2021-09-15T13:33:56-05:00 2020-12-31 131655065 LUTZ AND CARR CPAS LLP 551 FIFTH AVENUE SUITE 400 NEW YORK NY 10176 990 2020-01-01 454585989 VOLCKER ALLIANCE INC VOLC 6463430155 39 BROADWAY NO 1930 NEW YORK NY 10006 THOMAS W ROSS PRESIDENT 6463430155 2021-09-15 1 THOMAS ROSS 999009999 FREDERICK MARTENS P00298107 2126972299 0 AAL1 IAL1 2020 2022-09-23 18:48:47Z X THOMAS W ROSS 39 BROADWAY NO 1930 NEW YORK NY 10006 21660833 0 X WWW.VOLCKERALLIANCE.ORG X 2012 NY THE VOLCKER ALLIANCE EMPOWERS THE PUBLIC SECTOR WORKFORCE. 16 15 18 15 0 0 4978746 7095117 38981 40127 2733939 570653 0 26141 7751666 7732038 0 608403 0 0 2666315 2622334 0 0 395516 1722459 1713907 4388774 4944644 3362892 2787394 15526521 19454354 432518 686977 15094003 18767377 X THE VOLCKER ALLIANCE IS A NONPROFIT FOUNDED BY FORMER FEDERAL RESERVE BOARD CHAIRMAN PAUL A. VOLCKER DEDICATED TO ADVANCING HIS VISION OF AN EMPOWERED PUBLIC SECTOR WORKFORCE.THE VOLCKER ALLIANCE IS A NONPROFIT FOUNDED IN 2013 BY FORMER FEDERAL RESERVE BOARD CHAIRMAN PAUL A. VOLCKER, DEDICATED TO ADVANCING HIS VISION OF AN EMPOWERED PUBLIC SECTOR WORKFORCE. OUR WORK SUPPORTS CURRENT AND ASPIRING PUBLIC SERVANTS BY STRENGTHENING PUBLIC SERVICE EDUCATION, CHAMPIONING PUBLIC SERVICE VALUES, AND PROVIDING STRATEGIES TO HELP THEM DELIVER BETTER RESULTS. WE BUILD PARTNERSHIPS WITH GOVERNMENT AND UNIVERSITIES, PROMOTE INNOVATION IN PUBLIC SERVICE EDUCATION, DRIVE RESEARCH ON EFFECTIVE GOVERNMENT, AND INSPIRE OTHERS WITH THE STORY OF MR. VOLCKER'S COMMITMENT TO PUBLIC SERVICE. OUR MISSION IS TO EMPOWER THE PUBLIC SECTOR WORKFORCE TO SOLVE THE CHALLENGES FACING OUR NATION. 0 0 3619586 608403 40127 SEE SCHEDULE ODRIVING RESEARCH ON EFFECTIVE GOVERNMENT:THE VOLCKER ALLIANCE'S TRUTH AND INTEGRITY IN STATE BUDGETING INITIATIVE IS A MULTIYEAR STUDY OF STATE BUDGETING, FINANCIAL REPORTING, AND FISCAL PRACTICES ACROSS THE UNITED STATES. IN FEBRUARY 2020, THE VOLCKER ALLIANCE RELEASED TRUTH AND INTEGRITY IN STATE BUDGETING: THE BALANCING ACT AND AN UPDATED STATE BUDGET DATA LAB. THE REPORT HIGHLIGHTED THE IMPORTANCE OF MAINTAINING RAINY DAY FUND RESERVES TO HELP STATES COPE WITH UNEXPECTED FISCAL SHOCKS, SUCH AS THE NATIONWIDE SHUTDOWN OF ECONOMIC ACTIVITY CAUSED BY THE PANDEMIC. THE VOLCKER ALLIANCE HOSTED VIRTUAL EVENTS THROUGHOUT 2020 TO HELP PUBLIC OFFICIALS AND MUNICIPAL FINANCE LEADERS NAVIGATE THE RAPIDLY EVOLVING CHALLENGES POSED BY THE COVID-19 PANDEMIC.PROMOTING INNOVATION IN PUBLIC SERVICE EDUCATION:THE VOLCKER ALLIANCE HAS HELPED TO DEFINE THE FIELD OF PUBLIC SERVICE EDUCATION. OUR WORK WITH SCHOOLS OF PUBLIC SERVICE HAS DRIVEN INNOVATION IN BOTH UNDERGRADUATE AND GRADUATE LEVEL CURRICULA AND EXPANDED LEARNING OPPORTUNITIES FOR ACTIVE PUBLIC SERVANTS. IN JUNE 2020, THE VOLCKER ALLIANCE LAUNCHED THE NEXT GENERATION SERVICE PARTNERSHIP (NEXTGEN SERVICE), A NATIONAL INITIATIVE THAT IS HELPING FILL A CRITICAL GAP IN UNDERGRADUATE EDUCATION BY SUPPORTING THE CREATION OF NEW PROGRAMS TO PREPARE STUDENTS FOR CAREERS IN PUBLIC SERVICE. THROUGH THE DEANS SUMMIT, THE VOLCKER ALLIANCE FACILITATES INNOVATION AND COLLABORATION AMONG DEANS AND DIRECTORS OF THE NATION'S COMPREHENSIVE SCHOOLS OF PUBLIC SERVICE. DURING THE PANDEMIC, THE VOLCKER ALLIANCE INVITED DEANS OF SCHOOLS OF PUBLIC SERVICE TO JOIN REGULAR, FACILITATED CONVERSATIONS ABOUT HOW THEY ARE LEADING THEIR SCHOOL COMMUNITIES THROUGH THIS TURBULENT ERA.BUILDING PARTNERSHIPS WITH GOVERNMENT AND UNIVERSITIES:THE VOLCKER ALLIANCE'S GOVERNMENT-TO-UNIVERSITY INITIATIVE (G2U) INITIATIVE BUILDS PARTNERSHIPS BETWEEN GOVERNMENT LEADERS AT ALL LEVELS AND THEIR LOCAL UNIVERSITIES TO HELP FOSTER RESEARCH AND CONNECT ASPIRING PUBLIC SERVANTS WITH CAREER OPPORTUNITIES. IN 2020, THE VOLCKER ALLIANCE EXPANDED G2U SIGNIFICANTLY, LAUNCHING NEW REGIONAL NETWORKS IN PITTSBURGH, LOS ANGELES, CHICAGO, AND NORTH CAROLINA. THIS EXPANSION BUILDS ON THE SUCCESS OF OUR PILOT NETWORK IN KANSAS CITY. THE PAUL A. VOLCKER FUND FOR THE FUTURE OF PUBLIC SERVICE AWARDED SIX COMPETITIVE GRANTS ACROSS THE NETWORK IN 2020. THE G2U "NETWORK OF NETWORKS" WAS ALSO STRENGTHENED IN 2020 THROUGH THE LAUNCH OF THE G2U RESOURCE EXCHANGE, A DIGITAL ROUNDUP OF IDEAS ACROSS THE NETWORK, AND A G2U NETWORK CONVERSATION SERIES. 0 3619586 1 1 0 0 0 0 0 0 0 1 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 18 0 1 18 1 0 0 0 0 0 0 0 0 0 0 0 0 X 16 15 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 NY X KIWI PARTNERS 2125327171 39 BROADWAY NEW YORK NY 10006 THOMAS A ROSS PRESIDENT 40.00 X X 439801 0 36432 SARA MOGULESCU EXECUTIVE VICE PRESIDENT 40.00 X X 310343 0 35369 ANTHONY DOWD TREASURER 5.00 X X 0 0 0 SHEILA BAIR BOARD MEMBER 1.00 X 0 0 0 CHARLES BOWSHER BOARD MEMBER 1.00 X 0 0 0 WILLIAM BRADLEY BOARD MEMBER 1.00 X 0 0 0 THOMAS M DAVIS BOARD MEMBER 1.00 X 0 0 0 WILLIAM H DONALDSON BOARD MEMBER 1.00 X 0 0 0 ANTHONY FOXX BOARD MEMBER 1.00 X 0 0 0 SHIRLEY CLARKE FRANKLIN BOARD MEMBER 1.00 X 0 0 0 FRANCIS FUKUYAMA BOARD MEMBER 1.00 X 0 0 0 WILLIAM HASLAM BOARD MEMBER 1.00 X 0 0 0 STEPHANIE MINER BOARD MEMBER 1.00 X 0 0 0 NORMAN J ORNSTEIN BOARD MEMBER 1.00 X 0 0 0 RICHARD RAVITCH BOARD MEMBER 1.00 X 0 0 0 WILLIAM RHODES BOARD MEMBER 1.00 X 0 0 0 ANTONIO WEISS BOARD MEMBER 1.00 X 0 0 0 WILLIAM GLASGALL SENIOR VP & DIRECTOR, STATE & LOCAL 40.00 X 242776 0 36710 EMILY BOLTON CHIEF STRATEGY OFFICER 40.00 X 177748 0 7972 MELISSA AUSTIN DIRECTOR OF OPERATIONS 40.00 X 151623 0 20264 NEILIA STEPHENS DIRECTOR OF COMMUNICATIONS 40.00 X 156564 0 8227 MAGGIE MELLO ASSOCIATE DIRECTOR 40.00 X 124949 0 31025 PETER D MORRISSEY ASSOCIATE DIRECTOR 40.00 X 117897 0 6139 1721701 0 182138 8 0 1 0 MUNICIPAL MARKET ANALYTICS 75 MAIN STREET CONCORD MA 01742 PROJECT RESEARCH & CONSULTING 210000 JOHN HOPKINS UNIVERSITY 12529 COLLECTIONS CENTER DRIVE CHICAGO IL 60693 PROJECT RESEARCH & CONSULTING 118650 KIWI PARTNERS INC 237 W 35TH STREET SUITE 1101 NEW YORK NY 10001 ACCOUNTING SERVICES 104947 3 7095117 7095117 FISCAL SPONSOR ADMINISTRATION 611430 40127 40127 40127 290267 290267 14209181 13928795 280386 280386 280386 OTHER INCOME 900099 26141 26141 26141 7732038 40127 0 596794 X 608403 608403 1459040 872223 335689 251128 877819 674191 158121 45507 27334 20273 4952 2109 69646 49842 13023 6781 188495 125196 39637 23662 50547 40969 9578 146132 146132 41896 41896 909523 908403 195 925 2873 2873 68211 51783 10255 6173 56118 5825 43921 6372 312817 203466 70912 38439 48558 45725 2219 614 5219 3868 1351 3796 2522 798 476 11695 7769 2458 1468 PROGRAM EXPENSES 40500 40097 403 SPECIAL EVENT 8000 8000 MISCELLANEOUS EXPENSES 7706 5422 2284 BANK FEE 316 316 4944644 3619586 929542 395516 703828 877576 82505 1739643 300000 32847 0 96083 44364 29841 302304 68555 3798 233749 14321699 16289552 70327 155063 15526521 19454354 163584 65875 311702 268934 0 309400 432518 686977 X 13756948 17662060 1337055 1105317 15094003 18767377 15526521 19454354 2787394 885980 0 X 0 1 X 1 0 X 3072795 1044491 1886210 1978746 1095117 9077359 3072795 1044491 1886210 1978746 1095117 9077359 6015864 3061495 528108 496759 339025 339687 290267 1993846 20455 20455 26141 26141 11117801 126859 0.27540 0.24950 X VOLCKER ALLIANCE'S PERCENTAGE OF PUBLIC SUPPORT IS LESS THAN 33 1/3%. HOWEVER, VOLCKER ALLIANCE'S PUBLIC SUPPORT IS MORE THAN 10% OF ITS TOTAL SUPPORT. IT HAS A SOLICITATION PLAN FOR ATTRACTING PUBLIC SUPPORT AND HAS A BROAD, REPRESENTATIVE GOVERNING BODY. ITS PROGRAM SERVICES DIRECTLY BENEFIT THE GENERAL PUBLIC. THEREFORE, VOLCKER ALLIANCE QUALIFIES FOR NON-PRIVATE FOUNDATION STATUS UNDER THE FACTS AND CIRCUMSTANCES TEST OF IRC SEC 170(B)(1)(A)(VI). RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 1037055 66982 39747 1064290 1000000 78251 41196 1037055 1000000 1000000 0.00000 0.93960 0.06040 0 0 79349 5000 74349 99232 13109 86123 123723 50446 73277 233749 8576122 885980 885980 7690142 41896 41896 7732038 4902748 0 4902748 41896 41896 4944644 PART V, LINE 4: DURING 2018, THE ALLIANCE WAS AWARDED A $1,000,000 GRANT TO ESTABLISH AN ENDOWMENT FOR THE PAUL A. VOLCKER LIFETIME ACHIEVEMENT AWARD FOR PUBLIC SERVICE TO BE USED TO AWARD A DESERVING, LONG-TIME GOVERNMENT CIVIL SERVANT AT LEAST $10,000 AND A MEDAL EACH YEAR. 1 INDIANA UNIVERSITY 400 E 7TH STREET POPLARS 501 BLOOMINGTON IN 47405 356001673 501(C)(3) 100000 IMPLEMENTATION OF NEXTGEN SERVICE PROGRAM GEORGIA STATE UNIVERSITY RESEARCH FOUNDATION 58 EDGEWOOD AVENUE 3RD FLOOR ATLANTA GA 30303 581845423 501(C)(3) 99721 IMPLEMENTATION OF NEXTGEN SERVICE PROGRAM UNIVERSITY OF NEBRASKA FOUNDATION 1010 LINCOLN PLACE SUITE 300 LINCOLN NE 68508 470379839 501(C)(3) 98682 IMPLEMENTATION OF NEXTGEN SERVICE PROGRAM ARIZONA STATE UNIVERSITY PO BOX 2260 TEMPLE AZ 85280 866051042 501(C)(3) 75000 IMPLEMENTATION OF NEXTGEN SERVICE PROGRAM NORTH CAROLINA OFFICE OF STATE BUDGET AND MANAGEMENT 20320 MAIL SERVICE CENTER RALEIGH NC 27699 561310675 N/A 65000 GOVERNMENT-UNIVERSITY PARTNERSHIPS FOR IMPACT: NORTH CAROLINA AND BEYOND RAND CORPORATION PO BOX 2138 SANTA MONICA CA 90407 951958142 501(C)(3) 60000 BARRIERS TO ATTRACTING TALENT AND DIVERSITY TO PUBLIC SECTOR CAREERS MID AMERICA REGIONAL COUNCIL 600 BROADWAY SUITE 200 KANSAS CITY MO 64105 430976432 501(C)(3) 50000 CONNECTING G2U RESOURCES WITH COLLEGE CAREER SERVICES TO PROMOTE PUBLIC SECTOR EMPLOYMENT GOVERNMENT COLLEGE RELATIONS COUNCIL LEWIS UNIVERSITY CAREER SERVICES UNIT 270 ONE UNIVERSITY PARKWAY ROMEOVILLE IL 60446 364276059 501(C)(3) 30000 INTERNSHIP PROGRAM ENHANCEMENT CARNEGIE MELLON UNIVERSITY 5000 FORBES AVENUE PITTSBURG PA 15213 250969449 501(C)(3) 30000 PUBLIC SERVICE DAY IN THE LIFE' SOCIAL MEDIA CAMPAIGN 9 0 PART I, LINE 2: CONTRACTS ARE ISSUED AT THE BEGINNING OF THE GRANT PERIOD; INTERIM REPORTS ARE REQUIRED PERIODICALLY THROUGHOUT THE GRANT PERIOD, DEPENDING ON THE LENGTH OF THE GRANT CYCLE; FINAL REPORT ARE REQUIRED AT THE CONCLUSION OF EACH GRANT PERIOD. STAFF REVIEW INTERIM AND FINAL REPORTS, AND PRO-ACTIVELY CONTACTS GRANTEES THROUGH THE YEAR TO MONITOR GRANT PROGRESS. ANY REQUESTED CHANGES IN GRANT USAGE OR TERM MUST BE REQUESTED IN WRITING AND APPROVED BY VOLCKER ALLIANCE. X 0 0 0 0 0 0 0 0 0 THOMAS A ROSS PRESIDENT 439801 0 0 0 0 0 9975 0 26457 0 476233 0 0 0 SARA MOGULESCU EXECUTIVE VICE PRESIDENT 310343 0 0 0 0 0 9975 0 25394 0 345712 0 0 0 WILLIAM GLASGALL SENIOR VP & DIRECTOR, STATE & LOCAL 242776 0 0 0 0 0 8385 0 28325 0 279486 0 0 0 EMILY BOLTON CHIEF STRATEGY OFFICER 177748 0 0 0 0 0 6227 0 1745 0 185720 0 0 0 MELISSA AUSTIN DIRECTOR OF OPERATIONS 151623 0 0 0 0 0 5469 0 14795 0 171887 0 0 0 NEILIA STEPHENS DIRECTOR OF COMMUNICATIONS 156564 0 0 0 0 0 5500 0 2727 0 164791 0 0 0 MAGGIE MELLO ASSOCIATE DIRECTOR 124949 0 0 0 0 0 4682 0 26343 0 155974 0 0 0 FORM 990, PART VI, SECTION A, LINE 2 SHEILA BLAIR AND WILLIAM WARREN BRADLEY - BUSINESS RELATIONSHIP FORM 990, PART VI, SECTION B, LINE 11B A COPY OF THE DRAFT FORM 990 WAS REVIEWED BY THE AUDIT COMMITTEE AND THEN FORWARDED TO EACH MEMBER OF THE BOARD OF DIRECTORS FOR DISCUSSION AND COMMENT. EACH DIRECTOR WAS PROVIDED AN OPPORTUNITY TO COMMENT ON THE INFORMATION CONTAINED IN THE 990 PRIOR TO ITS FILING WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C THE CONFLICT OF INTEREST POLICY REQUIRES ALL BOARD OF DIRECTORS MEMBERS, OFFICERS, AND KEY EMPLOYEES TO ANNUALLY DISCLOSE ANY POTENTIAL CONFLICTS OF INTEREST WITH THE ORGANIZATION THROUGH A QUESTIONNNAIRE. THESE QUESTIONNAIRES ARE MONITORED ANNUALLY AND POTENTIAL CONFLICTS ARE IMMEDIATELY ADDRESSED BY THE ORGANIZATION. THE CURRENT YEAR QUESTIONNAIRES HAVE NOT REVEALED ANY CONFLICTS THAT REQUIRED ACTION BY THE ALLIANCE. IF A CONFLICT DOES ARISE, THE TRUSTEE IS ASKED TO WITHDRAW FROM ANY DISCUSSIONS OR DECISION-MAKING WITH RESPECT TO THE MATTER IN WHICH THE CONFLICT OF INTEREST ARISES. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE OF THE BOARD REVIEWS AND APPROVES THE COMPENSATION OF ALL EMPLOYEES. FISCAL YEAR 2019 COMPENSATION REVIEWS WERE CONDUCTED IN 2020, AND FISCAL YEAR 2020 REVIEWS WILL BE CONDUCTED IN 2021. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S FINANCIAL STATEMENTS, GOVERNING DOCUMENTS, AND CONFLICT OF INTEREST POLICY ARE NOT ORDINARILY MADE AVAILABLE TO THE PUBLIC, BUT IF REQUESTED, WILL BE PROVIDED AT MANAGEMENT'S DISCRETION. FORM 990, PART IX, LINE 11G PROGRAM PARTNERS: PROGRAM SERVICE EXPENSES 908,403. MANAGEMENT AND GENERAL EXPENSES 100. FUNDRAISING EXPENSES 325. TOTAL EXPENSES 908,828. FUNDRAISING: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 600. TOTAL EXPENSES 600. RECRUITING: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 95. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 95.