2015-10-02T15:24:14-05:00 2014-12-31 521511275 RAFFA PC 1899 L STREET NW SUITE 900 WASHINGTON DC 20036 990 2014-01-01 840399006 THE ASPEN INSTITUTE INC ASPE 2027361074 ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 DOLORES GORGONE CFO 2027361074 2015-10-02 1 FRANK H SMITH P00639053 2028225000 2015-10-02 2014 2016-03-07 17:11:31Z WALTER ISAACSON ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 165841721 0 X WWW.ASPENINSTITUTE.ORG X 1949 CO VALUES-BASED LEADERSHIP IN NEUTRAL AND BALANCED VENUE FOR DISCUSSING CRITICAL ISSUES. 65 64 452 180 8916214 -804400 68204184 68633372 24769782 28384520 310104 -632796 -41591 79121 93242479 96464217 5834375 6053050 0 0 32007958 35680382 0 0 2403438 44283779 49629398 82126112 91362830 11116367 5101387 220838386 232206093 14337183 16794826 206501203 215411267 X THE INSTITUTE'S MISSION IS TO FOSTER VALUES-BASED LEADERSHIP ENCOURAGING INDIVIDUALS TO REFLECT ON THE IDEALS AND IDEAS THAT DEFINE A GOOD SOCIETY AND TO PROVIDE A NEUTRAL AND BALANCED VENUE FOR DISCUSSING AND ACTING ON CRITICAL ISSUES. [CONTINUED ON SCHED. O] THE INSTITUTE DOES THIS IN FOUR WAYS: SEMINARS, WHICH HELP PARTICIPANTS REFLECT ON WHAT THEY THINK MAKES A GOOD SOCIETY AND ENHANCING THEIR CAPACITY TO SOLVE THE PROBLEMS LEADERS FACE; YOUNG LEADER FELLOWSHIPS AROUND THE GLOBE, WHICH BRING PROVEN LEADERS TOGETHER FOR AN INTENSE MULTI-YEAR PROGRAM AND COMMITMENT; POLICY PROGRAMS, WHICH SERVE AS NONPARTISAN FORUMS FOR ANALYSIS, CONSENSUS-BUILDING AND PROBLEM-SOLVING ON A WIDE VARIETY OF ISSUES; AND PUBLIC PROGRAMS WHICH PROVIDE A COMMONS FOR PEOPLE TO SHARE IDEAS. THE INSTITUTE IS BASED IN WASHINGTON D.C. WITH OPERATIONS IN ASPEN, COLORADO, NEW YORK CITY, AND ON THE WYE RIVER ON MARYLAND'S EASTERN SHORE. IT ALSO HAS AN INTERNATIONAL NETWORK OF PARTNERS. 0 0 39274652 6011315 5486446 POLICY PROGRAM: THE INSTITUTE'S PROGRAMS ADVANCE PUBLIC AND PRIVATE-SECTOR KNOWLEDGE ON SIGNIFICANT POLICY ISSUES CONFRONTING CONTEMPORARY SOCIETY. THEY CONVENE LEADERS AND EXPERTS TO SEEK CONSTRUCTIVE SOLUTIONS TO CRITICAL PROBLEMS. WHILE EACH PROGRAM IS UNIQUE IN SUBSTANCE AND APPROACH THEY ALL SHARE A COMMITMENT TO ADVANCING BETTER POLICY BY BRINGING DIVERSE PERSPECTIVES TOGETHER IN PURSUIT OF INFORMED DIALOGUE AND EFFECTIVE SOLUTIONS. 14593653 8454699 CAMPUS ACTIVITIES: THE INSTITUTE CARRIES OUT MUCH OF ITS WORK ON ITS TWO CAMPUSES. IN ASPEN, COLORADO AND ON THE WYE RIVER, ON MARYLAND'S EASTERN SHORE WHERE NATURAL BEAUTY AND QUIET SURROUNDINGS ENCOURAGES THOUGHTFUL REFLECTION AND REFRESHES THE MIND, BODY AND SPIRIT. 10992511 41735 11590796 PUBLIC PROGRAMS: THE INSTITUTE'S PUBLIC PROGRAM OPENS THE DOORS TO THE PUBLIC, OFFERING OPPORTUNITIES TO ENGAGE IN THOUGHTFUL, NONPARTISAN INQUIRY. OUR MAJOR EVENTS INCLUDE THE ASPEN IDEAS FESTIVAL, THE MCCLOSKEY SPEAKER SERIES, THE ASPEN SECURITY FORUM, THE ASPEN CHALLENGE PROGRAM, AND THE ALMA AND JOSEPH GILDENHORN BOOK SERIES. THESE PUBLIC FORUMS ENGAGE OVER 8,000 MEMBERS OF THE GENERAL PUBLIC ANNUALLY. 4870624 774590 ASPEN GLOBAL LEADERSHIP NETWORK 1088828 1863617 SEMINARS 1384086 214372 OTHER RESTRICTED PROGRAMS 7343538 2852579 72204354 1 1 0 0 0 0 1 1 0 1 1 1 0 0 1 1 1 0 0 0 1 1 0 0 1 0 0 1 1 1 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 1 532 0 1 452 1 1 1 0 0 0 0 1 1 0 0 0 0 X 65 64 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AK AZ AR CA CO CT FL GA IL KS KY ME MD MA MI MN MS MO NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI X X ASPEN INSTITUTEDOLORES GORGONE 2027361074 ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 ROBERT K STEEL CHAIRMAN 1.00 X X 0 0 0 JAMES SCHINE CROWN VICE CHAIR 0.30 X X 0 0 0 WILLIAM E MAYER CHAIRMAN EMERITUS 0.30 X X 0 0 0 MADELEINE K ALBRIGHT CHAIR 0.30 X 0 0 0 PAUL F ANDERSON TRUSTEE 0.30 X 0 0 0 MERCEDES BASS TRUSTEE 0.30 X 0 0 0 MIGUEL MIKE BEZOS TRUSTEE 0.30 X 0 0 0 RICHARD BRADDOCK TRUSTEE 0.30 X 0 0 0 BETH BROOKE-MARCINIAK TRUSTEE 0.30 X 0 0 0 MELVA BUCKSBAUM TRUSTEE - UNTIL 04/2014 0.30 X 0 0 0 WILLIAM D BUDINGER TRUSTEE 0.30 X 0 0 0 STEPHEN L CARTER TRUSTEE 0.30 X 0 0 0 CESAR R CONDE TRUSTEE 0.30 X 0 0 0 ANDREA CUNNINGHAM TRUSTEE 0.30 X 0 0 0 KENNETH L DAVIS MD TRUSTEE 0.30 X 0 0 0 JOHN DOERR TRUSTEE 0.30 X 0 0 0 THELMA DUGGIN TRUSTEE 0.30 X 0 0 0 SYLVIA A EARLE TRUSTEE 0.30 X 0 0 0 MICHAEL D EISNER TRUSTEE 0.30 X 0 0 0 L BROOKS ENTWISTLE TRUSTEE 0.30 X 0 0 0 HENRIETTA HOLSMAN FORE TRUSTEE 0.30 X 0 0 0 ANN B FRIEDMAN TRUSTEE 0.30 X 0 0 0 HENRY LOUIS GATES JR TRUSTEE 0.30 X 0 0 0 DAVID GERGEN TRUSTEE 0.30 X 0 0 0 GERALD GREENWALD TRUSTEE 0.30 X 0 0 0 PATRICK W GROSS TRUSTEE 0.30 X 0 0 0 ARJUN GUPTA TRUSTEE 0.30 X 0 0 0 JANE HARMAN TRUSTEE 0.30 X 0 0 0 HAYNE HIPP TRUSTEE 0.30 X 0 0 0 MARK S HOPLAMAZIAN TRUSTEE 0.30 X 0 0 0 GERALD D HOSIER TRUSTEE 0.30 X 0 0 0 ANN FRASHER HUDSON TRUSTEE 0.30 X 0 0 0 ROBERT HURST TRUSTEE 0.30 X 0 0 0 SALMAN KHAN TRUSTEE 0.30 X 0 0 0 MICHAEL KLEIN TRUSTEE 0.30 X 0 0 0 DAVID KOCH TRUSTEE 0.30 X 0 0 0 TIMOTHY K KRAUSKOPF TRUSTEE 0.30 X 0 0 0 LAURA LAUDER TRUSTEE 0.30 X 0 0 0 LEONARD A LAUDER TRUSTEE - UNTIL 04/2014 0.30 X 0 0 0 YO-YO MA TRUSTEE 0.30 X 0 0 0 FREDERIC V MALEK TRUSTEE 0.30 X 0 0 0 JAMES M MANYIKA TRUSTEE 0.30 X 0 0 0 BONNIE PALMER MCCLOSKEY TRUSTEE 0.30 X 0 0 0 DAVID MCCORMICK TRUSTEE 0.30 X 0 0 0 ANNE WELSH MCNULTY TRUSTEE 0.30 X 0 0 0 DIANE L MORRIS TRUSTEE 0.30 X 0 0 0 KARLHEINZ MUHR TRUSTEE 0.30 X 0 0 0 CLARE MUNANA TRUSTEE 0.30 X 0 0 0 JERRY MURDOCK TRUSTEE 0.30 X 0 0 0 MARC B NATHANSON TRUSTEE 0.30 X 0 0 0 WILLIAM A NITZE TRUSTEE 0.30 X 0 0 0 HER MAJESTY QUEEN NOOR TRUSTEE 0.30 X 0 0 0 JACQUELINE NOVOGRATZ TRUSTEE 0.30 X 0 0 0 OLARA A OTUNNU TRUSTEE 0.30 X 0 0 0 ELAINE PAGELS TRUSTEE 0.30 X 0 0 0 CHARLES POWELL TRUSTEE - UNTIL 04/2014 0.30 X 0 0 0 MICHAEL K POWELL TRUSTEE - UNTIL 04/2014 0.30 X 0 0 0 MARGOT L PRITZKER TRUSTEE 0.30 X 0 0 0 LYNDA RESNICK TRUSTEE 0.30 X 0 0 0 CONDOLEEZZA RICE TRUSTEE 0.30 X 0 0 0 JAMES E ROGERS TRUSTEE 0.30 X 0 0 0 RICARDO SALINAS TRUSTEE 0.30 X 0 0 0 ISAAC SHONGWE TRUSTEE 0.30 X 0 0 0 ANNA DEAVERE SMITH TRUSTEE 0.30 X 0 0 0 MICHELLE SMITH TRUSTEE 0.30 X 0 0 0 LAURIE M TISCH TRUSTEE 0.30 X 0 0 0 RODERICK VON LIPSEY TRUSTEE 0.30 X 0 0 0 VIN WEBER TRUSTEE 0.30 X 0 0 0 WALTER ISAACSON PRESIDENT/CEO 40.00 X X 808501 0 71075 ELLIOT GERSON EXECUTIVE VP 40.00 X 351358 0 71075 AMY MARGERUM EXEC. VP/CORPORATE S. 40.00 X 353222 0 61131 PETER REILING EXECUTIVE VP 40.00 X 351313 0 71056 SUSAN SHERWIN EXECUTIVE VP - UNTIL 01/2014 40.00 X 98792 0 42072 DOLORES GORGONE CHIEF FINANCIAL OFFICER 40.00 X 297795 0 42324 DAN GLICKMAN EXECUTIVE DIRECTOR-CONGRES 40.00 X 319249 0 33360 CHARLIE FIRESTONE EXEC. DIR. C&S 40.00 X 318655 0 61131 MICKEY EDWARDS DIR. RODEL 40.00 X 305183 0 50776 STACE LINDSAY DIRECTOR 40.00 X 272984 0 29392 MARGARET CLARK VICE PRES. POLICY PROGRAMS 40.00 X 262506 0 61079 3739558 0 594471 87 0 1 0 CONDE NAST PUBLIC 4 TIMES SQUARE NEW YORK NY 10036 VANITY FAIR SUMMIT 1224210 COLORADO AUDIO VISUAL INC 409 AABC SUITE B ASPEN CO 81611 AV CONSULTANTS 846128 CLUNE CONSTRUCTION 10 SOUTH RIVERSIDE PLAZA SUITE 220 CHICAGO IL 60606 OFFICE CONSTRUCTION 650631 HOTEL JEROME 330 E MAIN STREET ASPEN CO 81611 CONFERENCE SERVICES 348887 SITE SELECTION 6404 RUBY WAY CARLSBAD CA 92011 CONFERENCE SERVICES 286814 72 2226990 1135746 65270636 3951922 68633372 SEMINAR AND EVENT FEES 900099 10790876 10790876 CONTRACT REVENUE 900099 9122265 9122265 CONF./FACILITY FEES 531390 8453809 8453809 BOOK SALES 900099 17570 17570 28384520 205403 173312 32091 97665 62877 34788 34788 34788 67801202 68639401 -838199 -838199 -838199 236350 2226990 675226 -438876 -438876 ADVERTISING INCOME 541800 289093 289093 OTHER INCOME 900099 190216 190216 SUBLEASE INCOME 900099 3900 3900 483209 96464217 19930711 8916214 -1016080 5586357 5586357 230953 230953 235740 235740 2619714 561786 1792758 265170 25967301 19175320 5709396 1082585 2368634 1913716 340721 114197 2897675 2297577 489766 110332 1827058 1387807 333363 105888 12990823 12990823 172764 28477 144287 127138 208 126930 31064 31064 5418049 5023220 394829 185834 174925 9010 1899 4566637 2172805 2200391 193441 1141203 673108 465012 3083 2723410 1801748 847507 74155 10133886 9587768 357476 188642 483602 483602 2181650 2027423 154227 2742316 2742316 284167 4967 279200 PROGRAM COSTS 2176065 2176065 PUBLICATIONS 1913419 1739699 146111 27609 AUDIO/VISUAL 1326818 1126169 176322 24327 BAD DEBT 807796 609347 2929 195520 222757 194744 11423 16590 91362830 72204354 16755038 2403438 3476 2523 7250292 15933981 43854378 43373779 1922553 3062934 115860 100074 709031 1255976 93595842 41969985 52883750 51625857 28882527 9845055 85115047 106896418 101472 109496 220838386 232206093 5716997 6445740 1072246 725376 4722579 5571367 2825361 4052343 14337183 16794826 X 83941397 83804671 75756841 81654997 46802965 49951599 206501203 215411267 220838386 232206093 X 5101387 4808677 -1000000 X 0 1 X 1 1 1 X 49443174 49664114 71686768 68204184 68633372 307631612 49443174 49664114 71686768 68204184 68633372 307631612 29813414 277818198 769891 479603 347151 334358 133656 2064659 235057 402809 485061 398612 190216 1711755 311408026 74150036 0.89210 0.88900 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2010 AMOUNT: $ 235,057. 2011 AMOUNT: $ 402,809. 2012 AMOUNT: $ 485,061. 2013 AMOUNT: $ 398,612. 2014 AMOUNT: $ 190,216. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 1 250.38 0 0 0 1 1 150004 775706 X 0 75351962 4417778 2668734 2235125 80203349 59703811 12128542 5470942 1951333 75351962 44873360 12703802 3285463 2299326 58563299 43483211 4713266 -393566 2929551 44873360 37422020 4218614 3375615 1533038 43483211 0.26040 0.62280 0.11680 0 0 10627664 10627664 66978566 29365248 37613318 915556 252447 663109 4339283 4658379 -319096 10734773 7693911 3040862 51625857 INVESTMENT CONTRACT 526768 F LIMITED PARTNERSHIPS 106369650 F 106896418 CAPITAL LEASE OBLIGATIONS 92616 DEFERRED COMPENSATION 3268310 DEFERRED RENT AND LEASE INCENTIVE 691417 4052343 X 102094242 4808677 114309 4922986 97171256 31064 -738103 -707039 96464217 92184178 114309 114309 92069869 31064 -738103 -707039 91362830 PART II, LINE 5: ASPEN CONTINUES TO COMPLY WITH TERMS OF CONTRACT GOVERNING THE CONSERVATION EASEMENT HELD, WHICH INCLUDES PROTECTION OF NATURAL HABITAT. PART II, LINE 9: ASPEN HOLDS A CONSERVATION EASEMENT ON THE BALANCE SHEET AND THE CONTRIBUTED PARCEL OF LAND WAS BOOKED AS REVENUE FOR THE YEAR IT WAS GIFTED. PART III, LINE 4: AT OUR ASPEN MEADOWS CAMPUS, ASPEN, COLORADO, WE HAVE A LARGE COLLECTION OF ART THAT IS ON DISPLAY BOTH IN GALLERIES AND PUBLIC SPACES. IT IS ENJOYED BY GUESTS WHO VISIT AND STAY AT OUR RESORT. THIS ART COLLECTION IS MADE UP OF PHOTOS FROM FRANZ BERKO, OFFICIAL PHOTOGRAPHER FOR THE INSTITUTE, AS WELL AS ART IN VARIOUS MEDIUMS BY HERBERT BAYER. BAYER WAS THE ARCHITECT FOR OUR CAMPUS, AND ALSO DESIGNED SEVERAL OF THE LAND FORMS THROUGHOUT OUR PROPERTY. ONE GALLERY ON PROPERTY IS DEDICATED SOLELY TO THE WORK OF BAYER. PART V, LINE 4: 4.5% OF A 12 QUARTER ROLLING AVERAGE OF THE FUNDS ARE USED TO FUND PROGRAMMATIC WORK OF THE INSTITUTE. PART X, LINE 2: THE INSTITUTE PERFORMED AN EVALUATION OF UNCERTAIN TAX POSITIONS FOR THE YEAR ENDED DECEMBER 31, 2014, AND DETERMINED THAT THERE WERE NO MATTERS THAT WOULD REQUIRE RECOGNITION IN THE FINANCIAL STATEMENTS OR THAT MAY HAVE ANY EFFECT ON ITS TAX-EXEMPT STATUS. PART XI, LINE 4B - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES -675,226. RENTAL EXPENSES -62,877. PART XII, LINE 4B - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES -675,226. RENTAL EXPENSES -62,877. 1 CENTRAL AMERICA AND THE CARIBBEAN - 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 16397 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 88799 EUROPE (INCLUDING ICELAND & GREENLAND) - 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 396521 MIDDLE EAST AND NORTH AFRICA - 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 317724 NORTH AMERICA - CANADA AND MEXICO, BUT 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 254593 SOUTH AMERICA - ARGENTINA, BOLIVIA, 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 163124 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 552321 SUB-SAHARAN AFRICA - ANGOLA, 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 357245 0 0 0 0 0 0 2146724 0 2146724 SUB-SAHARAN AFRICA NON PROFIT - EMPOWER AFRICAN WOMEN ENTREPRENEURS THROUGH PRACTICAL AND ACCESSIBLE LEARNING AND DEVELOPMENT 50000 WIRE TRANSFER SOUTH AMERICA SUPPORT CHAPTER OPERATIONS 5000 WIRE TRANSFER SUB-SAHARAN AFRICA - ANGOLA, BENIN, BOTSWANA, BURKINA FASO, MCNULTY PRIZE AWARD 50000 WIRE TRANSFER SOUTH ASIA SUPPORT THE CONVENING OF THE PLANNED IN PERSON DIALOGUE MEETING IN WASHINGTON DC. 62740 WIRE TRANSFER SUB-SAHARAN AFRICA SUPPORT CHAPTER OPERATIONS 7500 WIRE TRANSFER SOUTH ASIA SUPPORT CHAPTER OPERATIONS 7500 WIRE TRANSFER SOUTH ASIA WEB BASED TOOL TO ENABLE WOMEN BASED SGBS IMPROVE LOAN APPROVAL RATES 50000 WIRE TRANSFER 0 6 0 0 0 0 0 1 PART I, LINE 2: FROM TIME TO TIME THE INSTITUTE ENGAGES OTHER ENTITIES TO FURTHER THE OBJECTIVES SET FORTH IN OUR GRANT AGREEMENTS. THIS IS TYPICALLY DONE VIA SUB-AWARDS OR RE-GRANTS THAT RUN CONCURRENTLY WITH THE PRIME AWARD IN WHICH THE SUB RECIPIENTS ARE ADVISED OF ALL APPLICABLE LAWS AND REGULATIONS, AND ALL APPROPRIATE FLOW-DOWN PROVISIONS FROM THE PRIME AGREEMENT. ALL SUB GRANTEES OR SERVICE PROVIDERS MUST ALSO CERTIFY THAT THEY DO NOT AND WILL NOT KNOWINGLY PROVIDE MATERIAL SUPPORT OR RESOURCES TO ANY INDIVIDUAL OR ENTITY INVOLVED WITH TERRORISM (INCLUDING ANY INDIVIDUALS, ENTITIES, OR GROUPS SUBJECT TO OFAC SANCTIONS) OR TO ANYONE WHO ACTS AS AN AGENT FOR SUCH AN INDIVIDUAL OR ENTITY. ANY VIOLATION OF THIS CERTIFICATION MUST BE GROUNDS FOR IMMEDIATE TERMINATION OF THE LETTER OF AGREEMENT AND RETURN OF ALL GRANT FUNDS. THE FREQUENCY AND SCOPE OF THE RESEARCH PROGRAM'S MONITORING PROCEDURES ARE DETERMINED JOINTLY BY THE RESPONSIBLE PROGRAM MANAGER AND RESPECTIVE GRANT ADMINISTRATOR/FINANCIAL ANALYST. THIS INCLUDES THE ROUTINE RECEIPT AND REVIEW OF THE NARRATIVE AND FINANCIAL REPORTS, A REVIEW OF EXPENSES TO BUDGET, THE OPTION TO PERFORM AUDITS, AND ALLOWS FOR THE PERFORMANCE OF SITE VISITS IF NECESSARY. THE INSTITUTE SHOULD BE NOTIFIED WHENEVER PROBLEMS, DELAYS OR OTHER CONDITIONS DEVELOP WHICH WOULD HAVE SIGNIFICANT IMPACT UPON THE PROJECT. BUDGET REVISIONS ARE ALLOWED WITHIN THE PARAMETERS SET FORTH IN EACH SUB AWARD. THE PAYMENT SCHEDULE AND THE DECREE OF FLEXIBILITY OFFERED MAY DEPEND ON PREVIOUS EXPERIENCE WITH THE RECIPIENT, THE DEGREE OF EXTERNAL OVERSIGHT BY OTHER PARTIES, AND THE SOPHISTICATION OF THE RECIPIENT'S ADMINISTRATIVE SYSTEMS. PARTICIPANTS ARE EXPECTED TO COMPLY WITH ALL RELEVANT U.S. LAWS. PRIOR TO ISSUING AWARDS TO FOREIGN ENTITIES, THE PROGRAMS ARE BEING ASKED TO COMPLETE A DUE DILIGENCE CHECKLIST, WHICH INCLUDES ADDITIONAL INFORMATION ABOUT THE SUB RECIPIENT INCLUDING: ANY REASONABLY AVAILABLE HISTORICAL INFORMATION ABOUT THE GRANTEE THAT ASSURES THE INSTITUTE OF THE GRANTEE'S IDENTITY AND INTEGRITY SUCH AS THE JURISDICTION IN WHICH A GRANTEE ORGANIZATION IS INCORPORATED OR FORMED; COPIES OF INCORPORATING OR OTHER GOVERNING INSTRUMENTS; INFORMATION ON THE INDIVIDUALS WHO FORMED AND OPERATE THE ORGANIZATION; AND INFORMATION RELATING TO THE GRANTEE'S OPERATING HISTORY; THE GRANTEE OR SERVICE PROVIDER'S NAME IN ENGLISH, AND THE LANGUAGE OF ORIGIN, AND ANY ACRONYM OR OTHER NAMES USED TO IDENTIFY THE GRANTEE; THE JURISDICTIONS IN WHICH A GRANTEE OR SERVICE PROVIDER MAINTAINS A PHYSICAL PRESENCE; THE GRANTEE OR SERVICE PROVIDER'S POSTAL, EMAIL AND WEBSITE ADDRESSES AND PHONE NUMBERS FOR EACH PLACE OF BUSINESS. THE INSTITUTE ALSO CONDUCTS A REASONABLE SEARCH OF PUBLICLY AVAILABLE INFORMATION TO DETERMINE WHETHER THE GRANTEE OR SERVICE PROVIDER IS SUSPECTED OF ACTIVITY RELATING TO TERRORISM, INCLUDING TERRORIST FINANCING OR OTHER SUPPORT. ANNUAL DINNER 1433212 1326512 106700 6120 149670 246631 SUMMER BENEFIT DINNER 502939 438939 64000 1453 2578 96819 2 527189 461539 65650 4632 6318 161005 2463340 2226990 236350 12205 158566 504455 675226 -438876 1 ABRIENDO PUERTASTIDES CENTER 1014 TORNEY AVENUE SAN FRANCISCO CA 94129 943213100 501(C)(3) 50000 DEVELOP AND LAUNCH A FREE BILINGUAL MOBILE APP TO SCALE CURRICULUM TO REACH MORE FAMILIES AND STRENGTHENING EDUCATIONAL OUTCOMES ACUMEN FUND 76 NINETH AVENUE SUITE 315 NEW YORK NY 10011 134166228 501(C)(3) 225720 TESTING MOBILE PHONES AND SHORT FORM SURVEYING IN ORDER TO PROVE AND IMPROVE IMPACT ALLIANCE FOR CHILDREN'S RIGHTS 3333 WILSHIRE BOULEVARD SUITE 550 LOS ANGELES CA 90010 954358213 501(C)(3) 150000 BUILD A CROSS SECTOR COLLABORATIVE BASED ON A THREE TIER GOVERNANCE MODEL AVANCE INC 118 N MEDINA SAN ANTONIO TX 78207 741769114 501(C)(3) 50000 CONVENE A TASK FORCE TO MAKE RECOMMENDATIONS FOR STANDARDIZING THE PROCESS FOR SERVICE DELIVERY PROGRAMS BOSTON PRIVATE INDUSTRY COUNCIL 2 OLIVER STREET BOSTON MA 02109 042676661 501(C)(3) 150000 INFORM GUBERNATORIAL DEBATES AND SUBMIT POLICY PROPOSALS TO THE NEW GOVERNOR'S TRANSITION TEAM ON OPPORTUNITY YOUTH CAPITAL WORKFORCE PARTNERS ONE UNION PLACE HARTFORD CT 06103 061013293 501(C)(3) 150000 DEVELOP CURRICULUM FOR YOUTH LEADERSHIP WITH A FOCUS ON ADVOCACY CASA DE MARYLAND 8151 15TH AVENUE LANGLEY PARK MD 20783 521372972 501(C)(3) 50000 TO IMPLEMENT LEARNING TOGETHER, A TWO-GENERATION, PLACE BASED PARENT ENGAGEMENT INITIATIVE TO FOSTER CHILDREN'S LITERACY CENTER FOR AMERICAN PROGRESS 1333 H STREET NW 10TH FLOOR WASHINGTON DC 20016 300126510 501(C)(3) 25000 SERVE AS CO-CHAIR AND WORK IN PREPARATION FOR AN IN PERSON MEETING IN NEW DEHLI CENTER FOR HEALTH POLICY DEVELOPMENT 10 FREE STREET PORTLAND ME 04101 521576801 501(C)(3) 24940 EXPLORE THE HEALTH AND WELL-BEING COMPONENT OF THE TWO-GENERATION FRAMEWORK AND OPPORTUNITIES WITHIN THE FEDERAL HEALTH POLICY THAT TARGET FAMILIES IN POVERTY CENTER FOR RURAL ENTREPRENEURSHIP 421 SOUTH 9TH STREET SUITE 245 LINCOLN NE 68508 263114011 501(C)(3) 78973 STRATEGIC PLANNING NATIONAL CENTER FOR SCIENCE EDUCATION 420 40TH STREET SUITE 2 OAKLAND CA 94609 112656357 501(C)(3) 10000 CO-SPONSORSHIP OF SOCAP WELCOME RECEPTIONSW CHILDREN'S UNITY DEFENSE FUND OF SRO 25 E STREET NW WASHINGTON DC 20001 520895622 501(C)(3) 50000 DEVELOP A TWO GENERATION PILOT PROJECT TO SUPPORT 25 AFRICAN AMERICAN SINGLE MOTHERS AND THEIR CHILDREN THROUGH ACCESS TO EDUCATION CIVIC CONSULTING ALLIANCE 21 S CLARK STREET SUITE 4301 CHICAGO IL 60603 450467524 501(C)(3) 150000 DEVELOP THE HIGH SCHOOL GRADUATION CHANGE NETWORK COMMUNITY ACTION PROJECT OF TULSA 4606 S GARNETT SUITE 100 TULSA OK 74146 731019247 501(C)(3) 50000 DEVELOP NEW PROGRAMMING FOR PARENTS COUNCIL OF LA RAZA 1126 16TH STREET NW SUITE 600 WASHINGTON DC 20036 806212873 501(C)(3) 50000 IDENTIFY QUALITY STANDARDS FOR TWO-GENERATION PROGRAMS SERVING IMMIGRANT LATINO PARENTS AND THEIR CHILDREN CRITTENTON WOMEN'S UNION INC ONE WASHINGTON MALL FLOOR 3 BOSTON MA 02108 042104046 501(C)(3) 50000 DEVELOP AN INTERGENERATIONAL ECONOMIC MOBILITY DEMONSTRATION PROJECT DENVER PUBLIC SCHOOLS 900 GRANT STREET SUITE 503 DENVER CO 80203 841224325 501(C)(3) 65540 IMPLEMENTING THE ASPEN CHALLENGE DETROIT EMPLOYMENT SOLUTIONS CORPORATION 707 W MILWAUKEE DETROIT MI 48202 383353746 501(C)(3) 100000 EXPAND MEMBERSHIP AND INCLUDE MORE EMPLOYERS IN THE TARGET INDUSTRY SECTORS EMPLOYINDY 115 W WASHINGTON STREET SUITE 240 INDIANAPOLIS IN 46204 351569069 501(C)(3) 30000 PROMOTE EMPLOYINDY'S NEW "DEMAND DRIVEN" BUSINESS PRACTICES WITH AREA EMPLOYERS ENDICOTT COLLEGE 19 TEMPLE PLACE 5TH FLOOR BOSTON MA 02111 042103567 501(C)(3) 50000 IMPLEMENT A PILOT PROGRAM WITH A COHORT OF 12-15 STUDENTS TO PROVIDE POSTSECONDARY COURSEWORK FOR FAMILIES SERVED BY HEAD START EUGENIO MARIA DE HOSTOS COMMUNITY COLLEGE FOUNDATION HOSTOS COMMUNITY COLLEGE 500 GRAND CONCOURSE BRONX NY 10451 133116643 501(C)(3) 50000 IMPLEMENT A PILOT TWO GENERATION PROGRAM TARGETING LOW INCOME STUDENT-PARENTS TO ACCELERATE POSTSECONDARY DEGREE COMPLETION FOCUS HOPE 1355 OAKMAN BOULEVARD DETRIOT MI 48238 381948285 501(C)(3) 35145 LAUNCH A PARENT LEARNING EXCHANGE THE FORUM FOR YOUTH INVESTMENT 7064 EASTERN AVENUE WASHINGTON DC 20012 522242472 501(C)(3) 10000 COORDINATING EFFORTS TO SUPPORT THE OYN'S WORK RELATED TO FIELD BUILDING FOR OPPORTUNITY YOUTH FSG INC 500 BOYLSTON STREET SUITE 600 BOSTON MA 02116 202776974 501(C)(3) 50000 EVALUATE OYIF COMMUNITIES FUSION PARTNERSHIPS INC 1601 GUILFORD AVENUE 2 SOUTH BALTIMORE MD 21202 522148413 501(C)(3) 158547 ESTABLISH RELATIONSHIPS WITH AT LEAST 15 SKILLS TRAINING INDUSTRIES GARRETT COUNTY COMMUNITY ACTION COMMITTEE INC 104 EAST CENTER STREET OAKLAND CA 21550 520820662 501(C)(3) 16650 COORDINATING A SITE VISIT GREATER NEW ORLEANS AFTERSCHOOL PARTNERSHIP 1618 ST CHARLES AVENUE NEW ORLEANS LA 70130 261272143 501(C)(3) 150000 CREATE A YOUTH ADVISORY COUNCIL HUMBOLDT AREA FOUNDATION 363 INDIANOLA 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PROGRAM MODEL, TOOL SET AND KNOWLEDGE BASE THAT WILL ENABLE THE PILOT OF A COLLECTIVE IMPACT, TWO GENERATION STRATEGY BY A NETWORK OF ORGS FOCUSED ON EDUCATIONAL ACCESS FOR FORMERLY INCARCERATED ADULTS THE UNIVERSITY OF CHICAGO 6045 KENWOOD 3RD FLOOR CHICAGO IL 60637 362177139 501(C)(3) 50000 TO PILOT A CURRICULUM FOR PARENTS UNITED WAY OF GREATER AUSTIN 2000 E MARTIN LUTHER KING JR BOULEVARD AUSTIN TX 78702 741193439 501(C)(3) 25000 TRAINING PROGRAMS FOR PARENTS WITH COMMUNITY BASED EARLY EDUCATION SERVICES FOR CHILDREN UNITED WAY OF GREATER CINCINNATI 2400 READING ROAD CINCINNATI OH 45202 310537502 501(C)(3) 25000 DEVELOP A TWO GENERATION PROGRAM FOR THE TRI-STATE PARTNERS FOR COMPETITIVE WORKFORCE PROGRAM UNITED WAY OF METROPOLITAN ATLANTA PO BOX 2692 ATLANTA GA 30301 580566194 501(C)(3) 150000 ESTABLISH THE YOUTH SERVICE COLLABORATIVE UNITED WAY OF TUCSON AND SOUTHERN ARIZONA 330 N COMMERCE PARK LOOP SUITE 200 TUCSON AZ 85745 860098932 501(C)(3) 150000 CREATE MARKETING MATERIAL TO USE IN SOLICITAITON OF EMPLOYERS UNIVERSITY OF SOUTHERN MAINE 96 FALMOUTH STREET PORTLAND ME 04104 016000769 501(C)(3) 150000 DEVELOP A COLLABORATIVE THAT INCLUDES REPRESENTATION FROM EMPLOYER SECTORS AND POST SECONDARY EDUCATION UNIVERSITY OF TEXAS AT AUSTIN PO BOX 7159 AUSTIN TX 78713 746000203 501(C)(3) 90000 TRAINING PROGRAMS FOR PARENTS WITH COMMUNITY BASED EARLY EDUCATION SERVICES FOR CHILDREN URBAN STRATEGIES COUNCIL 1720 BROADWAY AVENUE FLOOR 2 OAKLAND CA 94612 943044453 501(C)(3) 150000 DATA MATCHING AND ANALYSIS FOR TARGET POPULATIONS AND DEVELOP PROCEDURES FOR UPDATING DATA ANNUALLY UTAH CHILDREN 747 E SOUTH TEMPLE SUITE 100 SALT LAKE CITY UT 84102 870428873 501(C)(3) 50000 DOCUMENT THE RESULTS AND PROCESS OF UTAH'S INTERGENERATIONAL POVERTY INITIATIVE WASHINGTON STATE BUDGET & POLICY CENTER 1402 THIRD AVENUE SUITE 1215 SEATTLE WA 98101 721612983 501(C)(3) 75000 REFORM THE STATE'S TEMPORARY ASSISTANCE FOR NEEDY FAMILIES PROGRAM WOMENS FOUNDATION OF MISSISSIPPI 120 NORTH CONGRESS STREET SUITE 903 903 JACKSON MS 39201 264419982 501(C)(3) 25000 DEVELOP AND IMPLEMENT A TWO GENERATION APPROACH AT TWO MISSISSIPPI COMMUNITY COLLEGES WOMENS FUND OF GREAT BIRMINGHAM 2201 5TH AVENUE SOUTH SUITE 110 BIRMINGHAM AL 35233 450952468 501(C)(3) 50000 IMPLEMENT A PILOT PROGRAM CALLED "TECH SUPPORT: PRESCRIPTION FOR SUCCESS" WORKFORCE SOLUTIONS CAPITAL AREA WORKFORCE BOARD 6505 AIRPORT BLVD SUITE 101E AUSTIN TX 78752 742327454 501(C)(3) 150000 SUPPPORT AND DEVELOPMENT THE YOUTH ENPOWERMENT PROJECT WORLD AFFAIRS COUNTIL OF NORTHERN CALIFORNIA 213 SUTTER STREET SUITE 200 SAN FRANCISCO CA 94108 941156356 501(C)(3) 60000 DESIGN, PLAN AND EXECUTE THE 2014 ANNUAL MEETING AND SUPPORTING MEETINGS TAKING PLACE IN 2014 AND 2015 63 0 STIPENDS 52 60750 SCHOLARSHIPS & AWARDS 38 85404 HONORARIUM 24 84798 PART I, LINE 2: FROM TIME TO TIME THE INSTITUTE ENGAGES OTHER ENTITIES TO FURTHER THE OBJECTIVES SET FORTH IN OUR GRANT AGREEMENTS. THIS IS TYPICALLY DONE VIA SUB-AWARDS OR RE-GRANTS THAT RUN CONCURRENTLY WITH THE PRIME AWARD IN WHICH THE SUB RECIPIENTS ARE ADVISED OF ALL APPLICABLE LAWS AND REGULATIONS, AND ALL APPROPRIATE FLOW-DOWN PROVISIONS FROM THE PRIME AGREEMENT. ALL SUB GRANTEES OR SERVICE PROVIDERS MUST ALSO CERTIFY THAT IT DOES NOT AND WILL NOT KNOWINGLY PROVIDE MATERIAL SUPPORT OR RESOURCES TO ANY INDIVIDUAL OR ENTITY INVOLVED WITH TERRORISM (INCLUDING ANY INDIVIDUALS ENTITIES OR GROUPS SUBJECT TO OFAC SANCTIONS) OR TO ANYONE WHO ACTS AS AN AGENT FOR SUCH AN INDIVIDUAL OR ENTITY, ANY VIOLATION OF THIS CERTIFICATION MUST BE GROUNDS FOR IMMEDIATE TERMINATION OF THE LETTER OF AGREEMENT AND RETURN OF ALL GRANT FUNDS. THE FREQUENCY AND SCOPE OF RESEARCH PROGRAM'S MONITORING PROCEDURES ARE DETERMINED JOINTLY BY THE RESPONSIBLE PROGRAM MANAGER AND RESPECTIVE GRANT ADMINISTRATOR/FINANCIAL ANALYST. THIS INCLUDES THE ROUTINE RECEIPT AND REVIEW OF THE NARRATIVE AND FINANCIAL REPORTS, A REVIEW OF EXPENSES TO BUDGET, THE OPTION TO PERFORM AUDITS, AND ALLOWS FOR THE PERFORMANCE OF SITE VISITS IF NECESSARY. THE INSTITUTE SHOULD BE NOTIFIED WHENEVER PROBLEMS DELAYS OR OTHER CONDITIONS DEVELOP WHICH WOULD HAVE SIGNIFICANT IMPACT UPON THE PROJECT. BUDGET REVISIONS ARE ALLOWED WITHIN THE PARAMETERS SET FORTH IN EACH SUB AWARD. THE PAYMENT SCHEDULE AND THE DECREE OF FLEXIBILITY OFFERED MAY DEPEND ON PREVIOUS EXPERIENCE WITH THE RECIPIENT, THE DEGREE OF EXTERNAL OVERSIGHT BY OTHER PARTIES, AND THE SOPHISTICATION OF THE RECIPIENT'S ADMINISTRATIVE SYSTEMS. X 1 1 X X X X X 0 0 0 0 0 0 0 0 0 WALTER ISAACSON PRESIDENT/CEO 804640 0 0 0 3861 0 39000 0 32075 0 879576 0 0 0 ELLIOT GERSON EXECUTIVE VP 347497 0 0 0 3861 0 39000 0 32075 0 422433 0 0 0 AMY MARGERUM EXEC. VP/CORPORATE S. 349849 0 0 0 3373 0 39000 0 22131 0 414353 0 0 0 PETER REILING EXECUTIVE VP 348797 0 0 0 2516 0 39000 0 32056 0 422369 0 0 0 DOLORES GORGONE CHIEF FINANCIAL OFFICER 293934 0 0 0 3861 0 39000 0 3324 0 340119 0 0 0 DAN GLICKMAN EXECUTIVE DIRECTOR-CONGRES 309000 0 0 0 10249 0 29800 0 3560 0 352609 0 0 0 CHARLIE FIRESTONE EXEC. DIR. C&S 310337 0 0 0 8318 0 39000 0 22131 0 379786 0 0 0 MICKEY EDWARDS DIR. RODEL 293132 0 0 0 12051 0 39000 0 11776 0 355959 0 0 0 STACE LINDSAY DIRECTOR 272208 0 0 0 776 0 0 0 29392 0 302376 0 0 0 MARGARET CLARK VICE PRES. POLICY PROGRAMS 259990 0 0 0 2516 0 39000 0 22079 0 323585 0 0 0 PART I, LINE 1A OCCASIONALLY, THE INSTITUTE COVERS PREMIUM CLASS TRAVEL FOR STAFF. THE INSTITUTE FOLLOWS THE FOLLOWING FEDERAL TRAVEL REGULATIONS WHEN PROVIDING PREMIUM CLASS TRAVEL. EXCEPTIONS FOR PREMIUM CLASS TRAVEL: 1) TRAVEL BY AN EMPLOYEE WITH A DISABILITY OR SPECIAL NEED. A. THE EMPLOYEE'S CONDITION MUST BE SUBSTANTIATED IN WRITING BY A COMPETENT MEDICAL AUTHORITY. 2) REASONABLY AVAILABLE. A. REGULARLY SCHEDULED FLIGHTS BETWEEN THE AUTHORIZED ORIGIN AND DESTINATION POINTS DURING THE PERIOD REQUIRED TO TRAVEL ONLY INCLUDE PREMIUM CLASS FLIGHTS OR THERE IS NO SPACE AVAILABLE IN COACH CLASS. 3) MISSION RELATED. A. IF THERE IS A VALID MISSION RELATED REASON THEN PREMIUM CLASS IS ALLOWABLE. 4) INADEQUATE SANITATION. A. PREMIUM CLASS MAY BE AUTHORIZED WHEN COACH CLASS ON A FOREIGN CARRIER DOES NOT PROVIDE ADEQUATE SANITATION OR HEALTH STANDARDS. 5) OVERALL COST SAVINGS. A. IF THERE IS AN OVERALL SAVINGS TO THE ORGANIZATION BY AVOIDING ADDITIONAL SUBSISTENCE COSTS, OVERTIME, LOSS OF PRODUCTIVITY THAT WOULD BE INCURRED WAITING FOR COACH CLASS AVAILABILITY. 6) TRAVEL IN EXCESS OF 14 HOURS. A. SCHEDULED FLIGHT TIME BETWEEN AUTHORIZED ORIGIN AND DESTINATION AND ONE OF THESE POINTS IS OUTSIDE THE CONTINENTAL US IS IN EXCESS OF 14 HOURS. X 5 150004 APPRAISAL X 2856 FMV X 27 3766216 FMV X 1 27000 FMV X 3 5381 FMV X FLOWERS 1 465 FMV 0 1 0 PART I, LINE 32B: THE INSTITUTE HAS A WRITTEN GIFT ACCEPTANCE POLICY. IF A DONOR WANTS TO GIVE A GIFT OUTSIDE OF THAT POLICY, IT WILL BE REVIEWED BY SENIOR MANAGEMENT AND, IF NECESSARY, REFERRED TO THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 11 THE FEDERAL FORM 990 OF THE INSTITUTE IS PREPARED BY AN EXTERNAL ACCOUNTING FIRM IN WHICH INFORMATION IS OBTAINED FROM INSTITUTE'S STAFF. ONCE THE INITIAL DRAFT IS PREPARED IT IS REVIEWED BY SR. FINANCE/ACCOUNTING AND COMMUNICATIONS STAFF. IF NECESSARY, CHANGES ARE MADE AND ANOTHER DRAFT IS ISSUED. THE SECOND DRAFT FORM 990 IS REVIEWED BY AN APPOINTED MEMBER OF THE AUDIT COMMITTEE ALONG WITH THE CFO AND DIRECTOR OF ACCOUNTING. IF NECESSARY, CHANGES ARE MADE AND ANOTHER DRAFT IS ISSUED. THE FINAL DRAFT FORM 990 IS PROVIDED TO ALL MEMBERS OF THE AUDIT COMMITTEE. ONCE APPROVED, COPIES ARE THEN DISTRIBUTED TO ALL BOARD MEMBERS BEFORE THE RETURN IS FILED WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C THE PURPOSE OF THE CONFLICT OF INTEREST POLICY IS TO PROTECT THE INSTITUTE'S INTEREST WHEN IT IS CONTEMPLATING ENTERING INTO A TRANSACTION OR ARRANGEMENT THAT MIGHT BENEFIT THE PRIVATE INTEREST OF AN OFFICER OF THE INSTITUTE, DIRECTOR, OR TRUSTEE. THE MEMBERS OF THE BOARD OF TRUSTEES ARE REQUIRED TO SIGN A DISCLOSURE WHEN THEY BECOME TRUSTEES AND ANNUALLY WHILE THEY SERVE. THEY ARE REQUIRED TO DISCLOSE ANY ACTUAL OR POSSIBLE CONFLICT OF INTEREST; AN INTERESTED PERSON MUST DISCLOSE THE EXISTENCE OF THE FINANCIAL INTEREST AND BE GIVEN THE OPPORTUNITY TO DISCLOSE ALL MATERIAL FACTS TO THE DIRECTORS AND MEMBERS OF COMMITTEES WITH GOVERNING BOARD DELEGATED POWERS CONSIDERING THE PROPOSED TRANSACTION OR ARRANGEMENT. AFTER DISCLOSURE OF THE FINANCIAL INTEREST AND ALL MATERIAL FACTS, AND AFTER ANY DISCUSSION WITH THE INTERESTED PERSON, HE/SHE SHALL LEAVE THE GOVERNING BOARD OR COMMITTEE MEETING WHILE THE DETERMINATION OF A CONFLICT OF INTEREST IS DISCUSSED AND VOTED UPON. THE REMAINING BOARD OR COMMITTEE MEMBERS SHALL DECIDE IF A CONFLICT OF INTEREST EXISTS. AN INTERESTED PERSON MAY MAKE A PRESENTATION AT THE GOVERNING BOARD OR COMMITTEE MEETING, BUT AFTER THE PRESENTATION, HE/SHE SHALL LEAVE THE MEETING DURING THE DISCUSSION OF, AND THE VOTE ON, THE TRANSACTION OR ARRANGEMENT INVOLVING THE POSSIBLE CONFLICT OF INTEREST. IF THE GOVERNING BOARD OR COMMITTEE HAS REASONABLE CAUSE TO BELIEVE A MEMBER HAS FAILED TO DISCLOSE ACTUAL OR POSSIBLE CONFLICTS OF INTEREST, IT SHALL INFORM THE MEMBER OF THE BASIS FOR SUCH BELIEF AND AFFORD THE MEMBER AN OPPORTUNITY TO EXPLAIN THE ALLEGED FAILURE TO DISCLOSE. IF, AFTER HEARING THE MEMBER'S RESPONSE AND AFTER MAKING FURTHER INVESTIGATION AS WARRANTED BY THE CIRCUMSTANCES, THE GOVERNING BOARD OR COMMITTEE DETERMINES THE MEMBER HAS FAILED TO DISCLOSE AN ACTUAL OR POSSIBLE CONFLICT OF INTEREST, IT SHALL TAKE APPROPRIATE DISCIPLINARY AND CORRECTIVE ACTION. FORM 990, PART VI, SECTION B, LINE 15 THE INSTITUTE UTILIZES AN EXTERNAL CONSULTANT TO REVIEW ALL SALARIES OF THE INSTITUTE INCLUDING TOP MANAGEMENT OFFICIALS. THE CONSULTANT PERFORMS MARKET COMPARISONS WITHIN OUR PEER ORGANIZATIONS AND MAKES RECOMMENDATIONS ON SALARY LEVELS FOR POSITIONS. THE SALARY LEVELS ARE BASED ON PERCENTAGES OF THE PEER ORGANIZATIONS. THE INSTITUTE STRIVES TO STAY AT THE 50% LEVEL OF OUR COMPARATIVE ORGANIZATIONS. THE CEO AND OTHER OFFICERS SALARIES ARE REVIEWED BY THIS CONSULTANT AND THEN PRESENTED TO THE COMPENSATION SUB-COMMITTEE OF THE EXECUTIVE COMMITTEE. THE SALARIES ARE VETTED IN THIS SUB-COMMITTEE AND A RECOMMENDATION IS MADE TO THE FULL BOARD FOR APPROVAL IN THE EXECUTIVE SESSION. FORM 990, PART VI, SECTION C, LINE 19 THE GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE UPON REQUEST. THE FEDERAL FORM 990 AND THE AUDITED FINANCIAL STATEMENTS ARE MADE PUBLIC ON THE INSTITUTE'S WEBSITE. FORM 990, PART XI, LINE 9: LOSS ON UNCOLLECTIBLE PLEDGE -1,000,000.