2013-04-04T14:22:21-05:00 2012-09-30 521186096 RUBINO & COMPANY CHARTERED 6903 ROCKLEDGE DRIVE SUITE 1200 BETHESDA MD 20817 990 2011-10-01 521892964 CONSORTIUM FOR OCEAN LEADERSHIP CONS 2023323900 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 YAN XING 2023323900 2013-04-04 1 JENNY E HERRERA CPA P00252755 3015643636 2011 2016-02-25 16:41:14Z DR ROBERT GAGOSIAN 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 160569618 0 X WWW.OCEANLEADERSHIP.ORG X 1994 DE TO SHAPE THE FUTURE OF OCEAN SCIENCE AND TECHNOLOGY THROUGH DISCOVERY, UNDERSTANDING AND ACTION. 16 16 102 50 0 0 172568155 159850130 614558 652040 53154 67448 0 0 173235867 160569618 664508 582077 0 0 9345470 10302780 0 0 9565 163077773 148879474 173087751 159764331 148116 805287 27540631 52909458 25560189 49850137 1980442 3059321 X OCEAN LEADERSHIP SHAPES THE FUTURE OF OCEAN SCIENCE AND TECHNOLOGY THROUGH DISCOVERY, UNDERSTANDING AND ACTION. OCEAN LEADERSHIP PROVIDES EXPERTISE IN MANAGING, COORDINATING, AND FACILITATING SCIENTIFIC PROGRAMS AND PARTNERSHIPS; INFLUENCING SOUND OCEAN POLICY; AND EDUCATING THE NEXT GENERATION OF OCEAN LEADERS. 1 0 68119118 OCEAN RESEARCH INTERACTIVE OBSERVATORY NETWORK PROGRAM (OOI) - DEVELOPMENT OF THE PRELIMINARY NETWORK DESIGN, SYSTEM REQUIREMENTS, AND OTHER PLANNING DOCUMENTS. 59540824 INTEGRATED OCEAN DRILLING PROGRAM - INTERNATIONAL PARTNERSHIP OF SCIENTISTS AND RESEARCH INSTITUTIONS ORGANIZED TO EXPLORE THE HISTORY AND STRUCTURE OF THE EARTH. 16580820 GRI AND BP EXPLORATION AND PRODUCTION - THE GULF OF MEXICO RESEARCH INITIATIVE (GOMRI) IS A 10-YEAR INDEPENDENT RESEARCH PROGRAM INVESTIGATING THE EFFECTS OF THE DEEPWATER HORIZON INCIDENT. THE MISSION OF THE GOMRI IS TO IMPROVE SOCIETY'S ABILITY TO UNDERSTAND AND MITIGATE THE IMPACTS OF HYDROCARBON POLLUTION AND STRESSORS ON THE MARINE ENVIRONMENT AND PUBLIC HEALTH. AN INDEPENDENT AND ACADEMIC 20-MEMBER RESEARCH BOARD MAKES THE FUNDING AND RESEARCH DIRECTION DECISIONS TO ENSURE THE INTELLECTUAL QUALITY, EFFECTIVENESS AND ACADEMIC INDEPENDENCE OF THE GOMRI RESEARCH. ALL RESEARCH DATA, FINDINGS AND PUBLICATIONS WILL BE PUBLICLY AVAILABLE. THE PROGRAM WAS ESTABLISHED THROUGH A $500 MILLION FINANCIAL COMMITMENT FROM BP. OCEAN LEADERSHIP HELPS ADMINISTER THE PROGRAM THOUGH PROPOSAL REVIEW, GRANT MANAGEMENT, SCIENCE COORDINATION AND OUTREACH ACTIVITIES. 2299652 OVERSEAS DRILLING LIMITED 1286372 20000 NATIONAL OCEAN SCIENCES BOWL 864104 652040 OTHER RESEARCH AND EDUCATION 757194 GULF OF MEXICO RESEARCH INITIATIVE 590177 562077 PUBLIC POLICY AND ADVOCACY 408119 NATIONAL OCEANOGRAPHIC PARTNERSHIP PROGRAM 3966512 U.S. SCIENCE SUPPORT PROGRAM ASSOCIATED WITH THE INTERGRATED OCEAN DRILLING PROGRAM(IODP) SUPPORTS INVOLVEMENT OF THE US SCIENTIFIC COMMUNITY IN THE IODP, AN INTERNATIONAL PROGRAM OF BASIC RESEARCH IN MARINE GEOSCIENCES THAT USES MULTIPLE OCEAN DRILLING PLATFORMS TO EXPLORE THE EARTH'S HISTORY AND ENVIRONMENT. 10172130 582077 652040 154412892 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 0 1 0 0 0 1 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 0 1 88 0 1 102 1 0 0 0 0 0 0 0 0 X 16 16 0 0 1 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 NY X YAN XING 2023320063 1201 NEW YORK AVE 4TH FL WASHINGTON DC 20005 DR ROBERT GAGOSIAN 40.00 X X 406501 0 37682 AMY CASTNER 40.00 X X 83241 0 24660 COLIN REED 40.00 X X 71251 0 11850 DR NANCY TARGET 2.00 X X 0 0 0 DR ROBERT B DUNBAR 2.00 X X 0 0 0 DR JAMES G SANDERS 2.00 X X 0 0 0 DR MARK R ABBOTT 2.00 X 0 0 0 DR CHARLIE PAUL 2.00 X 0 0 0 DR BRIAN TAYLOR 2.00 X 0 0 0 MS JOSIE QUINTRELL 2.00 X 0 0 0 DR PETER N MIKHALEVSKY 2.00 X 0 0 0 DR SANDRA WHITEHOUSE 2.00 X 0 0 0 DR SUSAN K AVERY 2.00 X 0 0 0 DR MICHAEL PERFIT 2.00 X 0 0 0 DR NANCY RABALAIS 2.00 X 0 0 0 DR ROBERT W CORELL 2.00 X 0 0 0 DR DONALD F BOESCH 2.00 X 0 0 0 DR STEVEN E LOHRENZ 2.00 X 0 0 0 DR LARRY MAYER 2.00 X 0 0 0 YAN XING 40.00 X 191705 0 42101 KEVIN WHEELER 40.00 X 160582 0 31472 TIMOTHY COWLES 40.00 X 193290 0 32349 DAVID DIVINS 40.00 X 163266 0 40341 PAUL HAGSTROM 40.00 X 158896 0 17347 WILLIAM PRITCHETT 40.00 X 152855 0 21589 ANTHONY FERLAINO 40.00 X 182257 0 33492 GREGORY MYERS 40.00 X 153463 0 31174 REGINALD BEACH 40.00 X 163151 0 38370 2080458 0 362427 27 0 1 0 TEXAS A&M RESEARCH FOUNDATION PO BOX 201918 DALLAS TX 753201918 IMPLEMENTATION OF OCEAN DRILLING 52843077 UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DR CHICAGO IL 606930001 IMPLEMENTATION OF OCEAN OBSERVING 31783564 WOODS HOLE OCEANOGRAPHIC INSTITUTE 569 WOODS HOLE RD WOODS HOLE MA 02543 IMPLEMENTATION OF OCEAN OBSERVING 17366489 UNIVERSITY OF CALIFORNIA REGENTS 9500 GILMAN DR LAJOLLA CA 92093 IMPLEMENTATION OF OCEAN OBSERVING 9719262 TRUSTEES OF COLUMBIA UNIVERSITY PO BOX 29789 NEW YORK NY 10027 IMPLEMENTATION OF OCEAN DRILLING 7172273 24 1886 138527159 21321085 159850130 MEMBERSHIP DUES 900099 652040 652040 652040 67448 67448 160569618 652040 0 67448 397705 397705 164372 164372 20000 20000 1565775 1022715 543060 6478558 5023079 1448136 7343 724540 568883 154846 811 983281 715239 267110 932 550626 416028 134081 517 192627 141024 51603 140982 140982 10781 10781 143975314 143484554 490760 15946 13362 2584 454209 226043 228204 -38 219293 61654 157639 1385515 1000 1384515 1801071 1721835 79236 461125 435399 25726 165380 165380 57231 57231 159764331 154412892 5341874 9565 51417 16311100 2436020 1797707 21211849 17704549 928488 13688811 292472 416892 1394334 914268 539916 480066 1865633 2288299 214836 222034 27540631 52909458 24160881 18667733 544939 30260535 854369 921869 25560189 49850137 X 1980442 3059321 1980442 3059321 27540631 52909458 X 805287 273592 X X 0 1 1 X 1 1 X 91223482 103145435 133645022 172568155 159850130 660432224 91223482 103145435 133645022 172568155 159850130 660432224 3365762 657066462 83093 59808 30197 53154 67448 293700 660725924 3096763 0.99450 0.99940 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 31540 31540 159732791 159764331 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 29305 22014 50283 31540 133142 250000 250000 250000 250000 1000000 1500000 496313 287810 208503 599388 353968 245420 298633 272490 26143 480066 DEFERRED RENT 646993 DEFERRED COMPENSATION 274876 921869 160569618 159764331 805287 273592 273592 1078879 160832548 273592 273592 160558956 10662 10662 160569618 159753669 0 159753669 10662 10662 159764331 0 CENTRAL AMERICA AND CARRIBEAN PROGRAM SERVICES PRE-DRILLING AWARD, EXP. 340 LESSER ANTILLES VOLCANISM & LANDSLIDES(PCLL), EXP. 340: LESSER ANTILLES, SCHOOL OF ROCK- SHIP TO SHORE. 38016 EAST ASIA AND THE PACIFIC PROGRAM SERVICES PRCM EXP. 343, POCM EXP 317, JFAST EXP. 343, STP MEETING, PCLL EXP. 343T JAPAN TRENCH FAST DRILLING PROJECT, SHIMOKITA COALBED BIOSPHERE, EXP. 337, POST EXP. AWARD; EXP. 330 109007 EUROPE PROGRAM SERVICES 6TH AQUATIC VIRUS WORKSHOP, PCLL EXP. 339 MEDITERRANEAN OUTFLOW, PCLL EXP. 340T ATLANTIC MASSIF OCEANIC CORE COMPLEX, SMPL EXP. 339, PROPOSAL EVALUATION PANEL, POST EXPEDITION AWARD EXP., POST EXPEDITION ACTIVITY, EXP. 334 108711 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES POCM(POST CRUISE MEETING) EXP. 330 11563 NORTH AMERICA PROGRAM SERVICES DEA EXP. 342, PCLL EXP. 342, EXP. 330 21446 SOUTH AMERICA PROGRAM SERVICES PEA EXP. 334, POCM: EXP. 325, CONCEPCION OBSERVATORY MEETING 5517 SOUTH ASIA PROGRAM SERVICES SCIENTIFIC OCEAN DRILLING IN INDIAN OCEAN WORKSHOP,SIPCOM MEETING, EXP.338(PRCM) 36120 0 0 0 0 0 0 330380 0 330380 X EAST ASIA AND THE PACIFIC WORKSHOP SUPPORT 20000 EFT FMV 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: OCEAN LEADERSHIP MAINTAINS RECORDS THAT INCLUDE: PURCHASE REQUEST WITH AUTHORIZED SIGNATURE, COPY OF AWARD AND CERTIFICATIONS, EPLS PRINT OUT AS EVIDENCE OF ELIGIBILITY, AND SELECTION CRITERIA IF AWARD EXCEEDS THE MICRO PURCHASE THRESHOLD OF $3,000 AS PER OCEAN LEADERSHIP'S POLICIES. OCEAN LEADERSHIP HAS PROVIDED A LEVEL OF OVERSIGHT AND MONITORING THAT WILL ALLOW ADEQUATE AND ACCURATE COLLECTION OF DATA ON PERFORMANCE THROUGHOUT THE LIFE OF A PROGRAM. MONITORING PROCESS FOR THE GRANTS AND SUBCONTRACTS THE OVERALL PURPOSE OF MONITORING AND EVALUATION IS THE MEASUREMENT AND ASSESSMENT OF PERFORMANCE IN ORDER TO MORE EFFECTIVELY MANAGE THE OUTPUTS AND OUTCOMES OF EXPENDITURES. OCEAN LEADERSHIP MONITORS AWARDS AT SEVERAL KEY PHASES OF THE AWARD'S LIFE CYCLE. 1) PRE-AWARD ASSESSMENT: THE INITIAL MONITORING BEGINS WITH A PRE-AWARD ASSESSMENT OF THE PROSPECTIVE RECIPIENT'S ABILITIES AND RESOURCES TO BE APPLIED TO THE AWARD FOR THE PURPOSE OF DETERMINING WHETHER THE RECIPIENT CAN ADEQUATELY PROVIDE THE SERVICES DEMANDED BY THE AWARD. 2) PERIODIC MONITORING: ON-GOING MONITORING IS CONDUCTED DURING THE LIFE OF THE AWARD. PERIODIC MONITORING INCLUDES REVIEW OF THE QUARTERLY AND ANNUAL REPORTING REQUIRED UNDER THE AWARD AND ANY OTHER REPORTS AS SPECIFIED IN THE AWARD. 3) COMPLETION OF GRANT: A FINAL REVIEW OF THE AWARD'S ACTIVITY AND ACCOMPLISHMENTS AND SPENDING IS CONDUCTED AT THE COMPLETION OF THE AWARD. 4) THE ABOVE MONITORING IS ACCOMPLISHED THROUGH VARIOUS MEANS BASED ON THE NEEDS OF THE INDIVIDUAL AWARD. TECHNIQUES USED WILL CONSIST OF PERIODIC WRITTEN REPORTS FROM THE RECIPIENT, ON-SITE VISITS (ANNOUNCED AND UNANNOUNCED), TELEPHONE CONTACTS, AND, IF APPLICABLE ON-LINE REVIEW OF AWARD DATA. 5) REPORTING FORMAT: THE RECIPIENT IS EXPECTED TO PROVIDE THE REPORTS IDENTIFIED IN THE AGREEMENT SIGNED BETWEEN OCEAN LEADERSHIP AND THE RECIPIENT. THE ANNUAL REPORTS REQUIRED ARE COMPLETED USING THE REPORTING FORMAT PROVIDED FOR BY OCEAN LEADERSHIP. 6) PROGRAM DIRECTORS WILL REVIEW THE SUBCONTRACTOR'S REPORTS TO MAKE SURE THEY ARE COMPLETE AND THAT THE INFORMATION AGREES WITH ANY PERIODIC REPORTING. 7) MONITORING RECORDS: PROGRAM STAFF FULLY AND ACCURATELY DOCUMENT ALL MONITORING EFFORTS. 8) SITE VISITS: OCEAN LEADERSHIP MAY UNDERTAKE ADDITIONAL RECIPIENT MONITORING BY MAKING PERIODIC SITE VISITS. BASED ON THE LEVEL OF RISK ASSIGNED TO EACH RECIPIENT, ONE TO SEVERAL SITE VISITS MAY BE SCHEDULED DURING THE TERM OF THE AWARD. 1 BIRCH AQUARIUM AT SCRIPPS SIO 9500 GILMAN DR DEPT 0207 LAJOLLA CA 920930207 956006144 501(C)(3) 15000 FMV SUBSIDY FOR NOSB COMPETITION CIRESUNIVERSITY OF COLORADO AT BOULDER 3100 MAINE ST 572 UCB BOULDER CO 803090572 846000555 STATE OF CO 17500 FMV SUBSIDY FOR NOSB COMPETITION REGENTS OF UNVIVERSTY OF MICHIGAN - CSCAR 3003 S STATE STREET ANN ARBOR MI 48109 386006309 501(C)(3) 14500 FMV SUBSIDY FOR NOSB COMPETITION FLORIDA ATLANTIC UNIVERSITY - HARBOR BRANCH 777 GLADES ROAD OFFICE OF THE CONTROLLER BOCA RATON FL 334310991 650385507 STATE OF FL 15000 FMV SUBSIDY FOR NOSB COMPETITION INTER-DISTRICT COMMITTEE PROJECT OCEANOLOGY 1084 SHENNESSOSSETT RD GROTON CT 06340 060896672 501(C)(3) 15000 FMV SUBSIDY FOR NOSB COMPETITION TEXAS A&M UNIVERSITY 1260 TAMU COLLEGE STATION TX 778431260 746000531 STATE OF TX 13416 FMV SUBSIDY FOR NOSB COMPETITION EAST CAROLINA UNIV OFFICE OF SPONS PROG2200 S CHARLES BLVD 2906 GREENVILLE NC 278584353 566000403 STATE OF NC 12630 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF HAWAII 2530 DOLE ST SAKAMAKI D200 HONOLULU HI 96822 996000354 STATE OF HI 20000 FMV SUBSIDY FOR NOSB COMPETITION THE UNIVERSITY OF MAINE SYSTEM 16 CENTRAL STREET BANGOR ME 04401 016000769 STATE OF ME 15000 FMV SUBSIDY FOR NOSB COMPETITION MASSACHUSSETS INSTITUTE OF TECHNOLOGY 77 MASSACHUSSETS AVENUE CAMBRIDGE MA 02139 042103594 501(C)(3) 18000 FMV SUBSIDY FOR NOSB COMPETITION OLD DOMINION UNIVERSITY RESEARCH FOUNDATION P O BOX 6369 NORFOLK VA 23508 546068198 501(C)(3) 7485 FMV SUBSIDY FOR NOSB COMPETITION OREGON STATE UNIVERSITY BUSINESS AFFAIRS B100 KERR ADMIN BLDG CORVALLIS OR 97331 481278540 STATE OF OR 15000 FMV SUBSIDY FOR NOSB COMPETITION RUTGERS THE STATE UNIVERSITY OF NEW JERSEY 65 DAVIDSON ROAD PISCATAWAY NJ 08854 226001086 IRC 115 15000 FMV SUBSIDY FOR NOSB COMPETITION SAN FRANCISCO STATE UNIVERSITY 1600 HOLLOWAY AVENUE-ADM 155 SAN FRANCISCO CA 94132 931137247 IRC 115 15000 FMV SUBSIDY FOR NOSB COMPETITION SAVANNAH STATE UNIVERSITY OFFICE OF FISCAL AFFAIRS BOX 20419 SAVANNAH GA 31404 586002069 STATE OF GA 32949 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD UNIVERSITY OF SOUTHERN CALIFORNIA WRIGLEY INSTITUTE UNIVERSITY GARDENS SUITE 203 LOS ANGELES CA 900898003 951642394 501(C)(3) 15000 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF SOUTH FLORIDA 4202 EAST FOWLER AVENUE-ADM 147 TAMPA FL 33620 593102112 STATE OF FL 14535 FMV SUBSIDY FOR NOSB COMPETITION STONY BROOK UNIVTHE RESEARCH FDN OF STATE UNIVERSITY OF NY P O BOX 9 ALBANY NY 122010009 141368361 501(C)(3) 15000 FMV SUBSIDY FOR NOSB COMPETITION TEXAS A&M UNIVERSITY 2700 EARL RUDDER FWY S STE 180 COLLEGE STATION TX 77845 746000531 STATE OF TX 14190 FMV SUBSIDY FOR NOSB COMPETITION VIRGINIA INSTITUTE OF MARINE SCIENCE STATE ROUTE 1208 GREATE ROAD GLOUCESTER POINT VA 23062 546001802 STATE OF VA 7500 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF WASHINGTON 129 SCHMITZ HALL BOX 355870 SEATTLE WA 981955870 916001537 IRC 115 15000 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF WISCONSINMILWAUKEE SCHOOL OF CONTINUING EDUCATION DRAWER 491 MILWAUKEE WI 53293 391805963 501(C)(3) 15000 FMV SUBSIDY FOR NOSB COMPETITION YOUNGSTOWN STATE UNIVERSITY GRANTS ACCOUNTING ONE UNIVERSIY PLAZA YOUNGSTOWN OH 44555 341011998 STATE OF OH 15000 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF ALASKA FAIRBANKS P O BOX 756540 BUTROVICH BUILDING 209B FAIRBANKS AK 997756540 926000147 IRC 115 20000 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF SOUTHERN MISSISSIPPI 703 EAST BEACH DRIVE OCEAN SPRINGS MS 39564 646000818 STATE OF MS 25000 FMV SUBSIDY FOR NOSB COMPETITION 8 17 IODP STIPEND/SCHOOL OF ROCK INSTRUCTORS 11 40558 FMV IUSSP410 TEACHER AWARDS 21 6300 FMV NOSB INTERNS/HONORARIA 3 14500 FMV OEDG2012 (SCHOOL OF ROCK INSTRUCTORS) 4 4000 FMV OOI/OOIMRE/OM 1 22500 FMV UNRESTRICTED INTERNS 4 24440 FMV PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: OCEAN LEADERSHIP MAINTAINS RECORDS THAT INCLUDE: PURCHASE REQUEST WITH AUTHORIZED SIGNATURE, COPY OF AWARD AND CERTIFICATIONS, EPLS PRINT OUT AS EVIDENCE OF ELIGIBILITY, AND SELECTION CRITERIA IF AWARD EXCEEDS THE MICRO PURCHASE THRESHOLD OF $3,000 AS PER OCEAN LEADERSHIP'S POLICIES. OCEAN LEADERSHIP HAS PROVIDED A LEVEL OF OVERSIGHT AND MONITORING THAT WILL ALLOW ADEQUATE AND ACCURATE COLLECTION OF DATA ON PERFORMANCE THROUGHOUT THE LIFE OF A PROGRAM. MONITORING PROCESS FOR THE GRANTS AND SUBCONTRACTS THE OVERALL PURPOSE OF MONITORING AND EVALUATION IS THE MEASUREMENT AND ASSESSMENT OF PERFORMANCE IN ORDER TO MORE EFFECTIVELY MANAGE THE OUTPUTS AND OUTCOMES OF EXPENDITURES. OCEAN LEADERSHIP MONITORS AWARDS AT SEVERAL KEY PHASES OF THE AWARD'S LIFE CYCLE. 1) PRE-AWARD ASSESSMENT: THE INITIAL MONITORING BEGINS WITH A PRE-AWARD ASSESSMENT OF THE PROSPECTIVE RECIPIENT'S ABILITIES AND RESOURCES TO BE APPLIED TO THE AWARD FOR THE PURPOSE OF DETERMINING WHETHER THE RECIPIENT CAN ADEQUATELY PROVIDE THE SERVICES DEMANDED BY THE AWARD. 2) PERIODIC MONITORING: ON-GOING MONITORING IS CONDUCTED DURING THE LIFE OF THE AWARD. PERIODIC MONITORING INCLUDES REVIEW OF THE QUARTERLY AND ANNUAL REPORTING REQUIRED UNDER THE AWARD AND ANY OTHER REPORTS AS SPECIFIED IN THE AWARD. 3) COMPLETION OF GRANT: A FINAL REVIEW OF THE AWARD'S ACTIVITY AND ACCOMPLISHMENTS AND SPENDING IS CONDUCTED AT THE COMPLETION OF THE AWARD. 4) THE ABOVE MONITORING IS ACCOMPLISHED THROUGH VARIOUS MEANS BASED ON THE NEEDS OF THE INDIVIDUAL AWARD. TECHNIQUES USED WILL CONSIST OF PERIODIC WRITTEN REPORTS FROM THE RECIPIENT, ON-SITE VISITS (ANNOUNCED AND UNANNOUNCED), TELEPHONE CONTACTS, AND, IF APPLICABLE ON-LINE REVIEW OF AWARD DATA. 5) REPORTING FORMAT: THE RECIPIENT IS EXPECTED TO PROVIDE THE REPORTS IDENTIFIED IN THE AGREEMENT SIGNED BETWEEN OCEAN LEADERSHIP AND THE RECIPIENT. THE ANNUAL REPORTS REQUIRED ARE COMPLETED USING THE REPORTING FORMAT PROVIDED FOR BY OCEAN LEADERSHIP. 6) PROGRAM DIRECTORS WILL REVIEW THE SUBCONTRACTOR'S REPORTS TO MAKE SURE THEY ARE COMPLETE AND THAT THE INFORMATION AGREES WITH ANY PERIODIC REPORTING. 7) MONITORING RECORDS: PROGRAM STAFF FULLY AND ACCURATELY DOCUMENT ALL MONITORING EFFORTS. 8) SITE VISITS: OCEAN LEADERSHIP MAY UNDERTAKE ADDITIONAL RECIPIENT MONITORING BY MAKING PERIODIC SITE VISITS. BASED ON THE LEVEL OF RISK ASSIGNED TO EACH RECIPIENT, ONE TO SEVERAL SITE VISITS MAY BE SCHEDULED DURING THE TERM OF THE AWARD. X X X X X 0 0 0 0 0 0 0 1 0 DR ROBERT GAGOSIAN 365033 0 21744 0 19724 0 24500 0 13182 0 444183 0 0 0 YAN XING 169907 0 5000 0 16798 0 28681 0 13420 0 233806 0 0 0 KEVIN WHEELER 156412 0 4000 0 170 0 16066 0 15406 0 192054 0 0 0 TIMOTHY COWLES 169285 0 5000 0 19005 0 19537 0 12812 0 225639 0 0 0 DAVID DIVINS 159367 0 3500 0 399 0 24621 0 15720 0 203607 0 0 0 PAUL HAGSTROM 153843 0 4000 0 1053 0 15401 0 1946 0 176243 0 0 0 WILLIAM PRITCHETT 148614 0 4000 0 241 0 15030 0 6559 0 174444 0 0 0 ANTHONY FERLAINO 176978 0 5000 0 279 0 26787 0 6705 0 215749 0 0 0 GREGORY MYERS 149797 0 3500 0 166 0 15548 0 15626 0 184637 0 0 0 REGINALD BEACH 162745 0 0 0 406 0 25054 0 13316 0 201521 0 0 0 PART I, LINE 7 THE PRESIDENT/CEO BONUS IS DETERMINED BY THE EXECUTIVE COMMITTEE AS PART OF THE PRESIDENT'S EMPLOYMENT CONTRACT. THE PERFORMANCE BONUSES FOR ALL EMPLOYEES WITH THE EXCEPTION OF THE PRESIDENT/CEO ARE DETERMINED EACH YEAR BASED ON THE ORGANIZATION'S BUDGET AND CALCULATED AS A PERCENT OF THE TOTAL SALARY BUDGET. THE PRESIDENT/CEO REVIEWS THE SUBMITTED RECOMMENDATIONS AND APPROVES THE FINAL BONUS AMOUNT. NEW PROGRAM SERVICES FORM 990, PART III, LINE 2 SEE FORM 990, PART III, STATEMENT OF PROGRAM SERVICE ACCOMPLISHMENTS, LINE 4C FORM 990, PART VI, SECTION A, LINE 4 THE VOTING MEMBERS AMENDED THE BYLAWS. SUSTANTIVE AMENDMENTS INCLUDED A CHANGE TO THE QUALIFICATIONS FOR ASSOCIATE MEMBER STATUS, IN THE ELECTION MODEL, AND A NUMBER OF OTHER MINOR REVISIONS, AND IN THE ADMISSION OF NEW MEMBERS. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS FORTY-SEVEN VOTING MEMBERS, TWENTY-NINE ASSOCIATE MEMBERS, AND NINE AFFILIATE MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A THE ORGANIZATION'S FORTY-SEVEN VOTING MEMBERS ELECT REPRESENTATIVES TO THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7B THE BYLAWS OF THE CORPORATION MAY BE AMENDED ONLY BY A VOTE OF THE VOTING MEMBERS. IN ADDITION, VOTING MEMBERS ELECT TRUSTEES TO SERVICE ON THE BOARD OF TRUSTEES AND ADMIT NEW MEMBERS. FORM 990, PART VI, SECTION B, LINE 11 FORM 990 IS FIRST PROVIDED TO THE AUDIT COMMITTEE OF THE BOARD FOR REVIEW AND THEN MADE AVAILABLE TO ALL MEMBERS OF THE BOARD PRIOR TO ITS FILING WITH THE IRS. IN ADDITION, FORM 990 IS PROVIDED TO OCEAN LEADERSHIP'S COGNIZANT AGENCY. FORM 990, PART VI, SECTION B, LINE 12C OCEAN LEADERSHIP MAINTAINS A CONFLICT OF INTEREST POLICY. THE POLICY IS PART OF THE EMPLOYEE HANDBOOK WHICH NEW HIRES RECEIVE AS PART OF THE ORIENTATION PROCESS. THE HUMAN RESOURCES CONSULTANT DISCUSSES THE CONFLICT OF INTEREST POLICY AS WELL AS ALL OTHER KEY OCEAN LEADERSHIP POLICIES WITH ALL NEW HIRES DURING NEW HIRE ORIENTATION. ALL EMPLOYEES ARE REQUIRED TO SIGN A RECEIPT OF THE EMPLOYEE HANDBOOK. AN EMPLOYEE WHO VIOLATES THE CONFLICT OF INTEREST POLICY WOULD BE SUBJECT TO DISCIPLINARY ACTION PER THE ORGANIZATION'S DISCIPLINARY ACTION POLICY. SUCH DISCIPLINARY ACTION COULD INCLUDE TERMINATION OF EMPLOYMENT, DEPENDING ON THE NATURE OF THE SITUATION. ALL MEMBERS AND TRUSTEES ARE REQUIRED TO SUBMIT AN ANNUAL CONFLICT OF INTEREST DISCLOSURE FORM WITH THE SECRETARY OF THE BOARD. THE COLLECTION PROCESS BEGINS AT THE ANNUAL MEETING OF THE MEMBERS EACH YEAR AND CONTINUES UNTIL ALL MEMBER REPRESENTATIVES AND TRUSTEES HAVE A FORM ON FILE. ANY POTENTIAL CONFLICTS ARE NOTED, STORED IN THE CORPORATE RECORD, AND SHARED WITH THE EXECUTIVE COMMITTEE. ADDITIONALLY, MEMBERS AND TRUSTEES ARE REMINDED OF THE POLICIES AT EACH MEMBERS AND BOARD MEETING. FORM 990, PART VI, SECTION B, LINE 15A FOR THE PRESIDENT/CEO - AN ASSESSMENT IS CONDUCTED AT THE REQUEST OF THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES AS NEEDED. THE ASSESSMENT INCLUDES A COMPREHENSIVE MARKET SALARY REVIEW CONDUCTED BY NONPROFIT HR SOLUTIONS, AN INDEPENDENT HUMAN RESOURCES CONSULTING FIRM. THE INDEPENDENT STUDY ALSO INCLUDES A REVIEW OF BENEFITS PROVIDED TO OTHER NON-PROFIT CHIEF EXECUTIVES WITH COMPARABLE BUDGET, STAFF SIZE, SCOPE AND MISSION. IN SOME YEARS THE ASSESSMENT INCLUDES A REVIEW OF MARKET INCREASE DATA. RESULTS OF THESE MARKET REVIEWS ARE PRESENTED BY NPHRS TO THE EXECUTIVE COMMITTEE, WHICH DISCUSSES THE DATA COLLECTED, CONSIDERS THE PERFORMANCE OF THE PRESIDENT/CEO, AND SETS A SALARY ALIGNED TO A FIGURE THEY DEEM TO BE REASONABLE AND APPROPRIATE, TAKING INTO CONSIDERATION THE REPORTED MEAN OF THE MARKET. EXECUTIVE COMPENSATION BETWEEN THE EXECUTIVE COMMITTEE AND THE PRESIDENT/CEO IS ESTABLISHED BY CONTRACT BETWEEN THE EXECUTIVE COMMITTEE AND THE PRESIDENT/CEO. LINE 15B, THE PROCESS FOR DETERMINING COMPENSATION FOR VICE PRESIDENTS INCLUDES COMPREHENSIVE MARKET SALARY REVIEWS FOR VICE PRESIDENT LEVEL POSITIONS AS NECESSARY TO ENSURE THAT SALARIES ARE APPROPRIATELY ALIGNED WITH THE MEAN OF THE MARKET. SALARY ADJUSTMENTS ARE APPROVED BY THE PRESIDENT/CEO. ALL DATA USED IN DETERMINING COMPENSATION IS REVIEWED AND RANGES ARE SHIFTED EVERY TWO TO THREE YEARS. DATA IS GATHERED FROM COMPENSATION SURVEYS USING DATA FROM ORGANIZATIONS OF SIMILAR SIZE, BUDGET, SCOPE, AND MISSION. DATA WAS LAST GATHERED IN 2012. COMPENSATION DECISIONS ARE DOCUMENTED IN OFFER LETTERS, PERSONNEL ACTION FORMS AND SALARY NOTIFICATIONS TO EMPLOYEES. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC BOTH ON THE ORGANIZATION'S WEBSITE AND UPON REQUEST. THE FORM 990 AND FINANCIAL STATEMENTS ARE AVAILABLE ON GUIDESTAR AND AVAILABLE UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 273,592. FORM 990, PART XII, LINE 2C THE FINANCE COMMITTEE, WHICH SERVES AS THE AUDIT COMMITTEE, OVERSEES THE AUDIT AND SELECTION OF THE AUDIT FIRM. THE PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. FORM 990, PAGE 6, PART VI, LINE 1A THE EXECUTIVE COMMITTEE INCLUDES THE BOARD CHAIR, THE VICE CHAIR, THE TREASURER AND THE CHAIRS OF THE OTHER STANDING BOARD COMMITTEES: AUDIT, NOMINATING, AND PERSONNEL. THE OCEAN LEADERSHIP PRESIDENT AND SECRETARY OF THE BOARD ARE NON-VOTING MEMBERS OF THE EXECUTIVE COMMITTEE. THE EXECUTIVE COMMITTEE IS CHARGED WITH EXERCISING ALL THE POWERS VESTED IN THE BOARD OF TRUSTEES DURING THE INTERVALS BETWEEN MEETINGS OF THE BOARD AND THE WITH MAKING NOMINATIONS OF AT-LARGE TRUSTEES.