2024-10-30T07:25:37-05:00 2023-12-30 991856619 GRANT THORNTON ADVISORS LLC 171 N CLARK ST STE 200 CHICAGO IL 60601 990 2023-01-01 362167808 NATIONAL OPINION RESEARCH CENTER NATI 3127594000 55 E MONROE STREET 20TH FLOOR CHICAGO IL 60603 ELLEN BEATTY CFO/EVP/TREASURER 3127594000 2024-10-30 1 0 BRIDGET ROCHE P00666837 3128560200 2023 2024-10-15 13:58:12Z NORC ELLEN BEATTY 55 E MONROE STREET 20TH FLOOR CHICAGO IL 60603 348969128 0 X WWW.NORC.ORG X 1942 CO CONDUCT RESEARCH AND DATA SCIENCE ON CRITICAL SOCIETAL ISSUES TO (CONTINUED IN SCHEDULE O)GUIDE DECISION-MAKING AND THE DEVELOPMENT OF PROGRAMS AND PUBLIC POLICY. 16 9 4368 9 7798088 1616492 237027059 266865082 87477455 80359951 1070997 1744095 0 0 325575511 348969128 0 0 0 0 176456665 181769957 0 0 0 141774086 159202790 318230751 340972747 7344760 7996381 195266219 212859751 111105743 115545907 84160476 97313844 X SEE SCHEDULE ONORC AT THE UNIVERSITY OF CHICAGO CONDUCTS RESEARCH AND DATA SCIENCE ON CRITICAL SOCIETAL ISSUES TO GUIDE DECISION-MAKING AND THE DEVELOPMENT OF PROGRAMS AND PUBLIC POLICY. OUR EXPERTS IDENTIFY RELATIONSHIPS AND TRENDS, AND EVALUATE PROGRAMS AND INTERVENTIONS, IN THE AREAS OF ECONOMICS, MARKETS, AND THE WORKFORCE; EDUCATION, TRAINING, AND LEARNING; GLOBAL DEVELOPMENT; HEALTH AND WELL-BEING; AND SOCIETY, MEDIA, AND PUBLIC AFFAIRS. IN THE COURSE OF THIS WORK, THEY ADVANCE RESEARCH METHODS AND TECHNOLOGIES, AND FOSTER THE RESPONSIBLE AND SCIENTIFICALLY RIGOROUS USE OF DATA. 0 0 222382890 72561863 SEE SCHEDULE ONORC AT THE UNIVERSITY OF CHICAGO IS AN INDEPENDENT RESEARCH INSTITUTION THAT DELIVERS RELIABLE DATA AND RIGOROUS ANALYSIS TO GUIDE CRITICAL PROGRAMMATIC, BUSINESS, AND POLICY DECISIONS. SINCE 1941, NORC HAS CONDUCTED GROUNDBREAKING STUDIES, CREATED AND APPLIED INNOVATIVE METHODS AND TOOLS, AND ADVANCED PRINCIPLES OF SCIENTIFIC INTEGRITY AND COLLABORATION. TODAY, GOVERNMENT, CORPORATE, AND NONPROFIT CLIENTS AROUND THE WORLD PARTNER WITH NORC TO TRANSFORM INCREASINGLY COMPLEX INFORMATION INTO USEFUL KNOWLEDGE. OUR COMPREHENSIVE AND INTEGRATED SERVICES SPAN THE RESEARCH CYCLE AND OFFER SOLUTIONS THAT ANTICIPATE AND ADDRESS CRITICAL NEEDS IN RESEARCH AND DATA SCIENCE.THOSE SERVICES INCLUDE:. STRATEGY AND PLANNING. DESIGN AND METHODOLOGY. DATA COLLECTION AND MANAGEMENT. ANALYTICS AND DATA SCIENCE. POLICY ANALYSIS, PROGRAM IMPLEMENTATION AND EVALUATION. STRATEGIC COMMUNICATION AND DISSEMINATIONOUR AREAS OF RESEARCH FOCUS INCLUDE:. ECONOMICS, MARKETS, AND THE WORKFORCE. EDUCATION, TRAINING, AND LEARNING. GLOBAL DEVELOPMENT. HEALTH AND WELL-BEING. SOCIETY, MEDIA AND PUBLIC AFFAIRS 222382890 1 1 0 1 0 0 0 0 0 0 1 1 0 1 1 1 1 0 0 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 522 0 1 4368 1 1 1 1 UK 0 0 0 0 0 0 0 0 1 0 X 16 9 0 0 0 0 0 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 CA GA IL MA NM X ELLEN BEATTY 3127594000 55 E MONROE STREET 20TH FLOOR CHICAGO IL 60603 X ROBERT GERTNER CHAIR & TRUSTEE 2.00 40.00 X X 0 675328 55553 KERWIN CHARLES VICE CHAIR & TRUSTEE 2.00 0.00 X X 0 0 0 DAVID APATOFF TRUSTEE 1.00 0.00 X 0 0 0 MARK ANDERSON TRUSTEE (AS OF 04/2023) 1.00 40.00 X 0 2935701 64204 KATHERINE BAICKER TRUSTEE 1.00 40.00 X 0 1001939 51476 J MARK HANSEN TRUSTEE 1.00 40.00 X 0 467890 47067 RAYNARD S KINGSTON TRUSTEE 1.00 0.00 X 0 0 0 DIANE LAUDERDALE TRUSTEE 1.00 40.00 X 0 371167 26416 MARY LOUISE GORNO TRUSTEE 1.00 0.00 X 0 0 0 RAINA MERCHANT TRUSTEE 1.00 0.00 X 0 0 0 RALPH W MULLER TRUSTEE 1.00 0.00 X 0 0 0 DAVID NIRENBERG TRUSTEE 1.00 0.00 X 0 3099 0 JUDITH M TANUR TRUSTEE 1.00 0.00 X 0 0 0 GAIL R WILENSKY TRUSTEE 1.00 0.00 X 0 0 0 AMANDA WOODWARD TRUSTEE 1.00 40.00 X 0 498163 26416 KA YEE C LEE TRUSTEE 1.00 40.00 X 0 956741 110491 DANIEL GAYLIN PRESIDENT 40.00 0.00 X 1196665 0 61944 ELLEN BEATTY CFO/EVP/TREASURER 40.00 0.00 X 659946 0 42054 MICHELE NACHBAR CSO/EVP/SECRETARY 40.00 0.00 X 624154 0 55072 RON JUREK CIO/EVP 40.00 0.00 X 604878 0 63481 MICHAEL DAVERN EXECUTIVE VICE PRESIDENT 40.00 0.00 X 540895 0 63840 SUSAN PADDOCK EXECUTIVE VICE PRESIDENT 40.00 0.00 X 500429 0 63481 JEFFREY TELGARSKY EXECUTIVE VICE PRESIDENT 40.00 0.00 X 444346 0 51296 CAITLIN OPPENHEIMER SENIOR VICE PRESIDENT 40.00 0.00 X 380946 0 36050 MICHELLE STROLLO SENIOR VICE PRESIDENT 40.00 0.00 X 341321 0 34033 ANGELA DEBELLO SENIOR VICE PRESIDENT 40.00 0.00 X 445888 0 43361 JOHN DENNIS SENIOR VICE PRESIDENT 40.00 0.00 X 400329 0 63481 STEPHEN SMITH SENIOR VICE PRESIDENT 40.00 0.00 X 386890 0 46988 GREG LANIER SENIOR VICE PRESIDENT 40.00 0.00 X 372980 0 60431 ED MULROW SENIOR VICE PRESIDENT 40.00 0.00 X 392114 0 33600 KIRK WOLTER DISTINGUISHED SENIOR FELLOW 40.00 0.00 X 267566 0 51149 7559347 6910028 1151884 627 1 1 0 PRESS AMERICA INC 661 FARGO AVENUE ELK GROVE VILLAGE IL 60007 PRINTING AND MAILOUT 8363140 VIRTUAL INCENTIVES LLC 1401 ROUTE 52 SUITE 101B FISHKILL NY 12524 RESPONDENT INCENTIVE VENDOR 5100783 TANGO CARD INC 4700 42ND AVENUE SW SUITE 430 SEATTLE WA 98116 RESPONDENT INCENTIVE VENDOR 1274923 LEVI RAY & SHOUP INC 2401 W MONROE STREET SPRINGFIELD IL 62704 INFORMATION TECHNOLOGY 1259483 DELL COMPUTERS INC 500 FIRST AVENUE PITTSBURG PA 15219 INFORMATION TECHNOLOGY 1082755 117 250000 266615082 266865082 PUBLIC OPINION RSRCH. 900099 80359951 72561863 7798088 80359951 1188171 1188171 486236 69688 0 0 486236 69688 555924 555924 348969128 72561863 7798088 1744095 X 5446116 286869 5159247 318715 181668 137047 127434646 88243106 39191540 14275820 8736357 5539463 22603407 18508868 4094539 11691253 7032219 4659034 1561941 1561941 2950901 2950901 264000 264000 79107 79107 68412818 64136050 4276768 11686022 11328587 357435 17072980 13649788 3423192 8714968 8714968 4500556 2812984 1687572 89173 89173 8351307 8351307 725462 725462 FACILITIES COSTS 2086638 2086638 DATA COLL. & RESPONDENT 1721417 1721417 BOOKS & SUBSCRIPTIONS 344134 40796 303338 SITE OFFICE & TRAINING 1685 -1824 3509 30639681 5706005 24933676 340972747 222382890 118589857 0 16742290 21492112 87124014 96281361 5404621 4017543 26997655 23114369 5261143 3883286 23024830 25812464 17006314 20548935 22895499 27055843 17807508 13768207 195266219 212859751 45509829 53374687 48217802 49258995 17378112 12912225 111105743 115545907 X 84153110 97313844 7366 0 84160476 97313844 195266219 212859751 7996381 5156987 0 X 0 1 X 1 1 1 X 182644174 167831654 201836336 237027059 266865082 1056204305 182644174 167831654 201836336 237027059 266865082 1056204305 1056204305 587015 452539 712963 830006 1188171 3770694 416156 747776 884185 947299 1617492 4612908 1064587907 318403167 0.99210 0.99320 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 1 0 0 0 0 1 264000 0 0 264000 0 PART II-B, LINES 1B & 1G: PAID STAFF OR MANAGEMENT AND DIRECT CONTACT NATIONAL OPINION RESEARCH CENTER ("NORC") SENIOR MANAGEMENT STAFF HAD MEETINGS WITH STAFF IN THE OFFICES OF MEMBERS OF THE U.S. HOUSE OF REPRESENTATIVES AND THE U.S. SENATE. THE PURPOSE OF THESE MEETINGS WAS TO FAMILIARIZE MEMBERS OF CONGRESS WITH NORC MANAGEMENT MEMBERS AND TO EDUCATE THEM ABOUT IMPORTANT SCIENTIFIC OR POLICY MATTERS THAT WERE IMPORTANT TO NORC AND THE SOCIAL SCIENCE COMMUNITY. NORC PARTICIPATED IN MEETINGS TO SUPPORT FUNDING FOR FEDERAL STATISTICS PROGRAMS. NORC ALSO CONDUCTED A NUMBER OF LOBBYING ACTIVITIES IN SUPPORT OF A FEDERAL STATISTICS PROGRAM INCLUDING, BUT NOT LIMITED TO, HOLDING AN EDUCATIONAL BRIEFING FOR CONGRESSIONAL STAFF, ASKING MEMBERS TO SEND LETTERS TO THE APPLICABLE AGENCY, AND SHARING PUBLICATIONS AND OTHER MATERIALS. THESE LOBBYING ACTIVITIES ARE IN STRICT ACCORDANCE WITH THE LOBBYING PRINCIPLES THAT NORC DEVELOPED WITH ITS BOARD OF TRUSTEES. 3423281 2400827 1022454 23574374 20713542 2860832 3883286 FIXED INCOME FUNDS 17487007 F 457B INVESTMENT 3061928 F 20548935 OPERATING LEASE RIGHT OF USE ASSETS 12775964 DUE FROM UNIVERSITY OF CHICAGO 992243 13768207 LONG-TERM LEASE LIABILITIES 12756583 LEASE PAYABLE TO UNIVERSITY OF CHICAGO 155642 12912225 X 354047008 5156987 5156987 348890021 79107 79107 348969128 340893640 0 340893640 79107 79107 340972747 PART X, LINE 2: LIABILITY FOR UNCERTAIN TAX POSITIONS (ASC 740) NORC HAS RECEIVED A FAVORABLE DETERMINATION LETTER FROM THE INTERNAL REVENUE SERVICE STATING THAT IT IS EXEMPT FROM FEDERAL INCOME TAXES UNDER THE PROVISION OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE OF 1986, AS AMENDED, EXCEPT FOR INCOME TAXES PERTAINING TO UNRELATED BUSINESS INCOME. THE FASB ISSUED GUIDANCE THAT REQUIRES TAX EFFECTS FROM UNCERTAIN TAX POSITIONS TO BE RECOGNIZED IN THE FINANCIAL STATEMENTS ONLY IF THE POSITION IS MORE LIKELY THAN NOT TO BE SUSTAINED IF THE POSITION WERE TO BE CHALLENGED BY A TAXING AUTHORITY. MANAGEMENT HAS DETERMINED THAT THERE ARE NO MATERIAL UNCERTAIN POSITIONS THAT REQUIRE RECOGNITION IN THE FINANCIAL STATEMENTS. NORC ACCRUED PROVISIONS FOR INCOME TAXES AS THE ENTITY HAS UNRELATED BUSINESS INCOME. THERE ARE NO INTEREST OR PENALTIES RECOGNIZED IN THE FINANCIAL STATEMENTS. CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EVALUATION AND SURVEY RESEARCH 2257619 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EVALUATION AND SURVEY RESEARCH 589439 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES EVALUATION AND SURVEY RESEARCH 2257810 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES EVALUATION AND SURVEY RESEARCH 2251102 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES EVALUATION AND SURVEY RESEARCH 1395830 SOUTH AMERICA 0 0 PROGRAM SERVICES EVALUATION AND SURVEY RESEARCH 2697412 SOUTH ASIA 0 0 PROGRAM SERVICES EVALUATION AND SURVEY RESEARCH 257580 SUB-SAHARAN AFRICA 0 1 PROGRAM SERVICES EVALUATION AND SURVEY RESEARCH 4497198 0 1 0 0 0 1 16203990 0 16203990 0 0 0 0 0 1 X 1 1 X X X X X 0 0 0 0 0 0 0 1 0 MARK ANDERSON TRUSTEE (AS OF 04/2023) 0 2428542 0 495000 0 12159 0 26400 0 37804 0 2999905 0 0 DANIEL GAYLIN PRESIDENT 785345 0 343000 0 68320 0 33000 0 28944 0 1258609 0 0 0 KA YEE C LEE TRUSTEE 0 859554 0 86000 0 11187 0 26400 0 84091 0 1067232 0 0 KATHERINE BAICKER TRUSTEE 0 879938 0 63449 0 58552 0 26400 0 25076 0 1053415 0 0 ROBERT GERTNER CHAIR & TRUSTEE 0 532428 0 142900 0 0 0 26400 0 29153 0 730881 0 0 ELLEN BEATTY CFO/EVP/TREASURER 517024 0 100070 0 42852 0 33000 0 9054 0 702000 0 0 0 MICHELE NACHBAR CSO/EVP/SECRETARY 519542 0 85000 0 19612 0 33000 0 22072 0 679226 0 0 0 RON JUREK CIO/EVP 471019 0 95000 0 38859 0 33000 0 30481 0 668359 0 0 0 MICHAEL DAVERN EXECUTIVE VICE PRESIDENT 430230 0 75000 0 35665 0 33000 0 30840 0 604735 0 0 0 SUSAN PADDOCK EXECUTIVE VICE PRESIDENT 392795 0 75000 0 32634 0 33000 0 30481 0 563910 0 0 0 AMANDA WOODWARD TRUSTEE 0 493450 0 0 0 4713 0 26400 0 16 0 524579 0 0 J MARK HANSEN TRUSTEE 0 461990 0 5900 0 0 0 26400 0 20667 0 514957 0 0 JEFFREY TELGARSKY EXECUTIVE VICE PRESIDENT 330146 0 80000 0 34200 0 32717 0 18579 0 495642 0 0 0 ANGELA DEBELLO SENIOR VICE PRESIDENT 342779 0 100300 0 2809 0 33000 0 10361 0 489249 0 0 0 JOHN DENNIS SENIOR VICE PRESIDENT 331434 0 44500 0 24395 0 33000 0 30481 0 463810 0 0 0 STEPHEN SMITH SENIOR VICE PRESIDENT 336740 0 48000 0 2150 0 33000 0 13988 0 433878 0 0 0 GREG LANIER SENIOR VICE PRESIDENT 323881 0 48000 0 1099 0 33000 0 27431 0 433411 0 0 0 ED MULROW SENIOR VICE PRESIDENT 329394 0 41000 0 21720 0 33000 0 600 0 425714 0 0 0 CAITLIN OPPENHEIMER SENIOR VICE PRESIDENT 333546 0 46000 0 1400 0 33000 0 3050 0 416996 0 0 0 DIANE LAUDERDALE TRUSTEE 0 371167 0 0 0 0 0 26400 0 16 0 397583 0 0 MICHELLE STROLLO SENIOR VICE PRESIDENT 306321 0 35000 0 0 0 30800 0 3233 0 375354 0 0 0 KIRK WOLTER DISTINGUISHED SENIOR FELLOW 226566 0 41000 0 0 0 23814 0 27335 0 318715 0 0 0 PART I, LINE 1A HEALTH OR SOCIAL CLUB DUES OR INITIATION FEES DANIEL GAYLIN RECEIVES AN EXPENSE REIMBURSEMENT FOR THE QUADRANGLE CLUB, THE UNIVERSITY CLUB, THE ECONOMICS CLUB, AND THE COMMERCIAL CLUB SOCIAL DUES. SUCH PAYMENTS ARE GENERALLY PROVIDED BASED ON THE PROVISIONS OF A SERVICES AGREEMENT. THE PAYMENTS FOR SUCH ITEMS ARE NONTAXABLE TO THE INDIVIDUAL. PART I, LINE 7: NON-FIXED PAYMENTS NORC PAID DISCRETIONARY BONUSES TO STAFF BASED ON INDIVIDUAL PERFORMANCE. THE PRESIDENT/CEO DETERMINED THE AVAILABLE BONUS POOL DOLLARS, AND ALLOCATED TO HIS OR HER DIRECT REPORTS (SENIOR EXECUTIVES) BASED ON PAYROLL, (THEY ARE ALSO PROVIDED THE SALARY AND BONUS HISTORY FOR STAFF FOR THE PAST 5 YEARS). THE SENIOR EXECUTIVES DETERMINED HOW THEIR PORTION OF THE BONUS POOL WAS ALLOCATED AMONG THE DEPARTMENTS/UNITS IN THEIR AREAS. IF THE ALLOCATIONS DEVIATED SUBSTANTIALLY FROM ALLOCATIONS BASED ON PAYROLL, THERE MUST BE PRESIDENT/CEO REVIEW AND APPROVAL. THE PRESIDENT/CEO AND SENIOR EXECUTIVES CONVENE TO REVIEW, FINALIZE, AND APPROVE ALL RECOMMENDATIONS FOR BONUSES (OTHER THAN THOSE PEOPLE ON THE BOARD COMPENSATION COMMITTEE). UPON COMPLETION OF THE PRESIDENT/CEO AND SENIOR EXECUTIVE REVIEW, THE APPROVED INCREASES WILL BE SENT TO HR FOR THOSE STAFF NOT ELIGIBLE FOR BOARD COMPENSATION REVIEW. THE PRESIDENT/CEO WILL MEET WITH THE BOARD COMPENSATION COMMITTEE, AND OBTAIN APPROVAL FOR THE PROPOSED ACTIONS FOR THE BOARD COMPENSATION COMMITTEE STAFF. ONCE APPROVED THE PRESIDENT/CEO WILL PROVIDE HR WITH THE FINAL APPROVED SALARY ACTIONS. FORM 990, PART VI, SECTION A, LINE 1A EXECUTIVE COMMITTEE BY A MAJORITY VOTE OF THE TRUSTEES IN OFFICE, THE BOARD OF TRUSTEES MAY DESIGNATE AN EXECUTIVE COMMITTEE CONSISTING OF AT LEAST THREE TRUSTEES, ONE OF WHOM SHALL BE THE CHAIR OF THE BOARD OF TRUSTEES, WHO SHALL ALSO BE CHAIR OF THE EXECUTIVE COMMITTEE. THE BOARD OF TRUSTEES MAY DESIGNATE ONE OR MORE OF THE TRUSTEES AS ALTERNATE MEMBERS OF THE EXECUTIVE COMMITTEE, WHO MAY REPLACE ANY ABSENT OR DISQUALIFIED MEMBER AT ANY MEETING OF THE COMMITTEE UPON THE REQUEST OF THE CHAIR OF THE BOARD OF TRUSTEES. EXCEPT AS OTHERWISE REQUIRED BY LAW OR THESE BYLAWS, THE EXECUTIVE COMMITTEE SHALL HAVE SUCH AUTHORITY AS THE BOARD OF TRUSTEES SHALL GRANT TO IT FOR THE MANAGEMENT OF THE CORPORATION, INCLUDING THE AUTHORITY TO ATTEND TO AND MANAGE THE DETAILS OF THE BUSINESS OF THE CORPORATION AND THE POWER TO AUTHORIZE THE SEAL OF THE CORPORATION TO BE AFFIXED TO ALL PAPERS THAT MAY REQUIRE IT. THE EXECUTIVE COMMITTEE SHALL NOT DETERMINE IMPORTANT MATTERS OF POLICY AND SHALL, AT ALL TIMES, BE SUBJECT TO THE CONTROL AND SUPERVISION OF THE BOARD OF TRUSTEES. ANY ACTION BY THE TRUSTEES RESCINDING OR CHANGING ANY ACTION TAKEN BY THE EXECUTIVE COMMITTEE SHALL NOT INVALIDATE ANY ACTS OF THE OFFICERS OR OTHER PERSONS PROPERLY TAKEN PRIOR TO SUCH RESCISSION OR CHANGE. THE EXECUTIVE COMMITTEE SHALL KEEP REGULAR MINUTES OF ITS PROCEEDINGS AND SHALL REPORT THE SAME TO THE BOARD OF TRUSTEES AT THE NEXT REQUIRED OR SPECIAL MEETING OF THE BOARD OF TRUSTEES. VACANCIES IN THE EXECUTIVE COMMITTEE SHALL BE FILLED BY THE BOARD OF TRUSTEES AT A REGULAR OR SPECIAL MEETING. FORM 990, PART VI, SECTION A, LINE 7A MEMBERS OR STOCKHOLDERS WHO MAY ELECT THE UNIVERSITY OF CHICAGO IS A RELATED ORGANIZATION OF NATIONAL OPINION RESEARCH CENTER ("NORC"). AS SUCH, THEY HAVE THE RIGHT TO APPOINT GREATER THAN 50% OF NORC'S BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7B DECISIONS SUBJECT TO APPROVAL THE UNIVERSITY OF CHICAGO HAS THE RIGHT TO APPROVE THE BOARD OF TRUSTEE'S APPOINTMENT OF MEMBERS OF THE GOVERNING BODY. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 REVIEW PROCESS NORC'S PROCESS FOR REVIEWING AND APPROVING THE FORM 990 IS AS FOLLOWS: UPON COMPLETION OF THE RETURN, SEVERAL LAYERS OF REVIEW WERE CONDUCTED. THE INITIAL REVIEW OF THE COMPLETED RETURN WAS COMPLETED BY THE RESPECTIVE STAFF WITHIN THE FINANCE DEPARTMENT. FOLLOWING THE INITIAL REVIEW, THE PRESIDENT AND TREASURER WERE PROVIDED A COPY OF THE RETURN FOR COMMENT. COMMENTS WERE FORWARDED TO GRANT THORNTON FOR INCORPORATION INTO THE RETURN. FOLLOWING THE SENIOR MANAGEMENT REVIEW, THE AUDIT/FINANCE COMMITTEE MEMBERS WERE PROVIDED A COPY OF THE RETURN FOR COMMENT. COMMENTS WERE FORWARDED TO GRANT THORNTON FOR INCORPORATION INTO THE RETURN. THE FORM 990 FILING WAS MADE AVAILABLE TO ALL MEMBERS OF THE GOVERNING BODY PRIOR TO FILING. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY MONITORING AND ENFORCEMENT NORC HAS A WRITTEN CONFLICT OF INTEREST POLICY ADDRESSING INSTANCES WHERE A THIRD-PARTY RELATIONSHIP OF A NORC EMPLOYEE OR A PAID CONSULTANT COULD IN SOME WAY POTENTIALLY PRESENT OR APPEAR TO PRESENT A COMPROMISE RELATED TO ACTIONS AND DECISIONS MADE ON BEHALF OF NORC. THE POLICY ALLOWS FOR THE PRESIDENT AND TREASURER TO REVIEW AND EVALUATE THE EXTENT OF THE CONFLICT OF INTEREST FOR ANY EMPLOYEE WITH A POTENTIAL OR REAL CONFLICT OF INTEREST. MANAGEMENT WILL THEN DEVELOP A MITIGATION PLAN TO ADDRESS THE SPECIFIC DISCLOSED CONFLICT OF INTEREST. THE CONFLICT OF INTEREST POLICY IS REVIEWED AND APPROVED ON A PERIODIC BASIS BY THE NORC BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 15 PROCESS FOR DETERMINING COMPENSATION THE COMPENSATION COMMITTEE OF THE NORC BOARD OF TRUSTEES ESTABLISHES AND DETERMINES CERTAIN SENIOR MANAGEMENT EMPLOYEES ANNUAL (GENERALLY, BUT NOT EXCLUSIVELY, THE PRESIDENT AND HIS OR HER DIRECT REPORTS) COMPENSATION AND BONUSES. RECOMMENDATIONS FOR PROPOSED SALARY ADJUSTMENTS AND BONUSES FOR THIS GROUP, ALONG WITH RELEVANT COMPENSATION INFORMATION, ARE PROVIDED TO THE COMPENSATION COMMITTEE FOR REVIEW USING COMPARABLE DATA. ALL SUCH INFORMATION IS CONTEMPORANEOUSLY DOCUMENTED. THE CHAIR OF THE COMPENSATION COMMITTEE SIGNS OFF ON ANY COMPENSATION COMMITTEE APPROVED BONUSES AND SALARY CHANGES FOR HIGHLY COMPENSATED EMPLOYEES. THE COMPENSATION OF OTHER OFFICERS OR KEY EMPLOYEES OF NORC IS REVIEWED ANNUALLY BY THE SALARY REVIEW COMMITTEE ("SRC"), WHICH IS APPOINTED ANNUALLY BY THE PRESIDENT. SRC REVIEWS SIMILAR POSITIONS WITHIN AND ACROSS DEPARTMENTS, STARTING RATES, SALARY RANGE MAXIMUMS, AND DISCUSSES MARKET CONSIDERATIONS. THE SRC MAY APPROVE, DISAPPROVE, MODIFY OR DEFER INCREASES OF COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 HOW DOCUMENTS ARE MADE AVAILABLE TO THE PUBLIC THE ORGANIZATION MAKES ITS ARTICLES OF INCORPORATION, BY-LAWS, CONFLICT OF INTEREST POLICY, FORM 990 AND AUDITED FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST AT THE HEADQUARTERS. FORM 990, PART VII, SECTION B: INDEPENDENT CONTRACTORS NORC RECEIVED FEDERAL GOVERNMENT GRANTS TO CONDUCT SOCIAL SCIENCE RESEARCH THAT REQUIRED NORC TO USE SUBCONTRACTORS TO COMPLETE A SIGNIFICANT PORTION OF SUCH RESEARCH. FOR PURPOSES OF REPORTING THE "FIVE HIGHEST COMPENSATED INDEPENDENT CONTRACTORS", NORC HAS NOT CONSIDERED THESE SUBCONTRACTORS. FORM 990, PART IX, LINE 11G SUBCONTRACTOR FEES: PROGRAM SERVICE EXPENSES 53,615,847. MANAGEMENT AND GENERAL EXPENSES 3,415,947. TOTAL EXPENSES 57,031,794. RESPONDENT FEES: PROGRAM SERVICE EXPENSES 10,290,563. TOTAL EXPENSES 10,290,563. RECRUITING AND HIRING: PROGRAM SERVICE EXPENSES 229,640. MANAGEMENT AND GENERAL EXPENSES 860,821. TOTAL EXPENSES 1,090,461. UNIVERSITY OF CHICAGO 5801 S ELLIS AVE CHICAGO IL 60637 362177139 EDUCATION & RESEARCH IL 501(C)(3) LINE 2 N/A 0 0 0 1 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0