2013-08-29T14:40:58-05:00 2012-12-31 271728945 O'CONNOR DAVIES LLP ONE STAMFORD LANDING STAMFORD CT 06902 990 2012-01-01 237213592 THE FRANKLIN & ELEANOR ROOSEVELT INSTITUTE FRAN 2124449130 570 LEXINGTON AVENUE SUITE 500 NEW YORK NY 10022 FELICIA WONG 2124449130 2013-08-29 1 SANDERS DAVIES P01325852 2033232400 2013-08-21 2012 2016-02-24 21:20:13Z FELICIA WONG 570 LEXINGTON AVENUE SUITE 500 NEW YORK NY 10022 25181167 0 X WWW.ROOSEVELTINSTITUTE.ORG X 1987 NY FOR COMPLETE DESCRIPTION OF MISSION AND EXPLANATION OF PART I VARIANCES BELOW, SEE SCHEDULE O - THE INSTITUTE' MISSION IS TO INFORM NEW GENERATIONS OF THE IDEALS, VALUES AND ACHIEVEMENTS OF FRANKLIN AND ELEANOR ROOSEVELT AND TO INSPIRE THE APPLICATION OF THEIR SPIRIT OF OPTIMISM AND INNOVATION TO THE SOLUTION OF CURRENT PROBLEMS THROUGH CONFERENCES AND OTHER EDUCATIONAL PROGRAMS, SUPPORT FOR THE FRANKLIN D. ROOSEVELT PRESIDENTIAL LIBRARY AND MUSEUM, AND THE GRANTING OF THE FOUR FREEDOMS MEDALS AND OTHER AWARDS ON AN ANNUAL BASIS.THE PRIOR YEAR INCOME AND EXPENSES INCLUDES THE ACTIVITY OF THE FRANKLIN D. ROOSEVELT FOUR FREEDOMS PARK FOR THE 9 MONTHS ENDED SEPTEMBER 30, 2011. THE PARK IS A SINGLE MEMBER LLC . IN OCTOBER 2011, THE INSTITUTE ASSIGNED ALL RIGHTS, TITLE AND INTEREST IN AND TO THE ENTIRE SOLE MEMBERSHIP INTEREST IN THE PARK TO FOUR FREEDOMS PARK CONSERVANCY, INC. 33 32 34 0 0 0 17563981 3641057 0 0 3254689 391874 -213834 115130 20604836 4148061 563512 326813 0 0 2607825 2305657 14745 0 474858 15438534 4416389 18624616 7048859 1980220 -2900798 21924426 18064552 2269063 1012660 19655363 17051892 X SINCE ITS FORMATION IN 1987, THE ROOSEVELT INSTITUTE HAS BEEN DEVOTED TO INFORMING NEW GENERATIONS OF THE IDEALS AND ACHIEVEMENTS OF FRANKLIN AND ELEANOR ROOSEVELT. CONTINUED ON SCHEDULE OTHE INSTITUTE IS FOCUSED ON CRAFTING A NEW DEAL FOR THE 21ST CENTURY BY BUILDING ON THE GREATNESS OF THE PAST TO FORGE A STRONG PROGRESSIVE FUTURE. THREE PILLARS UNDERPIN THIS MISSION: GENERATING AND PROMOTING COMPELLING NEW IDEAS AND BOLD LONG-TERM VISIONS, DEVELOPING THE NEXT GENERATION OF PROGRESSIVE LEADERS AND GROUNDING TODAY'S POLICY SOLUTIONS IN AN ACCURATE HISTORICAL UNDERSTANDING OF THE ROOSEVELT LEGACY.THE INSTITUTE'S GOALS ARE TO PROMOTE ECONOMIC GROWTH NOW AND IN THE FUTURE; PUSH FOR MORE EQUITABLE DISTRIBUTION OF WEALTH; AND FOSTER A POLITICAL SYSTEM THAT CELEBRATES BOTH THE ROLE OF GOVERNMENT AND THE ROLE OF CITIZENS. THE INSTITUTE HAS A UNIQUE MIX OF PROGRAM AREAS: FOUR FREEDOMS CENTER POLICY INSTITUTION, THE CAMPUS NETWORK STUDENT ORGANIZATION, PIPELINE, LEGACIES AND FDR LIBRARY. 0 0 2272232 30190 FDR LIBRARY PROGRAMS:THE ROOSEVELT INSTITUTE PROVIDES PROGRAM SUPPORT TO THE FDR PRESIDENTIAL LIBRARY AND MUSEUM. AS PART OF THIS EFFORT, WE HELP SUPPORT THE LIBRARY'S EDUCATIONAL AND PUBLIC PROGRAMS, WHICH BENEFIT 14,904 STUDENTS AND ROUGHLY 862 TEACHERS IN 2012; THE LIBRARY'S SPECIAL EXHIBIT GALLERY IS VISITED BY AS MANY AS 100K PEOPLE PER YEAR. THE FDRL AND MUSEUM'S WEBSITE CONTAINS MORE THAN 13,000 DIGITIZED ARCHIVAL DOCUMENTS, PHOTOGRAPHS AND IS UNDERGOING RENOVATION AND CONSTRUCTION OF INSTALLATION OF THE NEW MULTI-MILLION DOLLAR PERMANENT EXHIBITS.THESE PROGRAMS AND FACILITATION OF THE EXHIBITS HELP CARRY THE LEGACY AND VISION OF FDR FORWARD FOR FUTURE GENERATIONS. 2134098 11211 FOUR FREEDOMS CENTER:THE INSTITUTE SUPPORTS THE DEVELOPMENT AND PROMOTION OF IDEAS BY SOME OF THE SMARTEST PROGRESSIVE MINDS IN THE COUNTRY; ENCOURAGING A DEBATE OF SUBSTANCE AND POLICY DIRECTION, INSPIRED BY THE BOLD VISION THAT THE ROOSEVELTS BROUGHT TO THE LAST CENTURY. WE FOCUS PRIMARILY ON ECONOMIC AND SOCIAL ORGANIZATIONS POLICY. THE POLICY WORK OF THE INSTITUTE FELLOWS REFLECTS A COMMITMENT TO RIGOROUS, OPEN-MINDED INQUIRY AND A BELIEF IN THE POWER THAT CAN BE DERIVED FROM A LIVELY AND FREE DEBATE OF IDEAS. 883250 125319 CAMPUS NETWORK:THE INSTITUTE SUPPORTS A NETWORK OF COLLEGE CAMPUS POLICY ON OVER 100 CAMPUSES NATIONWIDE. 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 2012 MORE THAN 10,000 STUDENTS BELONGED TO THE NETWORK. 492857 160093 PIPELINETHE RI SUPPORTS A NETWORK CALLED THE RI/PIPELINE THAT KEEPS YOUNG PROFESSIONALS CONNECTED TO THE PROGRESSIVE MOVEMENT AND THE LEGACY AND VALUES OF FDR. THIS IS PERFORMED THROUGH PROFESSIONAL DEVELOPMENT AND MEDIA TRAINING, LOCAL ENGAGEMENT AND FELLOWSHIP PROGRAMS. THE NETWORK HAS BASES IN NY, DC, CHICAGO, MIAMI AND BOSTON TO NAME A FEW.TOTAL EXPENSE OF $290,030 INCLUDING GRANTS OF $7,634LEGACIES AWARDS AND EVENTSTOTAL EXPENSE OF $202,827 INCLUDING GRANTS OF $152,459. 492857 160093 5782437 1 1 0 0 0 0 0 1 0 1 1 1 0 0 0 1 1 0 0 0 0 1 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 129 0 1 34 1 0 0 0 0 0 0 0 0 0 0 X 33 32 1 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 NY X X THE ORGANIZATION 2124449131 570 LEXINGTON AVE SUITE 500 NEW YORK NY 10022 ANNA ELEANOR ROOSEVELT 2.00 X X 0 0 0 ALISON OVERSETH 2.00 X X 0 0 0 GEORGE KNOX 2.00 X X 0 0 0 WILLIAM J VANDEN HEUVEL 2.00 X X 0 0 0 WILLIAM GRIFFITH 2.00 X X 0 0 0 BEN BARNES 2.00 X 0 0 0 JOE LOUIS BARROW JR 2.00 X 0 0 0 KAREN ADLER 2.00 X 0 0 0 LYNN BASSANESE 2.00 X 0 0 0 MARIAN BREEZE 2.00 X 0 0 0 WILIAM BRODY 2.00 X 0 0 0 SARAH FITZ RANDOLPH BROWN 2.00 X 0 0 0 GEORGE CHAO-CHI CHU 2.00 X 0 0 0 DONALD FOWLER 2.00 X 0 0 0 ROBERT GATJE 2.00 X 0 0 0 GARA LAMARCHE 2.00 X 0 0 0 FREDRICA GOODMAN 2.00 X 0 0 0 HAROLD LEVY 2.00 X 0 0 0 GEORGE MORRIS GURLEY 2.00 X 0 0 0 DAVID CHEN CHUN HSU 2.00 X 0 0 0 NANCY ROOSEVELT IRELAND 2.00 X 0 0 0 CANTWELL F MUCKENFUSS III 2.00 X 0 0 0 E ROOSEVELT JOHNSTON 2.00 X 0 0 0 PHILIP JOHNSTON 2.00 X 0 0 0 PAUL RUDD 2.00 X 0 0 0 SALLY MINARD 2.00 X 0 0 0 DENNIS MURRAY 2.00 X 0 0 0 KATRINA VANDEN HEUVEL 2.00 X 0 0 0 MRS F D ROOSEVELT JR 2.00 X 0 0 0 KATHLEEN SLOANE 2.00 X 0 0 0 GILLIAN MARTIN SORENSEN 2.00 X 0 0 0 BRIAN WOLFF 2.00 X 0 0 0 FELICIA WONG 40.00 X X 201276 0 36560 JOLANTA ILCZUK 40.00 X X 104964 0 35490 GLEN WEINER 40.00 X 106993 0 25097 413233 0 97147 3 0 1 0 EXPLUS 44156 MERCURE CIRCLE DULLES VA 20166 CONSTRUCTION 649432 GALLAGHER & ASSOC 8665 GEORGIA AVE SILVER SPRING MD 20910 ARCHITECTS 384378 MONADNOCK PO BOX 429 SUNDERLAND MA 01375 CONSTRUCTION 335960 FENTON 1000 VERMONT AVE NW WASHINGTON DC 20005 COMMUNICATION SERVICES 244480 CORTINA 6623-A OLD DOMINION DRIVE MCLEAN VA 22101 CONSTRUCTION 200750 6 60735 3580322 3641057 240364 240364 13000 0 13000 13000 13000 21184616 21033106 151510 151510 151510 OTHER INCOME 900099 52130 52130 LICENSING FEE USE 900099 50000 50000 102130 4148061 266640 0 240364 X 50000 50000 198250 198250 78563 78563 510380 268187 170842 71351 1489092 1081484 290499 117109 69800 51028 10451 8321 111502 88396 14218 8888 124883 91471 23329 10083 4840 2751 1242 847 26000 16235 6201 3564 25754 25754 2161037 2008273 53213 99551 22980 21991 876 113 158500 104401 33271 20828 11838 11838 507498 385850 44995 76653 129947 116067 8217 5663 85693 82085 2600 1008 101413 26707 74706 18172 10328 4664 3180 PUBLICATIONS, FILMS AND 679657 673020 3820 2817 CONSTRUCTION DESIGN AND 397341 397341 BAD DEBT 55506 15506 40000 REPAIRS AND MAINTENANCE 30213 18171 7160 4882 7048859 5782437 791564 474858 X 667273 8595142 2284847 648682 61434 23726 534572 357907 265484 176665 13990279 8226347 4257679 0 397430 393990 21924426 18064552 2269063 1012660 2269063 1012660 X 8944667 7543085 9571548 8369659 1139148 1139148 19655363 17051892 21924426 18064552 -2900798 297327 0 X X 0 1 X 1 0 X 3710321 5887897 20926947 17198036 3641057 51364258 3710321 5887897 20926947 17198036 3641057 51364258 6506410 44857848 668948 541856 510603 644723 253364 2619494 102130 102130 54085882 50200 0.82940 0.79190 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X X X 0 18251398 0 663407 82646 10605812 8226347 18121927 2140787 656039 95004 2572351 18251398 20428445 12799392 1950371 108127 16948154 18121927 17815587 4683815 2126323 100601 4096679 20428445 21829802 3076237 -4266511 89718 2734223 17815587 0.75000 0.14000 0.11000 0 0 1532 1313 219 250708 119149 131559 282332 237445 44887 176665 X 4421130 297327 1496 298823 4122307 25754 25754 4148061 7024601 1496 1496 7023105 25754 25754 7048859 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. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: 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. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: 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 2009. 0 0 0 0 0 0 0 0 0 0 THE NETHERLANDS PROVIDE ASSISTANCE TO THE LIBRARY 78563 0 0 0 0 0 0 1 THE LANTOS FOUNDATION FOR HUMAN RIGHTS AND JUSTICE 19 PLEASANT STREET CONCORD NH 03301 352325429 501(C)(3) 50000 0 AWARD FOR INTERNATIONAL DISABILITY 1 1 SCHLESINGER FELLOWSHIP AND HISTORY PRIZE 1 10000 0 CAMPUS NETWORK STIPENDS FOR COLLEGE STUDENTS 2 12705 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, 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 1 0 0 0 0 0 0 0 0 FELICIA WONG 201276 0 0 0 0 0 0 0 36560 0 237836 0 0 0 PART I, LINE 4A GLEN WEINER $34,615 (INCLUDES SALARY PLUS BENEFITS) FORM 990, PART VI, SECTION A, LINE 2 DIRECTOR ANNA ELEANOR ROOSEVELT HAS A FAMILY RELATIONSHIP WITH DIRECTOR E. ROOSEVELT JOHNSTON. 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 EXECUTIVE DIRECTOR AND CFO. THE RETURN IS THEN PRESENTED TO THE AUDIT COMMITTEE FOR 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. OTHER FEES FORM 990, PART IX, LINE 11G FELLOWS & CONSULTANTS: PROGRAM SERVICE EXPENSES 253,798. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 253,798. CONSTRUCTION FEES : PROGRAM SERVICE EXPENSES 1,414,371. MANAGEMENT AND GENERAL EXPENSES 35,210. FUNDRAISING EXPENSES 93,262. TOTAL EXPENSES 1,542,843. PUBLIC RELATIONS CONSULTANT: PROGRAM SERVICE EXPENSES 240,000. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 240,000. PROFESSIONAL FEES - OTHER: PROGRAM SERVICE EXPENSES 74,576. MANAGEMENT AND GENERAL EXPENSES 10,983. FUNDRAISING EXPENSES 5,839. TOTAL EXPENSES 91,398. DESIGN CREATIVE & WEBSITE: PROGRAM SERVICE EXPENSES 25,528. MANAGEMENT AND GENERAL EXPENSES 4,057. FUNDRAISING EXPENSES 450. TOTAL EXPENSES 30,035. RECRUITING FEES: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 2,963. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,963. BOARD OVERSIGHT OF AUDITED STATEMENTS 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.