2014-09-26T09:28:07-05:00 2013-12-31 521511275 RAFFA PC 1899 L STREET NW SUITE 900 WASHINGTON DC 20036 990 2013-01-01 840399006 THE ASPEN INSTITUTE ASPE 2027361074 ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 DOLORES GORGONE CFO 2027361074 2014-09-26 1 FRANK H SMITH P00639053 2028225000 2014-09-15 2013 2015-11-30 17:44:51Z WALTER ISAACSON ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 106740444 0 X WWW.ASPENINSTITUTE.ORG X 1949 CO VALUES-BASED LEADERSHIP IN NEUTRAL AND BALANCED VENUE FOR DISCUSSING CRITICAL ISSUES. 64 63 384 180 9013077 -894888 71686768 68204184 23406105 24769782 307436 310104 76977 -41591 95477286 93242479 2282984 5834375 0 0 29163689 32007958 0 0 2546368 41304932 44283779 72751605 82126112 22725681 11116367 198233363 220838386 12229433 14337183 186003930 206501203 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 36745028 5834375 4004953 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. 14071822 8835319 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. 7321122 8537666 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. 4291145 969735 ASPEN GLOBAL LEADERSHIP NETWORK 1905124 2214603 SEMINARS 844491 207506 OTHER RESTRICTED PROGRAMS 7040760 3391844 65178732 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 1 521 0 1 384 1 1 1 0 0 0 0 1 1 0 0 0 0 X 64 63 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 THE ASPEN INSTITUTEDOLORES GORGONE 2027361074 ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 ROBERT K STEEL CHAIRMAN 1.00 X X 0 0 0 LEONARD A LAUDER CHAIRMAN EMERITUS 0.30 X X 0 0 0 WILLIAM E MAYER CHAIRMAN EMERITUS 0.30 X X 0 0 0 MADELEINE K ALBRIGHT TRUSTEE 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 RICHARD BRADDOCK TRUSTEE 0.30 X 0 0 0 BETH BROOKE-MARCINIAK TRUSTEE 0.30 X 0 0 0 MELVA BUCKSBAUM TRUSTEE 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 CONDE TRUSTEE 0.30 X 0 0 0 JAMES SCHINE CROWN TRUSTEE 0.30 X 0 0 0 ANDREA CUNNINGHAM 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 EISNER TRUSTEE 0.30 X 0 0 0 L BROOKS ENTWISTLE TRUSTEE 0.30 X 0 0 0 LEONHARD FISCHER TRUSTEE 0.30 X 0 0 0 ALAN FLETCHER TRUSTEE 0.30 X 0 0 0 CORINNE MICHAELA FLICK 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 MIRCEA D GEOANA 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 GERALD D HOSIER TRUSTEE 0.30 X 0 0 0 ANN FRASHER HUDSON TRUSTEE 0.30 X 0 0 0 ROBERT J HURST TRUSTEE 0.30 X 0 0 0 MICHAEL R KLEIN TRUSTEE 0.30 X 0 0 0 YOTARO KOBAYASHI TRUSTEE 0.30 X 0 0 0 DAVID H KOCH TRUSTEE 0.30 X 0 0 0 TIMOTHY K KRAUSKOPF TRUSTEE 0.30 X 0 0 0 FREDERIC V MALEK TRUSTEE 0.30 X 0 0 0 JAMES 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 0.30 X 0 0 0 MICHAEL K POWELL TRUSTEE 0.30 X 0 0 0 MARGOT 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 ISAAC O 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 JAVIER SOLANA TRUSTEE 0.30 X 0 0 0 GAUTAM THAPAR TRUSTEE 0.30 X 0 0 0 LAURIE TISCH TRUSTEE 0.30 X 0 0 0 GIULIO TREMONTI 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 MICHAEL ZANTOVSKY TRUSTEE 0.30 X 0 0 0 WALTER ISAACSON PRESIDENT/CEO 40.00 X X 785510 0 67826 ELLIOT GERSON EXECUTIVE VP 40.00 X 340008 0 67830 AMY MARGERUM EXEC. VP/CORPORATE S. 40.00 X 342034 0 58844 PETER REILING EXECUTIVE VP 40.00 X 339809 0 67806 SUSAN SHERWIN EXECUTIVE VP 40.00 X 290600 0 58878 DOLORES GORGONE CHIEF FINANCIAL OFFICER 40.00 X 281972 0 41571 DAN GLICKMAN EXECUTIVE DIRECTOR-CONGRESS 40.00 X 316763 0 29060 CHARLIE FIRESTONE EXEC. DIR. C&S 40.00 X 302087 0 58875 MICKEY EDWARDS DIR. RODEL 40.00 X 285117 0 49333 CHARLES BAILEY DIRECTOR AGENT ORANGE 40.00 X 250132 0 54908 MARGARET CLARK VICE PRES. POLICY PROGRAMS 40.00 X 251712 0 58528 3785744 0 613459 71 0 1 0 CIVIC ENTERPRISES 1101 14TH STREET NW WASHINGTON DC 20005 RESEARCH & SURVEY 655420 COLORADO AUDIO VISUAL INC 409 AABC SUITE B ASPEN CO 81611 AV CONSULTANTS 604189 THE PARTHENON GROUP LLC 50 ROWES WHARF BOSTON MA 02110 STRATEGIC PLANNING 451925 RAFFA PC 1899 L STREET NW SUITE 900 WASHINGTON DC 20036 AUDIT, TAX, RISK ASSESSMENT 235769 I THREE GRAPHICSMNM DESIGN LLC 23400 TWO RIVER ROAD BASALT CO 81621 PROGRAM MATERIALS PRODUCTION 214170 47 1668117 911299 65624768 427342 68204184 CONF./FACILITY FEES 531390 8835319 8835319 CONTRACT REVENUE 900099 8067884 8067884 SEMINAR FEES 900099 7846885 7846885 BOOK SALES 900099 19694 19694 24769782 220858 22445 198413 128757 75194 53563 53563 53563 12641725 12550970 1509 90755 -1509 89246 89246 214025 1668117 870292 -656267 -656267 OTHER INCOME 900099 398612 398612 ADVERTISING INCOME 541800 155313 155313 SUBLEASE INCOME 900099 7188 7188 561113 93242479 15934463 9013077 90755 X 5442337 5442337 83038 83038 309000 309000 2742688 322106 2071104 349478 22767072 17363933 4448916 954223 2383966 1865487 364163 154316 2456496 1965012 383592 107892 1657736 1297202 253228 107306 65551 21253 44298 176162 3230 172932 41131 41131 18312850 18078027 119621 115202 64665 60084 3081 1500 3858675 2001931 1651774 204970 2221621 1311548 849076 60997 2175160 1761025 345752 68383 8980118 8585070 195186 199862 746411 746411 1392464 1271348 96343 24773 5505 5505 2937889 2937889 252014 35 251979 PUBLICATIONS 1467119 1279347 162673 25099 PARTNER REIMBURSEMENTS 1094756 1094756 SCHOLARSHIPS & AWARDS 177410 177410 BAD DEBT 170900 4330 166570 143378 134812 2769 5797 82126112 65178732 14401012 2546368 45245 3476 5568842 7250292 40208764 43854378 1807680 1922553 109995 115860 467228 709031 92075470 39191720 54972179 52883750 24493103 28882527 70422373 85115047 137954 101472 198233363 220838386 5902256 5716997 401600 1072246 3721804 4722579 2203773 2825361 12229433 14337183 X 79246212 83941397 63305712 75756841 43452006 46802965 186003930 206501203 198233363 220838386 11116367 9380906 0 X 0 1 X 1 1 1 X 46041356 49443174 49664114 71686768 68204184 285039596 46041356 49443174 49664114 71686768 68204184 285039596 27755449 257284147 574674 769891 479603 347151 356792 2528111 324107 235057 402809 485061 398612 1845646 289413353 65244451 0.88900 0.88320 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2009 AMOUNT: $ 324,107. 2010 AMOUNT: $ 235,057. 2011 AMOUNT: $ 402,809. 2012 AMOUNT: $ 485,061. 2013 AMOUNT: $ 398,612. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X 1 250.38 0 0 0 1 1 5.00 0 1 40000 624265 X 0 59703811 12128542 5470942 1951333 75351962 44873360 12703802 3285463 2299326 58563299 43483211 4713266 -393566 2929551 44873360 37422020 4218614 3375615 1533038 43483211 28840212 5059542 5032286 1510020 37422020 0.26160 0.62110 0.11730 0 0 10627664 10627664 69135351 28544748 40590603 5003188 4301247 701941 7309267 6345725 963542 52883750 INVESTMENT CONTRACT 416416 F LIMITED PARTNERSHIPS 84698631 F 85115047 CAPITAL LEASE OBLIGATIONS 138677 DEFERRED COMPENSATION 2686684 2825361 X 103664060 9380906 136320 9517226 94146834 41131 -945486 -904355 93242479 83166787 136320 136320 83030467 41131 -945486 -904355 82126112 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, 2013, 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 -870,292. RENTAL EXPENSES -75,194. PART XII, LINE 4B - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES -870,292. RENTAL EXPENSES -75,194. 1 CENTRAL AMERICA AND THE CARIBBEAN - 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 18137 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITES 98888 EUROPE (INCLUDING ICELAND & GREENLAND) - 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 391217 MIDDLE EAST AND NORTH AFRICA - 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 172126 NORTH AMERICA - CANADA AND MEXICO, BUT 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 152340 SOUTH AMERICA - ARGENTINA, BOLIVIA, 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 106204 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 1031284 SUB-SAHARAN AFRICA - ANGOLA, 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 556760 0 0 0 0 0 0 2526956 0 2526956 SOUTH AMERICA - ARGENTINA, BOLIVIA, BRAZIL, CHILE, COLUMBIA, ECUADOR, SUPPORT ACTIVTIES OF ANDE BRAZILIAN CHAPTER. 32000 WIRE TRANSFER SOUTH ASIA TO SUPPORT THE CONVENING OF THE PLANNED IN-PERSON DIALOGUE MEETING IN NEW DEHLI ON APRIL 18, 2013, AND ADDITIONAL TRACK II DIALOGUE MEETING(S) AND OTHER PROGRAMMATIC ACTIVITIES RELATED TO DIALOGUES. 127000 WIRE TRANSFER SUB-SAHARAN AFRICA TO DEVELOP THE CAPACITY OF WOMEN ENTREPRENEURS ON ASSEMBLING TENDER DOCUMENTS AND RAISING FINANCES TO WIN GOVERNMENT CONTRACTS. 50000 WIRE TRANSFER SOUTH ASIA TO SUPPORT SKILL BUILDING, MENTOR SUPPORT AND ACCESS TO RESOURCES FOR WOMEN ENTREPRENEURSHIP. 50000 WIRE TRANSFER EUROPE (INCLUDING ICELAND & GREENLAND) TO SUPPORT THE ADOPTION OF BEST PRATICES AND NEW MODELS FOR SUPPORTING WOMEN-LED SMALL AND GROWING BUSINESSES. 50000 WIRE TRANSFER SOUTH ASIA - AFGHANISTAN, BANGLADESH, BHUTAN, INDIA, MALDIVES, NEPAL, LEADERSHIP PROJECT FOR INDIA LEADERSHIP INITIATIVE 195000 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 1189400 1084625 104775 9052 104932 282328 SUMMER BENEFIT DINNER 439292 395542 43750 174 764 266862 1 253450 187950 65500 4493 1827 199860 1882142 1668117 214025 13719 107523 749050 870292 -656267 1 ACTION EAST INC 80 MAIDEN LANE NEW YORK NY 10038 113317234 501(C)(3) 5250 ASSIST FIELD WITH THE QUALITATIVE INTERVIEWS BY SELECTING BUSINESSES AND EMPLOYEES TO BE INTERVIEWED AND RECRUTING AND ORGANIZING THE INTERVIEWS. AMERICAN UNIVERSITY 4400 MASSACHUSETTS AVENUE NW WASHINGTON DC 20016 530196549 501(C)(3) 9100 PARTIAL INTERNSHIP FOR NATIVE STUDENTS. ARTHA NETWORKS INC 72 PARTRIDGE LANE BELMONT MA 02748 460992972 501(C)(3) 50000 TO HELP LAUNCH AN APP STORE FOR SGBS. BOSTON PRIVATE INDUSTRY COUNCIL 2 OLIVER STREET BOSTON MA 02109 042676661 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. CAPITAL WORKFORCE PARTNERS ONE UNION PLACE HARTFORD CT 06103 061013293 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. CIVIC CONSULTING ALLIANCE 21 S CLARK STREET CHICAGO IL 60603 450467524 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. COLLEGE AND COMMUNITY FELLOWSHIP INC 457 RIVERSIDE DRIVE NEW YORK NY 10115 311720017 501(C)(3) 35000 PILOTING, SCALING, OR REPLICATION OF TWO GENERATION MODELS. COMMUNICATIONS CONSORTIUM MEDIA CENTER 401 9TH STREET NW WASHINGTON DC 20004 521524972 501(C)(3) 118335 TO CAPTURE THE VOICES AND PERSPECTIVES OF PARENTS AND CHILDREN ON ASPIRATIONS, EDUCATION, ECONOMIC SUPPORTS AND SOCIAL CAPITAL. COMMUNITY CENTER FOR EDUCATION RESULTS 2100 24TH AVENUE SOUTH SEATTLE WA 98144 271667560 501(C)(3) 500000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. ERM LOW CARBON ENTERPRISE FUND FOUNDATION 75 VALLEY STREAM PARKWAY MALVERN PA 19355 451668955 501(C)(3) 50000 ADDRESS THE KNOWLEDGE GAP INHIBITING CAPITAL FLOWS TO INVENTIVE, TECHNOLOGY-BASED VENTURES. EVANSTON COMMUNITY FOUNDATION 1007 CHURCH STREET EVANSTON IL 60201 363466802 501(C)(3) 100000 THE DEVELOPMENT OF A PILOT TWO-GENERATION PROGRAM THAT PROVIDES HIGH QUALITY EARLY CHILDHOOD EDUCATION FOR LOW-INCOME CHILDREN AND EDUCATION SUPPORTS AND EMPLOYMENT OPPORTUNITIES WITH FAMILY-SUPPORTING WAGES FOR THEIR PARENTS IN EVANSTON, ILLINOIS. EXCELLENT SCHOOLS DETROIT 11938 FRANKLIN STREET DETROIT MI 48207 274616034 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. FAMILY LEAGUE OF BALTIMORE CITY INC 2305 N CHARLES STREET BALTIMORE MD 21218 521734848 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. FUNDWELL INC 233 SOUTH WAKER DRIVE CHICAGO IL 60606 900858061 10000 MCNULTY PRIZE - RECOGNIZING EXCEPTIONAL LEADERSHIP PROJECTS. GREATER NEW ORLEANS AFTERSCHOOL PARTNERSHIP 1618 ST CHARLES AVENUE NEW ORLEANS LA 70130 261272143 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. HUMBOLDT AREA FOUNDATION 373 INDIANOLA ROAD BAYSIDE CA 95524 237310660 501(C)(3) 50000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. I-DEV INTERNATIONAL 78 EAST 3RD STREET SUITE 2R NEW YORK NY 10003 270726804 501(C)(3) 130000 EVALUATING HOUSEHOLD LEVEL IMPACTS OF SMALL AND GROWING BUSINESSES AND IMPACT INVESTING IN PERU. INTERSECT FUND CORPORATION PO BOX 5653 NEW BRUNSWICK NJ 08903 364636828 501(C)(3) 5000 TO SUPPORT PARTICIPATION IN THE UNIVERSITY BASED MICROENTERPRISE PROGRAMS PROJECT. JOBS FOR THE FUTURE INC 88 BROAD STREET 8TH FLOOR BOSTON MA 02110 061164568 501(C)(3) 200000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. JOBSFIRSTNYC 11 PARK PLACE NEW YORK NY 10007 412242653 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. JUSTINE PETERSEN HOUSING & REINVESTMENT 1023 N GRAND BOULEVARD ST LOUIS MO 63106 431769074 501(C)(3) 30000 TO SUPPORT PARTICIPATION IN THE ASSET BUILDING THROUGH CREDIT PILOT PROJECT. KINGSBOROUGH COMMUNITY COLLEGE FOUNDATION 2001 ORIENTAL BOULEVARD BROOKLYN NY 11235 112620778 501(C)(3) 100000 COMPETITION PRIZE THAT HONORS COMMUNITY COLLEGES THAT STRIVE FOR AND ACHIEVE EXCEPTIONAL LEVELS OF SUCCESS FOR ALL STUDENTS. LAKE AREA TECHNICAL INSTITUTE PO BOX 730 WATERTOWN SD 57201 466001273 501(C)(3) 100000 COMPETITION PRIZE THAT HONORS COMMUNITY COLLEGES THAT STRIVE FOR AND ACHIEVE EXCEPTIONAL LEVELS OF SUCCESS FOR ALL STUDENTS. LOCAL INITIATIVES SUPPORT CORPORATION 501 SEVENTH AVENUE NEW YORK NY 10018 133030229 501(C)(3) 50000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. MCINTOSH SUSTAINABLE ENVIRONMENT AND ECONOMIC DEVELOPMENT 210 MUNRO STREET DARIEN GA 31305 582556194 501(C)(3) 6000 TO PARTICIPATE IN ROOTING WEALTH THAT STICKS FORUM. METHOD PRODUCTS PBC 637 COMMERCIAL STREET SAN FRANCISCO CA 94111 943369550 10000 MCNULTY PRIZE - RECOGNIZING EXCEPTIONAL LEADERSHIP PROJECTS. MIAMI DADE COLLEGE 11011 SW 104TH STREET MIAMI FL 33176 591210485 501(C)(3) 35000 DEVELOP AN EXPANDED PARTNERSHIP WITH THE FLORIDA DEPARTMENT OF CHILDREN AND FAMILIES. MISSION ECONOMIC DEVELOPMENT AGENCY 2031 MISSION STREET SAN FRANCISCO CA 94110 510187791 501(C)(3) 34125 TO PARTICIPATE IN EVALUATION AND PEER LEARNING PROCESS MANGAGED BY FIELD. NEW MARKETS LAB 1100 17TH STREET WASHINGTON DC 20036 273977364 501(C)(3) 50000 TO SUPPORT DEVELOPING LEGAL TOOLS TAILORED TO WOMEN ENTREPRENEURS IN EAST AFRICA. NORTHWESTERN UNIVERSITY 633 CLARK STREET EVANSTON IL 60208 362167817 501(C)(3) 100000 TO DESIGN AND TEST THE IMPACT OF PROACTIVE CREATION OF PARENTAL NETWORKS ON CHILD AND FAMILY OUTCOMES, DETERMINING IF LEVERAGING PARENTAL NETWORKS WILL SUPPORT IMPROVED OUTCOMES IN HEAD START PROGRAMS. PACIFIC ASIAN CONSORTIUM IN EMPLOYMENT 1055 WILSHIRE BLVD LOS ANGELES CA 90017 510192025 501(C)(3) 35875 TO PARTICIPATE IN EVALUATION AND PEER LEARNING PROCESS MANGAGED BY FIELD. PLANNED PARENTHOOD MAR MONTE INC 1691 THE ALAMEDA SAN JOSE CA 95106 941583439 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. ROSE COMMUNITY FOUNDATION 600 SOUTH CHERRY STREET DENVER CO 80246 840920862 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. SAN DIEGO WORKFORCE PARTNERSHIP 3910 UNIVERSITY AVENUE SAN DIEGO CA 92105 330660504 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. SAN FRANCISCO CHILD ABUSE PREVENTION CENTER 1757 WALLER STREET SAN FRANCISCO CA 94117 942455072 501(C)(3) 50000 TO DEVELOP A PARENT-CHILD PROTECTIVE FRAMEWORK TO IMPROVE FAMILIAL SOCIAL CAPITAL AND MENTAL HEALTH FOR LONG-TERM ECONOMIC SUCCESS. SANTA BARBARA COMMUNITY COLLEGE DISTRICT 721 CLIFF DRIVE SANTA BARBARA CA 93109 770070782 501(C)(3) 400000 COMPETITION PRIZE THAT HONORS COMMUNITY COLLEGES THAT STRIVE FOR AND ACHIEVE EXCEPTIONAL LEVELS OF SUCCESS FOR ALL STUDENTS. SKILLS FOR CHICAGOLANDS FUTURE 191 NORTH WACKER DRIVE CHICAGO IL 60606 451287418 501(C)(3) 30000 BEGIN ASESSEING DEMAND DRIVEN CONSULTING SERVICES IN OTHER COMMUNITIES. THE HOPI FOUNDATION PO BOX 301 KYKOTSMOVI AZ 86039 742488628 501(C)(3) 50000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. THE PHILADELPHIA YOUTH NETWORK 714 MARKET STREET PHILADELPHIA PA 19106 232993155 501(C)(3) 499397 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. UNITE LA INC 350 SOUTH BIXEL STREET LOS ANGELES CA 90017 820576380 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. UNITED WAY OF METROPOLITAN ATLANTA PO BOX 2692 ATLANTA GA 30301 580566194 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. UNITED WAY OF TUCSON AND SOUTHERN ARIZONA 330 N COMMERCE PARK LOOP TUCSON AZ 85745 860098932 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. UNIVERSITY OF SOUTHERN MAINE 96 FALMOUTH STREET PORTLAND ME 04104 016000769 501(C)(3) 75000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. UNIVERSITY OF TEXAS AT AUSTIN 1616 GUADALUPE STREET SUITE 3206 AUSTIN TX 78701 746000203 501(C)(3) 41800 TO PRODUCE A SINGLE VOLUME ENTITLED THE ASPEN INSTITUTE TWO GENERATION ANTHOLOGY. UNIVERSITY OF TEXAS AT AUSTIN-CHARLES A DANA CENTER 1616 GUADALUPE STREET SUITE 3206 AUSTIN TX 78701 746000203 501(C)(3) 220883 SUPPORT DISTRICT TEAMS IN THE IMPLEMENTATION OF THE CCSS IN MATHEMATICS, ENGLISH LANGUAGE ARTS AND LITERACY IN HISTORY, SOCIAL STUDIES, SCIENCE AND TECHNICAL STUDIES. URBAN STRATEGIES COUNCIL 1720 BROADWAY AVENUE OAKLAND CA 94612 943044453 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. VILCAP INC 2200 CENTRY PARKWAY ATLANTA GA 30345 274059343 501(C)(3) 31250 ENGAGE GRANTEE IN MAPPING INCUBATION AND ACCELERATION MODELS IN EMERGING MARKETS. WALLA WALLA COMMUNITY COLLEGE 500 TAUSICK WAY WALLA WALLA WA 99362 910821964 501(C)(3) 400000 COMPETITION PRIZE THAT HONORS COMMUNITY COLLEGES THAT STRIVE FOR AND ACHIEVE EXCEPTIONAL LEVELS OF SUCCESS FOR ALL STUDENTS. WORKFORCE SOLUTIONS CAPITAL AREA WORKFORCE BOARD 6505 AIRPORT BOULEVARD AUSTIN TX 78752 742327454 501(C)(3) 100000 DEVELOP IMPROVED EDUCATION AND EMPLOYMENT OUTCOMES FOR OPPORTUNITY YOUTH. WORLD AFFAIRS COUNCIL OF NORTHERN CALIFORNIA 312 SUTTER STREET SAN FRANCISCO CA 94108 941156356 501(C)(3) 60000 DESIGN, PLANNING AND EXECUTION OF THE 2013 ANNUAL MEETING AND SUPPORTING MEETINGS TAKING PLACE IN 2013 ND 2014. 48 2 HONORARIUM 20 31722 SCHOLARSHIP AWARDS 26 26700 TRAVEL ASSISTANCE 6 24416 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 781187 0 0 0 4323 0 38250 0 29576 0 853336 0 0 0 ELLIOT GERSON EXECUTIVE VP 337285 0 0 0 2723 0 38250 0 29580 0 407838 0 0 0 AMY MARGERUM EXEC. VP/CORPORATE S. 340076 0 0 0 1958 0 38250 0 20594 0 400878 0 0 0 PETER REILING EXECUTIVE VP 338035 0 0 0 1774 0 38250 0 29556 0 407615 0 0 0 SUSAN SHERWIN EXECUTIVE VP 282102 0 0 0 8498 0 38250 0 20628 0 349478 0 0 0 DOLORES GORGONE CHIEF FINANCIAL OFFICER 280146 0 0 0 1826 0 38250 0 3321 0 323543 0 0 0 DAN GLICKMAN EXECUTIVE DIRECTOR-CONGRESS 309000 0 0 0 7763 0 25500 0 3560 0 345823 0 0 0 CHARLIE FIRESTONE EXEC. DIR. C&S 296848 0 0 0 5239 0 38250 0 20625 0 360962 0 0 0 MICKEY EDWARDS DIR. RODEL 276619 0 0 0 8498 0 38250 0 11083 0 334450 0 0 0 CHARLES BAILEY DIRECTOR AGENT ORANGE 244893 0 0 0 5239 0 25245 0 29663 0 305040 0 0 0 MARGARET CLARK VICE PRES. POLICY PROGRAMS 249938 0 0 0 1774 0 38162 0 20366 0 310240 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: 1-3 ARE VALID FOR FIRST CLASS TRAVEL. ALL 6 PERTAIN TO BUSINESS 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 FIRST CLASS OR BUSINESS 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 1 40000 APPRAISAL X 16 374529 FMV X SOFTWARE LIC. 1 6700 FMV X DINNER WINE 1 6113 FMV 0 1 0 PART I, LINE 32B: THE INSTITUTE HAS A WRITTEN GIFT ACCEPTANCE POLICY THAT IF A DONOR WANTS TO GIVE A GIFT OUTSIDE OF THAT POLICY, IT WOULD BE REVIEWED BY SENIOR MANAGEMENT AND THE BOARD OF DIRECTORS IF NECESSARY. 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, CONFLICT OF INTEREST POLICY, FEDERAL FORM 990, AND THE AUDITED FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST. FORM 990, PART IX, LINE 11G CONSULTANTS: PROGRAM SERVICE EXPENSES 5,360,129. MANAGEMENT AND GENERAL EXPENSES 119,621. FUNDRAISING EXPENSES 115,202. TOTAL EXPENSES 5,594,952. CONFERENCE CENTER MANAGEMENT - DOLCE & MARRIOTT: PROGRAM SERVICE EXPENSES 12,717,898. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 12,717,898.