2020-08-11T10:35:49-05:00 2019-09-30 521186096 RUBINO AND COMPANY CHARTERED 6903 ROCKLEDGE DRIVE SUITE 1200 BETHESDA MD 208171818 990 2018-10-01 521892964 CONSORTIUM FOR OCEAN LEADERSHIP CONS 2022323900 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 YAN XING VP & CFO 2022323900 2020-08-10 1 KAY THIES CPA P01404047 3015643636 68.100.156.80 2020-08-10 13:09:26 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 8E10895808A1E7D35F48195E7112756A0A6DBAF9 2018 2020-09-23 17:36:50Z JONATHAN WHITE 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 36656926 0 X WWW.OCEANLEADERSHIP.ORG X 1994 DE TO SHAPE THE FUTURE OF OCEAN SCIENCE AND TECHNOLOGY THROUGH DISCOVERY, UNDERSTANDING AND ACTION. 13 13 39 1617 0 0 102711656 36059418 602375 596625 110603 883 0 0 103424634 36656926 459622 258536 0 0 4512486 4016820 19915 0 1499 98678869 32635869 103670892 36911225 -246258 -254299 37479919 24977459 35230525 22982364 2249394 1995095 X OCEAN LEADERSHIP SHAPES THE FUTURE OF OCEAN SCIENCE AND TECHNOLOGY THROUGH DISCOVERY, UNDERSTANDING AND ACTION. OCEAN LEADERSHIP PROVIDES EXPERTISE IN MANAGING, COORDINATING, AND FACILITATING SCIENTIFIC PROGRAMS AND PARTNERSHIPS; INFLUENCING SOUND OCEAN POLICY; AND EDUCATING THE NEXT GENERATION OF OCEAN LEADERS. 0 0 23763294 THE GULF OF MEXICO RESEARCH INITIATIVE (GOMRI) WILL INVESTIGATE THE IMPACTS OF THE OIL, DISPERSED OIL, AND DISPERSANT ON THE ECOSYSTEMS OF THE GULF OF MEXICO AND AFFECTED COASTAL STATES IN A BROAD CONTEXT OF IMPROVING FUNDAMENTAL UNDERSTANDING OF THE DYNAMICS OF SUCH EVENTS AND THEIR ENVIRONMENTAL STRESSES AND PUBLIC HEALTH IMPLICATIONS. 7187909 THE OCEAN OBSERVATORIES INITIATIVE (OOI) WILL CONSTRUCT A NETWORKED INFRASTRUCTURE OF SCIENCE-DRIVEN SENSOR SYSTEMS TO MEASURE THE PHYSICAL, CHEMICAL, GEOLOGICAL AND BIOLOGICAL VARIABLES IN THE OCEAN AND SEAFLOOR. 897230 THE NOSB IS AN ACADEMIC COMPETITION AND PROGRAM THAT ADDRESSES A NATIONAL GAP IN ENVIRONMENTAL AND EARTH SCIENCES IN THE PUBLIC EDUCATION BY INTRODUCING HIGH SCHOOL STUDENTS TO AND ENGAGING THEM IN OCEAN SCIENCE, PREPARING THEM FOR OCEAN SCIENCE-RELATED AND OTHER STEM CAREERS, AND HELPING THEM BECOME KNOWLEDGEABLE CITIZENS AND ENVIRONMENTAL STEWARDS. 2173377 258536 596625 OTHER RESEARCH & EDUCATION 2173377 258536 596625 34021810 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 47 0 1 39 1 0 0 0 0 0 0 0 0 0 0 0 0 X 13 13 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 NY X YAN XING 2022323900 1201 NEW YORK AVE 4TH FL WASHINGTON DC 20005 DR CHRISTOPHER D'ELIA BOARD OF TRUSTEES 2.00 X 0 0 0 DR CHRIS SCHOLIN BOARD OF TRUSTEE VICE CHAIR 2.00 X X 0 0 0 DR S BRADLEY MORAN BOARD OF TRUSTEES TREASURER 2.00 X X 0 0 0 MR RICHARD WEST AT-LARGE TRUSTEES 2.00 X 0 0 0 DR JENNIFER MIKSIS-OLDS BOARD OF TRUSTEES 2.00 X 0 0 0 DR WILLIAM GRAHAM BOARD OF TRUSTEES 2.00 X 0 0 0 DR ROBERT DUNBAR BOARD OF TRUSTEES 2.00 X 0 0 0 DR JACQUELINE DIXON BOARD OF TRUSTEES CHAIR 2.00 X X 0 0 0 DR BRUCE CORLISS BOARD OF TRUSTEES 2.00 X 0 0 0 DR MEGAN DAVIS BOARD OF TRUSTEES 2.00 X 0 0 0 MR HANK LOBE BOARD OF TRUSTEES 2.00 X 0 0 0 DR MARCIA MCNUTT AT-LARGE TRUSTEES 2.00 X 0 0 0 MS MOLLY MCCAMMON BOARD OF TRUSTEES 2.00 X 0 0 0 RADM JONATHAN WHITE PRESIDENT & CEO 40.00 X 393333 0 32086 AMY CASTNER SEC/DIR OF BOARD RELATIONS 40.00 X 124839 0 31317 YAN XING VP AND CFO 40.00 X 227781 0 62340 KRISTEN YARINCIK VP RESEARCH AND EDUCATION 40.00 X 179300 0 47812 PATRICK DONAHUE DIRECTOR, CONTRACTS AND CO 40.00 X 166341 0 42494 YIN YIN OOI COMPTROLLER 40.00 X 153490 0 29535 DOUGLAS FILS DATA MANAGEMENT TECHNICAL EXPERT 40.00 X 138294 0 33166 VIKTORIYA SHEK MANAGER, OOI BUSINESS OPERATIONS 40.00 X 124907 0 22397 LEIGH ZIMMERMAN SR. MANAGER, GOMRI AND ASSISTANT DIRECTOR, R&E 40.00 X 121948 0 18290 1630233 0 319437 11 0 1 0 UNIVERSITY OF MIAMI 4600 RICKENBACKER CSWY RM111 MIAMI FL 33149 SEE SCHEDULE O 6317659 UNIVERSITY OF SOUTH FLORIDA PO BOX 864568 ORLANDO FL 328864568 SEE SCHEDULE O 3168208 LOUISIANA UNIVERSITIES MARINE CONSORTIUM 8124 HWY56 CHAUVIN LA 70344 SEE SCHEDULE O 3043181 WOODS HOLE OCEANOGRAPHIC INSTITUTE 569 WOODS HOLE RD WOODS HOLE MA 02543 IMPLEMENTATION OF OCEAN OBSERVING 2747680 NATIONAL MARINE MAMMAL FOUNDATION 2240 SHELTER ISLAND DR STE 200 SAN DIEGO CA 92106 SEE SCHEDULE O 2320438 25 9912131 26147287 36059418 MEMBERSHIP DUES 900099 596625 596625 596625 883 883 36656926 596625 0 883 X 187349 187349 71187 71187 1035573 555458 480115 2169292 1523121 646171 226119 160511 65608 337059 223904 113155 248777 162925 85852 66304 7077 59227 54498 54498 30472063 30131672 340391 4584 4584 288374 144084 142791 1499 162976 36529 126447 652379 652379 686942 654834 32108 163480 158575 4905 21058 21058 63211 63211 36911225 34021810 2887916 1499 1312416 911346 1133529 2186892 6981705 801772 25704029 20422712 131006 154540 1664329 1651907 33482 12422 2155287 459310 28465 28465 37479919 24977459 10896780 4459323 22704499 16999430 1629246 1523611 35230525 22982364 X 2249394 1995095 2249394 1995095 37479919 24977459 -254299 0 X X 0 1 X 1 1 1 X 142902095 113562148 101125408 102711656 36059418 496360725 142902095 113562148 101125408 102711656 36059418 496360725 166077062 330283663 136167 119979 78603 36669 883 372301 496733026 3061228 0.66490 0.73300 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 89211 89211 36822014 36911225 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 29812 68874 34443 89211 222340 250000 250000 250000 250000 1000000 1500000 496313 494918 1395 635907 624880 11027 532109 532109 0 12422 DEFERRED RENT 1064301 DEFERRED COMPENSATION 459310 1523611 X 36656926 0 36656926 0 36656926 36911225 0 36911225 0 36911225 PART X, LINE 2: OCEAN LEADERSHIP IS EXEMPT FROM FEDERAL INCOME TAXES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. AS SUCH, IT IS EXEMPT FROM FEDERAL INCOME TAXES ON ALL BUT UNRELATED BUSINESS INCOME, IF ANY. THERE WAS NO NET UNRELATED BUSINESS INCOME FOR THE YEARS ENDED SEPTEMBER 30, 2019 AND 2018. 1 BOARD OF REGENTS OF THE UNIVERSITY OF WISCONSIN MILWAUKEE PO BOX 500 MILWAUKEE WI 53201 391805963 STATE OF WI 9000 NOSB REGIONAL AWARD MASSACHUSETTS INSTITUTE OF TECHNOLOGY SEA GRANT COLLEGE PROGRAM 77 MASSACHUSETTS AVENUE NE CAMBRIDGE MA 02139 042103594 501C3 9000 NOSB REGIONAL AWARD OREGON STATE UNIVERSITY 104 COAS ADMIN BUILDING CORVALLIS OR 97331 481278540 STATE OF OR 9000 NOSB REGIONAL AWARD REGENTS UNIVERSITY OF MICHIGAN BOX 223131 PITTSBURGH PA 15251 386006309 501C3 9000 NOSB REGIONAL AWARD RUTGERS THE STATE UNIVERSITY OF NEW JERSEY 33 KNIGHTSBRIDGE ROAD 2ND FLOOR PISCATAWAY NJ 088543925 226001086 STATE OF NJ 9000 NOSB REGIONAL AWARD STONY BROOK FOUNDATION INC PO BOX 1511 STONY BROOK NY 11790 146013200 STATE OF NY 9000 NOSB REGIONAL AWARD UNIVERSITY OF NORTH CAROLINA WILMINGTON 601 S COLLEGE ROAD - H0155 WILMINGTON NC 28403 561258660 STATE OF NC 7376 NOSB REGIONAL AWARD UNIVERSITY OF SAN DIEGO 5998 ALCALA PARK SAN DIEGO CA 92110 952544535 501C3 9000 NOSB REGIONAL AWARD UNIVERSITY OF SOUTHERN MISSISSIPPI 703 OCEAN BEACH DR OCEAN SPRINGS MS 39564 646000818 STATE OF MS 8973 NOSB REGIONAL AWARD UNIVERSITY OF WASHINGTON FOUNDATION 3716 BROOKLYN AVE NE PO BOX 355060 SEATTLE WA 98105 916001537 IRC 115 9000 NOSB REGIONAL AWARD YOUNGSTOWN STATE UNIVERSITY ONE UNIVERSITY PLAZA YOUNGSTOWN OH 44555 341011998 STATE OF OH 9000 NOSB REGIONAL AWARD UNIVERSITY OF COLORADO FOUNDATION 216 UCB ROOM 302 CIRIES BOULDER CO 803090216 846000555 STATE OF CO 9000 NOSB REGIONAL AWARD/ NOSB HOST UNIVERSITY OF HAWAII SEA GRANT COLLEGE PROGRAM 2525 CORREA RD HG 238 HONOLULU HI 96822 990115254 STATE OF HI 9000 NOSB REGIONAL AWARD FOUNDATION OF CALIFORNIA STATE MONTEREY BAY ALUMNI AND VISITORS CENTER 97-133 SEASIDE CA 93933 800494808 501C3 9000 NOSB REGIONAL AWARD UNIVERSITY OF SOUTH FLORIDA FOUNDATION MARINE SCIENCE 140 SEVENTH AVE SOUTH ST PETERSBURG FL 33701 593102112 STATE OF FL 9000 NOSB REGIONAL AWARD UNIVERSITY OF ALASKA PO BOX 755080 FAIRBANKS AK 99775 926000147 STATE OF AK 9000 NOSB REGIONAL AWARD UNIVERSITY OF NEW ENGLAND 11 HILLS BEACH OFFICE OF FINANCE ADMINISTRATION BIDDEFORD ME 040059599 010211810 501C3 9000 NOSB REGIONAL AWARD GEORGE MASON UNIVERSITY 4400 UNIVERSITY DRIVE CASHIERS OFFICE MAIL STOP 2E1 FAIRFAX VA 20030 540836354 STATE OF VA 9000 NOSB REGIONAL AWARD FLORIDA ATLANTIC UNIVERSITY 5600 1 NORTH FORT PIERCE FL 34946 650385507 STATE OF FL 9000 NOSB REGIONAL AWARD VIRGINIA INSTITUTE OF MARINE SCIENCES PO BOX 1346 GLUOUCESTER POINT VA 23062 546001802 STATE OF VA 9000 NOSB REGIONAL AWARD GALVESTON BAY AREA CHAPTER 4102 B MAIN STREETFM 519 LA MARQUE TX 77568 331025662 501C3 9000 NOSB REGIONAL AWARD 21 0 TEMPORARY HELP TRAVEL AND CONTRACTS 3 45761 FMV POP-UP EXHIBIT STIPEND, AND NOSB SCHOLARSHIP 26 25426 FMV PART I, LINE 2: OCEAN LEADERSHIP MAINTAINS RECORDS THAT INCLUDE: PURCHASE REQUEST WITH AUTHORIZED SIGNATURE, COPY OF AWARD AND CERTIFICATIONS, EPLS PRINT OUT AS EVIDENCE OF ELIGIBILITY, AND SELECTION CRITERIA IF AWARD EXCEEDS THE MICRO PURCHASE THRESHOLD OF $10,000 AS PER OCEAN LEADERSHIP'S POLICIES. OCEAN LEADERSHIP HAS PROVIDED A LEVEL OF OVERSIGHT AND MONITORING THAT WILL ALLOW ADEQUATE AND ACCURATE COLLECTION OF DATA ON PERFORMANCE THROUGHOUT THE LIFE OF A PROGRAM. MONITORING PROCESS FOR THE GRANTS AND SUBCONTRACTS: THE OVERALL PURPOSE OF MONITORING AND EVALUATION IS THE MEASUREMENT AND ASSESSMENT OF PERFORMANCE IN ORDER TO MORE EFFECTIVELY MANAGE THE OUTPUTS AND OUTCOMES OF EXPENDITURES. OCEAN LEADERSHIP MONITORS AWARDS AT SEVERAL KEY PHASES OF THE AWARD'S LIFE CYCLE. 1)PRE-AWARD ASSESSMENT: THE INITIAL MONITORING BEGINS WITH A PRE-AWARD ASSESSMENT OF THE PROSPECTIVE RECIPIENT'S ABILITIES AND RESOURCES TO BE APPLIED TO THE AWARD FOR THE PURPOSE OF DETERMINING WHETHER THE RECIPIENT CAN ADEQUATELY PROVIDE THE SERVICES DEMANDED BY THE AWARD. 2)PERIODIC MONITORING: ON-GOING MONITORING IS CONDUCTED DURING THE LIFE OF THE AWARD. PERIODIC MONITORING INCLUDES REVIEW OF THE QUARTERLY AND ANNUAL REPORTING REQUIRED UNDER THE AWARD AND ANY OTHER REPORTS AS SPECIFIED IN THE AWARD. 3)COMPLETION OF GRANT: A FINAL REVIEW OF THE AWARD'S ACTIVITY AND ACCOMPLISHMENTS AND SPENDING IS CONDUCTED AT THE COMPLETION OF THE AWARD. 4)THE ABOVE MONITORING IS ACCOMPLISHED THROUGH VARIOUS MEANS BASED ON THE NEEDS OF THE INDIVIDUAL AWARD. TECHNIQUES USED WILL CONSIST OF PERIODIC WRITTEN REPORTS FROM THE RECIPIENT, ON-SITE VISITS (ANNOUNCED AND UNANNOUNCED), TELEPHONE CONTACTS, AND, IF APPLICABLE ON-LINE REVIEW OF AWARD DATA. 5)REPORTING FORMAT: THE RECIPIENT IS EXPECTED TO PROVIDE THE REPORTS IDENTIFIED IN THE AGREEMENT SIGNED BETWEEN OCEAN LEADERSHIP AND THE RECIPIENT. THE ANNUAL REPORTS REQUIRED ARE COMPLETED USING THE REPORTING FORMAT PROVIDED FOR BY OCEAN LEADERSHIP. 6)PROGRAM DIRECTORS WILL REVIEW THE SUBCONTRACTOR'S REPORTS TO MAKE SURE THEY ARE COMPLETE AND THAT THE INFORMATION AGREES WITH ANY PERIODIC REPORTING. 7)MONITORING RECORDS: PROGRAM STAFF FULLY AND ACCURATELY DOCUMENT ALL MONITORING EFFORTS. 8) SITE VISITS: OCEAN LEADERSHIP MAY UNDERTAKE ADDITIONAL RECIPIENT MONITORING BY MAKING PERIODIC SITE VISITS. BASED ON THE LEVEL OF RISK ASSIGNED TO EACH RECIPIENT, ONE TO SEVERAL SITE VISITS MAY BE SCHEDULED DURING THE TERM OF THE AWARD. X X X X X X 0 0 0 0 0 0 0 1 0 RADM JONATHAN WHITE PRESIDENT & CEO 382723 0 10610 0 0 0 27500 0 4586 0 425419 0 0 0 AMY CASTNER SEC/DIR OF BOARD RELATIONS 124839 0 0 0 0 0 20400 0 10917 0 156156 0 0 0 YAN XING VP AND CFO 227781 0 0 0 0 0 35051 0 27289 0 290121 0 0 0 KRISTEN YARINCIK VP RESEARCH AND EDUCATION 179300 0 0 0 0 0 28500 0 19312 0 227112 0 0 0 PATRICK DONAHUE DIRECTOR, CONTRACTS AND CO 164341 0 2000 0 0 0 16720 0 25774 0 208835 0 0 0 YIN YIN OOI COMPTROLLER 151490 0 2000 0 0 0 15470 0 14065 0 183025 0 0 0 DOUGLAS FILS DATA MANAGEMENT TECHNICAL EXPERT 138294 0 0 0 0 0 14284 0 18882 0 171460 0 0 0 PART I, LINE 7 THE PRESIDENT/CEO'S BONUS IS DETERMINED BY THE EXECUTIVE COMMITTEE AS PART OF THE PRESIDENT'S EMPLOYMENT CONTRACT. PERFORMANCE BONUSES MAY BE AWARDED TO STAFF EACH YEAR BASED ON THE ORGANIZATION'S BUDGET AND CALCULATED AS A PERCENT OF THE TOTAL SALARY BUDGET. THE PRESIDENT/CEO REVIEWS THE SUBMITTED BONUS RECOMMENDATIONS AND APPROVES THE FINAL BONUS AMOUNTS. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS THIRTEEN VOTING MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A THE ORGANIZATION'S THIRTEEN VOTING MEMBERS ELECT INDIVIDUALS TO THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7B THE BYLAWS OF THE CORPORATION MAY BE AMENDED ONLY BY A VOTE OF THE VOTING MEMBERS. IN ADDITION, VOTING MEMBERS ELECT TRUSTEES TO SERVICE ON THE BOARD OF TRUSTEES AND ADMIT NEW MEMBERS. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 IS FIRST PROVIDED TO THE FINANCE COMMITTEE OF THE BOARD FOR REVIEW AND THEN MADE AVAILABLE TO ALL MEMBERS OF THE BOARD PRIOR TO ITS FILING WITH THE IRS. IN ADDITION, FORM 990 IS PROVIDED TO OCEAN LEADERSHIP'S COGNIZANT AGENCY. FORM 990, PART VI, SECTION B, LINE 12C OCEAN LEADERSHIP MAINTAINS A CONFLICT OF INTEREST POLICY. THE POLICY IS PART OF THE EMPLOYEE HANDBOOK WHICH NEW HIRES RECEIVE AS PART OF THE ORIENTATION PROCESS. THE HUMAN RESOURCES CONSULTANT DISCUSSES THE CONFLICT OF INTEREST POLICY AS WELL AS ALL OTHER KEY OCEAN LEADERSHIP POLICIES WITH ALL NEW HIRES DURING NEW HIRE ORIENTATION. ALL EMPLOYEES ARE REQUIRED TO SIGN A RECEIPT OF THE EMPLOYEE HANDBOOK AS WELL AS A CONFLICT OF INTEREST DISCLOSURE FORM. AN EMPLOYEE WHO VIOLATES THE CONFLICT OF INTEREST POLICY WOULD BE SUBJECT TO DISCIPLINARY ACTION PER THE ORGANIZATION'S DISCIPLINARY ACTION POLICY. SUCH DISCIPLINARY ACTION COULD INCLUDE TERMINATION OF EMPLOYMENT, DEPENDING ON THE NATURE OF THE SITUATION. OCEAN LEADERSHIP MAINTAINS TWO CONFLICT OF INTEREST POLICIES FOR THE MEMBERSHIP AND THE BOARD OF TRUSTEES. EACH MEMBER AND TRUSTEE IS REQUIRED TO SUBMIT AN ANNUAL DISCLOSURE STATEMENT TO THE BOARD SECRETARY, AS WELL AS TO DISCLOSE IMMEDIATELY AND IN WRITING ANY POSSIBLE CONFLICTS AT SUCH TIME HE OR SHE BECOMES AWARE THAT ONE MIGHT EXIST. THE COLLECTION OF THE ANNUAL STATEMENTS BEGINS WITH THE MARCH MEMBERS MEETING AND CONTINUES UNTIL ALL MEMBER REPRESENTATIVES AND TRUSTEES HAVE A FORM ON FILE. ONCE ALL FORMS ARE ON FILE, THEY ARE REVIEWED BY THE EXECUTIVE COMMITTE AND ALL POSSIBLE CONFLICTS ARE DISCUSSED AND ACTED UPON, AS APPROPRIATE. ADDITIONALLY, ALL MEMBERS AND TRUSTEES ARE REMINDED OF THESE POLICIES AND THEIR NEED TO DISCLOSE AT EACH MEMBER AND BOARD MEETING. FORM 990, PART VI, SECTION B, LINE 15A FOR THE PRESIDENT/CEO - AN ASSESSMENT IS CONDUCTED AT THE REQUEST OF THE CONSORTIUM FOR OCEAN LEADERSHIP 52-1892964 EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES AS NEEDED. THE ASSESSMENT INCLUDES A COMPREHENSIVE MARKET SALARY REVIEW CONDUCTED BY NONPROFIT HR, AN INDEPENDENT HUMAN RESOURCES CONSULTING FIRM. THE INDEPENDENT STUDY ALSO INCLUDES A REVIEW OF BENEFITS PROVIDED TO OTHER NON-PROFIT CHIEF EXECUTIVES WITH COMPARABLE BUDGET, STAFF SIZE, SCOPE AND MISSION. IN SOME YEARS THE ASSESSMENT INCLUDES A REVIEW OF MARKET INCREASE DATA. RESULTS OF THESE MARKET REVIEWS ARE PRESENTED BY NPHR TO THE EXECUTIVE COMMITTEE, WHICH DISCUSSES THE DATA COLLECTED, CONSIDERS THE PERFORMANCE OF THE PRESIDENT/CEO, AND SETS A SALARY ALIGNED TO A FIGURE THEY DEEM TO BE REASONABLE AND APPROPRIATE, TAKING INTO CONSIDERATION THE REPORTED MEAN OF THE MARKET. EXECUTIVE COMPENSATION BETWEEN THE EXECUTIVE COMMITTEE AND THE PRESIDENT/CEO IS ESTABLISHED BY CONTRACT BETWEEN THE EXECUTIVE COMMITTEE AND THE PRESIDENT/CEO. THE PROCESS FOR DETERMINING COMPENSATION FOR VICE PRESIDENTS INCLUDES COMPREHENSIVE MARKET SALARY REVIEWS FOR VICE PRESIDENT LEVEL POSITIONS AS NECESSARY TO ENSURE THAT SALARIES ARE APPROPRIATELY ALIGNED WITH THE MEAN OF THE MARKET. SALARY ADJUSTMENTS ARE APPROVED BY THE PRESIDENT/CEO. ALL DATA USED IN DETERMINING COMPENSATION IS REVIEWED AND RANGES ARE SHIFTED EVERY TWO TO THREE YEARS. DATA IS GATHERED FROM COMPENSATION SURVEYS USING DATA FROM ORGANIZATIONS OF SIMILAR SIZE, BUDGET, SCOPE, AND MISSION. DATA WAS LAST GATHERED IN 2015. COMPENSATION DECISIONS ARE DOCUMENTED IN OFFER LETTERS, PERSONNEL ACTION FORMS AND SALARY NOTIFICATIONS TO EMPLOYEES. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS AND GOVERNANCE-RELATED CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC UPON REQUEST. THE FORM 990 AND FINANCIAL STATEMENTS ARE AVAILABLE ON GUIDESTAR AND AVAILABLE UPON REQUEST. FORM 990, PART IX, LINE 11G SUBCONTRACT EXPENSES: PROGRAM SERVICE EXPENSES 29,869,138. MANAGEMENT AND GENERAL EXPENSES 4,425. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 29,873,563. STIPENDS: PROGRAM SERVICE EXPENSES 52,198. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 52,198. CONSULTANT FEES: PROGRAM SERVICE EXPENSES 197,430. MANAGEMENT AND GENERAL EXPENSES 300,916. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 498,346. TEMPORARY HELP: PROGRAM SERVICE EXPENSES 12,906. MANAGEMENT AND GENERAL EXPENSES 35,050. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 47,956. FORM 990, PART XII, LINE 2C THE AUDIT COMMITTEE SELECTS THE AUDIT FIRM AND OVERSEES THE AUDIT PROCESS. THIS PROCESS HAS NOT CHANGED SINCE OCEAN LEADERSHIP'S CREATION IN 2007. FORM 990, PAGE 6, PART VI, LINE 1A THE EXECUTIVE COMMITTEE INCLUDES THE BOARD CHAIR, THE VICE CHAIR, THE TREASURER AND THE CHAIRS OF THE OTHER STANDING BOARD COMMITTEES: AUDIT AND BOARD NOMINATING - AND A "CHAIR'S CHOICE" WHICH IS FILLED BY A TRUSTEE AT THE PREFERENCE OF THE BOARD CHAIR. THE PRESIDENT AND SECRETARY OF THE BOARD ARE NON-VOTING MEMBERS OF THE EXECUTIVE COMMITTEE. THE EXECUTIVE COMMITTEE IS CHARGED WITH EXERCISING ALL THE POWERS VESTED IN THE BOARD OF TRUSTEES DURING THE INTERVALS BETWEEN MEETINGS OF THE BOARD AND MAKING NOMINATIONS OF AT-LARGE TRUSTEES. 990, PART VII, SECTION B, COLUMN (B) - DESCRIPTION OF SERVICES UNIVERSITY OF MIAMI - IMPLEMENTATION OF RESEARCH PROGRAM AND GULF OF MEXICO RESEARCH INITIATIVE UNIVERSITY OF SOUTH FLORIDA - IMPLEMENTATION OF RESEARCH PROGRAM AND GULF OF MEXICO RESEARCH INITIATIVE LOUISIANA UNIVERSITIES MARINE CONSORTIUM - IMPLEMENTATION OF RESEARCH PROGRAM AND GULF OF MEXICO RESEARCH INITIATIVE NATIONAL MARINE MAMMAL FOUNDATION - IMPLEMENTATION OF RESEARCH PROGRAM AND GULF OF MEXICO RESEARCH INITIATIVE FORM 990, PAGE 1, PART I, LINE 2 OCEAN LEADERSHIP MAINTAINS RECORDS THAT INCLUDE: PURCHASE REQUEST WITH AUTHORIZED SIGNATURE, COPY OF AWARD AND CERTIFICATIONS, EPLS PRINT OUT AS EVIDENCE OF ELIGIBILITY, AND SELECTION CRITERIA IF AWARD EXCEEDS THE MICRO PURCHASE THRESHOLD OF $10,000 AS PER OCEAN LEADERSHIP'S POLICIES. OCEAN LEADERSHIP HAS PROVIDED A LEVEL OF OVERSIGHT AND MONITORING THAT WILL ALLOW ADEQUATE AND ACCURATE COLLECTION OF DATA ON PERFORMANCE THROUGHOUT THE LIFE OF A PROGRAM. MONITORING PROCESS FOR THE GRANTS AND SUBCONTRACTS: THE OVERALL PURPOSE OF MONITORING AND EVALUATION IS THE MEASUREMENT AND ASSESSMENT OF PERFORMANCE IN ORDER TO MORE EFFECTIVELY MANAGE THE OUTPUTS AND OUTCOMES OF EXPENDITURES. OCEAN LEADERSHIP MONITORS AWARDS AT SEVERAL KEY PHASES OF THE AWARD'S LIFE CYCLE. 1)PRE-AWARD ASSESSMENT: THE INITIAL MONITORING BEGINS WITH A PRE-AWARD ASSESSMENT OF THE PROSPECTIVE RECIPIENT'S ABILITIES AND RESOURCES TO BE APPLIED TO THE AWARD FOR THE PURPOSE OF DETERMINING WHETHER THE RECIPIENT CAN ADEQUATELY PROVIDE THE SERVICES DEMANDED BY THE AWARD. 2)PERIODIC MONITORING: ON-GOING MONITORING IS CONDUCTED DURING THE LIFE OF THE AWARD. PERIODIC MONITORING INCLUDES REVIEW OF THE QUARTERLY AND ANNUAL REPORTING REQUIRED UNDER THE AWARD AND ANY OTHER REPORTS AS SPECIFIED IN THE AWARD. 3)COMPLETION OF GRANT: A FINAL REVIEW OF THE AWARD'S ACTIVITY AND ACCOMPLISHMENTS AND SPENDING IS CONDUCTED AT THE COMPLETION OF THE AWARD. 4)THE ABOVE MONITORING IS ACCOMPLISHED THROUGH VARIOUS MEANS BASED ON THE NEEDS OF THE INDIVIDUAL AWARD. TECHNIQUES USED WILL CONSIST OF PERIODIC WRITTEN REPORTS FROM THE RECIPIENT, ON-SITE VISITS (ANNOUNCED AND UNANNOUNCED), TELEPHONE CONTACTS, AND, IF APPLICABLE ON-LINE REVIEW OF AWARD DATA. 5)REPORTING FORMAT: THE RECIPIENT IS EXPECTED TO PROVIDE THE REPORTS IDENTIFIED IN THE AGREEMENT SIGNED BETWEEN OCEAN LEADERSHIP AND THE RECIPIENT. THE ANNUAL REPORTS REQUIRED ARE COMPLETED USING THE REPORTING FORMAT PROVIDED FOR BY OCEAN LEADERSHIP. 6)PROGRAM DIRECTORS WILL REVIEW THE SUBCONTRACTOR'S REPORTS TO MAKE SURE THEY ARE COMPLETE AND THAT THE INFORMATION AGREES WITH ANY PERIODIC REPORTING. 7)MONITORING RECORDS: PROGRAM STAFF FULLY AND ACCURATELY DOCUMENT ALL MONITORING EFFORTS. 8) SITE VISITS: OCEAN LEADERSHIP MAY UNDERTAKE ADDITIONAL RECIPIENT MONITORING BY MAKING PERIODIC SITE VISITS. BASED ON THE LEVEL OF RISK ASSIGNED TO EACH RECIPIENT, ONE TO SEVERAL SITE VISITS MAY BE SCHEDULED DURING THE TERM OF THE AWARD.