Margaret Carroll From: Sent: To: Cc: Subject: Attachments: Amanda Preston Thursday, January 21, 2010 1:55 PM Karen Mclaine ; Marci Miller ; Lynne Nee : Nayla Rathle Nancy Brickhouse ; Robert Palleschi ; Margaret Carroll 2009 ExxonMobil Gift of $76, 106 2009-12-31_3011 ExxonMob1l_S76106 00_00001.pdt, Re: Unrestricted gift to Smithsonian Astrophysical Observatory Dear KarenJ Marci, Lynne, and Nayla: I received an email from Judith Batty at ExxonMobil about the $76,106 contribution for Dr. Willie soon's research. I have attached the 3011 Transmittal Form from 4/2/09. You will see that $22,181.00 was allocated to task 40301770IS50AP. This amount is equivalent to the indirect costs that would have been charged if the gift had been a grant. on instructions from Charles Alcock, I asked ExxonMobil to allow us to reclassify that amount as an unrestricted contribution. Judith Batty assented to our request (see attached email). I have the following questions and comments: Charles Alcock agrees that this money should be used to defray any shortfall in development funding. Do we move it from 301770 to 101600? Or to the DDF? How does it get moved? Do I need to file an amended 3011 or does a journal entry take care of it? Please let me know your thoughts and any decisions you make about this. Thank you, Amanda Amanda Preston Advancement and External Affairs Officer Harvard-Smithsonian Center for Astrophysics 60 Garden Street, MS-45 Cambridge, MA 02138-1516 Voice: 617-495-7321 Fax: 617-495-7105 Blackberry: 617-285-4829 Cell: Exe111p11on G Sl-000001 Margaret Carroll From: Sent: To: Subject: Exemp11on6 Monday, January 11, 2010 2 50 PM Amanda Preston Re: Unrestricted gift to Smithsonian Astrophysical Observatory Hi Amanda, I have discussed lifting the restriction on the portion of our donation designated for indirect costs, and you can consider the restriction lifted. Judith Judith N. Batty Senior Director, Federal Relations Exxon Mobil Corporation 2000 K Street NW, Suite 710 Washington cJ cc Subject Unrestricted gift to Smithsonian Astrophysical Observatory Dear Judith, This is to follow up on our telephone conversation in early December. I hope you received my letter highlighting our current research areas. I would very much like to learn if there are any avenues of support that we might explore. I expect to be in Washington in the last week of January. Perhaps we could meet then. I will call you in the next week or so. I write also about another matter. You may recall that we discussed utilizing the portion of ExKonMobil's March contribution of $76,106 that was designated for indirect costs instead for unrestricted purposes. Sl-000002 You thought you would have a chance to discuss this with others in your office and get back to me. I'm hoping you'll have some thoughts on that soon. With best wishes for the New Vear, Amanda Amanda Preston Advancement and External Affairs Officer Harvard~Slnithson:hn Center 'for AStrophysics 6e Garden Street, MS-45 Cembridge, MA 82138-1516 Voice: 617-495-7321 Fax: 617-495-7185 Blackberry: 617•285-4829 Cell: Exemp1on6 Email: apreston@cfa.harvard.edu 2 Sl-000003 2009-400000-00016 SMITHSONIAN INSTITUTION .. Tracking# 200X·XX0000-00016 TRANSMITT Al FORM FOR GIFTS & PROMISES (PLEDGES) TO GIVE [Note: AH psymenll "om axtarnal sourcee lfepo6Md to 802/803 grarn andeontPld lunds ITIUlll ba n>Ulltd Cll a CRV lhrough OSP.J cnror CAAO ~~~~~~~--~ $76 IC'6 00 $ J- \ !-J<_j h s ~ OlttEA Y'l6A.WA!>f ll'ICAAC> ~~~~~--'~_;.:.;,;::...;1"'~.»< :..:..;.;E~X~ ...-..: ~ ·~::;_~ $ •~TTT6 GIFT CHARTFIELD: SPLIT FUNDED V11lp- PWld °"""., c.-. IW 801 0000 301no 40301no1ssooo DEFAULT $53,925.00 801 Ioooo 301770 40301T70IS50AP DEFAULT $22, 181.00 01.110 PRO QUO CHAffT'Fl£LD COm FUllll o... ..... c.- Mill All SAO EXXON MOBIL CORPORATION I' PLEOOE AHO P~SCttEDULE. l lllWl'UDGa? -· NtOGE """" I ,....,,..... ATJQ!i ,.A,•ui.100 1 1/1(01 "'°"""If T l I I l'ILUL NOTC IN RE14ARlcfa. harYard.«11.1 Request for Payment l9leaM rnllb ched: payable tor Smltheanmn Alt.Faplwplcal o~ A'tMntion; Mark 8otidnaux Mall check to: ~ Amandi Prwton Corporadon 2000 K. Sveec. NW SuU 7f0 Wulunp>n. DC 20006 AdnnclrNnc and External Alain OMcer Smllhsonan Altroph)"lkal Obwvatary 60 Garden Stre8f. HS '45 Cambtidp. MA 021 Jrr IS I' December 2. 2008 R.quen for con~don to supporc Y..r Two of me reMar'd1 projec:c "Ur.desrundlnf So0 Vorlatlilry fJttd Qonore Chottre: ~ ~ T~ l>««ds af dw UllJtal ~': Or. Wlllle Soon. Prindpal lrw~r PrafeaCosa s.lary and 8eNltic Dr. Wiiia Soon (75 days) AdmlnturuDr (I day) S.Crec.rlll ( 1.5 days) ln~Co1a Total Salary 1Dd Beneflu: Sf9.JOS 617 95) 2.1IZ.6 S72.7SI Od'ler Caus: T~Ylll Publlcadon1 lndir.a CosCI Toca! om.- Coca: Toca1 M Cola: $1.000 1,050 om SJ.JU $76,106 Think )'OU Yety much. Questions; Plmse contact Amanda Praten. 6 I 7-49S-7J2 I, apreteonQcfa..hrvard.edu. 81-000006 SMITHSONIAN INSTITUTION Tracking I 2008 - 400000 - 00032 TRANSMnTALFORMFOR GIFTS 6 PROMISES TO GIVE CHECK CREDIT CARO j ,71,108.~""-'-$~~~~-'-tf-~........._~~~~~~~~~~~~~~ EE BELOW j • ,..._,.,,..,. J6U11to; eo1..,>01n140IMDD01 me> ID1 CIJDO 30'IT1'0 MP- - ..,._,,~ Dll'MJLT e DeFAULT .,.. ...., n Sl-000007 EXXON MOBIL CORPORATION OR AN AFRLIATED COMPANY CODE OUR REFERENCE PAY4 1900006183 YOUR R.EFER~CE DA TE 03/09/09 78171 NET AMOUNT made per agreement with Exxon"obll contracting entity. REFER ANY INQUIRIES TO J-800-833-1510 OR CHECK THE PAYMENT STATUS AT Paym~nt 76, 106.00 HTTP://PAYMENT-ADVICE.COM PA YEE 10 NUMBER CHECK NUMBER CHECK DATE 6357lt21 25ooi.07 776 03/17/09 • INCLUDE WITH EACH INQUIRY CHECK AMOUNT 76, 106.00 EXXON MOBIL CORPORATION OR AN AFFILIATED COMPANY 62·20/311 P 0 BOX 2519 HOUSTON TX 77252-2519 6357421 PAY TO THE ORDER OF DATE CHECK NUMBER 2500407776 03/17/09 SMITHSONIAN ASTROPHYSICAL OBSERVATORY 60 GARDEN ST MS 45 CAMBRIDGE "A 02138-1516 ······••$76,106.00•1 VOi D AFTER SIX MHTHS Sl-000008 Amanda Preston From: Sent: To: Subject: Attachments: Dear Ms. Ceja: Attached please find the signed Acknowledgment Form for ExxonMobil's contribution of $76 106.00 to the Smithsonian Astrophysical Observatory. I regret that this is so late coming to you. In actual fact, I was in discussions with Mr. Boudreaux and with Ms. Batty about this contribution until just last week and so we delayed this final acknowledgment until we were in agreement. I hope you forgive our delay. With best regards. Amanda Preston Amanda Preston Advancement and External Affairs Officer Harvard-Smithsonian Center for Astrophysics 60 Garden Street, M$-45 Cambridge, MA 02138-1516 Voice: 617-495-7321 Fax: 617-495-7105 Blac ~29 Cell. - . . - Email: apreston@;;fa harvara.edu Sl-000009 01115/2010 11:09 rAI Exempllon6 F.XXO~"MOB 11. ISSUES EJf(onMobil Facsimile ro Fa)( Ms. Rachel 617-495-7105 From Victoria Ceja Dale January 15, 20 IO ~001 Re Pages Acknowledgement Fonn 2 pages -t- cover Please have someone fill out the farm attached and return via fax to my attention. Thank you. Victoria Ceja Exxon Mobil Corporation - Public Affairs Corporate Cftlzenshlp & Community Investments 5959 Las Collnas Blvd. Irving, TX 75039 Phone: · ' · Fax: • - • Exemp 0116 Sl--000010 ' 0111512010 11:10 FAX Exemption G ~003 EXXO'IMOBIL ISSUES EXXON MOBIL CORPORATION OR AN AFFILIATED COMPANY CODE OOR REFEREllCE DATE YOUlHlEF"ERENCE PAY~ 1900006183 03/09/09 78171 76, 106.00 Payment made per agreement with ExxonHobll contracting entity. REFER ANY INQUIRIES TO l-800-833-1510 OR CHECK THE PAY"ENT STATUS AT . HTTP://PAY~ENT-ADVICE.COM 'INCi.UDE WITH EACH INQUIRY PAYE£ 10 NUMBER CliEC~ 6~57lt21 25001to7776 NUMBER CHECK OATE 03/17/09 CHECK A.MOUNT 76, \06 .oo - - ...EXXON MOBL COAPORATfON OR AN AFFILIATED COt.PANY e2-20n1' P 0 BOX 2519 HOUSTON TX 77252-2519 63571,21 DATE 0)/17/0~ PAY TO THE OflOEllOF SMITHSONIAN ASTROPHJSICAL ~::;~ 2500407776 ·····•••$76,106.00•1 OBSERVATORY 60 GARDEN ST NS 45 CAMBRIDGE MA 02138-1516 VOID AFTER SIX MONTHS Exempllon ~ Sl-D00011 SMITHSONIAN INSTITUTION Tracking# 200X-XX0000-00016 TRANSMITTAL FORM FOR GIFTS & PROMISES (PLEDGES) TO GIVE !Note : All payments from external sources deposited to 8021803 grant and contrad funds must be routed on a CRV through OSP.J [ DA TE OF GIFT I CASH CHECK CREDIT CARO $76,106 00 $ 1t250040n76 e~~~~.~r~ $ 3-17-09 l H ! OTHER DISCOVER VISA/MASTERCARD 1-i AMERICAN EXPRESS I E PLEDGES WIRES $ STOCK (PROCEEDS) GIFT INKINO I GIFT CHARTFIELD: SPLIT FUNDED Budget DMlgllllecl Code Ref Fund Dept.ID Project ID ActlvltylO Amount 4210 40301770155000 DEFAULT $53,925.00 0302 1 8700 403017701S50AP DEFAULT $22.181 .00 Account ClaM Prvgnim I ll<'Westrleted Deltgnmled(5S04) 801 301770 0000 l I 0000 801 J P..manently Retfricled (5603) 404550 301770 0302 TomQOtanly R811111C1ad (5602) x 404$50 U""'5111d.cl (5601) ~Pig Paymll (1315) l J QUID PRO QUO CHARTFIELD {Com.E)ete ONLY for Non Tax Deductlble Benefits associated with a GIFTJ_ I Fund Designated Coda Bullget Raf Dept. ID Account Cl... Activity ID Proj•c:llD j I I Progr1m l Alllount l DONOR INFORMATION DONOR NAME SI UNIT I PROJl!CT CONTACT NAME AHO TELEPHOHe NU•BEll t EXXON MOBIL CORPORATION SAO MAll.IHO '10DRESS ' HOJlllE WORK P.O. BOX 2519, HOUSTON, TEXAS 77252-2519 PURPOSE/PROJECT TO SUPPORT: UNDERSTANDING SOL.AR VARIABILITY ANO CLIMATE CHANGE", DR. WILUI! SOON, Pt I NAME OF PERSON WHO RECEIVEO FUNDS DATE 81 RECEIVED GIFT/PROMISE AMANDA PRESTON 412/tl9 SECURITIES INFORMATION STOCK/BOHO NAME UNIT PRICE OH DATE St RECEIVED OWNeRSHIP NUMBef:I OF SHARES I BONDS llilffrt Vlllue TUTA1. IAEAN VALUE OF IFT DATE SI RECEIVED OWNERSHIP $ $ • 51\a•• Ol Slocb IFec Valuo ol Bond (Number X Mun par Shan tor Slockall'.ce lor Bonda ) I GIFT IN KIND INFORMATION 7 NEWGIK? l PAYMENT _ ONGIK? OESCRWT 1o~N ~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~~--. j _ PLEDGE AND PAYMENT SCHEDULE INFORMATION [ PAYMENT SCHEDULE I NEW PLEDGE? L PLEDGE PYlllT? T ~llUlULm f!Yf!!~~T I QISCOU!il AMOUIU PAYMENT AMOUNT i Remark•: !'JJ~•.11. h'r.11:'. /,\ Iii J.IA/!J.",\" II f'/J./Xi/_ /.I< "()N/.l/ f/IJNA I .\UllAI/ I JOI/ Ill NO 1111 I~ ('(}NfJn1mos .WJ1 Mt:/ I r PREPARED BV Amano.a Pre!llOr'I l n:LEPHONE NUMBER 617 ~95-7321 l UNIT AHO llRC NUMBER DATI! PREPARED 60 Garclen SlnMIL MS 45 413.'JQ C•~ IM O]llll ~ Comments l 1•11 .Ht N1111. ;.~ ' : M1.11;.N1.111 1·111 1 , "/U 1111 1·Hu//JJ.1 Hi·. Al'l'lllJ•. II· .w1 11sr m WH.11 01m111xitw JH HiJ ·n~tix 51-3011 (06107) OIJIM.D DONOR DOCUMEflTATIO ATtAO!tD R I l VES NO Sl-000012 Exxon Mobil Corporation Washington Offlcs 2000 K Slreel, N.W. Suite 710 Mark D. Boudreaux Senior Director, Federal Relations Washington, DC 20006 elephone acsimlle - E)f(onMobil March 30, 2009 Ms. Amanda Preston Smithsonian Astrophysical Observatory 60 Garden Street, MS-45 Cambridge, MA 0213 8-1516 Dear Ms. Preston: ExxonMobil is pleased to provide the enclosed contribution to the Smithsonian Astrophysical Observatory in the amount of $76, 106.00 for General Support. . We ask that you please complete the enclosed form and return it to the Community Relations Group at the address indicated. We are pleased to support the Smithsonian Astrophysical Observatory and wish you continued success. Sincerely, 14~7 Enclosure Sl-000013 Acknowledgement on MobiJ orpo ra ri n, ommun irv l elatio n · roup, 959 La· olin as Blvd., Irving, X 75039-2298 or 200901293 Smithsonian Astrophysical Observatory 60 Garden Street, MS 45 Cambridge, MA 02138-1516 Organization Tax ID: 53 -0206027 The 1993 Omnibu Budget Re onciliation A t imposes substanriation requirements for charitable contributions. fn order to comply with the regulations, ExxonMobil requin:s ea h nonprofit organization receiving a grant of 250 or more to provide the following information. cknow/edgment must be pro11ided within tMrtv daps n(ler receipt o{ExxonMobi/ contributio11 . Failure co re pond ma re ult in n ellation of upp rt in the fumre. I. Please indicate the date contribution was received: April 2, 2009 ----------~--------~------------- 2. Please indicate the amount of the check and/or describe any property received: $76,106.00 3. Were any goods and/or services provided to ExxonMobil by your organization in return for this contribution? (meals, entertainment, gifts, etc.) No ___ x_x_____ Yes - - - - - - - - If yes, please provide a description and good faith estimate of the value. not applicable Signarure:~ e~ Print Name: Amanda Preston Date: January 21, 2010 Title: Advancement and External Affairs Officer Sl-000014 Harvard-Smithsonian Center for Astrophysics 60 Garden StTeet, C.ambridge, MA 02138-1S16 (617) 495-7000 December 3, 2009 Ms. Judith Batty, Esq. Exxon Mobil Corporation 2000 K Street, NW, Suite 710. Washing1on. OC 20006 Dear Judith: Thank you very much for meeting with me by phone last week lO discuss ExxonMobil's most recent contribution to the Observator)'. I hope lO hear from you soon that we can use the ..indirect cost" portion of the gift for general operating support. In \ ie" of chc fact that you will no longer be funding Dr. Soon':. research, thi~ leUl'r is a higblevct overview of hi! n:search efforts pursued h al the mithsooian AS1 phy ical bservatory. It wou Id be very helpful to follo\ up thb letter with a mcc ing to de1ermine which areas of research might merit more discussfon and ex pl rati n. I run in Washington frequenrl , and would be happ to i it our office at your convenience. As you may know, the milhsonian Astrophysical bservatory (SAO 1 a researoh institute of ' mitbsonian ln L.i1ution heruiqllath:llld in Cambridge, MA Its affiliation with the Harvard College Ob. crvalory H 0) is known worldwide ns lh Harvard- mithsonian Center for Asu--ophysics CfA). The Observato ,, · s prim ry mission i'> to aclVWlcc knowledge of the universe through ~search in astronomy Wld astrophy ics and in relllled area r fundamental physics and geophysics. The secondary missi n is to be of service to the national and iniemaci naJ astronomical communities, and to society in brencrsl, in~ associated with ur primary mission. The bscrvatory ha strong record f chicvc:mcnt In developing and suc.ccssfully implemenring large. complex. and inn vative observational and lhooret.icaJ research projocts. SAO also supports che curiosity-dnven re~IU'Ch carried out b indhidual research ond small group . Research in science educuLJon !l.tld oucr h to many d1fl"cn.-'t1t publics round out our programs. th A uses its resources t atlft k fundamental questions in amonomy and astrophy . i . . These n10ge from the mysterie of the: formation and volutton of pl nets. stars, black holes. gala.xics Md IMger scale ·cru lures in the Uni erse, to tho WTOunding the mystenous darl.: maner and dark energy ~nding tl1e n1 erse. Our own Sun provides pan1colarly rich laboratory for the sllldy of both fundament I phy. ics and the de elopmeot of stal"s and solar systems. I\ has helped to de elop somt: uf Lhe world's most sophisticated asfr n mica I instruments co pmhe lht! universe with high resolution al wavelengths across the electromagnetic spectrum. SAO devd ped and operat'CS tclescopt: facililius in A.ri@na. Ha ii, MassachU54:1ls. and hilc. The Observa1 ry pl By lending rol • in sc eral NA A missions including lhe cum:nrly orbiting CJumdru Xruy Observatory. the Spitzer pace elescope llOd l Ilnode (with the Japanese pll.Ce Agency). as well as Sl-000015 LeJur 10 Judith Batty, December 3, 2009 Page two missions organind by the European Space Agency. A widely recognized program lhat utilizes spaccbome technologies to study our Earth has been operating at SAO for many years. SAO is also a leading center for theoretical and computational astrophysics, utilizing complex numerical s imulations calculated on thousands of parallel processors to model the r. nn.ation of the earl universe and I.he de elopmcm of galaxies and plane1s. SA O's strong labonnory a trophy ics. program uses la ratory experiments 10 e.Apand our uodcrstandtng of physical pr ses and applies rhese resul~ to processes throughout the Universe. SAO's current research goals include: a. To play a lead role in a "next-generation," ground-based optical/infrared telescope, the Giant Magellan Telescope; b. To develop the next-generation x-ray technok>gy necessary for the follow on missions to the Chandra X-ray Observatory; c. To play a major role in multi-wavelength observations of star and planet formation. of the fonnation and evolution of galaxies, of the nature and physics of dark energy and dark matter. and of the "markers" of possibly habitable planets lik.e Earth. d. To strengthen the synergy between astronomical obsetvatory end laboratory eicperiments conducted on the Eanh to ensure that we are using the best atomic and molecular data 10 interpret astrophysical observations of the Universe and our own planet. Enclosed pl~ find the folJowing materials: • • • A brief fact sheet on SAO A copy of the Executive Summary of our science stra1egic plan Copies of two press releases on important discoveries from the past month We \i ould bed lighted to host you and some of your colleagues at one of ur f; cilities. OW' t •lescope facilities in Arizona and Hawaii are fascinaring and make for a wonderful hands-on i11troduc1100 to the Observatory and 10 the big questions in contemporary astrophysics. , roo, a visit 10 our beadqu:uten; Ul Cambridge offers an intrigumg slimpse 1t1to the engineering and technology de elopment lh t underlie our observing capabili1ic •. Please do not hesitate to be in touch if you would like additional infonnation or if we can do anything to arrange some behind-the-scenes visits. I will call you in a few weeks to foJJow up. Wit~ hcst regards. /: . -LAmanda Preston Advancement and Extcma.I Affairs Officer Enclosures Sl-000016 /J../11. Smithsonian Astrophysical Observatory c/o Amanda Preston 60 Garden S~1 MS-45 Cambridge. MA 02138-1516 Phone: 617-49S-7321 Fax:617-495-7105 E-mail: aprestonfkfa.harvard.edu Request for Payment To: Pleue make chedr ~to: Smithsonian Aatrophplcal Obw ntory Amndon: Marte Boudreaux ExxonMobil Corporation 2000 K. Street. NW Sutt. 710 Wuhingtcn. DC 20006 Mal check to: Amlnda Preston Advancement and External A/fain Officr Smithsonian Ascrophyllcal Observatory 60 Garden Street, MS '45 Cambridge, MA 02138-1516 December 2. 2008 Request for contribudon U> 1uppon Year Two or die research projecc NUndtt:itandJig Solar Variobllry and Oimate Chante: Slprs from Temperaaue R«Dtds o(rhe Unit2d Sto11es", Dr. Wiiie Soon. Prtndpal bwesdptor Protea Com Salary and Benefits: Dr. WIUie Soon (75 days) Admlnistnmr (I clay) Secretarial (l.S days) Indirect Costs Toal Salaty and Beneflu: $49.JOS 617 953 .2.JAZj sn.751 Other Costs: Travel Pu bileadons Indirect Cesa TotaJ Od'ter Costs: TotaJ AD Cosu: $2.000 1,050 Jgi $3.355 $76.106 Thank )'OU very much. Quesdons: Aase contact Amanda Prenon. 617,...9s-n21. apreltlDn@cfa.harnrd.edu. Sl-000017 • Harvard-Smithsonian Center for Astrophysics 60 Garden Street, Cambridge, MA 02138-1516 (617) 495-7000 July 11, 2008 Marie D. Boudreaux Senior Director, Federal Relations Exxon Mobil Corporation 2000 K Street, NW Suite 710 Washington. DC 20006 Dear Mr. Boudreaux: Thank you very much for Exxon Mobil's contn'bution ofS76,106 to the Smithsonian Astrophysical Observatoiy to support Dr. Willie Soon's project, "Understanding Solar Variability and Climate Change." Restricted gifts are very important for our science re9C81Ch. particularly the projects that seek to better understand our own Sun. Please accept my thanks on behalf of the entire Observatory. ~i~-~~ ~n Advancement and External Affa.in Officer 60 Garden Street MS-45 Cambridge, MA 02138 617-495-7321 (voice) 617-495-7105 (fax) aprcst.on@cfa.h.aryard.edu (email) Wm-fSONT A~ A~OP~tl.A 1 OR.WRVATORY Sl-000018 0 Smithsonian Astrophysical Observatory GlFT RECEIPT FOR TAX RECORDS 60Garden Strec!L MS "5, Cambridge, MA 0218&-1516 Tel:(IS17)48~7.!121 Fu:: (617)t9~710& Fm.ii: develapmrnt@cfa.~in!Adu ro: Exxon Mobil Corporation This rereipt gratefully acknowledges your oontribution to the Smithsonian Astrophysical Observatory of! 76jl06.00 (~ dJoualmrl one-llundn!d and aix dolJRn) :or: -Understanding Solar VariahiUty and Climate CbanKe• (Dr. Willie Sooa) July/ rhe Smit'1soni•n Astroph_rsical Observatory has not proiidedyou with an.,Y goods or sen-ices ll1 •xch1mge for this co11tribution. Sl-000019 Exxon Mobll Corporation Washington Office 2000 K Street, N.W. Suite 710 J h1 t Mark D. Boudreaux Senior Director, Federal Relations '.:>C20006 ru:ep•1orl'!I -e:c tm11 - E)f(onMobil June 30, 2008 Ms. Amanda Preston Smithsonian Astrophysical Observatory 60 Garden Stree4 MS-45 Cambridge, MA 0213 8-1516 Dear Ms. Preston: ExxonMobil is pleased to provide the enclosed contribution to the Smithsonian Astrophysical Observatory in the amount of $76,106.00 for General Support. We ask that you please complete the enclosed form and return it to the Community Relations Group at the address indicated. We are pleased to support the Smithsonian Astrophysical Observatory and wish you continued success. Sincerely, Enclosure Sl.000020 . SMITHSONIAN INSTITUTION . ( CASH MTICll'Gl"1' Tracking # 2008 - 400000 - 00032 TRANSMITTAL FORM FOR GIFTS & PROMISES TO GIVE CHEO< CREOITCAAO WIRES YISMllC 8-11--08 s QllC' I - AMEX $ $76,106.00 n= PlEDGES OTHER Dl8COYER LMT 4 OIGITS Clfi 00:- ~1 f :HARTFIELD$: SPLIT FUNDED SEE BELOW Fund ~ fW .,...gra.-d Cade :,.. o.pt. Iii Cleal ~ Account Uniutrtcled -v...,,.--56041 Permanently Reslrictod (560.JJ Temparwlly AMtrfcad (580:2) linresltfeted (5601) EndowmGnl Pledge Poymenl8 ~10 A, .... ID 1131~ DONOR INFORMATION OOta~ ~ ~.1i.. ,_ EXXON MOBIL CORPORATION ..,... x MOlll! . l-• Ullrrl P'AOJICT C(lln"ACT l SAO/Preston __'Ii_'' P.O. BOX 2519, HOUSTON, TX 77262-2519 \WOAI( f'UMIOSIJMO.mcr TO SUPPORT "UNDERSTANDING SOLAR VARIABILITY AND CLIMATE CHANGE". DR. wawE soo~ P.t. 1w1u11•,.,.,..WHDAl!CIMl>Nd AMANDA PRESTON rn:• R~ GIFT-CMR 7-1--08 ..,_..,.._ 1.---· SECURITIES INFORMATION l ,. GIFT IN KIND INFORMATION PLEDGE ANO PAYMENT SCHEDULE INFORMATION " ' . . . , , 90EIUL.m l'l!Wl'UIJGn 111nnmULm e.u•Erlf !anmlT AllOUJfT W l l l l l. . . . PAYlll!NJON "'-IDClrP .A ~- _.'.:_ I __:_ . ,,. rs 1i0r llf •~•.c l'fJ.DC1J OM:ll710fdem.andlnf Salor VarlablDry and Ornate Oiange: Sirna& (tom Tentpennure Records ofrhe United States" Dr. Willie Soon, Prlncipal lnve1tlpt.0r Thank you very much. Questions: Please contact Amanda Prwston. 6 I7.,..95.732 I, aprescon@~.hvvard.edu. S/-000023 Amanda Preston From: Amanda Preston Sent Wednesda , Februa 27 2008 2:44 PM To: Subject: Attachments: Soon Proposal 2008.pdf; Request for Payment (Soon 2008).pdf Soon Proposal Request for 2008.pdf (87 KB) ... ~yment (Soon 2008. Dear Lauren, Thanks very much for getting back to me last week about ExxonMobil's support of Dr. Willie Soon's research. We are very pleased at the outcome of this decision. I am attaching a proposal for your review and a request for payment. You may recall that I mentioned the adjustment in our indirect costs upwards from the 15% that Walt Buchholtz and I negotiated when he was still in your position. You will see in the attached that the project cost increases to -$76.000. I look forward to hearing good news from you soon. With best regards and thanks, Amanda Amanda Preston Advancement and External Affairs Harvard-Smithsonian Center for Astrophysics 60 Garden Street, MS 45 Cambridge, MA 02138-1516 Voice: 617-495-7321 Fax: 617-495-7105 Blac~9 Cell: ~ Email: apreston@da.harvard.edu Sl-000024 0 Smithsonian Astrophysical Observatory Understanding Solar Variability and Climate Change: Signals from Temperature Records of the United States A Proposal to ExxonMobil Corporation Dr. Willie Soon, Principal Investigator Smithsonian Astrophysical Observatory Solar, Stellar and Planetary Sciences Division (617-495-7488; wsoon@cfa.harvard.edu) February, 2008 Research Target and Proposal: This proposal seeks $76, 106 from ExxonMobil Corporation for year one of this two-year project, "Understanding Solar Variability and Climate Change: Signals.from Temperature Records of the United Slates." Dr. Willie Soon proposes to conduct an intensive up-to-date science review of solar variability and climate change (see e.g., Soon 2007a), with emphasis on the signals from temperature record of the U.S. that will be a clear impro ement of previou studies. The goals for the first year are to collect and assess the cientific quality of Lhe a ailable temperature records from the nited tates, aggrega.red into four inter-related spatial domains: 1) a rural city (i.e., a city that is minimally disturbed by urban de elopment), 2) an individual state, 3 regional U.S. area, and 4) the who1e contenninous U.S. The goals for the second year are to study any plausible connection of these U.S. temperature records with estimated solar irradiance history for the past 112 years from 1895 to 2006. The previously published research paper by Soon (2005) identifies both the multidecadaJ variation in tota1 solar irradiance and the 11-year solar UV irradiance forcings to be important in explaining the bserved retie surface air temperature chang over the past 130 ear or so. The overall goal for thi two- ear program is to e.xtend our basic under tanding oa ho\ the variable solar irradiance output c uld be physically connected to the Earth climate sy tern The ability to confirm or reject the statistical correlations shown in Figure I will be of enormou scientific importance. The ultimate physical understanding will arise from detailed assessments on how the solar irradiance is related to the cloud field as well as how the solar irradiance may ystematically and persistently modulate the land surface heat fluxes (i.e., sensible and latent heais on multidecadaJ to centennial rime scale . A para11el hypothesis regarding the role of rising atmo pheric carbon dioxide ee e.g., Soon 2007b) in warming the surface temperatures of the United tates on these four spatial scales will also be evaluated. 1 SJ-000025 A Sun-Climate Coincidence? '1) A1chlao:n, Cl ~ 6 ~ 1367 - "'u ~ 1368 ~ !; .. 1365 Ill ~ :; 1384 ~ 136:9.._.___.._.._.__....._~__......................_._..._.~~......... 18BO 1900 1920 1940 1960 19BO 2000 1~ ~ 1880 1900 1920 194-0 1960 1980 2000 136'1 13611 1366 1383 ...........~......._._..__._~~_._............~~~~.......... 1363.._._~~.___.__.__.__.__..~--...~----''--" l8BO 1900 1920 1940 1960 1980 2000 1690 1900 1920 194-0 1960 1980 2000 Year Year Figure I: A plausible connection of the solar irradiance (red curves in all four plots; based on Hoyt and Schatten 1993-rescaled to the mean absolute value 1 measured by the ACRIM radiometers) compared with U.S. temperature records in four spatial domains (the blue dotted curves are for l) Atchinson, KS, 2) State of Kansas, 3) Central region of the U.S., and 4) Contenninous U.S.). These results extend the previous relation found for the Arctic shown in Soon (2005). The scientific hypothesis for this sun-climate relation will be carefully fonnulated and examined in the proposed project. [Temperature Data ource: U.S. ational Climatic Data enter, http://l\lvf.n ·d .no a.go /oa/climat /J sear h / ag3/cag .html]. Expeded Outcomes: (I) Publication of both original and review papers on solar variability and climate change and various environmental impacts of that related change in leading scientific journals for the advancement of climate and meteorological sciences. 1 Soon (2007a) calls for the solar physics community to finnl) establish tlli value emphasizing its great importance establishing the mean clima10Jogy in climalc models. The mean clirnaLology in climate models can be subjected 10 a rather arbilra cunutg given tbnt the absolute level of tot.'\! solar irmdtance is not dclermined to any level of confidence. nith vain ranging from I 72 to I 60 ~ /m 2• in 2 Sl-000026 (2) Development of tools, including power-point presentations and concise scientific essays, for unbiased and more accurate science accounting that will more powerfully serve infonned public policy making. (3) Better public education with active participations by Dr. Soon in all national and international forums interested in promoting the basic understanding of solar variability and climate change. Research Team: Dr. Willie Soon at the Smithsonian Astrophysical Observatory, which is a member of the Harvard-Smithsonian Center for Astrophysics, will lead and direct this scientific research program. In addition, the PI may solicit interest for collaborative efforts from interested colleagues at no additional cost to the proposal. Funding Request: This research proposal requests $76, 106 from the Exxon-Mobil Corporation for work to start March, 2008, extending for a duration of about one year. The funding is primarily to support approximately four months of Dr. Soon's full-time research at the Smithsonian Astrophysical Observatory and minimal administrative and clerical support for the project, as well as a small amount of travel to a scientific meeting or publication costs. The Observatory's indirect costs for the project are also included. Salary and Benefits: Dr. Willie Soon (80 days) Administrator (1 day) Secretarial (2.5 days) Indirect costs Total Salaries and Benefits: Other Costs: Travel Publications Indirect costs Total Other Costs: TOTAL ALL COSTS: $49,370 749 917 21.946 $72,982 $ 1,790 1,050 284 $ 3, 124 $76,106 Hoyl D. V. ll!ld Scbatlen K. H. (I 9'J3) A dillcussion of plausible aolar im1dian.:e variations, 1700.1992. Jownal of Geophyaical lle5e4n:b 98 (Al I), I 889S- I 8906 [with updates from Dr. Nicola Scafe«a. Duke Univeniity, privme cOllllUWlicat.ion May 31, 2007]. Soon W (2005) Variable solar ill'adion~ as a plauslble agent for multidecadal variations in the Arctic-wide lltllfaoe air temporalllre records of the put 130 year.;. Geophysical Research Lettcn 32: Ll6712. Soon W (2007a) Some Issues ofSolar ln'adiance Variability and Climatic Responses: A Brief Review. Invited Talk GC42A-OS al the Americ:an GeophYT>ical Union Fall Meeting (Dcccmbcr 10-14, 2007). Soon W (2007b) lmplicmioM of the socondary role of carbon dioxide and methane forcing in climate change: Past, present, and future. Physical Geography 28, 97-125. 3 Sl-000027 ESTIMATE OF COST Period of Performance: January 15, 2008 through December 31, 2008 Loaded ProductJve Labor: Or. Wlnle Soon, Pl Program Administration Secretary Total Productive Labor Hrs 494 Dollars $25,209 8 $495 20 $607 522 ~.311 - Leave@ 19.5% Total Direct Labor 5131 31,442 Fringe Benefits @ 26.5% Direct Operating Overhead Base 8,3;!£ 39,774 Direct Operating Overhead @ 30% 11,932 Travel -see schedule 1,789 Printing and Reproduction • see schedule 1,050 G&ABase G&A@10% TOTAL ESTIMATED COST 54,545 5.455 $60,000 Sl-000028 . . r- 15% Ad1.~in Chg ESTIMATE OF COST Period of Performance: January 15, 2008 through December 31, 2008 Productive Labor: Dr. Willie Soon. Pl Leave@ 19.5% Total Direct Labor Fringe Benefits@ 26 .5% Hrs 640 Dollars $32,659 6,369 39,028 10,342 49,370 Travel -see schedule 1,789 Printing and Reproduction • see schedule 1,050 52,209 7,831 Administrative Charge 15% TOTAL ESTIMATED COST $60,040 Sl-000029 Amanda Preston From: sem: To: Subject: Attachments: Soon Proposal 2008.pdf; Request for Payment (Soon 2008).pdf Soon Proposal Request f'or 2008.pdf (84 KB) ... Jyment (Soon 2008. Dear Lynn, Thank you for your call . It was good to speak with you again . Attached is the proposal and the request for payment I sent to Lauren at the end of February. Please don't hesitate to call if you have questions. Thanks much, Amanda Amanda Preston Advancement and External Affairs Harvard-Smithsonian Center for Astrophysics 60 Garden Street, MS 45 Cambridge, MA 02138..,1516 Voice: 617-495-7321 Fax: 617-495-7105 Blac~829 Cell:...._ Email: apreston@cfa.harvard.edu -Original Message-From: Amanda Preston Sent Wednesda Februa 27 2008 2:44 PM To:iilil Sub1ec Dear Lauren, Thanks very much for getting back to me last week about ExxonMobil's support of Dr. Willie Soon's research. We are very pleased at the outcome of this decision. I am attaching a proposal for your review and a request for payment. You may recall that I mentioned the adjustment in our indirect costs upwards from the 15% that Walt Buchholtz and I negotiated when he was still in your position. You will see in the attached that the project cost increases to -$76,000. I look forward to hearing good news from you soon. With best regards and thanks, Amanda 1 Sl-000030 Amanda Preston Advancement and External Affairs Harvard-Smithsonian Center for Astrophysics 60 Garden Street, MS 45 Cambridge, MA 02138-1516 ----·-------- Voice: 617-495-7321 Fax: 617-495-7105 Blackberry: 617-285-4829 Cell: ExempuonG Email: apreston@cfa.harvard.edu 2 Sl-000031 Amanda Preston From: Sent: To: Amanda Preston Tuesda , Februa 12, 2008 3:57 PM Subject: Dear Lauren, Just a quick note to see if you've heard anything about the issue of restrided gifts versus general operating support. I'm around all week and can move things along quickly once we know ifs okay to proceed. Thanks much, Amanda Amanda Preston Advancement and External Affairs Harvard-Smithsonian Center for Astrophysics 60 Garden Street, MS 45 Cambridge, MA 02138-1516 Voice: 617-495-7321 Fax: 617-495-7105 Blac~-4829 Cell:Email: apreston@cfa .harvard.edu 1 Sl-000032 Amanda Preston From: Sent: Subject: Willie Soon [wsoon@cfa.harvard.edu) Tuesday, January 15, 2008 6:24 AM Sara Yorke; Amanda Preston (2) let's submit this proposal for $60K to Exxon-Mobil ... Attachments: Ken1..auren08-Jan15-Sun-USClimate-Proposal-Exxon-FINAL.doc To: Kerrlauren08-Ja 15--Sun-USClim. dear Sara and Amanda, can you help submit this proposal to Lauren Kerr Exxon Mobil Corporation 2000 K Street NW, Suite 710 Washington, D.C. 20006 Ph: Exemp 1on6 F: Assistant: Lynn Gellner Exempl1on asap?? Any way you can help me stretch this proposal to maximize my work at SAO would be appreciated ... Willie ps: i have answered Lauren's questions - - Original Message - Subject: Re: would it be OK for me to submit my sun-climate research proposal to Exxon-Mobil for 2008 support? Date: 1 1 · From: To: edu> • CC: Exemp lon6 Hi Willie - the proposal looks fine. Please have the Center send me an invoice for 2008, for General Support for your work. Can you clarify for me, on page t'NO there's a reference to "original" and "review" papers does that mean not peer reviewed, and peer reviewed? I'd love to see a copy of the DVD. Who is releasing it - Smithsonian? Lauren Kerr Exxon Mobil Corporation 1 Sl-000033 2000 K Street NW, Suite 710 Wash' •1J D C 20006 Ph: Exemphon6 F: Assistant: L G II l xrm1pl1LH1 G 2 SJ-000034 Acknowledgement Pll·asc return lhis completed form 1'11 hli Affairs Dcpu rt 111 ·n l. l~onm 1J7:?/4-U- I-HI:'. 1 •· on Mohil Corporation. Communit\' Relations Group. Bh·d .. I n ·i11g. . • 75 0J9-2298 or f n' : :?.-n. , ;9:9 L:1s Colitrn. 200800623 Smithsonian Astrophysical Observatory 60 Garden Street, MS 45 Cambridge, MA 02138-1516 Organization Tax ID: S-'30 .2Dl. Ol-1 The 1993 Omnibus Budget Reconciliation Act imposes substantiation requirements for charitable contributions. In order to comply with the regulations, Exxon.Mobil requires each nonprofit organization receiving a grant of$250 or more to provide the following information. Acknowledgment must be provided within thirtv dar after receipt o(E:a:o11Mohil contribution. Failure to respond may result in cancellation of support in the future. 1. Please indicate the date contribution was received: _ 7.._-_,_I_-_;O_f_____________ 2. Please indicate the amount of the check and'or describe any property received: ¢7~, JOf..o. 00 3. Were any goods and/or services provided to ExxonMobil by your organization in return for this contribution? (meals, entertainment, gifts, etc.) Yes _ _ _ _ __ No V If yes, please provide a description and good faith estimate of the value. Signature:~ f~ Print Name: AmA,vDA 'f?tssrotl Date: Title: 7- 2 -o? I/ DVrft..K.GJYWf ANO Gr:-r=1W1tt..-A FA411t.s OFFtc€1L Sl-000035 ,,hY"slcal Journal TOTAL COST ii,050 10 105 lt..O~Q Sl-000046 CONTRACTUAL AND COST INFORMATION INCLUDING CERTIFICATIONS The Smithsonian Institution, an independent trust establishment was created by an act of the Congress of 1846 to carry out the terms of the will of James Smithson of England, who had bequeathed his entire estate to the United States of America "to found at Washington, under the name of the Smithsonian Institution, an establishment for the increase and diffusion of knowledge among men." After accepting the trust property for the United States, Congress vested responsibility for administering the trust in a Smithsonian Board of Regents. The Smithsonian performs research, educational and other special projects supported by grants and contracts awarded under the cost principles of the Federal Acquisition Regulation, Subpart 31.7 Contracts with Nonprofit Organizations. It is audited by the Defense Contract Audit Agency, Landover, Maryland. The Charter of the Smithsonian Institution carries a mandate for the "increase and diffusion of knowledge among men." Therefore, any grant or contract that may be awarded as a result of this proposal must be unclassified, in order not to abridge the Institution's right to publish, without restriction, findings that result from this research project. Considering the nature of the proposed effort, it is requested that a Research Grant with reimbursement via electronic funds transfer be awarded to cover the proposed project in accordance with Subpart C Section .22(e) of OMB Circular No. A-110 dated 30 September 1999. Pursuant to Subpart C, Section .33 and .34 of OMB Circular No. A-110 dated 30 September 1999, it is requested that title to all exempt property and equipment purchased or fabricated under the proposed contract be vested irrevocably in the Institution upon acquisition. In accordance with an agreement between the Office of Naval Research and the Smithsonian, the Institution operates with predetermined fixed overhead rates with carry-forward provisions. For Fiscal Year 1996 and beyond, the Indirect Cost and Fringe Benefits Rates are developed in accordance with the Office of Management and Budget Circular (OMB) A-122: Cost Principles for nonprofit organizations. The following approved rates, provided by ONR Negotiation Agreement dated 2 November 2007, shall be used for forward pricing and billing purposes for Fiscal Year 2008. The Fringe Benefits Rate will be applied to the Total Direct Labor Costs. The Material Overhead Rate will be applied to the cost of materials, equipment and subcontracts. The Direct Operating Overhead Rate will be applied to the Direct Labor and Benefits costs. The G&A Rate will be applied to the base consisting of total costs except the costs associated with the materials, equipment and subcontracts. Sl-000047 The following Approved Rates shall be used for forward pricing and billing purposes for Fiscal Year 2008: Material Burden Rate (Cost of Materials, equipment and subcontracts) 5. 4 % Personnel Leave Rate (Total Direct Labor Costs less paid leave and training (Productive Labor}) 19.5% Fringe Benefits Rate (Full/Part Time Employees) (Total Direct Labor Costs) 26. 5% Fringe Benefits Rate (Intermittent Employees) (Total Direct Labor Costs) 8.5% Direct Operating Overhead Rate (Total Direct Labor and Fringe Benefits Costs) 30.0% General and Administrative Rate (G&A) (Base consists of Direct Operating Activities less Net Costs Associated with materials, subcontracts and equipment) 10.0% Central Engineering Overhead Rate (Central Engineering Direct Labor and Benefits Costs) 28.9% Rate verification can be made by contacting Ms. Linda Shipp, Office of Naval Research, Indirect Costs/ONR 242, 800 N. Quincy Street, Room 704, Arlington, Virginia 22217, telephone (703) 696-8559, or e-mail linda_shipp@onr.navy.mil. Engineering services are provided by the Central Engineering Department as a Cost Center. Charges by the department to research projects are inclusive of Direct Labor, Fringe Benefits, and Central Engineering Overhead. CERTIFICATIONS Pursuant to Executive Order 12549 and implementing rule (FAR 52.209-5), the Smithsonian Institution certifies that it presently is not debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from covered transactions by any Federal department or agency. Pursuant to Section 1352, Title 31, United States Code (USC) and implementing rule (FAR 52.203-12), the Smithsonian Institution certifies that no Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan or cooperative agreement. Sl-000048 AMENDMENT ONE TO AGREEMENT FOR FUNDING A GRANT TO SMITHSONIAN ASTROPHYSICAL OBSERVATORY This AMENDMENT ONE ("Amendment") is made and entered Into by and between The Smithsonian Astrophysical Observatory, (the "Smithsonian") and Southern Company Services, Inc., ("SCS") and ls effective on the date it is executed by the later of the parties ("Effective Date"). WHEREAS, Smithsonian and SCS (the "Parties") entered into an Agreement for Funding a Grant to Smithsonian Astrophysical Observatory ("Agreement") dated February 28, 2008; and WHEREAS, the parties now desire to amend such Agreement; NOW, THEREFORE, for and in consideration of the mutual agreements, promises and covenants contained herein, the adequacy and sufficiency of which are hereby acknowledged, the parties hereby mutually agree as follows: 1. The following sentence is hereby added after the last sentence of Paragraph 1, Scope of Work: "In consideration of further continued Research to be provided by Smithsonian to SCS, SCS agrees to make a second advance payment in the sum of Sixty Thousand Dollars ($60,000.00) for its costs for additional research in an amount not to exceed the second advance sum. 2. The following sentence is hereby added after the first sentence of Paragraph 5, Deliverables: "In consideration to SCS for its second one ( 1) year of funding contribution to the Project, Smithsonian shall deliver to SCS a progress report of the findings including a detailed summary and analysis. of the results and findings at the end of the second one (1) year period." 3. The following new Paragraph is hereby added after Paragraph 17: "18. Invoicing and Payment. Smithsonian shall invoice SCS in advance for the full amount of funding for each year that SCS may provide funding. All invoices shall be mailed to Robert P. Gehri at the address for notices provided· in Paragraph 14, Notices. SCS shall pay Smithsonian for the full amount of each invoice within thirty (30) days after receipt of each such Invoice. Payment shall be mailed to the address set forth in the invoice." EXCEPT AS EXPRESSLY MODIFIED BY THIS AMENDMENT, ALL OTHER TERMS AND CONDITIONS OF THE AGREEMENT SHALL REMAIN IN FULL FORCE AND EFFECT. Amendment I (03-30-09).doc Sl-000049 IN WITNESS WHEREOF, each of the Parties hereto have caused this Amendment to be executed in duplicate originals by its duly authorized representative on the respective dates entered below. Southern Company Servlcee, Inc. ("SCS") By: ~6..o.o ' Bryan Baldwin (Name typed or Title: Date: printed)CONTRACTING OFFICER --------r------- -----i~!--i',~l9.____ (Name typed or printed) Title: Date: Manager. Environmental Assessment ~ ~, 2oo1 Amendment I (03-30-09).doc Sl-000050 6 March 2009 Dr. Robert P. Gehri Southern Company Services, Inc. 600 North 18th Street Bin l 4N-8 l 95 Birmingham, AL 35207 Reference: Agreement for SAO Proposal P6882-l-08 - Understanding Solar Variability and Climate Change: Signals from Temperature Records of the United States Subject: Year I Report Dear Dr. Gehri : Transmitted herewith is one (1) copy of the subject report for the period 15 January 2008 through 14 January 2009, in accordance with the provisions of the above referenced Agreement. Very truly yours, William J. Ford Contract and Grant Specialist WJF/cm Enclosure. cc: Mr. Joseph L Coker, Southern Co, w/encl. ebc: C. Alcock, w/encl. N. Brickhouse, w/encl. W. Soon, w/encl. N. Rathle, w/encl. P. Sozanski, w/encl. File: Southco-001, w/encl. Sl-000051 UNDERSTANDING SOLAR VARIABILITY AND CLIMATE CHANGE: SIGNALS FROM TEMPERATURE RECORDS OF THE UNITED ST ATES YEAR 1 REPORT For the Period 15 January 2008 to 15 January 2009 Principal Investigator: Dr. Willie Soon January 2009 Prepared for Southern Company Atlanta, GA 30308 The Smithsonian Astrophysical Observatory is a member of the Harvard~Smithsonian Center for Astrophysics The Southern Company contact for this grant is Robert Gehri, Southern Company, 30 Ivan Allen Jr. Blvd. NW, Atlanta, GA 30308 Sl-000052 Year 1 Report "Understanding Solar Variability and Climate Change: Signals from Temperature Records of the United States" For the Southern Company Period of performance: 1/15/08 to 1/15/09 by Willie Soon, Principal Investigator Smithsonian Astrophysical Observatory Solar, Stellar and Planetary Sciences Division (617-495-7488; wsoon({llcfa.harvard.edu) The goals of this research proposal have been completely and successfully executed with the following list of deliverables: (1) The publication of: "Polar bear population forecasts: A public-policy foecasting audit" Interface, vol. 38, 382-405 by Scott Atrmstrong, Kesten Green and Willie Soon (2008) [with comments and replies] Calls to list polar bears as a threatened species under the United States Endangered Species Act are based on forecasts of substantial long-term declines in their population. Nine government reports were written to help US Fish and Wildlife Service managers decide whether or not to list polar bears as a threatened species. We assessed these reports based on evidence-based (scientific) forecasting principles. None of the reports referred to sources of scientific forecasting methodology. Of the nine, Amstrup et al. [Amstrup, S. C., B. G. Marcot, D. C. Douglas. 2007. Forecasting the rangewide status of polar bears at selected times in the 21st century. Administrative Report, USGS Alaska Science Center, Anchorage, AK.] and Hunter et al. [Hunter, C. M., H. Caswell, M. C. Runge, S. C. Amstrup, E. V. Regehr, I. Stirling. 2007. Polar bears in the Southern Beaufort Sea II: Demography and population growth in relation to sea ice conditions. Administrative Report, USGS Alaska Science Center, Anchorage, AK.] were the most relevant to the listing decision, and we devoted our attention to them. Their forecasting procedures depended on a complex set of assumptions, including the erroneous assumption that general circulation models provide valid forecasts of summer sea ice in the regions that polar bears inhabit. Nevertheless, we audited their conditional forecasts of what would happen to the polar bear population assuming, as the authors did, that the extent of summer sea ice would decrease substantially during the coming decades. We found that Amstrup et al. properly applied 15 percent of relevant forecasting principles and Hunter et al. 10 percent. Averaging across the two papers, 46 percent of the principles were clearly contravened and 23 percent were apparently contravened. Consequently, their forecasts are unscientific and inconsequential to decision makers. We recommend that researchers apply all relevant principles properly when important public policy decisions depend on their forecasts. iFinal Sl-000053 (2) The publication of: "Reply to response to Dyck et al. (2007) on polar bears and climate change in western Hudson Bay by Stirling et al. (2008)" Ecological Complexity, vol. 5, 289-302 by Dyck, Soon et al. (2008) We address the three main issues raised by Stirling et al. [Stirling, I., Derocher, A.E., Gough, W.A., Rode, K., in press. Response to Dyck et al. (2007) on polar bears and climate change in western Hudson Bay. Ecol. Complexity]: (I) evidence ofthe role of climate warming in affecting the western Hudson Bay polar bear population, (2) responses to suggested importance of humanpolar bear interactions, and (3) limitations on polar bear adaptation to projected climate change. We assert that our original paper did not provide any "alternative explanations [that] are largely unsupported by the data" or misrepresent the original claims by Stirling et al. [Stirling, I., Lunn, N.J., Iacozza, I., 1999. Long-term trends in the population ecology of polar bears in western Hudson Bay in relation to climate change. Arctic 52, 294-306], Derocher et al. [Derocher, A.E., Lunn, N.J., Stirling, I., 2004. Polar bears in a warming climate. Integr. Comp. Biol. 44, 163-176], and other peer-approved papers authored by Stirling and colleagues. In sharp contrast, we show that the conclusion of Stirling et al. [Stirling, I., Derocher, A.E., Gough, W.A., Rode, K., in press. Response to Dyck et al. (2007) on polar bears and climate change in western Hudson Bay. Ecol. Complexity] - suggesting warming temperatures (and other related c lim atic changes) are the predominant determinant of polar bear population status not only in western Hudson ( WH) Bay but also for populations elsewhere in the Arctic - is unsupportable by the current c ient ific evidence. The commentary by Stirling et al. [Stirling l., Derocher, A. E., Gough, W.A. Rode K., in press. Response to Dyck et al. (2007) on polar bears and climate change in western Hudson Bay. Ecol. Complexity] is an example of un i-dimens iona l or reductionist thinking, which is not useful when assessing effects of c l irnate change on complex ecosystems. Polar bears of WH are exposed to a multitude of environmental perturbations including human interference and factors (e.g., unknown seal population size, possible competition with polar bears from other populations such that iso lation of any single variable as the certain root cause (i.e. c limate change in the form of warn1ing spring air temperatures), without recognizu1g confounding interactions, is imprudent unjustified and of questionable scientific utility. Dyck et al. [Dyck, M.G., Soon, W., Baydack, R.K., Legates, D.R., Baliunas S., Ball T.F. Hancock L.0., 2007. Polar bears of western Hudson Bay and climate change: Are warming spring air temperatures the "ultimate" survival control factor? Ecol. Complexity, 4, 73-84. doi:l0.1016/j.ecocom. 2007.03.002] agree that some polar bear populations may be negatively impacted by future environmental changes; but an oversimplification of the complex ecosystem interactions (of which humans are a part) may not be beneficial in studying external effects on polar bears. Science evolves through questioning and proposing hypotheses that can be critically tested, in the absence of which, as Krebs and Borteaux [Krebs, C.J., Berteaux, D., 2006. Problems and pitfalls in relating climate variability to population dynamics. Clim. Res. 32, 143-149] observe, "we will be little more than storytellers." (3) The publication of the scientific manuscript "Centennial variations of the global monsoon precipitation in the lastmillennium: Results from ECHO-G model" by Jiau Liu, Bin Wang, Qinghua Ding, Xueyuan Kuang, Willie Soon and Eduaordo Zorita (2009) in press for the peer-reviewed journal Journal of Climate. We investigate how the global monsoon (GM) precipitation responds to the external and anthropogenic forcing in the last millennium by analyzing a pair of control and forced millennium simulations with the ECHO-G coupled ocean-atmosphere model. The forced run, which includes the solar, volcanic and greenhouse gas forcing, captures the major 2 Sl-000054 modes of precipitation climatology comparably well when contrasted with those captured by the NCEP reanalysis. The strength of the modeled GM precipitation in the forced run exhibits a significant quasi-bi-centennial oscillation. Over the past 1000 years, the simulated GM precipitation was weak during the Little Ice Age (1450-1850) with three weakest periods occurring around 1460, 1685, and 1800, which fell in, respectively, the Sporer Minimum, Maunder Minimum, and Dalton Minimum periods of solar activity. Conversely, strong GM was simulated during the model Medieval Warm Period (ca. 1030-1240). Before the industrial period, the natural variations in the total amount of effective solar radiative forcing reinforce the thermal contrasts both between the ocean and continent and between the northern and southern hemispheres resulting in the millennium-scale variation and the quasi-bi-centennial oscillation in the GM index. The prominent upward trend in the GM precipitation occurring in the last century and the notable strengthening of the global monsoon in the last 30 years (1961-1990) appear unprecedented and owed possibly in part to the increase of atmospheric carbon dioxide concentration though our simulations of the effects from recent warming may be overestimated without considering the negative feedbacks from aerosols. The simulated change of GM in the last 30 years has a spatial pattern that differs from that during the Medieval Warm Period, suggesting that global warming that arises from the increases of greenhouse gases and the input solar forcing may have different effects on the characteristics of GM precipitation. We further note that GM strength has good relational coherence with the temperature difference between the northern and southern hemispheres, and that on centennial timescale, the GM strength responds more directly to the effective solar forcing than the concurrent forced response in global mean surface temperature. (4) The publication of the scientific manuscript "Validity of Climate Change Forecasting for Public Policy Decision Making" by Kesten Green, Scott Armstrong, and Willie Soon (2009) in the peer-reviewed journal International Journal of Forecasting [Status: accepted; subject to further revision] Policymakers need to know whether prediction is possible and if so whether any proposed forecasting method will provide forecasts that are substantively more accurate than those from the relevant benchmark method. Inspection of global temperature data suggests that it is subject to irregular cycles on all relevant time scales and that variations during the late-201h Century were not unusual. In such a situation, a "no change" extrapolation is an appropriate benchmark forecasting method. We used the U.K. Met Office Hadley Centre's annual average thermometer data from 1850 through 2007 to examine the performance of the benchmark method. The accuracy of forecasts from the benchmark is such that even perfect forecasts would be unlikely to help policymakers. For example, mean absolute errors for 20- and 50-year horizons were O.l 8°C and 0.24°C. We nevertheless evaluated the Intergovernmental Panel on Climate Change' s 1992 projected long-term linear warming rate of 0.03°C-per-year. We used the IPCC projection for our demonstration of benchmarking because it has influenced important policy decisions. The small sample of errors from ex ante projections for 1992 through 2008 was practically indistinguishable from the benchmark errors. Validation for longterm forecasting, however, requires a much longer horizon. We illustrate proper 3 Sl-000055 validation procedures by projecting the IPCC warming rate successively over a period analogous to that envisaged in their 0.03°C-per-year 21st Century warming scenario in which C0 2 levels are expected to grow exponentially. Namely 1851to1975. The errors from the projections were more than seven times greater than the errors from the benchmark method. Relative errors were larger for longer forecast horizons. Our validation exercise illustrates the importance for policymakers of determining predictability before making expensive decisions. (5) Preparation of the scientific manuscript "Multiple and changing cycles of active stars II. Results" by K. Olah, Z. Kollathl, T. Granzer, K.G. Strassmeier, A.F. Lanza, S. Jarvinen, H. Korhonen, S.L. Baliunas, W. Soon, S. Messina, and G. Cutispoto (2009) for publication in the peer-reviewed journal Astronomy & Astrophysics (Status: submitted) ABSTRACT Aims. We study the time variations of the cycles of 20 active stars based on decades-long photometric or spectroscopic observations. Methods. A method of time-frequency analysis, as discussed in a companion paper, is applied to the data. Results. Fifteen stars definitely show multiple cycles; the records of the rest are too short to verify a timescale for a second cycle. The cycles typically show systematic changes. In three stars we found 2-2 cycles that are not harmonics, and which vary in parallel, indicating that a common physical mechanism arising from a dynamo construct. The positive relation between the rotational and cycle periods is confirmed for the inhomogeneous set of active stars. Conclusions. Stellar activity cycles are generally multiple and variable. (6) Preparation of the scientific manuscript "Solar Arctic-Mediated Climate Variation on Multidecadal to Centennial Timescales: Empirical Evidence, Mechanistic Explanation, and Testable Consequences" (2009) by Willie Soon for publication in the peer-reviewed journal Physical Geography (Status: submitted) The abstract of this new paper says: "Soon (2005) showed that the variable total solar irradiance (TSI) could explain, rather surprisingly, well over 75% of the variance for the decadally-smoothed Arctic-wide surface air temperature over the past 130 years or so. The present paper provides additional empirical evidence for this physical connection, both through several newly published high-resolution paleo-proxy records and through robust climate-process modeling outputs, and proposes a mechanistic explanation, involving 1) the variable strength of the Atlantic meridional overturning circulation (MOC) or thermohaline circulation (THC), 2) the shift and modulation of the InterTropical Convergence Zone (ITCZ) rainbelt and tropical Atlantic ocean conditions, and 3) the intensity of the wind-driven subtropical and subpolar gyre circulation, across both the North Atlantic and North Pacific. A unique test of this proposed solar TSI-Arctic thermal-salinity-cryospheric coupling mechanism is the 5-to-20-year delayed effects on 4 Sl-000056 (1) the peak Atlantic MOC flow rate centered near 30-35°N, and (2) sea surface temperature (SST) for the tropical Atlantic. The solar Arctic-mediated climate mechanism on multidecadal to centennial timescales presented here can be compared with and differentiated from both the related solar TSI and UV irradiance forcing on decadal timescale. The ultimate goal of this scientific research is to gain sufficient mechanistic details so that the proposed solar-Arctic climate connection on multidecadal to centennial timescales can be confirmed or falsified. A further incentive is to expand this physical connection to longer, millennial-scale variability as motivated by the multiscale climate interactions shown by Braun et al. (2005), Weng (2005) and Dima and Lohmann (2009)." (7) The prominent participation of PI in the following list of scientific talks and discussion at both national and international forums of professional scientists: All power-point talks are available upon request (a) January 4-6, 2008: Awakening 2008 Conference, Sea Island, Georgia "The secondary role of C02 radiative forcing in climate change: Real facts you are not even supposed to find out!" (b) March 2-4, 2008: International Climate Conference, New York City, NY "Global Warming 10 I: Al Gore's C02 Theory" (c) March 15, 2008: Good Neighbor Forum, Cheyenne, WY "Global Warming Explained!" (co-panelist Lyle Laverty, Assistant Secretary of Fish, Wildlife and Park Services) (d) March 31, 2008: Deliberative Polling Event at California University of Pennsylvania, California, PA "Global Warming Explained: The importance of getting the science right!" (e) April 3, 2008: Department of Physics Colloquium, University of Buffalo, NY "The secondary role of C02 and CH4 forcing on climate change: Past, present and future" (t) April 24, 2008: Sutherland Institute Global Warming Panel (with Roy Spencer as co-panelist) "Future of Utah", Salt Lake City, Utah (g) June 19-22, 2008: 1st Annual "Winning Ideas Weekend" of the Free to Choose Network, New York City, NY "The Sun, C02 and Global Warming" (with Dave Legates as co-panelist) (among other speakers: John Fund of WSJ and John Stossel of ABC News) (h) June 23-28, 2008: Nice France Special session for the ISF. Session Title: "Climate Forecasting and Public Policy." 5 Sl-000057 "Do the Forecasts by the U.S. Government Provide Valid Evidence for the Decision to Classify Polar Bears as an Endangered Species?" J. Scott Armstrong, The Wharton School, U. of Pennsylvania, Philadelphia, PA, Kesten. C. Green, Business and Economic Forecasting, Monash University, Vic 3800, Australia and Willie Soon, Harvard-Smithsonian Center for Astrophysics, Cambridge MA (i) July 11-13, 2008: Annual Meeting of Doctors for Disaster Preparedness, Phoenix, Arizona "Endangering the Polar Bears: How environmentalists kill" 0) August 6-14, 2008: the 33rd International Geological Congress, Oslo, Norway (i) co-chairing, with Professor Bob Carter of James Cook University, the science session CGC-03: "Solar drivers of climate change and the stratigraphic record" (ii) selected by Professor David Gee of Uppsala University, the IGC SciCom Chairman, to be one of the speakers for the August 8's Theme of the Day oflGC on "Climate" and the title of my talk: "Solar and Climate Variability: Past, present and future" (iii) invited speaker for CGC-03 session: "Solar irradiance variability and climatic responses: A brief review" (iv) contributing author for CGC-03 session: "Relationship between the global mo1nsoon intensity and the effective solar radiation in the last millennium" by Jian Liu, Bin Wang and Willie Soon (k) September 15, 2008: Marshall Institute Climate Discussion Group, "The Sun-Climate Connection" (I) September 23, 2008: University of Southern California, Ayn Rand Institute Global Warming and Policy Panel (with Keith Lockitch as co-panelist), "On the science of global climate change" (m) September 25, 2008: University of California Berkeley, Ayn Rand Institute Global Warming and Policy Panel (with Keith Lockitch as co-panelist), "On the science of global climate change" (n) September 29, 2008: Columbus, Ohio, Annual Meeting of the G&T Managers' Association, "On the science of global climate change" (o) November 24-26, 2008: Jakarta, Indonesia, Invited speaker at the International Symposium on Climate and Weather of the Sun-Earth System hosted by Indonesia's National Agency for Meteorology & Geophysics (as part of the scoping processes for the upcoming UN IPCC AR5 reports). 6 Sl-000058 Charles G. Koch September 2 l, 2009 Charles A \cock Director Harvard-Smithsonian Center for Astrophysics 60 Garden Street Cambridge, t\.'TA 021J8-l5L6 Dear Mr. Alcock: Pursuant to the request of the Smithsonian lnslilution, we are happy to enclose our check in the nrno1m1 of $65,000 in support of research to be conductc suhjt>c:tf'CI lo a ratht>r ;irhitrery tuning p,iven that llw absolult- level of loldl solar irradlann~ is not determined to any level of c:onfidence, with values ranging from 1372 to1360W/ml 2 Sl-000061 Expected Outcomes: (1) (2) c.ii Publication of both original and review papers on solar variability and climate change and various environmental impacts of that related change in leading scientific journals for the advancement of climate and meteorological sciences. Development of tools, including power-point presentations and concise scientific essays, for unbiased and more accurate science accounting that will more powerfully serve informed public policy making. Bener public education with active participations by the Pl of this research proposal in all national and international forums interested in promoting the basic understanding of solar variability and climate change. Research Team: Dr. Willie Soon at the Smithsonian Astrophysical Observatory, which is part of the Harvard-Smithsonian Center for Astrophysics, will lead and direct this scientific research program. In addition, the Pl may solicit interests for collaborative effort from interested colleagues at no additional cost to the proposal. Funding Request: The funding is primarily to support approximately 6 months of the full-time research work of Dr. Willie Soon at the Smithsonian Astrophysical Observatory and a small amount of travel to a scientific meeting or publication costs. This research proposal requests $65,000 from the Charles G. Koch Charitable Foundation for work to start January I, 2009, extending for a duration of about one year. Hoyt D. V and Schatten K. II. (1993) A di:icus.sion of plausible IOW imidi.tnce ...,.ialiona, 1700-1992. Joum1l of Gulphy~ical Re.ean:h 98 (A 11), 18895-18906 [with updates from Or. Nicola Scafeua. Duke Univerical Research Leuers J2: l. 16712 Soon W. (2007a) Some 1~1ucs ofSola1 lmidiancc Vanabiliiy and Climatic Responses: A BricfRevicw. lniviled Tlllk OC42A-05 at Ille i\moncan physical Union Fall Meeting (IJ.:ccmh<:r l(l-14, 2007). Soon W (2007h) lmplica11ons of lhe secondary role of carhon dioxide and '""'hanc forcins 1n chmale chanse Pa.sl, present, and future l'hvsical clhcrablcs. ln con~iJnariun 1u SCS for it~ unc (I) year funding co111rihu1i1rn 10 lht~ Projecl. Smith,oni~m shall deliver to SC'S a pnigress rep11r1 of lhe findings including a del:riled '11111mary and analysis o!' lhc rc .. 1111, and tindings al 1he end of lhc om: Yl~ar period. SC'S shall he en1i1lcd 10 a no-cost. non-cxdusi\'c irrcvoL·ahle licen'c to u1ili1.e 1hc dal;i and rl'sulh of lhL' Project for its inlcrnal purposes. 6. Authoritv. Each parly reprcscnls and warranls 10 the other thal as of the efli:cll\e date of lhis AJ;!rci.:menl: (:rl ii has a/I rcqui\ile power <1ncl au1hori1y to enler i11to and pcrJi11111 it.-.. ohlig:rrinns under 1his Agreement. and thl there arl' no acti1ms. suit,. or pniceedin!!' pending. or to lhe he~I lll i1-.. krHi"kdge 1hrL·atcned. \~hich may ha\e a marl'fi:rl :ul\'cl'.~L' dkcl on irs ahilily 111 hrllill i1s nhligalions under lhi-.. Agn:cmenl or'"' ils llJlCI al ions, husine~s. prup..:n ics, assets or l:llnd iIion. Sl-000063 7. Assignment and Subcontracting Prohibited. Thi~ Ag11.:cmcnt \hall m11 hc il\\igned by Smithsonian nor its obligations suh~·ontractcJ without the prim writtcn con~cnt of SCS. which shall not he unrc;isonahly withheld /\ny a\~ignmcnt <>r subcontracting in 'iolation of this pruvision shall he dcc1111:J null and voiJ and SCS .~hall he cn1i1lccl 111 a refund of its n>ntrihulion in full. H. Subseuuent Changes in Agreement. This Agrecmenr may he 11111<.lilled only hy an amendment cxel·uted in writing hy a duly authllri1.cu n.:pres1:nta1ive for each party. 9. Partial Invalidity, H any provision of thi~ Agreement is found to he unenforn-.1hlc then. notwithstanding such uncnforccahili1y. this Agreement shall remain in cffrcl and th1:re shall h1: subslitutcJ fm such unenforccahlc pmvi~ion a like hut enforceable provision which mosr nearly cffocts the intention nf the parties. If a like hut cnfnrceahlc provisiun cannot he suhstitutcd. Lhe unenforccahle provision shall hc deemed to he deleted and the remaining provisions shall continue in 'effect. provided tlrnl the performance. rights. and obligations of the panics hereunder arc not materially advcr~l·ly affecteJ hy such Jcletion. to. Successors and Assigns. This Agreement shall inure to the hendi1 of and he hinding upon the respective successors and pcnnitled assigns, if any, of the panics, provided that this provision shull nm he conslrucd to permit any assignment which Wlluld he unauthorized or void pursuant to any other provision Clllllaincd herein. 11. Non-Waiver. No pniv1s1lln of this Agreement shall he deemed waived and no breach slwll he dl,emed excused unless sud1 waiver or consent is in writing and signed hy till' party claimed tn havc waivell or consented. No consent hy either party lo, or waiver of. a breach hy the 01hcr, whether express or implied. shall cons1itulc a consent lo, waiver uf. or excuse for any rllained in this Agreement that hy their sense and conh:xl an~ intended to survi\e lhl' performance hereof hy eith.:r or both panic, shall so su1 viH: th1: n1111plcti1111 of perlnrmancc and tnrninatiun of this Agreement. including the making of any ;md •ill payments uuc hereunder. 14. Notices. All nolil.'cs pcrmilh.:d or required to he given under this Agreemenl shall he 111 wri1ing anti shall h'-' deemed duly given upon personal delivery (against receipt l or on the fourth day following the date on which ead1 such nl)tice is depositcd postage prepaid in the United Stales Mail. rc!!islcrnl or certified. return rL'L'cipl rL'qucqcJ. All m>ticcs shall he ddivcrcd or sent to 1hc other party al thi.: nJd1cs~(e~) ~huwn below ur· IO any other address(cs) as the party may cJ..:signalc hy ten (IOi Jays prior wrillcn 1101ice given in accurdance wilh this fll'll\ 'ision. 1r 10 Smithsonian : Smithso11im1 ln"ilitution Astrophysical Obi;crvatory 611 Garden Slrcct Cambridge. MA 021\X-1516 /\ltention: Dr. Willie Stinn. Mail Stop 28 (ror technical matter-;) Aucntion: Mr. Thomas Ci. Bonnenfant. Mail Stop 2J (for cnnlr:tL'lual 111:1lll'rs) Sl-000064 ff 10 SCS: Southern Company Services, Inc. 0!10 Nor1h I 81h Street Bin 14N-Rl95 Birmingham. Alabama 35203 Auentinn : Justin T. Walters, Bin 14N-X195 (for technical matters) Attention: Joseph L. Coker. Bin 7N-8374 (fnr con1ractual maucrs) 15. Publicity. Smithsonian shall not publish and utililc the name or otherwise iJcntify SCS or its affiliate cnmpanics in uny puhlications or other advertisements without the express written conscnl of SCS. As further consideration lo SCS. Smithsonian shall provide SCS an advance wrillcn copy of proposed publications regarding the dclivcrahlcs for conuncnt and inpur. if :rny, from SCS . 16. Duplicate Originals. Duplicate originals nf this Agrccmcnl shall he executed. each tlf which sh:ill he deemed an original hul ho1h of which 111gcthcr shall constitute one and the same instrume111. 17. Entire Agreement. This Agreement contains the entire agreement of the parties and there arc no oral or wrillcn representations. understundings or ugrcemcnts between the parties respc1,;ting the suhjcct mailer ol' this Agreement which arc not fully expressed herein. IN WITNESS WHEREOF. each of the parties hereto acknowledge that they have caused this Agreement 10 he executed in duplicate originals hy its duly mllhorilcd representative on the respective dates entered below. SOUTHERN COMPANY SERVICES, INC. THE SMITHSONIAN INSTITUTION ASTRPPHVSICAL OBSERVATORY ~mith~u n ~ n'') ("SCS") Hy: Hy: ~ ~/~>n-d )6~ f' 'Cb,/;/ (Signature) Name: John .J, .Jansen (Typed or printed) Name: Thomas G. Bonnenfant (T)·pcd or printed) Title: Principal Scientist Title: Contract and Grant Specialist Dale: Dute: ?J;;~/c;o1~ Sl-000065 PROPOSAL TO SOUTHERN COMPANY FOR Understanding Solar Radiation and Climate Change: A Research Program into the Physical Links between Surface Sunshine History and Chinese Temperature Record P7480-3-JO For the period I May 20 lO through 30 April 2011 Funds Requested: $60,003 Assocjate Director of Sol at Princioal Investigator Dr. Willie Soon Stellar & Planetary Sciences Dr. Nancy S. Brickhouse March 2010 Smithsonian Astrophysical Ob:;c;rvatory Cambridge. Massachusetts 02138 Director: Dr. Charles Alcock The Smithsonian Astrophysical Observatory is a member of the Harvard-Smithsonian Center for Astrophysics 51-000066 ( ) Smithsonian Astrophysical Observatory Understanding Solar Radiation and Climate Change: A Research Program Into the Physical Links Between Surface Sunshine History and Chinese Temperature Record Scientific Justification/Statement of Work March, 2010 Research Motivation, Target and Proposal: The primary motivation for such an in-depth scientific research proposal is to explore the mechanism on how the Earth's climate system actually varies naturally on multidecadal to multicentennial timescales. Establishing the reality of large natural climate change on the important timescales of decades to centuries is well supported by available climate proxy data but has been one of the most difficult hurdles in arguing for catastrophic manmade global warming or climate change. Thus, this scientific research proposal will be both timely and relevant for the current debate about man-made climate change. In Soon (2009), a scientific hypothesis on how variable sunlight affects Earth's surface temperature and climate was outlined for the first time. The physical mechanism involves variable solar outputs, primarily in the visible light portion of the spectrum, modulating the equator-to-pole heat transport and affecting the heat and water budgets of the Arctic air-sea-ice system. Ultimately, the solar-Arctic changes modulate the Atlantic Ocean "conveyor-belt" circulation which has significant climatic teleconnections to different parts of the world. Figure l shows such a predicted consequence - the connection between the variable solar irradiance with the Chinese temperature record from 1880-2002. The motivation in the search for a plausible solar explanation came from Zhou and Yu (2006): "No model could successfully produce the reconstructed warming over China in the 1920s.... Limitations of the current state-of-the-art coupled models in simulating spatial patterns of the 20th century [surface air temperature] over China cast a shadow upon their capability toward projecting credible geographical distributions of future climate change through IPCC scenario simulations." (p. 5843) In the context of this research proposal, my goal is to uncover the physical mechanism of natural climate variation or other anthropogenic factors of climate change other than greenhouse gases; the conclusion of Zhou and Yu (2006; p. 5857) "further [computer climate model] runs without the GHG [greenhouse gases] are encouraged for the international modeling groups" is important. 1 Sl-000067 Although impressive, my new result (Figure 1) is still unsatisfactory for a simple reason: What actually happens to the incoming solar radiation and does it actually reach the surface of the Earth? In other words, while the correlation is impressive, a physical explanation is required . A Chinese Sun-Climate Connection? 1.0 Soon et al. (2009) 1366 'S 1367 ~ ..g" 1366 l ~ ~ 1364 JJ6J - Solar hradJn.nce ............ C.biaa-Yid• SUrl•c:e Air T~mpualur 0 e :. J 0 2000 lo< d 1900 d rl ~ "'... t • ~ o.a II ""' t: I/f u . .. if i :;:i Q :.a o.e • 1 d :g . .A ' / i 0 ~ ~ !;i :;1 17> ~ ~ I 17) -0.5 Cl " ! 1800 1700 .....__.__.__.____.__,__,__,__.___..__.._..___.._..__.__.__._..__,_..___.___,___..__,__..__.L.......I -l.O 1880 1900 1920 1940 1960 1980 2000 Year Figure 2 The main sources of data for this research (including those shown in Figures 1 and 2) will include: (a) Composite total solar irradiance data (Hoyt and Schatten 1993 ; and see updates and discussion in Scafetta and Willson 2009 and Soon 2009), (b) Surface sunshine duration measurements (e.g., see the high-quality data from the Japanese Meteorological Agency; Stanhill and Cohen 2008, private communication with Professors Gerry Stanhill and Shep Cohen September 2008), and (c) Chinese and other high-quality temperature station records (Wang et al. 2001; 2004 and Zhou and Yu 2006, private communication with Professor Tian Jun Zhou May 2008). The main hypothesis postulated by this research proposal is that if the empirical results from Figures 1 and 2 can be fully confirmed, then we are finally able to say for the first time that the Sun-climate connection through its impact on surface air temperature is a proven fact rather than mere speculation and spurious correlation. 3 Sl-000069 The near-term and longer-range research strategy: In light of the current debate concerning the role of atmospheric carbon dioxide in causing global and regional warming - including the encouraging results of the Chinese temperature history shown here - I propose the following 2-prong research plan that involve both a quick turnaround research publication time for the most important results as shown in Figure 1 and Figure 2 as well as a longer 3-year research program that will uphold the scientific results to the climate science community for regions beyond China. The proposed research program will be especially invaluable in serving to inform the 5th UN IPCC reports which will be finalized in 2014. Specific scientific research steps will include further research to: ( 1) Determine if a similar relationship can be shown for the temperature history in Japan and the direct surface sunshine records over Japan and its surrounding sea. (2) Evaluate if the enhanced surface sunshine for the most recent 20 years can be explained by cloud cover and/or simply changes in the transparency of the atmosphere above the East China region related to distribution of water vapor or by particulate matter (aerosols). (3) Find if a similar empirical relationship as in Figure 2 may exist elsewhere since similar results for Figure 1 can clearly be shown, for example, for temperature records of the United States (under current investigation by Willie Soon). (4) Quantify and explain the relationship shown in Figure 2 which will ultimately involve the study of the surface energy budget over the seas around Japan and China and how the modulation of the sea surface energy budget will lead to a land-sea contrast that will modify the East Asian monsoon weather-climate system. Research Team: Dr. Willie Soon at the Smithsonian Astrophysical Observatory, which is part of the Harvard-Smithsonian Center for Astrophysics, will lead and direct this scientific research program. This research program will also involve a distinguished list of atmospheric scientists, oceanographers, climate modelers and geologists. Funding requirements: This research proposal requests $60,000 from the Southern Company for work to start in May 2010 and extend for a duration of 12 months to support part-time research work of Dr. Willie Soon. 4 Sl-000070 References: Hoyt, D.V., and Schatten, K.H. (1993) A discussion of plausible solar irradiance variations, 1700-1992. Journal of Geophysical Research, vol. 98, 18895-18906. Scafetta, N., and Willson R. (2009) ACRIM-gap and TSI trend issue resolved using a surface magnetic flux TSI proxy model. Geophysical Research Letters, vol. 36, doi: I 0.1029/2008GL036307. Soon, W. (2009) Solar Arctic-mediated climate variation on multidecadal to centennial timescales: Empirical evidence, mechanistic explanation, and testable consequences. Physical Geography, vol. 30, 144-184. Stanhill, G., and Cohen, S. (2008) Solar radiation changes in Japan during the 20th century: Evidence from sunshine duration measurements. Journal of Meteorological Society of Japan, vol. 86, 57-67. Wang, S., Gong, D., and Zhu, J. (2001) Twentieth-century climatic warming in China in the context of the Holocene. The Holocene, vol. 11, 313-321. Wang, S., Zhu, J., and Cai, J. (2004) Interdecadal variability of temperature and precipitation in China since 1880. Advances in Atmospheric Sciences, vol. 21, 307-313. Zhou, T., and Yu, R. (2006) Twentieth-century surface air temperature over China and the globe simulated by coupled climate models. Journal of Climate, vol. 19, 5843-5858. 5 Sl-000071 BUDGET NARRATIVE Understanding Solar Radiation and Climate Change: A Research Program into the Physical Links between Surface Sunshine History and Chinese Temperature Record PI: Dr. Willie Soon Period of Performance: 01May2010-30 April 2011 The budget includes 4 months of the Pl's salary and benefits, as well as minor costs for salary and benefits for administrative and clerical work specific to this research effort. Indirect rates applied are listed on the Estimate of Cost page and the Contractual and Cost section. Sl-000072 Pl: Willie Soon Sponsor: Southern Company Services ESTIMATE OF COST Period of Performance: 05-01-10 THRU 04-30-11 Productive Labor: Pl Soon Program Administrator Staff Assistant Hrs 440 40 24 Dollars $24,693 2,222 781 Total Productive Labor 504 27,696 Leave@ 18.5 % Total Direct Labor 5,124 32,820 Fringe Benefits@ 27.6 % Direct Operating Overhead Base 9,058 41,878 Direct Operating Overhead@ 27.7% G & A Base 11,600 53,478 G &A@ 12.2% TOTAL ESTIMATED COST 6,524 $60,003 Sl-000073 CONTRACTUAL AND COST INFORMATION INCLUDING CERTIFICATIONS The Smithsonian Institution, an independent trust establishment was created by an act of the Congress of 1846 to carry out the terms of the will of James Smithson of England, who had bequeathed his entire estate to the United States of America "to found at Washington, under the name of the Smithsonian Institution, an establishment for the increase and diffusion of knowledge among men." After accepting the trust property for the United States, Congress vested responsibility for administering the trust in a Smithsonian Board of Regents. The Smithsonian performs research, educational and other special projects supported by grants and contracts awarded under the cost principles of the Federal Acquisition Regulation, Subpart 31.7 Contracts with Nonprofit Organizations. It is audited by the Defense Contract Audit Agency, Landover, Maryland. The Charter of the Smithsonian Institution carries a mandate for the "increase and diffusion of knowledge among men." Therefore, any grant or contract that may be awarded as a result of this proposal must be unclassified, in order not to abridge the Institution's right to publish, without restriction, findings that result from this research project. Considering the nature of the proposed effort, it is requested that a CostReimbursement (No Fee) Research and Development Contract with reimbursement via electronic funds transfer be awarded to cover the proposed project in accordance with Subpart C, Section 215.22(e) of Title 2 of the Code of Federal Regulations (CFR) Part 215 [formerly the Office of Management and Budget (OMB) Circular A-110: Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit Organizations]. Pursuant to Subpart C, Section 215.33 and 215.34 of Title 2 CFR Part 215 [formerly OMB Circular No. A-110], it is requested that title to all exempt property and equipment purchased or fabricated under the proposed contract be vested irrevocably in the Institution upon acquisition. In accordance with an agreement between the Office of Naval Research and the Smithsonian, the Institution operates with predetermined fixed overhead rates with carry-forward provisions. For Fiscal Year 1996 and beyond, the Indirect Cost and Fringe Benefits Rates are developed in accordance with Title 2 CFR Part 230 [formerly OMB Circular A-122: Cost Principles for Non-Profit Organizations]. The following approved rates, provided by ONR Negotiation Agreement dated 4 March 2010, shall be used for forward pricing and billing purposes for Fiscal Year 2010. The Fringe Benefits Rate will be applied to the Total Direct Labor Costs. The Material Overhead Rate will be applied to the cost of materials, equipment and subcontracts. The Direct Operating Overhead Rate will be applied to the Direct Labor and Benefits costs. The G&A Rate will be applied to the base consisting of total costs except the costs associated with the materials, equipment and subcontracts. Sl-000074 The following Approved Rates shall be used for forward pricing and billing purposes for Fiscal Year 2010: Material Burden Rate (Cost of Materials, equipment and subcontracts) 5. 3% Personnel Leave Rate (Total Direct Labor Costs less paid leave and training {Productive Labor}) 18.5% Fringe Benefits Rate (Full/Part Time Employees) (Total Direct Labor Costs) 27.6% Fringe Benefits Rate (Intermittent Employees) (Total Direct Labor Costs) 8 .5 % Direct Operating Overhead Rate (Total Direct Labor and Fringe Benefits Costs) 27.7% General and Administrative Rate (G&A) (Base consists of Direct Operating Activities less Net Costs Associated with materials, subcontracts and equipment) 12 .2% Central Engineering Overhead Rate (Central Engineering Direct Labor and Benefits Costs) 28. 2% Rate verification can be made by contacting Ms. Linda Shipp, Office of Naval Research, Indirect Costs/ONR 242, 800 N. Quincy Street, Room 704, Arlington, Virginia 22217, telephone (703) 696-8559, or e-mail linda_shipp@onr.navy.mil. Engineering services are provided by the Central Engineering Department as a Cost Center. Charges by the department to research projects are inclusive of Direct Labor, Fringe Benefits, and Central Engineering Overhead. CERTIFICATIONS Pursuant to Executive Order 12549 and implementing rule (FAR 52.209-5), the Smithsonian Institution certifies that it presently is not debarred, suspended, proposed for debarment, declared ineligible or voluntarily excluded from covered transactions by any Federal department or agency. Pursuant to Section 1352, Title 31, United States Code (USC) and implementing rule (FAR 52.203-12), the Smithsonian Institution certifies that no Federal appropriated funds have been paid or will be paid to any person for influencing or attempting to influence an officer or employee of any agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress on his or her behalf in connection with the awarding of any Federal contract, the making of any Federal grant, the making of any Federal loan, the entering into of any cooperative agreement, and the extension, continuation, renewal, amendment or modification of any Federal contract, grant, loan or cooperative agreement. Sl-000075 UNDERSTANDING SOLAR RADIATION AND CLIMATE CHANGE: A RESEARCH PROGRAM INTO THE PHYSICAL LINKS BETWEEN SURFACE SUNSHINE HISTORY AND CHINESE TEMPERATURE RECORD Final Report Agreement No. 15670 For the Period 1 May 2010 to 30 April 2011 Principal Investigator: Dr. Willie Soon May 2011 Prepared for Southern Company Services, Inc. Birmingham, Alabama 35203 The Smithsonian Astrophysical Observatory is a member of the Harvard-Smithsonian Center for Astrophysics Sl-000076 The goals of this research project have been completely and successfully executed with the following list of deliverables: (1) The publication of the invited paper" Avoiding Carbon Myopia: Three Considerations for policy makers concerning man made carbon dioxide" by Willie Soon and David R. Legates (2010) in Ecology Law Currents, vol. 37, 1-9. In December 2009, lawmakers and representatives from around the world, along with scientists, numerous journalists, and various celebrities flew to Copenhagen, Denmark. For the most part, their goal was to promote a regulatory scheme aimed at controlling human carbon emissions by declaring the element a tradable commodity and establishing laws and regulations to govern the trade. The proposed regulations were premised on the flawed notion, articulated by the United Nations Intergovernmental Panel on Climate Change (IPCC), that increasing atmospheric carbon dioxide (C0 2 ) concentrations will change climate dramatically and thereby cause major ecological and economic damage. While many scientists, including us, have observed some changes in climate, the hypothesized dangerous consequences of rising atmospheric C0 2 are too speculative for responsible regulatory policy. In analyzing climate policy, decision makers should be cognizant of three key considerations regarding the impact of projected rises in atmospheric C0 2 : (1) policy choices likely will have no measurable effect on the occurrence of severe weather; (2) positive effects on ecosystems and biodiversity are likely and should be weighed against the negatives; and (3) carbon trading schemes (such as the one touted in Copenhagen) are unlikely to lead to a reduction in atmospheric C0 2 • Given these considerations, policy makers must carefully consider their objectives and the potential impacts, both positive and negative, of carbon emission control. If climate change regulation proceeds unchecked, it will likely produce policy that is out of touch with both the real world and objective science and will likely impose large costs on society that benefit only a small cadre of"climate entrepreneurs" and provide no meaningful effect on the Earth's climate. (2) The publication of the scientific manuscript "Sea Level Changes in Bangladesh: Observational Constraints on Human, Geologic and Weather-Climate Variability Related Factors" by David R. Legates and Willie Soon (2011) (as a book chapter) in Understanding Climate Change Issues in Bangladesh, Rafique Ahmed et al. (editors), in press. Bangladesh is a nation prone to flooding due to its geographical location. Situated on the Bay of Bengal, Bangladesh is the floodplain of the Ganges River which is fed by other major rivers including the Meghna and the Brahmaputra Rivers. Since much of Bangladesh lies in the flat, coastal delta of the Mouths of the Ganges, it is easily susceptible to flooding from both coastal storms as well as spring meltwater. As Bangladesh does not have flood control structures on the Ganges River, the increase in river flow resulting from rain and snowmelt from the Himalayas of both India and Nepal often floods the country. Indeed, the Indian highlands are among the regions of the world with the heaviest annual precipitation. Moreover, tropical storms which frequent Indian Ocean during the high sun season - when highland rains are greatest and the flow of the Ganges is highest- often drive storm surges into the low-lying country. It is well noted that current conditions in and around Bangladesh are harsh and unforgiving. The adverse impact of natural hazards is commonplace and this only serves to exacerbate the economic and social difficulties that plague the country. It has to be recognized, however, that floods and droughts, storm surges and high winds associated with tropical storms, and other naturally-caused catastrophes have always 1 Sl-000077 affected this region. Such variations have occurred despite any possible effects of anthropogenic C0 2 and indeed are likely to occur again in the future, regardless of any steps taken to mitigate the effects of anthropogenic C0 2 emissions. Thus, the tendency by self-indulged politicians, rent-seeking advocates, and scare-mongers in the popular press to downplay the current difficulties present in the climate of Bangladesh and hype future disasters postulated from a rise in global sea levels is clearly counterproductive for the Bangladeshi citizens. It serves to divert efforts from proper planning, mitigation, and adaptation strategies that are vital to saving lives now. However, the future of Bangladesh is not bleak as attention is paid to helping the Bangladeshi people develop realistic controls on river flow and discharge and provide timely dissemination of warnings of environmental hazards (e.g., cyclones and flooding) while simultaneously protecting the Ganges-Brahmaputra-Meghna Delta landscape and the continued destruction of the mangrove forest ecosystem. Only by properly addressing current problems can Bangladesh be prepared for future changes in the climate, regardless of the source - natural or anthropogenic. Moreover, one has to recognize that in other tidal wetland systems such as the Kirkpatrick marsh land (Maryland, USA) around the Chesapeake Bay (off the USA Atlantic coast, bounded by Maryland and Virginia), evidence exists that enhanced levels of atmospheric C0 2 may actually stimulate marsh vegetation thereby providing an effective counter to sea level rise and ocean water encroachment. Langley et al. (2009:6182) notes: "Here, we present experimental evidence that plant response to elevated atmospheric [C0 2] stimulates biogenic mechanisms of elevation gain in a brackish marsh. Elevated C0 2 (ambient+ 340 ppm) accelerated soil elevation gain by 3.9 mm y( 1 in this 2-year field study, an effect mediated by stimulation of below-ground plant productivity. Further, a companion greenhouse experiment revealed that the C0 2 effect was enhanced under salinity and flooding conditions likely to accompany future [sea level rise]. Our results indicate that by stimulating biogenic contribution to marsh elevation, increases in the greenhouse gas, C0 2 , may paradoxically aid some coastal wetlands in counterbalancing rising seas." It also is likely that increased C0 2 will enhance vegetation growth in the Ganges-Brahmaputra-Meghna Delta region and help offset rises in sea level, regardless the cause. (3) Submission of the scientific manuscript "Temporal derivative of total solar irradiance and anomalous Indian Summer Monsoon: An empirical evidence for a sun-climate connection" by Rajesh Agnihotri, Koushik Dutta and W. Soon (2011) in the peer-reviewed journal Journal ofAtmospheric and Solar-Terrestrial Physics. Abstract Identifying the pattern of natural climate variability is of immense importance to delineate the effects of anthropogenic climate changes. Global and regional climates are suspected to vary, in unison or with delays, with the Total Solar Irradiance (TSI) at decadal to centennial timescales. Here we show that the Indian summer monsoon rainfall correlates well with the temporal derivative of TSI on multidecadal timescales. This linkage between the temporal derivative of TSI and the Indian summer monsoon is tested and corroborated both for the instrumental period (1871-2006) and for the last - 300 years using a speleothem 8 18 0 record representing rainfall in southwestern India. Our analyses indicate that both anomalously drier and wetter periods of the Indian monsoon record fall near negative and positive excursions in the TSI derivative, respectively. Our study thus demonstrates the potential of 'TSI derivative' as an important indicator of natural monsoon variability on an interdecadal timescale. 2 Sl-000078 (4) Submission of the scientific manuscript "Variation in surface air temperature of China during the 20 1h century" by Willie Soon, Koushik Dutta, David Legates, Victor Velasco, WeiJia Zhang (2011) in the peer-reviewed journal Journal of Atmospheric and Solar-Terrestrial Physics. Abstract The zoth Century surface air temperature (SAT) records of China from various sources are analyzed using data which include the recently-released Twentieth Century Reanalysis Project (20CRv2). Two key features of the Chinese records are confirmed: (1) significant 1920s and 1940s warming in the temperature records, and (2) evidence for a persistent multi-decadal modulation of the Chinese surface temperature records in covariation with solar radiation. New evidence is presented for this Sun-climate link for the instrumental record from 1880 to 2002. As well, two non-local, physical aspects of solar radiation-induced modulation of the Chinese SAT record are documented and discussed. Teleconnections that provide a persistent and systematic modulation of the temperature response of the Tibetan Plateau and/or the tropospheric air column above the Eurasian continent (e.g., 30-70°N; 0 to 120°E) are described. These teleconnections may originate from the solar irradiance-Arctic-North Atlantic Overturning Circulation mechanism proposed by Soon (2009). Also considered is the modulation of largescale land-sea thermal contrasts, both in terms of meridional and zonal gradients, between the subtropical western Pacific and mid-latitude North Pacific and the continental landmass of China. The Circumglobal Teleconnection (COT) pattern of summer circulation of Ding and Wang (2005) provides a physical framework for study of the Sun-climate connection over East Asia. Our results highlight the importance of solar radiation reaching the ground, and the concomitant importance of changes in atmospheric transparency or cloudiness or both, in motivating a true physical explanation of any Sun-climate connection. We conclude that solar radiation provides demonstrable forcing for Chinese SAT changes on multidecadal to centennial timescales. Therefore, a comprehensive view of local and remote factors of climate change in China must take account of this, as well as other natural and anthropogenic forcings. (5) Preparation of the scientific report "Research to date on forecasting for the manmade global warming alarm" by Scott Armstrong, Kesten Green and Willie Soon (as a supporting document for the Testimony of Professor Scott Armstrong to the Subcommittee on Energy and Environment on March 31, 2011). Abstract The validity of the manmade global warming alarm requires the support of scientific forecasts of (1) a substantive long-term rise in global mean temperatures in the absence of regulations, (2) serious net harmful effects due to global warming, and (3) cost-effective regulations that would produce net beneficial effects versus alternatives such as doing nothing. Without scientific forecasts for all three aspects of the alarm, there is no scientific basis to enact regulations. In effect, it is a three-legged stool. Despite repeated appeals to global warming alarmists, we have been unable to find scientific forecasts for any of the three legs. We drew upon scientific (evidence-based) forecasting principles to audit the forecasting procedures used to forecast global mean temperatures by the Intergovernmental Panel on Climate Change (IPCC) -leg "1" of the stool. This audit found that the procedures violated 81 % of the 89 relevant forecasting principles We also did an audit of the forecasting procedures used for two papers that were designed to support proposed regulation related to protecting polar bears - leg "3" of the stool. On average, these procedures violated 85% of the 90 relevant principles. The warming alarmists have not demonstrated the predictive validity of their procedures. Instead, their argument for predictive validity is based on their claim that nearly all scientists 3 Sl-000079 agree with the forecasts. Such an appeal to "voting" is contrary to the scientific method. It is also incorrect. We conducted a validation test of the IPCC forecasts based on the assumption that there would be no interventions. This test found that the errors for IPCC model long-term forecasts (91 to 100 years in the future) were 12.6 times larger than those from an evidence-based "no change" model. Based on our analyses, we concluded that the global warming alarm is an anti-scientific political movement. We then turned to the "structured analogies" method to forecast the likely outcomes of this movement. In this ongoing study, we have, to date, identified 26 historical alarmist movements. None of the forecasts for the analogous alarms proved correct. In the 25 alarms that called for government intervention, the government impost regulations in 23. None of the 23 interventions was effective and harm was caused by 20 of them. (6) The prominent participation of PI in the following list of scientific talks and discussion at both national and international forums of professional scientists: All power-point talks are available upon request. (a) May 17, 2010, International Climate Conference 4, Chicago (b) May 18, 2010: University of Chicago Ayn Rand Institute Global Warming and Public Policy Discussion Panel (c) May 20, 2010: Ohio State University, Department of Economics Seminar (d) June 11-13, 2010: Doctors for Disaster Preparedness Annual Meeting, Orlando, Florida (e) September 10, 2010: Hong Kong University, Department of Earth Sciences Seminar (f) September 14, 2010: PAGES 2nd Global Monsoon Symposium (Invited Talk), TongJi University Shanghai, China (g) September 16, 2010: 2000-year Climate Simulation Workshop (Invited Talk), HuangShan, China (organized by Nanjing Institute of Geography and Limnology) (h) March 2-4, 2011: WSJ ECO:NOMICS conference discussion leader (i) April 28-30, 2011: University of Delaware, Departments of Geography and Physics Joint Seminar 4 Sl-000080 Charles C. Koch 1 CliJ\QlTA5LE f()lJNDATIC)N November 8. 2010 Mr. Charles Alcock Director Harvard-Smithsonian Center for Astrophysics 60 Garden Street Cambridge, MA 02138-1516 Dear Mr. Alcock: P1.•r-,1iant to thl~ H·11nest of the Smithsonian fn .. ri!1.1tint supcr~edc all prior oral or written agreement'> and understandings between the parties and shall comtitute the entire agreeme!ll between the parties with respect to the matters contained herein. This leu~r agreement shall not be modified or amended except by a writing duly executed by parties hereto. According to the infonnation that was furnished to us, your organization is qualified to be exempt under Code section 501(c)(3) and is still classified as a public charity pursuant to Code section 509(a)( I). Please inform us if there has heen a change in your tax status since then. Finally, we must ask that any funds not expended for the purposes described in Code section I 70(c)(2)(8), which the grant is being made. be returned to us. Please indicate your agreement wilh these C.'(lllditions hy wl nrning a si~med copy of tJJi, k-ll·~r lo thr;~ Fm1nch1 ion . atl~n1io11 lrr;1nls C•H.1rdinator. Sincerely, ~w{~~l Richard H. Fink President cc: Dr. Willie Soon Ackn~e~~~lhsonian Institution By: ./ fl ~-t.# • c:....,,.. Print Name & Title: "ftilomn t loannflll o{c..i_,iM Date:,, 01 t) liiitiiCtiil& OftiCil Courtl1ouse To·11er • 151~ N Courthou~;e Road. Su11e 200 • Arlington. VA 22201 • Phone: 703 .875.1600 • Fax: 703.875.1601 Sl-000081 Christine McNeil From: Rigler. Charles Sent: To: Cc: Subject: Wedn esday, August 03, 2011 3:24 PM Christine McNell Moore, Logan; Jorjani. Daniel; Thomas Bonnenfant Re: Request for No-Cost Extension · Charles G. Koch Charitable Foundation Award Letter dated November 8, 2011 Follow Up Flag: Flag Status: Follow up Flagged Christine, The Foundation is fine with the extension for Dr. Willie Soon and Excmp on 6 If you have any questions going forward please contact me directly. I handle the energy/environment policy area here at the Foundation. Many thanks, Charles Rigler ..., ( i .; ! /.: ' . -- I I ... - /t;.r, · ,.,,;o I ' .... 1 Sl-000082 .hjjeil rc.vd µ4' Christine McNeil 1/,¥ Christine McNeil From: Sent: To: Cc: Subject: 0 if) PS 7/z, z, Thomas Bonnenfant Request for No-Cost Extension - Charles G. Koch Charitable Foundation Award Letter dated November 8, 2011 S1nithsonian Astrophysical ()hscrvatory Exempt1on6 Mr. Logan Moore Charles G. Koch Charitable Foundation Courthouse Tower 1515 N. Courthouse Road, Suite 200 Arlington, VA 22201 Dear Mr. Moore: The period of performance of the above referenced Grant will expire on 31 July 2011. It is requested that the completion date be extended to 31 January 2012 with no increase in the total amount of the Award. the project by 31 January 2012. Progress thus far is summarized below: (1) Publication of the invited paper "Avoiding Carbon Myopia: Three Considerations for policy makers concerning man made carbon dioxide" by Willie Soon and David R. Legates (2010) in Ecology Law Currents, vol. 37, 1-9. (2) Publication of the scientific manuscript "Sea Level Changes in Bangladesh: Observational Constraints on Human, Geologic and Weather-Climate Variability Related Factors" by David R. Legates and Willie Soon (2011) (as a book chapter) in Understanding Climate Change Issues in Bangladesh, Rafique Ahmed et al. (editors), in press. (3) Acceptance of the scientific manuscript "Temporal derivative of total solar irradiance and anomalous Indian Summer Monsoon: An empirical evidence for a sun-climate connectionw by Rajesh Agnihotri, Koushik Dutta and W . Soon (2011) in the peer-reviewed journal Journal of Atmospheric and Solar-Terrestrial Physics. · (4) Submission of the scientific manuscript "Variation in surface air temperature of China during the 20th century" by Willie Soon, Koushik Dutta, David Legates, Victor Velasco, WeiJia Zhang (2011) In the peerreviewed journal Journal of Atmospheric and Solar-Terrestrial Physics . l Sl-000083 , (5) Preparation of the scientific report uResearch to date on forecasting for the manmade global warming alarm" by Scott Armstrong, Kesten Green and Willie Soon (as a supporting document for the Testimony of Professor Scott Armstrong to the Subcommittee on Energy and Environment on March 31, 2011). Your favorable consideration and timely response would be greatly appreciated. Should you have any questions, please do not hesitate to contact Mr. Thomas G. Bonnenfant, Contract Administrator, at (617) 4957317 or e-mail tbonnenfant@cfa.harvard.edu. Christine McNeil for Thomas G. Bonnenfant Christine M. McNeil Staff Assistant Sponsored Programs and Procurement (SPP) Department Smithsonian Astrophysical Observatory Phone: 617 496-7923 Fax: 617 496-7692 2 Sl-000084 DonorsTrust 109 North Henry Street Alexandria, VA 22314 volcit 703.535.3563 fu 703.535,3564 www.donorstrust.org DT Phfl.11n1hroph: Services. Inc. November 18, 2010 Mr. Charles Alcock. Director Harvard-Smithsonian Center for Astrophysics 60 Garden Street Cambridge, MA 02138-1516 Dear Mr. Alcock: On . ., ' . behalf~fthe Board 'cifoi~tors 'ofDon~rnTrus~ r~ pl~ased to enclose a grant In the amount" ~l&IWa.n 1"8ffturioft.fo• re~ to· be oomlm;ted under the. direction of Dr. Wiiiie ~I) at the H~ard-Smiths~ni.rui Center for Astrophysfus. This gift \l(,!!S.made possible :through the ·generosity and recommendati(!n of an ·account holder who wishes to remain anonymous. However, if you would like to acknowledge receipt of this grant, you may write DonorsTrust and we will forward your correspondence to the appropiate account holder. of SSQ,QQf;OO && k Because neither party is entitled to a deduction for tax purposes, please DO NOT send a gift receipt to the account holder or to Donor.'ITru'lt. As far as the IRS is concerned, DonorsTrust is the donor of the grant, and as a 501(c)(3) tax-exempt organization we do not use charitable tax deductions. By accepting this grant. your organiz.ation certifies that no goods, services, or more than incidental benefits may be provided to the recommending donor or other persons in connection with this grant. Additionally, your organization confinns (I) the funds provided will be used only for the stated grant purpose(s), (2) your organization is described within sections 50 l(c)(J) and I 70(b)(J )(A)(i) through (vi) or (viii) and is not a private foundation described by section J70{b){l)(A)(vii) of the Internal Revenue Code ('IRC'), and (3) this grant will not be used for lobbying or political campaign activities as defined by the IRC, applicable Treasury Regulations, and interpretative guidance. Please deposit the enclosed check within ten (I 0) days of receipt. DonorsTrust is a philanth_ropic public charity formed to promote liberty through limited government, personal responsibility, and free enterprise. The Trust is designed to provide donors with a·ffit!a.llS O(PN*.r;ti"IJg and exercising their chftfitable intent through a vllri«y of.,,,,lanthropie services, including donor-advised funds. We are plwed to be able to assist you in your work.. If you have any questions regarding this grant or would like to learn more about DonorsTrust, please feel free to call us our visit our website at www.donorstrust.org. We wish you continued success in your work. Enclosures Sl-000085 UNDERSTANDING SOLAR RADIATION AND CLIMATE CHANGE: A RESEARCH PROGRAM INTO THE PHYSICAL LINKS BETWEEN SURFACE SUNSHINE HISTORY AND CHINESE TEMPERATURE RECORD DONORS TRUST, INC. Grant No. LTR 11/18/10 Final Report for the period 1 January 2011 to 31 December 2011 Principal Investigator Dr. Willie Soon January 2012 Prepared for Donors Trust, Inc. Smithsonian Astrophysical Observatory Cambridge, Massachusetts 02138 The Smithsonian Astrophysical Observatory is a member of the Harvard-Smithsonian Center for Astrophysics Sl-000086 Final Report Period of Performance: 1/01/2011-12/31/2011 Understanding Solar Radiation and Climate Change: A Research Program Into the Physical Links Between Surface Sunshine History and Chinese Temperature Record Willie Soon The goals of this research project have been completely and successfully executed with the following list of deliverables: (1) Publication of the scientific manuscript "Temporal derivative of total solar irradiance and anomalous Indian Summer Monsoon: An empirical evidence for a sun-climate connection" by Rajesh Agnihotri, Koushik Dutta and W. Soon (2011) in the peer-reviewed journal Journal ofAtmospheric and Solar-Terrestrial Physics. Abstract Identifying the pattern of natural climate variability is of immense importance to delineate the effects of anthropogenic climate changes. Global and regional climates are suspected to vary, in unison or with delays, with the Total Solar Irradiance (TSI) at decadal to centennial timescales. Here we show that the Indian summer monsoon rainfall correlates well with the temporal derivative of TSI on multidecadal timescales. This linkage between the temporal derivative of TSI and the Indian summer monsoon is tested and corroborated both for the instrumental period (1871-2006) and for the last -300 years using a speleothem o18 0 record representing rainfall in southwestern India. Our analyses indicate that both anomalously drier and wetter periods of the Indian monsoon record fall near negative and positive excursions in the TSI derivative, respectively. Our study thus demonstrates the potential of 'TSI derivative' as an important indicator of natural monsoon variability on an interdecadal timescale . (2) Publication of the scientific manuscript "Variation in surface air temperature of China during the 20th century" by Willie Soon, Koushik Dutta, David Legates, Victor Velasco, WeiJia Zhang (2011) in the peer-reviewed journal Journal of Atmospheric and Solar-Terrestrial Physics. Abstract The 20 1h Century surface air temperature (SAT) records of China from various sources are analyzed using data which include the recently-released Twentieth Century Reanalysis Project (20CRv2). Two key features of the Chinese records are confirmed: (1) significant 1920s and 1940s warming in the temperature records, and (2) evidence for a persistent multi-decadal modulation of the Chinese surface temperature records in covariation with solar radiation. New evidence is presented for this Sun-climate link for the instrumental record from 1880 to 2002. As well, two non-local, physical aspects of solar radiation-induced modulation of the Chinese SAT record are documented and discussed. 1 Sl-000087 Teleconnections that provide a persistent and systematic modulation of the temperature response of the Tibetan Plateau and/or the tropospheric air column above the Eurasian continent (e.g., 30-70°N; 0 to l 20°E) are described. These teleconnections may originate from the solar irradiance-Arctic-North Atlantic Overturning Circulation mechanism proposed by Soon (2009). Also considered is the modulation of largescale land-sea thermal contrasts, both in terms of meridional and zonal gradients, between the subtropical western Pacific and mid-latitude North Pacific and the continental landmass of China. The Circumglobal Teleconnection (CGT) pattern of summer circulation of Ding and Wang (2005) provides a physical framework for study of the Sun-climate connection over East Asia. Our results highlight the importance of solar radiation reaching the ground, and the concomitant importance of changes in atmospheric transparency or cloudiness or both, in motivating a true physical explanation of any Sun-climate connection. We conclude that solar radiation provides demonstrable forcing for Chinese SAT changes on multidecadal to centennial timescales. Therefore, a comprehensive view of local and remote factors of climate change in China must take account of this, as well as other natural and anthropogenic forcings. (3) The publication of the scientific manuscript "Sea Level Changes in Bangladesh: Observational Constraints on Human, Geologic and Weather-Climate Variability Related Factors" by David R. Legates and Willie Soon (2011) (as a book chapter) in Understanding Climate Change Issues in Bangladesh, Rafique Ahmed et al. (editors), in press. Bangladesh is a nation prone to flooding due to its geographical location. Situated on the Bay of Bengal, Bangladesh is the floodplain of the Ganges River which is fed by other major rivers including the Meghna and the Brahmaputra Rivers. Since much of Bangladesh lies in the flat, coastal delta of the Mouths of the Ganges, it is easily susceptible to flooding from both coastal storms as well as spring meltwater. As Bangladesh does not have flood control structures on the Ganges River, the increase in river flow resulting from rain and snowmelt from the Himalayas of both India and Nepal often floods the country. Indeed, the Indian highlands are among the regions of the world with the heaviest annual precipitation. Moreover, tropical storms which frequent Indian Ocean during the high sun season - when highland rains are greatest and the flow of the Ganges is highest- often drive storm surges into the low-lying country. It is well noted that current conditions in and around Bangladesh are harsh and unforgiving. The adverse impact of natural hazards is commonplace and this only serves to exacerbate the economic and social difficulties that plague the country. It has to be recognized, however, that floods and droughts, storm surges and high winds associated with tropical storms, and other naturally-caused catastrophes have always affected this region. Such variations have occurred despite any possible effects of anthropogenic C0 2 and indeed are likely to occur again in the future, regardless of any steps taken to mitigate the effects of anthropogenic C0 2 emissions. The future of Bangladesh is not bleak as attention is paid to helping the Bangladeshi people develop realistic controls on river flow and discharge and provide timely dissemination of warnings of environmental hazards (e.g., cyclones and flooding) while simultaneously protecting the GangesBrahmaputra-Meghna Delta landscape and preventing the continued destruction of the mangrove forest ecosystem. Only by properly addressing current problems can Bangladesh be prepared for future changes in the climate, regardless of the source - natural or anthropogenic. Moreover, one has to recognize that in other tidal wetland systems such as the Kirkpatrick marsh land (Maryland, USA) around the Chesapeake Bay (off the USA Atlantic coast, bounded by Maryland and Virginia), evidence exists that enhanced levels of atmospheric C0 2 may actually stimulate marsh vegetation thereby providing an effective counter to sea level rise and ocean water encroachment. Langley et al. (2009:6182) notes: "Here, we present experimental evidence that plant response to elevated atmospheric [C0 2] stimulates biogenic mechanisms of elevation gain in a brackish marsh. Elevated C02 (ambient + 340 ppm) accelerated soil elevation gain by 3.9 mm y( 1 in this 2-year field study, an effect mediated by stimulation of below-ground plant productivity. Further, a companion greenhouse experiment revealed that the C0 2 effect was enhanced 2 Sl-000088 under salinity and flooding conditions likely to accompany future [sea level rise]. Our results indicate that by stimulating biogenic contribution to marsh elevation, increases in the greenhouse gas, C0 2 , may paradoxically aid some coastal wetlands in counterbalancing rising seas." It also is likely that increased C0 2 will enhance vegetation growth in the Ganges-Brahrnaputra-Meghna Delta region and help offset rises in sea level, regardless the cause. (4) The prominent participation of PI in the following list of scientific talks and discussion at both national and international forums of professional scientists: All power-point talks are available upon request. (a) March 2-4, 2011: WSJ ECO:NOMICS conference discussion leader (b) June 21, 2011: Invited talk at Climate Science session of the 104th International Air and Waste Management Conference Orlando, Florida (c) July 16, 2011: Invited talk on "Solar Radiation, Indian Summer Monsoon, and Dragonfly (Transoceanic) Migration" at the 29th Doctors for Disaster Preparedness's Annual Meeting, Albuquerque, New Mexico (d) October 11, 2011: Invited speaker in the session on "The lllusive Sea Level Threat in the Indian Ocean" at the ih International Conference on Asian Marine Geology (ICAMG7) held at the National Institute of Oceanography in Goa, India. (Co-authoring two other scientific talks given by my colleagues, Dr. Rajesh Agnihotri of the National Physical Laboratory of India and Dr. Selvaraj Kandasamy of Xiamen University in China) (e) October 14, 2011: Invited speaker at the Centre for Extra-Mural Studies at University of Mumbai entitled "Conference on Climate Change: Shifting Science and Changing Policy." (f) November 11, 2011: University of Delaware, American Meteorological Society Student Chapter Seminar 3 Sl-000089 AGREEMENT UTWEEN SMITHSONIAN ASTROPHYSICAL OBSIRVATORY SOtlTIDRN COMPANY SERVICES. INC. TllB AGRE~MEHT Is mlcrcd into by Ind benwal die Sm.ttb9oDfaD Aatreplly*ai Oblen9iory, ICQtcd ar 60 Garcb 5uDet. ~MA 021J8-JSl6, hcrdnafter rcfem:d to es ~SnUtbsaDian"). n!S--.n Compu:y Smiota. w., haylq a placo of bU$1Jw:s:s at. 600 North Ullh 5o'ect, Binningham.. Alatoma l.5103, on bcbalf of it5d( its parmt md i1ls Bflilia.le c:ouipsnlcs, (oollec:tively ref'cmid. lO as" SCS"). l!!IJ!f&~lilIB Wll.EIUL\S, lbt SmhblooiaD II inlmellDcl 1D cooduiXing In-depth sdenlific rc5eaJ'l:.h IO explore the ~banism on bow the .Eanh'1 c:ti.aude aystmn writs natwally on mulli-decadal 10 muld--OenreimiaJ timesaJ.es, as provided in the aRir;hoc1 Prq>osal PS0181·9·1 I dated Scp!miher, 2011, (re:f'tnai lo a lbe "Project'); and, WHEREAS, SCS, OD behalf of llaioll, Its pamll lllli 115 affilia1e annpmilc:.t is i.D1tfCa1Cd in twtheriDg the research on the Project mut ill oblainill& advaDoe inl>rmati1on and is theid'o~ willins to J\md this ~. NOW' '1'112UPOU, Srnithsonltn and scs hadJy •sree as follows: 1. §£we of !loris. The Scope or Work for llUs PtQjcct shall be mnch1cced in lliCCOldlDce with the aaacbr.d Proposal PSOl82-9·1 I eatitlod "Modulation ofJ!.qualor.(o.Pole Tappenlme Gndcau", wllkh Is iacorponCl.d :md made a p1111 of this Agrcemelll In comidtruio11 of lhe Re8earcb 10 be pnMded by Smithsoniaa, SCS qna ID make OD~ p8ymcmt I.JI I.hi mm or Fifty Nine Thoutlud Mae~ Forty Two (Sj!>,94:Z.) and to llei.mburse Smithsonian ror its cous tn 8CCICiniaoco with me Propoal In an amoan1 nat 10 exceed I.be adv8bCe Slllll. l. 1 JmW N111r1 A(P1111e1 Qblgdom. The obllptions of SCS mJ !be Smilhsonian hcmmdcr shall be llnUJed to psymmt of the amoun11 and the Projed eftDrt as speci:ftod in Arttde 1 above. SCS assumes no ~ ablipdoo or respoasibil.lty of~ kind to lhe Smhhsonian « a:ny other pattic:ipants or qionsors, if any. SCS makes nG watra1!icl « Represensatious, Expnsa or implied, or any kind. 3. Tmpt... Smkblooian undmtands and agrees I.Ml in lhe evmt lbe Projecc la termlnaled prior to COQJIJldloo ar ii llQl iJl acc:ordaDle with die lnaclled Proposal, SCS sbaD be cmilJed co a rdmd or the ~ftl.lld&. No,JgiM Ymtare. 11da ~Ill not lntmded to aute oor shall it be OOOSll'Ufd t.o aca1o any po.nnerstup, jai!ll vc:adDle, cmpJoymm or BamcY rdaliomblp betwta1 or smoog I.he pertit$. and ro pany shall bo liablt for tho psymca1 or ped'OQiilliD of aay d«its, obli:ptioos. or UabWtie1 <>f llll)' other JlGl1Y, unless cxprt:'SSly assumed to W1'ffiq. 5. Df:llMVlq. lD coruidam:lo11 to scs ror Ill ooc (1) year f\mding coo.tribolion 10 IM Projea. Srullhsonlan sball dclh·a ID SCS a progress repon of tho fiodi.np Including 11 detailed llll.aunaiy nad analy1is of the resu.l:Js rmd ftndi.og5 at llte e:nd of Uw: one year period. SCS &ha.I.I be cmit!t.d ID a oCK:OSt., oon-cxclnstve imNocablc li001Se lo utifu.e ~data and ~ ot the Projcct for ils i.memal pwposcs. AAtl!orjty. Each pvty represePU nod wamwts to the other llMd as of lhc etfective datt: of I.his A~moll: (a) ii has al.I nqui<e power and auth.orily 10 euier in1o and perform lu oblig;itiOUJ Ullder thiJ Agroement, and (b) dee ant oo actlom, snits, or proo•••.cllngs peGdi.na. or to the besa of its ~e threalmecl, which may have a ma1erial adverse effect on la ab/lily 10 fuJflll its obligatioru UJ1der lh1s Agrecmnit or oo its operanoos, business, properties, assets or condition. Sl-000090 7, Altlgpmrut and Syb0DtmtlnK Proltlbtc¢. This Agreement shall not be wigned by Smithsonian nor its obligations subcontmdod without the prior written consent or SCS, whieh shall not be wm:a.sonably withheld. Any uslgnmmt or subcontracting in violation of this provision dlall be deemed uull and void and SCS 8ba1l be entitled 10 a refund of its contn"bution in full. Stbtcq~ in wrlling Chum ln A«reement. This Agreement may be modified only by an amerulrncot executed a duly authorized repttsenlBUve for each party. 9. P.vtlal laDJldlty. If any provision ot this AsJeemcni is found to be unmf'otOCBblc: then, ootwh.hstandms such unem'onieability, this Agreement shall remain in effect and there &ball be 6UbsliMed for such unellforoeable pl"OYi&ion a like but 1mforc.eable provisioo whicb most oear1y effects the inll:ntion of the puticlr. If a like but cnfor<:eablo provfsion cannot be substituted, the unenforceable provision shall be dcelllod to be dek:ted and !ho mmalning provisions .shall ooutinue in dfcct, provided lbat lhe performance, rights, and obligations oftlle parties hereunder are not materially adveniely affected by such deletion. 10. Sgpugon Md AffilP!, Thill Agreement shall lnure to the benefit of and be bindin8 upoo lhe respective successors and pmnlued assigns, If any, al the parties, provided that this provision shll1 not be construed to penni1 any amgnme:nt which would be Wlllutboriz.ed or void pw'5U8ltt 10 any other provision contained bettin. IJ. N11tWllycr. No provision or this Agiecment shaU be deemed waived a.ad no bracb shall be deemed excuacd unlC&S such waiver or consent it iD writing and signed by tho party claim.cd to have waived or coosemed. No comeot by either J*tY to, or waiver of, 1 breacb by the other, whether expas or implied. shall coostituto a consent to, waiVCT of. or excuse for any d.ifferellt or sublequent breach. ll. Ml"'!'!= Neither palfy s:hall be deeUled ro be in dc&ult of any provision of this Agreement or liable for failures in performance iesu.ltlng from ac.u or events beyond the reasonable coolrol of Sllch party Such acts sball lnclude bur not be Um6ted 10 acts or God, civil or mlliwy antborily, dvi1 disnubancc, WRr, strikes, Jiles, otllct catastrophes, or other 'force majeure' events beyood 1 party's n:asooable QOotrol. l~. S.nhal of .KanmgMt1opiL 14. .t1J1tiY1. All notices penniUcd or required to be gtven under tbl.s ~ dlall be in writing and shall be Forpe The provisions co11rained in this Ag:reemeut tbal by their ~ and oontext are in1cDded to survive the pclfonnanoo hereof by ellMt' or both pa:rtict l1hall R> iUl'Vive the completion of perfomum-;:e and rcnninaUoa of dris ~ including the ID!lking of any 8Dd all payments due hen:aoder. d&ICIDl:d dul)' given (i) upon personal delivery (against receipt) or (ii) oo the lhird day following the date on wbkh each such notice ii dcposicrd .POStaae prepaid in I.be United SUlttll Mail. n:gb1e:rcd or cerfilied, return Redpt ftlqueated or (ib) on the second business day after being scnl by a uatioaaUy nxiopizcd overnight courier servioc which provides proof of ~pt. All notices shall be delivered or 6ltflt to the other party at !he address( cs) shown below or IO any other addras(u) as the J*tY may de&ign8'e by 1en (10) days prior wriuconotioe glwlo In accordmlc:IC with this provision. If lo SmJthsonian: 5 .......1" Alh'Opb)'llul Oblemtofl 60 Oaldel1 Street Ounbridge, MA 02138-1S16 Attention: Dr. Willle SOoll, Mail Stop 61 (for tec:hnlcal matters) Attention: Mr. Thomas 0. Bormcnfant, Mail Stop 23 (for oomra::tml ma.iters) lfto SCS: Southen1 CompeJ Sen'ka, loc. 600 North ts• Street Bin 14N·819S 2 Sl-000091 Binniqblun. Alabmna 35203 AHelldcla: Ju&tlnT. w~ Bin l4N-819.S (for technical matters) Attention; Joaepb L. Coker, Bin 7N-8374 (fbr OODtl'actml IDlltcn) 15. Pablldtt. Smitbsonian mau noc publish and utilize the name or othawise identify scs or lls affiliate computa In my publicalioDs or OCber ~ v.ilhoul the express written oomens of SCS. As ftu1ber ~n.Pderadon to SCS. SnD1111oc11an abal.I pi1Mde SCS an advance written oopy or proposed pablic:atiGa Jqlll'dlng lbe dellwrablel for OQllUDIClit and inpJI. ii my, from SCS. t6. Dvpllylc 9rlrfv'• DupUcata ofilinall of lbil A&rcement nu be executed, each or wtuch lhall be deemed an original bat both of wbicb togetbot dullll oonsdtute oae ancl tho Ame inltrumml 17. hdrs AG1UM!t. lb.it Aiftiemmt amtatns \he eutn agrca:oetd of the pudea and there an1 no oral or writtm repaeaudom, llOdr.asta•io'*np or qreements betw«n lbll parties respecting tlae subject matter or this Agreement which are not ftlll)' expressed bemu. IN WITNESS WIUJUtOIP, C8Cll of tbc parties beldo ~that they have awsed this l\tpmDerd its cmJy aulhortmd repu 1e 11adve on the respectlw da!m entered IO be execuled in duplicate originals by below. SOlJTllZRN COMPANY SERVICES. INC. (-SCS") .,,~d Nunc: Jollll J. lamea (l)pcd er ,..tn&ed) Name; 'ftoaw G. Bonnenlut 'Ode: Prilldpal Sdrdll 1ltlei ~I Oftkier Daw. _LE/J.~/~ff (1)ped ... prln11ed) Diiie: / 1h '-fa o I/ Sl-000092 PROPOSAL TO SOUTHERN COMPANY FOR Solar Modulation of Equator-to-Pole Temperature Gradients PSO 182-9-11 For the period 0 I December 20 I I through 30 November 2012 September 2011 Smithsonian Institution Astrophysical Observatory Cambridge, Massachusetts 0213 8 The Smithsonian Astrophysical Observatory is a member of the Harvard-Smithsonian Center for Astroph ys ics Sl-000093 PROPOSAL TO SOUTHERN COMPANY FOR Solar Modulation of Equator-to-Pole Temperature Gradients PSOt 82-9-t t For the period I December 2011 to 30 November 2012 Funds Requested: $59,942 Principal Investigator Dr. Willie Soon Associate Director of Solar, Stellar & Planetary Sciences Dr. Nancy S. Brickhouse September 2011 Smithsonian Astrophysical Observatory Cambridge, Massachusetts 02138 Director: Dr. Charles Alcock The Smithsonian Astrophysical Observatory is a member of the Harvard-Smithsonian Center for Astrophysics Sl-000094 ~'Iv ~·- ~ Smithsonian Astrophysical Observatory ~dil:> Solar Modulation of Equator-to-Pole Temperature Gradients Science Justification/Statement of Work The primary motivation for this in-depth scientific research proposal is to explore the mechanism on how the Earth's climate system varies naturally on multi-decadal to multicentenniaJ timescales. Establishing the reality of large natural climate change on the important timescales of decades to centuries is well supported by available climate proxy data, but has been one of the most difficult hurdles in arguing for any "controllable" or catastrophic man-made global warming or climate change. Thus, this scientific research proposal will be both timely and relevant for the current debate about the quantitative role of natural climate change as related to solar variability. In Soon (2005), Soon (2009), Agnihotri el al. (2011) and Soon el al. (2011), a range of sun-climate connections on local, regional, and hemispheric scales were first postulated. The main physical mechanism involves solar variability, primarily in the visible light portion of the spectrum, modulating the equator-to-pole heat transport and affecting the heat and water budgets of the Arctic air-sea-ice system. Ultimately, the solar-Arctic changes modulate the Atlantic Ocean "conveyor-belt" circulation, which has significant climatic teleconnections to different parts of the world. Figure I provides not only direct evidence for the important role of ground surface solar radiation to the regional sun-climate connection but also hints at the important interconnection among regions through the so-called circum-global teleconnection (CGT) pattern that was discovered by Branstator (2002) and Ding and Wang (2005) for both winter and summer weather-climate regimes, respectively. The physical mechanism involved in the CGT pattern, involving the seasonal variations in the position and intensity of the North African-Asian Jet Streams, is certainly relevant for discussing the various local and regional sun-climate evidence that have been found for surface air temperatures around Arctic, the conterminous United States, and China, as well as Indian summer monsoon rainfalls. What is still missing, however, is the evidence of a cause for such a broad coherence and inter-correlation on the large spatial scales. Sl-000095 tO' -110· --lll!!l~llii... l!illiC"1!1!!!!Si~L'W¥9~~........~i:::::::r=:::=i::1::::::r:::::;~1::::r=:::~1~:::::i==:::i;1~:::I==~l:;::=>-U -a _& --0.4 -4.2 o 0.2 O•.t 0.6 0.8 Fi ure 1 Figure 2 shows the exciting and promising indication that, on the largest spatial-scales. the total solar irradiance (TSJ) lime series is highly correlated with the so-called equatorto-pole (i.e., Arctic) temperature gradient index as defined by Jain et al. ( 1999). My proposed research, therefore, would explore this empirical r~lationship and seek lo find an appropriate underlying physical dynamic process that may best explain the ohserved empirical correlation. ln this respect, it is interesting lo note the identification of solar and lunar forcing responses in terms of the winter and summer latitudinal temperature gradients, respectively, by Davis and Brewer (2011 ). The main sources of dala for this proposed research (including those shown in Figures I and 2) will include: (a) Composite tolal solar irradiance data (Hoyt and Schatten 1993: with updates and discussion by Scafetta and Willson 2009, Suon 2009, Kopp and Lean 201 l, Shapiro et al. 20 I 11), (b) The y :· xs' gridded surface temperature product from the Climalic Res1:arch Unit (CRU) at the University of East Anglia for the whole interval of 1856-prcsent, and 1 It is ·~sreci.illy import.mt to note that in Sh;1piro 1~1 From: Sent: Lauren VanderHeyden Thursday, February 21 , . Jill Robidoux Nayla Rathle ; dtgrants RE: Request for no-cost extension To: Cc: Subject: Ms. Robidoux: Thank you for double checking. Yes, September 30, 2013, works absolutely fine for us . Best, I t1urt>n Vdncier HP.'rciPn !)t1n.i1--l1.i ... 1,rnd l),.i;1,1 .... l'.pit;..~t f-'1111~ l 09 N Hc>nry ~lr1>P.t Alc:xandriil, Vf\ 22314 (p) cxempt1on 6 (f) (W) WY.i/W,iLLJ.[IC~fjt:!'~~\ .9!£ From: jrobldoux@d~.harvard . edy [mailto:jrobldoux@da.hai:_vard.edu] Sent: Thursday, February 21, 2013 9:20 AM To: Lauren VanderHeyden Cc: nrathle@da.harvard.edu; dtgrants Subject: RE: Request for no-cost extension Good Morning, I apologize, I did not specify a requested end date to the new period of performance. We would like an end date of September 30, 2013. Is this amenable? Best Regards, Jill Jill C. Robidoux Contract Specialist Sponsored Programs Section Smithsonian Astrophysical Observatory From: Lauren VanderHeyden [IJIJ!l!.!:o: sent: Wednesday, February 20, 2013 4:11 PM To: Jiii Robidoux Cc: Nayla Rathle i dtgrants Subject: RE: Request for no-cost extension Dear Ms. Robidoux: Thank you for your email. Considering the circumstances, DonorsTrust is willing to grant an extension for the SAO grant (OT grant# 9713863; SAO Proposal ID #442 -VlOl). 1 Sl-000107 Sincerely, Liluren V.ind(•r Heyden I >on,11 , I 111.,1 •111d I )<'nnr' ( .ipi1:il I u11t! 109 N. Hprirv Sli e•~l n.3 tll Exemphon 6 (p) A. li>x, mtr 1a Vil (t) (w) ~"'!.~~_.QQL1Qf.1!L'Y2L l!'!: From: jrobjdoux@c{a.harva.r.Q&Qy [mallto:jrob!doux@cfa.harvard.edu] Sent: Wednesday, February 20, 2013 11:47 AM To: Lauren VanderHeyden Cc: nrathle@cfc!.~aIYar.Q.eQu Subject: Request for no-cost extension Good Morning, SAO would like to request a no-cost extension to our award (letter dated 2/28/12 ,.....,.,..,,,,,.,.,. reference . The com letion of the project has been slightly delayed due to the·• ·· ' · and more time needed to communicate and coordinate with collaborators an co-aut ors espec1a y tn terms of the quality re-assessment of the data records used in this study. Thank you for your consideration. Best Regards, Jill Jill C. Robidoux Contract Specialist Sponsored Programs Section Smithsonian Astrophysical Observatory 60 Garden St MS 22 Cambridge MA 02138 Phone: 617-496-1667 Fax: 617-496-7692 lrobldoux@cfa.harvard.edu 2 Sl-000108 PeopleSOf t GL Report ID: SlGLl20R Bua. Unit: S!OOO--Smithsonian Institution Page No. STATEHE!IT OF F!NANC1AL ACTIVITY DETAIL REPORT J\.8 of FY 2008 / 12 l !tun Date 08/26/2013 - Sept:eoober (CLOSED) Run Time 16:06:48 Department: 404S50 Solar, Stellar. and Planetary Fund Code: 801 Contributions Budget Reference: 0000 Designated COde: 301770 40 Exxon Mobil G .. II c D YTD Budget Kl'D Actuals YID Actuals ITD Actuals RBVBllmB CBllSBS Per&OllDal COIDpenaatiOD 1110 Salari"ea Regular 6100 Operating Expenses/Prag.Co 1185 SAO lion Worked Pool 6100 Operating 'Expenses/Prag.Co 1199 Accrued Salaries 6100 Operating Expenses/Prag.Co Tot Maj Class: 11 Personnel Benefit. 1230 Pool Benefits 6100 Operating Expenses/Prag Co 1299 Ace.rued Benef ita 6100 Operating Expenses/Prag.Co Tot Maj Claes: 12 Sub Tot PeraOllllel: Suppli.. and Material• 2611 Office SUppliea 6100 Operating Expenses/Pr-og.Co Tot Haj Class: 26 SUb Tot Other: 0 . 00 0 . 00 0.00 0.00 0.00 427.47 (27.47 (27.47 923 .47 823 . .(7 823 . 47 0.00 0.00 0 . 00 0 . 00 0 : 00 0.00 427 n 427.47 427.47 -427 .47 -427 .47 -427 .47 SUb Tot Direct, lDdirect. Other Costa: o.oo o.ao (27.47 S23 .47 0.00 o.oo 427 .47 -427. 47 TOTAL 8D'B!ISBS: 0.00 ll. 00 34. 784. 98 131.849.59 0.00 0 . 00 34,784.98 -34, 784 . 98 Re~: 0.00 (). 00 -54,405.l.-ol Benefits 6100 Operating Expenses/Prag.CO 1299 Accrued Benefits 6100 Operating Expenses/Prog.Co Toe Major Class, 12 Sub Tot Personnel: J:J>cl.irect Co•t• 3510 Indirect 6606 OR Rec 3520 Indirect 6606 OB Ree Cost c;y G&A SAO Non-Fed Grta k Cose CT Overhead SAO Non-Fed Grts ~ Tot Major Class: 35 0 . 00 D.00 o.oo. l. 135.94 l, 735 . 94 C.00 0.00 1,735.94 1,7)5.94 0 . 00 0 00 o. oo o. oo G. 00 0.00 4.006.01 5,141.95 4.006.0l 5,741.95 0.00 0.00 0 . 00 0.00 4,00f;.01 5,741.95 4,006.01 5, 741.95 Sub Tot Indirect coat.a: 0.00 0.00 o.oo 5.741.95 5.741.95 0.00 0.00 5,741.95 5, 741. 95 Sl-000112 PeopleSoft GL Report: ID: Ilus. Unit: SIGLl60R SIOOO--Smitnaooian lnstitutiOD Page No. 24 Run Date 10/17/2008 Run Time 10:06:10 YUND STATUS FOR GRANTS AND CONTRACTS As of FY 2008 / 12 - September (CLOSED) Budget Stat.us (Open) Fund Code: 802 Grants ~ Cao.tr•cts Non-Govt. Desigoat.ed Code: 510161 Tbe Suns Influence on Climat.e Pl: Baliunas,S. Start:: Ol-SEP-2007 End: 31-DEC-2007 Post Award Analyst: PA: 2626 Rev: D Sponsor: PREE TO CHOOSE MEDIA c B A Project Mgr: Yorke,s . Contract #: 10426 Pl Dept.: 404550 E-tF+G G F E D !Jl! PreEncumb TI'D PreEnCUJnb Actlllls Class TOTAL BXPBJISBS: GL S1JMlllUtY: Revenue - Expenses: Com Cntrl SU1lllll for 802 I 510161 Summary: Total ITD Expenses: Total ITO Billed: I1D Expenses - ITO Billed: Bud.c:.t E:nculllb .. Act: 0.00 0.00 0.00 19,095.29 19, 095 .29 a.co 0.00 19.095.2' 19,095.29 19,Je3.00 0.00 0.00 19,095.29 19,095.29 o_oo 0.00 19,095.29 19,095.29 0.00 0.00 0.00 287 71 287.71 19,383.00 0.00 o. ao 19,095.29 19,095.29 0.00 0.00 19.095.29 19.095.29 19,095.29 R~ceivable Ba.lane@.: Prepaid Balance: 0 00 0 00 Unbilled Balance: 0 . 00 -----~:-~!! 19.095.29 Sl-000113 Report ID: Bus. Unit: PeopleSoft GL FUND STATIJS FOR GRA!iTS AND CONTRACTS As of FY 2008 I 12 - September ICLOSEDl Budget statua (Open) SIGL160R SIOOO--Slllitluionian Insc.itution Fund Code: 802 Grants & Contracts Noa-Govt. Designated Code: 510166 Understanding Solar Variabilit Pl : Soon,W . start: is-.IAJ1 : 2ooa End: 15-JAJl-2009 Po9t Award Analyst : PA: 2694 Rev: 0 Sponsor: SOU'IKERN COMPANY SERVICES A D G F E Ar. 1:.1" .ls Class Budqet Prior Years Current Month Current Year PreEncWlbrance ITO NO. 25 Project Mgr: Yorke,s. Contract t: S0111'HC0-001 Pl Dept : 404552 c B Page Run Date 10/17/2008 Run Time 10:06:10 Encwnbrance E+F+G rm PrSl§:£!cumb !:!l! i!Ulal5'l.15 Encu1!lb .. Act El'ICWllb " Act JlBVBlllUB Grant:. &lld CODt:racta 0530 Noo Federal Grants 5900 Ot:har Revenue Tot Major Class: 05 0 00 0 . 00 0. 00 0. 00 882.49 882 .49 l0,267.26 30,267 . 26 30,267.2& 30.267 . 26 30.267.26 30,267.26 30,267.26 30; 267:26 TOTAL RBVBlml!: o.oo 0.00 882 .49 30,267.26 30,267 26 30.267.26 30,267.26 0 . 00 0 . 00 0 . 00 14,001-64 14. 001.6, 0.00 0.00 14, 001-64 14. 001. 64 0 . 00 0 . 00 0 . 00 2,730 . 32 2,730.32 0.00 0 . 00 2.730.32 2,7)0.32 0 00 0 00 0 . 00 0 . 00 0 .00 o.oo u. 731.96 0 . 00 Hi. 731. 96 0 . 00 o.oo o.oo 0 . 00 0 . 00 0.00 16. 731.96 0.00 16,731.96 0 00 0.00 0.00 4.433 . 97 4.~33.97 0 . 00 0.00 4,433.97 4.4)3.97 0 . 00 0 . 00 0 . 00 0 . 00 0 . 00 0.00 0 . 00 4,433.97 0 . 00 .... 33.97 0.00 0.00 o. oo 0 . 00 0.00 4,433 . 97 0.00 4.433.97 0.00 o. oo 0 . 00 21,165.H 21,165 . 93 0.00 0.00 21, 165.93 21, 165. 9) Tot Major Class: 24 0 . 00 0 . 00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0 . 00 D. 00 514. 89 514.89 514 .89 514.89 514. 89 514 . 89 Sub Tot Other: 0.00 0.00 0.00 0.00 1l.00 D.00 Sl4 .89 514. 89 514. 89 DPBllSBS Perml Caq>enaaticm 1110 Salaries Regular 6100 Opt!!rating Expenses/Prag.Co ne5 SAO Non Worked Pcol 6100 Operating Expenses~Prog.Co 1199 Accrued Salaries 6100 Operating Expenses/Prog.Co Tot Major Claes: 11 PersOllJlel Benef ita 1230 Pool Benefits 6100 Operating Expeoses/Prog.Co 1299 Accrued Benefics 6100 Operating ExPeDSes/Prog.Co Tot Kajar Class: 12 Sub Tot ""r•cmnel: Priuti~ -.cl reproduction 2410 Printing 6100 Operating Expenaea/Prog.Co I:ndirec:t Coats 3510 Indirect Cost CY G~ Sl-a00114 PeopleSoft GL Rep<>rt ID: SIGL160R Bus. Unit: SlOOO--Sllrithsonian Institution Budget Fund Code: 802 Grants Page No. ruND STATUS FOR GRANTS MD CONTRACTS As of FY 2008 / 12 - September (CLOSED) 26 Run Date 10/17/2008 Run Time 10:06:10 Status (Open). ~ Contracts Non-Govt;. Designated Code: 510166 Understanding Solar variabilit Pl: Soon.w. Start: 15-JAN-2008 End: 15-JAN-2009 Poat iw.ard An.a.l.yst: PA: 2694 Rev: 0 Sponsor: SOUTHERJI COMPANY' SERVICES A Class 6606 OH Rec 3510 Indirect 6609 OH Rec 3520 Indirect 6606 OH Rec c B Bu do et Prior Years PI Dept: 404SS2 D G F i:: Actuals current Month ~ent Year Project Mgr: Yorke,S . Contract lh SOUTHC0-001 E+F+G · ITO Pr,.Encmnb PreEncumbrance ITO Encumbr.mce t:nctm'.!> I. lie t YTD ~~cumb :sncumb " 1.c t SAO Ron-Fed Grts " Cost CY G~ SAO Ot:her En<:umbran Cost CY Overhead SAO lion-Fed Grts • Tot Major Class: 35 0.00 0.00 0.00 2,751.55 2.751.55 0 00 0.00 2,751.55 2, 751.SS 0.00 0.00 0.00 0.00 0.00 0.00 51.0 51.49 51. 4!I 0 00 0 00 0.00 0. 00 o.oo 0.00 6,349.78 9,101.33 6,349.78 9.101.33 0.00 0.00 0.00 51.49 6,349.78 9.152 . 82 6.349.78 9.152.82 Suh Tot IIMiirect Cost•: 0.00 0.00 0.00 9.101.33 9.101.33 0.00 51 .49 9.152.82 9.152.82 0.00 0.00 0.00 30,267.26 30.267.26 0.00 56'.38 30,83J.64 30,833.64 60.000.00 0.00 0.00 30,267.26 30.267 26 0.00 566. 38 30.833.64 30. 833. 64 0.00 0.00 882.49 0.00 0.00 60,000.00 0.00 0.00 30,267.26 30.267.26 0.00 566.38 30,833.64 30.B:B.64 30,267.26 3Q.26?,;?6 0.00 Receivable Balance: Prepaid Balance: Unbilled Balance: TOTAL BXPID.'8118 : GL SUMllART: Revenue - ElJl-2008 End: lS·JAN-2010 Poat Award Analyst' PA: 2694 Rev: 2 sponsor: SOUTHERJI COMPANY SERVICES c B A Project Mgr: R.a.thle,N . Contract #: SOUTHC0-001 PI Dept: 404850 F E D E+F+G G A~tu.als Class l!UdQec l?rtcr 'tears ~ns:nS; !!S?!!S;h current Year .rm Pre Encumbrance Encumbrance rm PreEnculllb YTD PreEncumb EnClllllb .. J\ct Encwnb "Act RBVDOB Grants and Cantracta 0530 Non Federal Grants 5900 Other Revenue 0532 Non Federal Grants OVerases 5909 Contra Revenue Tot Major Class : OS 0 . 00 30,267.26 4.665.26 92 . 468.90 122.736 . 16 122, 136 . 16 92.468.90 0 . 00 0.00 0.00 30,267.26 -2, 736 . 16 1,929 . 10 -2.736.16 89. 732. 74 -2.736 . 16 120,000 . 00 -2. 736.16 120,000.00 -2,736.16 89,732.7.. TOTAL REVBmlB: 0.00 30.267.26 1.929.10 89. 7l2. 74 120.()00 . 00 120 , 000 . 00 89,732 . 74 0 . 00 14,001. 64 4!1.57 40,217.23 54, 2'U . 81 0-00 0.00 54 . 218.87 40,217.23 Ex~es/Prog.Co 0.00 2. 730.32 -318.67 8,,85.85 11 . 216 . 17 0.00 0.00 ll.,216.17 8,485.85 1199 Accrued Salaries 61.00 Operacicg Expenses/Prns.co Tot Maier Class : 11 o.oo 0 . 00 16. 731. 96 -1,559.84 -1,928.94 0.00 48,703.08 0.00 65,435 . 04 o_oo 0.00 0.00 0.00 0.00 0.00 65,435.04 0 . 00 48,703 . 08 0 .-00 4.433. 97 16. 57 13. 442. 07 11, 876 .04 0.00 0 . 00 17,87(,_04 13,442.01 0 . 00 0 00 0. DO -521 . 36 -504 . 19 0 . 00 13,442 . 07 0.00 17,876 . 04 0 . 00 4,433. 9J o. oo 0.00 0.00 0.00 l1. 876 . 04 0 . 00 13 , 442 . 07 0.00 21,165 . 93 -2,333.73 62,145.15 93,311.08 0.00 0.00 83. 311. 08 62,145.15 0.00 0.00 0.00 0. Od r-i>rodv.ctJ.an 2410 Printing 6100 Operating Expen&es/Prog.Co Sl-000116 PeopleSoft CL Report ID; SIGL160R BU$. Unit: SIOOO--Smithsonian Institution FUND sr.o.rus 26 Run Date 10/22/2009 Run Time 10:50:51 Page llo. FOR GRANTS JIND COJllTRACTS As of FY 2009 I 12 - September (CLOSEt>) Budget Status (Open) Fluid Code: 802 Granes&. Contracts Non-Govt. Designated Code: >10166 Understanding solar var1abilit PI: soon,N. Start: 15-JA>l-2008 End: 15-JAll-2010 Post Award Analyst: PA: 2694 Rev: 2 Sponsor: SOU"IllERN COMPANY SERVICES Project Mgr: Rathle.N. Contract c B A Pl Dept: 404SSD 0 E F CU.rrenc. Year ITO PreEncumbrance W: SOU'IBC0-001 £+F+G rm Pre EnCUlllb G Actuals Class Prior Years B!:21et: current Pl<>nth Encullll>ranc.e Encll'llb & Y'Itl a.cc Prel:DCU!!!!i! Act: Encu!llb ' Indirect costs 3510 Indirect 6606 OH Rec: 3510 Indirect 6609 OH Rec 3520 Indirect 6606 OH Rec Cost C'l G*A Non·Fed Grts &. Cost CY G&A SAD Other Encumbran Cost CY Overhead SAO Non-Fed Grts &. Tot Major Class: 15 0.00 2,7Sl.S5 -315.28 8,)95.56 11,147.11 0. OD O. DO 11,141.11 8, 395-56 0.00 D.00 O.OD 0.00 o.oo D. OD 53.55 53.55 2.06 0.00 0.00 6,l49.78 9,101.33 -697.79 -1.013.07 18,581.19 26.976 . 95 24,931.17 36.078.28 O.OD O.OD 0.00 53.55 24. 931.17 36.131.83 18,581-39 26.979.0l Sub Tot Indirect Co•t.: 0.00 9.101.33 -1, 013. 07 26.976.95 36,018.28 0. OD 53.SS 36.131. 83 26,979.0l 0.00 30.267.26 -3;346.80 89.122.10 119. 389. 36 0.00 566.U 119.957.80 89,124.16 120.000.00 30,267.26 -3,346. 80 89,122.10 119,389.36 o.oo 568.44 119, 957 .80 89,124.16 0.00 O.DO 5,275.90 610. 64. 610. 64 120,000.00 l0,267.26 -3,346.80 89,122.10 119, 389 .36 o.oo 568.44 119,951.80 89,124.16 SAD TOTAL BXPENSBS: GL SlIIOllUl.Y: Revenue - Exper.se3: can Cncrl 5.,..,, !or 802 / 510166 SUmmary: Tocal ITO Expenses : Total ITO Billed : rm Expenses - ITD Billed: 119,389.36 _ __JQ,.QQ.Q. 09 59,389.36 Receivable Balance: Prepaid Balance, Unbilled BalallCe: 0.00 0.00 60,000.00 Sl-000117 PeopleSoft GL Report ID: Bu11. Unit: FUND STATUS roR GRAliTS AND CONTRACTS As of PY 2010 I 12 - September (CLOSED) SIGL160R SIOOO--s..ithsonian Institution Page Ho. 9 Run Date 10/14/2010 Run Time 14:14:56 Budget Status (Open) Fund Code: 802 Grants' Cruitracts Non-Govt;. Designated Code: 501558 Understanding SOlar Variabilit PI: Soon,W. Start: Ol-DEC-2009 End: 30-NOV-2011 Post Award Analyst: PA: 2969 Rev: 0 Sponsor: KOCH FOOHDATIOll A 8 PI Dept: 404550 Project Mgr: Rathle.N . Contract #: C.G. Ltr 9/21/09 D E F G Ctlrr<'...nt Year rm PreEr.cumbran££ £ilcu11lbrance c Actu.;ol11 Cla.llA Bu~et l'rior \'ears current Month E+f'+G Im PreEncumb li:ncumb • Act Y'lD PreEn~ Encu.b ' Act RBVDU8 Grants aJld Coatracta 0530 NOD. Federal Grants 5900 Other Revenue 0532 Non Federal Granes Overages 5909 .contra Revenue "l'Ot Major Clase: 05 o. oo 0.00 -15,113.60 -68,41'.23 -68,416 . 23 -68,416.23 -68,416.43 G.00 c. oo 0.00 0.00 3,416.23 -11,697.37 3,41'.23 -65,000.00 3,416 . 23 -65,000.00 3,416.23 -65,000.00 3,41'.23 -65,000.00 TOTAL llKVBllUB: 0.00 0.00 -11,697.37 -65,000.00 -65,000.00 -65,000.DD -65,000.00 0.00 D.00 2, 117.36 29,952.58 29, 952. 58 0.00 0.00 29,952.58 29,952 . 58 0.00 0.00 l91 . 71 5, 541.22 5,541.22 0.00 0.00 5,541..22 5,541.22 o.oo o. co 0.00 35,493.80 0.00 35.491.80 o.oo 0 . 00 - 3, 744. 38 -1.235.31 o.oo 0 00 0 00 0.00 0.00 35.493.80 0.00 35.493 80 0.00 0.00 692. so 9,796.25 9,796 25 0.00 0.00 9.796.25 9, 796.25 o.oo 0.00 0.00 -l.'17.34 o. oo -l.. 224. 84 0 . 00 9 , 796 . 25 0.00 9,7'6.25 0.00 0.00 0.00 0 . 00 0.00 ,,796.25 0 . 00 9.7'6.25 o.oo 0.00 -2.~60.15 45, 2!10. OS 45,290.0S 0.00 0.00 45,290. 05 45,290. OS 0.00 0.00 -383.28 7,055.93 7,055.93 0.00 0.00 7,055.93 7,055.93 o. oo o.oo 0.00 0.00 -681.-46 -1. 064. 74 12, 545.36 19,601.29 12,545.36 19,601-29 0.00 0.00 0.00 12,545.36 19,601.29 12,545.36 19. 601. 29 DPll!llSBS Per80GllAll CGlllpCUl&t:1cm 1110 Salaries Reqular 6100 Operating Bxpenses/Prog.Co 1185 SAO Non Worked Pool 6100 Operating Expenses/P~oq.Co 1199 Accrued salaries 6100 Operating Expenses/PrtJ9.CO Tor. Major Class: l1 Perso11Del Benefits 1230 Pool Benefits 6100 Operating Bxpen&es/Prog.Co 1299 Accrued B Toi: Peraomial: I.Qcli.rect: Ca.ta 3510 Indirect 6606 OH Rec 3520 Indirect 6606 OH Rec Tot Major Cost: CT G"" SAO !'Ion-Fed Crt:!I ' Coat CY Overhead SAO Non-Fed Crts ' Class: 35 o.oo Sl-000118 PeopleSoft GL Report ID: Bus. Unit: SIGL160R SIOOO--Sm.ithsonian Institution FOND STATUS FOR GRANTS J.NO CONTRACTS A.a of f'Y 2010 I 12 Budget Status Rev: 0 Sponsor: KOCH RUD Time 14:14:56 Project Mgr: R.athle, IT. Contract #: C.C. Ltr 9/21/09 Pl Dept:: 4 04S50 ~TIOll c B A D E F E+F+G G ITD PreEncwob Ac ~uals Class SUll Tot :Indirect Coats: TOT.AL DPDliBS: GL stDlllkllY: Revenue - Expenses: Com cntrl SU111111 for 802 I 501558 summary: Total Im Expenses: Total ITD Billed: I'ID Expenses - !TD Billed: Budbrance PreEncumb EnCUlllb & Act Y'1'D .EncWJ:lb " Act 0.00 0.00 -1.064. 74 19, 601.29 19. 601. 29 0.00 0.00 U,601.29 19,601. 29 0.00 0.00 -3,524.89 64. 891.34 64. BU. 34 0.00 0.00 64. 891. 34 64. 891. 34 65,000.00 0.00 -3. 524 .89 64, 891.34 64 '891. 34 o.oo 0.00 64, 891.34 64,Bn.34 0.00 o.oo -l.5,222.26 -108.66 -108 ' ' 65.000.00 0.00 -3.524.89 64. 891. 34 64. 89l. l4 0.00 0.00 '~. 891. 34 64.891. 34 64, 891. 34 - - - __!~,..QO.~ -108.66 Receivable Balarn;e: Prepaid Balance: Unbilled Bal~nce: 0.00 0.00 0.00 Sl-000119 PeopleS<>ft GL Reporc ID: Bus. Unit: SIGL160R SIOOO--Smithsonian Institution Page No. 9 Run Date ll/08/2Dll Run Time 02 : 21 : 15 FUND STATIJS FOR GRANTS AND CONTRACTS As of FY 2011 / 12 - September (CLOSED) Budget Status (Open) Fund Code: 802 Grants & Contracts Non-Govt . Designated Code : 501631 Understandi119 Solar Radiatio PI : Soon,M. Start:: 01-MAY-lDlO End: 30-APR-2011 Post Award Analyst : PA: 3052 Rev: o Sponsor: SOUTFIERN CO. Contract: t : 15670 c B A Project Mgr : Rathle , N. PI Dept: 404S50 F E D E+F+G G Actuals Class Prior Year s Bude-et current Month current Year ITO PreEncumhrance Encumbrance ITD PreEncumb Encumb & Act '{"fl) Prel!ncumb Enc\Jllb ' Act .RBVBRUB Grants and ContractJI 0530 NFedGrant-5900 OthRevenue Tot Major Class: 05 0.00 O. OD o . oo C DO 0 . 00 0 . 00 -60,003.00 -60,003 . 00 -60,003 . 00 -60 , DOl.OO -60. 003. 00 -60,003.00 -60 . 003.00 - 60,D03 . 00 TOTAL RBVmftlB: 0 . 00 0 . 00 0.00 -60,003.00 -60,003.00 -60.003.00 ~60,003.00 BXPBMSBS hr80DD8l ~tion 1110 SalRegular-6100 OpExpPrgCa 1185 SAONWlc;Pool-6100 OpExpPrgCS 1189 SAOl\ccrRt-6100 0p£xpPrgCs 1199 AccrSal1nt·6lOO Op£xpPrgCs Tot Major Class: 11 0 . 00 0 . 00 o . oo 0 00 0 00 0 . 00 a oo 0 . 00 20,003.44 3 , go).56 0 . 00 -UL 52 23,015.4.8 27,409.10 5,273.60 0 . 00 0.00 32,682.70 0.00 0 . 00 0-00 0 . 00 0 . 00 0 . 00 o . oo 0 00 o . oo 0 00 27,409.10 ; • 213 .60 0.00 0.00 32,68Z.70 20,003.44 0 . 00 7,'105 . 66 1,370 . 04 IL DO 891. 52 9,667.22 0 00 0.00 0 . 00 2.422.09 4 56. 51 2.878.60 o . oo o . oo 6,l52 . 69 -457 . 10 5,895.59 9, 77-4. 78 -0.59 8, 774.19 0.00 0. 00 0.00 0 00 0 . 00 a oo 8 , 774 . 78 -0.59 8. 774 19 ,,352.,9 o. oo 0 . 00 l.2.545.82 0 . 00 28,911.07 41.456 . 89 0.00 0 . 00 41.456. 89 28,9U .07 Trlm8portatioo ot Thing's 2212 Transptn-6100 OpExpPrgCs Tot Major Class: 22 0 . 00 0 00 o.oo 0.00 o . oo 0 . 00 o . oo 0 00 0 . 00 0.00 o . oo 0 . 00 o . oo 0.00 0 . 00 0.00 0.00 0.00 SUppliea and 11.mterials 2611 OffcSupl-6100 OpExpPrgCs Tot Major Cla!s: 26 0 . 00 0 . 00 497 .40 07 . {0 o . oo 0 00 0 00 o . oo 497 .40 497.40 Q_ OO 0 . 00 O. DO 0 . 00 497 . 40 07 . .fO o.oo 0.00 0 . 00 497.40 0.00 0 . 00 497 .40 0.00 0 . 00 497 . 40 0.00 0.00 0.00 0 . 00 1,957 . 79 l,475 . 20 26. , , 0 . 00 0.00 0 - 00 4,761.96 7 , 719 . 25 0 .00 6,719.75 11,194.45 2, . 36 0.00 0.00 0 . 00 o.oo 0.00 0.00 6,719-75 ll, 194 .45 26 . 36 4 '761. 96 7,719 . 25 0.00 a_oo l, 903 .S' 0.00 -891.52 Zl,015.48 hrao..._l. ...,.tits 1230 PoolBenfts-6100 OpExpPxgCB 1299 AccrBenint-6100 OpExpPxgCs Tot Major Class: 12 Sllb Tot Per11CJDD•l: Sub Tot Othar: :Indirect Co•U 3510 ICCYGA-6606 OHRSAONFGC 3520 Ia:YOvrlxl-6606 O!!RSAOMFGC J 53 o ICCYMB - 66 06 OHRSAOJIFG<: ·457 .1.0 S,895.59 Sl-000120 J PeopleSof t GL Report ID: Bus. Unit: Page No. FllND STATUS FOR GRAJITS AND CONTRACTS SIGLHOR S!OOO--SmithsODian Institution I 12 - September Budget Status (Openl A5 of PY 2011. Fund Code: 802 Grants s contracts Non-~. Designated Code: 501631 Understandi119 Solar Radiatio PI: Soon,W. Start: Ol-HAY-2010 End: 30-~PR-2011 Post Award Analyst: PA: 3052 Rev: 0 Sponsor: SOU'niERN CO. Project Mgr: Rathle,N . PI Dept: 4 04550 Contract c B A D ::: F CUrrent Year ITO PreEncumbrance •= 15670 G .A<:tials Cla:;.s BudQet Current MS!!!th E:nC\J.ll!ib!"~TIC:I!! &+F..G rm PreEncumb YTD PreEncumb E.ncW!lb &. Act l:ncunw 6 Act Tot Major Class: 35 0.00 5,459.35 0.00 12.481.21 17.940.56 0.00 0.00 11, 9~0.56 12.481.21 Sub Tot :ln4iract Cc•t.s: 0.00 S.459·. 35 0.00 12,481.21 17, 940. 56 0.00 0.00 17,940.56 12,481.21 0.00 18,502.51 0.00 41,392.28 59, 894. 85 0.00 0.00 5, ,894 .85 41.3,.Z.28 60,003.00 18,502.51 0.00 41,392.28 :.9,894. 85 0.00 0.00 5,.894.85 41,392.28 0.00 18,502.57 0.00 -18,610. i2 -108.15 60,00~.oo 18. 502. 57 0. OD 41,392.28 59,894.85 0.00 0.00 59,894.85 41. 392.28 'l'O'rAl. BPBlfSBS : GL SummRY: Revenue - Expeneee: Com Prior Years 10 Run Date ll/OB/2011 Run Time 02:21:15 (CLOSED) cntrl Slllml for 802 I 501611 S1,lllllllilry: Total ITO Expenses: TOCal ITO Billed: !'ID Expanses - ITD Billed: 59,89,.85 ~ 59,894.85 i!aceivable Balance: Prepaid Balance: Unbilled Balance' 0.00 0.00 0.00 Sl-000121 Report. ID: Bus. Unit: PeopleSoft GL FUND STATUS FOR GRANTS AND CONTRACTS As of FY 2011 / 12 - September (CLOSED) Budget Status (Open) SIGL160R Siaao--smithsonian Institution Fund Code: 802 Grants & contracts Non-Govt. Designated Code: 5a167a Understanding Solar Radiatio PI: SOON.WILLIE WEI HOCK Start.: a1-AUG-2a1a End: 31-JAN-2012 Post Award Analyst: PA: 3116 Rev: 1 Sponsor: KOCK FOUNDATION A Class c B Prior Years Budciet Page No. 11 Run Date 11/08/2011 Run Time 02,21:15 PI Dept: 404550 E D Actuals Current Month CUrrent: Year Project Mgr: Contract #: Koch Ltr. 11/08/20 G F ITD PreEncumbrance Encumbrance E+F+G ITD PreEncumb Encumb & Act YTD PreEncumb Eru:umb & Act RBVBNUE Grants and Contracts 0530 NFedGrant-59aO OthRevenue Tot Major Class: OS 0.00 0.00 o.ao 0 . 00 0.00 0.00 -55,000.00 -55,000.00 -55,000.00 -55,000.00 -55,000.00 -55,000.00 -55,000.00 -55,000.00 TOTAL REVENUE: 0.00 o.aa 0 . 00 -55,000.00 - 55,000 . 00 -55,000.00 -55,000.00 Personnel Compensation 1110 SalRegular-6100 OpExpPrgCs 1111 SalPT-6100 OpExpPrgCs 1185 SAONWkPool-6100 OpExpPrgCs 1189 SAOAccrRtC6100 OpExpPrgCs 1199 AccrSalint~6100 OpExpPrgCs Tot Major Class: 11 0.00 o·. oo 0.00 0.00 0.00 a.co 0 . 00 0 . 00 0 . 00 0 . 00 0 . 00 o . oo 0.00 278.60 24.29 -699.01 -3,621.80 -4,017.92 10,363.88 14,208.60 4,788.60 0.00 0.00 29,361.08 10,363.88 14,208.60 4,788.60 0.00 0.00 29, 361. ca 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 10,363.88 14,208.60 4,788.60 0.00 0.00 29,361.08 10,363.88 14, 208. 60 4,788.60 0.00 0.00 29' 361. 08 Personnel Benefits 1230 PoolBenfts-61ao OpE:xpPrgCs 1299 AccrBenint-6100 OpE:xpPrgCs Tot Major Class: 12 a . co 0 . 00 a.oo 0.00 0.00 o.oa 114. 89 -l, 157. 98 -1,043.09 7,810.33 0.00 7,81a.33 7,810.33 0.00 7,810.33 0.00 0.00 0 . 00 0.00 0.00 0.00 7,810.33 0.00 7,810.33 7,810 . 33 0.00 7,810.33 a.co o.aa -5, 061. 01 37, 171.41 37,171.41 0.00 0.00 37, 171.41 37,171.41 Supplies and Materials 2611 OffcSupl-6100 QPExpPrgCs Tot Major Class: 26 0.00 0.00 D. ao 0.00 0.00 a.co 0.00 0.00 497.40 497 . 40 4 97. 4 0 o.ao 0 . 00 0 . 00 97 .40 0 . 00 4 97 .4 0 497.40 Equipment (Do Not Use) 3111 IT Equip-U-6100 OpExpPrgCs Tot Major Class: 31 0.00 0.00 o.ao 0.00 0.00 l.aa6.aa 1,006.00 1,006.00 1,006.00 o.oo 0 . 00 0 . 00 0.00 0.00 1,006.00 1.006.00 1,006.00 1,006.00 0.00 0 00 0. 00 1,006.00 1 , 006.00 0.00 497 .40 1,503.40 1.503 . 40 0 . 00 0 . 00 o.oo -8 33.6 0 0 . 00 6,128.93 0.00 6,128.93 0.00 0.00 0.00 0.00 l.17 6,128.93 3.17 6,128.93 3.17 EXPENSES Sull Tot Personnel : Sub Tot Other: Indirect Costs 3510 ICCYGA-6606 OHRSAONFGC 3510 ICCYGA-6609 OHRecSAOOt a . co 4 Sl-000122 PeopleSofe CL Report ID: Bus. Unit: SIGLHOR SIOOO--S~ithBonian Page No . 12 Run Date 11/08/2011 Run Ti111e 02:21,:15 FUND STA'ruS FOR GRAJITS AlllD CONTRACTS As of FY 2011 I 12 - September (CLOSED! Institution Budget Status (Opell) Fund Code: 802 Grants & Contracts Non-Govt. Designated Code: 501670 understanding Solar Radiatio PI: SOON.WILLIE WEI HOO< Start: Ol·AUG·2010 End: 31-JA!l-2012 Post Award AnalyEt: PA: 3116 Rev: 1 Sponsor: KOCK FOUNDATION A Class c 8 Pno r Yeats B!Jd<;et. PI Dept: 4 04$50 D Actuals C'brren't. Year current Month 3520 ICCTOvrhd-6606 OHRSAOllFGC 3530 ICCYMB-6606 OHRSAONFGC 3530 ICCTIUl-6609 OHReCSAOOt Tot l!ajor Class: 35 0.00 o. oo 0.00 0.00 0.00 0 00 0 . 00 0 . 00 351.29 0.00 0.00 -2. 184 89 ,,924.78 49.29 0.00 16,103.00 Sub Tot Indir•ct Co•t• : 0.00 0.00 -2.184.89 Hi,103.00 0.00 0.00 -7.245 . 90 55.00ll.OD 0.00 0.00 55,000.00 TOTAL DPBllSBS: GL SUlllllUlY: Revenue - Expe~s: CCIII Clltrl Su. . for 802 I 501670 SUmmary: Total ITO Expenses: Total ITO Billed: ITO E>cpenaea - ITD Billed, 54, 280 .41 ..__ ~- __o_.gQ 54,280.41 Project Mgr: Contract s F ITD PreEncllllbrance «: Koch Ltr. ll/08/20 E+f +G ITO PreEncurtlb G Encumbrance YTD PreEncumb EnCWllb & Aet £ncumb" Aet 0.00 0.00 0.00 24.37 27 54 78 49.29 24.37 1£, 130 .54 ,,,24..78 H.29 24.37 1',130.54 1'.103-00 0.00 27.54 16,ll0.54 1'.130. 54 54.280-41 54.280.41 0.00 524 . 9, 54.805.35 5·L805.35 7,245.90 54. 280 .41 54 .280.41 0.00 524.94 54 ,805.35 54.805.35 o.oc -7,245.90 -71.9.59 -719.59 0.00 7,245.90 54, 2&0 .41 54,280.41 0.00 524.94 54,805.35 54,805.35 -l, Receivable Balance' Prepaid Balance: !Jnllilled Balance, 9.924 . 78 49.29 0.00 0.00 a.co o.oo 1.,,103-00 ~.924. 0.00 0.00 0.00 Sl-000123 PeopleSoft GL Report ID; Bus. Unit; SIGL160R SIOOO--Smichsonian Institution Page 'llo. B Run Dace ll/02/2012 FUND STATUS FOR GRANTS AND CONTRACTS As of PY 2012 / 12 - September (CLOSED) Run Time 22:02:50 Budget Stat:us (Open) Pund Code: 802 Grants & Contract• Non-Govt . Designated Code: 501670 Understanding SOlar Radiatio PI: SOON.~lLLlE WEI 1!DCX Sta~: Ol-AUG-2010 End: 31-JAll-2012 Post Award Analyst: PA: 3116 Rev: 1 Pl Dept: 404SSO Award AD>t ! c B Mgr: RATHLE.NAYLA Contract f, Koch Ltr. ll/09/20 Sponsor: KOCK POUNDATION A Fund 55,000 . 00 r D E•F•G G ~cuals Class Budqet PTi.or Years (\!rrenf Montn eur~~ Year PreEnc:umbrance lTD Encumbrance ITO PraEncumb \'TD PraEncumb gocumb' Act En=mb & Act RKVBRUB Ccntracts 0530 NFedGrant-5900 OthRevenue Gr&Dt;a and Tot Major Class: 05 TO'r.llL ~= -55.000 . 00 -55.000 . 00 0.00 0.00 0 00 0 00 -55.ooo.oo -55,000.00 -55.000.00 -55.000.00 o.oo 0 . 00 0.00 -ss.000.00 0.00 0 DO -55.000.00 -55,000.DO 0.00 0.00 10,l63.88 14.208 . 60 4,7811.60 0 00 0 OD 0.00 0 OD o. oo 29 .361.08 o. oo 0.00 29. 361. 08 O.OD D.DO 0.00 0.00 0.00 0.00 10,363.88 1'. 208 .60 4.7118.60 D.00 0.00 29. 361. 08 0.00 0.00 0.00 0 . 00 0.00 0 . 00 0.00 0.00 o. oo 0.00 l.O, 363. 88 14.208.60 4,788.60 0.00 0.00 0 00 0 . 00 0 . 00 0 . 00 7.810.33 0.00 0.00 0.00 JIJPBNSJIS Peraonnel <=CJlllP8IU!lation 1110 SalR.egular-6100 OpExpPrgCs 1111 SalPT-6100 OpExpPrgCs 1185 Sl\ONKkPool-6100 OpExpPf'3Cs 1189.Sl\OAccrRt-6100 OpExpPrg<:s 1199 AccrSallnt-6100 OpE:xp?rgCs Tot Major Class: 11 O.OD 0.DO 0.00 0 . 00 o.oo 0 00 0.00 o. oo 0 OD 0.00 0.00 0.00 0.00 0.00 PerllODllel - f i t . . 1230 PoollleDfts-6100 OpExpPrgCs 1299 AccrBenint-6100 Op£xpPrgCs Tot Major Class: 12 Sub Tot PtlrllCIDJlAll: 0 00 0.00 7.810.33 7,810.B o. oo 0 . 00 0.00 0.00 0.00 l>.00 0.00 7,810.H 0 00 0 00 0 OD 37,171.41 0.00 7.810.33 37.171-41 0 . 00 o . oo D. 00 0 . 00 0.00 o. oo o. oo o. oo 37, 171.41 0 . 00 0.00 0.00 0 . 00 0 . 00 0 00 0 . 00 497 .40 497.4D 497 .40 497 .40 0.0() 0 . 00 0.00 0.00 497 .40 497 .40 0 . 00 0 . 00 0.00 0.00 0.00 1,006.00 1,006.00 0.00 0.00 0.00 0.00 1.006.00 1,006.00 1,503.40 o. oo 0.00 0 . 00 0.00 1,006.00 1,006.00 1,503.40 0.00 0.00 D.00 0.00 0 . 00 0 . 00 6.128 . 93 0 00 0 . 00 49 . 29 0 , 00 0 . 00 0 00 0 . 00 0.00 0.00 0.00 O.OD 0.00 6,132.94 o. oo 6,132 . 94 0.00 9,924 . 78 75.16 0.00 4.01 -3.17 0.00 25.87 -24. )7 7.810.33 Buppli- mad Kateri&ls 2611 OffcSupl-6100 OpExpPrgCs Tot Major Clas~: 2' ~..,t. CDo Jlot u..1 3111 rT Equip-U-6100 Op£xpPrgCs Tot Major Class: 31 Sul> Tot other: l,006.00 0.00 497.40 0 00 o. oo l:Ddirect Coats 3510 ICCYGA-6606 OHRSAO!IFG<: 3510 ICCYGA-6609 OHRec:Sl\OOt 3520 ICCYOVrhd-6606 OHRSAOHPGC 3530 ICCYMB-6606 OHRSAOllFGC 3530 ICCYMB-6609 OHReC:S~ Tot Major Class: 35 9111> Tot indirect coats: 0 . 00 0 . 00 0 . 00 9,924 . 78 16,103 . 00 16,103 . 00 0.00 0.00 0.00 4.01 0.00 25.87 a.co 0.00 29.88 16, ll2. 88 o. oo o.oc 75.16 0.00 16, 132. 88 29.88 16.132.88 0 00 0.00 16.132.98 0.00 0.00 0.00 0.00 0 . 00 0.00 9,924.78 Sl-000124 2. )4 2.34 PeopleSof t GL Report ID: Bus. Unit: PUND STATUS FOR GRAlfTS AND CONTRACTS 1\.8 of FY 2012 I 12 - September (CLOSED} Budget Status (Open) SIGL160R SlOOO--Smithsonian Institution Fund Code: 802 Grants~ Page No. 9 R.wl Date 11/02/2012 Run Time 22:02:50 Cootracts Non-Covt . Designated Code: 501670 Understandi119 Solar Radiatio PI: SOO!l.WILL1£ WEI HOCK Start: Ol-AUG-2010 End: 31-JAN-2012 Poat Award Analyst: PA: 3116 Rev: l Sponsor: J(l)CK FOUNDATION Class TO'l'.AL BlCPDISJIS: BudQet 0.00 Awa.rd Jllat : c D Act:uals Prior Y•ars CU=ent Mont.h OJTrent Year 0.00 527.28 S4 ,280 .41 B A 55.000.00 F E S4. 280 .41 0.00 527.28 54,807.69 0.00 -?19.59 0.00 527 .28 -192.Jl Com Cntrl SU..,. for 802 I 501670 55.000.00 54,280.41 0.00 527 28 S4. 807 69 Tot.al SuJ:nrnary: Total rTD Expeoses: Total 11'0 Billed: ITD £xpecse& - ITD Billed : 54,807.69 0.00 S4,807.69 Revenue - Expenses: Receivable Balance: Prepaid Balance: Ollbilled Balance: E+F+G G ITO PreEncumbrance 54. 807. 69 0.00 55,000.00 OL SUIOlaRT: Fund Mgr: RATHLE, KAYLA ContJ:a.ct I : Koch I.Cr. 11/08/20 Pl Dept: 404550 EncumbraDce 0.00 ITO PreEnet.-mb £:ncumb f; -'<:C YTD PreEncumb Encumb ' Act s~.eo?.69 2.34 0.00 0.00 54,807.,9 2.34 0.00 0.00 54. 807. 69 2.34 0.00 0.00 0.00 S~125 PeopleSoft GL Report: ID : SlG~l60R Bu~ . SIOOD - -Smi thsonian Institution Unit ~ Page No . 13 Run Date 11/08/2011 Run Time 02:21:15 FUND STATI.IS FOR GRANTS AllD CONTRACTS As of FY 2011 / 12 - September (CLOSED) Budget Status (Open) Fund Code · 802 Grants & Cantr.acts Non-Govt . Designated Code : 501685 Urxierst:andiog Solar Radiatio P I: soon.w Start : Ol - JAN - 2011 End: 31-DEC-2011 Post Award Analyst: PA : 3172 Rev: 0 Sponsor : DONORSTRUST c ll A Project Mgr: Rat:nle.N . Contract: I: DonorTrst 11/18/10 PI Dept: : 404SSO F E D G Actuc.ls Class Budr;:ret: Prior Ye.a.rs current: Month current Year PreEncumbrance ["JD EnC\llllbrance E+F+G l'lll PreEncumb .Encunll:I & ~r YTil PreEncumb EDCUlllb & Aci: BlCPBl!ISBS Paraomiel ~enaaticm. 1110 SalRegular-6100 OpExpPrgcs 1111 SalPT-6100 OpExpPrgCs 1185 SAONlfl•l ~-tion 1100 Persccap-6100 OpExpPcgCs lllO SalRegular-6100 OpExpPrgCs llll SalP'l-6100 OpExpPrgCs 1131 AnnualLeav-6100 Op:t:xpPrgCs 1185 SPLlNMkPOol-6100 OpExpPrgCs 1189 S10AccrRt:-6100 OpExpPrgC• 1199 AccrSallnt-6100 OpE:xpP.rgC's Tot Major Clase, 11 PerllOlllDel Bcl•tit• 1230 PcolBenf.t:a-6100 OpExpl>rgCe 1299 AccrBenint-6100 OpExpPrgCs Tot Major Class: 12 Sub Tot P•r•onnal: o. oo 0.00 5, 341.63 0.00 0.00 0.00 33,0lB.SO o.oo O.Oo 0.00 0.00 0.00 4,53~-98 0.00 0.00 32.187.1' 0.00 D.00 D.00 0.00 0.00 o.oo o. oo o.oo o.oo o.oo 0.00 l,240.90 2&.411.28 0.00 4,534.98 a . OD o. oo o. oo 0.00 32.187.16 0 . 00 1,240.90 26,411-28 0.00 4,534.98 0.00 0.00 32,187.16 8,626.10 0.00 8,626.10 40,813.26 8.626.10 0.00 8,626.10 40,Sl3.26 0.00 o.oo 8,849.96 0.00 8,848.96 41, 867 .46 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Co•t• 3510 lCCYGA- 6606 OYRSAONFGC 3520 lCCYOV-Chd-6606 OHRSAONFGC Tot Major Class: 35 Sub Tot l:Jldi.rect Costs: 6,895.93 ll, 179.61 18, 074. 54 18, 074. 54 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 8, 021.43 10,937 95 18,959.38 18,959.38 8,021.43 10,937.95 18. 959. 38 18,959.38 0.00 0.00 0.00 "l'OTAL KltPllNS.BS : 59,942.00 0.00 0.00 59,772.64 GL 59. 942. DO 0.00 0.00 -59, 942. 00 o_oo 59, 942.00 0.00 Q_oo o_oo 0 00 0 . 00 D.00 0 . 00 o.oo o.oo 0.00 0 . 00 0 . 00 o.oo In~ct ~Y: Revenue - Expenses: Com cntrl sunm for 802 I 504336 o. oo 8, 021.43 0.00 0 . 00 O. DO D. 00 a. 02i.u 10.937.95 18.959.38 18,959.38 18.959.38 18,959.38 59. Tl2. 64 0.00 0.00 59. 772.64 59,772.64 59,772.64 59. 772.64 a.co O.DO 59. 772. 64 S9,772.64 0.00 -169.36 -169.36 0.00 59,772.64 59, 772. 64 O.DO 0.00 59,772.64 59. 772 .64 lD,937 95 Sl-000128 Report ID : Bus. unit : PeopleSof t GL FUND STATUS FOR GRANTS AND CONTRACTS As of !'Y 2012 I 12 - September (CLOSED) Budget Status (Dpen) SIGL160R 51000--SmithsOilian Institution Fund Code : 802 Grants & Contracts Ron-Govt: . Designated Code: 50~336 Solar Modulation of Pl : SOON,WILLIE WEI HOCK Start: Ol-OEC-2011 End: 30-NOV-2012 Post Award Analyst: PA: 0 Rev: 1 Sponsor: SOUnu:RN COltPAJIY SERVICES Claeo; Tot.a 1 Su11m1a ry : Total ITD Expenses: Total ITD Billed: ITD Expenses - rm Billed : Prior Y! ars iludqet 59.772.&4 ___ c 8 A s,_.,•~- oo -169.16 Pl Dept : 13 Fund Mgr: ~04550 Contract # : 20175 Awa rd Amt: : 0 Actual a current Month C\Jrr~nt Year Receivable Balance: Prepaid Balance : unbilled Balance : Page No. Run Dare 11/02/2012 Run Time 22 : 02 : 50 59. 942 . 00 E f' E+f'+G G rro ITD Pre£ncwl>brance i::iiculllbcance PreEnc\mb l!ncumb & Act: rro PreEng.mb Encwob " J\ct 59.942 . 00 0 . 00 0.00 Sl-000129 Reporc ID: SIGL160R Bus. Unit: SIOOO--Smithsonian Inst1tution PeopleSof t GL FUND STATUS FOR GRANTS AND CONTRACTS As of rY 2012 / 12 - September (CLOSED> Budget Status (Open) Page Ne. 14 Run Date 11/02/2012 Run Time 22:02 : 50 rund Code: 802 Grants & Cootracts Non-Govt.. Designated Code: 504364 A C1rcum-global Tele Pl: SOON,WILLIE WE! HOCK Start: Ol-APR-2012 End: 31-MAlt-2013 Post Award Ar..illyst: PA: 0 Rev: 2 Sponsor: DONORS TRUST Contract #: Donors Ltr 02/28/2012 Award AC 3540 ~g'llltFee-6100 OpExpPrgCs Tot Major Class: 35 Sub 7ot Indirect Coat•: 7.252.87 11.757.13 0 . 00 19,010.00 19.010.00 0 . 00 0 . 00 2,202.H 3 , 002.82 2,202 . l { 3.002 . e : 0.00 o. oo 0.00 5,204.% c. oo o_oo 5.20~ o. oo 808 . 17 l.102 . C2 0 . 00 1,910.19 1,910 . 19 s. 204.95 5 ' 20< . 96 TOTAL lllPKHSKS: 64,935.00 0.00 6. 022.19 18.300.81 GL SllJIMART: 64. 935 00 0.00 6,022 19 18, 300 . 81 Inveetmant 7rana/Rev Sharing 3650 s~~tFee-6200 SAOMg'Tlt Fe Tot Major Class: 36 Sub Tot Other: 0 . 00 o_oo a. oo 9,306 . 73 0 . 00 9,306.73 0 . 00 0 . 00 o . oo 236.36 2, 194.34 173.82 96 o_oo 0.00 0.00 2.368.16 Sl-000130 Reporc ID: Bus. Unit: PeopleSoft GL FUND STATUS FOR GRAllTS AND CONTRACTS As of FY 2012 / 12 - September (CLOSED) Budqet Stacus (Openl SIGL160R SIOOO--Smithsonian Institution Fund Code: 802 Grants & Contracts Non-GoVL. Designated Code: 504364 A Circ:um-global Tele PI: SOON.WILLIE WEI HOCK Start: Ol-APR-2012 End: 31-MAR-2013 Post ~ward Analyst: PA: 0 Rev: 2 Pl Dept: 4 04550 Award Amt: c 8 Fund Mgr: RATHLE,AAYUA D 64, !35.00 E r E+F+G G Revenue - Expen.9e&; Com Cntrl Suimu for 802 I 504364 Total SWlllllAry: Total ITD Expenses: Total ITD Billed: ITD &xpenses - ITO Billed: Budqet Pei.o f' Yea.cs C\!rrent Month cu.rrent Year rro -64, ,35.00 Q_QO 6,022.19 -46,634 .19 -46.634.19 64,HS.00 0.00 6, 022.19 18.300.81 18,300.81 18.300.81 0.00 18, 30lL81 Y'ID PreEncumb E:ucumb &- /Kt IJD Pre£ncumb Art"11;::1l-u Class 15 Concract ., Donors Ltr 02/28/2012 sponsor: DONORS TRUST A Page NO. Run Date 11/02/2012 Run Time 22:02:50 Receivable Balance: 0.00 Prepaid Ba.lance: o. oo Unbilled Balance: o. oo PreEncLllllbrance 0.00 Bno.unbn.nce o.oo Enc:Ullb & Act 18,300.81 18,300.81 Sl-000131