2014-11-10T07:55:31-06:00 2013-12-31 271728945 O'CONNOR DAVIES LLP 3001 SUMMER STREET 5TH FL EAST STAMFORD CT 06905 990 2013-01-01 237213592 THE FRANKLIN & ELEANOR ROOSEVELT INSTITUTE FRAN 2124449130 570 LEXINGTON AVENUE FIFTH FLOOR NEW YORK NY 10022 FELICIA WONG CHIEF EXECUTIVE OFFICER 2124449130 2014-11-10 1 ROBIN STRONG P00713382 2033232400 2014-11-10 2013 2015-11-30 17:44:51Z FELICIA WONG 570 LEXINGTON AVENUE FIFTH FLOOR NEW YORK NY 10022 5379955 0 X WWW.ROOSEVELTINSTITUTE.ORG X 1987 NY FOR COMPLETE DESCRIPTION OF MISSION SEE SCHEDULE OTHE ROOSEVELT INSTITUTE'S MISSION IS TO BUILD A STRONGER 21ST CENTURY AMERICA BY CULTIVATING AND ADVANCING THE BEST THINKERS AND POLICY IDEAS FOR BROADLY-SHARED PROSPERITY. THE INSTITUTE ACCOMPLISHES ITS MISSION THROUGH ITS SIGNATURE PROGRAMS - FOUR FREEDOMS CENTER, CAMPUS NETWORK AND LIBRARY, WHICH PRODUCE INNOVATIVE EDUCATIONAL PROGRAMS, CONFERENCES AND PUBLICATIONS. 25 24 43 0 0 0 3641057 4679124 0 0 391874 184358 115130 -166151 4148061 4697331 326813 17023 0 0 2305657 2371014 0 0 620748 4416389 6268521 7048859 8656558 -2900798 -3959227 18064552 14507089 1012660 542488 17051892 13964601 X THE ROOSEVELT INSTITUTE'S MISSION IS TO BUILD A STRONGER 21ST CENTURY AMERICA BY CULTIVATING AND ADVANCING THE BEST THINKERS AND POLICY IDEAS FOR BROADLY-SHARED PROSPERITY. THE INSTITUTE ACCOMPLISHES ITS MISSION THROUGH ITS SIGNATURE PROGRAMS - FOUR FREEDOMS CENTER, CAMPUS NETWORK AND LIBRARY, WHICH PRODUCE INNOVATIVE EDUCATIONAL PROGRAMS, CONFERENCES AND PUBLICATIONS. 0 0 3588826 0 FDR LIBRARY PROGRAMS:THE ROOSEVELT INSTITUTE PROVIDES PROGRAM SUPPORT TO THE FRANKLIN D. ROOSEVELT PRESIDENTIAL LIBRARY AND MUSEUM, LOCATED IN HYDE PARK, NEW YORK. THE INSTITUTE PROVIDES FUNDING IN SUPPORT OF THE LIBRARY'S EDUCATIONAL AND PUBLIC PROGRAMS, WHICH IN 2013 BENEFITED 15,484 STUDENTS AND NEARLY 1,000 TEACHERS. THE LIBRARY'S PERMANENT EXHIBITS AND TEMPORARY EXHIBITS, WHICH ALSO ARE FUNDED THROUGH THE ROOSEVELT INSTITUTE, ARE VISITED BY APPROXIMATELY 125,000 VISITORS PER YEAR. THE INSTITUTE ALSO SUPPORTS MAJOR INITIATIVES OF THE LIBRARY'S ARCHIVAL PROGRAM, INCLUDING FUNDING FOR RESEARCH GRANTS TO VISITING SCHOLARS AND MAJOR DIGITIZATION INITIATIVES. IN 2013, THE LIBRARY DIGITIZED 350,000 DOCUMENTS AND 2,000 PHOTOGRAPHS AND MADE THEM AVAILABLE THROUGH ITS FRANKLIN ONLINE DIGITAL REPOSITORY. AN ADDITIONAL 400,000 PAGES WILL BE MADE AVAILABLE IN 2014. THESE PROGRAMS, EXHIBITS, AND DIGITIZATION INITIATIVES CARRY FORWARD THE LEGACY AND VISION OF FRANKLIN AND ELEANOR ROOSEVELT TO FUTURE GENERATIONS AND ARE CONSISTENT WITH THE MISSION OF THE ROOSEVELT INSTITUTE. 2559313 0 FOUR FREEDOMS CENTER:THE FOUR FREEDOMS CENTER, THE INSTITUTE'S THINK TANK, HARNESSES RIGOROUS ANALYSIS AND POLICY IDEAS FROM 18 FELLOWS WHO TAKE ON THE COUNTRY'S BIGGEST CHALLENGES - OFTEN IN SUPPORT OF OR IN COORDINATION WITH PARTNERS - WITH A CENTRAL FOCUS ON THE STRUCTURE AND FUNCTIONING OF THE AMERICAN ECONOMY. AREAS OF SPECIAL FOCUS FOR FOR THE FOUR FREEDOMS CENTER IN 2014 INCLUDED INEQUALITY, TAXATION, AND THE FINANCIALIZATION OF THE ECONOMY; AS WELL AS LABOR AND THE FUTURE OF WORK. 951496 10673 CAMPUS NETWORK:THE INSTITUTE SUPPORTS A NETWORK OF COLLEGE CAMPUS POLICY ON 120 CAMPUSES IN 38 STATES. THESE ROOSEVELT CHAPTER NETWORK ENTITIES ENCOURAGE STUDENTS TO GET INVOLVED AND USE THEIR ACADEMIC SKILLS TO DISCUSS, PROMOTE AND DESIGN PROGRESSIVE IDEAS AND POLICIES. AS OF 2013 MORE THAN 10,000 STUDENTS BELONGED TO THE NETWORK. 282849 6350 PIPELINEIN 2013, THE RI RAN A PILOT PROJECT, PIPELINE, WITH A GOAL OF KEEPING YOUNG PEOPLE CONNECTED TO THE PROGRESSIVE MOVEMENT AND THE VALUES OF THE RI. LEGACIES AND EVENTS 282849 6350 7382484 1 1 0 0 0 0 0 1 0 1 1 1 0 0 0 1 1 0 0 0 0 0 0 0 1 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 144 0 1 43 1 0 0 0 0 0 0 0 0 0 0 X 25 24 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 NY X X THE ORGANIZATION 2124449131 570 LEXINGTON AVE FIFTH FLOOR NEW YORK NY 10022 ANNA ELEANOR ROOSEVELT CHAIR 2.00 X X 0 0 0 GEORGE KNOX VICE CHAIR 2.00 X X 0 0 0 CHUCK MUCKENFUSS SECRETARY 2.00 X X 0 0 0 WILLIAM J VANDEN HEUVEL FOUNDER & CHAIR EMERITUS 2.00 X X 0 0 0 WILLIAM GRIFFITH TREASURER 2.00 X X 0 0 0 BENJAMIN BARNES DIRECTOR 2.00 X 0 0 0 JOSEPH BARROW DIRECTOR 2.00 X 0 0 0 KAREN ADLER DIRECTOR 2.00 X 0 0 0 LYNN BASSANESE EX-OFFICIO 2.00 X 0 0 0 ADAM CONNER DIRECTOR 2.00 X 0 0 0 WILLIAM BRODY DIRECTOR 2.00 X 0 0 0 SARAH BROWN DIRECTOR 2.00 X 0 0 0 CHRISTIE GEORGE DIRECTOR 2.00 X 0 0 0 DONALD FOWLER DIRECTOR 2.00 X 0 0 0 FAY HARTOG-LEVIN DIRECTOR 2.00 X 0 0 0 GARA LAMARCHE DIRECTOR 2.00 X 0 0 0 SALLY MINARD DIRECTOR 2.00 X 0 0 0 PHOEBE ROOSEVELT DIRECTOR 2.00 X 0 0 0 GEORGE MORRIS GURLEY DIRECTOR 2.00 X 0 0 0 NANCY ROOSEVELT IRELAND DIRECTOR 2.00 X 0 0 0 PAUL RUDD DIRECTOR 2.00 X 0 0 0 DENNIS MURRAY DIRECTOR 2.00 X 0 0 0 KATRINA VANDEN HEUVEL DIRECTOR 2.00 X 0 0 0 FELICIA WONG PRESIDENT & CEO 40.00 X X 221870 0 37509 BRIAN WOLFF DIRECTOR 0.00 2.00 X 0 0 0 JOLANTA ILCZUK VP, FINANCE 40.00 X 126640 0 12850 CATHRYN HARDING DIRECTOR, COMMUNICATIONS 40.00 X 104126 0 6486 MARK SCHMITT SENIOR FELLOW 40.00 X 110835 0 13192 ELLEN CHESLER SENIOR FELLOW 40.00 X 108333 0 0 671804 0 70037 5 0 1 0 EXPLUS 44156 MERCURE CIRCLE DULLES VA 20166 CONSTRUCTION 2721107 MONADNOCK PO BOX 429 SUNDERLAND MA 01375 CONSTRUCTION 353256 FENTON 1000 VERMONT AVE NW WASHINGTON DC 20005 COMMUNICATION SERVICES 299565 CORTINA PRODUCTIONS 6623-A OLD DOMINION DRIVE MCLEAN VA 22101 CONSTRUCTION 201599 DEMOCRACY CORPS 10 G STREET NE SUITE 500 WASHINGTON DC 20002 POLICY RESEARCH 154000 8 712130 91156 3875838 4679124 175379 175379 438990 430011 8979 8979 8979 50990 712130 252613 -201623 -201623 OTHER INCOME 900099 35472 35472 35472 4697331 44451 0 -26244 X 17023 17023 356626 126313 207650 22663 1591422 1252542 143500 195380 70618 48020 14830 7768 185842 126373 39027 20442 166506 116967 29891 19648 32250 32250 25947 25947 1665534 1432436 19463 213635 24860 21589 882 2389 195638 129009 30827 35802 496216 378167 42923 75126 213124 191729 4519 16876 115709 107579 5992 2138 60240 24077 36163 18404 12615 4016 1773 CONSTRUCTION DESIGN AND 2911743 2911743 0 0 PUBLICATIONS, FILMS AND 310831 307672 2011 1148 STIPENDS AND AWARDS 158988 156013 2030 945 REPAIRS AND MAINTENANCE 34742 22617 7110 5015 4295 4295 8656558 7382484 653326 620748 X 8595142 4620264 648682 517433 23726 45016 519909 397404 176665 122505 8226347 8807381 393990 394490 18064552 14507089 1012660 542488 1012660 542488 X 7543085 6854333 8369659 5971120 1139148 1139148 17051892 13964601 18064552 14507089 -3959227 871936 0 X X 0 1 X 1 0 X 5454601 20926947 17198036 3641057 3966994 51187635 5454601 20926947 17198036 3641057 3966994 51187635 14528793 36658842 541856 510603 644723 253364 175379 2125925 102130 35473 137603 53451163 0.68580 0.82940 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X X X 0 8226347 1020024 17023 421967 8807381 18251398 663407 82646 10605812 8226347 18121927 2140787 656039 95004 2572351 18251398 20428445 12799392 1950371 108127 16948154 18121927 17815587 4683815 2126323 100601 4096679 20428445 0 0 1532 1466 66 236045 125837 110208 282332 270101 12231 122505 COMMONFUND INST. MULTI-STRATEGY EQUITY FUND 4501816 F COMMONFUND INST. MULTI-STRATEGY BOND FUND 3248580 F COMMONFUND MONEY MARKET FUND 811288 F COMMONFUND INSTITUTIONAL COMMODITIES FUND 245697 F 8807381 X 5543320 871936 871936 4671384 25947 25947 4697331 8630611 0 8630611 25947 25947 8656558 PART III, LINE 4: THE INSTITUTE'S ARTWORK IS STATED AT COST AND IS FOR USE IN THE FDR LIBRARY'S VISITORS CENTER. IN ADDITION, THE INSTITUTE HOLDS A DONATED COLLECTION OF AUTOGRAPHS OF FRANKLIN D. ROOSEVELT, BOOKS AND DOCUMENTS WHICH ARE STATED AT THE APPRAISED VALUE AT THE DATE OF DONATION AND ARE STORED IN THE FDR LIBRARY. PART V, LINE 4: THE ORGANIZATION MAINTAINS VARIOUS DONOR-RESTRICTED AND BOARD-DESIGNATED FUNDS WHOSE PURPOSE IS TO PROVIDE LONG-TERM SUPPORT FOR ITS CHARITABLE PROGRAMS. PART X, LINE 2: THE ORGANIZATION RECOGNIZES THE EFFECT OF THE INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE MORE LIKELY THAN NOT TO BE SUSTAINED. MANAGEMENT HAS DETERMINED THAT THE INSTITUTE HAD NO UNCERTAIN TAX POSITIONS THAT WOULD REQUIRE FINANCIAL STATEMENT RECOGNITION OR DISCLOSURE. THE INSTITUTE IS NO LONGER SUBJECT TO EXAMINATIONS BY THE APPLICABLE TAXING JURISDICTIONS FOR PERIODS PRIOR TO 2010. DPSA 402070 378280 23790 11500 75169 62389 14635 FOUR FREEDOMS AWARD DINNER 361050 333850 27200 21241 30385 28485 8809 763120 712130 50990 32741 105554 90874 23444 252613 -201623 1 CAMPUS NETWORK CHAPTER GRANTS 14 10673 LEGACY PROGRAM FELLOWSHIPS/GRANTS-IN-AIDE 6 6350 PART I, LINE 2: PROGRAMMATICALLY: SELF-ASSESS ACTIVITIES AND IMPACT PLUS REPORT BACK TO FUNDERS MONITORING: FINANCE DEPARTMENT MONITORS USE OF FUNDS 1 X X X 0 0 0 0 0 0 0 0 0 FELICIA WONG PRESIDENT & CEO 221870 0 0 0 0 0 0 0 37509 0 259379 0 0 0 FORM 990, PART VI, SECTION A, LINE 2 KATRINA VANDEN HEUVEL AND WILLIAM VANDEN HEUVEL HAVE A FAMILIAL RELATIONSHIP. ANNA ELEANOR ROOSEVELT, PHOEBE ROOSEVELT, AND NANCY ROOSEVELT IRELAND HAVE A FAMILIAL RELATIONSHIP. FORM 990, PART VI, SECTION B, LINE 11 THE 990 IS PREPARED BY THE TAX PROFESSIONALS IN CONJUNCTION WITH THE INSTITUTE'S ACCOUNTING/FINANCE DEPARTMENT. THE RETURN IS FIRST REVIEWED BY THE PRESIDENT AND CEO. THE RETURN IS THEN PRESENTED TO THE AUDIT COMMITTEE FOR THE FINAL REVIEW BEFORE IT IS FILED. FORM 990, PART VI, SECTION B, LINE 12C PROCEDURES FOR MONITORING AND ENFORCING THE CONFLICT OF INTEREST POLICY ARE STATED IN THE INSTITUTE'S PERSONNEL POLICY AND PROCEDURES MANUAL. FORM 990, PART VI, SECTION B, LINE 15 PROCEDURES FOR ESTABLISHING EXECUTIVE COMPENSATION IS OUTLINED IN THE INSTITUTES' POLICY AND PROCEDURES MANUAL. FORM 990, PART VI, SECTION C, LINE 19 THE INSTITUTE'S MANAGEMENT MAKES THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, FORM 1023 AND ALL 990 TAX INFORMATION AVAILABLE UPON REQUEST. IN ADDITION, THE FORM 990 IS AVAILABLE ON-LINE WITH GUIDESTAR. FORM 990, PART IX, LINE 11G FELLOWS & CONSULTANTS: PROGRAM SERVICE EXPENSES 269,546. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 269,546. PROGRAM PROFESSIONAL FEES: PROGRAM SERVICE EXPENSES 620,667. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 620,667. OTHER PROFESSIONAL FEES: PROGRAM SERVICE EXPENSES 542,223. MANAGEMENT AND GENERAL EXPENSES 19,463. FUNDRAISING EXPENSES 213,635. TOTAL EXPENSES 775,321. PART XI LINE 2C THE INSTITUTE HAS AN AUDIT COMMITTEE WHICH HAS BEEN ASSIGNED THE RESPONSIBILITY TO 1) ENGAGE THE AUDITORS, 2) MEET TO DISCUSS PLANNING, 3) MEET TO REVIEW THE RESULTS OF THE AUDIT AND DISCUSS THE FINANCIAL STATEMENTS, 4) DISCUSS ANY INTERNAL CONTROL ISSUES, 5) DISCUSS ANY FUTURE ISSUES THAT MIGHT AFFECT THE INSTITUTE AND 6) DISCUSS THE TAX RETURN. THE COMMITTEE REPORTS ITS FINDINGS TO THE BOARD. THERE WAS NO CHANGE TO THE POLICY IN THE CURRENT YEAR.