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OFFICER 2023876400 2020-07-07 true Mary Torretta P00847851 7038477500 173.73.247.211 54681420201965000012 2020-07-14 P 03CBAE45BD8E2F188EB28F31E827C7F4869431D2 407510A33C0DDF69F328AC7A53E575C28C33C48A 2018 2021-01-29 14:40:06Z Carnegie Science Eric Isaacs 1530 P St NW Washington DC 20005 388052532 false X www.carnegiescience.edu X 1904 DC THE CONDUCT OF SCIENTIFIC DISCOVERY, RESEARCH AND EDUCATION IN THE FIELDS OF PLANT BIOLOGY, DEVELOPMENTAL BIOLOGY, EARTH AND PLANETARY SCIENCES, ASTRONOMY, AND GLOBAL ECOLOGY 20 20 509 27 -310958 0 29281249 23406867 6714446 6072640 52798376 103948497 1411434 4413466 90205505 137841470 3972978 3059013 0 0 53131553 51698184 0 0 3109997 40833020 41362844 97937551 96120041 -7732046 41721429 1239346085 1206419667 180522890 181651197 1058823195 1024768470 X See Schedule O false false 65362263 6072640 See Schedule O 9514919 3059013 See Schedule O 74877182 true true false false false false false true false true true true false false true true true false true 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Trustee 2.0 0.0 X 0 0 0 Mary C King TRUSTEE, END NOVEMBER 2019 2.0 0.0 X 0 0 0 Katherine Lapp Trustee 4.0 0.0 X 0 0 0 Michael Long Trustee 4.0 0.0 X 0 0 0 Mary E Maxon Trustee 2.0 0.0 X 0 0 0 Christine M McCarthy Trustee 2.0 0.0 X 0 0 0 Richard Meserve TRUSTEE, END MAY 2019 2.0 0.0 X 0 0 0 Ray Rothrock Trustee 2.0 0.0 X 0 0 0 Cristian Samper Trustee 4.0 0.0 X 0 0 0 Christopher TS Stone Trustee 4.0 0.0 X 0 0 0 Marshall Wais Trustee 4.0 0.0 X 0 0 0 Michael Wilson Trustee 2.0 0.0 X 0 0 0 Eric D Isaacs President 40.0 0.0 X 441297 0 74471 Timothy P Doyle Chief Operating Officer 40.0 0.0 X 410161 0 76564 Benjamin Aderson General Counsel 40.0 0.0 X 262952 0 40865 John S Mulchaey Division Director 40.0 0.0 X 345664 0 53514 Yixian Zheng Department Director 40.0 0.0 X 345529 0 46117 Richard W Carlson Division Director 40.0 0.0 X 270276 0 63620 Zhiyong Wang Acting Director & Snr Stf Sci 40.0 0.0 X 224136 0 46944 Michael Walter Division Director 40.0 0.0 X 189503 0 40853 Ann McElwain Chief 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137841470 93548435 -1061 -1061 93549496 3923472 -1352927 2570545 96120041 ORGANIZATION'S COLLECTIONS SCHEDULE D, PART III, LINE 4 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. INTENDED USE OF ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 THE ORGANIZATION'S ENDOWMENT FUNDS ARE INTENDED TO SUPPORT ITS OVERALL MISSION OF SUPPORTING SCIENTIFIC DISCOVERY "IN THE BROADEST AND MOST LIBERAL MANNER." FIN 48 FOOTNOTE SCHEDULE D, PART X, LINE 2 THE CARNEGIE INSTITUTION OF WASHINGTON (CARNEGIE) HAS BEEN RECOGNIZED BY THE INTERNAL REVENUE SERVICE AS EXEMPT FROM FEDERAL INCOME TAX UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE (THE CODE) EXCEPT FOR AMOUNTS FROM UNRELATED BUSINESS INCOME. CARNEGIE IS ALSO AN EDUCATIONAL INSTITUTION WITHIN THE MEANING OF SECTION 170(B)(1)(A)(II) OF THE CODE. THE INTERNAL REVENUE SERVICE HAS CLASSIFIED CARNEGIE AS OTHER THAN A PRIVATE FOUNDATION, AS DEFINED IN SECTION 509(A) OF THE CODE. CARNEGIE HAS ANALYZED THE TAX POSITIONS TAKEN AND HAS CONCLUDED THAT AS OF JUNE 30, 2019 AND 2018, THERE ARE NO UNCERTAIN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN THAT WOULD REQUIRE RECOGNITION OF DISCLOSURE IN THE FINANCIAL STATEMENTS. RECONCILIATION OF REVENUE BETWEEN AFS & FORM 990 SCHEDULE D, PART XI, LINE 2D UNREALIZED SWAP GAIN/(LOSS) $1,033,807 PENSION-RELATED CHANGES ($2,611,408) GRANT MODIFICATION ($5,187,691) ----------- TOTAL ($6,765,292) SCHEDULE D, PART XI, LINE 4B RENTAL EXPENSES ($1,352,927) ----------- TOTAL ($1,352,927) RECONCILIATION OF EXPENSES BETWEEN AFS & FORM 990 SCHEDULE D, PART XII, LINE 2D UNREALIZED FX (GAIN)/LOSS ($1,061) ---------- TOTAL ($1,061) SCHEDULE D, PART XII, LINE 4B RENTAL EXPENSES ($1,352,927) ----------- TOTAL ($1,352,927) true true true true true true true false false false false false false false false true false true NONDISCRIMINATORY POLICY SCHEDULE E, PART I, LINE 3 OUR NON-DISCRIMINATION POLICY IS AVAILABLE ON OUR WEBSITE, WWW.CARNEGIESCIENCE.EDU, UNDER ANTI-DISCRIMINATION POLICY. EXPLANATION OF GOVERNMENT FINANCIAL AID SCHEDULE E, PART I, LINE 6A 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. Europe (Including Iceland and Greenland) Fundraising 31836 South America Fundraising 59739 North America Program Services Meetings/conferences 9658 East Asia and the Pacific Program Services Meetings/conferences 66731 Europe (Including Iceland and Greenland) Program Services Meetings/conferences 140121 South America Program Services Meetings/conferences 25066 East Asia and the Pacific Program Services Collaborative work 5005 North America Program Services Construction 7134 East Asia and the Pacific Program Services CORAL FIELD SURVEY 45746 Central America and the Caribbean Program Services FIELD WORK 3180 East Asia and the Pacific Program Services FIELD WORK 21916 East Asia and the Pacific Program Services LIZARD ISLAND RESEARCH 25398 East Asia and the Pacific Program Services POSTDOC: RELOCATION 313 East Asia and the Pacific Program Services REEFSCAPE FIELD WORK 29967 East Asia and the Pacific Program Services REEFSCAPE FIELD WORK 23255 East Asia and the Pacific Program Services VANNUTU AND PNG FLDWK 39362 Europe (Including Iceland and Greenland) Program Services POSTDOC: RELOCATION 982 South America Program Services LCO FIELD WORK 23360 South America Program Services P JONES - RELOCATION 2460 South America Program Services RESEARCH/GRANTS 56730 South America Program Services SCIENTIFIC OBS. CHILE 227305 South America Program Services TELESCOPE ENG./MAINT. 26034 South America Program Services TELESCOPE OPERATIONS 7388148 South Asia Program Services POSTDOC: RELOCATION 1889 North America Investments 12393604 Central America and the Caribbean Investments 345601560 South America Investments 4484654 Europe (Including Iceland and Greenland) Investments 2084676 535409 372290420 372825829 true false true true true false PROCEDURES FOR MONITORING THE USE OF GRANTS AND OTHER ASSISTANCE SCHEDULE F, PART I, LINE 2 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 FELLOWS. THIS COLLABORATION SERVES AS A VEHICLE FOR MONITORING AND SUPPORTING THE WORK OF THE FELLOW. 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. true UNIVERSITY OF CHICAGO 5801 S ELLIS AVENUE CHICAGO IL 60637 362177139 501(c)(3) 6368 Participant Support NORTHWESTERN UNIVERSITY 633 CLARK ST RM G547 EVANSTON IL 60208 362167817 501(c)(3) 10287 Participant Support UNIVERSITY OF ALABAMA AT BIRMINGHAM UNIVERSITY STATION BIRMINGHAM AL 35294 636005396 501(c)(3) 5917 Participant support MICHIGAN STATE UNIVERSITY 220 TROWBRIDGE RD EAST LANSING MI 48824 386005984 501(c)(3) 8357 Participant support FELLOWSHIP 58 3059013 PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS & OTHER ASSISTANCE IN US SCHEDULE I, PART I, LINE 2 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 A 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 true true X X X false false false true false false false false false Eric D Isaacs President 379333 0 50000 0 11964 0 63460 0 11011 0 515768 0 0 0 Timothy P Doyle Chief Operating Officer 363146 0 25000 0 22015 0 47541 0 29023 0 486725 0 0 0 Benjamin Aderson General Counsel 221898 0 22500 0 18554 0 32863 0 8002 0 303817 0 0 0 John S Mulchaey Division Director 334968 0 10000 0 696 0 44364 0 9150 0 399178 0 0 0 Yixian Zheng Department Director 317750 0 10000 0 17779 0 46117 0 0 0 391646 0 0 0 Richard W Carlson Division Director 269880 0 0 0 396 0 54036 0 9584 0 333896 0 0 0 Zhiyong Wang Acting Director & Snr Stf Sci 199830 0 0 0 24306 0 38348 0 8596 0 271080 0 0 0 Michael Walter Division Director 189310 0 0 0 193 0 33934 0 6919 0 230356 0 0 0 Ann McElwain Chief Development Officer 272954 0 14094 0 138 0 44257 0 21936 0 353379 0 0 0 Patrick McCarthy GMTO Director 295595 0 0 0 0 0 48944 0 17361 0 361900 0 0 0 Nicholas Konidaris Scientific Staff Member 155419 0 0 0 134403 0 23842 0 21968 0 335632 0 0 0 Michael Stambaugh Chief Investment Officer 410646 0 300000 0 144 0 43617 0 26423 0 780830 0 0 0 Kenneth G Caldeira Senior Staff Scientist 241860 0 0 0 2079 0 47190 0 22926 0 314055 0 0 0 Seung Yon Rhee Department Director 229884 0 0 0 7590 0 38656 0 10596 0 286726 0 0 0 George Cody Department Director 224611 0 0 0 258 0 43427 0 27252 0 295548 0 0 0 Joseph Berry Department Director 220943 0 0 0 1236 0 45218 0 18351 0 285748 0 0 0 FIRST-CLASS TRAVEL SCHEDULE J, PART I, LINE 1A FIRST CLASS TRAVEL WAS ALLOWED PURSUANT TO POLICY AND PAID FOR MR. ISAACS, MR. DOYLE, AND MR. MULCHAEY. THESE BENEFITS ARE INCLUDED WITHIN SCHEDULE J, PART II, COLUMN B(III). HOUSING ALLOWANCE SCHEDULE J, PART I, LINE 1A 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 SCHEDULE J, PART I, LINE 1A TRAVEL FOR COMPANIONS WAS ALLOWED PURSUANT TO POLICY AND PAID FOR MR. ISAACS' SPOUSE. THIS BENEFIT IS INCLUDED WITHIN SCHEDULE J, PART II, COLUMN B(III). CONTINGENT COMPENSATION SCHEDULE J, PART I, LINE 5A CARNEGIE PAID COMPENSATION UPON AND DETERMINED IN PART BY THE REVENUES OF THE ORGANIZATION TO MICHAEL STAMBAUGH AND ANN MCELWAIN. CONTINGENT COMPENSATION IS REPORTED IN COLUMN B(II) OF SCHEDULE J, PART II. A California Educational Facilities Authority 521705592 130178VS2 2010-03-24 34525000 REFUND PRIOR BONDS TO FINANCE false false false B Maryland Health & Higher Educational Facilities 520936091 574217JB2 2010-02-04 30580000 REFUND PRIOR BONDS TO CONSTRUCT/EQ false false false A 0 0 36365183 0 0 0 565183 0 0 35800000 0 0 2003 true false true true B 0 0 30505440 0 0 0 553594 0 0 30000000 0 0 2005 true false true true A false false false false 0 true false false true B false false false false 0 true false false true A false false true false false false 0 false 0 false true B false false true false false false 0 false 0 false true A true B true SCHEDULE K, PART II, LINE 3, BONDS A AND B THE DIFFERENCE BETWEEN THE ISSUE PRICE LISTED IN PART I, COLUMN (E) AND THE TOTAL PROCEEDS OF ISSUE IN PART II, LINE 3 FOR BOND A AND BOND B REPRESENT PREMIUMS OR DISCOUNTS. SCHEDULE K, PART II, LINE 7 03/24/2010 - 34,525,000 CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY (CEFA) - THIS ISSUE WAS USED TO REFUND $17.5 MILLION OF 1993 SERIES B CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY REVENUE TAX EXEMPT BONDS AND $18.3 MILLION OF 2006 SERIES A CEFA REFUNDING REVENUE TAX-EXEMPT BONDS WHICH REFUNDED ALL OUTSTANDING 1993 SERIES A CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY REVENUE TAX EXEMPT BONDS. 1993 SERIES A & B BONDS WERE USED TO FINANCE THE MAGELLAN TELESCOPE PROJECT AND THE RENOVATION OF THE FACILITIES OF THE OBSERVATORIES AT PASADENA. THE TELESCOPE PROJECT WAS COMPLETED IN 2003. THE 2010 SERIES WAS ISSUED AT A PREMIUM OF $1,840,183 AND AMOUNTS IN EXCESS OF $35.8 MILLION WERE USED TO COVER ISSUANCE COSTS. SCHEDULE K, PART II, LINE 7 02/04/2010 - 30,580,000 MARYLAND HEALTH & HIGHER EDUCATIONAL FACILITIES (MHHEFA) - THIS ISSUE WAS USED TO REFUND PRIOR MHHEFA BONDS OF $30 MILLION ISSUED IN OCTOBER, 2002, THE PROCEEDS OF WHICH WERE USED TO CONSTRUCT AND EQUIP A NEW FACILITY FOR CARNEGIE'S DEPARTMENT OF EMBRYOLOGY ON THE JOHNS HOPKINS HOMEWOOD CAMPUS IN BALTIMORE, MARYLAND. CONSTRUCTION BEGAN IN APRIL 2003 AND THE FACILITY WAS OCCUPIED IN SEPTEMBER 2005. THE 2010 SERIES WAS ISSUED AT A DISCOUNT OF $74,561 AND AMOUNTS BORROWED IN EXCESS OF $30 MILLION WERE USED TO COVER ISSUANCE COSTS. SEUNG YON RHEE DEPT. DIR. MORTGAGE X 468058 381616 false true true 381616 WILLIAM GAYDEN TRUSTEE 6043545 SEE PART V false SCHEDULE L, PART IV, COLUMN (D) MR. GAYDEN IS FOUNDER, CHAIRMAN, AND CHIEF EXECUTIVE OFFICER OF MERIT ENERGY COMPANY, A PRIVATE FIRM SPECIALIZING IN DIRECT INVESTMENTS IN MATURE, HIGH QUALITY OIL AND GAS ASSETS. MERIT ACQUIRES, OPERATES, AND DEVELOPS PRODUCING OIL AND GAS PROPERTIES ON BEHALF OF INSTITUTIONAL LIMITED PARTNERS THROUGH THE MERIT ENERGY PARTNERSHIP FUNDS. CARNEGIE MADE THIS CONTRIBUTION TO FUND CAPITAL CALLS FROM ITS EXISTING COMMITMENTS TO MERIT'S ENERGY FUNDS. X 1 93415 Appraisal X 12 357293 FMV X Equipment 4 74638 0 false true false NUMBER OF CONTRIBUTIONS Schedule M, PART I, COLUMN (B) THE ORGANIZATION IS REPORTING THE NUMBER OF CONTRIBUTIONS IN COLUMN (B). organization's mission FORM 990, PART III, LINE 1 THE 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." PROGRAM SERVICE ACTIVITY #1 FORM 990, PART III, LINE 4A CARNEGIE 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. PROGRAM SERVICE ACTIVITY #2 FORM 990, PART III, LINE 4B EDUCATION - 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. FORM 990 REVIEW PROCESS FORM 990, PART VI, SECTION B, LINE 11B 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. CONFLICT OF INTEREST POLICY FORM 990, PART VI, SECTION B, LINE 12C 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. PROCESS FOR DETERMINING EXECUTIVE COMPENSATION FORM 990, PART VI, SECTION B, LINE 15A 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 ORGANIZATIONS 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 PRESIDENTS 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. MAKING ORGANIZATIONAL DOCUMENTS AVAILABLE TO THE PUBLIC FORM 990, PART VI, SECTION C, LINE 19 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 ITS 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. Other CHANGES IN NET ASSETS FORM 990, PART XI, LINE 9 PENSION-RELATED CHANGES OTHER THAN NET PERIODIC POSTRETIREMENT BENEFIT COST ($2,611,408) UNREALIZED SWAP GAIN/(LOSS) $1,033,807 UNREALIZED FX GAIN/(LOSS) $1,061 GRANT MODIFICATIONS ($5,187,691) ---------- TOTAL ($6,764,231)