2019-08-08T12:42:30-05:00 2018-09-30 521186096 RUBINO AND COMPANY CHARTERED 6903 ROCKLEDGE DRIVE SUITE 1200 BETHESDA MD 208171818 990 2017-10-01 521892964 CONSORTIUM FOR OCEAN LEADERSHIP CONS 2022323900 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 YAN XING VP & CFO 2022323900 2019-08-08 1 PATRICIA A O'MALLEY CPA P00285909 3015643636 23.24.109.106 2019-08-08 08:53:39 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 1AF3B343431FBBF8FCD4858A7FB398CC6E6AD8D1 2017 2019-02-21 02:37:17Z JONATHAN WHITE 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 105579165 0 X WWW.OCEANLEADERSHIP.ORG X 1994 DE TO SHAPE THE FUTURE OF OCEAN SCIENCE AND TECHNOLOGY THROUGH DISCOVERY, UNDERSTANDING AND ACTION. 17 17 37 50 0 39325 101125406 102711656 623100 602375 78603 110603 0 0 101827109 103424634 511459 459622 0 0 4673687 4512486 0 19915 72512 96851041 98678869 102036187 103670892 -209078 -246258 39447889 37479919 36982235 35230525 2465654 2249394 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 63417417 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. 34769288 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. 942919 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. 1029194 459622 602375 OTHER RESEARCH & EDUCATION 1029194 459622 602375 100158818 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 1 0 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 97 0 1 37 1 1 1 0 0 0 0 0 0 0 X 17 17 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 JACQUELINE E DIXON BOARD OF TRUSTEES CHAIR 2.00 X X 0 0 0 DR STEVEN LOHRENZ BD OF TRUSTEES V-CHAIR TO 3/8/18 2.00 X X 0 0 0 DR JAMES SANDERS BOARD OF TRUSTEES TREASURER 2.00 X X 0 0 0 DR E VIRGINA ARMBURST BOARD OF TRUSTEES 2.00 X 0 0 0 DR CHRISTOPHER D'ELIA BOARD OF TRUSTEES 2.00 X 0 0 0 DR MEGAN DAVIS BOARD OF TRUSTEES 2.00 X 0 0 0 DR BRUCE CORLISS BOARD OF TRUSTEES 2.00 X 0 0 0 DR CHRIS SCHOLIN BD OF TRUSTEES V-CHAIR TO 9/30/18 2.00 X 0 0 0 DR MARCIA K MCNUTT BOARD OF TRUSTEES 2.00 X 0 0 0 DR S BRADLEY MORAN BOARD OF TRUSTEES TO 9/30/18 2.00 X 0 0 0 MS MOLLY MCCAMMON BOARD OF TRUSTEES 2.00 X 0 0 0 MR RICHARD WEST BOARD OF TRUSTEES 2.00 X 0 0 0 MR HANK LOBE BOARD OF TRUSTEES 2.00 X 0 0 0 DR JENNIFER MIKSIS-OLDS BOARD OF TRUSTEES 2.00 X 0 0 0 DR MONTY GRAHAM BOARD OF TRUSTEES 2.00 X 0 0 0 DR ROBERT DUNBAR BOARD OF TRUSTEES 2.00 X 0 0 0 DR ROBERTA MARINELLI BOARD OF TRUSTEE 2.00 X 0 0 0 MR MICHAEL ROMAN BOARD OF TRUSTEES 2.00 X 0 0 0 YAN XING VP AND CFO 40.00 X 224470 0 66126 RADM JONATHAN WHITE PRESIDENT & CEO 40.00 X 384352 0 31692 AMY CASTNER SEC/DIR OF BOARD RELATIONS 40.00 X 105342 0 28752 KRISTEN YARINCIK VP RESEARCH AND EDUCATION 40.00 X 163466 0 46150 SUSAN BANAHAN ASSOC. DIR, OCEAN OBSERVING PROG. 40.00 X 176594 0 40997 GREGORY ULSES VP/DIR. OCEAN OBSERVING PROGRAM 40.00 X 215704 0 25966 PATRICK DONAHUE DIRECTOR, CONTRACTS AND CO 40.00 X 151320 0 42189 THOMAS WIMS OPERATIONS AND MAINTENANCE MGR, OOI 40.00 X 151451 0 29840 1572699 0 311712 16 0 1 0 WOODS HOLE OCEANOGRAPHIC INSTITUTE 569 WOODS HOLE RD WOODS HOLE MA 02543 IMPLEMENTATION OF OCEAN OBSERVING 28396609 UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DR CHICAGO IL 60693 IMPLEMENTATION OF OCEAN OBSERVING 15196176 OREGON STATE UNIVERSITY PO BOX 1086 CORVALLIS OR 973391086 IMPLEMENTATION OF OCEAN OBSERVING 7956732 UNIVERSITY OF MIAMI 4600 RICKENBACKER CSWY RM111 MIAMI FL 33149 SEE SCHEDULE O 7549795 LOUISIANA UNIVERSITIES MARINE CONSORTIUM 8124 HWY56 CHAUVIN LA 70344 SEE SCHEDULE O 5623273 20 65641930 37069726 102711656 MEMBERSHIP DUES 900099 602375 602375 602375 36669 36669 2228465 2154531 73934 73934 73934 103424634 602375 0 110603 X 248456 248456 211166 211166 1115505 748341 367164 2492677 1467001 994694 30982 273993 155026 115490 3477 399805 219505 176115 4185 230506 139949 88476 2081 137294 31440 105854 111810 111810 19915 19915 16261 16261 96124753 95879274 245479 2680 2540 140 331460 170203 157075 4182 180183 65565 114618 730924 730924 660931 596384 64143 404 175699 161254 7159 7286 86387 86387 120487 62714 57773 103670892 100158818 3439562 72512 517 1312416 1996212 1133529 5100313 6981705 29720307 25704029 113057 131006 1664329 1630847 119869 33482 2369149 2155287 28465 28465 39447889 37479919 5322505 10896780 30092445 22704499 1567285 1629246 36982235 35230525 X 2465654 2249394 2465654 2249394 39447889 37479919 -246258 29998 0 X X 0 1 X 1 1 1 X 201802475 142902095 113562148 101125408 102711656 662103782 201802475 142902095 113562148 101125408 102711656 662103782 176440381 485663401 107736 136167 119979 78603 36669 479154 662582936 3107029 0.73300 0.76650 X 34443 34443 103636449 103670892 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 35186 29812 68874 34443 168315 250000 250000 250000 250000 1000000 1500000 496313 485526 10787 635907 613477 22430 532109 531844 265 33482 DEFERRED RENT 1163578 DEFERRED COMPENSATION 465668 1629246 X 103438371 29998 29998 103408373 16261 16261 103424634 103654631 0 103654631 16261 16261 103670892 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, 2018 AND 2017. HOWEVER, TAX YEARS ENDED SEPTEMBER 30, 2015 THROUGH 2017 REMAIN OPEN TO EXAMINATION BY THE TAXING JURISDICTIONS TO WHICH OCEAN LEADERSHIP IS SUBJECT, AND THEY HAVE NOT BEEN EXTENDED BEYOND THE APPLICABLE STATUTE OF LIMITATIONS. 1 UNITED KINGDOM 0 0 PROGRAM SERVICES SEE PART V 21209 CANADA 0 0 PROGRAM SERVICES TRAVEL SUPPORT FOR PARTICIPANTS TO ATTEND THE WORLD CONFERENCE ON MARINE BIODIVERSITY. 6174 0 0 0 0 0 0 27383 0 27383 0 0 0 0 0 0 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 $3,000 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. 990, SCHEDULE F, PART I, LINE 3, COLUMN (E) -- DESCRIPTION OF SERVICE TRAVEL SUPPORT FOR TRAVELERS ATTENDING IRMINGER SEA WORKSHOP (OOI-SPONSORED) TO COORDINATE INTERNATIONAL RESEARCH EFFORTS IN THE REGION AROUND THE OOI IRMINGER SEA ARRAY. 0 MICHAEL ZWIRN 1237 PERRY STREET NE WASHINGTON DC 20017 FUNDRAISING & SPONSORSHIP DEVELOPMENT ACTIVITIES 0 19915 0 19915 19915 19915 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 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 SAVANNAH STATE UNIVERSITY BOX XXX-XX-XXXX COLLEGE STREET SAVANNAH GA 31404 586002069 STATE OF GA 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 DELAWARE 116 STUDENT SERVICES BUILDING CASHIERS OFFICE NEWARK DE 19716 516000297 501C3 9000 NOSB REGIONAL AWARD UNIVERSITY OF NORTH CAROLINA WILMINGTON 601 S COLLEGE ROAD - H0155 WILMINGTON NC 28403 561258660 STATE OF NC 9000 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 MI 9000 NOSB REGIONAL AWARD AND DIVERSITY INITATIVE 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 OLD DOMINION UNIVERSITY RESEARCH FOUNDATION PO BOX 6369 NORFOLK VA 23508 546068198 501C3 9000 NOSB REGIONAL AWARD UNIVERSITY OF MAINE 5703 ALUMNI HALL RM 100 ORONO ME 04469 016000769 501C3 9000 NOSB REGIONAL AWARD UNIVERSITY OF COLORADO FOUNDATION 216 UCB ROOM 302 CIRIES BOULDER CO 803090216 846049811 STATE OF CO 35500 NOSB REGIONAL AWARD 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 MIAMI P O BOX 248106 CORAL GABLES FL 33124 590624458 STATE OF FL 8933 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 CONNECTICUT FOUNDATION 1080 SHENNECOSSETT RD GROFTON CT 06340 060772160 STATE OF CT 9000 NOSB REGIONAL AWARD UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL OFFICE OF SPONSORED RESEARCH-CB 104 AIRPORT DR SUITE 2200 CHAPEL HILL NC 275991350 566001393 STATE OF NC 24023 NOSB REGIONAL AWARD 7 16 TEMPORARY HELP TRAVEL AND CONTRACTS 4 142735 FMV DATA VALADATION REPORT 38 59200 FMV POP-UP EAB MEMBERS, NOSB QUESTION WRITER, NOSB SCHOLARSHIP, HONORARIUM AISL , EOPOLC2,NOSBS2007, UNRESTRICTED 17 9231 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 $3,000 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 1 0 0 0 0 0 0 1 0 YAN XING VP AND CFO 222470 0 2000 0 0 0 34266 0 31860 0 290596 0 0 0 RADM JONATHAN WHITE PRESIDENT & CEO 384352 0 0 0 0 0 27000 0 4692 0 416044 0 0 0 KRISTEN YARINCIK VP RESEARCH AND EDUCATION 163466 0 0 0 0 0 26187 0 19963 0 209616 0 0 0 SUSAN BANAHAN ASSOC. DIR, OCEAN OBSERVING PROG. 163594 0 3000 0 10000 0 26006 0 14991 0 217591 0 0 0 GREGORY ULSES VP/DIR. OCEAN OBSERVING PROGRAM 200154 0 0 0 15550 0 21780 0 4186 0 241670 0 0 0 PATRICK DONAHUE DIRECTOR, CONTRACTS AND CO 148320 0 3000 0 0 0 15156 0 27033 0 193509 0 0 0 THOMAS WIMS OPERATIONS AND MAINTENANCE MGR, OOI 150451 0 1000 0 0 0 15138 0 14702 0 181291 0 0 0 PART I, LINE 4A THE FOLLOWING EMPLOYEES RECEIVED SEVERANCE PAYMENTS: SUSAN BANAHAN, PAID $10,000 GREG ULSES, PAID $15,550 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 THIRTY-NINE VOTING MEMBERS, THIRTY-TWO ASSOCIATE MEMBERS, AND TWELVE AFFILIATE MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A THE ORGANIZATION'S THIRTY-NINE 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 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 95,412,182. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 95,412,182. STIPENDS: PROGRAM SERVICE EXPENSES 25,414. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 25,414. CONSULTANT FEES: PROGRAM SERVICE EXPENSES 359,474. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 359,474. TEMPORARY HELP: PROGRAM SERVICE EXPENSES 82,204. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 82,204. CONSULTANT FEES: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 184,948. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 184,948. TEMPORARY HELP: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 60,531. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 60,531. 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 LEADERSHIPS 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 THE WITH 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 INITATIVE LOUISIANA UNIVERSITIES MARINE CONSORTIUM - IMPLEMENTATION OF RESEARCH PROGRAM AND GULF OF MEXICO RESEARCH INITATIVE