigenetic inheritance by Polycomb group proteins R01GM S1 Yes (22,925) Cell Interactions in Development of the Mammalian Kidney R37DK S1 REVISED Yes 37,527 Chemical Genetic and Biochemical Studies of Mitotic Proteolysis R01GM S1 Yes 38,127 Clinical and Cost-Effectiveness of HPV Vaccination in the US R01CA S1 Yes 5,268 Comprehensive Phenotypic Comparison of Normal and Cancer Stem Cells RC2CA REVISED Yes 580,271 Cytoskeleton polymerization dynamics in the cell cycle R01GM S1 Yes 4,675 Deconvolution of metabolic adaptation of endoplasmic reticulum RC4DK rev Yes 811,342 Detection of Prostate Cancer Genomic Signatures in Blood RC1CA Yes 316,339 Development of Electron Microscopy-based Nucleic Acid Polymer Sequencing RC2HG REVISED Yes 632,730 Developmental Genetics of Serotonin Neuron Subtypes in Brain Reward Circuits R21DA S1 Yes 114,185 Dietary Patterns and Risk of Cardiovascular Disease R01HL rev Yes 61,022 Directed Evolution of a Murine Model of Hepatitis C Virus Replication R21AI REVISED Yes 61,999 Discovery of Small Molecules that Restore Methicillin Sensitivity to MRSA F32AI REVISED Yes (91) DNA Damage and Neurodegeneration in the Aging Brain P01AG S2 Yes 95,390 Drug Targets for Tuberculosis R01AI Yes (45) Dynamics of Signaling Pathways: Mechanism and Function R01GM S1 Yes 6,075 Electrical Stimulation of Immediate Early Genes R01NS S1 Yes (3,554) Electron microscopy studies of novel poliovirus genome-releasing intermediates F32AI Yes 4,264 Electronic Sequencing in Nanopores R01HG S1 Yes 16,425 Engineered in vivo nuclear fusion: application to regenerative medicine RC1DK REVISED Yes 153,641 Engineering Skeletal Muscle With Biodegradable Hydrogels R01DE S1Rev Yes 31,219 Epidemiology-- National Comorbidity Survey Replication U01MH S1 REVISED Yes 117,728 Epigenetic Analysis of ips Cell Models of Aging and Alzheimer's Disease RC1AG Yes 414,697 Establishment of a high throughput screen for the discovery of malaria transmission blocking drugs RC1AI Yes 292,244 Establishment of SPF Rhesus Macaque Breeding Colony U42RR S1 Yes 194,091 Evaluating the Health Benefits of Workplace Policies and Practices - Phase II U01AG S1 Yes 1,338 Fatty Acids and Major Cardiovascular Outcomes R01HL S1 Yes 76,579 Ferristatin: A New Small Molecule Inhibitor of Iron Transport RC1DK rev Yes 77,252 Flybase: A Drosophila Genomic and Genetic Database P41HG S1 REVISED Yes 87,983 Forward genetic screens for identifying antimalarial resistance genes R21AI Yes 18,159 Functional Analysis of the Proteasome Base R37GM S1 Yes 79,132 Functional Coupling of Steps in Gene Expression R01 GM S1 Yes 1,136 Functional Organization of Visual Area MT R01EY S2 Yes 65,791 Gene Expression and Regulatory Networks in Human Leukocytes RC2GM REVISED Yes 2,980,216 Genome Surveillance for Drug Resistant Malaria R01AI Yes 479,539 Glycated CD59 as a Biomarker for Diabetes R56DK REVISED Yes 61,829 GWAS on Determinants of HIV-1 Subtype C Infection RC4AI rev Yes 1,393,787 Harvard University Center for AIDS Research P30AI S1 Yes 53,227 Identification of Genes and Compounds that Control Beta Cell Replication RC4DK REVISED Yes 1,488,186 ImmGen: a gene expression compendium for immune cells R24AI S1 Yes 100,214 Inhibitors of c-di-gmp synthesis and degradation R01AI Yes 45,409 Innovative mouse model to study parathyroids and an application to human disease RC1DK Yes 182,756 Language and Risk for Schizophrenia R21MH Yes 3,112 Mechanism of Latency of Herpes Simplex Virus P01NS S1 REVISED Yes 60,600 Mechanistic Analysis of Papillimavirus E2 Functions R01CA S1 Yes 48,001 Mechanistic Signatures of Drug Responses in Cancer RC2HG REVISED Yes 59,952 Meiotic Chromosome Synapsis and Recombination in Yeast R01GM S1 Yes (66) Mercury, Selenium and Risk of Cardiovascular Disease in Women and Men R01ES S1revised Yes 176,120 Method for Prediction of Efficacy of Genetic-based Prediction Models of Personalized Medicine with Clinical Avatars R01LM REVISED Yes 140,994 47

52 Microlysis Technology: Enabling Cell Type-Specific Proteomics in Living Tissue RC1HG REVISED Yes (31,754) Microlysis Technology: Enabling Cell Type-Specific Proteomics in Living Tissue RC1HG REVISED Yes 284,502 Modular Enzymatic Assembly Lines for Antibiotics R01GM S1 Yes 55 Molecular and Genomic Imaging Center P50HG S1 REVISED Yes (3,855) Molecular Genetics of HSV DNA Polymerase Gene R01 AI A2 REVISED Yes (426) Molecular mechanism of a cellular necrotic cell death pathway R01CA Yes 171,882 Monoclonal Antibodies and Genetic Elements for Airway Disease RC1HL Yes 215,314 Networking Research Resources Across America U24RR REVISED Yes 3,522,139 Neurophysiological Studies of Schizophrenia R01MH S1 REVISED Yes 86,276 New England Primate Research Center Base Grant P51RR S4 REVISED Yes 856,215 New England Regional Center of Excellence for Biodefense and Emerging Infectious Diseases Research U54AI S1 Yes 468,196 Oncogenic Human Papillomavirus Protein Network RC1CA Yes 92,390 Oral Cancer Detection Methods in a Community Setting RC2DE S1 Yes 285,946 p63-dependent Checkpoints in Oocytes R01HD Yes 153,317 Personalized Medicine in Comparative Effectiveness RC4CA rev Yes 193,281 PHACS- Data and Operations Center U01HD S3rev Yes 1,133,837 Physical Activity and Survival in Cancer Patients R03CA Yes 18,734 Plasticity in Airway Smooth Muscles R01HL Yes 154,122 Premonopausal Hormone Levels and Risk of Breast Cancer R01CA S1rev Yes 1,273,431 Preventing the Incidentalome R01LM REVISED Yes 225,925 Proliferative control of normal and oncogenically transformed stems cells in vivo R21CA Yes (840) Prospective Studies of Diet and Cancer in Men and Women P01CA S1 Yes 2,104,950 Quantifying post-translational modifications and protein expression by HTP-MS RC4GM REVISED Yes 1,380,215 Racial Discrimination and Risk of Chronic Disease R01AG S1 Yes 60,832 Real-time single-molecule nucleic acid sequencing with flurogenic nucleotides R01HG S1 Yes 14,783 Regulation of DNA Metabolism During Herpes Simplex Virus-1 Infection F32AI Yes 10,461 Regulation of Osteoblast Differentiation by Delta FosB R01AR S1 REVISED Yes 213,333 Regulation of Xenopus Embryonic Development by TGFbeta Superfamily Ligands and SM R01HD S1 Yes 18,717 Replication Initiation in Bacteria and Eukaryotes R01GM A2S1 REVISED Yes 65,080 Role of TBK1 polyubiquitination in innate antiviral immunity R56AI Yes (3,293) Selection and the Quality Impact of Nursing Home Ownership R01AG Yes 134,660 Short-Term Synaptic Plasticity in the CNS R37 NS S1 Yes (3,245) Single Cell, Single Molecule, Digital mrna Profiling with No PCR Amplification RC2HG Yes (14,190) Spatiotemporal Maps and Interactions in V1 and V2 Neurons R01EY Yes 218,738 Statistical and Data Management Center-Pediatric, Adolescent, and Maternal CTG U01AI S4Rev Yes 1,171,102 Statistical Methods for Estimation of Copy Number from Next-Generation Sequencing RC1HG Yes 235,611 Statistical Methods for population health research on chemical mixtures R01ES rev Yes 399,372 Subjective and Behavior Responses to PREP Design and Marketing R01CA S1rev Yes 36,288 Supraresolution 2-photon microscopy in brain tissue RC1NS Yes 138,170 Synaptic Vesicle Trafficking in Hippocampal Synapses R01NS Yes 1,816 Synthesis and Discovery Enabled by Small Molecule-Nucleic Acid Conjugates R01GM S1 Yes 1,923 SysCODE: PMAGE Technology Development (10 of 10) PL1HL S1 REVISED Yes 4,420 Systems-Level Physiological Basis of Selection and Epistasis in Adaptation R01GM S1 Yes 68,786 T-bet and Tumor Immunity R01CA S1 Yes 79,555 Targeted 2nd generation sequencing in phenotyped Framingham and PGP populations R01HL S1 REVISED Yes 114,591 The population genetics of antibiotic resistance in multi-drug environments R01GM S1 Yes 8,998 The Protein Complex Map of the Drosophila Proteome R01HG S1 Yes 81,455 The RNA polymerase II transcription complex R01GM S1 Yes 20,789 The Zebrafish Connectome RC2NS Yes 224,091 Transcriptional Regulation of the Immune Response R01AI S1rev Yes 65,299 Transcriptional Repression and Activation by YY R01GM REVISED Yes (1) Transgenic Strategy to Map Structure and Function of Neural Circuits in Retina RC1EY Yes 213,855 Understanding the malaria-poverty vicious circle R21AI Yes 65,096 Use of Electronic Protocols to improve provider and client adherence RC1TW Yes 145,516 Using Drosophila for in vivo drug screens to selectively target cancer stem cells RC1CA Yes 23,865 Using GWAS Data for Enhanced Mendelian Randomization Studies RC4MH rev Yes 502,077 Visual Processing in Cerebral Cortex R01 EY S1 Yes (1) Fluorescence Microscope for Time-Lapse Imaging of Bacteria S10RR Yes 17,056 Orchestra: A high performance biomedical supercomputing collaborative S10RR REVISED Yes 1,058,890 Subtotal of ,651,848 Innovation Platform for Substitutable Apps with Access to Networked Healthcare Data TR0001/01 Yes 3,752,833 Subtotal of ,752,833 48

53 Articulated Robot for Epicardial Interventions R01HL REVISED No 85,711 CVD Epidemiology Training Program in Behavior, the Environment and Global Health T32HL No 172,140 Defining Genetic Architecture and Pathways of DCM R01HL No 324,784 Dietary Etiologies of Heart Disease and Cancer R01HL No 666,813 Dietary Fat and HDL Metabolism R01HL No 790,313 Endogenous Anti-Inflammatory Lipid Mediators, Fish Oil and Post-Operative Atrial Fibrillation R21HL A1rev No 45,703 Endothelial Plasticity in Human Disease R01HL REVISED No 25,070 Engineering Capillary Networks R01HL No 704,669 Estimating Effects of Interventions in Longitudinal Data R01HL No 510,284 Fatty Acids and Major Cardiovascular Outcomes R01HL No 140,783 Genetic Markers of CHD in Type 2 Diabetes R01HL No 775,068 Global Cardiovascular Disease Policy Model for Screening Prevention and Treatment R01HL No 198,338 Glycation inactivation of human CD59 and diabetic complications R01HL A1 REVISED No 193,277 Identifying Ways to Reduce Readmissions Among Minority-Serving U.S. Hospitals R01HL rev No 21,283 Long Term Outcomes of Open Versus Endovascular AAA Repair R01HL No 312,287 Mapping Transcriptional Networks in Cardiac Development U01HL No 2,292,388 Molecular Physiology of Pacemaker Channels R01HL REVISED No 288,951 Molecular Signaling in Hypertrophic Cardiomyopathy R01HL No 187,231 Myocyte Shape in Myofibril Patterning and Contraction R01HL No 139,266 NHLBI Short-Term Training Program to Increase Diversity in Health-Related Research R25HL No 50,350 Novel Adipokines and Coronary Heart Diseases in U.S. Men and Women with Diabetes K99HL rev No 121,552 Proximity to Food Establishments and BMI in the Framingham Heart Study R01HL A1 No 11,944 Statistical methods for rare variant effects in sequencing association studies K99HL No 4,812 Structure and function of human phospholamban pentamer R01HL No 11,870 SysCODE: PMAGE Technology Development (10 of 10) PL1HL No 184,465 The role of nuclear envelope during cardiac morphogenesis F32HL No 48,764 Vitamin D supplementations as adjunct to anti-tuberculosis drugs in Mongolia R00HL No 30 Subtotal of ,308,146 Asthma Disparities: Advancing Multilevel Causal Models K25HL rev No 48,506 Factors that Promote and Support Careers of Women of Color in Academic Medicine R01HL REVISED No 416,949 Mechanical Stress as a Stimulus for Airway Remodeling R01HL No 227,125 Mechanics of Monolayer Migration R01HL No 579,312 Mechanobiology of Lung Fibrosis R01HL No 489,647 Molecular Epidemiology of ARDS R01HL rev No 170,365 Molecular Epidemiology of Drug-Resistant Tuberculosis sub at no additional cost No 27,417 Obesity and Airway Responsiveness R01HL No 359,481 Rho Kinase and Airway Hyperresponsiveness R01HL No 459,268 Targeted 2nd generation sequencing in phenotyped Framingham and PGP populations R01 HL No 41,727 The resident cell in the asthmatic airway: a victim of its physical microenvironment R01HL rev No 430,749 Training in Interdisciplinary Pulmonary Sciences T32HL No 241,710 Training in Interdisciplinary Pulmonary Sciences T32HL No 314,542 Subtotal of ,806,798 A Training Program in Molecular Hematology T32HL REVISED No 396,105 Harvard Stem Cell Institute Training Program for Pre- and Post-Doctoral Fellows T32HL No 268,463 Molecular Regulation of Adhesive Integrin Interactions in Erythroblastic Islands R01HL REVISED No 320,648 Short and long term depressive symptoms and arrhythmic pathways to stroke F31HL rev No 16,312 Stem Cell Engagement of the Niche R01HL No 1,045,002 The Fanconi anemia pathway: role in DNA interstrand cross-link repair R01HL No 506,842 Ubiquitination in erythropoiesis and the pathophysiology of anemia R21HL A1 No 16,890 Subtotal of ,570,262 49

54 A Genetic System for the Study of Vertebrate Limb Regeneration R21AR No 139,386 Assessment and Evaluation of Hill-type Muscle Models for Predicting In Vivo Force R01AR No 534,335 Biogenesis of Extracellular Matrix R01AR REVISED No 544,850 BMP-2 Regulation of Bone Homeostasis R01AR No 437,013 Calcitonin Regulation of Osteoclast Integrin Functions R01AR No 557,467 Characterization of the Insulin to Autophagy Pathway in Muscles R01AR No 446,586 Collagen Gene Structure and Expression R01AR No 495,647 Creation and Validation of a BMP/TGF-B/Activin Biosensor System R21AR No 13,070 Fate mapping superficial zone chondrocytes in articular cartilage R21AR No 201,681 From Adhesion to Bone Resorption: The role of Dynamin in Osteoclasts R01AR REVISED No 237,784 Genetics of arthritis susceptibility in outbred HS mice R01AR No 289,739 Identification of the transcriptional regulators of chondrocyte hypertrophy R01AR No 464,765 Molecular and Cellular Mechanisms of Vascular Anomalies P01AR No 1,160,556 Molecular Mechanisms that Cause Muscle Atrophy R01AR No 343,697 Regulation of Osteoblast Differentiation by Delta FosB R01AR No 391,587 Regulation of osteoclast biology by anion exchanger SLC4A2 in mouse and human systems R01AR A1revised No 101,742 Role of CD48:CD244 Pathway in Systemic Lupus Erythematosus K08AR No 68,365 Role of DDR2 in OA-like Pathogenesis in Osteochondrodysplasias R01AR No 54,678 Role of TGIF in Wnt-Induced Bone Formation R01AR REVISED No 48,823 Role of the C-src proto-oncogene in Osteoclasts R01 AR No 89 Role of Zfp521 in bone formation and anabolic responses R01AR No 598,061 Subtotal of ,129,921 Adipose-tissue Tregs and the Immunological Control of Metabolism R01DK No 426,474 Aire, a zinc-finger protein that controls autoimmunity R37DK No 330,864 Benefits of dietary essential amino acid restriction R01DK rev No 357,899 Cell Interactions in Development of the Mammalian Kidney R37DK No 550,432 Characterization of a Novel Protein Required for Glomural Podocyte Function F32DK No 58,408 Chemical Genetics of Iron Transport R01DK No 368,927 Developmental Regulation of Bone Morphogenesis P01DK S1 No (27,573) Developmental Regulation of Bone Morphogenesis P01DK REVISED No 1,474,275 Dietary Polyphenols, Urinary Biomarkers and Risk of Type 2 Diabetes R01DK No 500,665 Evaluating the Clinical Validity of Novel Gene-Environment Risk Profiles R21DK No 176,022 From sugar to fat: How the transcription factor XBP1 regulates hepatic lipogenesis R01DK No 274,099 GUDMAP2 - Production of Mouse Strains for Gene Anatomy of the Lower Urinary Tract U01DK No 168,871 Human Cell-Based Models of Primary Adipocyte Disorders R01DK No 76,654 Inflammatory and stress signaling networks in metabolic disease R01DK No 518,912 Lipids, Inflammation and Insulin Action R01DK rev No 301,835 Molecular control of pancreatic beta cell reprogramming R00DK Revised No 203,953 mtorc1 regulation in the liver by metformin, AMPK and energy status F32DK No 12,285 Network Analysis of Signal Transduction R01DK No 533,805 Nitrergic Neuro-smooth Muscle Transmission in the Gut R01DK No 354,797 Novel targets in the regulation of NF-kB and SREBP activity: A two-faceted approach to combat diabetes K01DK No 145,885 Obesity Genes, Energy Regulation in Response to Weight-Loss Diets R01DK A1 No 22,158 Pathophysiologic Regulation of Fgf-23 in Phosphate Homeostasis: Role of Vitamin D R56DK A1 No 54,547 Pathophysiologic Regulation of Fgf-23 in Phosphate Homeostasis: Role of Vitamin D R01DK No 23,813 PPAR Delta Functions in Liver R01DK No 349,020 Programming antigen specific dendritic cells in situ for type 1 diabetes immunotherapy F30DK REVISED No 6,990 Proteomics of Pancreatic Fluid and Urine in Chronic Pancreatitis F32DK No 9,160 Reconstruction of Human Type 1 Diabetes in Mice R24DK No 1,061,294 Reducing disparities in diabetes through expanded insurance coverage R01DK No 263,073 Regenerating Beta Cells by Lineage Reprogramming U01DK S1 No 606,485 Regulation of Triglyceride Metabolism by the transcription factor CREB-H R01DK No 198,180 Store-operated camp signling in colon pathophysiology R21DK REVISED No 116,561 Training Grant in Academic Nutrition T32DK Revised No 261,311 Unraveling the interactions between T regulatory cells and the gut microbiota in Health and Disease F32DK No 17,921 Subtotal of ,798,002 In Vivo Interactions of Fgf-23 Klotho and Vitamin D R01DK No 250,807 Kidney Molecular Atlas Project U01DK S1 REVISED No 257,249 Subtotal of ,056 50

55 Activity-dependent modification of electrical synapse strength R03NS A1 No 29,738 Adult Neurogenesis after Stroke: The role of SDF-1 in mechanisms of neural repair F30NS REVISED No 2,648 Automated and Adaptive Lower Extremity Neuro-Rehabilitation for Stroke F31NS No 45,562 Biophysical and neurogenetic analyses of photosensory behavior in Drosophila F31NS REVISED No 27,202 Cell Cycle Regulation of Neuronal Apoptosis R01NS No 130,050 Cell Interactions Controlling Neural Differentiation R37NS No 354,050 Cellular mechanisms of dietary therapy for epilepsy R01NS REVISED No 282,334 Circadian Clock of the Paraventricular Nucleus R01NS No 284,704 Circadian Clock Regulation of the Mammalian Retina R01NS No (42,182) Compartmentation of Neuronal ATP and Metabolic Regulation of Excitability F32NS No 52,274 Competition Between Axons at the Neuromuscular Junction R01NS REVISED No 77,014 Conversion of fibroblasts to functional spinal motor neurons using defined factors K99NS No 63,154 Core Facilities for Analysis of Neural Circuit Structure and Function P30NS REVISED No 832,709 Ctip2 Function in Corticospinal Motor Neuron Development F31NS No 28,286 Dendritic Ca Signals in Striatal Medium Spiny Neurons R01NS No 308,674 Electrical Stimulation of Immediate Early Genes R01NS REVISED No 309,258 Extracellular Matrix and Neuromuscular Development R37NS No 360,869 Fate Specification of Corticospinal Neurons by Cell Autonomous Signaling R01NS No 244,746 Functional organization of neural circuits underlying movement control K99NS REVISED No 83,209 Fundamental Neurobiology T32 NS No (1,164) Fundamental Neurobiology T32NS No 339,743 Gating kinetics of volgate-depentent ion channels in fast-spiking neurons F31NS REVISED No 3,600 Generation of Hypocretin Neurons from Narcoleptic Patients R21NS No 267,580 Genetic and Functional Profile of Serotonergic Neuron Subtypes F31NS A1 No 8,219 Genetic Modeling for SMA Therapeutic Pathways P01NS No 1,472,981 Genome-Wide Light-Inducible Tuning of Transcriptional Network Dynamic R01NS No 684,896 Heart-Lung Micromachine for Safety and Efficacy Testing U01NS REVISED No 1,504,555 HMS/CHB Center for Neuroscience Research P30NS No 277,427 Involvement of motor cortex in the acquisition and production of motor sequences F31NS No 5,072 Large-scale connectivity and function in a cortical circuit R01NS No 266,678 Maturation and Maintenance of the Postsynaptic Apparatus R01NS No 311,760 Mechanism of Latency of Herpes Simplex Virus P01NS REVISED No 613,927 Metabolic and KATP channel regulation of the cortical slow oscillation F31NS No 26,684 Molecular basis of age-related synaptic alterations F32NS No 6,453 Molecular Controls Over Callosal Projection Neuron Subtype Specification and Diversity F31NS REVISED No 28,142 Molecular Controls over Induction of Neurogenesis for Brain Repair R01NS REVISED No 157,148 Molecular Mechanisms of CTIP2 Function in Corticospinal Motor Neuron Development R01NS A1 No 107,075 Neural circuits underlying circadian regulation of behavior and physiology F31NS No 26,952 Neural mechanisms underlying vocal learning in the songbird R01NS No 317,894 Neuronal Activity-Dependent Regulation of MeCP R01NS No 567,582 Neurotrophic Factor Regulation of Gene Expression R01NS REVISED No 366,601 Next Generation Brainbow Transgenes for Neural Circuit Analysis U24NS No 512,143 NSAIDs, Inflammation and Parkinson's Disease R01 NS No 9,797 Phosphatase regulation of NFKappaB activity R01NS REVISED No 219,153 Polymer mediated delivery of sirna for malignant glioma treatment F30NS REVISED No 7,200 Pooling of Prospective Studies of Diet, Lifestyle and ALS R01NS No 111,134 Pre-Diagnostic Markers of Infection and Risk of MS R01 NS No 32,124 Promoters for Long-Term Expression from HSV-1 Vectors R01NS REVISED No 198,288 Prospective Epidemiological Study of ALS R01NS No 30,299 Prospective Study of Vitamin D and Multiple Sclerosis R01NS No 606,671 Regulation of CNS and Limb Polarity by Sonic Hedgehog R37NS REVISED No 511,140 51

56 Regulation of Neuronal Development by Ubiquitin Pathways R01NS No 391,242 Regulation of release probability by tonic presynaptic inhibition F31NS No 33,136 Regulation of synapse growth by mtor pathway R01NS REVISED No 18,405 Regulation of Synapse Morphogenesis in Drosophila R01NS No 309,109 Role of cortical interneurons in synchronization of brain electroencephalogram R01NS No 242,324 Role of microrna in axon development F32NS No 53,622 Role of Msps and TACC During Axon Guidance F32NS No 4,422 Role of Ubiquitin Signaling in Activity-Dependent Dendrite Morphogenesis F31NS No 26,917 Roles of SAD kinases in formation and maturation of multiple synaptic types R21NS No 176,678 Scalable assays for morphological analysis of mammalian neurons R01NS No 470,289 Selective targeting of sodium channel blockers to pain-sensing neurons R01NS No 317,199 Short-Term Synaptic Plasticity in the CNS R01NS A1 REVISED No 94,037 Short-Term Synaptic Plasticity in the CNS R37NS REVISED No 451,795 Signal Transduction in Axon Guidance R01NS No 308,273 Signal Transduction in Neuron Migration and Axon Guidance P01 NS REVISED. No 52,226 Signal Transduction Pathways Regulating Neuron Differentiation R01NS No 235,831 STAT3 Regulation of Glioblastoma Pathogenesis R01NS No 347,935 Synaptic Choices in the Retinotectal System R01NS No 416,768 Targeted Gene Transfer, to Specific Types of Neurons, with HSV-1 Vectors R01NS REVISED No 163,260 Tetrahydrobioperin acts as a pain signaling molecule F31NS No 28,507 The role of cortical neuron and circuit function in tau induced neurodegeneration F32NS No 49,030 The Role of GABAergic Transmission in the Development of Basal Ganglia Pathways F31NS No 35,535 The Role of Semaphorins in Axon and Blood Vessel Guidance R01NS No 377,129 Training in Neurostatistics and Neuroepidemiology T32NS No 187,494 Two-photon calcium imaging of the effects of cortical microstimulation R21 NS No (371) Urate as a Predictor of Parkinson's Disease Risk and Progression R01NS No 646,218 Viral tracing of genetically defined neural circuitry F31NS No 25,998 Vitamin D, cigarette smoking, EBV infection and risk of MS progression R01NS revised No 329,257 Vitamin D, Epstein-Barr virus infection, and cigarette smoking and risk of multiple sclerosis among women in the Finnish Maternity Cohort and their offspring R01NS No 236,462 Voltage-Dependent Ion Channels Controlling Firing Patterns of Central Neurons R01NS No 534,819 Subtotal of ,635,599 A Cellular Chip for High-Throughput Measurements of Single, Growing Cells R21AI A1 No 9,682 A double-mimetic inhibitor of HIV-1 entry R01AI No 438,022 A functional genomic screen to identify host cell regulators of Trypanosoma cruzi R21AI No 167,456 A method for the design of low-cost paper-based point-of-care diagnostic devices F32AI No 48,761 A study of the functional determinants of a Plasmodium falciparum invasion ligand F32AI No 51,734 Accurate and Efficient Measures for HIV Incidence R01AI A1 No 21,210 Acinetobactin and C-Glucosylated Enterobactin Siderophores R01AI REVISED No 395,325 Alteration of host protein stability by Legionella R21AI No 179,783 An HIV Prevention Program for Mochudi, Botswana R01AI No 495,788 Analysis of Cellular Events that Allow Papillomavirus Replication F32AI No (573) Analytic Methods for HIV Treatment and Co-Factor Effects R37AI rev No (2) Analytic Methods for HIV Treatment and Co-Factor Effects R37AI No 825,335 Anti-viral immune responses in lymph node P01AI REVISED No 2,624,172 Biostatistics/Epidemiology Training Grants in AIDS T32AI No 389,906 Botswana-Harvard School of Public Health AIDS Initiative Partnership CTU UM1AI rev No 3,125,632 Chemical Tools for the Study of Dengue Virus Entry R56AI No 116,863 Chromatin and Herpes Simplex Virus Latency R01AI REVISED No 141,901 Coordinate Regulation of Bacterial Virulence Factors R01AI No 558,252 Cross-species transmission and adaptation of primate lentiviruses R01AI REVISED No 337,633 52

57 Cytoadherence and sequestration in malaria transmission stages R01AI No 441,799 Cytotoxic T Cell Mediated Immunity to Chlamydia R01AI A1 REVISED No 745,396 Defining the Mechanism of Action of Sanglifehrin A F32AI REVISED No 13,065 Differentiation and Regulation of CTL R01AI REVISED No 269,062 Disease Initiation and the Role of DCs in the TRUC model of Ulcerative Colitis K08Al No 112,627 Doctoral Training Program in Tropical Diseases T32AI No 228,212 Epidemiology of Infectious Diseases and Biodefense T32 AI No (88) Epidemiology of Infectious Diseases and Biodefense T32AI No 134,262 Epidemiology of Multidrug-Resistant Tuberculosis in Peru U01AI REVISED No 723,555 Factors Mediating Host Resistance to Chlamydia trachomatis R01AI No 638,332 Functional analysis of erythrocyte determinants of malaria infection R01AI No 328,044 Functional Characterization of HSV-1 DNA Polymerase pren- and N- Terminal Domains F31AI No 28,202 Genetic Analysis of Toxinogenesis in Vibrio Cholerae R01AI No 758,283 Genetic and Ecological Factors in Transmissibility and Epidemic Cycle of Cholera R01AI REVISED No 167,582 Genetic validation of essential asexual stage genes in Plasmodium falciparum R21AI rev No 186,210 Genetics of Herpesvirus Transformation R01AI No 354,406 HAART to Prevent HIV Transmission to Infants in Botswana U01AI No 106,437 Harvard Tanzania HIV/AIDS Clinical Trials Unit U01AI rev No 500,089 Harvard University Center for AIDS Research P30AI REVISED No 3,041,649 Herpesviruses as Vaccine Vectors for AIDS P01AI REVISED No 339,216 Host Genetics of HIV-1 Subtype C Infection, Progression, and Treatment in Africa R01AI No 188,858 Human Cytomegalovirus Nuclear Egress: Molecular Mechanisms and Drug Targeting R01AI No 667,447 Human Decidual Leukocytes and Their Placental Ligands R01AI No 459,255 Human Natural Killer Cells: Formation and Structure of Activating Synapses R01AI REVISED No 317,399 Identifying and validating new antibiotic targets in cell wall synthesis pathways R01AI REVISED No 38,842 Imaging autoimmune disease P01AI No 2,376,058 ImmGen: a gene expression compendium for immune cells R24AI No 730,808 Immunology and Infectious Diseases T32AI No 151,562 In Vivo Function of the B7 Family of Costimulators R37AI No 454,296 In vivo role of CTLA-4 in Costimulation and Autoimmunity R01AI No 420,779 Infectious Disease and Basic Microbiological Mechanisms T32AI No 569,221 Innate Immunity: Signal Transduction and Interferon Gene Regulation R01AI No 88,700 International Herpes Vaccine Project R56AI REVISED No 42,612 International Herpes Vaccine Project R01AI No 322,003 Intrinsic Immunity and AIDS R01AI A1 REVISED No 155,797 KIR and MHC Class I Immunogenetics in SIV Infection R01AI A1 No 232,314 Lentiviral Resistance to Tetherin R01AI A1 No 49,844 Mechanics of Bacterial Swarming R56AI A1 No 170,562 Mechanics of Bacterial Swarming R01AI REVISED No (1) Mechanism of Class III Viral Fusion Proteins F32AI REVISED No 25,935 Mechanisms of Capsular Diversity in Streptococcus Pneumoniae R01AI rev No 346,942 Mechanisms of Lentiviral Resistance to Tetherin R21AI REVISED No 186,652 Mechanisms of protective immunity induced by live attenuated SIV vaccines P01AI REVISED No 1,947,724 Mechanisms Regulating HSV TK Expression During Infection R01AI No 203,887 Methods for Long-Term Follow-Up of HIV-Infected Patients R01AI rev No 185,172 Methods to Advance the HIV Prevention Research Agenda R01AI No 175,368 Methods to find and model predictors of the causal effect of HAART R01AI No 32,262 MHC proteins, copolymers and peptide 15mers in EAE R01AI No (34,589) Modification of host proteins during Chlamydia infection F32AI A1 No 20,692 Modulation of the early host response to SIV in pathogenic infection R01AI No 1,072,753 Molecular Basis for SIV Pathogenicity R01AI No (24,367) Molecular Basis of Viral Infectivity T32AI No 477,831 Molecular Biomarkers for Malaria R56AI rev No 405,878 Molecular Genetics of HSV DNA Polymerase Gene R01AI No 467,479 Molecular Mechanisms of Bacterial Pathogenesis R01AI No 778,103 Molecular Mechanisms of Rhabdovirus Entry R01AI No 235,795 53

58 Mutational pathways in early HIV infection: novel guide to immunologic analyses R21AI rev No 183,827 Naive T cell homeostasis: Treg selection and survival R37AI REVISED No 441,812 Natural killer cells and control of SIV infection R01AI No 837,795 New England Regional Center of Excellence for Biodefense and Emerging Infectious Diseases Research U54AI REVISED No 10,236,125 NKT cells as modulators of AIDS vaccine efficacy R01AI No 5,053 Novel monitoring strategy and fitness analysis of transmitted HIV drug resistance R56AI revised No 102,049 Novel Strategy for HIV Drug Resistance Monitoring in Developing Countries R01AI No 227,796 Outer Membrane Biogenesis: New Antibiotic Targets R01AI REVISED No 415,075 P. Aeruginosa Virulence Determinants R37AI No 608,241 Peptidoglycan Biogenesis in Escherichia Coli R01AI No 303,392 PhD Program in Immunobiology T32AI No 242,281 Poliovirus Cell Entry Pathways R01AI S1 No 595,865 Pooling HIV Cohorts to Inform Clinical Decision R01AI No 130,648 Probing the Biosynthesis of Thiazolyl Peptide Antibiotic Berninamycin A F32AI REVISED No 15,938 Program for AIDS Clinical Research Training (PACRT) T32AI No 271,423 Protective Immunity Induced by Live Attenuated SIV R01AI S1 REVISED No 4,758 Randomized Trial of High-Dose Rifampin in Patients with New, Smear-positive TB U01AI No 557,540 Regulation of CD28 Signaling in T cells by Cytoplasmic Domain Membrane Binding F31AI No 35,236 Regulation of chronic viral infection by co-inhibitory pathways R01AI No 140,707 Regulation of Host Innate Immunity Against Viral Infection R01AI No 266,653 Regulatory mechanisms of the MDA5-mediated antiviral interferon response R21AI REVISED No 19,670 Rhesus Monkey Rhadinovirus Glycoproteins, Entry and Neutralization R01AI No 438,433 RNA Processing in Non-Segmented Minus-Strand RNA Viruses R01AI REVISED No (288) RNA Processing in Non-Segmented Minus-Strand RNA Viruses R01AI No 481,037 Role of host cell metabolism in supporting intracellular Trypanosma cruzi growth R21AI No 37,491 Role of TBK1 polyubiquitination in innate antiviral immunity R01AI No 464,349 Sensory Transduction in Bacterial Chemotaxis R01AI Rev No 406 Sensory Transduction in Bacterial Chemotaxis R01AI No 747,868 Signaling Networks Controlling Innate Immune Responses to Cytosolic DNA R21AI No 24,633 Single nucleotide resolution of the Pseudomonas aeruginosa transcriptome R21AI REVISED No 124,611 Statistical and Data Management Center for the AIDS Clinical Trials Group U01AI No 14,488,753 Statistical and Data Management Center-Pediatric, Adolescent, and Maternal CTG UM1AI rev No 8,613,991 Statistical Methods for HIV/AIDS Studies R01AI No 341,095 Statistical Methods in AIDS Research R01AI No 307,367 Statistical Methods in AIDS Research R37AI rev No 884 Structural basis for influenza amantadine-resistance R01AI No 58,164 Structural Basis of Immune Cell Receptor Function R01AI No (4,107) Structural Basis of Immune Cell Receptor Function R01AI No 302,085 Synthesis of Antibiotics R56AI A1 REVISED No 220,882 T Cell Activation in Lymph Nodes R01AI No 314,520 T Cell Costimulatory Pathways: Functions and Interactions P01AI No 1,709,374 T-bet and the Th1/Th17 balance in Acute HIV infection R21AI No 232,744 T-bet regulates CD4 memory to bacterial infection with C. trachomatis F32AI No (2) Targeting the outer membrane protein translocation pathways R21AI No 20,574 Temporal Requirements for Intracellular Pathogenesis R01AI No 364,322 The Mechanisms of IFITM-Mediated Restriction K99AI No 83,684 The molecular mechanism of Aire: partnering with DNA-PK R01AI REVISED No 469,407 The regulatory function of DNA methylation in Mycobacterium tuberculosis F32AI No 39,162 Therapeutic use of an enhanced form of CD4-Ig R01AI REVISED No 601,043 Towards a Mouse Model of Complement-Mediated Diseases R01AI REVISED No 10,640 Transcriptional Regulation of the Immune Response R01AI No (1,329) Transcriptome profiling of Trypanosoma cruzi and its host cell R21AI No 193,465 Tyrosine Sulfation in HIV-1 and SIV Entry R01 AI REVISED No (2,738) Urban malaria mapping: a new methodology to assess spatio-temporal trends R03AI No 85,202 Validation of Src kinases as Anti-Dengue Viral Targets R01AI No 393,467 A gene therapeutic approach to stable suppression of HIV-1 replication P01AI No 76,128 Subtotal of ,862,294 HIV Prevention Trials Unit U01 AI S1rev No (35,640) International Herpes Vaccine Project R01AI REVISED No 141 Subtotal of (35,499) 54

59 A comparative structural study of ATP-dependent chromatin remodeling R01GM No 304,601 An Efficient Cascade Approach to the Total Synthesis of (-)- Nakadomarin A F32GM REVISED No 47,587 Analysis of General Transcription Factors in Yeast R01GM REVISED No 246,808 Analysis of Hu15, a proteasome-associated ubiquitin ligase F32GM No 51,289 Anthranilate-Based Fungal Nonribosomal Peptide Synthetase Assembly Lines F32GM REVISED No 21,136 Antibiotic Biosynthesis: Amino Acid Morphing R01GM No 385,671 Asymmetric Prins/aza-Prins Cyclization via Thiourea-Anion Binding Catalysis F32GM No 48,936 Atomic Resolution in Biological Electron Microscopy P01GM No 1,598,605 Biochemical and Genetic Analysis of Yeast Kinetochores R01GM S1 REVISED No 78,120 Biochemical dissection of epigenetic inheritance by Polycomb group proteins R01GM No 85,489 Biochemical Studies of Mitosis R01GM No 724,679 Biochemical Studies of Mitosis R01GM REVISED No 307,129 Bioinspired Enantioselective Catalytic alpha-alkylation of Aldehydes F32GM REVISED No 19,637 Biological Diversity: Generation, Control, and Exploitation P50GM No 3,107,675 Biologically Related Iron-Sulfur Chemistry R01GM No 539,586 BMAL1 Complexes of the Circadian Clock R01GM No 409,772 Capillary Electrophoresis and Protein Biophysics R01GM No 27,249 Catalytic, Asymmetric Aziridination using (Salen) metal Catalysts F32GM Rev2 No (1,483) Cell Cycle proteomics in Xenopus R01GM No 18,608 Cell Cycle Regulation R01GM No 706,275 Cell Cycle Regulation of Vertebrate DNA Replication R01GM REVISED No 142,977 Cellular and Developmental Biology T32GM REVISED No 15,250 Characterization of microrna-mediated Repression of Translation Initiation F31GM No 28,202 Chemical Biology of Microbial Interspecies Signaling R01GM REVISED No 326,750 Chemical Biology Studies of Human Disease-Relevant Small Molecules R01GM No 312,035 Chemical Genetic and Biochemical Studies of Mitotic Proteolysis R01GM REVISED No 274,285 Chiral Catalysts Designed To Catalyze Organic Reactions R37GM REVISED No 382,156 Chiral Catalysts Designed to Catalyze Organic Reactions R01GM No 373,362 Chromosome Dynamics in Bacillus Subtills R01GM No 364,114 Complex Dynamics in Multisite Phosphorylation R01GM REVISED No 286,048 Comprehensive Characterization of Heterochromatin Domains K99GM No 50,415 Computation and Mechanical Modeling of Chromosome Dynamics R01GM REVISED No 188,723 Conformational Change in Molecular Biology R01GM S2 No 205,470 Connecting the Genome to the Cytoplasm R01 GM No (25) Correlative cryo-microscopy: a new approach for characterizing the structure and function of intracellular marcromolecular machines in situ R01GM No 335,679 Cytoskeleton polymerization dynamics in the cell cycle R01GM No 7,218 DdaF: A Novel Condensation Enzyme in Dapdiamide Biosynthesis F32GM REVISED No (2) Design Principles of Photobiological Metabolism F32GM No 50,468 Designing Polymetallic Clusters to Model the Active site of the FeMo-Cofactor F32GM REVISED No 37,856 Detecting Histone Modification Turnover in Living Cells F32GM No 4,831 Determining the Mechanism of Cyclin B1 Association with Chromatin F32GM REVISED No 10,248 Dissecting the establishment and regulation of human pluripotency P01GM Revised No 2,004,808 Disulfide Bond Formation: Mechanisms for Isomerization and Novel Pathways R01 GM REVISED No (20) Dithiolopyrrolone Antibiotics: Biosynthesis, Mode of Action and Cellular Function K99GM No 24,258 Drosophila Transgenic RNAi Resource Project R01GM No 617,762 Dynamics of Signaling Pathways: Mechanism and Function R01GM No 259,788 Ecological triggers and transcriptional profiling to guide antibiotic discovery K99GM REVISED No 68,317 Enantioselective Synthesis of N-Heterocyclic Rings Using Thiourea-Based Catalysts F32GM No 47,759 55

60 Enantioselective Thiourea-Catalyzed C-H Functionalization via Hydride Transfer F32GM No 34,722 Enantioselective Thiourea-Catalyzed Syntheses of beta-lactones and beta-lactams F32GM REVISED No 27,006 Enzyme secretion as a cooperative behavior K25GM No 8,150 Epithelial Stem Cell Programs R01GM No 309,404 Evolution of Biological Hydrogen Production F32GM No 48,219 Evolution of Genome Incompatibilities R01GM No 299,228 Evolutionary Graph Theory and its Applications R01GM No 20,835 Exogenous Gene Control via Modulation of RNA Self-Cleavage R01 GM No (2) Expanding the Scope of Protein Evolution R01 GM No (9) Experimental Evolution of Anticipation F32GM No 8,692 Factors Controlling Transcription and Chromatin in Yeast R37GM REVISED No 716,003 Feedback Control of the Cell Cycle R01GM No 476,167 Feedback Control of the Cell Cycle R37GM rev No 104 Force generation and detection in the spindle: the case of the kinetochore K99GM No 61,231 Function and Regulation of Intercellular Communication R01GM No 83,941 Functional Analysis of a Potassium Sensing Kinase in Bacillus Subtillis F32GM No 50,676 Functional Analysis of the Proteasome Base R37GM No 615,541 Functional Coupling of Steps in Genes Expression R01GM REVISED No 1,103,995 Functional Genomic Analysis by RNAi Screening in Drosophila Cells R01GM A1 REVISED No 265,925 Functional Genomic analysis using RNAi screen in Drosophila R01GM REVISED No 264,026 Functionally Tethered Oligonucleotides R01GM S1 No 360,534 Genetic Mechanisms of Axis Formation in Vertebrates R01GM A1 No 340,080 Genetic Mechanisms of Axis Formation in Vertebrates R01GM S1 REVISED No 124,421 Genetics and Genomics PhD Training Grant T32GM No 158,512 Genetics of Sleep in Zebrafish R01GM No (13,630) Genome mining of newly sequenced streptomycetes for novel natural products F32GM No 51,349 Genome wide views of chromatin occupancy in the control of Aquilegia development F32GM No 44,365 Harvard Chemical Biology Graduate Program T32GM No 213,434 Harvard Systems Biology Graduate Program T32GM No 254,633 Histone Variants and Transcription-Linked Deposition R01 GM No (47) Hormonal Modulation of Aggression in Drosophila R01GM A1 REVISED No 267,581 Identification and Characterization of Small Molecule-RNA Conjugates in Yeast F32GM REVISED No 48,720 Illegitimate Recombination by Drug Resistance Elements R01GM No (121) Illegitimate Recombination by Drug Resistance Elements R01GM No 871,520 Improving the Safety Profile of Lentiviral Vectors R01GM REVISED No 99,791 Integrative Analysis of Multiple Genomic Data Sets R01GM No 400,527 Interrogation of Functional Aspects of Transcription at Heterochromatic LOCL F32GM No 14,325 Interspecific divergence of Y chromosome effects on gene expression in Drosophila F32GM REVISED No 25,663 Investigating the shikimate pathway in Plasmodium falciparum F32GM S1 No 52,519 Joint Interdisciplinary Training Program in Biostatics and Computational Biology T32GM No 321,799 Joint Training Program in Molecules, Cells and Organisms T32GM No 958,049 Limits and trade-offs of feedback control R01GM No 361,827 Mass Spectrometry-Based Approaches to Study Protein Ubiquitination R01GM REVISED No 588,164 MBRS IMSD Program at the Harvard School of Public Health R25GM No 360,053 Measuring and Predicting PDZ Domain-Peptide Interactions on a Genome-wide Scale R01GM No 315,510 Mechanism and Inhibition of Bacterial Transglycosylases R01GM REVISED No (1) Mechanism and Inhibition of Bacterial Transglycosylases and Transpeptidases R01GM No 444,634 Mechanism of Action of Halofuginone as a Novel Therapeutic R01GM No 302,371 Mechanism of Action of Yeast Silencing Complexes R01GM REVISED No 597 Mechanism of Action of Yeast Silencing Complexes R01GM No 245,151 Mechanism of CRL4-Cdt2, an S phase-specific ubiquitin ligase R01GM No 81,282 Mechanism of the eukaryotic replicative DNA helicase R01GM No 308,518 Mechanisms and regulation of nucleation and stabilization in clathrin-mediated endocytosis F31GM REVISED No 25,523 Mechanisms of Vertebrate Hedgehog Signaling R01GM No 296,293 Mechanisms of yeast transcriptional initiation R01GM No 713,783 Mechanistic analysis of post-translational membrane protein insertion into the ER R01GM No 118,815 Medical Scientists Training Program T32GM S2 No 2,445,749 Medical Scientists Training Program T32GM S1 No 8,666 Meiotic Chromosome Synapsis and Recombination in Yeast R01GM REVISED No (60,967) Meiotic Chromosome Synapsis and Recombination in Yeast R01GM No 789,598 56

61 Membrane Protein Structures by Solution NMR U54GM No 2,582,817 Membrane Remodeling and Protein Trafficking in Bacteria R01GM REVISED No 328,357 Metabolic Adaptability of E. Coli: Engineering Autotrophic CO2 fixation F32GM No 10,183 Methods for Analysis with Missing and/or Censored Data R01GM rev No 143,037 Microbial Community Dynamics: A Systems Biology and Evolutionary Approach F32GM No 50,220 Microbial Diversity in Mechanisms of Disulfide Bond Formation and Reduction R01GM No 709,541 Microtubule Dynamics and Mitotic Mechanism R01GM No (13,539) Microtubule Dynamics and Mitotic Mechanism R01GM No 504,796 MIDAS Center for Communicable Disease Dynamics U54GM rev No 3,885,111 Minority Physicians and Research Careers: Applying the Theory of Planned Behavior R01GM No 343,309 Mixed Hydrogen-Bonding Flavin Catalysis for Asymmetric Transformations F32GM No 46,840 Modular Enzymatic Assembly Lines for Antibiotics R01GM REVISED No 206,114 Modular Enzymatic Assembly Lines for Antibiotics R01GM REVISED No 265,154 Molecular Analysis of Metabolites and Signaling Networks in Microbial Symbioses K99GM No 85,438 Molecular Biophysics Training Grant T32GM No 619,712 Molecular Chaperones and Protein Degradation R01GM REVISED No 380,169 Molecular Genetic Analysis of Extracellular RNAs in C. elegans R01GM No 457,856 Molecular Genetics of Biofilm Formation R01GM REVISED No (4,502) Molecular Genetics of Biofilm Formation R01GM No 334,769 Molecular Genetics of the Bithorax Complex R01GM No 295,832 Molecular Mechanisms Underlying Parallel Agouti Adaptation in Peromyscus F32GM No (29) mrna Capping Enzyme R01GM No 1,298 mrna Capping Enzyme R01GM No 371,425 Multivalency: Mechanisms and Applications R01GM No 301,173 Mutant Studies of Aggression in Drosophila R01GM REVISED No 216,229 Myosin VI Steps Backwards: A Computational Study to Elucidate the Mechanism F32GM No (1,031) Network organization of the human autophagy system R01GM No 307,719 New Approaches for the Delivery of Proteins and Nucleic Acids Into Cells R01GM REVISED No 217,264 NMR and Computational Studies of Biomolecules P01GM REVISED No 1,731,675 Novel genomic effects of Y-linked polymorphisms R01GM REVISED No 379,346 Octopamine Neuroanatomy and Functioning in Fruit Fly Social Behavior F32GM No 46,441 Organogenesis of the Pharynx in C Elegans R37GM No 338,420 Organogenesis of the Pharynx in C. elegans R01GM No (95,772) Organometallic Chemistry for Applications in Biomedical Sciences R01GM REVISED No 188,107 Phages and Genomic Variation in Vibrio Cholerae Evolution R01GM S1 No 97,695 Pharmacological Sciences T32GM No 11,123 Pharmacological Sciences T32GM No 342,463 Polo-like Kinase Functions in Normal and Tumor Cells R01 GM No 5 Polynuclear iron complexes as functional mimics of the nitrogenase FeMo-cofactor R01GM No 191,359 Population mixture in evolutionary and medical genetics R01GM No 90,228 Preparation of a Solid-Phase Polyketide Synthase Mimic F32GM No 38,622 Primer Synthesis and Handoff by Bacteriophage T7 DNA Primase F32GM No 8,022 Properties of the eukaryotic replicative DNA helicase R01 GM No (1,579) Protein Transport Across Membranes R01GM No 573,979 Protein/Protein Interactions in Prokaryotic Gene Control R01GM A1 No 40,507 Protein/Protein Interactions in Prokaryotic Gene Control R01GM No 76,912 Quantitative Fluorescent Speckle Microscopy U01GM REVISED No 498,095 Quantitative methods for systems-level analyses of regulation and signaling dynamics R01GM No 353,076 Regulation of Proteasome Activity by Ubp6 and Hul R01GM S1 No 63,120 Regulation of rrna Genes by Silencing Mechanisms R01GM No 24,417 Regulation of Yeast PHO5 Gene R01GM REVISED No 163,739 Replication Initiation in Bacteria and Eukaryotes R01GM REVISED No 248,443 Reprogramming using small molecules R01GM A1 No 42,941 RNAi-Mediated Heterochromatin Assembly R01GM REVISED No 323,564 Robust Approaches to the Development and Evaluation of Prognostic Classifiers R01GM No 90,798 Role of RNA polymerase in bacterial differentiation R01GM No 319,010 57

62 Role of RNA Polymerase in Bacterial Differention R01GM REVISED No 720,794 Scope and Mechanism of Peptide Translation from Short Open Reading Frames in the Human Genome F32GM REVISED No 44,365 Signal Transduction to P70 S6 Kinase R01GM No 206,662 Signal Transduction to P70 S6 Kinase R01GM REVISED No 230,513 Signatures of Immunity on the Antigenic Diversity of Pathogens F32GM rev No 39,678 Spatiotemporal Coordination of Formin and Arp2/3 in Epithelial Cell Migration F32GM REVISED No 21,665 Statistical Models and Inference in the Single-Molecule Approach to Biology R01GM No 410,572 Stereoselective Synthesis of Ketals using Thiourea-Based Catalysts F32GM REVISED No 4,070 Stochastic Partitioning and Degradation of Macromolecules R01GM No 311,407 Structural and functional studies of urea channels R01GM REVISED No 144,027 Structural details of CcdA, a membrane transporter of thiol-reducing potential R01GM No 125,391 Structure and Function of TRPV Ion Channels R01GM No 356,539 Structure and interactions of the Voltage-Dependent Anion Channel(VDAC) R01GM No 286,631 Structure and Synthesis of DNA R01GM No 366,419 Structure, Function and Inhibition of Human O-GlcNAc Transferase R01GM A1 No 194,983 Studies on the Biological Mechanisms of Antibiotics R01GM No 508,600 Study of biological evolution of structure and function in proteins R01GM A1 No 202,259 Study of biological evolution of structure and function in proteins R01GM Revised No 92,181 Super-resolution studies of the entry and assembly mechanisms of influenza viruses R01GM REVISED No 358,083 Synaptonemal Complex Assembly and Function in Meiosis R01GM No 408,481 Synthesis and Discovery Enabled by Small Molecule-Nucleic Acid Conjugates R01GM No 73,626 Synthesis and Discovery Enabled by Small Molecule-Nucleic Acid Conjugates R01GM No 285,440 Synthesis of Bioactive Alkaloids and Peptides R01GM No 409,470 Synthesis of Polyketides and Terpenes R01GM REVISED No 232,869 Systematic analysis of proteolysis pathways for cullin targets R01GM No 340,281 Systematic Analysis of the Dub Proteome R01GM No 252,751 Systems Biology of Sporulation in Bacillus Subtilis R01GM No 83,269 Systems-Level Physiological Basis of Selection and Epistasis in Adaptation R01GM No 206,415 The Evolution of Malarial Antifolate Resistance R01GM REVISED No 107,754 The Mechanics of Actin-mediated Cell Protrusion R01GM REVISED No 212,278 The Mechanism of Pericentriolar Material Assembly During Centrosome Biogenesis R01GM A1S1 No 181,822 The population genetics of antibiotic resistance in multi-drug environments R01GM No 21,761 The population genetics of antibiotic resistance in multi-drug environments R01GM REVISED No 275,186 The RNA polymerase II transcription complex R01GM REVISED No 370,415 The Role of Peptidoglycan-binding Factors in Cytokinetic Ring Stabilization F32GM REVISED No 21,041 Thiazolyl peptide analogs that provide insight into antibiotic targeting F32GM No 49,427 Total Synthesis of Spiro-prorocentrimine F32GM No 7,934 Tracking the fate of microrna - regulated mrna F32GM No 153 Transcriptional dynamics and cellular function of p53 pulses F32GM REVISED No 50,168 Transport of gene silencing between cells during RNA interference K99GM REVISED No 12,214 Transport of Proteins In and Out of the Nucleus R37GM No 307,395 Transvection and somatic homolog pairings in Drosophila R01GM No 564,829 Ubiquitin chain editing by the mammalian proteasome R01GM No 458,981 Uncovering the mechanism of OGT substrate recognition and membrane localization F32GM REVISED No 25,116 Understanding the Evolution of Halogenation in Biological Systems F32GM No (1) Wall Teichoic Acid Biosynthesis: A New Target for Therapeutic Intervention R01GM No 168,684 Subtotal of ,062,161 58

63 A Process Model of Adolescent Risk Taking Behavior F32HD No 51,222 A Trial of Zinc and Micronutrients in Tanzanian Children R01HD No 64,558 Boston Re-entry Survey R21HD No 3,299 Bounds for Direct and Indirect Effects with Applications to Perinatal Epidemiology R03HD No 96,741 Brainstem GABAergic Neuron Development and Function F32HD No 54,021 Cadherin-independent epithelium formation R21HD No 196,341 Childhood Abuse and PTSD: Association with Select Reproductive Outcomes F31HD No 27,726 Children's Acquisition of Counterintuitive Concepts F32 HD A1 No 13,088 Cognition in Infancy R01HD No 501,261 Community Level Prevention of Child Abuse and Neglect K01HD No 130,520 Cotrimoxazole Prophylaxis to Improve Survival among HIV-Exposed Infants in Botswana R01HD No 986,932 Developmental Reprogramming after Nuclear Transfer R01HD No 373,560 Early Determinants of Childhood Obesity: Etiology, Disparities and Policy Analysis K99HD No 95,462 Exploring Trends in US Health Inequities in Context: NHES to NHANES, HD rev No 188,262 Genetic and chemical screening in zebrafish to study tendon development K99HD No 67,360 Hedgehog Signaling and Organogenesis of the Limb R37HD No 472,969 Histone Modification During Embryogenesis R21HD REVISED No 9,941 Identification and Function of Receptors and Ligands R37HD No 224,232 Lineage and cell migration in patterning the limb primordium R01HD No 639,897 Long-term Follow-Up of Infertility Patients: A Pilot Study R21HD rev No 148,069 Lopinavir/ritonavir + zidovudine to prevent perinatal HIV in Thailand R01HD rev No 485,576 Malaria in Pregnancy: Nutrition and Immunologic Effects R01HD No 716,670 Mechanical and molecular factors underlying morphogenesis of the intestinal villi F32HD No 50,532 Monitoring HAART in HIV-Infected Parents in Thailand R01HD rev No 2,075 Multi-vitamins, HAART and HIV/AIDS in Uganda R01HD No 326,116 Multicolor Fluorescent Analysis in Zebrafish R01HD No 253,319 Multiethnic Study of Family Involvement in Middle School R03HD No (237) Novel Regulators of Bone Formation R01HD No 312,830 Origins of Knowledge: Conceptual Continuity and Change R01HD No 150,416 Patterning and Morphogenesis of the Vertebrate Gut R01HD No 376,157 Patterning of Late-acting Germinal Zones in the Vertebrate CNS R01HD No 592,524 PHACS - Data and Operations Center U01HD revised No 14,087,351 Phthalates in Drugs and Male Genital Malformation R01HD No 494,829 Predoctoral Training Program in Reproductive Epidemiology, Perinatal and Pediatric Epidemiology T32HD No 174,839 Prenatal Iron Supplements: Safety and Efficacy in Tanzania U01HD No 418,492 Programmable metafluorophores for quantitative multiplex in situ imaging of mrna R21HD No 10,327 Randomized trial of vitamin B12 in pregnant Indian women R03 HD No (2,442) Regulation of Xenopus Embryonic Development by TGFbeta Superfamily Ligands and SM R01HD REVISED No 3,854 Response of Genital Tract HIV-1 to HAART: Role of HSV K23HD Rev No (2,255) School Reform and Beyond: Pre-K to 1st grade R21HD No 135,376 Standard zidovudine plus infant nevirapine to prevent perinatal HIV in Thailand R01HD revised No 827,427 The Role of Chromatin in Pluripotency and Cell Fate Specification K99HD No 74,502 Training Program in Nutrition and Metabolism T32 HD REVISED No (180) Trial of Vitamins in HIV Progression and Transmission R01 HD No 36,955 Subtotal of ,870,514 Aging Memory R37 AG REVISED No 21,701 AP1-Dependent Regulation of Bone Mass and Energy Expenditure in the Hypothalamus R01AG No 488,369 Associative learning and brain structure in individuals at risk for dementia K23AG No 138,583 Automated Acquisition of C. elegans Survival Curves with a Flatbed Scanner R03 AG No 9 Cellular and Molecular Analysis of Defects at Aging Neuromuscular Synapses R01AG No 394,332 Cognitive and fmri studies of socio-emotinoal processing in normal aging R01AG No 212,071 Comparability of self-reports on functional health R03AG No 2,305 Correcting Cognitive Deficits by Gene Therapy K01AG No 18,534 DNA Damage and Neurodegeneration in the Aging Brain P01AG No 571,745 EDD as a Target of RIP1 in Mediating a Cellular Necrotic Death Pathway F31AG REVISED No 6,910 59

64 Effects of Aging on the Neural Correlates of Successful Retrieval F32AG No 48,436 Environmental Determinants of Cognitive Function and Decline in Older Adults F31AG No 35,071 Episodic Simulation in Healthy Aging and Alzheimer's Disease F32AG No 47,556 Estimating the Potential Medicare Savings from Comparative Effectiveness R37AG A1 No 969 Evaluating the Health Benefits of Workplace Policies and Practices - Phase II U01AG rev No 1,699,650 Financial Incentives and Variations in the Care of Medicare Beneficiaries R01AG No 287,358 Functional impairment from stroke: an exploratory study of disparities R21AG rev No 129,271 Gene Regulation and DNA Damage in the Aging Brain R01AG REVISED No 107,822 Health and Retirement Survey for India R21AG rev No 43,437 Income Effects and Current Law Forecasts of Health Care Spending Growth R01AG No 377,124 Leveraging Medicare Payment and Reporting Policies to Improve Nursing Home Quality R01AG No 159,815 Longitudinal Aging Biomarker Study in India (LASI-Biomarkers) R21AG A2 No 23,570 Mechanism and Regulation of Caspase R37AG No 108,241 Medicare Part D Plan Generosity and Dual-Eligible Nursing Home Residents R01AG No 432,448 Networks and Neighborhoods P01AG No 2,016,864 Novel GABA-A Modulators as Cognitive Enhancers R01AG No 558,659 Organizational Factors and the Delivery of Nursing Home Care K01AG No 115,742 Protection against renal ischemic injury by short term dietary restriction R01AG No 324,509 Provider Payment Reform and Implications for Health Care Costs F30AG REVISED No 39,226 Public Policy and the Demand for Long-Term Care Insurance R01AG REVISED No 165,178 Racial Discrimination and Risk of Chronic Disease R01AG rev No 277,737 Reforming Medicare: Beneficiary Choice, Plan Payment, and Accountable Care K08AG No 145,696 Regulation of Cell Survival by Post-Translational Modiciation of MCL F31AG No 32,791 Regulation of mitochondrial metabolism by SIRT R01AG No 367,531 Reversing age-related dysfunction of skeletal muscle stem cells F32AG No 875 Reversing age-related dysfunction of skeletal muscle stem cells R01AG No 480,593 Role of Chromatin in Genomic Maintenance R01AG No 323,285 Roybal Center on Translational Research in Aging P30AG REVISED No 355,761 SIRT1 as a regulator of health and lifespan of mammals R01AG REVISED No 161,674 Social protection, work and family strain: cumulative disadvantage effects in the US and Europe R01AG No 172,361 Tau causes neurodegeneration in vivo through mitochondrial disruption F31AG No 3,530 The Biology of Resilience: Oxytocin, Social Relationships and Health R21AG No 36,968 The Center for the Global Demography of Aging P30AG No 295,201 The Physiologic Response to Weather Changes and Extremes in an Elderly Cohort R21AG No 116,755 The role of p97 in protein degradation during aging and disease F31AG No 12,600 The Role of Private Plans in Medicare P01AG No 2,039,051 The Role of the NALP3 Inflammasome in Age-Related Macular Degeneration F31AG No 25,542 The variability of the lifespan phenotype in C. elegans R01AG No 284,442 Training and research application for c-spine ultrasound of an aging population F30AG No 41,562 Training in the Molecular Biology of Neurodegeneration T32AG REVISED No 726,287 Ubiquitin-mediated proteolysis and cell cycle control R01AG No 522,369 Widowhood and Mortality: Modifying Role of Individual and Community Context R21AG No 147,647 Subtotal of ,145,763 Anatomical and Biochemical Organization of the Retina R01EY No 49,890 Application of formal modeling to understand limitations in visual working memory F32EY No 49,544 Cell surface molecules that require arrangement of retinal neurons and arbors R01EY No 136,625 Cell-Cell Signaling in Development and Regeneration of Visual Connections R01EY A1 No 42,475 Cell-Cell Signaling in Visual Development R01EY REVISED No 17,682 Connexin Molecular Biology in the Lens and Ciliary Epithelium R01EY REVISED No 246,901 Connexins and Electrical Synapses in the Retina R01EY A1 No 320,093 Core Grant for Vision Research P30EY No 843,421 Cortico-Cortical Feedback R01EY No 367,502 Defining the neural correlates of ensemble representation F32EY No 20,506 Determination of Retinal Cell Fate R01EY REVISED No 197,726 Dynamic Regulation of Feedforward Inhibition in the Visual Thalamus F32EY No 55,605 Functional connectivity of mouse visual cortex R01EY No 403,244 Internal Signals in the Parietal Visual Pathway R01EY No 274,615 Molecular Biology of Retinal Development R01EY REVISED No 529,294 60

65 Neural Computation from Retina to Visual Cortex R01EY No 301,910 Neuronal ensembles in the rodent visual cortex R01EY No 299,876 Neuronal ensembles in the rodent visual cortex R01EY REVISED No 130,388 Neuronal Measures of the State of Visual Attention R01EY No 399,297 Predictive Representation of Motion in Visual Cortex R01 EY No (12,390) Processing Streams in Early Vision R01EY REVISED No 159,023 Research Training Visual Neuroscience T32EY No 181,469 Reverse Correlation Mapping in Face Patches R01EY S1 No 502,936 Reverse Correlation Mapping in Face Patches R01EY REVISED No 36,759 Structure and Function of Lens Membrane Proteins R01EY REVISED No 245,059 Transgenic Studies of Vertebrate Retinal Development R01EY REVISED No (72) Using Attention to Understand Cortical Population Codes K99EY REVISED No 23,766 Visual Processing in the Cerebral Cortex R01EY No 169,334 Visual Psychophysics of Human Face Processing R01EY No 332,612 Subtotal of ,325,090 Boston-Area Research Training Program in Biomedical Informatics T15LM REVISED No 1,608,011 Evolving Clinical Information Libraries: Contextualizing Evidence Based Medicine G08LM REVISED No 104,224 Repurposing Electronic Health Data for Serendipitous Therapy Discovery K99LM No 95,959 Subtotal of ,808,194 Building Research Capacity to Improve Mental Health in China across the Lifespan D43TW REVISED No 149,183 Fostering Opportunities for Nutrition and Global Health R25TW No 112,930 Genetic Polymorphism and Diversity of Plasmodium Vivax Malaria R03TW rev No 10,668 International Training in AIDS-Related Epidemiology D43TW No 728,869 Molecular Analysis of Erthrocyte Invasion in Malaria Isolates from Senegal R03TW rev No 6,533 Substituting Brown Rice for White Rice: Effect on Diabetes Risk Factors in India R03TW No 72,886 Tanzania AIDS and TB ICOHRTA U2RTW No 241,786 Tanzania Infectious Disease Research Training Program D43TW S1 No 207,393 The economic impacts of community-based integrated health care systems in rural Rwanda K01TW No 206,057 Training in Malaria Pathogenesis and Diversity in Africa D43 TW rev No 63,286 Training Program in International Mental Health D43TW REVISED No 78,993 Subtotal of ,878,584 Maternal and Infant Health and HAART Outcomes in the Mashi PMTCT Study, Botswana 93.unknown 2R01HD rev No 232,255 Subtotal of 93.unknown 93.unknown No 232,255 Diabetes Risk Across Womens Lifespan: A Study of Long-Term Health Implications of Glucose Intolerance in Pregnancy Contract HHSN C No 1,703,127 Innovative Methods for Evidence Synthesis for Medical Devices Contract HHSF C No 218,468 Mongolian Study of Pregnant Mothers Contract HHSN No 48,653 Refactoring the ITK Level Set and Mesh Frameworks to Enable the High Performance Demands of Imaging Based Systems Biology Contract HHSN P Yes 63,577 Subtotal of Contract 2,033,825 Total Department of Health and Human Services Direct Awards 412,992,921 EPA Are diabetics and the neurologically impaired at increased risk from air pollutant exposures - A National analysis 66.unknown RD No 82,894 Statistical Models for Estimating the Health Impact of Air Quality Regulations 66.unknown RD No 14,389 The SolSource 3-in-1: A comprehensive Platform for Rural Energy Optimization in the Himalaya 66.unknown SU No 54,216 Subtotal of 66.unknown 66.unknown 151,499 Air Pollution Mixtures: Health Effects Across Life Stages RD No 1,556,140 Effects of Changing Climate on Fires and Air Quality RD No 217,590 Metal Mixtures and Children's Health RD No (384) Novel Exposure Scenarios to Define the Health Effects of Particle Sources RD No 115,129 Predicting Regional Allergy Hotspots in Future Climate Scenarios RD No 189,602 The effect of air pollution control on life expectancy in the United States: national population-based analysis No 74,291 Uncertainty Analysis in Integrated Assessments RD No 40,661 Subtotal of ,193,029 61

66 Constraints on California and Arctic Methane Emissions using a Regional Lagrangian Model and Aircraft-based Measurements during the CalNex and HIPPO Campaigns No Award Number No 6,931 Subtotal of ,931 Analysis and Reports of CATHGEN Database Contract EP-12-D No 30,262 Global Mercury Emissions and U.S. Population Exposures Contract EP-11-H No 88,383 Subtotal of Contract Contract 118,645 Total EPA Direct Awards 2,470,104 Institute of Museum and Library Services Peabody Museum Archaeological Collections Digital Imaging and Cataloguing Project MA No 75,536 Subtotal of ,536 Total Institute of Museum and Library Services Direct Award 75,536 NASA A Tropospheric Chemistry Module for Earth System Models and Data Assimilation Systems: Application to Chemical Data Assimilation of Satellite Observations in the GEOS DAS 43.unknown NNX11AN17G No 130,408 ATTREX: A Venture Class Mission to Understand the Role of the Tropical Tropopause Layer in Earth's Climate 43.unknown NNX10AO82A No 276,326 Budgets for Carbon Cycle Gases (CO2, CH4, and CO) in the Amazon Basin from Aircraft and Remote Sensing Data 43.unknown NNX10AR75G No 138,996 Catastrophic Disruption of Small Bodies in the Outer Solar System 43.unknown NNX09AP27G No 59,090 CO2 Laser Sounder for ASCENDS Mission Technology Development and Airborne Demonstration 43.unknown NNX09AE56G No 30,029 Dark Matter and Galactic Paleontology 43.unknown HST-HF A No 103,818 Data-model fusion and forecasting 21st-Century environmental change in northeastern North America 43.unknown NNX10AT52A No 117,508 Dynamic Studies of Exoplanet Atmospheres: From Global Properties to Local 43.unknown No 175,339 Experimental Investigatio of Planetary Impact Processes: Porosity and Post-Shock Temperatures 43.unknown NNX06AC13G No (2,339) Experimental investigation of isoprene oxidation for different limiting chemical regimes: updating the oxidation mechanism No to evaluate and improve satellite retrievals of formaldehyde and glyoxal 43.unknown NNX11AL51H No 24,145 Exploring the ISM with MAP: the microwave emission from spinning dust (LTSA Junior Researcher) 43.unknown NNX07AH86G No (28) In Situ Total Water Measurements Using Photofragment Fluorescence and UV Absorption Detection in Support of MACPEX 43.unknown NNX10AO28G No 604 In Situ Water Vapor Measurements Using Photofragment Fluorescence, Multipass Laser IR and UV Absorption Detection in Support of MACPEX 43.unknown NNX10AO36G No (985) Interaction between Convection, Disturbance and Deforestation in the Amazon: A Remote Sensing and Modeling Study 43.unknown NNX08AU95H No 19,098 Isotopic Studies of the Formation of Planets and Planetesimals 43.unknown NNX10AI43G No (850) Measurement requirements for geostationary satellite instruments to observe 43.unknown NNX10AN74H No 24,349 Quantifying Methane Sources in the United States Using Satellite and Aircraft Observations 43.unknown NNX10AP13H No 24,415 Quantifying the Chemistry-Climate Impact of Lightning NOx Emissions as Constrained from Satellite Observations and Inverse Modeling Techniques 43.unknown NNX09AO23H No 6,620 Radiative Transfer in CO-2 Rich Paleoatmospheres and the Early Climates of Earth and Mars 43.unknown NNX09AQ98 No 4,573 The Atmospheric Structure of Giant Hot Exoplanets 43.unknown HST-GO A No 42,051 The First Characterization of a Super-Earth Atmosphere 43.unknown HST-GO A No 36,183 The Herschel view on supergiant High Mass X-ray Binaries: revealing the most obscured high-energy sources of our Galaxy 43.unknown No 24,425 The Ultraviolet and Optical Counterparts of the Intermediate Mass Black Hole Candidate ESO HLX-1 43.unknown HST-GO A No 30,984 Understanding the co-evolution of galaxies and their central black holes 43.unknown HST-HF A No 101,445 Understanding the IGM Absorbers with Numerical simulations of the WHIM 43.unknown HST-AR A No 4,195 Subtotal of 43.unknown 43.unknown 1,370,399 A higher resolution Galactic dust map: Mapping Galactic dust with the Wide field infrared Survey Explorer (WISE) NNX12AE08G No 19,233 A Model Analysis of NOx Sources and Tropospheric Ozone in the Northern Extratropics Constrained by Aura and In-Situ Data NNX09AC51G No 137,278 A New Analysis Method of Fermi Data, and Study Sub-Photospheric Dissipation NNX11AP98G No 64,215 A New Galactic Dust Map: Improving the Calibration, Dust Temperature Correction, and Point Source Subtraction of the SFD Dust Map for Cosmological Applications NNX10AD69G No 77,831 A Renaissance of GRB Radio Studies with the Expanded VLA NNX12AD69G No 9,626 A Search for Water on A Neptune-Mass Transiting Planet No 2,318 Activities in Support of CLAREEO Post-MCR: Radio Occultation Science and Testing Climate Models NNX11AD01G No (7,576) Advising GNSS Radio Occultation and Climate Modeling Studies for the CLARREO Science Definition Team NNX11AE74G No 322,824 Air Quality Applied Sciences Team Membership NNX11AI40G No 165,725 High Resolution Meteorological and Remote Sensing Data NNX08AV12H No 4,122 Analysis of Aura satellite data for the tropics using the GEOS-Chem model NNX10AG59G No 204,479 Analysis of OMI observations to constrain the budget of tropospheric ozone and VOC emissions NNXllAH23G No 163,890 Application of the Global Modeling Initiative (GMI) Combo Model to Hindcasts of Tropospheric Ozone and Related Species NNX09AJ41G No 254,506 ARCTAS Mission Support and Data Analysis NNX08AH66G No 131,538 Astro-comb Optical Wavelength Calibrator for Exoplanet Research NNX09AC92G No 89,471 Astrophysical Consequences of a New Force in the Dark Sector NNX10AD85G No 77,724 BrO/ ClO/ ClONO2/ ClOOCl Instrument in Support of In Situ Studies of Ozone Catalytic Loss in the Stratosphere NNX09AG84G No 424,572 62

67 Combined In Situ Water Vapor and Total Water Instrument for high Accuracy in situ Airbourne Observations in the Troposphere and Stratosphere NNX09AF39G No 759,565 Cosmological Hydrodynamics on a Moving Mesh NNX12AC67G No 50,828 Data Assimilation, Validation and Analysis of Aura Observations to Improve Understanding of Tropospheric Ozone NNX08AN70G No 19,478 Detector-Telescope Development for ProtoEXIST: 2nd and 3rd Generation NNX09AD76G No 58,303 Direct Laboratory Determination of the Product of the C1 Atom Quantum Yield and Photolysis Cross Section of C1OOC NNX09AE29G No 103,220 Direct Study of the Atmospheres of Exoplanets Detected by NASA Kepler Mission NNX09AB53G No 74,856 Exploring Cryogenian biological and environmental change in Mongolia NNX12AD72G No 10,675 Fermi Bubbles: Improved Spectral and Morphological Measurements NNX11AP92G No 61,098 Giant impacts on terrestrial planets: a high-resolution 3D study of magma ocean formation and atmospheric blowoff NNX11AK93G No 59,949 High accuracy measurements of CO2, CH4, N2O, and CO from suborbital platforms NNX09AJ94G No 158,849 High Power Mid-IR Laser Development 2.8 to 3.5 Microns NNX12AB13G No 216,944 Improved Quantification of Regional Carbon Budgets Using High Density CO2 and CO Data from Satellite and Aircraft NNX08AC26G No 50,025 In Situ Measurement of HOx (OH and HO2) Radicals and Total H2O Isotopes (HDO and H2O) in the Troposphere, Tropical Tropopause Layer (TTL), and Lower Stratosphere NNX09AJ27G No 422,681 Integrated Cavity Output Spectroscopy (ICOS): A Key Approach to HDO, H218O, and H2O Observations NNX09AJ90G No 467,529 Isotopic Studies of Solar System Origins NNX11AK82G No 85,031 Life in Extreme Environments: Deep Sampling of Microbial Diversity NNX09AM11H S01 No 27,250 Management of the GEOS-Chem Chemical Transport Model and Application to Improve Understanding of Tropospheric Ozone NNX11AH93G No 62,430 Masses of Terrestrial Planets Discovered by the Kepler Mission NNX09AJ50A No 33,064 Mobilization of water during planetary collisions: Schock thermodynamics experiments on icy mixtures and hydrated minerals NNX11AQ24G No 77,527 Neoproterozoic Evolution and Environmental Change: Integrated Experimental and Geological Approaches NNX07AV51G No 54,261 Numerical Simulations of Accretion Flows, Jets and Winds Around Black Holes NNX11AE16G No 198,698 Physics of Colloids in Space NNX08AE09G No 112,060 ProtoEXIST2-3 Development and Balloon Flight Demonstration NNX11AF35G No 587,478 Providing Advice on Issues of Infrared SI Traceability to the Science Definition Team for the CLARREO Mission NNX11AF94G No 94,653 Rapid Optical And Near-Infrared Spectroscopy of Swift GRBS: Cosmic Reionization, Metal Enrichment, And High-Z Hosts NNX12AE68G No 9,780 Rapid Spectroscopy of Swift GRBs: Metal Enrichment, Cosmic Re-ionization, and Short Bursts NNX10AI24G No 2,188 Redox Evolution of the Terrestrial and Martian Surfaces NNX11AP89H No 20,000 Regolith X-ray Imaging Spectrometer (REXIS) NNX12AG65G No 21,831 Revealing The Outer Solar System Using Occultations Of Stars NNX10AH40G No 76,861 SEAC4RS mission support using the nested GEOS-Chem chemical transport model NNX12AC05G No 28,761 Source attribution, emission monitoring and treaty verification by combining remote sensing and suborbital data NNX11AG47G No 245,634 Spatial and Temporal Distributions of Sources for non-co2 Greenhouse Gases (CH4, CO, N2O) and aerosols over Amazonia NNX09AU40G No 205,443 Spatial and Temporal Distributions of Sources for non-co2 Greenhouse Gases (CH4, CO, N2O) over North America NNX08AR47G No (1) Testing the Borealis Impact Hypothesis: An investigation of mantle and crustal signatures from a giant impact NNX11AE96G No 69,428 The ADS All Sky Survey NNX12AE11G No 55,936 Understanding the Stormy Life of our Galactic Center NNX08AX04H No 2,389 Using Thermal Emission to Study Properties of GRB Prompt Emission NNX11AK98G No 26,704 Validating Kepler's Habitable-Zone Super-Earths with the Spitzer Space Telescope NNX12AC77G No 60,623 Wavelength-Dependent Complex Indices of Refraction of Different Types of Secondary Organic Materials NNX12AG95G No 4,257 Subtotal of ,818,062 Metallic Hydrogen: A Game Changing Rocket Propellant NNX11AR38G No 8,084 Subtotal of ,084 CLARREO Infrared Instrument Integrated Product Team Support Contract NNL10AC84T No 22,725 NASA Algorythm Institute Contract NNH10CD71C No 815,169 Subtotal of Contract Contract 837,894 Total NASA Direct Awards 9,034,439 63

68 National Endowment for the Arts Causation Links Influencing Birth and Mortality rates of Arts and Cultural Institutions No 2,910 Subtotal of ,910 Total National Endowment for the Arts Direct Award 2,910 National Endowment for the Humanities Interpreting the Colonial Experience at Magdalena de Cao Viejo, Chicama Valley, Peru, RZ No 23,429 Subtotal of ,429 Total National Endowment for the Humanities Direct Awards 23,429 National Science Foundation Progenitors to Probes: New Insights on Gamma-Ray Bursts with the EVLA 47.unknown SOSPI2A-003 No 12,595 Subtotal of 47.unknown 47.unknown 12,595 CAREER: Bio-inspired Automatic Control of a Flying Robotic Insect CMMI No 14,466 CAREER: BuckliOrigami: Soft, Active and Foldable Structures Through Instabilities and Large Deformation CMMI No 1,087 CAREER: High-Speed 3D Imaging of Colloidal Self-Assembly with Digital Holographic Microscopy CBET No 75,432 CAREER: Nanoscale Opto-Mechanical Systems ECCS No 88,964 CAREER: Near-Field Optical Forces ECCS No 108,482 Collaborative Research: Planning Grant: I/UCRC Spatiotemporal Thinking and Computing IIP No 2,537 COLLABORATIVE RESEARCH: Nanobeam Lasers ECCS No 177,717 Collaborative Research: Nanostructure Growth Process Modelling and Optimal Experimental Strategies for Repeatable Fabrication of Nanostructures for Application in Photovoltaics CMMI No 66,084 Developing Computational Models to Guide the Design of Chemomechanically Responsive, Reconfigurable Surfaces No 61,677 Femtosecond Laser Doping of Silicon: a Novel Fabrication Method for Photovoltaics CBET No 20,564 Large deformation and instability in soft active materials CMMI No 58 Novel Ti02-based microphotonic devices ECCS No 103,388 Solar Cells From Earth-Abundant Materials CBET No 229,246 Stress and Deformation caused by Insertion in Li Ion Batteries CMMI No 191,646 TiO2 ultrafast all-optical devices ECCS No 28,803 Using two-photon polymerization for the fabrication of 3D matrices for cell migration studies CBET No 169,647 Subtotal of ,339,798 Collaborative Research: A field-experimental test for evolutionary trait-mediated indirect effects in food webs DEB No 23,758 Subtotal of , Waterman Award AST No 348,783 A biophysical analysis of C. elegans thermotactic behavior in diverse environments PHY No 140,625 A New MCMC Framework with Applications to Protein Bioinformatics DMS No 161,853 Algebraic Geometric Approaches to Biological Complexity DMS No 362,583 An experimental study of the work hardening behavior of metallic thin films DMR No 86,493 Arithmetic Gross-Prasad conjecture for unitary Shimura varieties DMS No 30,919 Bayesian Partition Models for Detecting Influential and Interactive Variables DMS No 18,138 Biomimetic Chemistry of Molybdenum and Tungsten: Analogue Reaction Systems of Oxotransferases and Hydroxylases CHE No 112,644 CAREER: Bimetallic Pd and Ag Catalysts for Electrophilic Trifluoromethylation CHE No 80,377 CAREER: Dynamics of neural circuits governing locomotory decisions in C. elegans PHY No 165,704 CAREER: Fluctuations and fitness- fundamental limits and selection conflicts DMS No 85,811 CAREER: Iron mediated catalytic C-H bond functionalization CHE No 81,279 CAREER: Molecular Diversity in Drug Delivery Design: An Intergrated Approach to Research and Education DMR No 172,269 CAREER: Spin Resolved Imaging of Correlated Electron Systems Including Cuprates and Pnictides DMR No 142,159 CAREER: Structure-Property Relation Studies in Functional Metal-Oxide Thin Films Photon Effects DMR No 125,397 Causal Inference From Two-Level Factorial Designs DMS No 40,579 CDI Type II: Scientific Computation for Astronomy Neurobiology and Chemistry using Graphics Processing Units and Solid-State Storage PHY No 508,055 Classical and Quantum Geometric Langlands Correspondence DMS No 86,162 64

69 CMG Collaborative Research: Statistical Evaluation of Model-Based Uncertainties Leading to Improved Climate Change Projections at Regional to Local Scales DMS No 18,756 CMP: Charge Fractionalization and Spin Charge Separation in One Dimensional Conductors DMR No 83 Collaborative Proposal: Statistical Methods for Analyzing Complexity and Growth of Large Biological and Information Networks DMS No 19,135 Collaborative Research: Carbon-Based Long-Coherence Quantum Bit PHY No 34,167 Collaborative Research: Development of a Green-Orange Astro-comb for Exoplanet and Cosmology Research AST No 106,286 Collaborative Research: Homotopy Theory: Applications and New Dimensions DMS No 156,057 Collaborative Research: Large-Aperture Experiment to Detect the Dark Age (LEDA) AST No 4,312 Collaborative Research: Models for Network Evolution: A Study of Growth and Structure in the Wikipedia DMS No 2,653 Collaborative Research: Optical Confirmation, Redshifts, and Richness for Galaxy Clusters Discovered with the South Pole Telescope AST No 240,904 Complex Dynamics and Moduli Spaces DMS No 198,762 Complex Manifold Theory and Kaehler Geometry DMS No 82,383 Differential Equations in Geometry DMS No 151,704 Double Loop Groups and Algebras, Central extensions and their Representations DMS No 41,352 Electron Magnetic Moment, Fine Structure Constant, Mass Ratios, Laser Spectroscopy and QED PHY No 8,209 Electron Magnetic Moment, Fine Structure Constant, Mass Ratios, Laser Spectroscopy and QED PHY No 233,414 FRG: Collaborative Research: High-Dimensional Statistical Inference: Theory, Methodology, and Applications DMS No 60,407 FRG: Collaborative Research: How the Algebraic Topology of Closed Manifold Relates to Strings and 2D Quantum Field Theory DMS No 13,141 FRG: Collaborative Research: Overcomplete Representations with Incomplete Data: Thoery, Algorithms, and Signal Processing Applications DMS No (33,841) FRG: Collaborative Research: Periods of automorphic forms and applications to L-functions DMS No 1,200 FRG: Collaborative Research: Quantum Spin Systems. Theory and Applications in Quantum Computation DMS No 91,881 Galois Representations and Modular Forms DMS No 32,308 Galois Representations and Modular Forms DMS No 108,859 Gamma-ray BursGamma-ray Bursts: From Progenitors to Probes AST No 170,549 Gauge Theory and Geometry in Dimensions Three and Four DMS No 182,904 Geometry of Linear Systems on Curves: Birational Geometry of Moduli Spaces DMS No 106,416 Geometry of Strings and Gravity PHY No 107,878 High-Fidelity, Long-Term Coherent Memory with Bose-Einstein Condensates for Implementation of Quantum Repeater Architectures PHY No 107,076 Hydration Induced Changes in the Structure and Dynamics of Biomolecular Conformations CHE No 111,970 Hydrogen at Ultra-High Pressure DMR No 59,380 Imaging Electron States in Nanostructures DMR No 60,888 Institute for Theoretical, Atomic, Molecular, and Optical Physics PHY No 480,101 Interactions of Particles, Fields and Strings PHY No 306,189 Interactions of Particles, Fields and Strings PHY No 27,078 Investigating Dark Energy and Neutrino Mass with Pan-STARS and LSST- Institutional Allowance AST No 7,453 IPA Agreement DEB No 140,210 Many-Body Quantum Dynamics and Quantum Disorder Systems DMS No 106,614 Many-body System DMS No 33,129 Material Worlds Network: Control of the Electron Nuclear Interaction in Nano-Electronic Devices DMR No 252,206 Materials Research Science and Engineering Center DMR No (22,374) Materials Research Science and Engineering Center DMR No 1,916,649 Materials World Network for the Rapid Discovery of Low Thermal Conductivity Ceramics by Integrated Simulation DMR No 21,181 Materials World Network to Optimize the Growth of InGaN Quantum Dots within High Quality Optical Micro-Cavities DMR No 268,422 Mathematical Sciences Postdoctoral Research Fellowship DMS No 1,757 Mathematical Sciences Postdoctoral Research Fellowship DMS No 2,712 Mathematical Sciences Postdoctoral Research Fellowship DMS No 2,500 Measuring Black Hole Spin: Physics of the Inner Region of an Accretion Disk AST No 6,730 MPS: Particle Physics and Cosmology in the Experimental Age PHY No 181,197 Nanoscale Studies of Topological Insulators DMR No 116,504 New Reactions and Strategies in Synthesis CHE No (4,109) New Reactions and Strategies in Synthesis CHE No 52,418 Novel Methods for High Resolution NMR Spectroscopy in Inhomogeneous Fields CHE No 52,445 Novel Phases of Quantum Matter DMR No 99,187 Novel routes for nitrogen functionalization of organics with metallic Ag, Au and Cu: Fundamental principles on a molecular level CHE No 138,872 Number Theory and Geometry DMS No 45,727 Number Theory and Geometry DMS No 51,663 Number Theory and Related Fields DMS No 62,110 Optical Information Processing with Ultraslow Light in Bose-Einstein Condensates PHY No (2,978) p-adic Hodge Theory and Applications DMS No 81,589 Physics with New Atomic Systems: Quantum Interactions, Cooling and Applications PHY No (116,279) 65

70 Physics with New Atomic Systems: Quantum Interactions, Cooling and Applications PHY No 303,010 Post-Doctoral Research Fellowship DMS No 2,337 Quantum Optical Physics with Nanaophotonics Systems PHY No 509,047 Quantum Optical Techniques for Solid-state Quantum Information Processing PHY No 82,404 Quantum Phase Transitions of Correlated Electrons and Atoms DMR No 39,649 Representations of Affine Kac-Moody Algebras and Representations of Groups Over a 2-dimensional Local Field DMS No 131 Research and Education in Physical Mathematics DMS No (9) REU Site: Biomaterials Research Initiative Dedicated to Gateway Experiences (BRIDGE) DMR No 146,832 Science of Nanoscale Systems and their Device Applications PHY No (111) Science of Nanoscale Systems and their Device Applications PHY No 714,330 SOLAR Optical Hyperdoping: Transforming Semiconductor Band Structure for Solar Energy Harvesting DMR No 606,747 Statistical Inference for Stochastic Processes, Analysis of MCMC Algorithms and Applications to Climate Science DMS No 46,435 Strongly Correlated Quantum Gas with Single Site Addressability PHY No 182,908 Strongly Correlated Quantum Systems: From Electronic Materials to Cold Atoms to Photons DMR No 131,296 Studies in Representation Theory DMS No 71,730 Supernovae and Supernova Cosmology AST No 278,634 Synthesis and Properties of Deformable Biomaterials and Soft Matter Systems DMR No 166,640 Testing Accretion Physics and Strong-Field Gravity by Imaging Accreting Black Holes AST No 181,304 The MEarth Project: A Transit Search for Rocky Planets in the Habitable Zone of Low Mass Stars AST No 166,972 The Natal Environments of Dense Cores: Constraints on Dense Core Evolution AST No 211,004 The Origin and Properties of Magnetic Dynamos Across the Sub-Stellar Boundary AST No 196,853 The Production and Study of Cold Antihydrogen PHY No 456,494 Theoretical Problems in Condensed Matter and Statistical Physics DMR No 93,714 Theoretical Problems in Soft Matter and Biological Materials DMR No 11,819 Theoretical Problems in Soft Matter and Quantitative Biology DMR No 158,165 Understanding Supernovae for Cosmology and for Themselves AST No (35) Unraveling Reactions Mechanisms on Au-titania Nanostructures: Probing Interface Effects CHE No 162,658 Visualizing flagella while tracking bacteria PHY No 33,721 Catalytic Chemistry Workshop: Defining Critical Directions for the Future CHE No 50,098 CDI Type II: Collaborative Research: Bibliographic Knowledge Network DMS No (504) Current Developments in Mathematics Conference DMS No 4,590 Mathematical Science Postdoctoral Research Fellowship (MSPRF) DMS No 3,333 MRI: Acquisition of a 3D Tomographic Atom-Probe Microscope DMR No 210,000 Subtotal of ,760,122 A Test for the Younger Dryas Impact Hypothesis AGS No 6,876 Advances in Seismology and Implications for Interdisciplinary Research Adam M. Dziewonski Symposium EAR No 28,935 Ca Isotope Variations in Oceanic Basalts EAR No 85,728 CAREER: Career Development in the Emerging Field of Geomycology: Research and Education in Metal Biomineralization by Fungi EAR No 83,003 Collaborative Proposal: Testing Climate Models by Feedback Analysis Using AIRS and GPS Radio Occulation Data ATM No 105,335 Collaborative Research: Biological controls on reactive oxygen species in the oligotrophic ocean OCE No 4,544 Collaborative Research: The ENSO-Mediterranean Teleconnection: Observations ATM No 20,183 Collaborative Research: Beyond the Instrumental Record: The Ocean Circulation at the Last Glacial Maximum and the Deglacial Sequence OCE No 5,806 Collaborative Research: Biological Production Production of Reactive Oxygen Species in Freshwaters EAR No 63,646 Collaborative Research: Characterization of Microbial Transformations in Basement Fluids, from Genes to Geochemical Cycling OCE No 118,241 Collaborative Research: Climatic and Biotic Transformations of Neogene Mammalian Faunas of Pakistan EAR No 32,299 Collaborative Research: Combined Seismological and Geodetic Constraints on 3-D Mantle Structure EAR No 116,529 Collaborative Research: Constraining Arc Processes through Comprehensive Geochemical Study of the Chilean Southern Volcanic Zone EAR No 77,011 Collaborative Research: Determination of HONO and NO2 flux and concentration over forest canopies using quantum cascade laser absorption spectroscopy ATM No 13,826 Collaborative Research: Do symmetric and asymmetric segments on the Mid-Atlantic Ridge have distinct geochemical signatures OCE No 201,047 Collaborative Research: Global 3-D Modeling of Atmospheric Mercury and its Coupling to the Ocean and Land: Impacts of Past and Future Anthropogenic Emissions AGS No 146,061 Collaborative Research: HIAPER Pole-to-Pole Observations (HIPPO) of Carbon Cycle and Greenhouse Gases AGS No 315,210 Collaborative Research: Improving Estimated Fluxes of Greenhouse Gases over North America Using a Receptor-Oriented Modeling Framework and In-situ Atmospheric Measurements ASG No 89,335 Collaborative Research: Interwoven biogeochemical cycles and biological transformations of mercury and selenium in the upper ocean No 48,223 66

71 Collaborative Research: P2C2--ICE age Chemistry And Proxies (ICECAP) Phase AGS No 44,598 Collaborative Research: Processes and Patterns in Back Arc Basin Hydrothermal Vent Communities OCE No 9,859 Collaborative Research: Seeing the forest with the leaves: inferring plant habit and ecophysiology from leaf fossils EAR No 3,031 Collaborative Research: Spatial and Temporal Evolution of an Active Blind-Thrust Fault from Inception to the Most Recent Earthquake EAR No 2,867 Collaborative Research: Stratosphere-Troposphere Analyses of Regional Transport (START) Experiment (2008) ATM No (3,622) Collaborative Research: The Physics and Statistics of Global Sea Level Change OCE No 58,951 Collaborative Research: Understanding MJO initiation with DYNAMO observations and a hierachy of models AGS No 138,365 Collaborative Research: Westerly wind burst modulation by the SST: from understanding to ENSO prediction AGS No 41,669 Comparative Studies of Circum-Arctic Neoproterozoic-Paleozoic Terranes EAR No 86,291 Coral-based reconstruction of dust emission and precipitation patterns from the Sahara-Sahel region OCE No 27,936 Development and Deployment of a Modular, Autonomous In Situ Underwater Stable Isotope Analyzer OCE No 114,566 Hopanoid Physiology: Implications for Microbial Life on the Early Earth EAR No 226,544 Hygroscopic Phase Transitions of Atmospheric Particles AGS No 229,106 Magnesium Isotope Geochemistry of Carbonate Sediments OCE No 90,107 Microbial Genome Sequencing: Comparative Genomics of Chemosynthetic Symbionts EF No 1,676 New Methods in Storm Track Dynamics Theory AGS No 77,491 Pure standards of archael and bacterial GDGTs for the oceanographic community OCE No 224,817 Rupture Propagation and Arrest in Geometrically Complex Fault Systems: Bends, Stepovers, and Damaged Border Zones EAR No 121,910 Selected Studies of the Atmosphere with an Emphasis on Air Quality in China and on Prospects for Wind and Solar Energy as Potential Future Substitutes for Fossil Fuel AGS No 95,244 Studies of Mantle Flow and Evolution EAR No 73,007 Testing the Significance of Melt Inclusions for Ocean Ridge Petrogenesis OCE No 52,150 The acquisition of a specialized sulfur isotope mass-spectrometer, construction of a custom designed, semi-automated sample preparation-fluorination system and support for early career investigators EAR No 73,799 Subtotal of ,352,200 AF: Medium: New Directions in Computational Complexity CCF No 74,811 AF: Small: The Theory and Practice of Hash-Based Algorithms and Data CCF No 71,679 AF:Small:Computational Entropy CCF No 117,744 Career: CodeBlue: A Wireless Sensor Network Infrastructure for Medical Applications CNS No 2,711 Career: Foundations for Ubiquitous Image-Based Appearance Capture IIS No 146,325 Career: Foundations of Markets as Information Aggregation Mechanisms CCF No 82,847 Career: Practical, expressive, language-based information security CCF No 30,317 Career: Programming Nucleic Acids Self-Assembly CCF No 80,150 Career: Quantifying diffusion and dynamics on healthcare, innovation and communication networks IIS No 25,000 Career: Self-Organizing Systems: Engineering and Understanding Robust Collective Behavior CCF No 143,421 CGV: Large: Collaborative Research: Analyzing images through time IIS No 49,713 CGV:Small:Collaborative Research:From Virtual to Real IIS No 26,434 Collaborative Research -- CSR-EHS: Integrated Power Delivery - Hardware - Software Techniques to Eliminate Off-Chip Regulation -- Embedded Systems CNS No 266,827 Collaborative Research: CRI: Large-Scale Open Sensor Network Testbed for Urban Monitoring CNS No 8,262 Collaborative Research: II-New: Prototyping Platform to Enable Power-Centric Multicore Research CNS No 2,149 Collaborative Research: Scalable Data Management Using Metadata and Provenance CCF No 97,634 Collaborative Research: SEI: Discovering Unexpected Planets and Other Astronomical Oddities IIS No 1,118 Collaborative Research: Technological and Educational Foundations for Understanding and Improving Large-classroom Learning IIS No 143,541 CRI: CRD: Public Web-based Photo-Collections as a Research Testbed CNS No 223,819 CT-ISG: The Assumptions for Cryptography CNS No 8,061 DIP: Collaborative Research: Social Robots as Mechanism for Language Instruction, Interaction, and Evaluation in Pre-School Children IIS No 44,902 EMT/BSSE Programmable Self-Adaptation: A Bio-inspired Approach to Multi-agent Robotic Systems CCF No 25,078 Flexible voltage stacking for chip multiprocessors CCF No 4,647 HCC: Collaborative Research: Information Exchange and Social Factors in Human-Computer-Teamwork Decision Making IIS No 30,685 HCC: Small: Incentive-Compatible Machine Learning CCF No 95,008 HCC:Large:Collaborative Research: Beyond Flat Images: Acquiring, Processing, and Fabricating Visually Rich Material Appearance IIS No 111,472 ICES: Small: Heuristic Mechanism Design CCF No 56,987 III:Small:Representation, modeling and inference for large biological and information networks IIS No 197,399 ITR- (EVS+NHS) - (dmc+int) : Knowledge Infusion CCF No 78,107 NeTS-FIND: A Network-Wide Hashing Infrastructure for Monitoring and Measurement CNS No 75,176 NSF CCF-CPA: Reliability in the Face of Variability under Nanoscale Technology Scaling CCF No 72,273 RI-Small: Autonomous Microrobotic Swarms IIS No 62,100 RI: Medium: Collaborative Research: Unlocking Biologically-Inspired Computer Vision: A High-Throughput Approach IIS No 222,956 RI: Toward Shape from Specular Reflections Under Real-World Illumination IIS No 46,448 Towards a Basic Understanding of Channels with Synchronizations Errors CCF No (4) Subtotal of ,725,797 67

72 A Novel Rodent Model for the Neurophysiology of Visual Object Recognition IOS No (1,226) ABI Innovation: Building and sharing molecular visualizations with Molecular ViewBook DBI No 321,192 Biogeographic and ecological diversification of trees across the Indonesian archipelago: developing indigenous leadership in biodiversity informatics DEB No 28,528 Bioluminescence: Molecular Mechanisms and Biochemical Control MCB No (6) Career: Scalable Computational Models for Mulicellular Systems Biology DBI No 210,225 Centriole Inheritance During Sexual Reproduction MCB No 178,243 Collaborative Proposal: Instrumental Development of Microfluidics-based Fluorescence Acrivated Cell Sorting Device for Research and Education DBI No (16,437) Collaborative Research (MIP): Microbial Interactions at Cold Seeps: Characterizing C2-C4 anaerobic hydrocarbon degradation and its influence on AMO and sulfate reduction MCB No 15,307 Collaborative Research and NEON: PalEON - A PaleoEcological Observatory Network to Assess Terrestrial Ecosystem Models EF No 13,901 Collaborative Research, LiT, MSB: The Changing Diversity and the Evolution of Decomposer Fungi in Response to Soil Warming and Nitrogen Additions DEB No 141,566 Collaborative Research: ARTS: Taxonomy and systematics of selected Neotropical clades of arachnids DEB No 48,031 Collaborative Research: AToL: Phylogeny on the Half-shell--Assembling the Bivalve Tree of Life DEB No 284,670 Collaborative Research: Continental-scale Monitoring, Modeling and Forecasting of Phenological Responses to Climate Change EF No 90,122 Collaborative Research: Ecosystem Responses to Progressive and Rapid Climate Change During the Holocene in New England DEB No 31,220 Collaborative Research: Estimating Species Trees from Multilocus DNA Sequence Data DEB No 38,801 Collaborative Research: Evolution of Sex Chromosomes in Turtles MCB No 7,994 Collaborative Research: Evolutionary Genetics and Genomics of Cave Adaptation in the Mexican tetra IOS No 21,273 Collaborative Research: Gymnosperms on the Tree of Life: Resolving the Phylogeny of Seed Plants IOS No 45,793 Collaborative Research: Mechanisms of Scent Mediated Self/Non-Self Recognition in a Pelagic Seabird IOS No 135,896 Collaborative Research: Metabolism in Boston DEB No 18,308 Collaborative Research: Microparasite-Macroparasite Interactions: Dynamics of Co-Infections and Implications for Disease Control EF No 10,302 Collaborative Research: Molecular Genetic Studies of Bdelloid Rotifers MCB No 152,525 Collaborative Research: Moths, Ants, and Carnivorous Plants: the Spatial Dimension of Species Interactions DEB No 8,251 Collaborative Research: Multilocus Comparative Phylogeography of Pine-Oak Woodland Birds in North America DEB No 34 Collaborative Research: Plumage Redness and Good Genes in the House Finch IOS No 84,834 Collaborative Research: Resolving old questions in Mollusc phylogenetics with new EST data and developing general phylogenomic tools DEB No 4,958 Collaborative Research: Species Diversity and Abundance in Insular Systems DEB No (4) Collaborative Research: Testing the Munch Hypothesis: Hydraulics of Phloem Transport in Vines and Trees IOS No 47,982 Collaborative Research: The Comparative Genetics of Mimicry in Butterflies DEB No 231,495 Collaborative Research: The Genetics of Convergence at Multiple Levels: Evolution of Colorful Dewlaps in Anolis DEB No 131,966 Damage Sensing and Processing by the Bacterial Nucleotide Excision Repair Pathway MCB No 134,274 DIMENSIONS: Collab. Res:The climate cascade: functional and evolutionary consequences of climatic change on species, trait, and genetic diversity in a temperate ant community DEB No 20,996 Dimensions: Collaborative Research: Functional Diversity of Microbial Trophic Guilds Defined Using Stable Isotope Ratios of Proteins DEB No 177,480 Dissecting the Molecular Mechanisms Underlying Organization of the Bacterial Chromosome MCB No 11,164 Dissertation Research: Behavioral and genomic evidence for sexual isolation between two sister species of Peromyscus DEB No 8,993 Dissertation Research: Determining the drought sensitivity of the Amazon forest DEB No 8,729 Dissertation Research: Establishing phylogenomic resources to trace the global diversification of prorhynchid flatworms (Platyhelminthes: Lecithoepitheliata) DEB No 1,216 Dissertation Research: Function and Evolution of Sweet Taste Receptors in Birds IOS No 8,814 Dissertation Research: Ornament evolution in Anolis lizards: the interaction between survival and sexual selection in a manipulative field experiment with replication DEB No 57 Dissertation Research: Phenological Interactions in Arabidopsis Thaliana--Natural Variation and Natural Selection DEB No 872 Dissertation Research: Pitcher Plants: a Window into Metacommunity Process DEB No 4,731 68

73 Dissertation Research: Rapid evolution and the character displacement hypothesis: a unique test using a replicated natural colonization experiement DEB No 12,371 Dissertation Research: Systematics and Evolution of Neotropical Bell-Flowers (Lobelioideae) DEB No 1,117 Dissertation Research: The deep evolution and development of Archosaurian head and the origin of the face of birds DEB No 2,422 Dissertation Research: Functional ecology and evolution of an ant gut DEB No 6,979 Dynamics, Plasticity and Evolvability of bacterial small regulatory RNAs MCB No 170,230 Evolution, Genetics and Development: The Origin of Adaptive Pigment Alleles in Beach Mice DEB No (19,964) Filtered Push: Continuous Quality Control for Distributed Collections and Other Species-Occurrence Data DBI No 362,561 Floral development, conservation genetics, and horizontal gene transfer in the world's largest flowers, Rafflesiaceae DEB No 48,391 Fluctuation Theories for Complex Biological Systems EF No 100,477 FSML: Infrastructure for molecular and microbial ecology at the Harvard Forest DBI No 55,640 How Important Is 'Colored' Stochastiticy for Plant Population Dynamics DEB No 203,372 Investigation of Inductive Mechanisms in Arthropod Germ Line Specification: Analysing The Role of Dpp Signaling IOS No 37,196 Landscape Vulnerability and Resilience to Global Change DEB No 28,714 LTER IV: Integrated Studies of the Drivers, Dynamics, and Consequences of Landscape Change in New England DEB No 907,146 Maximizing the Utility of Orthologs and Phylogenetic Profiles for Systems-Scale Comparative Genomics DBI No 50,255 Modification of the ABC Program and the Evolution of Floral Novelty IOS No 1,185 Modification of the ABC Program and the Evolution of Floral Novelty IOS No 220,896 Molecular basis of developmental variation in Arabidopsis arenosa IOS No 65,982 Molecular Genetics of Systemic RNAi MCB No 33,944 Neuromuscular and Kinematic Mechanisms of Avian Maneuvering Flight IOS No 162,312 NSF Postdoctoral Fellowship in Biology FY DBI No 4,937 NSF Postdoctoral Fellowship in Biology FY DBI No 3,292 RAPID: Regional and Landscape Initiatives at Harvard Forest LTER DEB No 34,667 REU Site: Cellular and Molecular Biology DBI No 73,304 REU Site: Harvard Forest Summer Research Program in Forest Ecology : Ecological data-model fusion and environmental forecasting for the 21st Century DBI No 111,882 Testing Structure/Function Relationships in an Ecological Context: Integration of Biomechanics, Behavior, and Performance During Aerial Predation in Dragonflies IOS No 87,231 The Single Origin of Mycorrhizas Among the Amanita: A Model for Elucidating the Genetic Architecture of Symbiosis IOS No 197,559 Undergraduate Diversity at the Society for the Study of Evolution and the Society of Systematic Biologists DEB No 582 Understanding Xylem Refilling: Molecular and Biophysical Perspectives IOS No 101,402 Workshop on the Future of Evolutionary Biology DEB No 13,042 Dimensions IRCN: Diversity and Forest Change: Characterizing functional, phylogenetic and genetic contributions to diversity gradients and dynamics in tree communities DEB No 111,047 RCN: Coordinated Computing in Structural Biology MCB No 92,401 RCN: EDEN (Evo-Devo-Eco Network): A research coordination network to promote technique and community development across the Evo-Devo-Eco field IOS No 64,623 Subtotal of ,010,265 A new history and geography of human genes informed by ancient DNA BCS No 564,117 Career: Flexible Resource Allocation and Efficient Coding in Human Vision BCS No 133,071 Career: New Methods for Understanding Race, Inequality, and Spatial Separation SES No 62,288 Career:Teaching Mixed Methods, International Research, and Comparative Perspectives through a Study of Childbearing and Childrearing under China's Fertility Limitation Policies BCS No 130,337 Cognitive and Affective Neuroscience of Moral Judgement SES No 53,762 Collaborative Proposal: Designing Taxes that Improve Insurance to Earnings Uncertainty over the Life Cycle SES No 53,592 Collaborative Research: DAT: From grant to commercialization: an integrated database which can trace, asses, and measure the impact of scientific funding SBE No 30,520 69

74 Collaborative Research: Dual Standards in Affective Forecasting and Experience BCS No 8,997 Collaborative Research: Evolutionary, Developmental and Neurobiological Sources of Moral Judgements BCS No (2,470) Collaborative Research: Improving the Accuracy of Affective Forecasting SES No 104,582 Collaborative Research: Market Design in Public Procurement: Theory and Evidence SES No 91,711 Collaborative Research: Transformation in Political Party Organizations and the Rise of Candidate-Centered Elections in the US SES No 136,894 Collaborative research: Understanding the Economic Crisis and its Social Impacts through Postdoctoral Fellowships SES No 54,469 Collaborative Research: Workforce Diversity and Corporate Performance SES No 32,879 Comparative Vision and Attention BCS No 25,398 Cooperation and Self Control SES No 110,867 Cooperation in Mutualisms: Contracts, Markets, Space, and Dispersal (BIOCONTRACT) SES No (1,755) Correlation and heterogeneity robust inference using conservativeness of test statistics SES No (10,036) DAT: Creating a Patent Collaboration Network Database to Examine the Social Production of Knowledge SBE No 8,326 DDR: A Multilevel Study of Symbolic Boundries towards Muslims, SES No 3,150 Doctoral Dissertation Improvement Grant: Ritualized Animals, Understanding Human-Animal Interactions at Teotihuacan BCS No 1,532 Doctoral Dissertation Improvement Grant: The effects of forelimb anatomy on throwing performance: a biomechanical analysis BCS No 5,603 Doctoral Dissertation Improvement: C-Peptide of Insulin as an Index of Energy Expenditure in Wild Chimpanzees BCS No 3,543 Doctoral Dissertation Improvement: Impacts of Food Processing on Diet-Induced Thermogenesis BCS No 2,602 Doctoral Dissertation Improvement: Moche Sociopolitical Organization form a Mid-Sized Center in the Chicana Valley, Peru BCS No 11,570 Doctoral Dissertation Improvement: The Effects of Food Processing on Mechanical Properties and Masticatory (Chewing) Performance BCS No 1,734 Doctoral Dissertation in Political Science: Inside Autocracy SES No 6,563 Doctoral Dissertation Research in Economics: Peer Effects in Prison SES No 5,500 Doctoral Dissertation Research in Economics: Reference-Dependent Preferences, Expectations, and Dynamic Choice SES No 1,574 Doctoral Dissertation Research in Political Science: Secret Police and State Violence under Authoritarianism SES No 1,435 Doctoral Dissertation Research in Political Science: Sources of Extremism and Moderation in the Living Shariah SES No 1,600 Doctoral Dissertation Research in Political Studies: The Mobilization and De-mobilization of Latino Identities in Reaction to Explicit and Implicit Cues in Immigrant Political Rhetoric SES No 8,786 Doctoral Dissertation Research: A Social Scientific Analysis of Architectural Design, Access, and Disability SES No 9,826 Doctoral Dissertation Research: Aftermath; Negotiating with Computers in the Work of Mathematical Proof SES No 1,580 Doctoral Dissertation Research: Articulating the Past, The Value of Dinosaurs in America, SES No 3,138 Doctoral Dissertation Research: Low Income Youth and Perceptions of Mortality SES No 273 Doctoral Dissertation Research: Teaching Transformations, South Africa's Post-Apartheid Generation and Apartheid History Education SES No 2,559 Doctoral Dissertation Research: The Social Consequences of Neighborhood Economic Diversity SES No 910 Doctorial Dissertation Research: Beyond the Religious Persuit of Race: Re-examining Secularization within Scientific Theories of Human Difference SES No (767) Equal Opportunity Innovations at Work: Mechanisms for Reducing Job Segregation SES No (14) Estimating the Policy Preferences of United States Courts of Appeals Judges Across Circuits and American Political Institutions SES No 13,662 Evaluating the Returns to Rural Banking: Village and Household Evidence from Southern India SES No 40,748 Evidence Observed: Daubert's Impact on Science and Justice SES No 55,733 Explaining Low Fertility in Postindustrial Societies SES No 63,306 Fertility Transition and Emerging Differences in Parental Investment and Children's Economic Roles BCS No 55,827 From Words to Inferences: The Development of Incremental Language Comprehension BCS No 186,712 Leadership Decision Making SES No 122,008 Life in the Gray Zone: Governance of New Biology in Europe, South Korea, and the United States SES No 87,874 Mark(er)ing Race: An Ethnographic Study of Human Difference in Contemporary Genetics SES No 32,761 Models of Dynamic Choice SES No 60,182 New Evidence on Tax and Transfer Policies from the Universe of U.S. Tax Records SES No 119,465 NSEC: Nanotechnology in Society Project Nano Connection to Society SES No 271,823 Phylogenetic Comparative Methods in Biological Anthropology BCS No 103,086 70

75 Resolving Pliocene and Pleistocene Hominin Ontogeny With Synchrotron Virtual Histology BCS No 10,446 Sciences of the Similar: Generic Pharmaceuticals and the Limits of Equivalence SES No 20,010 Self Control at Work: A Field Experiment SES No 46,854 SoCS: Enhancing Immersive Social Perspective Taking and Perceived Virtual Similarity to Enable Intelligent Social Relationships SES No 153,513 STS Post Doctoral Fellowship: From Morphology to DNA: Metagenomics and its Impacts on Species-Based Conservation Science and Policy SES No 49,515 Subject Preference and Ergativity BCS No 4,785 The Investigation of a Semasiographic Recording System: The Search for Pattern and Meaning in the Inka Khipus BCS No 41,998 The Material Basis of Function in the Brain: Connections to Philosophy of Biology and Phenomenology SES No 51,021 Topics in Dynamics and Political Economy SES No 48,093 Understanding Educational Markets: Experimental and Observational Evidence from Pakistan SES No 214,470 Understanding the Role of the Parietal Cortex in visual obejct grouping and feature binding BCS No 17,864 Acquisition of An Endangered Mayan Language FN No 44,881 Subtotal of No 3,576,883 Career: Learning About Complex Causality in the Classroom DRL No 100,663 Collaborative Research: Mental Abacus Education and Spatial Representations DRL No 19,700 Creation and Dissemination of Upper-elementary Mathematics Assesment Modules DUE No 438,751 EcoMOBILE: Blended real and virtual immersive experiences for learning complex causality and ecosystems science DRL No 151,094 FICSMath 2008 (Factors Influencing College Success in Mathematics) DRL No 328,661 From 'cook book' to exploration: Optimizing learning gains in introductory physics laboratory instruction DUE No 161,064 Graduate Research Fellowship Program DGE No 790,293 Graduate Research Fellowship Program DGE No 8,644,646 Helping Teachers to Use and Students to Learn from Contrasting Examples: A Scale-up Study in Algebra I DRL No 416,634 IGERT: Integrated Training Program in Biomechanics DGE No (5,516) IGERT: Multidisciplinary and Comparative Program in Inequality and Social Policy DGE No 355,912 Investigating the Effect of Professional Development, Mathematical Knowledge for Teaching, and Instruction on Student Outcomes DRL No 795,778 ITEST Strategies DRL No 361,830 Learning to RECAST Students' Causal Assumptions in Science Through Interactive Multimedia Professional Development Tools DRL No 54,012 Life on Earth DRL No 743,392 MOSART II DUE No 479,027 MOSART-LS: Misconceptions Oriented, Standards-based Assessment Resource for Teachers in the Life Sciences DUE No 453,821 Recruiting, Training, and Retaining Boston's Next Generation of Math and Science Teachers DUE No 97,950 Sources of Mathematical Thinking DRL No 209,480 Studying Technology-based Strategies for Enhancing Student Interest in STEM Careers through Algebra Curricula in Grades DRL No 451,574 Investigating a Framework for STEM-Reading to Support Secondary School Students with Reading Disabilities SV No 1,872 Subtotal of ,050,638 Collaborative Research: BICEP2 and SPUD - A Search for Inflation with Degree-Scale Polarimetry from the South Pole ANT No 1,085,928 Collaborative Research: Impacts of Recent Climate and Emissions Changes on Mercury Bioaccumulation in Arctic Marine Food-Webs ARC No 117,648 Collaborative Research: The Impacts of Arctic and Alpine Refugia on Genetic Divergence in Tundra Flora ARC No 19,089 Collaborative Research: Type 1: LOI: L : Arctic Climate Response to Decadal Changes in Radiative Forcing from Aerosols and Ozone ARC No 120,206 Long Term Human Ecodynamics in Coastal Peru: A Case Study of Polar Tropical Teleconnections ARC No 23,064 The Search for the Imprint of Inflation on the Cosmic Microwave Background from the South Pole No Award Number No 1,295 Transient and Rapid Glacial Motions, Including Glacial Earthquakes ANT No 74,576 Subtotal of ,441,806 International: The Clusioid Clade (Malpighiales): Systematics, Biogeography, and Horizontal gene transfer OISE No 3,203 Subtotal of ,203 71

76 CDI Type II: Bridging the Computational Semantic Gap: A Demand-Driven Framework for Portal-Based Chemistry, Astronomy and Neurobiology OIA No 72,588 CDI-Type II: Collaborative Research: Preparing the Next Generation of Computational Thinkers: Transforming Learning and Education Through Cooperation in Decentralized Networks OCI No 47,161 Collaborative Proposal: CI-TEAM DIFFUSION: PORTAL, Pedagogical Open-access Research-based Tools for Advancing Learning in Science and Engineering OCI No 36,278 Collaborative Research: S12-SSI: Scalable Hierarchical Algorithums for Extreme Computing (SHARE) OCI No 27,671 CRCNS Data Sharing: An open data repository for cognitive neuroscience: The Open fmri Project OCI No 12,294 Subtotal of ,992 Building the Pipeline to DASCH for Temporal Surveys AST Yes 230,105 Carbon Isotopic Heterogeneity in Modern Bacterioplankton: Model Systems for Understanding Paleoenvironmental Signatures OCE Yes 138,184 Career: Distribution of Fitness Effects, Identity and Interaction of Beneficial Mutations Available for Adaptation DEB Yes 275,742 Career: Exploring Models of Quantum Gravity PHY Yes 81,158 Career: Physical Aspects of Spindle Self-Organization PHY Yes 243,575 Collaborative Research: An Ultrastable Blue Astro Comb for Exoplanet and Cosmology Research AST Yes 14,972 Collaborative Research: Layers of Adaptive Radiation in Anolis Lizards: Investigation of Previously Unexplored Ecological and Taxonomic Diversity DEB Yes 240,661 Collaborative Research: New MCMC-enabled Bayesian Methods for Complex Data and Computer Models Applied in Astronomy DMS Yes 159,665 Collaborative Research: P2C2 Understanding the Role of a High-Latitude Convective Cloud Feedback in Equable and Future Climate Dynamics ATM Yes 282,150 Collaborative Research: RoboBees: A Convergence of Body, Brain and Colony CCF Yes 1,946,921 Collaborative Research: Studies of the Structure of the Earth's Interior EAR Yes 32,558 Dimensions of Mind Perception BCS Yes 23,653 EAGER: Stress resistance pathways in C. elegans MCB Yes 56,522 Energetic, Development, and Ovarian Function in Adolescent Gambian Women BCS Yes 15,998 FRG: Collaborative research: Generalized Geometries in String Theory DMS Yes 84,484 Geometric Representation Growth DMS Yes 43,670 Geometry and PDE Analysis in General Relativity DMS Yes 30,862 Graduate Research Fellowship Program DGE Yes 1,000,000 HCC: Medium: Collaborative Research: Computer Vision and Online Communities: A Symbiosis IIS Yes 143,738 Minority Postdoctoral Research Fellowship DBI Yes 5,590 Modular Compactification of Mg, N DMS Yes 37,976 MRI-R2: Development of a System for Dynamic, Multipoint, Dual-Color Fluorescence Fluctuation Spectroscopy DBI Yes 32,464 MRI: Development of a New Instrument to Observe Isotopic Fluxes of CH4 and CO2 from Arctic Melt Regions, to Link Carbon Fluxes, Climate Feedbacks and Sea Level Rise ATM Yes (13,293) Noble gas studies along ultraslow spreading Southwest Indian Ridge: Constraining magmatic degassing processes and the origin and lengthscale of mantle heterogeneities OCE Yes 149,556 Optical and Dynamic Nuclear Polarization Approaches to Hyperpolarization of Nanoparticles for Molecular Imaging CBET Yes 101,341 P2C2: A Bayesian approach to estimating temperature and precipitation and their inter-relationship over the last millennium ATM Yes 189,252 Postdoctoral Research Fellowships in Biology for FY DBI Yes 2,886 Research and Education in Physical Mathematics DMS Yes 111,150 RI: Medium: Collaborative Research: Robotic Hands: Understanding and Implementing Adaptive Grasping IIS Yes 150,813 TC: Large: Collaborative Research: Combining Foundational and Lightweight Formal Methods to Build Certifiably Dependable Software CNS Yes 124,179 The 2010 Cooperative Congressional Election Study SES Yes 37,984 The Formation of Stars: From Clouds to Protostars- Institutional Allowance AST Yes 2,986 Topics in representation theory and number theory DMS Yes 172,023 Topology, Geometry and Physics DMS Yes 94,666 Total Positivity: Connections with Algebra, Topology, and Statistical Physics DMS Yes 53,366 Trapping single small molecules in solution CHE Yes 129,683 Using Inuit Qaujimajatuqangit, Traditional Knowledge, to Guide the Development of Hypotheses on Narwhal Tusk Function ARC Yes 27,278 Xenon Isotopes in Mid Ocean Ridge and Ocean Island Basalts: implications for the volatile evolution of the Earth EAR Yes 57,831 Subtotal of ,512,349 Total National Science Foundation Direct Awards 55,005,407 72

77 U.S. Institute of Peace A Group-Based Psychosocial Intervention for War-Affected Youth in Sierra Leone 91.unknown USIP F No 81,063 Subtotal of 91.unknown 91.unknown 81,063 Total U.S. Institute of Peace Direct Award 81,063 Total Research and Development and Research Training Cluster Direct Awards 533,279,946 Research and Development and Research Training Cluster Subawards Received Agency for International Development Brigham and Women's Hospital - Health and Rehabilitative Support for Earthquake-affected Populations in the Haitian Border Region 98.unknown No 1,995 University Research Co., LLC - Translating Research into Action (TRAction) 98.unknown FY10-S No 24,223 Subtotal of 98.unknown 98.unknown 26,218 Tufts University - Nutrition Collaborative Research Support Programs (CRSP), Focus on Africa AID-OAA-L No 89,091 International Medical Corps - Building a Better Response: Strengthening Non-Governmental Organization (NGO) Capacity and Engagement in the International Humanitarian Architecture No Award Number No 27,446 Public Health Institute - Global Health Fellows Program No 29,844 Tufts University - Nutrition Collaborative Research Support Programs (CRSP), Focus on Asia No Award Number No 48,643 Subtotal of ,024 PACT - Developing, Implementing and testing Peer Education Strategies for OVCs in South Africa Contract X3-P-505 No (7,428) University Research Co., LLC - Support to Nicaragua and Honduras Research and Evaluation Studies for the Health Care Improvement Project Contract FY11-P No 40,414 John Snow International - Sustaining Family Planning and Maternal and Child Health Services Project in Georgia Contract No 87,606 Subtotal of Contract Contract 120,592 Total Agency for International Development Subawards Received 341,834 Central Intelligence Agency Scitor Corporation - Evaluation of China's Renewable Energy Contract G No 138,350 Subtotal of Contract Contract 138,350 Total Central Intelligence Agency Subaward Received 138,350 Department of Agriculture Commonwealth of Massachusetts/Department of Public Health - Getting to the Heart of the Matter: Using Emotion-Based Techniques to Implement VENA (GHM) - Phase II 10.unknown RESEARCHSERVEHH20000-HH2 No 9,636 United States Department of Agriculture (USDA) Forest Service - Supporting Carbon Cycle and Earth Systems Modeling with Measurements and Analysis from the Howland AmeriFlux Site 10.unknown 12-JV No 7,489 Subtotal of 10.unknown 10.unknown 17,125 University of Rhode Island - A Foodweb Approach to Native Plant Protection in a Forest Ecosystem No 12,338 Subtotal of ,338 University of New Hampshire - Synthesis of Data from the Phenocam Network: Phenological Controls on Forest Productivity PZ No 42,129 Subtotal of ,129 Total of Department of Agriculture Subawards Received 71,592 Department of Commerce University of Alaska Fairbanks - Development and Deployment of In Situ Osmotic Sampling Systems for Capturing Temporal and Spatial Changes in Microbial Community Composition and Function UAF No 53,303 Subtotal of ,303 Columbia University - Atlantic Multidecadal Variability: Mechanisms, Impact, and Predictability: A study using observations and IPCC AR4 Model Simulations Acct No 31,994 Subtotal of ,994 Total of Department of Commerce Subawards Received 85,297 73

78 Department of Defense Dana Farber Cancer Institute - A systems Biology Approach to Link Nuclear Factor kappa B Activation with Lethal Prostate Cancer 12.unknown No 26,496 Lincoln Laboratory - Anticipatory Techniques for Evaluation of Medical Distress 12.unknown No 31,575 irobot - Development of a Low-Cost Dexterous Robotic Hand 12.unknown No 144,896 HRL Laboratories, LLC - Development of Multiple Quantum Dot Devices 12.unknown BS No 188,116 MITRE Corporation - Development of Nanowire-Based Processing Technologies on Non-Silicon Substrates 12.unknown No 119,100 BAE Systems - MAST-CTA: Smart Composite-Based Rapid Prototyping of Micro-Systems 12.unknown 6215 No (463) Carnegie Mellon University - Mechanism Design for Distributed Resource Allocation 12.unknown EXP-000 No 37,174 Massachusetts Institute of Technology - Network Analysis for PACE (Processing Algorithms Co-Designed with Electronics) 3-D Graph Processor Program 12.unknown PO No 12,022 University of Illinois at Urbana - Champaign - Secure Virtual Architecture: A foundation for Integrating Analysis, Confinement, and Diversification 12.unknown No 240,498 MITRE Corp - Development of Functional Nanowire-Based Nanoprocessors 12.unknown No 389,022 Subtotal of 12.unknown 12.unknown 1,188,436 University of Virginia - An Integrated Cellular Materials Approach to Force Protection GG No 59,349 University of Tennessee - Assessing the Potential Consequences of Subsurface Bioremediation: Fe-Oxide Bioreductive Processes and the Propensity for Contaminant-Colloid Co-Transport and Media Structural No 121,952 Regents of the University of California - Santa Barbara - Dielectric Enhancements For Innovative Electronics KK1132 No 194,620 Florida Atlantic University - Discrete Ricci Flow in Higher Dimensions No 65,771 Massachusetts Institute of Technology - Explorations in Cyber International Relations No 493,909 Drexel University - Fish fins as multifunctional sensory and propulsive systems for autonomous operations in the complex underwater environment N00014-Harvard No 25,060 Massachusetts Institute of Technology - GATE: Grapheme Approaches to Terahertz Electronics No 188,998 Massachusetts General Hospital - Individual Differences in Imagery in 3D Virtual Environments No 25,026 University of Pennsylvania - Large Area 3D Optical Metamaterials with Turnability and Low Loss No 167,227 University of Pennsylvania - Networks Opposing Botnets (NoBot) No 90,125 Drexel University - Neuromechanics of Fish Pectoral Fin Sensory and Motor Control Systems as a Model for Controlling Agile, Autonomous Undersea Vehicles H No 130,151 University of Pittsburgh - Novel Materials Approaches for Prevention of Marine Biofouling ( ) No 131,961 Massachusetts Institute of Technology - Provably-Stable Vision-Based Control of High-Speed Flight through Forest and Urban Environments No 48,936 Oregon State University - Sensors Powered by Benthic Microbial Fuel Cells at the MARS Observatory N0271A-A No 63,670 Boston University - Utilizing Synthetic Biology to Create Programmable Micro-Bio-Robots No 207,145 Subtotal of ,013,900 Children's Hospital Corporation - Breast Cancer Reversal by Engineering the Tumor Microenvironment No 903,041 Center for Integration of Medicine and Innovative Technology (CIMIT) - Microfluidic Blood Cleansing Device for Sepsis Therapy No 239,543 Center for Integration of Medicine and Innovative Technology (CIMIT) - SEAS - CIMIT Medical Devices Graduate Design Course No Award Number No 11,572 Brigham and Women's Hospital - The Role of BRCA1 in Lethal Prostate Cancer No 111,765 Subtotal of ,265,921 74

79 Massachusetts Institute of Technology - Atom Interferometry on Atom Chips - A Novel Approach Towards Precision Inertial Navigation Systems (PINS) No (481) University of Texas Health Science Center at Houston - Bionanoscaffolds for Post-Trauma Osteoregeneration (D) No (30,632) Pennsylvania State University - Control of Communication Networks SA08-02 No 275,894 Regents of the University of California - Santa Barbara - Emergent Phenomena at Mott Interfaces KK1007 No 53,244 Princeton University - Innovative Design and Processing for Multi-Functional Adaptive Structural Materials No 556,117 Massachusetts Institute of Technology - Milli-Biology: Programmed Assembly of Engineered Materials No (135,224) University of Maryland, College Park - MURI:Atomtronics: Material and Device Physics of Quantum Gases Z No 21,653 The University of Sydney - Precision Quantum Control and Error Suppressing Quantum Firmware for Robust Quantum Computing LEX 7367 No 136,676 Regents of the University of California - Santa Barbara - Quantum BioImaging with Diamond Spins (QuBIDS) KK1201 No 108,084 Massachusetts Institute of Technology - Quantum Emulation of New Materials using Ultracold Atoms No 401,935 Boston University - Synthetic Mammalian Gene Regulatory Circuits for In Vivo Biomedical Applications No 175,010 University of Illinois at Urbana - Champaign - Transient Electronics: Resorbable Radios and RF Energy Scavenging Systems No 90,250 Subtotal of ,652,526 BBN Technologies Corporation - CCRI: Economic (Market-Oriented) Approach to Cross-Network Analysis W911NF No 92,732 California Institute of Technology - Novel Devices for Plasmonic and Nanophotonic Networks: Exploiting X-Ray Wavelengths at Optical Frequencies N No (1,107) Subtotal of ,625 Regents of the University of California - Berkeley - Hardware, Languages, and Architectures for Defense Against Hostile Operating Systems No 55,279 Stanford University - Integrated Hybrid Nanophotonic Circuits A No 43,317 Stanford University - Large Scale Integrated Nanophotonics E No 157,503 Georgia Institute of Technology/Georgia Tech Research Corpor - Multi-functional Light-Matter Interfaces based on Neutral Atoms and Solids RC413-G4 No 160,491 Cornell University - Passive Heat Transfer in Environments with Large Inertial and Gravitational Stresses No 93,564 University of Connecticut - Production, Manipulation and Applications of Ultracold Polar Molecules No 151,914 Regents of the University of California - Santa Barbara - Quantum Memories in Photon - Atomic - Solid - State Systems KK1225 No 147,548 University of Pennsylvania - Topological and Geometric Tools for Analysis of Complex Networks No 169,658 Subtotal of ,274 University of Virginia - A Micro-Cellular Solids Approach to Thermo-Structural Materials with Controlled Architectures GG No 44,676 Massachusetts Institute of Technology - Coherent Quantum Sensors No 158,106 Space and Naval Warfare Systems Center Pacific - Colloid Morphogenesis N DOD35CAP No 4,927 Space and Naval Warfare Systems Center Pacific - Control and Manipulation of Casimir Forces by Nanomechanical Design N DOD35CAP No 519,670 Stanford University - Geometric Approach to Hodge Conjecture and Polynomial Optimization A No 126,343 Princeton University - Harnessing Quantum Entanglement in Semiconductor Circuits No 317,019 Princeton University - Harnessing Quantum Entanglement in Semiconductor Circuits No 44,996 Regents of the University of California - Irvine - Millimeter-Scale Synthetic DNA Arraya Made out of Paper and Tape No 23,656 Regents of the University of California - Santa Barbara - Quantum Information Processing with Spins in Diamond KK9135 No 288,169 University of Chicago - Room Temperature Coherent Energy Transfer: New routes to Biomimetic Devices A No 85,401 Subtotal of ,612,963 General Dynamics Information Technology - Algorithms for Decision Making In High-Complexity Situations Contract contract F F-0203 No (4,819) SiOnyx Inc. - Black Silicon Solar Cells: High Efficiency Thin Film Photovoltaics Contract A13093 No 2,176 UES, Inc. - Development of Micro-Heater for The Mechanical Characterization of Thin Films Contract S No 10,045 Weidlinger Associates Inc. - Fracture Evaluation and Design Tools for Welded Aluminum Ship Structures Subjected to Impulsive Dynamic Loading Contract No 9,641 Henry M. Jackson Foundation for the Advancement of Military Medicine, Inc. - Herpes-specific Antibodies in RV135 Trial Contract No 48,552 Tiax, LLC - In-Vivo Measurement of Gas Bubble Formation Contract S No 17,019 Electric Power Research Institute - Investigation of Sources and Composition of Particulate Exposures (SCOPE) - Atlanta Contract EP-P15913/C7935 No 63,458 BAE Systems - MAST-CTA: Smart Composite-Based Rapid Prototyping of Micro-Systems Contract No 99,316 Henry M. Jackson Foundation for the Advancement of Military Medicine, Inc. - Measurement of ADCC Titers in Samples from the RV144 Trial Contract No 255,380 CFD Research Corporation - Mechanobiology of Diffuse Axonal Injury: Mechanisms and Opportunities for Early Neuroprotection Contract 1459 No 333,279 Physical Sciences Inc. - Monolithic Integrated-Optic TDLAS Sensors and Networks Contract SC No 59,971 Lincoln Laboratory - Photonic Device Development at Harvard University Contract No 112,255 EOS Photonics, Inc. - Plasmonic Beamsteering Contract A15856 No 25,354 Lincoln Laboratory - Quantum Cascade Photonic Crystal Microlasers with Integrated Microfluidic Delivery for Intra-Cavity IR Spectroscopy on a Chip Contract No (4,325) BAE Systems - SAFE: A Semantically Aware Foundation Environment for CRASH Contract No 248,379 MetroLaser, Inc. - SBIR Phase II: A Glass-Ceramic Optical Thermal History for Extreme Environments Contract A12904 No 1,014 Physical Sciences Inc. - STTR phase 2: Robust MAV Control Contract SC No 100,122 Subtotal of Contract Contract 1,376,817 Total of Department of Defense Subawards Received 10,181,462 75

80 Department of Education University of Houston - National Research and Development Center for English Language Learners A R No 15,883 Regents of the University of Michigan - NCER-SoBeh G2 - SECURe: Developing an Integrated Socioemotional and Cognitive Regulation A No 183,890 Subtotal of A A 199,773 Stanford University - Addressing Practical Problems in Achievement Gap Estimation: Nonparametric Methods for Censored Data D A No 63,461 Subtotal of D D 63,461 Strategic Education Research Partnership - Catalyzing comprehension through discussion and debate F No Award Number No 1,052,853 Subtotal of F F 1,052,853 Regents of the University of Minnesota - Enhancing the Mathematical Problem Solving Performance of Sixth Grade Students Using Schema-based Instruction K No 32,590 Subtotal of K K 32,590 Regents of the University of Minnesota - Learning of Ratio and Proportion Problem-Solving Using Schema-Based Instruction: Efficacy and Sustainability A No 31,801 Subtotal of ,801 The Achievement Network - Increasing Student Achievement Through the Use of Interim Assessment Data: Expanding the Achievement Network Model C No Award Number Yes 376,760 Subtotal of C C 376,760 Council of the Great City Schools - Classroom Talk in Urban Middle Schools Contract No Award Number No 353 University of Houston - Diagnostic Assessment of Reading Comprehension: Development and Validation Contract R No (2,757) Subtotal of Contract Contract (2,404) Total of Department of Education Subawards Received 1,754,834 Department of Energy Aerodyne Research, Inc. - An Absolute CO2 Monitor with Extremely High Accuracy 81.unknown ARI No 74,027 Marine Biological Laboratory - Effects of warming on tree species' recruitment in deciduous forests of the eastern United States 81.unknown No 89,971 Aerodyne Research, Inc. - High Precision, Airborne COS Monitor to Constrain the Partitioning of CO2 Fluxes 81.unknown ARI No 223,713 Stanford Linear Accelerator Center - Management Effort on Science Raft Electronics for the large Synoptic Survey 81.unknown No 31,655 Lawrence Livermore Laboratory - Recovering Large Volumes of Homogeneously Shocked Samples 81.unknown B No 14,019 Subtotal of 81.unknown 81.unknown 433,385 Boston University - An Open Source Platform for Multi-Scale Spatial Distributed Simulations of Microbial Ecosystems GC208288NGD No 19,103 Pennsylvania State University - Analysis of Long-Term Trends and Anomalies in CO2 and H20 Exchange at a NE US Mixed Deciduous Forest in Response to Climate Variability HU-DOE-4157 No 672 Massachusetts Institute of Technology - Center for Excitonics Yes 557,846 Regents of the University of California - Santa Barbara - Center on Materials for Energy Efficiency Applications KK1006 Yes 9,458 Northwestern University - CITFAM: Center for Integrated Training in Far-from-equilibrium and Adaptive Materials PROJ Yes 152,131 Aerodyne Research, Inc. - Compact High Precision Field Instrument For All Major Greenhouse Gases ARI No 17,632 Pennsylvania State University - Impacts of Climate Variability and Change on Forest Structure, Composition and Function in the Northeastern United States HU-USDOE-4157 No 73,430 Pennsylvania State University - Improving forecasts of species' responses to climatic change: Hierarchical Bayesian analysis of tree distributions and abundance across space and time HU-DOE-4157 No 18,791 Pennsylvania State University - Reducing Uncertainty about the Effects of Climatic Variation on Forest Ecosystems by Measuring, Modeling, and Analyzing Intermediate-Turnover Carbon Pools HU-DOE-4157 No (16,841) Massachusetts Institute of Technology - Study and Control of Excitons Using Optical Nanostructures No 116,119 Subtotal of ,341 Massachusetts Institute of Technology - Next Generation Sulfide Materials; Optimizing CZTS and Developing SnS by Systematic Defect Engineering No 80,715 Subtotal of ,715 Massachusetts Institute of Technology - Bioprocess and Microbe Engineering for Total Carbon Utilization in Biofuel Production Yes 218,866 Subtotal of ,866 North Carolina State University - Impacts of elevated temperature on ant species, communities and ecological roles at two temperate forests in eastern North America No 375,704 Subtotal of ,704 Total of Department of Energy Subawards Received 2,057,011 76

81 Department of Homeland Security EOS Photonics, Inc. - Broadly Tunable Sampled Grating Quantum Cascade Lasers Contract A15855 No 17,710 Subtotal of Contract Contract 17,710 Total of Department of Homeland Security Subaward Received 17,710 Department of Housing & Urban Development Boston Public Health Commission - IPM Intensity Impact Study 14.unknown No 30,016 Neighborhood Reinvestment Corp - Achieving Excellence in Community Development 14.unknown AE No 180,399 Neighborhood Reinvestment Corp - The Edward M. Gramlich Fellows Alumni Event 14.unknown No Award Number No 45,499 Neighborhood Reinvestment Corp - The Edward M. Gramlich Fellowship in Community and Economic Development Summer Fellowship Program unknown No Award Number No 10,265 Neighborhood Reinvestment Corp - The Edward M. Gramlich Fellowship in Community and Economic Development Summer Fellowship Program unknown No Award Number No 12,000 Subtotal of 14.unknown 14.unknown 278,179 Total of Department of Housing & Urban Development Subaward Received 278,179 Department of State Social Science Research Council - Summer Institutes for Non-Russian Languages 19.unknown No (22,864) Subtotal of 19.unknown 19.unknown (22,864) Total of Department of State Subaward Received (22,864) Department of the Interior Pennsylvania State University - Improving Passive Mine Treatment for Manganese Removal - Phase II HU-USDI-6005 No 10,182 Subtotal of ,182 Total of Department of the Interior Subaward Received 10,182 Department of Transportation The University of New Orleans - University Transportation Center 20.unknown 138 No 10,761 Subtotal of 20.unknown 20.unknown 10,761 Massachusetts Institute of Technology - Crisis Management in Transportation: Building Capacity through Exercises No 61,870 Massachusetts Institute of Technology - Hazardous Material Transportation and the Security Externality: What Should Be Done No 451 Massachusetts Institute of Technology - Improving Emergency Evacuation Preparedness: Policy and Organizational Implications for Transportation Agencies No 61,391 Massachusetts Institute of Technology - Improving Emergency Preparedness and Crisis Management Capabilities in Transportation - Year II No 4,526 Massachusetts Institute of Technology - Managing Big City Transit Systems: Case Studies of Jay Walder at the MTA No 2,051 Massachusetts Institute of Technology - Teaching Case Studies on Earthquake Preparedness in the Transportation Sector, Los Angeles Metropolitan Area No 1,178 Massachusetts Institute of Technology - Teaching Cases on Transportation and Global Warming No 4,468 Massachusetts Institute of Technology - Transparency in Transportation: User Power and Public Accountability No 33,955 Massachusetts Institute of Technology - University Transportation Center Graduate Fellowships No 31,460 Massachusetts Institute of Technology - Medium-Scale Quantum Simulators No 38,139 Subtotal of ,489 Total of Department of Transportation Subawards Received 250,250 Department of Veterans Affairs Abt Associates, Inc. - A Program Evaluation of VA's Medical Research Contract No 156,497 Subtotal of Contract Contract 156,497 Total of Department of Veterans Affairs Subaward Received 156,497 77

82 Department of Health and Human Services Social + Scientific Systems, Inc. - A5260: Cardiovascular, Anthropometric, and Skeletal Effects of ART Initiation with FTC/TDF plus ATV/r, DRV/r or RAL Metabolic Study of A unknown CRB-SSS-S No 46,085 Immune Disease Institute, Inc - Adhesion Molecules in Transfusion Biology (Project 3 and Core C) 93.unknown PO S No 4,676 Social + Scientific Systems, Inc. - Anti-Viral and Immune Plasma Infrastructure Development IRC003/IRC unknown CRB-DRC01-S No 44,561 Beth Israel Deaconess Medical Center - Atrogin-1 and Muscle Protein Balance 93.unknown No Award Number No (1,318) Sanaria, Inc. - Automated Salivary Gland Dissection for Manufacture of Malaria PfSPZ Vaccine 93.unknown A14293 No 24,383 Dana Farber Cancer Institute - Cantor T32 CA unknown No 44,774 Healthy Housing Solutions Inc. - CDC Green Housing Study 93.unknown HHSI-11-S-1001 No 38,329 University of Virginia - Cell Migration Consortium 93.unknown GC No 21,437 The Forsyth Institute - Childhood Obesity Prevention: a Model for a School-Based Dental Program 93.unknown No Award Number No 1,052 Judge Baker Children's Center - Clinical Research Training Program 93.unknown No 42,493 Brigham and Women's Hospital - Comparing the long-term and real-world effectiveness of initial management strategies for DCIS 93.unknown HSPH No 47,377 Massachusetts General Hospital - Detection of Lung for Cancer Risks for Serum Metabolomics 93.unknown No 14,184 National Public Health Information Coalition - Developing Science-Based Communication Plans and Activities for Use in Public Health Crises 93.unknown No Award Number No 1,038,055 Beth Israel Deaconess Medical Center - Doctoral Dissertation Research: A Taste for Tastes: The Spread of Food Choices and Healthy Behaviours in Social Networks 93.unknown 5T32AG No 415 Brigham and Women's Hospital - Electronic records for comparative effectiveness: emulating a randomized trial 93.unknown No 31,448 Dana Farber Cancer Institute - Functional Study of Histone Demethylase JARID1B in Cancer 93.unknown No Award Number No (1,707) Massachusetts Institute of Technology - Genetics in Immune-Mediated Diseases-Lupus 93.unknown No Award Number No (1) Sanaria, Inc. - High Throughout Mosquito Decapitation and Salivary Gland Extraction 93.unknown A14292 No 47,463 Medical Technology and Practice Patterns Institute, Inc. - Individualized Treatment Strategies and Optimal Hematocrit Target for Complex Dialysis Patients 93.unknown R21HS No 22,448 University of Ibadan - Medical Education Partnership Initiative in Nigeria 93.unknown 7/225/27/HSPH-02 No 243,597 Aerodyne Research, Inc. - Nitrogen Dioxide and Light-Absorbing Carbon Sensors for Personal Exposure Assessment 93.unknown No 58,813 McLean Hospital - Novel Therapeutic Approaches for Parkinson's Disease, Subproject 2 93.unknown No Award Number No (7,245) Brigham and Women's Hospital - Role of Fatty Acid Metabolism for the Prevention of Sudden Cardiac Death 93.unknown No 2,596 The Queen's Medical Center - TAI CHI for Obesity: A Randomized Controlled Pilot Trial 93.unknown No Award Number No (634) Brigham and Women's Hospital - The Long-term Oxygen Treatment Trial 93.unknown No 24,189 Cambridge Health Alliance - Understanding Mechanisms Underlying Disparities in Mental Health Care Episodes 93.unknown No Award Number No 45,948 Subtotal of 93.unknown 93.unknown 1,833,418 Brigham and Women's Hospital - AMSA: ALXR/FPR Mediate Signaling in Severe Asthma No 12,490 Subtotal of ,490 Regents of the University of Michigan - Reducing Social Disparities of Heatwave Impacts in a Changing Climate No 7,094 Subtotal of ,094 Boston University - A Discrete Event Simulation Model of Environmental Exposures and Pediatric Asthma RA208305NGN No (4,805) Brown University - Air Pollution and Pregnancy Outcomes in New York City No 25,540 Brigham and Women's Hospital - Biomarkers of Exposure and Effect in a Traffic-Exposed Population No 194,091 Regents of the University of Michigan - Bisphenol A and Phthalate Exposure in relation to Fetal Growth and Preterm Birth No 40,211 Tufts University - Community Assessment of Freeway Pollution and Health (CAFEH) No Award Number No 12,889 Brigham and Women's Hospital - Diet, Physical Activity, and the Relationship Between Air Pollution and CVD No 161,849 Yale University - Effect of Air Pollution and Traffic on Birth Outcomes A07290(M09A10133) No 165,513 Brigham and Women's Hospital - Environment, Fetal Tissue DNA Methylation and Birthweight No 230,888 George Washington University - Environmental Endocrine Disruptors and Human Sperm Chromosomal Abnormalities M06 No 24,734 Fred Hutchinson Cancer Research Center - Epigenomic profiling of histone turnover kinetics in mammalian cells No 246,395 Silent Spring Institute - Ethical and Legal Challenges in Communicating Individual Biomonitoring and Personal Exposure Results to Study Participants: Guidance for Researchers and Institutional Review Boards SEAS No 32,171 Johns Hopkins University - Extreme Heat and Human Health: Characterizing Vulnerability in a Changing Climate No 34,853 Regents of the University of Michigan - Fetal Lead Exposure, Genes, and Neurodevelopment No 1,525 Giner, Inc. - Field-Deployable Monitor to Assess Personal Exposure to Multiple Heavy Metals GIC09-17 No 164,130 Brigham and Women's Hospital - Metal and Organochlorines Exposure: Impact of Adolescent Behavior and Cognition No 158,522 Children's Hospital Corporation - Metal Exposure and Children's Preschool Neurodevelopment PO No 133,860 Northwestern University - Micro-RNA Profiling and Cardiovascular Effects of Traffic Particle Exposure HC No 7,014 Yale University - National Assessment of the Mortality and Morbidity Effects of Tropospheric Ozone C10A10658 No 999 Regents of the University of California - Santa Cruz - Neurologic Function in children Exposed to Ambient Manganese S No 62,960 Massachusetts Institute of Technology - Production sequencing of reference human epigenomes No 514,915 Johns Hopkins University - Statistical Methods for Complex Environmental Health Data No 18,252 Brigham and Women's Hospital - Stress, Lead, Iron Deficiency and Neurodevelopment No 27,668 Subtotal of ,254,174 78

83 Yale University - Asthma Severity in Children and Fine Particle Composition A06348 (M06A00111) No (486) Brigham and Women's Hospital - Metal Mixtures and Neurodevelopment No 36,253 Subtotal of ,767 University of Maryland, Baltimore - Injectable and Strong Nano-Apatite / Stem Cell Scaffolds for Bone Regeneration SR No 65,986 Children's Hospital Corporation - Micromechanical Determinants of Organ Design and Engineering Purchase Order No 189,985 University of Medicine and Dentistry of New Jersey - Oral Colonization of Aggegatibacter in Primates No Award Number No 54,649 Children's Hospital Corporation - Oral vaccination for AIDS prevention in rhesus monkeys No 252,968 University of Puerto Rico - Periodontitis, Biomarkers and Cardiovascular Disease No 41,038 Brigham and Women's Hospital - Proteomics Approaches to Organogenesis Under Mass Spectrometry of Proteins Involved in Organogenesis BWH PS No 191,011 Brigham and Women's Hospital - SysCODE: Systems-based Consortium for Organ Design and Engineering No 29,749 The Forsyth Institute - T- Regulatory cells in Periodontitis No Award Number No 10,436 Subtotal of ,822 Colorado School of Mines - Remediation Effectiveness for Mining Sites: Hysteresis and Metal Mixtures Effects No 51,146 Subtotal of ,146 University of Botswana - Programmatic: Enhancing Medical Education and Health Research in Botswana No Award Number No 312,976 Subtotal of ,976 Beth Israel Deaconess Medical Center - Geriatric Training Program for Physicians, Dentists and Behavioral and Mental Health Professionals No Award Number No 103,843 Subtotal of ,843 Massachusetts Institute of Technology - A Data Analysis Center for Integration of Fly and Worm modencode Datasets No 167,107 California Institute of Technology - Center for In Toto Genomic Analysis of Vertebrate Development No (573,539) Lawrence Berkeley National Lab - Comprehensive Characterization of the Drosophila Transcriptome No 95,511 Arizona State University - Computational Analysis of Gene Expression Pattern Images No 43,590 Fred Hutchinson Cancer Research Center - Genome-wide Profiling of Histone Variants in Drosophila and Ceanorhabditis No 99,001 Dana Farber Cancer Institute - Mapping the human binary interactome network No 4,941 Stanford University - Production Center for Global Mapping of Regulatory Elements C No 222,730 The Broad Institute - Reconstruction of the Protein and Non-coding RNA circuits that control and maintain ES cell chromatin No 136,679 The Broad Institute - Center for Cell Circuits No 247,591 Subtotal of ,611 Brigham and Women's Hospital - Risk Factors for Hearing Loss No 40,017 Subtotal of ,017 Harvard Pilgrim Health Care, Inc - Economics Risk Decision Analyses of Post-Certification Immunization Policies for Polio No Award Number No (229) Subtotal of (229) Beth Israel Deaconess Medical Center - Clinical and Autonomic Effects of Mind-Body Exercise in COPD No 125,721 Beth Israel Deaconess Medical Center - Remedying Dysfunctional Angiogenesis and Tissue Ischemia with Barleria Lupulina No 18,106 The Queen's Medical Center - Tai Chi for Obesity: A Randomized Controlled Pilot Trial No Award Number No (17) Brigham and Women's Hospital - Use and Effectiveness of a Model Integrative Care Clinic in an Academic Hospital No 13,871 Subtotal of ,681 University of Chicago - Assessing the Effect of FDA Advisories on Provider, Patient, and Firm Behavior No 63,437 Children's Hospital Boston - Children's Hospital Boston Center for Quality Measure No 40,909 Children's Hospital Boston - Children's Hospital Boston Center of Excellence for Quality Measurement No 10,328 University of Washington - Communication to Prevent and Respond to Medical Injuries: WA State Collaborative No 65,908 Yale University - Consumer Assessment of Healthcare Providers and Systems A08572 (M08A00778) No 60,025 Harvard Pilgrim Health Care Foundation - Drug Cost Containment Changes and Quality of Care for Mentally Ill Dual Enrollees No Award Number No 51,888 Harvard Pilgrim Health Care, Inc - Intended and Unintended Consequences of Nonpayment for Preventable Complications No Award Number No 79,386 Health Research, Inc. - New York State Medical Liability Reform and Patient Safety Demonstration Project No 121,851 Dartmouth College - Technology Evaluation of Emerging Spine Surgery Interventions in the Elderly No 22,200 Subtotal of ,932 Brigham and Women's Hospital - Evaluating cardiometabolic and sleep health benefits of a workplace intervention No 24,997 Beth Israel Deaconess Medical Center - Neuronal Control Mechanisms of the Ascending Sleep Arousal Pathway No 276,624 Brigham and Women's Hospital - The Role of Circadian Periodicity in Human Cardiovascular Disease and Diabetes No 33,361 Subtotal of ,982 79

84 University of Illinois at Chicago - A Services Approach to Preventative Mental Health for Adolescent Refugees No (708) Rand Corporation - An In-Depth Investigation of Racial and Ethnic Disparities in Schizophrenia Care No 169,861 Group Health Cooperative/Center for Health Studies - ANTIDEPRESSANT TREATMENT AND RISK OF OBESITY No 51,333 Brigham and Women's Hospital - Community-based accompaniment with supervised antiretrovirals in Lima, Peru No 36,019 University of Chicago - Conte Center for Computational System Genomics of Neuropsychiatric Phenotypes (Projects 2 and 4) FP D No 133,692 Social + Scientific Systems, Inc. - Cost-Effectiveness Substudy for Promoting Maternal and Infant Survival Everywhere BRS-IMPCT-S No 41,417 Internet Solutions for Kids, Inc. - CyberSenga: Harnessing the Power of the Internet to Prevent HIV in Ugandan Youth No Award Number No (707) Yale University - Evaluating the Link Between HIV Prevention and Treatment A07383 (M09A10162) No 87,799 Regents of the University of California - San Diego - Expanding rapid ascertainment networks of schizophrenia families in Taiwan No 21,003 New England Research Institutes, Inc. - Health Effects of Dental Composites in Children No Award Number No 12,863 Fordham University - Health Risk Behavior in Late Childhood: Impact of Longitudinal Randomized Trial No Award Number No 48,193 Johns Hopkins University - Implementation of Federal Mental Health Parity No Award Number No 47,822 Regents of the University of Michigan - Implementing Chronic Care Management for Bipolar Disorder No 12,997 Regents of the University of California - San Francisco - Long-term CNS consequences of treatment during acute HIV infection sc No 4,334 Kaiser Foundation Research Institute - Medicare Drug Benefits and High Cost Medications: Antipsychotics Under Part D /KR No 61,664 Regents of the University of California - San Diego - Memory Functioning in children and Adolescents with Perinatal HIV Infection No 61,463 Henry M. Jackson Foundation for the Advancement of Military Medicine, Inc. - Modifiable Risk and Protective Factors for Suicidal Behaviors in the US Army No 1,788,195 National Bureau of Economic Research - Neighborhood Poverty and Mental Health of Low-Income Mothers- An Experimental Study HMS No 75,661 Children's Hospital Corporation - Network Science Methodology for Assessing PTSD Risk No 6,623 New York University School of Medicine - Networking Science Methodology of Assessing PTSD Risk No 16,786 Johns Hopkins University - OCD Collaborative Genetics Association Study No 17,733 Northern California Institute for Research and Education - Optimizing Cognitive Remediation Outcome in Schizophrenia VIN1399 No 15,360 University of Massachusetts Medical School - Preclinical Development of HIV-1 Vif Antagonists PO M No 9,067 Beth Israel Deaconess Medical Center - Predictors and Mechanisms of Conversion to Psychosis No 43,206 Yale University - Reducing Violence and HIV Risk Among War-Exposed Liberian Youth M12A11193(A08464) No 2,807 Social + Scientific Systems, Inc. - Statistical and Data Management Center - Pediatric AIDS CTG BRS-IMPCT-S No 539,735 Brigham and Women's Hospital - Statistical Methods for the Design and Interpretation of Deep Resequencing Studies No 66,011 University of North Carolina - Chapel Hill - Stress Response as Prospective Predictors of Girls' Suicidality and Self-Injury No 61,866 Columbia University - The Cross-National Epidemiology of Trauma Exposure and PTSD (Acct ) No 223,921 Beth Israel Deaconess Medical Center - Vulnerability to Progression in Schizophrenia (Administrative Core) P50 MH No 98,896 Beth Israel Deaconess Medical Center - Vulnerability to Progression Schizophrenia (Project 3) P50MH No 148,117 Subtotal of ,903,029 The Center to Protect Workers' Rights (CPWR) - Effectiveness of employee safety incentive programs in construction No 16,969 The Center to Protect Workers' Rights (CPWR) - Effectiveness of employee safety incentive programs in construction No 139,327 New York Center for Agricultural and Medical Health - Northeast Fisheries Winch Safety Improvement Project No Award Number No 63,595 Board of Trustees of the University of Illinois - Translocations in Dioxin Exposed Workers from Ufa (489986) No 16,373 Subtotal of ,264 The Center to Protect Workers' Rights (CPWR) - Adoption of Innovations to Minimize (AIM) Exposure to Dust and Fumes in Construction No 32,139 The Center to Protect Workers' Rights (CPWR) - Validating Safety Climate in a Contractor Safety Assessment Program (CSAP) PS No 21,939 Subtotal of ,077 San Diego State University Research Foundation - Administrative Core of the CIFASD (U24) H P No 13,739 Subtotal of ,739 McLean Hospital - Alpha Adrenergic Pharmacotherapy for Polydrug (Stimulant/Opiate) Abuse No 127,070 Regents of the University of Michigan - Ecologic Stressors, PTSD and Drug Use in Detroit No 32,551 Weill Medical College of Cornell University - Quality of life outcomes in prescription and injection opioid dependence No 14,253 Brandeis University - Research Center on Managed Care and Drug Abuse Treatment , No 38,141 Johns Hopkins University - Statistical Designs and Methods for Partially Controlled HIV/AIDS Studies No 69,170 Boston University - Strategies for Enhancing Extinction of Drug-Seeking Behavior No 186,115 Subtotal of ,299 Boston University - Evaluating the roles of schools in adolescent mental health service provision No 15,458 Subtotal of ,458 National Public Health Information Coalition - Planning and Management of a Public Health Comm and Community Engagement Project No 926 Subtotal of

85 Beth Israel Deaconess Medical Center - An XFM Interventional Guidance System for Cardiac Resynchronization Therapy R01ED No (8,528) University of Maryland, College Park - Depth-Resolved Quantitative Multi-Model Imaging for GI Cancer Detection Z No 23,369 Numerica Technology - Numerical Tools for Analyzing Cell Signaling Circuits in Normal and Tumor Cells No 4,681 Subtotal of ,522 Northeastern University - Culturing Uncultivatable Gut Microorganisms No 203,611 Subtotal of ,611 Brigham and Women's Hospital - Air Pollution, Stress and Urban Child Development No 25,350 The Forsyth Institute - EFFECTIVENESS AND IMPROVEMENT OF RURAL, SCHOOL-BASED, CARIES PREVENTION PROGRAMS HSPH2390 No 15,618 Northeastern University - Effects of a housing policy experiment on youth behavioral problems No 102,794 University of Massachusetts - Boston - Establishing Exploratory NCMHD Research Centers of Excellence (P20) No Award Number No (180) University of Puerto Rico - UPR-CHA Research Center of Excellence: Making a Difference for Latino Health No Award Number No 40,886 Subtotal of ,468 Massachusetts General Hospital - Molecular prostheses for mitochondrial disorders No 125,056 Dana Farber Cancer Institute - NMR Structure Determination of Membrane Proteins Enabled by DNA Nanotubes No 46,701 Brigham and Women's Hospital - Prevalence, risk factors and consequences of complex M. Tuberculosis infections No 5,126 Subtotal of ,883 University of Rochester - End-of-Life Quality of Care in Nursing Homes G No 102,462 University of Miami - Mitochondrial Determinants of Metabolic Disease in HIV-Infected Children R01NR No 35,195 Subtotal of ,656 Brigham and Women's Hospital - Perinatal Programming of Infant Stress Reactivity and the Atopic Phenotype No 93,292 Subtotal of ,292 Regents of the University of Michigan - CHARMM Modernization, Performance and Continued development No 74,197 University of Texas Health Science Center at San Antonio - Development of a barrier colony of common marmosets / No 32,385 Brigham and Women's Hospital - Functional Biomedical Informatics Research Network No 25,909 Dana Farber Cancer Institute - Small Molecule Screening and Cell-Based Assay Core No 155,711 Subtotal of ,202 Columbia University - National Center for Multi-Scale Study of Cellular Networks No 551 Columbia University - National Center: Multi-Scale Study of Cellular Networks No 162,489 Subtotal of ,040 University of Southern California - A Genome-wide Association Study of Prostate Cancer in African Americans H48688 No 899,706 University of Texas - A Genomewide Association of Study of Lung Cancer in Never Smokers / No 38,597 Brigham and Women's Hospital - A prospective analysis of peripheral blood cytokines and nonohodgkin lymphoma No 11,001 Dana Farber Cancer Institute - CanCORS: Cancer Statistical Coordinating Research Center No 238,861 Dana Farber Cancer Institute - CanCORS: Statistical Coordinating Research Center No 258,712 Dana Farber Cancer Institute - Cellular Targets of the Papillomavirus E6 Oncoproteins No Award Number No 198 Brigham and Women's Hospital - Characterizing Genetic Susceptibility to Breast and Prostate Cancer; the BPC No 269,928 Brigham and Women's Hospital - Cohort Study of Genetic Susceptibility to Breast Cancer No 31,273 Brigham and Women's Hospital - Cohort Study of Genetic Susceptibility to Cutaneous Malignant Melanoma No (6,740) Dana Farber Cancer Institute - Comparative Modeling: Informing Breast Cancer Control Practice and Policy No 17,309 Brigham and Women's Hospital - Cysteine, Related Gene Variants and Breast Cancer Risk No 3,428 Brigham and Women's Hospital - Dietary and Hormonal Determinants of Cancer in Women (Core C) No 150,972 Columbia University - Dietary Factors and Risk of Pancreatic Center in a Pooled Analysis No 17,255 University of Southern California - Elucidating Loci involved in Prostate cancer Susceptibility H46392 No 13,596 Dana Farber Cancer Institute - Epigenetic Events and Colorectal Cancer No 24,508 Brigham and Women's Hospital - Genetic Susceptibility to Endometrial Cancer No (27) Brigham and Women's Hospital - Growth Factor's and Lethal Prostate Cancer Signature No 183,645 Boston University - Health Advocates as a Vehicle to Improve Treatment for Smokers in Public Housing No 41,184 Dana Farber Cancer Institute - Papillomavirus E2 Growth Suppression Mechanisms No 332,922 Henry M. Jackson Foundation for the Advancement of Military Medicine, Inc. - Pesticide Exposure and DNA Methylation in Pesticide Applications No 40,022 University of Massachusetts - Worcester - RCT for Smoking Cessation in 10 Medical Schools /RFS No 36,918 Roswell Park Cancer Institute - Roswell Park Subcontract, Testing Tobacco Products Promoted to Reduce Harm No Award Number No 10,612 Brigham and Women's Hospital - Sex Steroid Hormones, Gene Variants and Colorectal Cancer No 10,146 Brown University - The Epidemiology of Molecular Alterations in Mesothelioma No 10,427 Dana Farber Cancer Institute - The Function of Snf5, an Epigenetic Tumor Suppressor No 38,514 Brigham and Women's Hospital - The Role of Prolactin in the Etiology of Postmenopausal Breast Cancer No (1,175) Harvard Pilgrim Health Care Foundation - Unified Approaches for Missing Data in Observational Studies AH No 6,245 Brigham and Women's Hospital - Whole Genome Association Study of Mammographic Density No 168,454 Subtotal of ,846,492 81

86 Purdue University - Exploratory Study of Environmental Effects on Activity/ Overweight in Older Women No 757 Brigham and Women's Hospital - Harvard Genome Characterization Center (U24) No 84,277 Beth Israel Deaconess Medical Center - Harvard/Michigan/Cornell Prostate Cancer Biomarker Clinical Validation Center No 87,326 Dana Farber Cancer Institute - Molecular and Genetic Analysis of Neuroendocrine Tumor Risk and Survival No 74,652 Massachusetts General Hospital - Quantitative Analysis of Pharmacological Mechanism by Intravital Imaging No 216,394 The Broad Institute - The Cancer Gemone Atlas Data Analysis Center No 275,154 Subtotal of ,559 University of Utah - Anti-Cancer Agents From Unique Natural Product Sources No 997 Dana Farber Cancer Institute - Black-White Differences in Advanced Cancer Communication, Acceptance and Care No 11,426 Massachusetts General Hospital - Center for Molecular Imaging Research, Project 4 - CD8 Imaging No 67 Massachusetts Institute of Technology - Optical Biopsy Using Optical Coherence Tomography No 78,067 Subtotal of ,556 The Methodist Hospital Research Institute - High-content Image Analysis and Modeling for RNAigenome-wide Screening No 153,897 Burnham Institute for Medical Research - Intravital Microscopy Core HMS-04 No 145,241 Whitehead Institute for Biomedical Research - Mechanism of Breast Development and Carcinogenesis (Project 4) (Project 4) No 271,425 Brigham and Women's Hospital - Molecular Pathogenesis of the Hamartoma Syndromes P01 Project 1: Tuberous Sclerosis-Pathway and Pathogenesis No 137,734 Brigham and Women's Hospital - Molecular Pathogenesis of the Hamartoma Syndromes- Project No 285,020 Drexel University - Role of Nutrient Sensor O-GlcNAc Transferase in Regulating Cancer No 15,053 Brigham and Women's Hospital - Sex Hormones and the TMPRSS2:ERG Fusion in Prostate Cancer Progression No 182,577 Subtotal of ,190,947 Brigham and Women's Hospital - Behavioral and Biologic Factors Associated with Tanning Bed Use and Cessation No 2,011 Dana Farber Cancer Institute - Biguanides for the treatment of Prostate Cancer No 55,037 Dana Farber Cancer Institute - Cancer Center Support Grant HSPH-S5 No 235,805 Dana Farber Cancer Institute - Cancer Center Support Grant HMS-46S5 No 665,390 Dana Farber Cancer Institute - Cancer Center Support Grant HSPH-47 No 31,919 Dana Farber Cancer Institute - Comprehensive Partnerships to Reduce Cancer Health Disparities No 161,863 Dana Farber Cancer Institute - Dana-Farber/Harvard Cancer Center SPORE in Lung Cancer p No 83,029 Dana Farber Cancer Institute - DF/HCC SPORE IN GASTROINTESTINAL CANCER No 31,381 Dana Farber Cancer Institute - In vivo analysis of signaling dynamics in the Notch interaction network No 99,572 Massachusetts Institute of Technology - MIT Center for Single-Cell Dynamics in Cancer (SCDC) No 162,588 Regents of the University of New Mexico - Population-based Research Optimizing Screening RF82 No 158,202 Massachusetts Institute of Technology - Regulatory Networks in Cancer Initiation and Progression No 114,356 Univ of TX M.D. Anderson Cancer Ctr - Regulatory T Cell Compartment (Project 2) / No 98,203 Dana Farber Cancer Institute - SPORE in Lung Cancer (Project 1) P No 211,587 Dana Farber Cancer Institute - Spore in Lung Cancer Project No Award Number No (4,456) Dana Farber Cancer Institute - Understanding the role of histone methylation in transcription regulation No 67,598 Subtotal of ,174,086 Dana Farber Cancer Institute - DFCI Training Grant No Award Number No 51,208 Dana Farber Cancer Institute - The regulation of the WAVE complex by phosphorylation No Award Number No 42,938 Dana Farber Cancer Institute - Tumor Cell Biology Training Program No Award Number No 103,739 Dana Farber Cancer Institute - Tumor Cell Biology Training Program No Award Number No 10,913 Subtotal of ,798 Brigham and Women's Hospital - Aspartame Intake and Risk of Cancer No 3,992 Massachusetts Institute of Technology - Center for Cancer Nanotechnology Excellence (Pilot Project 1) No (2,413) Subtotal of ,579 Commonwealth of Massachusetts/Department of Public Health - Mass in Motion: Community-Clinical Partnerships to Reduce Childhood Obesity RESEARCHSERVEHH20000 No 124,081 Subtotal of ,081 82

87 Brigham and Women's Hospital - Air Disinfection Technology Innovation for Resources Limited Settings Yes 44,884 Brigham and Women's Hospital - Automated Integration of Biomedical Knowledge Yes 143,354 Duke University - CARRA: Accelerating Toward an Evidence-based Culture in Pediatric Rheumatology Yes (783) University of Maryland, College Park - Coinfection and resistance impact on influenza aerosol generation and control Z Yes 66,144 Children's Hospital Boston - Comparative Phenotypic, Functional, and Molecular Analysis of ESC and ipsc Yes 103,788 Children's Hospital Boston - Comparative Phenotypic, Functional, and Molecular Analysis of ESC and ipsc Yes 193,939 Children's Hospital Boston - Comparative phenotypic, functional, and molecular analysis of ESC and ipsc Yes (1,594) Hospital for Special Surgery - Defining Common Molecular Parameters for Onset and Progression of Osteoarthristis No Award Number Yes 168,706 University of North Carolina - Chapel Hill - Development of a novel vaccine for protection against gammaherpesvirus infection Yes 59,051 University of Miami Miller School of Medicine - Dietary intakes and patterns, biomarkers, and material and infant outcomes in HIV SiteNo3 Yes 78,206 Vanderbilt Medical Center - Differentiation of ips Cells from Type 1 Diabetes into Hematopoietic Stem Cells VUMC36016 Yes 499,304 University of Wisconsin - Discovery of natural product-based drugs from symbionts of insects K961 Yes 273,678 Brown University - Effect of Prescription Drug Benefits on Cardiovascular Outcomes in the Elderly Yes 22,592 University of Mississippi - Enabling imputation and CNV analysis in genetic studies of African Americans HMS02 Yes (84,149) Beth Israel Deaconess Medical Center - Endothelial Dysfunction, Oxidative Stress, and Risk of Peripheral Arterial Disease Yes 101,361 Harvard Pilgrim Health Care, Inc - Epidemiology and Epigenetics: Maternal Diet, DNA Methylation and Offspring Adiposity AR Yes 16,373 Tufts University - Epigenetics behind long-term and transgenerational effects of adolescent behavior HSZ052 Yes 88,921 Brigham and Women's Hospital - Epstein-Barr Virus: A persistent vaccine vector Yes 2,175 Cambridge Health Alliance - Ethnic and Racial Bias in Screening for Psychiatric Disorders in Adolescents No Award Number Yes 182,817 Massachusetts Eye and Ear Infirmary - Evaluation of New Strategies and Compounds to Treat MRSA Infections Yes 128,024 Johns Hopkins University - Generation and Characterization of Amyotrophic Lateral Sclerosis IPS cells Yes 14,509 University of Washington - Genetic risks for ALl in ARDSnet and the ispaar Consortium Z Yes 107,828 Brigham and Women's Hospital - Genome Wide Association Study of Endometrial Cancer Yes 7,892 Fred Hutchinson Cancer Research Center - Genome-wide Profiling of Histone Variants in Drosophila and Ceanorhabditis Yes 7,069 National Bureau of Economic Research - Hospital Integration and Medicare Reimbursement Policy Yes 4,361 Brigham and Women's Hospital - HSDRC (Harvard Skin Disease Research Center) - Leukocyte Migration Core Yes (1) Children's Hospital Corporation - Human autism genetics and activity dependent gene activation No Award Number Yes 174,398 Brigham and Women's Hospital - Inflammation/Oxidation, Omega-3's, and Post-Op AFib and Cognitive Decline Yes 411,321 Children's Hospital Corporation - Metal Exposure and Children's Preschool Neurodevelopment Yes 53,334 Henry M. Jackson Foundation for the Advancement of Military Medicine, Inc. - Modifiable Risk and Protective Factors for Suicidal Behaviors in the US Army Yes 256,160 Johns Hopkins University - North American AIDS Cohorts Collaboration on Research and Design Yes 26,095 University of Washington - Novel Methods of Measuring Health Disparities Z Yes 35,970 Brown University - Nudging Doctors to Collaborate with Pharmacists to Improve Medication Adherence Yes 21,572 Brigham and Women's Hospital - Physical Activity and Diet in the Prevention of Obesity in Men and Women Yes 22,275 Children's Hospital Corporation - Primary care imet to reduce teen tobacco, alcohol and drug use Yes 2,320 University of Massachusetts Medical School - Project 3: Viral Regulation of TLR and Cytoplasmic Signaling /RFS Yes 85,209 University of Pennsylvania - Reducing Cardiovascular Risk Using Novel Incentive Approaches Yes 50,481 Mount Sinai School of Medicine - Role of IGF-1 Receptor Signaling Pathways in Cell Survival and Migration Yes 22,759 Brigham and Women's Hospital - Stopping Rules for Cumulative Drug Safety Monitoring Using Healthcare Databases Yes 11,791 University of Nebraska at Lincoln - Structural insights into redox homeostasis Yes (5,083) Dana Farber Cancer Institute - T-Cell Antigen Recognition Yes 6,973 Brigham and Women's Hospital - T. Vaginalis Viruses as Mucosal Immunity Modifiers with Impact on Women's Health Yes 57,670 Brigham and Women's Hospital - Targeted Blood-Brain Disruption using Focused Ultrasound in a Large Animal Model Yes 22,704 Children's Hospital Boston - Tetrahydrobiopterin and pain Yes 30,182 American Society for Cell Biology - The Cell: An Image Library Yes 21,406 National Bureau of Economic Research - The Effect of Health Insurance on Utilization and Outcomes: The Oregon Experiment ARRA-HU Yes 101,967 National Bureau of Economic Research - The Effect of Health Insurance on Utilization and Outcomes: The Oregon Lottery ARRA-HMS Yes 46,813 Brigham and Women's Hospital - The Epidemiology of Home Allergens and Asthma Yes 23,092 Univ of TX M.D. Anderson Cancer Ctr - The Role of Aberrant Splicing of EVII in Ovarian Cancer / Yes (874) Univ of TX M.D. Anderson Cancer Ctr - Validation and extension of an existing risk model for lung cancer / Yes 30,655 Subtotal of ,737,638 Brigham and Women's Hospital - Informatics for Integrating Biology and the Bedside No 133,400 Brigham and Women's Hospital - Informatics for Integrating Biology and the Bedside No 82,111 Subtotal of ,511 Brigham and Women's Hospital - Perinatal Stress and Programming of Childhood Wheeze and Lung Function No 153,174 Subtotal of ,174 83

88 Brigham and Women's Hospital - A Planning Study: Sleep Apnea Intervention for Cardiovascular Disease Reduction No 17,297 Brigham and Women's Hospital - Adult Tissue Morphogenesis: Functional Regulation of Intussuceptive Angiogenesis No 95,737 Brigham and Women's Hospital - Calcium-phosphorus metabolism and the risk of cardiovascular disease No 24,936 New England Research Institutes, Inc. - Candidate Gene Evaluation Core Facility for the PCGC No Award Number No 362,811 Brigham and Women's Hospital - Carbohydrate: Amount and Type Affecting Risk for CVD and Diabetes No 39,806 Massachusetts General Hospital - Determination of the role of endothelial and mesenchymal cells in regulating lung No 50,515 DRVision Technologies LLC - Efficient Patient-Specific Cell Generation by Image-Guidance A15268 No 88,386 Brigham and Women's Hospital - Genetic Determinants of COPD in Diverse Ethnic Groups No 33,106 Brigham and Women's Hospital - Genetic Features of Gender Differences in COPD No 14,650 Regents of the University of Michigan - Genetic Modification of Triggers of Acute Myocardial Infarction No 27,365 Joslin Diabetes Center - Genetics of Coronary Artery Disease in Type 2 Diabetes No Award Number No 46,095 University of Washington - Glycogen Metabolism and PRKAG2 cardiomyopathy No (39) University of Mississippi - Health Disparities and CVD: Admixture Mapping in the Jackson Heart Study HMS No (25,167) Massachusetts General Hospital - Human Pluripotent Stem Cell and Progenitor Models of Cardiac and Blood Diseases No 218,655 Massachusetts General Hospital - Human Pluripotent Stem Cells and Progenitor Models of Cardiac and Blood Diseases- Research Component No 133,608 Brigham and Women's Hospital - Identification of Molecular and Genetic Mechanisms of Atrial Fibrillation No 245,023 Children's Hospital Corporation - Image-guided Intracardiac Beating-Heart Surgery HL No 198,900 Massachusetts General Hospital - Integrating lipid genotypes and phenotypes in ips-derived hepatocyes/adipocytes No 64,161 Massachusetts General Hospital - Integrating Lipid Genotypes and Phenotypes inios-derived Hepatocyes / Adipocytes No 56,596 Massachusetts General Hospital - Microenvironmental Control of Progenitors in Organ Dysfunction and Repair No 192,455 Brigham and Women's Hospital - Modifiable Effectors of Renin System Activation: Treatment Evaluation No 25,127 Duke University - Novel Mechanisms and Therapies in Heart Failure No 53,767 Stanford University - Predicting patients outcomes with bio/genetic markers via empirical models A No 88,969 Brigham and Women's Hospital - Rick Factors for Ischemic Stroke in Women No 4,856 Brigham and Women's Hospital - Risk Factors for CVD in Women No 36,489 New England Research Institutes, Inc. - RNA Expression Core Facility for the B2B CvDC No Award Number No 451,966 Carnegie Mellon University - Robotic Crawler for Epidcardial Interventions No 20,995 University of Hawaii - Statins and the Effect of HIV Induces Inflammation on Cardiovascular Complications ZA02210 No 18,136 Brigham and Women's Hospital - Violence, Genes and Cardiovascular Events in Women No 16,139 Subtotal of ,601,342 Brigham and Women's Hospital - Common Genetic Determinants of Asthma and COPD: Program Project Statistical Core No 91,721 Albert Einstein College of Medicine - Early Insulin Therapy and Development of ARDS No 112,106 Brigham and Women's Hospital - Genetic Epidemiology of COPD: Genome-Wide Analysis No 275,771 Brigham and Women's Hospital - Genetics and Gene Expression Profiling in Asthma No 3,967 University of Chicago - HLA-G-LILRB-SHP2 Axis in Airway Smooth Muscle B No 19,971 Brigham and Women's Hospital - Identifying Genetic Determinants of Severe Early Onset COPD No 1,330 Brigham and Women's Hospital - Intrauterine smoke exposure and asthma: Genomic Origins No 15,628 Brigham and Women's Hospital - Lung Vitamin D and Omega-3 Trial No 231,122 Regents of the University of Michigan - Mesenchymal Cell Fate Determination by Extracellular Matrix Stiffness No 40,693 University of Colorado - Pathobiology of HIV (SIV)-induced angioproliferative pulmonary hypertension FY No 33,999 Brigham and Women's Hospital - Project 1: Genetics of COPD No 70,730 Brigham and Women's Hospital - Prospective Trial of Simvastatin in the Prevention of COPD Exacerbations No 2,733 Massachusetts General Hospital - Protective Role of the S1P-S1P1 Pathway in Pulmonary Fibrosis No 63,611 Brigham and Women's Hospital - The Genetic Epidemiology of Asthma in Costa Rica No 41,072 University of Chicago - Therapeutic Potentiation of Bronchial Dilatation No 179,362 Brigham and Women's Hospital - Weiss T32HL CLINICAL EPIDEMIOLOGY OF LUNG DISEASES T32HL No 50,000 Brigham and Women's Hospital - Weiss T32HL CLINICAL EPIDEMIOLOGY OF LUNG DISEASES No Award Number No 18,000 Subtotal of ,251,815 Immune Disease Institute, Inc - Immune Receptor Recognition and Signaling in Cell Membrane No Award Number No 286,048 Beth Israel Deaconess Medical Center - Program in Blood Coagulation and Vascular Biology No Award Number No 44,336 Children's Hospital Boston - T32 at Children's: David Williams Program Director No Award Number No 16,040 Subtotal of ,424 Spaulding Rehabilitation Hospital - Adiposity and Bone Loss in Spinal Cord Injury No Award Number No 132,523 Hebrew Rehabilitation Center for Aged - Building Interdisciplinary Research Teams No 48,189 Brigham and Women's Hospital - Clinical Orthopedic and Musculoskeletal Education and Training No 45,590 The Forsyth Institute - Role of NHA-oc/NHA2 in Osteoclast Differentiation and Function HMSVA NIH2320 No 4,190 Memorial Sloan Kettering - The Framingham School Study of Nevi in Children: Sonic II No Award Number No 98,752 Subtotal of ,244 84

89 Brigham and Women's Hospital - Acid-base status and the development of hypertension and diabetes No 19,666 Brigham and Women's Hospital - Biochemical and Genetic Markers of Type 2 Diabetes No 372,612 Brigham and Women's Hospital - Biochemical and Genetic Markers of Type 2 Diabetes No (3,096) Brigham and Women's Hospital - Biochemical and Genetic Markers of Type 2 Diabetes Risk No 30,489 Boston Medical Center - Boston Obesity Nutrition Research Center No 273,400 Massachusetts General Hospital - Common Genetic Variation and Diabetes Traits in Framingham NCE No 48,684 Massachusetts General Hospital - Common Genetic Variation and Quantitative Diabetes Traits No 10,933 Children's Hospital Boston - Customized stem cells for clinical application in blood disorders No 109,173 Children's Hospital Corporation - Developing a novel mouse model to study the role of inflammation in driving IBD No 32,341 Children's Hospital Boston - Dietary modulation of drug metabolism in the distal gut No 18,750 Children's Hospital Boston - Food and Beverage Patterns that Predict Weight Gain Among Adolescents No 23,811 University of Utah - Functional Genomics of the Mitochondrial Proteome No 31,386 Children's Hospital Boston - Interrogating the Role of ALPK1 and TIFA as Susceptibility Genes in Inflammatory Bowel Disease No 30,445 Children's Hospital Boston - Interrogating the Role of ALPK1 and TIFA as Susceptibility Genes in Inflammatory Bowel Disease PO No 3,182 Joslin Diabetes Center - Joslin Diabetes NIH T32 Training Granti No 30,163 Massachusetts General Hospital - Linking Lifestyle to the Oral and Gut Microbiota in a Large Prospective Cohort No 15,995 Vanderbilt University - Modified RNA to Control Pancreatic Cell Fates VUMC No 302,614 Brigham and Women's Hospital - Physiology of Thyroid Hormone-dependent Gene Expression No 20,773 Vanderbilt University - Rational maturation of beta cells based on in-depth profiling (RatMat) VUMC No 194,493 Children's Hospital Boston - Regulation of Triglyceride Metabolism by the transcription factor CREB-H No 6,030 Boston Medical Center - Risk Factors for Barrett's Esophagus No 37,671 Subtotal of ,609,515 Boston Medical Center - Boston Obesity Nutrition Research Center No (2,740) Children's Hospital Boston - The pervasive effects of citrobacter rodentium infections on the mouse gut microbiota purchase order No 28,625 Subtotal of ,885 Brigham and Women's Hospital - Risk Factors for Recurrent Nephrolithiasis No (2,085) Brigham and Women's Hospital - The Pathobiology of Nephrolithiasis - Project No 31,362 Brigham and Women's Hospital - The Pathobiology of Nephrolithiasis (Core A) No 46,700 Subtotal of ,977 Brigham and Women's Hospital - Antigen Specific Therapy in CNS Autoimmune Diseases: Project No 26,882 Michigan State University - Clinicopathological Correlates of Cerebral Malaria HA No 15,851 University of Hawaii - HIV and Global Drug therapies: Peripheral Neurophathy Complications and Mechanisms ZA03067 No 33,801 Dana Farber Cancer Institute - Molecular Mechanisms of Fate Choice in Neural Stem Cells: Core B- Transcriptional Control of Inhibitory Synapse Development /Core B No 158,904 Dana Farber Cancer Institute - Molecular Mechanisms of Fate Choice in Neural Stem Cells: Project 3- Transcriptional Control of Inhibitory Synapse Development /Project 3 No 305,614 Washington University - Neurologic AIDS Research Consortium WU No 79,063 Regents of the University of California - San Francisco - Peripheral Reservoir of HIV DNA In Monocytes Pivitol to Cognition in HIV sc No 15,158 Brigham and Women's Hospital - Prospective Study of Restless Legs Syndrome No 54,381 Columbia University - Protocadherin Gene Expression and Function No 109,310 Dana Farber Cancer Institute - Reprogramming neural energy metabolism for control of excitability and seizures No 68,340 Brigham and Women's Hospital - Role of B7 costimulation in induction and regulation of EAE No 149,303 Brigham and Women's Hospital - Small Molecule Probes for Elucidating Necrotic Cell Death Mechanisms No 95,772 Children's Hospital Boston - TRP channels as drug portals to block calcium channels and synaptic transmission No 189,696 Subtotal of ,302,075 85

90 Children's Hospital Corporation - A cellular receptor for New World arenaviruses No (253) Children's Hospital Corporation - A cellular receptor for New World arenaviruses No 2,082 Beth Israel Deaconess Medical Center - A SIV/rhesus monkey penile mucosal transmission model No 12,206 Massachusetts General Hospital - Acute HIV Infection: Implications for vaccine design No 67,595 Brigham and Women's Hospital - Allergens in Inner-City Schools and Childhood Asthma No 20,491 Duke University - An in Vivo Cytolytic CD8+ T Lymphocyte Assay for Evaluating AIDS Vaccine Efficacy No 198,308 Beth Israel Deaconess Medical Center - CAVR - Project 5: Immunoglobulins Delivered by AAV Vector for the Prevention of SIV Infection No 388,035 Beth Israel Deaconess Medical Center - CAVR Administrative Core (A2): NEPRC No 56,678 Beth Israel Deaconess Medical Center - CAVR Immunology Core (C1) No 136,353 Brigham and Women's Hospital - Cellular and Molecular Effectors of Synovitis Core B: Arthritis Genomics and Bioinformatics Core No 61,283 Brigham and Women's Hospital - Cellular and Molecular Effectors of Synovitis- Project 1: CpG-mediated dampening of the effector phase of arthritis No 80,715 New York University Langone Medical Center - Characterization of Pupylation in Mycobacterium Tuberculosis : Project No 25,217 Massachusetts Eye and Ear Infirmary - Compounds and Strategies for Treating MRSA and VRE No Award Number No 261,321 Harvard Pilgrim Health Care, Inc - Conjugate vaccine impact of pneumococcal carriage, disease, and population (SPARC2) PH000391A No 359,202 Massachusetts General Hospital - Cost Effectiveness of Preventing HIV Complications No 87,743 Yale University - Costimulatory Mechanisms of Autoimmunity (Composite) A08022 (M11A10892) No 795,212 Regents of the University of California - San Diego - Determinants of HIV Transmission No 47,386 Michigan State University - Determinants of Malaria Disease in Malawi RC060860HSPH No 19,249 Microbiotix, Inc. - Developing small molecule therapeutics for Ebola hemorrhagic fever virus HMS001 No 86,219 Massachusetts Eye and Ear Infirmary - Development of anti-biofilm agents that target staphylococcal biofilms No Award Number No 133,627 Dana Farber Cancer Institute - Eliciting B Cells to Produce Anti-HIV gp41 MPER-specific Neutralizing Antibodies No 201,559 Brigham and Women's Hospital - Epidemiology and Transmission Dynamics of MDR/XDR Tuberculosis No 187,436 University of Hawaii - Global HIV Drug Therapies and Mitochonrdrial Complications and Mechanisms ZA16503 No 27,668 Massachusetts General Hospital - Immunoregulatory Function of Myelomonocytic Receptors in HIV-1 Infection No 14,246 Johns Hopkins University - Impact of Nutritional Status on Early HIV Treatment Failure in Resource-limited settings No 66,781 Microbiotix, Inc. - Inhibitors of wall teichoic acid biosynthesis in Staphylococcus aurous No Award Number No 7,919 Social + Scientific Systems, Inc. - International Neurological Study BRS-ACURE-S No 413,322 Beth Israel Deaconess Medical Center - Live Attenuated SlV-Mediated Protection Against Mucosal SIV Infection - Project No 404,523 Florida State University - M Tuberculosis Membrane Protein Pharmaceutical Targets R01237 No 242,944 Beth Israel Deaconess Medical Center - Mechanisms of SIV persistence No 143,196 Massachusetts General Hospital - Multidisciplinary AIDS Training Grant No 47,939 Johns Hopkins University - North American AIDS Cohorts Collaboration on Research and Design No 10 Johns Hopkins University - North American AIDS Cohorts Collaboration on Research and Design No 48,262 Massachusetts General Hospital - Novel Methods to inform HIV/TB clinical trial development No 723 Microbiotix, Inc. - Novel Methylenecyclopropane Analogues as Anti-Human Herpesvirus 6 and 8 Agents A17998 No 6,619 Dana Farber Cancer Institute - Novel vaginal microbicides based on stable AAV-neutralizing antibody gene transfer No 300,693 Massachusetts General Hospital - Optimizing HIV Care in Less Developed Countries No 168,273 University of Pittsburgh - Pathogenesis of New SIVsm Lineages in Rhesus Macaques No (77,196) Emory University - PD-1 Reagent Core, Core B S No 125,668 Vanderbilt Medical Center - Pharmacogenomics of HIV Therapy VUMC No 68,411 Boston University - Phase 2 Pharmacodynamic Study of High-dose Levofloxacin No Award Number No 2,048 Tulane University - Population-based Approach to malaria Research and Control TUL-HSC /12 No 184,851 Massachusetts General Hospital - Project 3 - Induced tolerogenic dendritic cell therapy of allergic diseases No 286,811 Beth Israel Deaconess Medical Center - Role of Fe Receptor Polymorph isms In Antibody-Mediated Protection No 1,162 Duke University - Role of Mucosal NK Cells in Control and Pathogenesis of Lentivirus No 266,533 86

91 Duke University - Role of natural killer cells in vaccine-elicited control of HIV/SIV Infections No (37,129) Rockefeller University - Simianizing Hepatitis C virus: Defining the species-tropism of a hepatotropic virus R01AI No 23,383 Beth Israel Deaconess Medical Center - SLAM gene family controlled pathways to SLE No Award Number No 52,624 Fred Hutchinson Cancer Research Center - Standardizing the isolation and characterization of intestinal cells from NHP No 48,880 Dana Farber Cancer Institute - Structural Approaches to HIV-1 Immunogen Design for BNAb Generation No 147,266 Dana Farber Cancer Institute - Structural Determinants of TCR Assembly and Signaling No 30,128 Brigham and Women's Hospital - TIM Family of Genes: Role in T Cell Immunity and Tolerance (Core C) No 68,214 Microbiotix, Inc. - Type III secretion inhibitor for Anti-Infective Therapy No Award Number No 40,258 Subtotal of ,352,694 Regents of the University of Michigan - Redefining Cerebral Malaria HSPH No 34,453 Subtotal of ,453 Boston College - Viral Evolution in Peripheral Macrophages and Brain during Progression to AIDS No 28,454 Subtotal ,454 Massachusetts Institute of Technology - An Integrated Approach to Diversity-Oriented Synthesis No 174,953 Massachusetts Institute of Technology - An Integrated Approach to Diversity-Oriented Synthesis No 568,020 Massachusetts Institute of Technology - An Integrated Approach to Diversity-Oriented Synthesis No (510) DRVision Technologies LLC - Analysis of Tracking Based Phenotypes in CNS DRV001 No 73,100 Albert Einstein College of Medicine - Atoms-to-Animals: Structural Genomics of Immunity No 61,068 University of Virginia - Cell Migration Consortium GC No (3,485) Boston University - Computational Methods for Transcriptional Mapping of Eukaryotic Genomes GC NGC No 11,963 Massachusetts General Hospital - Core C: Protein Chemistry No 260,333 Brigham and Women's Hospital - Genetic Predictors of Response to Anti-TNF Therapy in Rheumatoid Arthritis No 104,149 Columbia University - Influenza Outbreak Prediction: Applying Data Assimilation Methodologies to Make Skillful Forecasts of an Inherently Chaotic, Nonlinear System No 10,728 University of Texas Southwestern Medical Center - Mechanisms Regulating Clathrin-Mediated Endocytosis No 174,157 Regents of the University of California - Berkeley - Molecular Regulation of Choanoflagellate-Bacteria Signaling Interactions No 21,180 Regents of the University of California - Santa Cruz - Pathways that Integrate Cell Growth with the Cell Cycle S No 70,924 Massachusetts General Hospital - Project 1: Locating General Anesthetic Binding Sites in GABAa and Acetylcholine Receptors No 293,811 Northwestern University - Regulation and Function of Intermediate Filaments in Cell Mechanics HC No 268,237 Northwestern University - Regulation and Function of Intermediate Filaments in Cell Mechanics HC No 246,681 Massachusetts Institute of Technology - Single-molecule imaging with super-resolution: probe development, cellular targeting, optics, and application to neuroscience No 177,599 Fred Hutchinson Cancer Research Center - Statistical Methods for Prospective Evaluation of Biomarkers No 33,707 Texas A&M Research Foundation - Structures of M. tuberculosis proteins conferring susceptibility to known M. tuberculosis inhibitors S No 314,565 Massachusetts Institute of Technology - Systems Biology of Cell Decision Processes No 1,557,043 University of Texas - Austin - The Biophysical Basis of Translational Selection UTA No 27,735 New York Structural Biology Center - Transcontinental EM Initiative for Membrane Protein Structure Subcontract Agreement 1 No 94,895 Children's Hospital Boston - Transcription Cofactors in Differentiation No 249,278 Sanford Burnham Medical Research Institute - Ultrastructural Basis of Mechanotransduction In Matrix Adhesions PFHC-01 No 118,797 Subtotal ,908,928 Vanderbilt University - Structural Analyses of Fission Yeast Splicing Complexes VUMC9994 No (99) Subtotal of (99) Princeton University - Adversity and Resilience after Hurricane Katrina No 111,757 Brigham and Women's Hospital - Immunology, Inflammation and Endometriosis No 30,614 Subtotal of ,371 87

92 Boston University - A Comparative Approach to Social Inequalities in Health No 19,628 Brigham and Women's Hospital - Causes and Impact of Minority Stress on Health and Development in Youth No 48,475 National Bureau of Economic Research - Children and Neighborhoods: A Randomized Study of Mobility HMS No 178,318 Tulane University - Coordinating Center for the Pediatrics HIV/AIDS Cohort Study II TUL-HSC No 9,014 Massachusetts Institute of Technology - Economic and Health Impacts of Hospitalization and Maternity Insurance in India No 25,306 Northeastern University - Effects of a neighborhood experiment on adolescent female psychological distress P No 44,776 San Diego State University Research Foundation - Health, Poverty and Place: Modeling Inequalities in Accra Using RS and GIS E-P No 202,959 Harvard Pilgrim Health Care, Inc - Improving Primary Care to Prevent Childhood Obesity No Award Number No 2,629 New York University - Parenting and Adolescents: A Pooled Data Analysis of Ethnically Diverse Families F No 13,520 Tulane University - Pediatric HIV/AIDS Cohort Study (PHACS) TUL-HSC /12 No 1,371 Center for Applied Linguistics - Predicting Spanish-Speaking Children's Growth in Reading Pre-K Through Seventh Grade NICH No 192,726 University of Puerto Rico - Pregnancy and Early Lifestyle improvement Study (PEARLS) No Award No No 28,943 University of Illinois at Chicago - Racial Discrimination in Online Contexts: The Impact on Adolescent Adjustment Over Time No 27,840 University of Illinois at Chicago - Racial Discrimination in Online Contexts: The Impact on Adolescent Adjustment Over Time Y88628 No 4,579 Children's Hospital Corporation - Serotonin and GABA Neuron Subtypes- their Development and Function (Project 5) No Award Number No 334,575 Brigham and Women's Hospital - Tailored Nutrition and Food Security Interventions in Comprehensive HIV Care No 11,043 Boston University - Teratogenicity of Drugs Most Commonly Used in Pregnancy No 144,796 New York University - Testing CSRP's impact on low-income children's outcomes in 3rd-5th Grade: A 5-Year follow-up F No 50,515 Massachusetts General Hospital - Understanding Social Status' Impact on Adolescent Health No 10,622 University of Massachusetts at Amherst - Properties of HIV-1 DNA/RNA assays for detecting HIV infection in infants B 00 No 58,862 Subtotal of ,410,497 Emory University - A Metabolomic Model of Aging in the Common Marmoset S No 87,162 University of Alabama - Childhood SES Factors: Impact on Age-related Cognitive and Vascular Health No 24,274 Brigham and Women's Hospital - Cumulative Stress and Cardiovascular Risk in Middle Aged and Older Women No 36,641 National Bureau of Economic Research - Economics of Health, Wealth and Well-being HMS No 19,922 National Bureau of Economic Research - Explaining the Reduction in Nursing Home Residence: Analysis Across the Age Spectrum S2-HMS No 39,369 Hebrew Rehabilitation Center for Aged - Health care expenditures for nursing home residents with advanced dementia No 42,923 The Methodist Hospital Research Institute - High-content Image Analysis and Modeling for Neuron Assay Based Screening No Award Number No 47,901 University of Wisconsin - Integrative Pathways to Health and Illness Project 1 - Psychosocial Contributors K521 No 65,483 Hebrew Rehabilitation Center for Aged - Interdisciplinary Study of Delirium and its Relationship to Cognitive Decline No Award Number No 3,754 Northwestern University - LITCOG II: Health Literacy and cognitive Function among Older Adults No 23,375 Massachusetts General Hospital - Medcare Study on Cost-Sharing Ramifications for Prescription Drug Benefit (SCRIPT) No 22,882 Boston University - Neural Substrates of Cognitive Decline in Aging Monkeys No 89,800 Hebrew Rehabilitation Center for Aged - Nonlinear Dynamics of Frality in Aging No 956 Board of Regents of the University of Wisconsin - Madison - Project 1: Psychosocial Contributors to Health and Illness K495 No 10,484 Boston Medical Center - Skeletal Muscle Precursor Resource Core No 33,765 National Bureau of Economic Research - What Does Health Insurance Do Evidence from the Oregon Health Insurance Lottery HSPH No 82,753 National Bureau of Economic Research - What Does Health Insurance Do: Evidence From the Oregon Health Insurance Lottery HMS No 18,325 Subtotal of ,769 Northwestern University - The Mechanical basis of Primary Open Angie Glaucoma SP /PROJ No 307,377 Subtotal of ,377 Brigham and Women's Hospital - An Automated System to Monitor Medical Device Safety No 28,070 Brigham and Women's Hospital - Analyzing Complex Healthcare Data to Determine Causality of Observed Drug Effects No 39,474 University of Texas Health Science Center at Houston - Development of an Inter-University Oral Health Research Database C No 11,616 The Methodist Hospital Research Institute - Neuronal Spines Tracking and Analysis for Time-Lapse, 3D Optical Microscopy No Award Number No 21,036 Subtotal of ,196 88

93 Brigham and Women's Hospital - Laboratory Response Network - Level B (LRNB) No 53,594 Subtotal of ,594 Spaulding Rehabilitation Hospital - Bone Density and Circulating Mediators of Bone Metabolism in Chronic SCI No 2,441 Subtotal of ,441 The Center to Protect Workers' Rights (CPWR) - Tools and Programs for Improving Occupational Health Conditions in Construction (TAPS) No (9) Subtotal of (9) Regents of the University of Michigan - Discovery of Natural Product-Based Drugs from Costa Rican Biota No 254,379 Vanderbilt University - Fogarty International Clinical Research Scholars Support Vanderbilt-AAMC VUMC34719 No (1) Vanderbilt Medical Center - Fogarty International Clinical Research Scholars Support VUMC No 75,530 Vanderbilt University - Fogarty International Clinical Research Scholars Support Center at Vanderbilt-AAMC VUMC34720 No 62,648 Subtotal of ,556 Massachusetts General Hospital - Direct Visualization and Characterization of Hypoxia in the Bone Marrow No 261,192 Subtotal of ,192 Dana Farber Cancer Institute - Accountability and the Role of the Principle Investigator in Multicenter Trails Contract No 16,897 Social + Scientific Systems, Inc. - Anti-Viral and Immune Plasma Infrastructure Development Contract CRB-DCR01-S No 9,713 Rand Corporation - CAHPS Survey for the Medicare Shared Savings Program and Other Physician Quality Programs Contract No 18,106 Institute of Nutrition of Central America and Panama - Center of Excellence for Strengthening Research Capacity on Prevention and Control of Cardiovascular Diseases (CVD) for Central America, Dominican Republic, and Mexico: Contract No Award Number No 5,279 Regents of the University of California - San Francisco - Changes in Alcohol Consumption in HIV Positives in Uganda Contract 6243SC No 45,480 Commonwealth of Massachusetts/Department of Public Health - Commonwealth of Massachusetts Department of Public Health Hospital Preparedness Program 2010 Exercise Series Contract 8214 No 412,834 Brigham and Women's Hospital - Community-based accompaniment with supervised antiretroviral in Lima, Peru Contract No 37,494 Rand Corporation - Design and Data Analysis of the Medicare Health Plan CAHPS Survey Contract No 353,592 Rand Corporation - Disenrollment Survey Contract No 19,132 PhysioGenix, Inc. - Efficacy of GABAA alpha 5 receptor inverse agonists in learning impaired rats Contract A14789 No 48,066 General Electric Company - Enhancing the Insight Toolkit for Research, Education, and Clinical Interoperability Contract No 111,590 National Hispanic Medical Association - Enhancing Workforce Diversity in Science and Health Related Careers Contract No 124,537 L and M Policy Research, LLC - Evaluation of the Nursing Home Value Based Purchasing Demonstration Contract NHVBPD No 17,766 National Opinion Research Center - Evaluation of State Health Information Exchange Cooperative Agreements Program Contract No Award Number No 101,934 National Hispanic Medical Association - Explorations/Reflection in Action Contract No Award Number No 1,954 National Academy of Sciences - Geographic Variation in Value for Privately Insured Population Contract IOM No 865,815 National Association of County and City Health Officials - Health Departments Barriers to the Administration of Emergency Preparedness Federals Funds Contract No 44,195 Council of State and Territorial Epidemiologists - Health Disparities Geocoded Data Analytic Method Project Contract No Award Number No 4,495 L and M Policy Research, LLC - Home Health Study and Report Contract HHSR No 31,716 The Broad Institute - Host Genetic Factors in Resistance to Lassa Hemorragic Fever Contract No 285,161 The Wistar Institute - Immune Function and Biodefense in Children, Elderly, and Immunocompromised Populations Contract No 2,427 Duke University - Immunology Quality Assessment Program Contract No 88,606 Science Applications International Corporation Frederick - Just-in-time Accession of Clinically Annotated Pathology Specimens for Molecular Marker Research Contract 28XS155 No 25,280 National Hispanic Medical Association - Leader, Faculty and Career Development Program Contract No Award Number No 8,872 Harvard Pilgrim Health Care, Inc - Medication Exposure in Pregnancy Risk Evaluation Program (MEPREP) Contract HHSF C-C0A7 No (632) Avram Corporation - Modeling Maternal and Child Health Policy in Ethiopia Contract No 6,746 University of Massachusetts - Worcester - National Children's Study: Worcester Center Contract /RFS No 65,512 Rand Corporation - National Implementation of Medicare Advantage and Prescription Drug Plan CAHPS Survey Contract No 162,493 Association of State and Territorial Health Officials - National Preparedness Leadership Initiative Project Plan Contract Project Contract-129 No 531,652 ECRI - NGC and NQMC Contract HHSA No 61,910 The Wistar Institute - Protective Immunity in Special Populations Contract No 256,982 Tulane University - Roles of Protective or Pathogenic B Cell Epitopes in Human Lassa Fever Contract TUL-HSC /10 No 145,433 Chickasaw Nation Industries, Inc - The Medical Device Epidemiology Network [MDEpiNET] Methodology Center Contract No 58,223 University of Notre Dame - VectorBase Contract No 116,402 Subtotal of Contract Contract 4,085,660 Total Department of Health and Human Services Subawards Received 50,649,965 89

94 EPA Health Effects Institute - Causal Inference Methods for Estimating Long Term Health Effects of Air Quality Regulations 66.unknown 4909-RFA11-1/12-3 No 26,203 Johns Hopkins University - Estimation of the Risks to Human Health of PM and PM components 66.unknown No 15,722 Subtotal of 66.unknown 66.unknown 41,925 Health Effects Institute - Effect of Air Pollution Control on Mortality and Hospital Admissions in Ireland RFA No (2,279) Health Effects Institute - New Statistical Approaches to Semiparametric Regression with Application to Air Pollution Research RFPA04-6/05 No (1) Health Effects Institute - Statistical Learning Methods for the Effects of Multiple Air Pollution Constituents RFA No 31,213 Subtotal of ,933 University of Pittsburgh - Community Stressors and Susceptibility to Air Pollution in Urban Asthma No 46,338 Subtotal of ,338 University of Tennessee GEOS-CHEM Modeling for EPA-GSA Proposal Contract OR No 13,535 Subtotal of Contract Contract 13,535 Total EPA Subawards Received 130,731 General Services Administration Council for Logistics Research, Inc. - US Russia Security Program Tuition Support Contract CLR No (1,500) Subtotal of Contract Contract (1,500) Total General Services Administration Subaward Received (1,500) Institute of Museum and Library Services California Academy of Sciences - Connecting Content: A Collaboration to link Field Notes to Specimens and Published Literature: Archives and Specimens from the Birds of the Cambridge Region 45.unknown No Award Number No 10,443 California Academy of Sciences - Flora of the Metropolitan Park 45.unknown No Award Number No 6,084 Subtotal of 45.unknown 45.unknown 16,526 Total Institute of Museum and Library Services Subawards Received 16,526 NASA Space Telescope Science Institute - A Complete Optical and NIR Atmospheric Transmission Spectrum of the Exoplanet HD1B9733b 43.unknown HST-GO A No 460 Jet Propulsion Laboratory - Assessing OCO-2 Predicted Sensitivity and Errors 43.unknown No 22,681 Atmospheric & Environmental Research, Inc - Constraints on Regional Methane Fluxes through Integration of Satellite Aircraft and Ground-Bas Observations with Models 43.unknown A15397 No 18,945 Jet Propulsion Laboratory - CoRO T-Exo-7b: Confirming the First Transiting Rocky Planet 43.unknown No 231 Regents of the University of Michigan - Development of the AIRMOSS Level 4 Net Ecosystem Exchange (NEE) products using the ED2 terrestrial biosphere model 43.unknown No 219,852 Regents of the University of California - Los Angeles - Estimation and Attribution of Global CO2 Surface Fluxes Using Satellite Observation of CO2 and CO from TES, GOSAT, and MOPITT 43.unknown 2095 G NA056 No 65,715 Regenst of the University of California - San Diego - Gravitational Tests via Lunar Laser Ranging: APOLLO Analyses and Acquisition 43.unknown No 32,839 Southwest Research Institute - Juno Project 43.unknown X No 7,750 National Space Biomedical Rsch Inst/Baylor Coll of Med - National Space Biomedical Research Institute Core Research Program 43.unknown NCC9-58-I No (1,482) Massachusetts Institute of Technology - Requirements for the Development and Maintenance of Multicellular Life 43.unknown No 124,844 Jet Propulsion Laboratory - RSA Covering- PID 540, 541, 542, 546, 70031, unknown No 35,562 Jet Propulsion Laboratory - Solving the Mystery of the Largest Transiting Exoplanet 43.unknown No 3 Massachusetts Institute of Technology - The Requirements for Development and Maintenance of Multicellular Life 43.unknown No 81,347 Smithsonian - A long Multiwavelength Study of GRS : Accretion/Ejection Physics of the Disk Wind and Radio Jet 43.unknown GO A No 57,213 Smithsonian - An In-Depth Study of the Nearest Gamma-Ray Bursts 43.unknown GO9-0071D No 1,113 Smithsonian - Cycle 11: Rapid Observations of Short Gamma Ray Bursts: Accurate Positions Hold the Key to the Progenitor Population 43.unknown GO X No 34,969 Smithsonian - Quiescent Low Mass X-Ray Binaries and Cataclysmic Variables in the Globular Cluster NGC unknown GO X No 8,087 Smithsonian - The Energetics and Environment of 'Naked' Supernovae 43.unknown GO9-0085A No 22,306 Subtotal of 43.unknown 43.unknown 732,435 Smithsonian Astrophysical Observatory - A Chandra HETGS Study of 4U : Binary Wind Properties, X-ray Burst, Distance and Studies of Interstellar Medium G X No 26,406 Smithsonian Astrophysical Observatory - A Fresh New Approach to the Study of Massive Star Explosions SV No 3,965 California Institute of Technology - A Search for Exomoons No 94,616 Smithsonian Astrophysical Observatory - Black Hole Growth and Its link with Galaxy Evolution PF No 102,340 Smithsonian Astrophysical Observatory - Collisionless Shocks in Astrophysics PF No 13,951 Smithsonian Astrophysical Observatory - Completing the Galatic Bulge Latitude Survey (BLS) GO9-0102X No 282 Jet Propulsion Laboratory - Confirmation and Characterization of Kepler Mission Exoplanets: The Era of Rock and Ice Exoplanets No 194,335 California Institute of Technology - Constraining Fluxes of Carbon with Total Column Measurements of CO2 and CH P No 27,714 Smithsonian Astrophysical Observatory - Cycle 10: Rapid Observations of Short Gamma Ray Bursts: Accurate Positions Hold the Key to the Progenitor Population GO9-0066X No 13,819 California Institute of Technology - Detection and Characterization of Plants around the Lowest-Mass Stars No 24,672 Columbia University - Development of a Self-Consistent Model for Spatial and Temporal Sea-Level Variations that Integrates Data on Cryospheric Mass Change, Ocean Dynamics, and Solid-Earth Loading Acct No 100,966 90

95 University of Wisconsin - Development of CLARREO Prototype Instrument G No (1,265) Smithsonian Astrophysical Observatory - Electromagnetic and Gravitational Wave Signatures of Supermassive Black Hole Mergers PF No 109,008 Massachusetts Institute of Technology - Evaluating Neoproterozoic Environmental Change No 53,737 Monterey Bay Aquarium Research Institute - Exploration of deep-sea and hydrothermal vent microbial communities using the Environmental Sample Processor (ESP): Integration of geochemical sensing, autonomous sample acquisition and processing, PO No 159,964 Space Telescope Science Institute - Identification of Thermal Emission Component in GRB Prompt Emission: A New Tool for Understanding Underlying GRB Physics No 4,433 Space Telescope Science Institute - Mapping Galactic Structure, Formation, and Evolution with Pan-STARRS HST-HF A No 53,045 Smithsonian Astrophysical Observatory - Measuring Emission Geometry, Interstellar Dust, and Distance with Chandra HETGS Observations of EXO G X No 9,546 Space Telescope Science Institute - Near-Field Cosmology with Extragalactic Globular Clusters HST-HF A No 863 Smithsonian Astrophysical Observatory - Nonthermal Particle Acceleration in Pulsar Wind Nebulae and Trans-Relativistic Shocks PFl No 36,804 Smithsonian Astrophysical Observatory - Rapid Observations of Short Gamma-Ray Bursts: Accurate Positions Hold the Key to the Progenitor Population GO X No 4,877 Massachusetts Institute of Technology - Requirements for the development and maintenance of multicellular life No 93,995 Smithsonian Astrophysical Observatory - Studying binary evolution in the oldest open clusters: Collinder GO X No 9,379 Massachusetts Institute of Technology - The Cryogenian Carbon Cycle in Mongolia No 77,494 Smithsonian Astrophysical Observatory - The Energetics and Environments of Type Ibc Supernovae GOl-12090X No 24,088 California Institute of Technology - The Evolution and Physical Properties of Young Stellar Objects Throughout the Milky Way Galaxy No 44,538 Jet Propulsion Laboratory - Unveiling the Galaxy Counterparts of the Damped Lyman-Alpha Absorbers using GRB-DLA's No 1 Space Telescope Science Institute - Weak Lensing Mass Calibration of SZ-Selected Clusters HST-GO A No 68,163 Smithsonian - An In-Depth Study of the Nearest Gamma-Ray Bursts GRB GO D No 152 Smithsonian - Census of the Normal Spiral Arm Region GO B No 54,794 Smithsonian - Constraining the Spectrum of HLX-1 in Outburst DD X No (1,285) Subtotal of ,405,397 University of Colorado at Boulder - Inverse Modeling and Attainment Analysis for Improved Decision Support of PM2.5 Air Quality No 54,355 University of Colorado at Boulder - Lunar University Node for Astrophysics Research (LUNAR): Exploring the Cosmos from the Moon No 26,553 Subtotal of ,908 Jet Propulsion Laboratory - Carbon in Arctic Reservoirs Vulnerability Experiment No 82,328 Jet Propulsion Laboratory - Carbon in Arctic Reservoirs Vulnerability Experiment No 161,229 Subtotal of ,557 California Institute of Technology - High-Resolution Mars Polar Stratigraphy and Paleoclimate Proxies 43.AAA 65P No 25,010 Subtotal of 43.AAA 43.AAA 25,010 EOS Photonics, Inc. - Frequency modulated Integrated Cavity Output Spectroscopy: A General Technique for Trace Gas and Isotope Measurement with Unprecedented Sensitivity Contract A15854 No 20,142 Cornell University - Mars Exploration Rover (MER) Athena Payload and Science Investigation Contract No 25,164 Subtotal of Contract Contract 45,306 Total NASA Subawards Received 2,532,613 National Science Foundation Children's Hospital Boston - Programmable Second Skin to Re-educate Injured Nervous Systems 47.unknown No 201,897 Subtotal of 47.unknown 47.unknown 201,897 University of Colorado - A New Approach for Directed Genome Engineering No 142,556 Pennsylvania State University - Creating Opportunities for Adaptation Based on PULSE HU-8264 No 38,484 Northwestern University - Cyber-Enabled Discovery in Neuromechanical Systems SP PROJ No 54,340 Massachusetts Institute of Technology - EFRI-COPN: Dynamics of Neural Networks on a Planar Patch-Clamp Array: Training, Identification, and Control No 136,621 Pennsylvania State University - EFRI: Creating Opportunities for Adaptation Based on PULSE HSPH-NSF-8264 No 92,807 Virginia Polytechnic Institute and State University - Multifunctional Materials Exhibiting Distributed Actuation, Sensing, and Control: Uncovering the Hierarchical Control of Fish for Developing Smarter Materials No 46,983 Regents of the University of California - Berkeley - NIRT: Molecular Spin-active Nanoelectronics SA No (6,489) Georgia Institute of Technology/Georgia Tech Research Corpor - NNIN Research Experiences for Teachers R0848-G2 No 26,647 University of Texas - Optics on a Nanoscale Using Polaritonic and Plasmonic Materials No 284 Cornell University - REU Site: National Nanotechnology Infrastructure Network REU Program No (6,002) Massachusetts Institute of Technology - Scalable Nanomanufacturing: Digital Optofluidic Self Assembly of Heterogeneous Metamaterials No 61,454 Regents of the University of California - Berkeley - SynBERC: Synthetic Biology Engineering Research Center SA No 496,956 Subtotal of ,084,641 91

96 Regents of the University of California - San Diego - A Comprehensive Probe of Gravity via Lunar Laser Ranging No 44,525 Yale University - ACME: Advanced Cold Molecule Electron Electric Dipole Moment Search C10D10472 No 889,782 Massachusetts Institute of Technology - Center for Ultracold Atoms No 520,479 Massachusetts Institute of Technology - Center for Ultracold Atoms No 768,083 Northwestern University - Chirality in Aerosol Chemistry SP PROJ No 88,191 Regents of the University of New Mexico - Partnership for Rearch and Education in Materials bet. Harvard University and University of New Mexico D7 No (17,786) Purdue University - Quantum Information for Quantum Chemistry: Phase I No 77,943 Institute for Advanced Studies - The Astrophysics of Hydrogen and Helium No 59,475 Subtotal of ,430,692 University of Washington - Determining the Limits to Life in Submarine Hydrothermal Systems: Active Sulfide Deposits as Natural Laboratories No 54,581 Board of Regents of University of Arizona - Long-Term Vulnerability of natural and Human Ecosystem to Climate and Fire Regime Changes in Southwestern Forests No 21,406 Columbia University - PLIOcene MAXimun sealevel (PLIOMAX): Dynamic ice sheet-earth response in a warmer world (Acct ) No 17,985 University of Southern California - SCEC Collaborative No 248,722 Subtotal of ,694 Arizona State University - A Toolkit to Evaluate the Effect of Multitouch Interaction of Musculoskeletal System and Design Safe Multitouch Systems No 72,190 Worcester Polytechnic Institute - BPC-DP: Deploying a Vertically-Integrated Computing Curriculum to At-Risk Students No 4,998 Computing Research Association - CIFellows Project CIF-D-020 No 101,995 Computing Research Association - CIFellows Project: Utilizing Provenance Data to Improve System Management CIF-C-223 No 135,098 Computing Research Association - CIFellowship: Understanding Gene Expression Differences CIF-A-358 No 9,781 Tufts University - III-CXT-Medium: Interdisciplinary Machine Learning Research and Education NSF409 No 47,298 Subtotal of ,360 Regents of the University of California - Berkeley - Collaborative Proposal: Harnessing the Power of Herbaria to Understand the Changing Flora of California: A Biodiversity Hotspot in Peril No 17,417 Massachusetts Institute of Technology - Culturing the Uncultured: Custom Microfluidic Systems for Growth and Isolation of Environmental Microbes No 101,768 Cornell University - Long-term Ecological Research at the Hubbard Brook Experimental Forest No 6,931 Subtotal of ,116 Regents of the University of Minnesota - IPUM International - Preservation of Census Microdata H No 26,802 New York University - IRADS: Transitions, Culture and Development F No 10,642 Boston University - NSF-CELEST: Fluid Allocation of Attentional Resources No 96,955 National Bureau of Economic Research - DAT: Scientists and Engineers as Agents of Technologyal Progress: Measuring the Returns to R and D and the Economic Impact of Science and Engineering Workers No 21,086 Subtotal of ,485 Museum of Science - Creating Communities of Learners for Informal Cognitive Science Education HU-01 No 17,002 Smithsonian Astrophysical Observatory - Investigating a Framework for STEM-Reading to Support Secondary School Students with Reading Disabilities SV No 31,732 Subtotal of ,734 Board of Regents of University of Arizona - PIRE: Carbon, Water and Vegetation Dynamics of Amazon Forests Under Climatic Variability and Change Y No 131,841 University at Albany (State University of New York) - The Children of Immigration in Schools No (17,672) Subtotal of ,169 Board of Regents of University of Arizona - Collaborative Research: Tracking Galaxy Growth with 200,000 Spectroscopic Redshifts Yes 59,167 University of Colorado at Boulder - Did the First Angiosperms Lack an Embryo-Nourishing Endosperm Yes 104,382 Stanford University - MRI-MR2: Development of POLAR-1, an Expandable 5,000-detector CMB Polarimeter B Yes (726) Cornell University - NNIN: National Nanotechnology Infrastructure Network No 834,501 Subtotal of ,324 LSST Corporation - Development of flat fielding calibration optics Contract C44073L No 79,230 Subtotal of Contract Contract 79,230 Total National Science Foundation Subawards Received 5,952,342 92

97 Social Security Administration Rand Corporation - Financial Literacy Research Consortium: Understanding and Improving Financial Literacy with Respect to Health Care Expenditures in Retirement No 152,387 Subtotal of ,387 Total Social Security Administration Subaward Received 152,387 Total Research and Development and Research Training Subawards Received 74,753,399 Total Research and Development and Research Training Cluster Cluster 608,033,345 Student Financial Assistance Cluster Direct Award Department of Education Federal SEOG P007A No 2,213,859 Subtotal of ,213,859 Federal Pell Grant P063P No 10,151 Federal Pell Grant P063P No 5,345,115 Subtotal of ,355,266 Federal Academic Competitiveness Grant (ACG) P376S No (750) Subtotal of (750) National Smart Grant (NSG) P375A No (8,000) Subtotal of (8,000) Teacher Education Assistance for College and Higher Education Grant (TEACH) P379T No 2,000 Teacher Education Assistance for College and Higher Education Grant (TEACH) P379T No 12,000 Subtotal of ,000 Federal Work Study Not available 1,606,212 Subtotal of ,606,212 Total Student Financial Assistance Cluster Direct Awards 9,180,587 Total Student Financial Assistance Cluster 9,180,587 Head Start Cluster Direct Award Department of Health and Human Services Beyond Barriers: The Relationship between Head Start Parent's Social Capital, their Involvement and Children's Preschool Competencies YR0048 No 6,423 Beyond Barriers: The Relationship between Head Start Parent's Social Capital, their Involvement and Children's Preschool Competencies YR0048/02 No 12,513 Validating Measures for Tracking Vocabulary Development of English Language Learners YF No 99,364 Subtotal of ,301 Total Department of Health and Human Services Direct Awards 118,301 Total Head Start Cluster Direct Awards 118,301 Subawards Received Department of Health and Human Services Administration for Children and Families - Mechanisms, Moderators, Methods, and Measurement in the Head Start Impact Study: informing I-lead Start for the Future F No 38,276 Administration for Children and Families - National Center on Parent, Family, and Community Engagement No 586,219 Subtotal of ,495 Total Department of Health and Human Services Subawards Received 624,495 Total Head Start Cluster Subawards Received 624,495 Total Head Start Cluster 742,796 93

98 Community Services Block Grants Cluster Subawards Received Department of Health and Human Services University of Southern California - Live-attenuated KSHV as vaccine candidate H48669 Yes 12,015 Subtotal of ,015 Total Department of Health and Human Services Subaward Received 12,015 Total Community Services Block Grants Subaward Received 12,015 Total Community Services Block Grants Cluster 12,015 Other Programs Direct Awards Agency for International Development Inter-University Partnerships for Strengthening Health Systems in Indonesia: Building New Capacity for Mental Health Care 98.unknown AID-497-A No 100,365 IPA for Assignment as the Scientific Director for the Development Innovation Ventures Team 98.unknown No Award Number No 109,429 The Higher Education Network Ring Initiative (HENRI) 98.unknown AID-497-A No 213,602 Subtotal of 98.unknown 98.unknown 423,396 Total Agency for International Development Direct Awards 423,396 Department of Defense Acquisition of a Microscope-Based Trace Element Analysis System N No 248,108 Subtotal of ,108 Semiconductor Based, Plasmon Mediated, Terahertz Sources and Detectors FA No 41,235 Subtotal of ,235 Curriculum Development for the National Guard Homeland Security Institute Contract W912SV-12-C-0002 No 9,025 General and Flag Officer Homeland Security Executive Officer Training Contract W912SV-12-P-0107 No 126,115 Minerva Scholar on Culture and Religious Change in the Islamic World Contract No Award Number No 185,140 Subtotal of Contract Contract 320,280 Total Department of Defense Direct Awards 609,623 Department of Education National Resource Centers for Center for Middle Eastern Studies A P015A No 153,771 National Resource Centers for Davis Center for Russian and Eurasian Studies A P015A No 190,363 National Resource Centers for Committee on African Studies A P015A No 253,266 National Resource Centers for East Asian Studies A P015A No 139,522 NRC Portion- Comprehensive National Resource Center A P015A No (324) Subtotal of A A 736,598 Foreign Language and Area Studies Fellowships for Committee on African Studies B P015B No 266,805 Foreign Language and Area Studies Fellowships for Center for Middle Eastern Studies B P015B No 230,042 Foreign Language and Area Studies Fellowships for East Asia Center B P015B No 165,700 Foreign Language and Area Studies for Davis Center for Russian and Eurasian Studies B P015B No 379,590 Subtotal of B B 1,042,137 Enhanced Language Instruction for African Studies (ELIAS) A P017A No 76,028 Subtotal of A A 76,028 Fulbright-Hays Doctoral Dissertation Research Abroad Program Application A P022A100008C No 8,000 Subtotal of A A 8,000 94

99 Jacob Javits Fellowship B P170B No 97,950 Jacob Javits Fellowship B P170B No 141,925 Jacob K. Javits Fellowship B P170B No 43,975 Jacob K. Javits Fellowship B P17B No 258,850 Jacob K. Javits Fellowships B P170B No 5,000 Subtotal of B B 547,700 Africa's Sources of Knowledge Digital Library (ASK-DL) A P337A No 49,113 Subtotal of A A 49,113 Total Department of Education Direct Awards 2,459,576 Department of Homeland Security National Fire Academy Educational Program EMW-2011-GR No 20,056 Subtotal of ,056 Total Department of Homeland Security Direct Awards 20,056 Department of State Disability, the Law, Rights, and Civil Society in China S-LMAQM-10-GR-525-TTH No 200,373 Subtotal of ,373 FY2011 Vietnam Fulbright Economics Teaching Program S-ECAAE-11-GR-006(JJ) No 541,485 FY2012 Vietnam Economics Teaching Program S-ECAAE-12-GR-016(DS) No 1,632,944 Subtotal of ,174,429 Total Department of State Direct Awards 2,374,802 Department of the Interior Peabody at Harvard University Historic Alaska Native Kayaks and Related Collections ST No 111,819 Subtotal of ,819 NAGPRA Consultation/Documentation Grant for Eastern Massachusetts Collections at the Peabody Museum of Archaeology and Ethnology at Harvard University GP-550 No 56,389 Subtotal of ,389 Total Department of the Interior Direct Awards 168,208 Department of Health and Human Services GTF.CCC Travel Fund 93.unknown No Award Number No 16,028 Scientific Paper on Child Maltreatment 93.unknown M No (1,485) Subtotal of 93.unknown 93.unknown 14,543 Linking Assessment and Measurement to Performance in PHEP Systems (LAMPS) P01TP revised No 1,406,965 Subtotal of ,406,965 Implementation of Programs for the Prevention, Care and Treatment of HIV/AIDS in the United Republic of Tanzania U2GPS Revised No 5,789,151 Subtotal of ,789,151 Preparedness and Emergency Response Learning Centers (PERLC) U90TP rev No 603,100 Subtotal of ,100 Schizophrenia International Research Society Scientific Conference R13MH REVISED No 38,596 Subtotal of ,596 95

100 Rapid Expansion of Antiretroviral Therapy Programs U51HA No 18,205,292 Subtotal of ,205,292 Harvard Clinical and Translational Science Center (UL1) UL1TR No 1,137,674 Subtotal of ,137,674 Harvard Clinical and Translational Science Center (UL1) UL1TR No 20,972,386 Phase II: Opening the Pipeline for Native High Schools R25RR REVISED No 70,511 Subtotal of ,042,897 Conferences on Emerging Statistical Issues in Biomedical Research R13CA No 22,475 Subtotal of ,475 (MASS CONECT) Mass. Community Networks U01CA rev No 66,140 Subtotal of ,140 ARRA - Public Health Traineeship Program A0AHP Yes 36,434 Subtotal of ,434 Harvard Clinical and Translational Science Center- NCRR ARRA Supplement- Translational (Imaging) UL1RR S3 Yes 849,440 Subtotal of ,440 Conferences on Emerging Statistical Issues in Biomedical Research R13CA No (550) Subtotal of (550) Scholarships for Disadvantaged Students (SDS) T08HP No 36,313 Subtotal of ,313 Public Health Traineeship A03HP No 28,336 Subtotal of ,336 CAHPS - Seer Linkage Contract HHSN P No 8,678 Subtotal of Contract Contract 8,678 Total Department of Health and Human Services Direct Awards 49,285,485 EPA Organization of the 5th GEOS-Chem Scientific and Users Meeting X No 5,968 Subtotal of ,968 Total EPA Direct Awards 5,968 Institute of Museum and Library Services Integrating Archival Resources to Improve Curation of an Exceptional Woody Plant Collection MA No 72,003 Subtotal of ,003 Simple Verified Distributed Preservation: A Policy Based Archival Replication System for Libraries, Archives, and Museums using a Virtual Private LOCKSS Network LG No 251,743 Subtotal of ,743 Total Institute of Museum and Library Services Direct Awards 323,746 National Endowment for the Arts Engaging New Americans: Explorations in Art, Self, and our Democratic Heritage No 34,024 Subtotal of ,024 Total National Endowment for the Arts Direct Award 34,024 96

101 National Endowment for the Humanities The American Republic Initiative at Harvard University CZ No (65,104) Subtotal of (65,104) China Biographical Database Project PW No 27,283 Proposal for Phase 2 of the Peabody Museum's Initiative to Digitize, Re-house, Catalog and Create Online Access to its Core Negative Photograph Collection PW No 106,849 Women's Worlds in Qajar Iran: A Digital Archive and Website PW No 3,666 Women's Worlds in Qajar Iran: A Digital Archive and Website PW No 65,338 Subtotal of ,136 African American Struggles for Freedom and Civil Rights EH No 45,551 Golden Compasses as Moral Compasses: The Ethics and Aesthetics of Fairy Tales and Fantasy FV No 40,868 Subtotal of ,419 Prints and the Pursuit of Knowledge in Early Modern Europe GI No 206,630 Subtotal of ,630 Total National Endowment for the Humanities Direct Awards 431,082 National Security Agency STARTALK Arabic Institute for the Next Generation H No 61,699 Subtotal of ,699 Total National Security Agency Direct Award 61,699 Total Other Programs Direct Awards 56,197,664 Other Programs Subawards Received Agency for International Development Asia Foundation - Emergency Management and Case Teaching in China Contract No 59,073 Subtotal of Contract Contract 59,073 Total Agency for International Development Subaward Received 59,073 Department of Commerce Seacost Science Center - Families by the Seaside: Building a Community-Based Outdoor Ocean-Science Learning Experience NEOSEC20105 No 25,000 Subtotal of ,000 Total Department of Commerce Subaward Received 25,000 Department of Defense Spaulding Rehabilitation Hospital - Improving Recovery after Stroke via Electrical Stimulation of Proprioceptors 12.unknown No 48,999 Subtotal of 12.unknown 12.unknown 48,999 Total Department of Defense Subaward Received 48,999 Department of Education Boston Plan for Excellence - Boston Teacher Residency - Preparing and Supporting Effective Teachers in and for Boston's Turnaround Schools 84.unknown No Award Number Yes (2,589) Subtotal of 84.unknown 84.unknown (2,589) University of Notre Dame - Mobility, Society, and Governance in North America N No 3,148 Subtotal of N N 3,148 Southwest Educational Development Laboratory - Coordination Center to Provide Technical Assistance to the Parental Information and Resource Centers (PIRCs) Contract P.O No 86,489 Southwest Educational Development Laboratory - Coordination Center to Provide Technical Assistance to the Parental Information and Resource Centers (PIRCs) Contract PO No (225) Commonwealth of Massachusetts/Department of Education - Supporting the Conditions for School Effectiveness Contract CT DOE HARVARDDRTTT062 No 271,280 Subtotal of Contract Contract 357,544 Total Department of Education Subawards Received 358,103 97

102 Department of Energy Battelle Memorial Institute - Battelle Contract No Contract No 305,348 Subtotal of Contract Contract 305,348 Total Department of Energy Subaward Received 305,348 Department of State Institute for War and Peace Reporting - Digital Free Flow - Online Freedom in the Middle East 19.unknown No Award Number No 20,000 Subtotal of 19.unknown 19.unknown 20,000 Total Department of State Subaward Received 20,000 Department of Health and Human Services Hispanic Association of Colleges and Universities - Supporting Growth of the Mobile Health Care Sector to Help Reduce Health Disparities No Award Number No 77,957 Subtotal of ,957 AIDS Prevention Initiative in Nigeria, Ltd/Gte. - Capacity Building and Technical Assistance Activities No Award Number No 98,700 Subtotal of ,700 Silent Spring Institute - Ethical and Legal Challenges in Communicating Individual Biomonitoring and Personal Exposure Results to Study Participants: Guidance for Researchers and Institutional Review Boards No Award Number No 28,695 Subtotal of ,695 Boston University - New England Alliance Public Workforce Development RA208317NGN No 73,778 Subtotal of ,778 Children's Hospital Corporation - Comparative Phenotypic, Functional, and Molecular Analysis of ESC and ipsc Yes 23,899 Tufts University - NCRR ARRA Supplement -- Community Engagement HSZ901 Yes 37,515 Subtotal of ,414 Brigham and Women's Hospital - Epidemiology and Transmission Dynamics of MDR/XDR Tuberculosis No 85,375 Subtotal of ,375 Dimock Community Health Center - Boston Pediatric and Family AIDS Project Contract B9681 No 9,000 Booz Allen Hamilton - Open-i Contract SB23 No 74,146 Commonwealth of Massachusetts/Department of Public Health - Technical Assistance Services to Mass Dept of Public Health Injury Prevention Contract No Award Number No 27,571 Subtotal of Contract Contract 110,717 Total Department of Health and Human Services Subawards Received 536,636 Federal Emergency Management Agency Commonwealth of Massachusetts, MEMA Disaster Relief Asst. - MEMA Snow removal proposal January 11-12, 2011 Snowstorm-FEMA-1959-DR Contract CTFEMA1959HARVA00411 No 293,141 Subtotal of Contract Contract 293,141 Total Federal Emergency Management Agency Subaward Received 293,141 Library of Congress Regents of the University of Michigan - Data Preservation Alliance for the Social Sciences (Data-PASS) 42.unknown No (1) Subtotal of 42.unknown 42.unknown (1) Total Library of Congress Subaward Received (1) Social Security Administration Rand Corporation - Financial Literacy Research No 118,352 Subtotal of ,352 Total Social Security Administration Subaward Received 118,352 Total Other Programs Subawards Received 1,764,651 Total Other Programs 57,962,314 Grand Total $ 675,931,057 98

103 Notes to June 30, Basis of Presentation The accompanying (the Schedule ) includes the expenditures of Harvard University (the University ) under programs of the federal government for the year ended June 30, The information in this schedule is presented in accordance with the requirements of U.S. Office of Management and Budget (OMB) Circular A-133, Audits of States, Local Governments and NonProfit Organizations. Therefore, some amounts presented in this schedule may differ from amounts presented in, or used in the preparation of, the basic financial statements of the University. Negative amounts represent adjustments or credits to amounts reported as expenditures in prior years. CFDA numbers and pass-through numbers are provided when available. For purposes of the Schedule, Federal awards include all grants, contracts and similar agreements entered into directly between the University with agencies and departments of the Federal government and all subawards to the University by nonfederal organizations pursuant to Federal grants, contracts and similar agreements. The term Revised accompanying the award numbers on the Schedule represents a revised Notice of Grant Award (NGA). 2. Summary of Significant Accounting Policies Expenditures reported in the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in OMB Circular A-21, Cost Principles for Educational Institutions, wherein certain types of expenditures are not allowable or are limited to reimbursement. 3. Facilities and Administrative Costs The University recovers facilities and administrative costs associated with sponsored agreements pursuant to separate arrangements negotiated with the University s Federal cognizant agency by each of the Medical School, School of Public Health, and the University Area. Predetermined facilities and administrative rates have been negotiated through June 30, 2013 for the Medical School and the University Area. The rates are provisional for the School of Public Health through June 30, Facilities and administrative cost recoveries associated with training programs generally represent the maximum administrative overhead allowance allowed by the sponsors. The University also recovers administrative cost allowances from certain campus-based student financial assistance programs. 99

104 Notes to June 30, Awards to Subrecipients Certain Federal funds are provided to subrecipient organizations by the University. The following expenditures incurred by these subrecipients are reimbursed by the University and included on the Schedule for the year ended June 30, Program or Cluster CFDA # Amount Rapid Expansion of Antiretroviral Therapy Programs $ 10,341,434 FY2011 Vietnam Fulbright Economics Teaching Program ,136 Simple Verified Distributed Preservation: A Policy Based Archival Replication System for Libraries, ,768 Archives, and Museums using a Virtual Private LOCKSS Network National Resource Centers for East Asian Studies A 42,829 Linking Assessment and Measurement to Performance in PHEP Systems (LAMPS) ,584 Implementation of Programs for the Prevention, Care and Treatment of HIV/AIDS in the United Republic of Tanzania under the President's Emergency Plan for AIDS Relief (PEPFAR) ,859,887 Preparedness and Emergency Response Learning Centers (PERLC) ,456 Harvard Clinical and Translational Science Center (UL1) ,742,512 (MASS CONECT) Mass. Community Networks ,682 Harvard Clinical and Translational Science Center- NCRR ARRA Supplement- Translational ,011 (Imaging) NCRR ARRA Supplement -- Community Engagement ,629 The Higher Education Network Ring Initiative (HENRI) 98.unknown 140,976 Research and Development and Research Training Cluster Various 104,136,744 Total $ 136,208, Federal Student Loan Programs The Federal student loan programs listed below are administered directly by the University and balances and transactions relating to these programs are included in the University s basic financial statements. The balance of loans outstanding at June 30, 2012 consists of: CFDA # Amount Perkins $ 71,445,085 FFEL (Includes FISL Sub Stafford, Unsub Stafford, PLUS and SLS) ,274 HPSL/LDS/PCL ,651,099 Total Federal Student Loans $ 80,009,458 The University recovered an administrative cost allowance from the Perkins Loan Program (CFDA # ) of $534,221 for the year ended June 30, This CFDA # has been closed by the Department of Education because there are no further Federal Capital Contributions to the Perkins Loan Program planned. A new CFDA # (CFDA # ) was created in 2011 by the Department of Education for Perkins Loans Cancellations. The Perkins Loan Program principal cancelled for the year ended June 30, 2012 is $318,

105 Notes to June 30, 2012 Loans made by the University to eligible students under the Federal student loan programs during the year ended June 30, 2012 are summarized as follows: CFDA # Amount Perkins $ 8,371,891 Net Direct Subsidized Stafford ,718,505 Net Direct Unsubsidized Stafford ,020,805 Net Direct PLUS ,317,099 Net Direct Grad PLUS ,180,804 HPSL/PCL ,000 LDS ,223,574 $ 145,003,

106 Part III Reports on Internal Control and Compliance

107 Report of Independent Auditors on Internal Control over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards To the Board of Overseers of Harvard College: We have audited the financial statements of Harvard University (the University ) as of and for the year ended June 30, 2012, and have issued our report thereon dated November 2, We conducted our audit in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Internal Control Over Financial Reporting In planning and performing our audit, we considered the University s internal control over financial reporting as a basis for designing our auditing procedures for the purpose of expressing our opinion on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of the University s internal control over financial reporting. Accordingly, we do not express an opinion on the effectiveness of the University s internal control over financial reporting. A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct misstatements on a timely basis. A material weakness is a deficiency, or combination of deficiencies, in internal control, such that there is a reasonable possibility that a material misstatement of the entity s financial statements will not be prevented, or detected and corrected on a timely basis. Our consideration of internal control over financial reporting was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control over financial reporting that might be deficiencies, significant deficiencies, or material weaknesses. We did not identify any deficiencies in internal control over financial reporting that we consider to be material weaknesses, as defined above. Compliance and Other Matters As part of obtaining reasonable assurance about whether the University s financial statements are free of material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards. We noted certain matters that we reported to management of the University in a separate letter dated December 2, PricewaterhouseCoopers LLP, 125 High Street, Boston, MA T: (617) , F: (617) ,

108 This report is intended solely for the information and use of the University s Joint Committee on Inspection, management and federal awarding agencies and pass-through entities, and is not intended to be and should not be used by anyone other than these specified parties. November 2,

109 Report of Independent Auditors on Compliance with Requirements That Could Have a Direct and Material Effect on Each Major Program and on Internal Control Over Compliance in Accordance with OMB Circular A-133 To the Board of Overseers of Harvard College: Compliance We have audited the compliance of Harvard University (the University ) with the types of compliance requirements described in the U.S. Office of Management and Budget (OMB) Circular A-133 Compliance Supplement that could have a direct and material effect on each of its major federal programs for the year ended June 30, The University s major federal programs are identified in the summary of auditor s results section of the accompanying schedule of findings and questioned costs. Compliance with the requirements of laws, regulations, contracts and grants applicable to each of its major federal programs is the responsibility of the University s management. Our responsibility is to express an opinion on the University s compliance based on our audit. We conducted our audit of compliance in accordance with auditing standards generally accepted in the United States of America; the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States; and OMB Circular A-133, Audits of States, Local Governments, and NonProfit Organizations. Those standards and OMB Circular A-133 require that we plan and perform the audit to obtain reasonable assurance about whether noncompliance with the types of compliance requirements referred to above that could have a direct and material effect on a major federal program occurred. An audit includes examining, on a test basis, evidence about the University s compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. We believe that our audit provides a reasonable basis for our opinion. Our audit does not provide a legal determination of the University s compliance with those requirements. In our opinion, the University complied, in all material respects, with the requirements referred to above that could have a direct and material effect on its major federal programs for the year ended June 30, However, the results of our auditing procedures disclosed instances of noncompliance with those requirements, which are required to be reported in accordance with OMB Circular A-133 and which are described in the accompanying schedule of findings and questioned costs as items through PricewaterhouseCoopers LLP, 125 High Street, Boston, MA T: (617) , F: (617) ,

110 Internal Control Over Compliance Management of the University is responsible for establishing and maintaining effective internal control over compliance with the requirements of laws, regulations, contracts, and grants applicable to federal programs. In planning and performing our audit, we considered the University s internal control over compliance with the requirements that could have a direct and material effect on a major federal program in order to determine the auditing procedures for the purpose of expressing our opinion on compliance and to test and report on internal control over compliance in accordance with OMB Circular A-133, but not for the purpose of expressing an opinion on the effectiveness of internal control over compliance. Accordingly we do not express an opinion on the effectiveness of the University s internal control over compliance. A deficiency in internal control over compliance exists when the design or operation of a control over compliance does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct noncompliance with a type of compliance requirement of a federal program on a timely basis. A material weakness in internal control over compliance is a deficiency, or combination of deficiencies, in internal control over compliance, such that there is a reasonable possibility that material noncompliance with a type of compliance requirement of a federal program will not be prevented, or detected and corrected on a timely basis. Our consideration of internal control over compliance was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control over compliance that might be deficiencies, significant deficiencies, or material weaknesses. We did not identify any deficiencies in internal control over compliance that we consider to be material weaknesses, as defined above. The University s responses to the findings identified in our audit are described in the accompanying schedule of findings and questioned costs. We did not audit the University s responses and, accordingly, we express no opinion on them. This report is intended solely for the information and use of the University s Joint Committee on Inspection, management and federal awarding agencies and pass-through entities and is not intended to be and should not be used by anyone other than these specified parties. March 15,