2023-05-12T09:17:31-05:00 2022-06-30 366055558 GRANT THORNTON LLP 1000 WILSON BLVD SUITE 1500 ARLINGTON VA 22209 990 2021-07-01 530196523 CARNEGIE INSTITUTION OF WASHINGTON CARN 2023876400 5241 BROAD BRANCH RD NW WASHINGTON DC 200151305 BENJAMIN J ADERSON GENERAL COUNSEL AND SECRETARY 2023876400 2023-05-12 1 BENJAMIN ADERSON XXX-XX-XXXX MARY TORRETTA P00847851 7038477500 3 AAL1 IAL1 2021 2023-04-26 12:10:37Z CARNEGIE SCIENCE DR ERIC D ISAACS 5241 BROAD BRANCH RD NW WASHINGTON DC 200151305 249080984 0 X WWW.CARNEGIESCIENCE.EDU X 1904 DC SEE SCHEDULE O.THE CONDUCT OF SCIENTIFIC DISCOVERY, RESEARCH AND EDUCATION IN THE FIELDS OF PLANT BIOLOGY, DEVELOPMENTAL BIOLOGY, EARTH AND PLANETARY SCIENCES, ASTRONOMY, AND GLOBAL ECOLOGY. 19 19 492 21 3492294 2303021 16048861 16168736 8037630 7658682 103243884 141086909 667561 -169555 127997936 164744772 445646 455826 0 0 52600708 54667272 0 0 3342063 39909080 43294720 92955434 98417818 35042502 66326954 1453446708 1305606009 217262679 210660086 1236184029 1094945923 X SEE SCHEDULE OTHE MISSION OF THE CARNEGIE INSTITUTION OF WASHINGTON, AS SET FORTH IN ITS ARTICLES OF INCORPORATION UNDER AN ACT OF CONGRESS IN 1904, IS "TO ENCOURAGE, IN THE BROADEST AND MOST LIBERAL MANNER, INVESTIGATION, RESEARCH, AND DISCOVERY, AND THE APPLICATION OF KNOWLEDGE TO THE IMPROVEMENT OF MANKIND." 0 0 67904146 7658682 SEE SCHEDULE O.PROGRAM SERVICE ACTIVITY #1CARNEGIE IS A WORLD-RENOWNED CENTER FOR PETROLOGY-THE STUDY OF ROCKS. IT IS ALSO A GLOBAL LEADER IN HIGH-PRESSURE AND HIGH-TEMPERATURE PHYSICS, WHICH ENABLES OUR SCIENTISTS TO MAKE SIGNIFICANT CONTRIBUTIONS TO EARTH, PLANETARY AND MATERIAL SCIENCES. CARNEGIE IS LEADING AN INTERNATIONAL, MULTI-INSTITUTION, CROSS-DISCIPLINARY INITIATIVE DEDICATED TO ACHIEVING A TRANSFORMATIONAL UNDERSTANDING OF EARTH'S DEEP CARBON CYCLE, INCLUDING ITS POORLY CONSTRAINED RESERVOIRS AND FLUXES; THE UNKNOWN ROLE OF DEEP BIOLOGY; AND THE UNEXPLORED INFLUENCES OF THE DEEP CARBON CYCLE ON CRITICAL SOCIETAL CONCERNS RELATED TO ENERGY, THE ENVIRONMENT, AND CLIMATE. CARNEGIE RESEARCHERS ARE CONTRIBUTING TO INTERDISCIPLINARY EFFORTS INVESTIGATING HOW LIFE EVOLVED ON THIS PLANET AND DETERMINING ITS POTENTIAL FOR EXISTING ELSEWHERE. CARNEGIE OBSERVATIONAL AND THEORETICAL ASTRONOMERS COLLABORATE TO TRACE THE EVOLUTION OF THE UNIVERSE FROM THE SPARK OF THE BIG BANG THROUGH STAR AND GALAXY FORMATION; EXPLORE THE STRUCTURE OF THE UNIVERSE; AND PROBE THE MYSTERIES OF DARK MATTER, DARK ENERGY, AND THE EVER-ACCELERATING RATE AT WHICH THE UNIVERSE IS EXPANDING. UNLIKE MOST IN THEIR FIELD, CARNEGIE OBSERVATIONAL ASTRONOMERS DESIGN AND BUILD THEIR OWN INSTRUMENTS TO CAPTURE THE SECRETS OF SPACE. CARNEGIE OPERATES TELESCOPES IN LAS CAMPANAS, CHILE, AT WHICH MUCH OF OUR ASTRONOMICAL RESEARCH IS CONDUCTED. WE ARE FOUNDING PARTNERS IN A CONSORTIUM THAT IS WORKING TO DESIGN, CONSTRUCT, AND OPERATE THE GIANT MAGELLAN TELESCOPE, ONE OF THE NEW CLASS OF EXTREMELY LARGE TELESCOPES, WHICH WILL BE AMONG THE WORLD'S LARGEST GROUND-BASED OPTICAL/INFRARED FACILITIES ONCE IT IS COMPLETED. CARNEGIE ALSO INCLUDES INTERDISCIPLINARY TEAMS OF ASTRONOMERS AND ASTROPHYSICISTS, GEOPHYSICISTS AND GEOCHEMISTS, COSMOCHEMISTS AND PLANETARY SCIENTISTS. THESE GROUPS ARE DISCOVERING PLANETS ORBITING DISTANT STARS; PROBING THE FORMATION AND EVOLUTION OF EARTH, THE MOON, AND OUR SOLAR SYSTEM; AND STUDYING THE CAUSES OF EARTHQUAKES, VOLCANOES, AND OTHER GEOLOGIC PHENOMENA. USING INNOVATIVE APPROACHES TO ECOLOGICAL RESEARCH, CARNEGIE SCIENTISTS ARE UNTANGLING THE COMPLICATED INTERACTIONS BETWEEN EARTH'S LAND, ATMOSPHERE, AND OCEANS TO UNDERSTAND HOW GLOBAL SYSTEMS OPERATE. DEPLOYING A WIDE RANGE OF POWERFUL TOOLS-FROM SATELLITES TO MOLECULAR BIOLOGY TECHNIQUES-THESE SCIENTISTS EXPLORE ISSUES SUCH AS THE GLOBAL CARBON CYCLE, THE ROLE OF LAND AND OCEANIC ECOSYSTEMS, AND OCEAN ACIDIFICATION. OUR ECOLOGISTS ALSO PLAY AN ACTIVE ROLE IN THE PUBLIC ARENA, FROM SERVING ON NATIONAL PANELS AND COMMITTEES THAT INVESTIGATE CLIMATE CHANGE TO IDENTIFYING ENVIRONMENTAL HOT SPOTS FOR CONSERVATION EFFORTS. CARNEGIE BIOLOGISTS REVEAL CRUCIAL BIOCHEMICAL PATHWAYS AND THE GENES THAT ENCODE THEIR FUNCTIONS IN MICROBES, PLANTS, AND ANIMALS. TOGETHER WITH OUR LONGSTANDING EXPERTISE IN MODEL SYSTEM DEVELOPMENT, THIS WORK PROVIDES A FOUNDATION FOR EXPLORING NEW RESEARCH AVENUES THAT DEPLOY CELLULAR AND MOLECULAR APPROACHES TO UNDERSTAND ECOSYSTEM-WIDE AND GLOBAL PHENOMENA RELATED TO CLIMATE CHANGE, INCLUDING CORAL BLEACHING. THEY ALSO STUDY INTERACTIONS BETWEEN THE SPECIES THAT MAKE UP BACTERIAL COMMUNITY ECOSYSTEMS. OUR RESEARCHERS ARE DEMONSTRATING THAT THE INTERSPECIES RELATIONSHIPS IN THE GUT MICROBIOME AFFECT OUR HEALTH, FERTILITY, AND LONGEVITY. SIMILAR DYNAMICS ALLOW MICROBIAL MATS TO THRIVE IN HOT SPRINGS; UNDERSTANDING THEM IMPROVES OUR KNOWLEDGE OF HOW LIFE ADAPTS TO EXTREME CONDITIONS. 8168150 455826 SEE SCHEDULE O.PROGRAM SERVICE ACTIVITY #2EDUCATION - CARNEGIE, A NON-DEGREE GRANTING ENTITY, IS AN ADVANCED STUDY ORGANIZATION AT WHICH HIGHLY QUALIFIED GRADUATE SCIENTISTS ARE OFFERED POSTGRADUATE AND POSTDOCTORAL TRAINING FOR CAREERS IN EDUCATION AND RESEARCH. CARNEGIE'S POSTDOCTORAL SCIENTIFIC EDUCATION IS PRIMARILY CONDUCTED IN THE LABORATORY OR IN THE FIELD. THE POSTDOCTORAL CURRICULUM IS HEAVILY WEIGHTED TOWARD TRAINING CANDIDATES TO BE CAPABLE RESEARCHERS AND TEACHERS OF RESEARCH. THE FACULTY CONSISTS OF THE PROFESSIONAL STAFF OF CARNEGIE, ALL OF WHOM PURSUE THEIR OWN RESEARCH. CARNEGIE ALSO OFFERS CERTAIN TRAINING OPPORTUNITIES FOR PREDOCTORAL STUDENTS WHO MAY GO ON TO PURSUE ADVANCED DEGREES AT DEGREE-GRANTING INSTITUTIONS, AS WELL AS INTERNSHIP OPPORTUNITIES, BOTH THROUGH FORMAL PROGRAMS AND ON AN INDIVIDUAL, CASE-BY-CASE BASIS. THE FORMAL PROGRAMS, IN PARTICULAR, MAKE AN EFFORT TO PROVIDE RESEARCH OPPORTUNITIES AND ENCOURAGEMENT FOR CONSIDERING STEM CAREERS TO GROUPS WHO ARE TRADITIONALLY UNDERREPRESENTED IN MATHEMATICS AND THE PHYSICAL SCIENCES. CARNEGIE PROGRAMS ALSO TRAIN PUBLIC ELEMENTARY SCHOOL TEACHERS ON HOW TO INCORPORATE INTERACTIVE SCIENCE INSTRUCTION INTO ALL ASPECTS OF THE CURRICULUM; HELPS IMPROVE THE INSTRUCTION OF MATHEMATICS EDUCATION OF PUBLIC SCHOOL CHILDREN BY TRAINING INDIVIDUALS WITH MATHEMATICS OR RELATED DEGREES TO BECOME CLASSROOM INSTRUCTORS; INTRODUCES AND TRAINS HIGH SCHOOL STUDENTS TO CAREER EDUCATION PATHWAYS IN THE FIELD OF BIOTECHNOLOGY; AND MAKES INFORMATION AVAILABLE CONCERNING CARNEGIE'S SCIENTIFIC RESEARCH FINDINGS TO STUDENTS AND THE GENERAL PUBLIC. 76072296 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 0 1 1 1 0 0 0 0 0 0 0 1 1 0 0 0 1 0 0 0 0 1 1 0 0 0 1 0 0 0 1 126 0 1 492 1 1 1 1 CI 0 0 0 0 0 0 0 0 0 0 X 19 19 1 1 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA DC MD X X JESSICA PORET 2023876400 5241 BROAD BRANCH ROAD NW WASHINGTON DC 20005 MICHAEL STAMBAUGH CHIEF INVESTMENT OFFICER 40.00 0.00 X 985618 0 51890 DR ERIC D ISAACS PRESIDENT 40.00 0.00 X 781935 0 162360 EDWARD LAMADE INVESTMENT DIRECTOR 40.00 0.00 X 394756 0 72678 JOHN S MULCHAEY DIVISION DIRECTOR 40.00 0.00 X 392597 0 60536 RICHARD W CARLSON DIVISION DIRECTOR (THRU 12/21) 40.00 0.00 X 317736 0 68332 BENJAMIN J ADERSON GENERAL COUNSEL & SECRETARY 40.00 0.00 X 315383 0 65419 ANN MCELWAIN CHIEF DEVELOPMENT OFFICER 40.00 0.00 X 306461 0 73933 YIXIAN ZHENG DIVISION DIRECTOR 40.00 0.00 X 317599 0 52424 ANNA M MICHALAK DEPARTMENT DIRECTOR 40.00 0.00 X 319404 0 44174 MICHAEL WALTER DIVISION DIRECTOR 40.00 0.00 X 278299 0 79952 SALLY TRACY SCIENTIFIC STAFF MEMBER 40.00 0.00 X 310793 0 37566 MICHAEL MCCARTHY CHIEF OPERATING OFFICER (THRU 07/22) 40.00 0.00 X 282949 0 44247 REBECCA BERNSTEIN SCIENTIFIC STAFF MEMBER 40.00 0.00 X 267374 0 54864 SEUNG YON RHEE SENIOR STAFF SCIENTIST 40.00 0.00 X 246981 0 52825 GEORGE D CODY SCIENTIFIC STAFF MEMBER 40.00 0.00 X 223702 0 74820 ZHIYONG WANG ACTING DIRECTOR & SNR STF SCI 40.00 0.00 X 237851 0 52803 RANDY STRINGER CFO (INTERIM) (BEG 06/22) 40.00 0.00 X 0 0 0 CRAIG R BARRETT TRUSTEE/CHAIRMAN 6.00 0.00 X X 0 0 0 DAVID THOMPSON TRUSTEE/VICE CHAIRMAN 6.00 0.00 X X 0 0 0 CHARLES F BOLDEN JR TRUSTEE (THRU 05/22) 1.00 0.00 X 0 0 0 CHRISTINE M MCCARTHY TRUSTEE 2.00 0.00 X 0 0 0 CHRISTOPHER TS STONE TRUSTEE 1.00 0.00 X 0 0 0 CRISTIAN SAMPER TRUSTEE 2.00 0.00 X 0 0 0 DAVID SPERGEL TRUSTEE (BEG 05/22) 1.00 0.00 X 0 0 0 JOHN F CRAWFORD TRUSTEE 1.00 0.00 X 0 0 0 KATHERINE LAPP TRUSTEE 1.00 0.00 X 0 0 0 MARY E MAXON TRUSTEE 1.00 0.00 X 0 0 0 MARSHALL WAIS TRUSTEE 2.00 0.00 X 0 0 0 MICHAEL A DUFFY TRUSTEE 2.00 0.00 X 0 0 0 MICHAEL LONG TRUSTEE 1.00 0.00 X 0 0 0 MICHAEL WILSON TRUSTEE 1.00 0.00 X 0 0 0 RAY ROTHROCK TRUSTEE 2.00 0.00 X 0 0 0 RUSH D HOLT JR TRUSTEE 1.00 0.00 X 0 0 0 SANDRA M FABER TRUSTEE 1.00 0.00 X 0 0 0 STEPHEN PA FODOR TRUSTEE 1.00 0.00 X 0 0 0 STEPHEN QUAKE TRUSTEE (BEG 05/22) 1.00 0.00 X 0 0 0 SUSANNE NORA JOHNSON TRUSTEE (THRU 05/22) 1.00 0.00 X 0 0 0 TOM KORZENECKI TRUSTEE 1.00 0.00 X 0 0 0 5979438 0 1048823 119 1 1 0 CENTRIC CONSULTING INC 1215 LYONS RD DAYTON OH 45458 IT SYSTEMS CONSULTING 1615740 HURON CONSULTING GROUP INC 550 W VAN BUREN ST CHICAGO IL 60607 CONSULTING FIRM 1351874 STANTON BLACKWELL 3825 N DITTMAR RD ARLINGTON VA 22207 CONSULTING FIRM 464621 ORR GROUP 3000 K ST NW WASHINGTON DC 20007 PROJECT SERVICES 333300 TAOTI ENTERPRISES INC 507 8TH ST SE WASHINGTON DC 20003 PROJECT SERVICES 304502 21 12141556 4027180 794600 16168736 MAGELLAN TELESCOPE PROGRAM 541700 4198330 4198330 TELESCOPE NIGHTS 541700 1091347 1091347 SLOAN DIGITAL SKY SURVEY 541700 629285 629285 PLANT METAB. ENGRG & SUSTBLTY 541700 421451 421451 GEOCHEMICAL SOCIETY OFFICE 541700 264496 264496 1053773 1053773 7658682 4481328 3463794 1017534 360822 360822 241448 828423 -586975 -586975 -586975 157843501 62269869 76561913 6945876 81281588 55323993 136605581 136605581 CELL TOWER RENTAL 900099 28500 28500 MOUNTAIN PRESENCE INCOME 721110 28098 28098 56598 164744772 7658682 3492294 137425060 455826 455826 4096670 1191235 2667737 237698 653598 653598 36918652 34039507 1475308 1403837 4787449 4023550 521761 242138 5493364 4607749 607650 277965 2717539 2234401 345020 138118 31500 31500 355605 71471 284134 258500 258500 69727 69727 4443426 4443426 6578914 2363938 3421129 793847 1272152 924698 309329 38125 2546683 1747289 782916 16478 3331237 2897746 418401 15090 794791 658550 122399 13842 734908 319351 393558 21999 5344498 3541672 1802826 8537959 8487463 50496 620606 148096 472510 UBIT TAXES 460807 460807 RESEARCH EXPENSES 5110352 5053666 51076 5610 ACTURIAL COSTS 703279 578247 89288 35744 REPAIRS AND MAINTENANCE 256206 235238 20968 1843570 1378198 363800 101572 98417818 76072296 19003459 3342063 774 510 36236786 29311752 5634664 5464390 399250 725163 251520 196569 582851 570290 66940076 68762257 271182612 166625665 115647116 104556947 804874114 679315059 368062207 363840873 54817350 52862199 1453446708 1305606009 9111858 10782314 26500804 26886427 181650017 172991345 217262679 210660086 X 362758108 361722596 873425921 733223327 1236184029 1094945923 1453446708 1305606009 X 66326954 -215813798 8248738 X 0 1 X 1 1 1 X 29281249 23406867 16746850 16048861 16168736 101652563 29281249 23406867 16746850 16048861 16168736 101652563 842081 100810482 12766124 14746075 5999936 4949797 1619804 40081736 189398 8830 2303021 2501249 -189696 865464 241099 215432 28098 1160397 145395945 35077710 0.69340 0.68990 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: REALIZED FX GAIN/LOSS - 2017 AMOUNT: $ 58,873. 2018 AMOUNT: $ -93,104. SECURITY LITIGATION INCOME - 2017 AMOUNT: $ 43,879. 2018 AMOUNT: $ 10,724. OTHER - 2017 AMOUNT: $ -374,400. 2018 AMOUNT: $ 882,239. 2019 AMOUNT: $ 36,680. 2020 AMOUNT: $ 3,876. MOUNTAIN PRESENCE INCOME - 2017 AMOUNT: $ 81,952. 2018 AMOUNT: $ 65,605. 2019 AMOUNT: $ 204,419. 2020 AMOUNT: $ 211,556. 2021 AMOUNT: $ 28,098. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 69727 0 0 69727 0 SCHEDULE C, PART II-B CARNEGIE SCIENCE ENGAGES A LOBBYING FIRM WITHIN THE LIMITS SET BY IRS REGULATIONS TO COMMUNICATE WITH POLICYMAKERS REGARDING ISSUES RELATED TO THE INSTITUTION'S MISSION, INCLUDING TO ENCOURAGE SCIENTIFIC ADVANCEMENT AND GROW MUTUALLY BENEFICIAL PARTNERSHIPS WITH EDUCATIONAL INSTITUTIONS. 0 174303 X X X 0 1012501278 237117 -116560305 47013544 3755000 845409546 776508102 619014 289000021 143799 50713069 2768991 1012501278 809799014 1677170 15888803 14055 48016412 2826418 776508102 830826623 729659 26582732 1500019 44847217 1992764 809799014 797500206 211703 82643613 2291722 44963820 2273357 830826623 0.17680 0.06890 0.75430 1 0 579366 579366 88546403 42654248 45892155 0 178860009 123971417 54888592 3196834 3196834 104556947 ALTERNATIVE INVESTMENTS 211212965 F REAL ASSETS/NATURAL RESOURCES 152627908 F 363840873 ACCRUED POST-RETIREMENT BENEFIT 24106559 TAXABLE BONDS 148884786 172991345 X -46435291 -215813798 8248738 -207565060 161129769 4443426 -828423 3615003 164744772 94802815 0 94802815 4443426 -828423 3615003 98417818 PART III, LINE 4: ORGANIZATION'S COLLECTIONS THE COLLECTION OF THE CARNEGIE INSTITUTION OF WASHINGTON IS PREDOMINANTLY COMPOSED OF HISTORICAL ARTIFACTS RELATED TO ITS WORK IN SCIENTIFIC RESEARCH. THIS INCLUDES SCIENTIFIC SAMPLES, MATERIALS, DEVICES AND INSTRUMENTATION, AND PRINTED PUBLICATIONS. THE COLLECTION IS USED FOR SCHOLARLY REFERENCE AND STUDY OF THE INSTITUTION'S PAST SCIENTIFIC DISCOVERIES AS WELL AS FOR EDUCATION OF THE GENERAL PUBLIC. PART V, LINE 4: INTENDED USE OF ENDOWMENT FUNDS THE ORGANIZATION'S ENDOWMENT FUNDS ARE INTENDED TO SUPPORT ITS OVERALL MISSION OF SUPPORTING SCIENTIFIC DISCOVERY "IN THE BROADEST AND MOST LIBERAL MANNER." PART X, LINE 2: FIN 48 FOOTNOTE CARNEGIE HAS ANALYZED THE TAX POSITIONS TAKEN AND HAS CONCLUDED THAT AS OF JUNE 30, 2022 AND 2021, THERE ARE NO UNCERTAIN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN THAT WOULD REQUIRE RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. PART XI, LINE 2D - OTHER ADJUSTMENTS: PENSION RELATED CHANGES 8,248,738. PART XI, LINE 4B - OTHER ADJUSTMENTS: RENTAL EXPENSES -828,423. PART XII, LINE 4B - OTHER ADJUSTMENTS: RENTAL EXPENSES -828,423. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 OUR NON-DISCRIMINATION POLICY IS AVAILABLE ON OUR WEBSITE, WWW.CARNEGIESCIENCE.EDU, UNDER ANTI-DISCRIMINATION POLICY. SCHEDULE E, PART I, LINE 6 WE RECEIVE GRANTS AND PASS THROUGH FUNDS FROM SEVERAL FEDERAL AGENCIES INCLUDING THE NATIONAL SCIENCE FOUNDATION (NSF), THE UNITED STATES DEPARTMENT OF ENERGY (DOE), THE UNITED STATES DEPARTMENT OF HOMELAND SECURITY (DHS), THE NATIONAL AERONAUTICS AND SPACE ADMINISTRATION (NASA), THE UNITED STATES DEPARTMENT OF AGRICULTURE (USDA), THE OFFICE OF NAVAL RESEARCH (ONR), THE NATIONAL INSTITUTE OF STANDARDS AND TECHNOLOGY (NIST), AND OTHERS. THESE MONIES SUPPORT OUR SCIENTIFIC RESEARCH AND EDUCATION. CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 308497949 NORTH AMERICA 0 0 INVESTMENTS 15363935 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 4528517 SOUTH AMERICA 0 0 PROGRAM SERVICES TELESCOPE OPERATIONS (OBS) 7145877 SOUTH AMERICA 0 0 PROGRAM SERVICES GRANT-FUNDED RESEARCH PROJECTS 82631 SOUTH AMERICA 0 0 PROGRAM SERVICES FIELDWORK 97742 SOUTH AMERICA 0 0 PROGRAM SERVICES SALARIES PAID TO OBS EMPLOYEES 587256 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES MEETINGS/CONFERENCES 5122 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES MEETINGS/CONFERENCES 35450 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES FIELDWORK 6797 NORTH AMERICA 0 0 PROGRAM SERVICES MEETINGS/CONFERENCES 3304 0 0 0 0 0 0 336309029 45551 336354580 1 0 1 1 1 0 PART III ACCOUNTING METHOD: 1 FELLOWSHIP 21 455826 0 PART I, LINE 2: PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS & OTHER ASSISTANCE IN US AS A RESEARCH INSTITUTION, CARNEGIE PROVIDES FELLOWS WITH THE OPPORTUNITY TO PURSUE INDEPENDENT RESEARCH AND THE TRAINING TO ACQUIRE THE ADDITIONAL SKILLS AND EXPERTISE NEEDED TO BECOME A SUCCESSFUL SCIENTIST. CARNEGIE MONITORS THE FELLOWSHIP EXPERIENCE TO ACHIEVE BOTH OBJECTIVES. FELLOWS PURSUE THEIR RESEARCH PROGRAM RELATIVELY INDEPENDENTLY BUT HAVE FULL ACCESS TO CARNEGIE FACILITIES AND STAFF MEMBERS AND TYPICALLY PERFORM THEIR EXPERIMENTS AND SCIENTIFIC WORK ON-SITE AND IN COLLABORATION WITH OTHER CARNEGIE SCIENTISTS. FELLOWS IN THE BIOLOGICAL SCIENCES APPLY TO CARNEGIE MAINLY TO LEARN THE RESEARCH TECHNIQUES AND RESEARCH AREAS OF A PARTICULAR CARNEGIE STAFF SCIENTIST, THAT IS, TO WORK IN THAT PRINCIPAL INVESTIGATOR'S (PI) LAB. LABS ROUTINELY ENGAGE A NUMBER OF DIFFERENT PEOPLE, INCLUDING A PI, TECHNICIANS, POSTDOCTORAL SCIENTISTS, AND RESEARCHERS. THE PI MONITORS THE WORK OF THE FELLOW ON AN ONGOING BASIS, CRITIQUES THE FELLOWS' RESEARCH, MAKES SUGGESTIONS FOR AVENUES TO EXPLORE, AND PROVIDES ONGOING MENTORING. FELLOWS IN THE PHYSICAL SCIENCES TYPICALLY COLLABORATE WITH A SENIOR STAFF MEMBER ON RESEARCH PROJECTS. THIS PROVIDES AN ONGOING VEHICLE FOR MONITORING AND SUPPORTING THE WORK OF THE FELLOW. FELLOWS ARE ASKED TO PRESENT AND DEFEND THEIR RESEARCH TO OTHER SCIENTISTS BOTH AT CARNEGIE AND AT OTHER INSTITUTIONS. THIS PROCESS HELPS TO MONITOR THE FELLOWS' SCIENTIFIC PROGRESS AND PERMITS ADJUSTMENTS AS NECESSARY. CARNEGIE'S VARIOUS ADMINISTRATIVE AND RESEARCH POLICIES APPLY TO FELLOWS. IN CARNEGIE'S STRUCTURE, DEPARTMENT DIRECTORS ARE RESPONSIBLE FOR ASSURING THAT FELLOWS FOLLOW THESE PROCEDURES AND CARRY OUT THE RESEARCH SUPPORTED THROUGH EXTERNALLY OR INTERNALLY-FUNDED FELLOWSHIPS. TO ENSURE SPONSORED PROGRAM DOLLARS ARE APPROPRIATELY USED, AND IN ACCORDANCE WITH APPLICABLE REGULATIONS, THE INSTITUTION APPLIES RIGOROUS FINANCIAL AND PROGRAMMATIC MONITORING. CARNEGIE CONDUCTS REGULAR ACCOUNT RECONCILIATIONS, SUBRECIPIENT MONITORING; WHEREIN SUBRECIPIENT ORGANIZATIONS ARE REQUIRED TO SUBMIT FINANCIAL AND TECHNICAL REPORTS. REPORTS AND INVOICES ARE REVIEWED FOR ACCURACY, AND COMPLIANCE WITH APPLICABLE TERMS AND CONDITIONS INCLUDING OMB 2 CFR 200 ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS. X X X 1 1 X X X X 0 1 0 1 0 0 0 1 0 MICHAEL STAMBAUGH CHIEF INVESTMENT OFFICER 522548 0 462656 0 414 0 48459 0 3431 0 1037508 0 0 0 DR ERIC D ISAACS PRESIDENT 661197 0 100000 0 20738 0 133000 0 29360 0 944295 0 0 0 EDWARD LAMADE INVESTMENT DIRECTOR 319568 0 75000 0 188 0 43889 0 28789 0 467434 0 0 0 JOHN S MULCHAEY DIVISION DIRECTOR 392183 0 0 0 414 0 49532 0 11004 0 453133 0 0 0 RICHARD W CARLSON DIVISION DIRECTOR (THRU 12/21) 316517 0 0 0 1219 0 58000 0 10332 0 386068 0 0 0 BENJAMIN J ADERSON GENERAL COUNSEL & SECRETARY 295703 0 0 0 19680 0 41093 0 24326 0 380802 0 0 0 ANN MCELWAIN CHIEF DEVELOPMENT OFFICER 291030 0 15000 0 431 0 52874 0 21059 0 380394 0 0 0 YIXIAN ZHENG DIVISION DIRECTOR 300067 0 0 0 17532 0 52084 0 340 0 370023 0 0 0 ANNA M MICHALAK DEPARTMENT DIRECTOR 299870 0 0 0 19534 0 43834 0 340 0 363578 0 0 0 MICHAEL WALTER DIVISION DIRECTOR 277111 0 0 0 1188 0 52656 0 27296 0 358251 0 0 0 SALLY TRACY SCIENTIFIC STAFF MEMBER 128005 0 0 0 182788 0 16633 0 20933 0 348359 0 0 0 MICHAEL MCCARTHY CHIEF OPERATING OFFICER (THRU 07/22) 257690 0 25000 0 259 0 28952 0 15295 0 327196 0 0 0 REBECCA BERNSTEIN SCIENTIFIC STAFF MEMBER 266960 0 0 0 414 0 43860 0 11004 0 322238 0 0 0 SEUNG YON RHEE SENIOR STAFF SCIENTIST 227067 0 0 0 19914 0 41461 0 11364 0 299806 0 0 0 GEORGE D CODY SCIENTIFIC STAFF MEMBER 222514 0 0 0 1188 0 44312 0 30508 0 298522 0 0 0 ZHIYONG WANG ACTING DIRECTOR & SNR STF SCI 230861 0 0 0 6990 0 42354 0 10449 0 290654 0 0 0 PART I, LINE 1A FIRST-CLASS TRAVEL COACH OR ECONOMY CLASS TRAVEL IS THE STANDARD FOR ALL BUSINESS TRAVEL; HOWEVER, THERE ARE CIRCUMSTANCES WHERE BUSINESS CLASS OR PREMIUM CLASS TRAVEL IS PERMITTED ONLY WITH PRE-APPROVAL. THE ORGANIZATION FOLLOWS ITS ACCOUNTABLE PLAN FOR ALL BUSINESS TRAVEL. HOUSING ALLOWANCE CARNEGIE'S POLICIES INCLUDE A PROVISION FOR HOUSING SUBSIDIES IN HIGH-COST AREAS FOR QUALIFYING STAFF MEMBERS. SIX STAFF MEMBERS QUALIFY FOR THE HOUSING ALLOWANCE. THESE BENEFITS ARE TREATED AS TAXABLE COMPENSATION AND INCLUDED ON THE STAFF MEMBER'S FORM W-2. TRAVEL FOR COMPANIONS TRAVEL FOR COMPANIONS WAS ALLOWED PURSUANT TO POLICY AND PAID FOR MR. ISAAC'S SPOUSE. THIS BENEFIT IS INCLUDED WITHIN SCHEDULE J, PART II, COLUMN B(III). PART I, LINE 4B SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN PER APPROVAL OF THE BOARD AND HIS EMPLOYMENT AGREEMENT, DR. ERIC D. ISAACS ACCRUED $75,000 IN DEFERRED COMPENSATION DURING THE YEAR. PART I, LINE 5 CONTINGENT COMPENSATION CARNEGIE PAID COMPENSATION UPON AND DETERMINED IN PART BY THE REVENUES OF THE ORGANIZATION TO MICHAEL STAMBAUGH, EDWARD LAMADE AND ANN MCELWAIN. CONTINGENT COMPENSATION IS REPORTED IN COLUMN B(II) OF SCHEDULE J, PART II. PART I, LINE 7 NON-FIXED PAYMENTS THE ORGANIZATION ESTABLISHES ANNUAL GOALS AND METRICS FOR ITS EMPLOYEES AND EXECUTIVES. BASED ON ATTAINMENT OF THESE GOALS AND METRICS, CERTAIN EMPLOYEES MAY BE AWARDED A PERFORMANCE BONUS. ALL BONUSES ARE CONSIDERED AS PART OF TOTAL COMPENSATION FOR REASONABLENESS. SEUNG YON RHEE DEPT DIR. MORTGAGE X 761694 196569 0 1 1 196569 X 9 794600 FMV 0 0 1 0 PART I, COLUMN (B): NUMBER OF CONTRIBUTIONS THE ORGANIZATION IS REPORTING THE NUMBER OF CONTRIBUTIONS IN COLUMN (B). FORM 990, PART VI, SECTION A, LINE 2 RELATIONSHIPS CHRISTOPHER STONE AND JOHN CRAWFORD: BUSINESS RELATIONSHIP FORM 990, PART VI, SECTION A, LINE 3 MANAGEMENT DUTIES EFFECTIVE JUNE 2022, RANDY STRINGER BECAME THE CHIEF FINANCIAL OFFICER-INTERIM FOR CARNEGIE. STRINGER IS PAID THROUGH STANTON BLACKWELL PURSUANT TO A MANAGEMENT SERVICES AGREEMENT WITH CARNEGIE. IN ACCORDANCE WITH STRINGER'S START DATE IN 2022, NO COMPENSATION WAS PAID TO THIS INDIVIDUAL DURING CALENDAR YEAR 2021 FOR SERVICES PROVIDED TO CARNEGIE. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 REVIEW PROCESS CARNEGIE'S FINANCE DEPARTMENT, SENIOR STAFF AND ITS INDEPENDENT PAID PREPARER, GRANT THORNTON, WORK TOGETHER TO PREPARE AND REVIEW THE FORM 990. THE DRAFT FORM 990 IS THEN DISTRIBUTED TO MEMBERS OF THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES FOR REVIEW AND COMMENT. AFTER THE AUDIT COMMITTEE HAS REVIEWED THE RETURN AND ITS FEEDBACK HAS BEEN INCORPORATED, THE RETURN IS DISTRIBUTED TO ALL MEMBERS OF THE BOARD OF TRUSTEES FOR REVIEW AND COMMENT BEFORE IT IS FILED WITH THE IRS. TRUSTEES ARE ENCOURAGED TO CONTACT THE CHIEF OPERATING OFFICER OR DIRECTOR OF FINANCE WITH ANY QUESTIONS. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY CARNEGIE HAS ADOPTED CONFLICT OF INTEREST POLICIES THAT APPLY TO THE INSTITUTION'S TRUSTEES, CORPORATE OFFICERS, AND EMPLOYEES. THESE POLICIES REQUIRE EACH TRUSTEE TO COMPLETE ANNUALLY A FORM TO DISCLOSE ANY POTENTIAL CONFLICTS OF INTEREST. THE FORMS ARE COLLECTED BY THE CORPORATE SECRETARY, AND ANY DISCLOSURES ARE SUBSEQUENTLY PROVIDED TO THE BOARD OF TRUSTEES OR RELEVANT COMMITTEE OF THE BOARD FOR REVIEW AND APPROVAL. SIMILARLY, ALL EMPLOYEES OF CARNEGIE (INCLUDING CORPORATE OFFICERS) ARE REQUIRED, UPON HIRING AND ANNUALLY THEREAFTER, TO REPORT THEIR POTENTIAL CONFLICTS OF INTEREST. DEPARTMENT DIRECTORS REVIEW ALL POTENTIAL CONFLICTS IN THEIR DEPARTMENTS. THE PRESIDENT REVIEWS ALL POTENTIAL CONFLICTS FOR DEPARTMENT DIRECTORS. THE BOARD OF TRUSTEES REVIEWS ALL POTENTIAL CONFLICTS FOR THE CORPORATE OFFICERS. THROUGHOUT THE YEAR, EACH INDIVIDUAL SUBJECT TO THE CONFLICT OF INTEREST POLICIES IS REQUIRED TO UPDATE HIS/HER DISCLOSURE STATEMENT TO INCLUDE ANY INFORMATION REQUIRED TO BE DISCLOSED. THE SIGNED EMPLOYEE DISCLOSURE FORMS ARE KEPT IN THE EMPLOYEE'S PERSONNEL FILE. FORM 990, PART VI, SECTION B, LINE 15 CARNEGIE ENGAGES AN INDEPENDENT COMPENSATION CONSULTING FIRM TO CONDUCT A COMPENSATION STUDY TO EVALUATE THE REASONABLENESS OF THE TOTAL PROPOSED COMPENSATION FOR THE ORGANIZATION'S "DISQUALIFIED PERSONS" UNDER TREAS. REG. 53.4958-3 WITHOUT REGARD TO WHETHER THE PERSON HAS BEEN ELECTED AN OFFICER. THE INDEPENDENT COMPENSATION STUDY FOCUSES ON THE COMPENSATION PAID TO FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY-SITUATED ORGANIZATIONS AND ALSO CONSIDERS INDUSTRY COMPENSATION SURVEYS. THE COMPENSATION STUDY IS PROVIDED TO THE ORGANIZATION'S HUMAN RESOURCES AND COMPENSATION COMMITTEE, TOGETHER WITH A REASONED WRITTEN OPINION FROM THE COMPENSATION CONSULTANT THAT THE PROPOSED COMPENSATION ARRANGEMENTS FOR THE DISQUALIFIED PERSONS ARE "REASONABLE" WITHIN THE MEANING OF TREAS. REG. 53.4958-4(B)(1)(II)(A). THE HUMAN RESOURCES AND COMPENSATION COMMITTEE SETS COMPENSATION FOR EACH DISQUALIFIED PERSON AND MAKES A RECOMMENDATION TO THE FULL BOARD OF TRUSTEES WITH RESPECT TO COMPENSATION FOR THE PRESIDENT. THE FULL BOARD THEN REVIEWS THE COMPENSATION STUDY AND OPINION FOR THE PRESIDENT TOGETHER WITH THE RECOMMENDATION OF THE HUMAN RESOURCES AND COMPENSATION COMMITTEE AND MAKES A DECISION WITH RESPECT TO THE PRESIDENT'S COMPENSATION. THE HUMAN RESOURCES AND COMPENSATION COMMITTEE AND BOARD RELY ON THE COMPENSATION CONSULTANT'S OPINION AND COMPENSATION STUDY TO GUIDE ITS REVIEW, DELIBERATION, AND APPROVAL OF THE PROPOSED COMPENSATION ARRANGEMENTS, AND ITS DECISIONS REGARDING COMPENSATION (INCLUDING THE BASES FOR THESE DECISIONS) ARE DOCUMENTED IN THE MEETING MINUTES. THE HUMAN RESOURCES AND COMPENSATION COMMITTEE AND TRUSTEES WHO VOTE ON COMPENSATION FOR DISQUALIFIED PERSONS AND THE PRESIDENT DO NOT HAVE A CONFLICT OF INTEREST WITH REGARD TO THESE COMPENSATION ARRANGEMENTS. FORM 990, PART VI, SECTION C, LINE 19 MAKING ORGANIZATIONAL DOCUMENTS AVAILABLE TO THE PUBLIC IN ACCORDANCE WITH TREAS. REG. 301.6104(D)-1(A)(1) AND IRS NOTICE 2007-45, COPIES OF CARNEGIE'S THREE MOST RECENT FORMS 990 ARE MADE AVAILABLE FOR INSPECTION BY THE PUBLIC DURING REGULAR BUSINESS HOURS AT CARNEGIE'S OFFICE IN WASHINGTON, DC. CARNEGIE'S MOST RECENT FORM 990 IS ALSO MADE AVAILABLE TO THE PUBLIC ON THE INSTITUTION'S WEBSITE. THE ORGANIZATION MAKES IT GOVERNING DOCUMENTS AVAILABLE TO THE EXTENT REQUIRED BY LAW. THE ORGANIZATION'S AUDITED FINANCIAL STATEMENTS AND STAFF CONFLICT OF INTEREST POLICY ARE ALSO MADE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: POST RETIREMENT BENEFIT COST 8,248,738. CARNEGIE SCIENCE HOLDINGS 813 SANTA BARBARA STREET PASADENA CA 91101 843506481 HOLDING DE CIS C 10695 74686 1.00000 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0