2017-11-13T16:40:33-06:00 2016-12-31 271728945 PKF O'CONNOR DAVIES LLP 665 FIFTH AVENUE NEW YORK NY 10022 990 2016-01-01 223419667 INTERNATIONAL UNION AGAINST TUBERCULOSIS AND LUNG DISEASE INC INTE 2125005724 61 BROADWAY NO 1720 NEW YORK NY 10006 WALLACE D'SOUZA PRESIDENT AND CEO 2125005724 2017-11-13 1 GARRETT M HIGGINS P00543209 2122862600 65.51.112.58 2017-11-13 15:24:30 ES P 8A2132EDD6189675F9F87A04A1E474E8E200C641 E206ACBE30558CC6801B8975D6F5372E172AFED1 2016 2017-02-10 21:41:12Z VITAL STRATEGIES JOSE LUIS CASTRO 61 BROADWAY NO 1720 NEW YORK NY 10006 30974310 0 X WWW.VITALSTRATEGIES.ORG X 1995 NJ WE ENVISION A WORLD WHERE EVERY PERSON IS PROTECTED BY A STRONG PUBLIC HEALTH SYSTEM. WE BELIEVE PASSIONATELY THAT PROGRESS CAN BE MADE AGAINST EVEN THE MOST DIFFICULT HEALTH CHALLENGES BY PARTNERING LOCAL COMMITMENT AND GLOBAL EXPERTISE. WE IMPLEMENT PROGRAMS THAT STRENGTHEN THESE PARTNERS AND THE HEALTH SYSTEMS THEY SUPPORT WORKING TO IMPROVE THE LIVES OF BILLIONS. 23 21 84 21 0 0 95372790 30602155 178872 243700 98091 119436 65410 9019 95715163 30974310 37589273 41368606 0 0 5543837 8700778 0 0 1027659 8260917 11135644 51394027 61205028 44321136 -30230718 61837175 32655435 7281217 7628532 54555958 25026903 X VITAL STRATEGIES ("VS") IS A GLOBAL PUBLIC HEALTH ACCELERATOR, WORKING TO ADDRESS THE MOST CHALLENGING HEALTH ISSUES TO IMPROVE THE QUALITY OF LIFE FOR PEOPLE AROUND THE WORLD.OUR VISION:WE ENVISION A WORLD WHERE EVERY PERSON IS PROTECTED BY A STRONG PUBLIC HEALTH SYSTEM. 0 0 25271047 19746479 243700 TOBACCO CONTROL:VITAL STRATEGIES WORKS INTERNATIONALLY TO GROW AND SHAPE A GLOBAL ANTI-TOBACCO AGENDA, AND, AS A MAIN PARTNER IN THE BLOOMBERG INITIATIVE TO REDUCE TOBACCO USE, WE WORK TO SUPPORT THE ADOPTION OF PROVEN POLICIES IN MORE THAN 40 COUNTRIES. WORKING GLOBALLY AND IN MORE THAN 40 COUNTRIES, VITAL STRATEGIES USES POLICY, ADVOCACY AND STRATEGIC COMMUNICATION TO URGE GOVERNMENTS TO ADOPT PROVEN TOBACCO CONTROL STRATEGIES, AND PARTNERS WITH THEM TO ENCOURAGE LIFE-SAVING, PUBLIC HEALTH "BEST BUYS."VITAL STRATEGIES DELIVERS EVIDENCE-BASED PUBLIC EDUCATION CAMPAIGNS AND BUILDS LOCAL HEALTH CAPACITY TO RAISE AWARENESS ABOUT THE DANGERS OF TOBACCO. OUR CAMPAIGNS ENCOURAGE QUITTING, DELAY INITIATION, SUPPORT POLICY GOALS, SMOKE-FREE ENVIRONMENTS, ENFORCEMENT, AND OVER THE LONG TERM, CHANGE BEHAVIORS AROUND THE ACCEPTABILITY OF SMOKING AND ATTITUDES ABOUT THE TOBACCO INDUSTRY.BECAUSE OF POPULATION GROWTH AND CHANGING PATTERNS IN SMOKING BEHAVIOR, DUE LARGELY TO THE TOBACCO INDUSTRY'S STRATEGY OF TARGETING YOUNG PEOPLE AND WOMEN IN THE DEVELOPING WORLD, ABOUT 80 PERCENT OF TOBACCO-CAUSED ILLNESS AND DEATH TODAY IS IN LOW AND MIDDLE-INCOME COUNTRIES, WHERE WE DO THE MAJORITY OF OUR WORK. IN CHINA, INDIA, INDONESIA, BANGLADESH, AND BRAZIL, AMONG OTHERS COUNTIES, WHERE POPULATIONS AND PREVALENCE ARE HIGHEST.ACCOMPLISHMENT: OUR TOBACCO CONTROL MASS MEDIA CAMPAIGNS HAVE BEEN SEEN BY MORE THAN 2 BILLION PEOPLE IN OVER 30 COUNTRIES. WE ARE ONE OF FIVE GLOBAL PARTNERS OF THE BLOOMBERG INITIATIVE TO REDUCE GLOBAL TOBACCO USE. WE PRODUCE THE TOBACCO ATLAS, (FIFTH ED.) THE MOST COMPREHENSIVE, ACCESSIBLE INFORMATION ON THE EVOLVING GLOBAL TOBACCO EPIDEMIC. TOPICS INCLUDE HEALTH HARMS, MARKETS AND INDUSTRY PRACTICES. WE SUPPORT PRODUCTION OF WHO'S MPOWER REPORTS, THE WORLD'S FIRST-EVER REVIEW OF TOBACCO USE IN 195 COUNTRIES 15427155 10474492 TREAT TB:THE TECHNOLOGY, RESEARCH, EDUCATION, AND TECHNICAL ASSISTANCE FOR TB (TREAT TB) INITIATIVE, A MULTI-YEAR INITIATIVE FUNDED BY USAID, SEEKS TO CONTRIBUTE TO NEW KNOWLEDGE THROUGH FIELD EVALUATIONS OF DIAGNOSTIC TOOLS, CLINICAL TRIALS OF PRIORITY RESEARCH QUESTIONS, AND TARGETED OPERATIONAL RESEARCH BENEFITTING GLOBAL, REGIONAL, AND COUNTRY TB CONTROL EFFORTS.STREAM TRIAL:IN RESPONSE TO THE URGENT NEED TO EVALUATE SHORTER, MORE AFFORDABLE, MORE TOLERABLE, AND MORE ACCESSIBLE MULTIDRUG-RESISTANT TB (MDR-TB) TREATMENT REGIMENS, THE UNION AND ITS MAIN PARTNERS - THE MEDICAL RESEARCH COUNCIL-UNITED KINGDOM AND THE INSTITUTE OF TROPICAL MEDICINE - LAUNCHED THE STANDARDIZED TREATMENT REGIMEN OF ANTI-TB DRUGS FOR PATIENTS WITH MDR-TB (STREAM) TRIAL IN 2012. STREAM, THE FIRST LARGE, MULTI-COUNTRY PHASE III CLINICAL TRIAL TO EXAMINE A REGIMEN FOR MDR-TB, AIMS TO DETERMINE WHETHER A SHORTENED, STANDARDIZED TREATMENT REGIMEN FOR MDR-TB THAT GARNERED EXCELLENT TREATMENT OUTCOMES IN ONE COUNTRY CAN BE USED WITH SLIGHT MODIFICATION IN DIFFERENT SETTINGS WITH SIMILARLY POSITIVE RESULTS. THE SUCCESS OF THE STREAM TRIAL TO DATE - BOTH IN TERMS OF SITE DEVELOPMENT AND TRIAL PROGRESS - PROVIDED A UNIQUE OPPORTUNITY TO ASK ADDITIONAL MDR-TB TREATMENT QUESTIONS WITHIN AN EXPANDED TRIAL DESIGN. STREAM STAGE 2 WAS LAUNCHED IN MONGOLIA IN MARCH, 2016 AND THIS LANDMARK TRIAL, WHICH INCLUDES THE EVALUATION OF SHORTER, MORE TOLERABLE REGIMENS WILL EVENTUALLY RECRUIT APPROXIMATELY 1,000 PATIENTS IN UP TO 9 COUNTRIES OVER THE NEXT TWO YEARS. THE TREAT TB PROJECT COORDINATION TEAM CLOSELY MONITORS AND REPORTS ON THE PROGRESS OF THE TRIAL TO THE BROADER GLOBAL HEALTH COMMUNITY THROUGH PRESENTATIONS AT GLOBAL AND REGIONAL CONFERENCES AND MEETINGS. IN JULY, 2016, TREAT TB HOSTED THE 4TH ANNUAL STREAM INVESTIGATORS MEETING IN NEW YORK. RESEARCHERS FROM AROUND THE GLOBE, KEY TECHNICAL PARTNERS AND FUNDERS, INCLUDING USAID AND JANSSEN PHARMACEUTICALS, MET TO DISCUSS THE PROGRESS OF THE TRIAL TO DATE AND PLANS MOVING FORWARD.TREAT TB HAS ESTABLISHED PARTNERSHIPS WITH ORGANIZATIONS AND EXPERTS AND UNDERTOOK SEVERAL FOUNDATIONAL ACTIVITIES TO ENSURE THAT COMMUNITY ENGAGEMENT IS A ROBUST COMPONENT OF THE STUDY AT ALL SITES. THE STREAM COMMUNITY ENGAGEMENT (CE) PLAN AND VIDEO WERE RELEASED AT THE DURBAN 2016 TB-HIV MEETINGS IN JULY DURING A JOINT COMMUNITY ADVISORY BOARD MEETING OF SOUTH AFRICA TRIAL SITES. THE PLAN PROVIDES A MODEL TO ENSURE THAT SITES MEET THE OBJECTIVES OF COMMUNITY ENGAGEMENT INCLUDING BUT NOT LIMITED TO ESTABLISHMENT OF A CE MECHANISM, IMPROVING COMMUNICATION AND COOPERATION BETWEEN COMMUNITY REPRESENTATIVES AND RESEARCHERS, AND ESTABLISHMENT OF A SUSTAINABLE CULTURE OF COMMUNITY PARTICIPATION IN RESEARCH. MULTIDRUG-RESISTANT TB:IN ADDITION TO RESEARCH ACTIVITIES DIRECTLY FORMULATED BY THE TREAT TB TEAM AND ITS PARTNERS, TREAT TB ALSO FACILITATES THE IMPLEMENTATION OF RESEARCH WITH OTHER GLOBAL PARTNERS. THESE RESEARCH ACTIVITIES CONTRIBUTE TO THE BROADER GOALS OF THE INITIATIVE IN TERMS OF ADDRESSING GAPS IN PRIORITY RESEARCH AREAS. MDR-TB IS A MAJOR PUBLIC HEALTH PROBLEM IN THE PHILIPPINES, AND TREAT TB IS SUPPORTING THE PHILIPPINES NATIONAL TB PROGRAM WITH PROGRAMMATIC IMPLEMENTATION OF THE SHORTER TREATMENT REGIMEN WHICH RECEIVED A CONDITIONAL RECOMMENDATION FROM THE WHO IN 2016. TREAT TB'S WORK INCLUDES IN-DEPTH, ONSITE TECHNICAL ASSISTANCE FOR CLINICIANS AND PROGRAM MANAGERS FOCUSED ON RESPONDING TO CLINICAL AND PROGRAMMATIC CHALLENGES ENCOUNTERED DURING THE NATIONAL SCALE UP OF THE SHORTER TREATMENT REGIMEN, TRAINING DOCTORS, NURSES AND OTHER HEALTHCARE WORKERS ON CLINICAL MANAGEMENT OF MDR-TB, STRENGTHENING THE COUNTRY'S POOL OF TRAINERS, SUPPORTING THE INTEGRATION OF ACTIVE DRUG SAFETY MONITORING, AND CAPACITY BUILDING IN OPERATIONAL RESEARCH.PEDIATRIC MULTIDRUG-RESISTANT TUBERCULOSIS:TREAT TB SUPPORTED THE PEDIATRIC MDR-TB CLINICAL TRIAL LANDSCAPE MEETING HELD ON 17TH JUNE, 2016 IN WASHINGTON, D.C. OUTPUTS FROM THIS MEETING WILL INCLUDE A SUMMARY ARTICLE ON CURRENT PEDIATRIC MDR-TB TRIALS AS WELL AS A JOURNAL SUPPLEMENT TO ADVANCE WORK IN THIS IMPORTANT AREA. TREAT TB APPROACH TO COUNTRY-BASED OPERATIONAL RESEARCH:TO MAINTAIN THE MOMENTUM SET BY THE TREAT TB INITIATIVE, THE OPERATIONAL RESEARCH CAPACITY OF HEALTH PROFESSIONALS IN HIGH-BURDEN SETTINGS MUST BE STRENGTHENED. FOR THIS REASON, TREAT TB CONTINUES TO BUILD ON ITS PREVIOUS WORK BY PROVIDING HEALTH PROFESSIONALS WITH THE TRAINING THEY NEED TO CONDUCT OPERATIONAL RESEARCH STUDIES INDEPENDENTLY. TB IS A SERIOUS PUBLIC HEALTH CHALLENGE IN PERU WITH AN ESTIMATED INCIDENCE RATE OF 119 PER 100,000 AND MORTALITY RATE OF 7.8 PER 100,000 IN 2015. TO SUPPORT HEALTH PROFESSIONALS WORKING WITH THE PERUVIAN MINISTRY OF HEALTH'S NATIONAL TUBERCULOSIS PROGRAM (NTP) TO CONDUCT OPERATIONAL RESEARCH INDEPENDENTLY AND TRANSLATE FINDINGS INTO POLICY AND PRACTICE CHANGES, TREAT TB COMPLETED AN OPERATIONAL RESEARCH TRAINING COURSE IN PERU IN SEPTEMBER, 2016. PARTICIPANTS WILL CONTINUE TO RECEIVE MENTORSHIP AND GUIDANCE WITH COMPLETION AND PUBLICATION OF THEIR MANUSCRIPTS. DISSEMINATION:TREAT TB CONTINUED TO DISSEMINATE INFORMATION AND LESSONS LEARNED THROUGH PUBLICATION IN PEER-REVIEWED JOURNALS, PRESENTATIONS AT INTERNATIONAL, REGIONAL, AND NATIONAL CONFERENCES, THE TREAT TB AND VITAL STRATEGIES WEBSITES, AND OTHER OUTLETS. ADDITIONALLY, THE TREAT TB WEBSITE, WHICH PROVIDES INFORMATION ON STREAM, INCLUDING UPDATED DATA ON TRIAL ENROLMENT, AS WELL AS OTHER TREAT TB INITIATIVES INCLUDING OPERATIONAL RESEARCH ACTIVITIES, WAS REDESIGNED IN 2016. 10934239 5865739 DATA FOR HEALTH:DATA FOR HEALTH IS A FIVE-YEAR GLOBAL INITIATIVE FUNDED BY BLOOMBERG PHILANTHROPIES AND THE GOVERNMENT OF AUSTRALIA COMMITTED TO THE BETTER USE AND UNDERSTANDING OF DATA FOR PUBLIC HEALTH POLICYMAKING.CIVIL REGISTRATION AND VITAL STATISTICS SYSTEMS, THAT IS, THE REGISTRATION AND ENUMERATION OF BIRTHS AND DEATHS AND CAUSES OF DEATH, GIVE COUNTRIES CRITICAL INFORMATION TO PLAN HEALTH PROGRAMS. BUT SIMPLY HAVING DATA IS NOT ENOUGH. GOVERNMENTS ALSO NEED - BUT OFTEN LACK - THE EXPERTISE TO TURN DATA INTO ACTION AND PREVENT NEEDLESS DEATHS AND SUFFERING.OVER THE NEXT FOUR YEARS, THE BLOOMBERG PHILANTHROPIES DATA FOR HEALTH INITIATIVE - FUNDED BY BLOOMBERG PHILANTHROPIES AND THE GOVERNMENT OF AUSTRALIA - WILL FOCUS ON SUPPORTING TWENTY COUNTRIES WHERE IMPROVED HEALTH DATA SYSTEMS WILL TRANSLATE INTO SAVING LIVES AND IMPROVED HEALTH. THESE COUNTRIES, IN AFRICA, ASIA, THE PACIFIC AND LATIN AMERICA, COMPRISE 1.2 BILLION PEOPLE. MOREOVER, THE TOOLS AND METHODS DEVELOPED THERE WILL PROVIDE A ROADMAP FOR OTHER COUNTRIES FACING SIMILAR CHALLENGES.VITAL STRATEGIES WILL FOCUS ON TWO PIECES OF THE GLOBAL PROJECT. THE FIRST IS SUPPORT IN IMPROVING CIVIL REGISTRATION AND VITAL STATISTICS SYSTEMS; AND THE SECOND IS IN TRANSLATING DATA INTO ACTION - GROWING THE KNOWLEDGE TO USE AND UNDERSTAND DATA FOR POLICYMAKING. VITAL STRATEGIES JOINS OTHER DATA FOR HEALTH PARTNERS IN THIS AMBITIOUS INITIATIVE, SUCH AS THE CDC FOUNDATION, JOHNS HOPKINS BLOOMBERG SCHOOL OF PUBLIC HEALTH, THE UNIVERSITY OF MELBOURNE, AND THE WORLD HEALTH ORGANIZATION.ACCOMPLISHMENT: - OFFICIALLY ENROLLED 19 COUNTRIES AND CITIES IN THE DATA FOR HEALTH INITIATIVE BY THE END OF 2016. - EXAMPLES OF IN-COUNTRY SUCCESSES FOR CRVS INCLUDE::- IN BRAZIL, ALL 27 STATES AND 60+ CITIES ENROLLED IN THE NATIONAL IMPLEMENTATION OF AN INVESTIGATION INTO THE USE OF UNINFORMATIVE CAUSE OF DEATH CATEGORIES AND CODES.- IN TANZANIA, FEES FOR BIRTH AND DEATH REGISTRATION HAVE BEEN WAIVED IN THE COUNTRY, A MOVE TO THE INTERNATIONAL MCCOD IS PLANNED FOR ALL HEALTH FACILITY DEATHS AS PART OF DHIS2 ROLLOUT.- IN BANGLADESH THE COUNTRY ESTABLISHED THE OFFICE OF THE REGISTRAR GENERAL IN 2016, THE GOVERNMENT OFFICIALLY APPROVED THE INTRODUCTION OF THE WHO INTERNATIONAL FORM OF MCCOD AND THE ESTABLISHMENT OF THE HOSPITAL MORTALITY TECHNICAL WORKING GROUP. IN ADDITION, 1,000 VAS HAVE BEEN COLLECTED ON COMMUNITY DEATHS IN THE KALIGANJ UPAZILA.- FOR THE MALAWI PROJECT, ALL TARGETED 83 VILLAGES IN THE TRADITIONAL TA MTEMA ARE FULLY DEPLOYED. USAGE OF THE ELECTRONIC BIRTH REGISTRATION SYSTEM CONTINUED IN 14 DISTRICT HOSPITAL FACILITIES AND NATIONAL REGISTRATION BUREAU DISTRICT OFFICES.- CREATED ROBUST, COMPREHENSIVE TRAININGS/TECHNICAL ASSISTANCE SERVICES TO PROMOTING EXEMPLARY DATA USE IN PARTICIPATING COUNTRIES. EXAMPLES OF THESE PROGRAMS INCLUDE: DATA TO POLICY, AN INTENSIVE, MULTI-MONTH PROGRAM DEVELOPED IN COLLABORATION WITH CDC THAT BUILDS THE ANALYTIC COMPETENCIES OF HEALTH MINISTRY STAFF, DATA-CENTERED LEADERSHIP, A SHORT (2-DAY) PROGRAM THAT ENHANCES THE CAPACITY OF SENIOR MINISTRY OFFICIALS TO LEVERAGE DATA IN THEIR PERSONAL DECISION-MAKING AND TO IDENTIFY STRATEGIES TO PROMOTE STRONGER DATA USE ACROSS THE ENTIRE MINISTRY, DATA-DRIVEN REPORTING WORKSHOPS THAT HELP A MINISTRY CREATE NEW REPORTS (OR TRANSFORM EXISTING REPORTS, SUCH AS ITS ANNUAL REVIEW OF HEALTH) INTO PUBLICATIONS AND THAT NOT ONLY MAKES MORE INTENSIVE USE OF DATA BUT ALSO PRESENTS THAT DATA IN WAYS THAT ARE MORE ACCESSIBLE TO THE TARGET AUDIENCE AND INSTITUTIONAL STRUCTURES, POLICIES AND PROCEDURES CONSULTATIONS THAT GUIDE A MINISTRY IN THE DESIGN OF UNITS, SYSTEMS AND PROCESSES THAT DEFINE EXEMPLARY PRACTICE IN DATA USE. 6098833 5281896 6098833 5281896 57731274 1 1 0 0 0 0 0 0 1 0 1 0 0 0 1 1 1 0 0 0 1 1 1 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 69 0 84 1 0 0 0 0 0 0 0 0 0 0 X 23 21 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 IL NJ NY X X MILI CHOWFLA SR VP FINADMIN 2125005738 61 BROADWAY SUITE 1720 NEW YORK NY 10006 JOSE LUIS CASTRO PRESIDENT & CEO 40.00 X X 375000 0 4976 LOUIS JAMES DE VIEL CASTEL CHAIRMAN 2.00 X X 0 0 0 ERIC ROSENBAUM SECRETARY 3.00 X X 0 0 0 SCOTT HALSTEAD TREASURER 4.00 X X 0 0 0 MARC SZNAJDERMAN VICE CHAIR FOR PROGRAMS 3.00 X X 0 0 0 ANDREW S RENDEIRO VICE CHAIR FOR OPERATIONS 3.00 X X 0 0 0 PETER A BALDINI TRUSTEE/SR. ADVISOR FOR NEW BUSINESS 40.00 X X 207667 0 10041 BRUCE MANDELL TRUSTEE 4.00 X 0 0 0 CHRIS CASTAGNA TRUSTEE 2.00 X 0 0 0 DAVID A CAPUTO TRUSTEE 3.00 X 0 0 0 DEAN SCHRAUFNAGEL TRUSTEE 2.00 X 0 0 0 E JANE CARTER TRUSTEE 2.00 X 0 0 0 FRANK G COLELLA TRUSTEE 2.00 X 0 0 0 HELEN AGERUP TRUSTEE 2.00 X 0 0 0 JACK SALVO TRUSTEE 3.00 X 0 0 0 MARIO PIERRO TRUSTEE 3.00 X 0 0 0 MARK FOLEY TRUSTEE 3.00 X 0 0 0 MASAE KAWAMURA TRUSTEE 2.00 X 0 0 0 RAM KOPPAKA TRUSTEE 2.00 X 0 0 0 RENEE RIDZON TRUSTEE 2.00 X 0 0 0 ROZ FEDER TRUSTEE 2.00 X 0 0 0 SAMIDH GUHA TRUSTEE 2.00 X 0 0 0 RICHARD SHEPRO TRUSTEE 2.00 X 0 0 0 MILI CHOWFLA SENIOR VP FINANCE & ADMINISTRATION 40.00 X 180250 0 34815 SANDRA MULLIN SR. VP. COMMUNICATION 40.00 X 216300 0 33151 WHITNEY REITZ SR. VP BUSINESS DEVELOPMENT 40.00 X 180249 0 25879 IRA D RUSEN SR VP RESEARCH & DEVELOPMENT 40.00 X 250000 0 10755 ADAM M KARPATI SR VP PUBLIC HEALTH 40.00 X 291276 0 46034 SEMIR TANOVIC SR. VP OF GLOBAL OPERATION 40.00 X 180250 0 42424 STEPHEN HAMILL DIR. POLICY/ADV./COMMUNICATION 40.00 X 164500 0 41727 PHILIP SETEL VP AND DIRECTOR, CRVS 40.00 X 216150 0 9467 PAULA FUJIWARA SCIENTIFIC DIRECTOR 40.00 X 288606 0 36788 JOHANNA BIRCKMAYER SR. TECHNICAL ADVISOR 40.00 X 177160 0 27130 RICHARD DELANEY DEPUTY DIRECTOR 40.00 X 159500 0 40835 2886908 0 364022 25 0 1 0 KEY TRAVEL TWO PENN CENTER PLAZA SUITE 1310 PHILADELPHIA PA 19102 TRAVEL SERVICES 1111457 EURO-ASIA HOLIDAYS INC 262 W 38 STREET STE 902 NEW YORK NY 10018 TRAVEL SERVICES 521231 MOSES & SINGER 405 LEXINGTON AVENUE NEW YORK NY 10174 LEGAL SERVICES 373212 PATTERSON BELKNAP WEBB & TYLER LLP 1133 AVENUE OF THE AMERICAS NEW YORK NY 100366710 LEGAL SERVICES 199096 DORCAS MUTTEKE 1960 TALL TREE DRIVE NE ATLANTA GA 30324 PROGRAM CONSULTANT 189838 13 2600 9688679 20910876 30602155 IMDP COURSE FEES 541900 243700 243700 243700 119436 119436 OTHER REVENUE 900099 9019 9019 9019 30974310 243700 0 128455 2738953 2738953 34867 34867 38594786 38594786 2089069 1513830 404897 170342 5028824 3662570 962274 403980 192647 133206 41631 17810 811651 561215 175398 75038 578587 400063 125033 53491 706713 681057 25656 73438 70772 2666 3544822 3037349 301446 206027 3860 3032 637 191 422445 393675 22859 5911 246137 237628 8509 840596 820243 3399 16954 3058289 2813348 184933 60008 361036 317643 37109 6284 42472 42472 109567 109567 PROJECT SUPPLIES/EQUIPM 1375739 1347660 27651 428 ADMIN./PROGRAM COSTS 112810 88618 18629 5563 SUBSCRIPTIONS,REFERENCE 88862 69805 14675 4382 TRAINING AND RECRUITMEN 79399 47496 30653 1250 69459 53891 15568 61205028 57731274 2446095 1027659 2172225 5716645 31849538 9241335 27642553 17393696 4800 166870 757422 644420 155474 113002 12585 23887 61837175 32655435 232468 1017090 6467088 5758017 140767 271006 440894 582419 7281217 7628532 X -6961678 -4972885 61517636 29999788 54555958 25026903 61837175 32655435 X -30230718 701663 X X 0 1 X 1 1 1 X 18600024 22668532 37044236 95261833 30602155 204176780 18600024 22668532 37044236 95261833 30602155 204176780 140372267 63804513 5102 623 3160 98091 119436 226412 11608 1760 65410 9019 87797 204490989 639241 0.31200 0.29770 X VITAL STRATEGIES IS, BY ITS NATURE, A TYPE OF ORGANIZATION THAT TYPICALLY RECEIVES ITS SUPPORT FROM THE PUBLIC. AS IS EVIDENCED BY THE CURRENT CALCULATION, VITAL STRATEGIES RECEIVES PUBLIC SUPPORT WELL IN EXCESS OF THE 10 PERCENT REQUIREMENT AND CURRENTLY ONLY FALLS UNDER THE 33 1/3 PERCENTAGE BY A FEW PERCENTAGE POINTS. VITAL STRATEGIES IS ORGANIZED TO ATTRACT NEW AND ADDITIONAL PUBLIC AND GOVERNMENTAL SUPPORT ON A CONTINUOUS BASIS. VITAL STRATEGIES HAS STAFF DEVOTED TO PURSUING NEW BUSINESS DEVELOPMENT ACTIVITIES. THIS INCLUDES PURSUING FUNDING FROM NEW DONORS AND SUBMITTING RESPONSES TO GOVERNMENT REQUESTS FOR PROPOSAL, WHETHER SUCH SUBMISSIONS ARE MADE SOLELY BY VITAL STRATEGIES OR IN CONJUNCTION WITH OTHER ORGANIZATIONS. VITAL STRATEGIES HAS A WELL-DIVERSIFIED BASE OF DONORS AND IS CONTINUING TO TAKE STEPS TO FURTHER DIVERSIFY ITS DONOR BASE. VITAL STRATEGIES' CURRENT DONORS INCLUDE PHILANTHROPIC FOUNDATIONS, INDIVIDUAL DONORS, CORPORATIONS, AND THE UNITED STATES GOVERNMENT. VITAL STRATEGIES IS A GLOBAL PUBLIC HEALTH ORGANIZATION WITH ALL ITS ACTIVITIES DESIGNED TO IMPROVE PUBLIC HEALTH SYSTEMS OR PROVIDE SERVICES TO THE PUBLIC IN THE AREAS WHERE WE WORK. VITAL STRATEGIES' BOARD IS COMPRISED OF BOTH EXPERTS IN THE FIELD OF PUBLIC HEALTH AND A BROAD CROSS-SECTION OF VIEWS AND INTERESTS OF THE COMMUNITY. SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS INCOME - 2012 AMOUNT: $ 11,608. 2013 AMOUNT: $ 1,760. 2015 AMOUNT: $ 65,410. 2016 AMOUNT: $ 9,019. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 X 106100 83053 23047 651322 561367 89955 113002 DEFERRED RENT 125503 DUE TO UNION PARIS 456916 582419 X 30863353 0 30863353 110957 110957 30974310 60392408 0 60392408 812620 812620 61205028 PART IV, LINE 2B: THE INTERNATIONAL UNION AGAINST TUBERCULOSIS & LUNG DISEASE (IUATLD) IS ACTING AS FIDUCIARY FISCAL AGENT FOR THE NORTH AMERICAN REGION CHARTER OF THE UNION(NAR) FUNDS. THESE FUNDS ARE HELD IN A DESIGNATED BANK ACCOUNT. THE BALANCE OF FUNDS AS OF DECEMBER 31, 2016 IS $271,006. DURING 2016, IUATLD, INC., THROUGH THE UNION, WAS THE SUB-RECIPIENT OF $9.7 MILLION IN US GOVERNMENT FUNDS, TO SUPPORT ACTIVITIES ASSOCIATED WITH THE UNION-LED IMPLEMENTATION OF THE INTERNATIONAL TREAT TB INITIATIVE, A MULTI-YEAR RESEARCH INITIATIVE FUNDED BY THE UNITED STATES AGENCY FOR INTERNATIONAL DEVELOPMENT (USAID), FOR WHICH IUATLD, INC. SERVES AS A COORDINATING AND ADMINISTRATIVE HUB. PART X, LINE 2: VITAL STRATEGIES RECOGNIZES THE EFFECT OF INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE MORE LIKELY THAN NOT TO BE SUSTAINED. MANAGEMENT HAS DETERMINED THAT VITAL STRATEGIES HAD NO UNCERTAIN TAX POSITIONS THAT WOULD REQUIRE FINANCIAL STATEMENT RECOGNITION OR DISCLOSURE. VITAL STRATEGIES IS NO LONGER SUBJECT TO EXAMINATIONS BY THE APPLICABLE TAXING JURISDICTIONS FOR PERIODS PRIOR TO 2013. PART XI, LINE 4B - OTHER ADJUSTMENTS: UNCOLLECTIBLE CONTRIBUTION 110,957. PART XII, LINE 4B - OTHER ADJUSTMENTS: REFUNDED GRANT EXPENSE 812,620. 1 SUB-SAHARAN AFRICA 0 0 GRANTS 6857225 EAST ASIA AND THE PACIFIC 0 0 GRANTS 8088115 EUROPE 0 0 GRANTS 20658745 NORTH AMERICA 0 0 GRANTS 1741039 SOUTH AMERICA 0 0 GRANTS 1249662 0 0 0 0 0 0 38594786 0 38594786 SUB-SAHARAN AFRICA ROAD SAFETY 5121 WIRE TRANSFER NORTH AMERICA TOBACCO CONTROL 5500 WIRE TRANSFER SOUTH AMERICA ROAD SAFETY 5500 WIRE TRANSFER SOUTH AMERICA ROAD SAFETY 5638 WIRE TRANSFER EUROPE TREAT TB PROJECT 5712 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 5955 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 6137 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 6300 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 6540 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 6971 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 7000 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 7500 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 8050 WIRE TRANSFER SOUTH AMERICA ROAD SAFETY 8144 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 8333 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 8544 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 8746 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 8900 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 10000 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 10170 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 10500 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 10500 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 10880 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 11412 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 11600 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 13000 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 13282 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 13432 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 13700 WIRE TRANSFER SUB-SAHARAN AFRICA ROAD SAFETY 13742 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 13920 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 14356 WIRE TRANSFER SOUTH AMERICA TOBACCO CONTROL 14666 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 14850 WIRE TRANSFER SUB-SAHARAN AFRICA TREAT TB PROJECT 15000 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 15100 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 15871 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 15954 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 16279 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 17750 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 17800 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 18000 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 18510 WIRE TRANSFER SUB-SAHARAN AFRICA DATA FOR HEALTH 18675 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 19000 WIRE TRANSFER SOUTH AMERICA ROAD SAFETY 19500 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 20000 WIRE TRANSFER SUB-SAHARAN AFRICA TREAT TB PROJECT 20059 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 20432 WIRE TRANSFER SOUTH AMERICA OBESITY 20872 WIRE TRANSFER SUB-SAHARAN AFRICA DATA FOR HEALTH 20902 WIRE TRANSFER SOUTH AMERICA ROAD SAFETY 22348 WIRE TRANSFER SUB-SAHARAN AFRICA ROAD SAFETY 22488 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 25000 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 25140 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 25442 WIRE TRANSFER SUB-SAHARAN AFRICA MATERNAL HEALTH 25488 WIRE TRANSFER NORTH AMERICA TREAT TB PROJECT 27427 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 27500 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 28000 WIRE TRANSFER SOUTH AMERICA ROAD SAFETY 28000 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 28144 WIRE TRANSFER SUB-SAHARAN AFRICA ROAD SAFETY 28410 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 28479 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 29914 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 30000 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 30850 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 32000 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 32393 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 33000 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 33220 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 34766 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 35110 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 37170 WIRE TRANSFER SUB-SAHARAN AFRICA DATA FOR HEALTH 40000 WIRE TRANSFER EUROPE TOBACCO CONTROL 41166 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 43992 WIRE TRANSFER SOUTH AMERICA ROAD SAFETY 44000 WIRE TRANSFER SUB-SAHARAN AFRICA TOBACCO CONTROL 44328 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 44809 WIRE TRANSFER EUROPE EDUCATION 45643 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 45681 WIRE TRANSFER SUB-SAHARAN AFRICA TOBACCO CONTROL 46950 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 47022 WIRE TRANSFER SUB-SAHARAN AFRICA DATA FOR HEALTH 47593 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 48825 WIRE TRANSFER SUB-SAHARAN AFRICA ROAD SAFETY 49739 WIRE TRANSFER NORTH AMERICA TOBACCO CONTROL 50000 WIRE TRANSFER EAST ASIA AND THE PACIFIC ROAD SAFETY 51026 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 52410 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 53293 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 56450 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 58750 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 60000 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 60996 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 70269 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 70500 WIRE TRANSFER SOUTH AMERICA TOBACCO CONTROL 71505 WIRE TRANSFER EAST ASIA AND THE PACIFIC DATA FOR HEALTH 71641 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 72650 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 73464 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 75000 WIRE TRANSFER EUROPE TOBACCO CONTROL 75000 WIRE TRANSFER EAST ASIA AND THE PACIFIC DATA FOR HEALTH 76680 WIRE TRANSFER EAST ASIA AND THE PACIFIC DATA FOR HEALTH 78000 WIRE TRANSFER SUB-SAHARAN AFRICA TOBACCO CONTROL 78160 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 79449 WIRE TRANSFER NORTH AMERICA TOBACCO CONTROL 79692 WIRE TRANSFER NORTH AMERICA TOBACCO CONTROL 80000 WIRE TRANSFER EUROPE TOBACCO CONTROL 84326 WIRE TRANSFER SUB-SAHARAN AFRICA DATA FOR HEALTH 85466 WIRE TRANSFER EUROPE TOBACCO CONTROL 86014 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 89466 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL, TREAT TB & ROAD SAFETY 89777 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 90000 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 90000 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 90038 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 93680 WIRE TRANSFER SOUTH AMERICA ROAD SAFETY 101096 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 105000 WIRE TRANSFER EAST ASIA AND THE PACIFIC DATA FOR HEALTH 108692 WIRE TRANSFER EUROPE TOBACCO CONTROL 111457 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 128692 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 132268 WIRE TRANSFER EAST ASIA AND THE PACIFIC DATA FOR HEALTH 132950 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 139000 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 141874 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 142000 WIRE TRANSFER EAST ASIA AND THE PACIFIC DATA FOR HEALTH 142650 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 149951 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 150000 WIRE TRANSFER NORTH AMERICA TOBACCO CONTROL 150013 WIRE TRANSFER SUB-SAHARAN AFRICA DATA FOR HEALTH 151783 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 165461 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 171783 WIRE TRANSFER SUB-SAHARAN AFRICA TREAT TB PROJECT 173917 WIRE TRANSFER SUB-SAHARAN AFRICA TREAT TB PROJECT 182358 WIRE TRANSFER SUB-SAHARAN AFRICA DATA FOR HEALTH 188388 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 195837 WIRE TRANSFER NORTH AMERICA OBESITY 200000 WIRE TRANSFER SOUTH AMERICA TREAT TB PROJECT 263305 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 292490 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 307608 WIRE TRANSFER SUB-SAHARAN AFRICA TREAT TB PROJECT 324497 WIRE TRANSFER EAST ASIA AND THE PACIFIC TREAT TB PROJECT 327030 WIRE TRANSFER EUROPE TREAT TB PROJECT 336703 WIRE TRANSFER EAST ASIA AND THE PACIFIC DATA FOR HEALTH 345127 WIRE TRANSFER EAST ASIA AND THE PACIFIC TOBACCO CONTROL 359500 WIRE TRANSFER SOUTH AMERICA DATA FOR HEALTH 406724 WIRE TRANSFER SUB-SAHARAN AFRICA DATA FOR HEALTH 425078 WIRE TRANSFER EUROPE TOBACCO CONTROL 500000 WIRE TRANSFER EUROPE TREAT TB PROJECT 503783 WIRE TRANSFER EUROPE TREAT TB PROJECT 525443 WIRE TRANSFER NORTH AMERICA TOBACCO CONTROL 626840 WIRE TRANSFER EUROPE TREAT TB PROJECT 833398 WIRE TRANSFER EUROPE TREAT TB PROJECT 1007593 WIRE TRANSFER SUB-SAHARAN AFRICA TREAT TB PROJECT 1210321 WIRE TRANSFER SUB-SAHARAN AFRICA MATERNAL HEALTH 2261710 WIRE TRANSFER EUROPE DATA FOR HEALTH & TOBACCO CONTROL 7709432 WIRE TRANSFER EUROPE DATA FOR HEALTH; EDUCATION, MATERNAL HEALTH, ROAD SAFETY; TOBACCO; TREAT TB 8359791 WIRE TRANSFER 50 110 DATA FOR HEALTH AFRICA 13 234938 WIRE TRANSFER ROADSAFETY AFRICA 10 368062 WIRE TRANSFER TREAT TB AFRICA 14 759859 WIRE TRANSFER DATA FOR HEALTH EAST ASIA AND THE PACIFIC 14 393729 WIRE TRANSFER ROADSAFETY EAST ASIA AND THE PACIFIC 20 346475 WIRE TRANSFER TREAT TB EAST ASIA AND THE PACIFIC 7 553262 WIRE TRANSFER TOBACCO EAST ASIA AND THE PACIFIC 7 313159 WIRE TRANSFER TREAT TB EUROPE 2 433285 WIRE TRANSFER ROADSAFETY NORTH AMERICA 2 179345 WIRE TRANSFER TREAT TB NORTH AMERICA 1 302593 WIRE TRANSFER TOBACCO NORTH AMERICA 1 36000 WIRE TRANSFER DATA FOR HEALTH SOUTH AMERICA 2 28300 WIRE TRANSFER ROADSAFETY SOUTH AMERICA 15 176404 WIRE TRANSFER TREAT TB SOUTH AMERICA 5 28741 WIRE TRANSFER 0 0 0 0 0 0 PART I, LINE 2: IUATLD, INC. IS BOTH A RECIPIENT AND ISSUER OF GRANT FUNDING. THE ORGANIZATION MAINTAINS A GRANT FUNDING MONITORING SYSTEM TO EFFECTIVELY MONITOR AND REPORT RESULTS OF GRANT FUNDING ISSUED TO RECIPIENTS. THE DIRECT MANAGEMENT OF FUNDS IS THE RESPONSIBILITY OF THE CONTRACT MANAGER FOR THE RESPECTIVE CONTRACT OR AGREEMENT. ALL CONTRACT MANAGERS REVIEW COMPLETION OF SCOPE OF WORK DELIVERABLES VIA EMAIL FOLLOW-UP, SCHEDULED CHECK-IN PHONE CALLS AT KEY PROJECT INTERVALS AND QUARTERLY SITE VISITS PRIOR TO SIGNING OFF ON SUBMITTED INVOICES. THIS RESPONSIBILITY IS OFTENTIMES SHARED WITH A VS-MANAGED (AND OFTENTIMES CONTRACTED) EMBEDDED CONSULTANT WHO IS REQUIRED TO COMPLETE A MONTHLY REPORT AND WHO IS ALSO SUBJECT TO THE SAME REVIEW PROCESS FOR THEIR RESPECTIVE WORK BY THE ASSIGNED CONTRACT MANAGER. FOR GRANTEES, FINANCE REQUIRES AND REVIEWS QUARTERLY FINANCIAL REPORTS TO VALIDATE AND RECONCILE REPORTED EXPENSES. THESE REPORTS ARE FIRST REVIEWED BY CONTRACT MANAGERS PRIOR TO BEING REVIEWED BY THE FINANCE TEAM. SPECIFICALLY, WE HAVE 3 MECHANISMS IN PLACE: SITE VISITS (BY VARIOUS PROGRAM TEAM MEMBERS INCLUDING PHARMACISTS FOR TREAT TB/STREAM, TECHNICAL OFFICERS, GRANTS MANAGERS), FINANCIAL REPORTS, TECHNICAL REPORTS. CONSULTANTS, VENDORS AND GRANTEES ARE SELECTED IN PARTNERSHIP WITH CITY AND/OR COUNTRY GOVERNMENT PARTNERS AND KEY INITIATIVE PARTNERS. FOR CONSULTANTS, ALL AFFILIATED PARTIES AGREE ON A SCOPE OF WORK AND THE CONSULTANT POSITION IS EITHER POSTED OR SHARED WITH KEY PARTNERS TO DEVELOP A WIDE POOL OF INDIVIDUAL'S CANDIDATES. CONSULTANTS ARE THEN INTERVIEWED IN ACCORDANCE TO THE AGREED-UPON INTERVIEW FORMAT AND SELECTED FOR EACH POSITION. VENDORS ARE SELECTED EITHER VIA A BIDDING PROCESS OR VIA SOLE SOURCE SELECTION BASED ON INTERNAL CITY/COUNTRY OR INITIATIVE PARTNER EXPERIENCE. GRANTEES ARE USUALLY IDENTIFIED WITH THE ASSISTANCE OF INTERNAL CITY/COUNTRY PARTNERS FOR A SPECIFIC PURPOSE BASED ON THE ANTICIPATED SCOPE OF WORK. WHERE POSSIBLE, THE GRANTEES FOR BOTH INITIATIVES ARE THE IDENTIFIED CITY/GOVERNMENT PARTNERS THEMSELVES, BUT IF NOT GRANTEES ARE USUALLY IDENTIFIED WITH THE ASSISTANCE OF INTERNAL CITY/COUNTRY PARTNERS FOR A SPECIFIC PURPOSE BASED ON THE ANTICIPATED SCOPE OF WORK. VS THEN REVIEWS THE OPTIONS AND DECIDES WITH ASSISTANCE FROM ALL AFFILIATED PARTNERS, WHO IS THE BEST GRANTEE OPTION FOR THE SPECIFIC SCOPE OF WORK. PART I, LINE 3: EXPENDITURES ARE RECOGNIZED UNDER THE ACCRUAL BASIS OF ACCOUNTING. 1 ACTION ON SMOKING AND HEALTH (ASH) 2013 H STREET NW WASHINGTON DC 20006 132603590 501(C)(3) 146910 TOBACCO CONTROL ALBOUM & ASSOCIATES LLC 1322 N DANVILLE ST ARLINGTON VA 22201 542048846 N/A 7683 TOBACCO CONTROL COLUMBIA UNIVERSITY 622 WEST 168TH STREET PH-8 EAST NEW YORK NY 10032 135598093 501(C)(3) 106666 EDUCATION ENCOMPASS LLC 105000 ALLOWAY DRIVE POTOMAC MD 20854 522228651 N/A 19303 TREAT TB FAMILY HEALTH INTERNATIONAL (FHI 360) 359 BLACKWELL STREET SUITE 200 DURHAM NC 27701 237413005 501(C)(3) 40721 TREAT TB HEALTH ALLIANCE INTERNATIONAL (HAI) 1107 NE 45TH STREET SUITE 350 SEATTLE WA 98105 943047981 501(C)(3) 174357 TREAT TB LANGUAGE DEPARTMENT LLC 526 WEST ST 26TH ST NEW YORK NY 10001 271364882 N/A 15000 TOBACCO CONTROL M&R STRATEGIC SERVICES INC 1901 L STREET NW SUITE 800 WASHINGTON DC 20036 133588025 N/A 70000 TOBACCO CONTROL NIGHT OWL INTERACTIVE 379 WEST BROADWAY NEW YORK NY 10012 273328176 N/A 45000 TOBACCO CONTROL QUINTILES PROFESSIONAL SERVICES CENTER PO BOX 13979 RESEARCH TRAINGLE PARK NC 27709 561323952 N/A 1430611 TREAT TB SYSTEMONE 1350 MAIN STREET SUITE 500 SPRINGFIELD MA 01103 461066795 N/A 600000 TREAT TB UNIVERSITY OF PITTSBURGH 123 UNIVERSITY PL B21 PITTSBURGH PA 15213 250965591 501(C)(3) 41519 DATA FOR HEALTH VECTOR MEDIA GROUP 18 WEST 21 STREET NEW YORK NY 10010 593833142 N/A 41183 TOBACCO CONTROL 5 8 DESIGN OF POPULATION BASED SURVEY FOR TB 2 22617 COLLECTION OF DATA FOR FOR TOBACCO 1 12250 PART I, LINE 2: IUATLD, INC. IS BOTH A RECIPIENT AND ISSUER OF GRANT FUNDING. THE ORGANIZATION MAINTAINS A GRANT FUNDING MONITORING SYSTEM TO EFFECTIVELY MONITOR AND REPORT RESULTS OF GRANT FUNDING ISSUED TO RECIPIENTS. THE DIRECT MANAGEMENT OF FUNDS IS THE RESPONSIBILITY OF THE CONTRACT MANAGER FOR THE RESPECTIVE CONTRACT OR AGREEMENT. ALL CONTRACT MANAGERS REVIEW COMPLETION OF SCOPE OF WORK DELIVERABLES VIA EMAIL FOLLOW-UP, SCHEDULED CHECK-IN PHONE CALLS AT KEY PROJECT INTERVALS AND QUARTERLY SITE VISITS PRIOR TO SIGNING OFF ON SUBMITTED INVOICES. THIS RESPONSIBILITY IS OFTENTIMES SHARED WITH A VS-MANAGED (AND OFTENTIMES CONTRACTED) EMBEDDED CONSULTANT WHO IS REQUIRED TO COMPLETE A MONTHLY REPORT AND WHO IS ALSO SUBJECT TO THE SAME REVIEW PROCESS FOR THEIR RESPECTIVE WORK BY THE ASSIGNED CONTRACT MANAGER. FOR GRANTEES, FINANCE REQUIRES AND REVIEWS QUARTERLY FINANCIAL REPORTS TO VALIDATE AND RECONCILE REPORTED EXPENSES. THESE REPORTS ARE FIRST REVIEWED BY CONTRACT MANAGERS PRIOR TO BEING REVIEWED BY THE FINANCE TEAM. SPECIFICALLY, WE HAVE 3 MECHANISMS IN PLACE: SITE VISITS (BY VARIOUS PROGRAM TEAM MEMBERS INCLUDING PHARMACISTS FOR TREAT TB/STREAM, TECHNICAL OFFICERS, GRANTS MANAGERS), FINANCIAL REPORTS, TECHNICAL REPORTS. CONSULTANTS, VENDORS AND GRANTEES ARE SELECTED IN PARTNERSHIP WITH CITY AND/OR COUNTRY GOVERNMENT PARTNERS AND KEY INITIATIVE PARTNERS. FOR CONSULTANTS, ALL AFFILIATED PARTIES AGREE ON A SCOPE OF WORK AND THE CONSULTANT POSITION IS EITHER POSTED OR SHARED WITH KEY PARTNERS TO DEVELOP A WIDE POOL OF INDIVIDUAL'S CANDIDATES. CONSULTANTS ARE THEN INTERVIEWED IN ACCORDANCE TO THE AGREED-UPON INTERVIEW FORMAT AND SELECTED FOR EACH POSITION. VENDORS ARE SELECTED EITHER VIA A BIDDING PROCESS OR VIA SOLE SOURCE SELECTION BASED ON INTERNAL CITY/COUNTRY OR INITIATIVE PARTNER EXPERIENCE. GRANTEES ARE USUALLY IDENTIFIED WITH THE ASSISTANCE OF INTERNAL CITY/COUNTRY PARTNERS FOR A SPECIFIC PURPOSE BASED ON THE ANTICIPATED SCOPE OF WORK. WHERE POSSIBLE, THE GRANTEES FOR BOTH INITIATIVES ARE THE IDENTIFIED CITY/GOVERNMENT PARTNERS THEMSELVES, BUT IF NOT GRANTEES ARE USUALLY IDENTIFIED WITH THE ASSISTANCE OF INTERNAL CITY/COUNTRY PARTNERS FOR A SPECIFIC PURPOSE BASED ON THE ANTICIPATED SCOPE OF WORK. VS THEN REVIEWS THE OPTIONS AND DECIDES WITH ASSISTANCE FROM ALL AFFILIATED PARTNERS, WHO IS THE BEST GRANTEE OPTION FOR THE SPECIFIC SCOPE OF WORK. X X X 0 0 0 0 0 0 0 1 0 JOSE LUIS CASTRO PRESIDENT & CEO 375000 0 0 0 0 0 4943 0 33 0 379976 0 0 0 PETER A BALDINI TRUSTEE/SR. ADVISOR FOR NEW BUSINESS 207667 0 0 0 0 0 0 0 10041 0 217708 0 0 0 MILI CHOWFLA SENIOR VP FINANCE & ADMINISTRATION 180250 0 0 0 0 0 6008 0 28807 0 215065 0 0 0 SANDRA MULLIN SR. VP. COMMUNICATION 216300 0 0 0 0 0 8652 0 24499 0 249451 0 0 0 WHITNEY REITZ SR. VP BUSINESS DEVELOPMENT 180249 0 0 0 0 0 6909 0 18970 0 206128 0 0 0 IRA D RUSEN SR VP RESEARCH & DEVELOPMENT 250000 0 0 0 0 0 8871 0 1884 0 260755 0 0 0 ADAM M KARPATI SR VP PUBLIC HEALTH 271276 0 20000 0 0 0 10622 0 35412 0 337310 0 0 0 SEMIR TANOVIC SR. VP OF GLOBAL OPERATION 180250 0 0 0 0 0 8094 0 34330 0 222674 0 0 0 STEPHEN HAMILL DIR. POLICY/ADV./COMMUNICATION 154500 0 10000 0 0 0 6580 0 35147 0 206227 0 0 0 PHILIP SETEL VP AND DIRECTOR, CRVS 211150 0 5000 0 0 0 8094 0 1373 0 225617 0 0 0 PAULA FUJIWARA SCIENTIFIC DIRECTOR 288606 0 0 0 0 0 11544 0 25244 0 325394 0 0 0 JOHANNA BIRCKMAYER SR. TECHNICAL ADVISOR 177160 0 0 0 0 0 6158 0 20972 0 204290 0 0 0 RICHARD DELANEY DEPUTY DIRECTOR 154500 0 5000 0 0 0 6380 0 34455 0 200335 0 0 0 PART I, LINE 7 THE DIVISION SENIOR VICE PRESIDENTS RECOMMEND THAT STAFF RECEIVE A BONUS BASED ON THE FOLLOWING CRITERIA: INTENSITY OF WORK OVER THE PREVIOUS YEAR, EXCEPTIONAL PERFORMANCE, COMPLETION OF SPECIAL PROJECTS AND BRINGING IN NEW BUSINESS TO THE ORGANIZATION. ALL BONUSES ARE APPROVED BY THE PRESIDENT AND CHIEF EXECUTIVE OFFICER. REBECCA PERL, RICHARD DELANEY, STEPHEN HAMILL, ADAM M. KARPATI, LAURA COBB AND JAN KOMSKA RECEIVED BOARD APPROVED BONUSES IN THEIR 2016 W-2. FORM 990, PART VI, SECTION B, LINE 11B THE BOARD OF DIRECTORS MEMBERS ARE PROVIDED WITH ELECTRONIC COPY OF THE 990 DRAFT FOR THEIR REVIEW. A BOARD OF DIRECTORS MEETING IS CALLED BY THE EXECUTIVE DIRECTOR TO DISCUSS THE DRAFT AND APPROVE IT FOR FILING. FORM 990, PART VI, SECTION B, LINE 12C IUATLD, INC. HAS IN PLACE A CONFLICT OF INTEREST POLICY WHICH IT ANNUALLY MONITORS AND ENFORCES. THE BOARD OF DIRECTORS MANDATES THAT ALL MEMBERS OF MANAGEMENT, (OFFICERS AND KEY EMPLOYEES) AND THE GOVERNING BODY ANNUALLY SIGN A CONFLICT OF INTEREST POLICY AND DISCLOSE ANY POTENTIAL OR ACTUAL CONFLICTS THAT MAY EXIST. THE SIGNED POLICIES ARE SUBMITTED TO THE EXECUTIVE DIRECTOR (WHO CURRENTLY SERVES AS THE ORGANIZATION'S COMPLIANCE OFFICER) WHO REVIEWS THE SIGNED ATTESTATIONS FOR POTENTIAL OR ACTUAL CONFLICTS. (IN THE ABSENCE OF A DEDICATED COMPLIANCE OFFICER, THE PRESIDENT OF THE BOARD OF DIRECTORS CURRENTLY PERFORMS THIS FUNCTION FOR THE POLICY SUBMITTED BY THE EXECUTIVE DIRECTOR). IF POTENTIAL OR ACTUAL CONFLICTS OF INTEREST EXIST, PROPER NOTIFICATIONS ARE MADE, AND RESULTS OF INVESTIGATIONS ARE SUMMARIZED AND REPORTED TO THE BOARD OF DIRECTORS. IF ACTUAL CONFLICTS EXIST, THE INDIVIDUAL(S) INVOLVED ARE NOT ALLOWED TO VOTE OR BE A PART OF ANY DECISIONS ABOUT ANY SUCH TRANSACTIONS THAT RELATE TO THE CONFLICT UNTIL SUCH TIME AS THERE IS NO LONGER A CONFLICT. FORM 990, PART VI, SECTION B, LINE 15 VITAL STRATEGIES (VS) USES INDUSTRY STANDARD TO DETERMINE THE REMUNERATION OF EXECUTIVE AND MANAGEMENT TEAM. VS HAS ESTABLISHED THE MANAGEMENT PERFORMANCE COMMITTEE THAT ASSISTS THE BOARD WITH ENSURING THAT THE CORPORATION'S COMPENSATION PROGRAM (I) IS ALIGNED WITH THE CORPORATION'S STRATEGIC PLAN AND OVERALL PERFORMANCE GOALS, (II) IS COMPETITIVE WITH PROGRAMS OFFERED BY THE CORPORATION'S PEERS IN THE NEW YORK CITY REGION, (III) RETAINS AND MOTIVATES QUALIFIED EMPLOYEES, AND (IV) PROMOTES THE INTEREST OF THE CORPORATION. THE MANAGEMENT PERFORMANCE COMMITTEE REVIEWS ANNUALLY THE PERFORMANCE OF THE CORPORATION'S CHIEF EXECUTIVE OFFICER AND INFORMS THE BOARD ABOUT THE RESULTS OF THIS REVIEW NOT LATER THAN ONE MONTH PRIOR TO THE ANNUAL MEETING OF THE BOARD. THE TOTAL COMPENSATION OF THE PRESIDENT AND CHIEF EXECUTIVE OFFICER SHALL BE RECOMMENDED BY THE COMMITTEE AND RATIFIED BY THE BOARD. THE MANAGEMENT PERFORMANCE COMMITTEE REVIEWS ON AN ANNUAL BASIS THE CORPORATION'S STATED COMPENSATION STRATEGY TO DETERMINE IF THE CORPORATION'S OFFICERS AND KEY EMPLOYEES ARE REWARDED APPROPRIATELY FOR THEIR CONTRIBUTIONS TO THE CORPORATION'S GROWTH AND PERFORMANCE AND IF THE STRATEGY SUPPORTS THE CORPORATION'S OBJECTIVES AND INTERESTS. THE MANAGEMENT PERFORMANCE COMMITTEE SHALL ALSO REVIEW AND RECOMMEND THE INITIAL BASE COMPENSATION PAID TO EACH NEW OFFICER OF THE CORPORATION AND ITS AFFILIATES. A VARIETY OF INFORMATION AND COMPARABILITY DATA ARE BEING USED TO DETERMINE THAT THE APPROPRIATE LEVEL OF COMPENSATION IS BEING PAID TO CORPORATION'S OFFICERS AND KEY EMPLOYEES. THESE INCLUDE SURVEYS OF NEW YORK CITY-BASED NON-PROFIT COMPENSATION PRACTICES AND AFFILIATE OFFICES OF INTERNATIONAL ORGANIZATIONS, COMPARABLE PACKAGES FOR KEY STAFF OF PEER ORGANIZATIONS, AND COMPENSATION PRACTICES EXPECTED BY PROJECT DONORS. DECISIONS TAKEN ON COMPENSATION LEVELS TO BE PAID IS DOCUMENTED IN WRITTEN FORM TO INCLUDE THE DATES DECISIONS ARE TAKEN, THE PARTIES PRESENT DURING THE DECISION, THE FULL TERMS APPROVED AND THE COMPARABILITY DATA USED AND RELIED UPON TO MAKE THE DECISION. FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICIES AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST AND ALSO POSTED TO: BETTER BUSINESS BUREAU SERVING METROPOLITAN NEW YORK 30 E 33RD STREET 12TH FLOOR NEW YORK, NY 10016 FORM 990, PART XI, LINE 9: REFUNDED GRANT EXPENSE 812,620. UNCOLLECTIBLE CONTRIBUTION -110,957. FORM 990, PART XI, LINE 2C: THIS PROCESS DID NOT CHANGE FROM THE PRIOR YEAR.