2013-09-11T08:54:50-05:00 2012-12-31 521511275 RAFFA PC 1899 L STREET NW SUITE 900 WASHINGTON DC 20036 990 2012-01-01 840399006 THE ASPEN INSTITUTE ASPE 2027361074 ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 DOLORES GORGONE 2027361074 2013-09-11 1 FRANK H SMITH P00639053 2028225000 2013-09-10 2012 2016-02-24 21:20:13Z WALTER ISAACSON ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 102937779 0 X WWW.ASPENINSTITUTE.ORG X 1949 CO VALUES-BASED LEADERSHIP IN NEUTRAL AND BALANCED VENUE FOR DISCUSSING CRITICAL ISSUES. 66 66 336 167 9242890 -2301037 49664114 71686768 22627623 23406105 914534 307436 86096 76977 73292367 95477286 3754471 2282984 0 0 27368895 29163689 0 0 2068723 42757583 41304932 73880949 72751605 -588582 22725681 169299444 198233363 11571805 12229433 157727639 186003930 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. 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 31015617 2282984 3808082 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. 14013568 9093191 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. 5562929 7704217 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 ENVIRONMENT FORUMS, THE HEALTH FORUMS, THE NEW YORK AND THE ALMA AND JOSEPH GILDENHORN BOOK SERIES. THESE PUBLIC FORUMS ENGAGE OVER 6,800 MEMBERS OF THE GENERAL PUBLIC ANNUALLY. 2524257 476266 ASPEN GLOBAL LEADERSHIP NETWORK 2105796 2147066 SEMINARS 699276 177283 OTHER RESTRICTED PROGRAMS 5329329 2800615 55921443 1 1 0 0 0 0 0 0 0 1 1 1 0 0 1 1 1 0 0 0 1 1 1 0 1 0 0 1 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 538 0 1 336 1 1 1 0 0 0 0 1 1 0 0 0 0 X 66 66 0 0 1 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 INSTITUTE 2027361074 ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 ROBERT K STEEL 1.00 X X 0 0 0 BERL BERNHARD 0.30 X X 0 0 0 LEONARD A LAUDER 0.30 X X 0 0 0 WILLIAM E MAYER 0.30 X X 0 0 0 MADELEINE K ALBRIGHT 0.30 X 0 0 0 PAUL F ANDERSON 0.30 X 0 0 0 MERCEDES BASS 0.30 X 0 0 0 RICHARD BRADDOCK 0.30 X 0 0 0 BETH A BROOKE 0.30 X 0 0 0 MELVA BUCKSBAUM 0.30 X 0 0 0 WILLIAM D BUDINGER 0.30 X 0 0 0 STEPHEN L CARTER 0.30 X 0 0 0 CESAR CONDE 0.30 X 0 0 0 JAMES S CROWN 0.30 X 0 0 0 ANDREA CUNNINGHAM 0.30 X 0 0 0 JOHN DOERR 0.30 X 0 0 0 THELMA DUGGIN 0.30 X 0 0 0 SYLVIA A EARLE 0.30 X 0 0 0 MICHAEL EISNER 0.30 X 0 0 0 L BROOKS ENTWISTLE 0.30 X 0 0 0 LEONHARD FISCHER 0.30 X 0 0 0 ALAN FLETCHER 0.30 X 0 0 0 CORINNE MICHAELA FLICK 0.30 X 0 0 0 HENRIETTA HOLSMAN FORE 0.30 X 0 0 0 ANN B FRIEDMAN 0.30 X 0 0 0 STEPHEN FRIEDMAN 0.30 X 0 0 0 HENRY LOUIS GATES JR 0.30 X 0 0 0 MIRCEA D GEOANA 0.30 X 0 0 0 DAVID GERGEN 0.30 X 0 0 0 ALMA L GILDENHORN 0.30 X 0 0 0 GERALD GREENWALD 0.30 X 0 0 0 PATRICK W GROSS 0.30 X 0 0 0 ARJUN GUPTA 0.30 X 0 0 0 JANE HARMAN 0.30 X 0 0 0 HAYNE HIPP 0.30 X 0 0 0 GERALD D HOSIER 0.30 X 0 0 0 ANN FRASHER HUDSON 0.30 X 0 0 0 ROBERT J HURST 0.30 X 0 0 0 JEAN-PIERRE JOUYET 0.30 X 0 0 0 MICHAEL R KLEIN 0.30 X 0 0 0 OTARO KOBAYASHI 0.30 X 0 0 0 DAVID H KOCH 0.30 X 0 0 0 TIMOTHY K KRAUSKOPF 0.30 X 0 0 0 FREDERICK V MALEK 0.30 X 0 0 0 JAMES MANYIKA 0.30 X 0 0 0 BONNIE PALMER MCCLOSKEY 0.30 X 0 0 0 DAVID MCCORMICK 0.30 X 0 0 0 ANNE WELSH MCNULTY 0.30 X 0 0 0 DIANE L MORRIS 0.30 X 0 0 0 KARLHEINZ MUHR 0.30 X 0 0 0 CLARE MUNANA 0.30 X 0 0 0 JERRY MURDOCK 0.30 X 0 0 0 MARC B NATHANSON 0.30 X 0 0 0 WILLIAM A NITZE 0.30 X 0 0 0 HER MAJESTY QUEEN NOOR 0.30 X 0 0 0 JACQUELINE NOVOGRATZ 0.30 X 0 0 0 OLARA A OTUNNU 0.30 X 0 0 0 ELAINE PAGELS 0.30 X 0 0 0 CHARLES POWELL 0.30 X 0 0 0 MICHAEL K POWELL 0.30 X 0 0 0 MARGOT PRITZKER 0.30 X 0 0 0 LYNDA RESNICK 0.30 X 0 0 0 CONDOLEEZZA RICE 0.30 X 0 0 0 JAMES E ROGERS 0.30 X 0 0 0 ISAAC O SHONGWE 0.30 X 0 0 0 ANNA DEAVERE SMITH 0.30 X 0 0 0 MICHELLE SMITH 0.30 X 0 0 0 JAVIER SOLANA 0.30 X 0 0 0 GAUTAM THAPAR 0.30 X 0 0 0 LAURIE TISCH 0.30 X 0 0 0 GIULIO TREMONTI 0.30 X 0 0 0 RODERICK K VON LIPSEY 0.30 X 0 0 0 VIN WEBER 0.30 X 0 0 0 ALICE YOUNG 0.30 X 0 0 0 MICHAEL ZANTOVSKY 0.30 X 0 0 0 WALTER ISAACSON 40.00 X 783449 0 59879 ELLIOT GERSON 40.00 X 342226 0 60365 AMY MARGERUM 40.00 X 331733 0 53841 PETER REILING 40.00 X 329056 0 60341 SUSAN SHERWIN 40.00 X 263314 0 53999 DOLORES GORGONE 40.00 X 260117 0 39919 DAN GLICKMAN 40.00 X 307537 0 19000 CHARLIE FIRESTONE 40.00 X 291925 0 53911 MICKEY EDWARDS 40.00 X 279168 0 48503 CHARLES BAILEY 40.00 X 244146 0 37296 MARGARET CLARK 40.00 X 244249 0 53391 3676920 0 540445 11 0 1 0 COLORADO AUDIO VISUAL INC 409 AABC SUITE B ASPEN CO 81611 AV CONSULTANTS 484273 I THREE GRAPHICSMNM DESIGN LLC 23400 TWO RIVER ROAD BASALT CO 81621 PROGRAM MATERIALS PRODUCTION 244670 MAGAZINE GROUP 1129 20TH STREET NW WASHINGTON DC 20036 PUBLICATION PRODUCTION 232288 SHEILA A BROWN LLC 1 TOWER HILL ROAD BOW NH 03304 PROGRAM CONSULTANT 202150 FUSIONVENTURE 8 CYPRESS STREET CAMBRIDGE MA 02140 PROGRAM CONSULTANT 196407 29 1527825 920304 69238639 704445 71686768 CONF./FACILITY FEES 531390 9093191 9093191 SEMINAR FEES 900099 7217907 7217907 CONTRACT REVENUE 900099 6467715 6467715 MEMBERSHIP FEES 900099 603000 603000 BOOK SALES 900099 24292 24292 23406105 184584 256 184328 138321 32355 105966 105966 105966 6614766 74542 6566456 0 48310 74542 122852 122852 170250 1527825 861682 -691432 -691432 OTHER INCOME 900099 485061 485061 ADVERTISING INCOME 541800 149443 149443 SUBLEASE INCOME 900099 27939 27939 662443 95477286 14312914 9242890 234714 X 1818984 1818984 102500 102500 361500 361500 2638236 312901 2008022 317313 20457988 15525196 4195388 737404 2022738 1615937 322088 84713 2572291 1975019 511470 85802 1472436 1078196 314164 80076 175964 39081 136883 145158 713 144445 170024 170024 19471105 18844924 411336 214845 262756 233208 11882 17666 4008356 2533133 1303749 171474 710559 374196 335863 500 2088254 1638779 406618 42857 7339088 6772723 458498 107867 515891 515891 1199016 1117543 81473 22033 22033 3526871 3526871 266560 266560 AUDIO VISUAL SERVICES 719220 580716 134072 4432 BAD DEBT 377639 173865 203774 PARTNER REIMBURSEMENTS 195914 195914 SCHOLARSHIPS & AWARDS 110524 110524 72751605 55921443 14761439 2068723 6765 45245 6418914 5568842 23138354 40208764 1477535 1807680 110458 109995 476278 467228 91626159 36653980 57745320 54972179 17942986 24493103 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INVESTMENT CONTRACT 352115 F LIMITED PARTNERSHIPS 56368629 F HEDGE FUNDS 13701629 F 70422373 CAPITAL LEASE OBLIGATIONS 158798 DEFERRED COMPENSATION 2044975 2203773 X 101824772 5550610 72863 5623473 96201299 170024 -894037 -724013 95477286 73548481 72863 72863 73475618 170024 -894037 -724013 72751605 EXPLANATION OF EASEMENTS ENFORCEMENT POLICIES: PART II, LINE 5: ASPEN CONTINUES TO COMPLY WITH TERMS OF CONTRACT GOVERNING THE CONSERVATION EASEMENT HELD, WHICH INCLUDES PROTECTION OF NATURAL HABITAT. DESCRIPTION OF HOW ORGANIZATION REPORTS CONSERVATION EASEMENTS: 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. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: 4.5% OF A 12 QUARTER ROLLING AVERAGE OF THE FUNDS ARE USED TO FUND PROGRAMMATIC WORK OF THE INSTITUTE. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: THE INSTITUTE PERFORMED AN EVALUATION OF UNCERTAIN TAX POSITIONS FOR THE YEAR ENDED DECEMBER 31, 2012, 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 -861,682. RENTAL EXPENSES -32,355. PART XII, LINE 4B - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES -861,682. RENTAL EXPENSES -32,355. 1 CENTRAL AMERICA AND THE CARIBBEAN - 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 78356 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITES 3233 EUROPE (INCLUDING ICELAND & GREENLAND) - 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 443438 MIDDLE EAST AND NORTH AFRICA - 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 237997 NORTH AMERICA - CANADA AND MEXICO, BUT 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 93827 SOUTH AMERICA - ARGENTINA, BOLIVIA, 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 307291 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 471400 SUB-SAHARAN AFRICA - ANGOLA, 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 189230 0 0 0 0 0 0 1824772 0 1824772 SOUTH AMERICA SUPPORT ACTIVTIES OF ANDE BRAZILIAN CHAPTER 10000 WIRE TRANSFER SUB-SAHARAN AFRICA SUPPORT ACTIVTIES OF ANDE BRAZILIAN CHAPTER 40000 WIRE TRANSFER SOUTH AMERICA SUPPORT ACTIVTIES OF ANDE BRAZILIAN CHAPTER 25000 WIRE TRANSFER EAST ASIA AND THE PACIFIC TO SUPPORT THE DESIGN AND DELIVERY OF AN ONLINE LEARNING MODULE FOR SOCIAL ENTREPRENEURS/SGBS. 60000 WIRE TRANSFER EAST ASIA AND THE PACIFIC TO SUPPORT ENABLING YOUTH-LED SOCIAL VENTURES IN ASIA 26900 WIRE TRANSFER SUB-SAHARAN AFRICA TO SUPPORT DEVELOPING LEGAL TOOLS TAILORED TO THE EAST AFRICAN MARKET 70000 WIRE TRANSFER EUROPE (INCLUDING ICELAND & GREENLAND) TO SUPPORT DEVELOPING STANDARDS FOR EFFECTIVE YOUTH ENTREPRENEURSHIP 60000 WIRE TRANSFER 0 7 TO SUPPORT AND IMPROVE THE CAPACITY OF YFE: YOUNG, FEMALE, ENTREPRENEUR EUROPE (INCLUDING ICELAND & GREENLAND) 1 69600 WIRE TRANSFER 1 0 0 0 0 1 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, 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 1032225 964025 68200 6386 122536 306419 SUMMER BENEFIT 441843 381093 60750 3300 2168 181348 1 224007 182707 41300 239525 1698075 1527825 170250 9686 124704 727292 861682 -691432 1 ACCION CHICAGO 1436 W RANDOLPH STREET SUITE 300 CHICAGO IL 60607 363966573 501(C)(3) 11000 TO PARTICIPATE IN THE SCALE ACADEMY FOR MICROENTERPRISE DEVELOPMENT AND PARTIALLY COVER SALARY FOR COO. ACCION NEW MEXICO 2000 ZEARING AVENUE NW ALBUQUERQUE NM 87104 850417347 501(C)(3) 28000 IMPLEMENT ORGANIZATIONAL DEVELOPMENT ACTIVITIES AND PARTICIPATE IN SCALE ACADEMY FOR MICROENTERPRISE DEVELOPMENT ACHIEVING THE DREAM INC 8455 COLESVILLE ROAD SUITE 900 SILVER SPRING MD 20910 271635830 501(C)(3) 30000 DESIGN FOR A DEMONSTRATION TO EXAMINE THE FEASIBILITY AND EFFETIVENESS OF INTEGRATING THE CENTER FOR WOKRING FGAMILES CONCPET INTO THE OPERATIONS OF COMMUNITY COLLEGES. BRIDESPAN GROUP 535 BOYLSTON STREET 10TH FLOOR BOSTON MA 02116 311625487 501(C)(3) 220000 DEVELOP FACT BASE, STRATEGY, AND IMPLEMENTATION PLAN, AND PRIORITIZE LEARNING AGENDA. COMMUNITY FINANCIAL RESOURCES 771 EUCLID AVENUE BERKELEY CA 94708 203788598 501(C)(3) 65400 TO SUPPORT CFR'S CONTRIBTUIONS TO TWO PROJECTS BEING CONDUCTED IN CONJUNCTION WITH THE ASSET PLATFORM PROJECT. I-DEV INTERNATIONAL 78 EAST 3RD STREET SUITE 2R NEW YORK NY 10003 270726804 501(C)(3) 93000 TO EVALUATE THE ROLE AND IMPACT THAT ACCELERATOR PROGRAM HAVE ON THE IMPACT INVESTING SECTOR. ENTREPRENEURS ORGANIZATION 500 MONTGOMERY STREET SUITE 700 ALEXANDRIA VA 22314 521651248 501(C)(3) 37500 TO SUPPORT "GLOBAL STUDENT ENTREPRENEURSHIP AWARDS MENTORSHIP PILOT." FOUR BRANDS COMMUNITY FUND INC BOX 932 101 SOUTH MAIN STREET EAGLE BUTTE SD 57625 460456528 501(C)(3) 34000 TO SUPPORT DATA MANAGEMENT SYSTEM REDESIGN, AND DEVELOPING OPERATIONS AND MARKETING PLANS. INNOVATIONS FOR POVERTY ACTION 101 WHITNEY AENUE SECOND FLOOR NEW HAVEN CT 06510 061660068 501(C)(3) 120000 TO SUPPORT AN EXPERIMENTAL STUDY OF FIRMS, FACTORY LABOR AND POVERTY ALLEVIATION. INTERSECT FUND CORPORATION 109 CHURCH STREET NEW BRUNSWICK NJ 08901 364636828 501(C)(3) 63500 WRITE AND PUBLISH A CAMPUS-BASED MICROENTERPRISE DEVELOPMENT START UP KIT JOBS FOR THE FUTURE INC 88 BROAD STREET 8TH FLOOR BOSTON MA 02110 061164568 501(C)(3) 200000 TO SUPPORT A METHOD OF RESEARCH TO ASSESS AND ANALYZE THE RELATIVE SUCCESS OR EFFECTIVENESS OF MARINE PROTECTED AREAS POLICIES. MERCY CORPS 43 SW NAITO PARKWAY PORTLAND OR 97204 931315010 501(C)(3) 55000 TO SUPPORT COSTS OF IMPLEMENTING A NEW BUSINESS MODEL AND SUSTAINABILITY STRATEGY AND TO SUPPORT DATA MANAGEMENT SYSTEM REDESIGN, AND DEVELOPING OPERATIONS AND MARKETING PLANS. MOUNTAIN BIZWORKS INC 153 S LEXINGTON AVENUE ASHEVILLE NC 28801 561733266 501(C)(3) 5500 TO SUPPORT A PEER LEARNING SITE VISIT TO THE OPPORTUNITY FUND. DUKE UNIVERSITY NICHOLAS INSTITUTE FOR ENVIRONMENTA POLICY 2200 WEST MAIN STREET DURHAM NC 27705 560532129 501(C)(3) 55000 TO SUPPORT A METHOD OF RESEARCH TO ASSESS AND ANALYZE THE RELATIVE SUCCESS OR EFFECTIVENESS OF MARINE PROTECTED AREAS POLICIES. OMG CENTER FOR COLLABERATIVE LEARNING 1528 WALNUT STREET SUITE 805 PHILADELPHIA PA 19102 232694572 501(C)(3) 181240 CLARIFY AND BUILD CONSENSUS FOR A TWO-GENERATION THEORY OF CHANGE. OPPORTUNITY FINANCE NETWORK 620 CHESTNUT STREET SUITE 572 PHILADELPHIA PA 19106 205189202 501(C)(3) 28500 TO CONDUCT AN ANALYSIS OF THE CAPITALIZATION NEEDS OF MICROLENDING GRANTEES PARTICIPATING IN THE SCALE ACADEMY. RCC MOUNT AVERY DEV CORP 72 GEORGE STREET BRIDGEPORT CT 06604 061432007 501(C)(3) 10000 TO SUPPORT POWER SOURCE A BI-WEEKLY SUPPORT GROUP AND LEADERSHIP ACADEMY. GLOBAL DEVELOPMENT INCUBATOR 205 EAST 42ND STREET SUITE 1830 NEW YORK NY 10017 141945286 501(C)(3) 135000 TO SUPPORT A STUDY OF SUSTAINABLE AGRICULTURAL FINANCE LANDSCAPES AND A MARKET ASSESSMENT. UNIVERSITY OF MICHIGAN 724 E UNIVERSITY AVNEUE ANN ARBOR MI 48109 383048086 501(C)(3) 49617 TO SUPPORT A STUDY OF SUSTAINABLE AGRICULTURAL FINANCE LANDSCAPES AND A MARKET ASSESSMENT. WORLD AFFAIRS COUNCIL OF NORTHERN CALIFORNIA 312 SUTTER STREET SUITE 200 SAN FRANCISCO CA 94108 941156356 501(C)(3) 95000 TO SUPPORT THE DESIGN AND EXECUTION OF THE JULY 2012 CHILDREN'S FIRST MEETING. 0 20 TO RESEARCH CHALLENGES, OPPORTUNITIES FOR TRANSPARENCY, EFFICIENCY, AND ACCURACY OF IRS FORM 990. 1 52250 0 TO RESEARCH CHALLENGES, OPPORTUNITIES FOR TRANSPARENCY, EFFICIENCY, AND ACCURACY OF IRS FORM 990. 1 50250 0 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, 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 781254 0 0 0 2195 0 37019 0 22860 0 843328 0 0 0 ELLIOT GERSON 329759 0 3250 0 9217 0 37500 0 22865 0 402591 0 0 0 AMY MARGERUM 329027 0 0 0 2706 0 37500 0 16341 0 385574 0 0 0 PETER REILING 328009 0 0 0 1047 0 37500 0 22841 0 389397 0 0 0 SUSAN SHERWIN 255280 0 0 0 8034 0 37500 0 16499 0 317313 0 0 0 DOLORES GORGONE 258440 0 0 0 1677 0 37500 0 2418 0 300035 0 0 0 DAN GLICKMAN 300000 0 0 0 7537 0 16346 0 2654 0 326537 0 0 0 CHARLIE FIRESTONE 286972 0 0 0 4953 0 37500 0 16411 0 345836 0 0 0 MICKEY EDWARDS 270387 0 0 0 8781 0 37500 0 11003 0 327671 0 0 0 CHARLES BAILEY 239193 0 0 0 4953 0 14213 0 23083 0 281442 0 0 0 MARGARET CLARK 242572 0 0 0 1677 0 37050 0 16341 0 297640 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 45 FAIR MARKET VALUE X 27 666100 FAIR MARKET VALUE X AIR TRAVEL 2 38300 FAIR MARKET VALUE 0 1 0 THIRD PARTY USE: PART I, LINE 32B: ASPEN HAS A WRITTEN GIFT ACCEPTANCE POLICY THAT IF A DONOR WANTS TO GIVE A GIFT OUTSIDE OF THAT POLICY WOULD BE REVIEWED BY SENIOR MANAGEMENT AND THE BOARD IF NECESSARY. FORM 990, PART VI, SECTION A, LINE 4 AS OF APRIL 13, 2012, THE ASPEN INSTITUTE HAD THE FOLLOWING AMENDMENTS TO THEIR BYLAWS: -PAGE 2, SECTION 3, BOARD OFFICERS, (A) OFFICERS AND TERMS. THE BOARD SHALL ELECT A CHAIRMAN AND [UP TO] TWO (2) VICE CHAIRMEN FROM AMONG ITS MEMBERSHIP, AND SUCH OTHER OFFICERS AS THE BOARD MAY DEEM NECESSARY FROM TIME TO TIME. -PAGE 7, SECTION, 6, COMMITTEES APPOINTED BY THE CHAIRMAN OF THE BOARD AND/OR PRESIDENT. THE CHAIRMAN OF EACH COMMITTEE SHALL BE ELECTED BY THE BOARD AND MAY SERVE UP TO A FOUR-YEAR TERM, AND UPON THE RECOMMENDATION OF THE TRUSTEE AFFAIRS COMMITTEE, MAY BE RENEWED BY THE BOARD FOR SUCCESSIVE TERMS. 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 PRIOR TO THE ANNUAL MEETING IN NOVEMBER 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. OTHER FEES FORM 990, PART IX, LINE 11G OTHER PROFESSIONAL SERVICES: PROGRAM SERVICE EXPENSES 18,844,924. MANAGEMENT AND GENERAL EXPENSES 411,336. FUNDRAISING EXPENSES 214,845. TOTAL EXPENSES 19,471,105.