2013-11-11T15:22:49-06:00 2012-12-31 521511275 RAFFA PC 1899 L STREET NW SUITE 900 WASHINGTON DC 20036 990 2012-01-01 208530747 RESULTS FOR DEVELOPMENT INSTITUTE INC RESU 2024705711 1100 15TH STREET NW NO 400 WASHINGTON DC 20005 DAVID DE FERRANTI 2024705711 2013-11-11 1 FRANK H SMITH P00639053 2028225000 2013-11-11 2012 2016-03-07 17:11:31Z DAVID DE FERRANTI 1100 15TH STREET NW NO 400 WASHINGTON DC 20005 8229868 0 X WWW.RESULTSFORDEVELOPMENT.ORG X 2007 DC TO SPARK INNOVATIVE IDEAS THAT REDUCE POVERTY AND IMPROVE LIVES IN DEVELOPING COUNTRIES. 14 13 58 13 0 0 9523811 5251105 2064124 2906857 9388 17211 15343 54695 11612666 8229868 830243 1507400 0 0 4275690 5486540 0 0 13631 4483743 5409271 9589676 12403211 2022990 -4173343 18327576 14599201 1381527 2380709 16946049 12218492 X THE RESULTS FOR DEVELOPMENT INSTITUTE, INC. (R4D) IS DEDICATED TO REDUCING POVERTY AND IMPROVING HUMAN WELFARE IN DEVELOPING COUNTRIES. R4D'S MISSION IS TO ENCOURAGE HIGH IMPACT INVESTMENTS IN POOR PEOPLE BY SEEDING NEW THINKING, IMPLEMENTATION METHODS, AND SIMPLE MEASURES OF RESULTS TO SUPPORT INNOVATIVE FINANCING ARRANGEMENTS FOR SUBSIDIES THAT OVERCOME MARKET, GOVERNMENT AND INSTITUTIONAL FAILURES; IMPROVING ACCOUNTABILITY OF GOVERNMENTS AND PRIVATE PROVIDERS FOR RESULTS; AND IMPROVING INSTITUTIONAL ARRANGEMENTS THAT HELP HOUSEHOLDS MANAGE THE FINANCIAL RISKS OF POOR HEALTH AND THE COSTS OF INVESTING IN THEIR CHILDREN. 0 0 7177429 113002 2202620 HEALTH - DURING 2012, R4D LED A NUMBER OF INITIATIVES TO STRENGTHEN THE FINANCING AND GOVERNANCE OF HEALTH SYSTEMS IN LOW AND MIDDLE-INCOME COUNTRIES. R4D BECAME A SUB-AWARDEE OF THE USAID-FUNDED HEALTH FINANCING AND GOVERNANCE COOPERATIVE AGREEMENT AND BEGAN TO WORK ON APPLICATIONS OF MOBILE MONEY IN THE HEALTH SECTOR AND ASSISTING HAITI'S MINISTRY OF HEALTH TO DEVELOP A HEALTH FINANCING STRATEGY. UNDER A SEPARATE USAID-FUNDED INITIATIVE, R4D BEGAN WORKING ON THE FUNZO PROJECT TO HELP KENYA'S HEALTH SECTOR FORECAST HUMAN RESOURCES FOR HEALTH. R4D CONDUCTED A SURVEY OF PRIVATE HEALTH SERVICE PROVIDERS TO ESTIMATE CURRENT EMPLOYMENT OF HUMAN RESOURCES AND FUTURE DEMAND FOR HIRING.R4D ASSISTED THE PRESIDENT'S EMERGENCY PLAN FOR AIDS RELIEF (PEPFAR) AND THE SOUTH AFRICAN GOVERNMENT IN DRAFTING A SET OF HIV/AIDS FINANCIAL TARGETS FOR THE TWO ORGANIZATIONS TO MEET OVER THE NEXT FIVE YEARS. THESE FINANCIAL TARGETS WERE PUBLISHED IN A BILATERAL AGREEMENT KNOWN AS THE PARTNERSHIP FRAMEWORK IMPLEMENTATION PLAN (PFIP), WHICH WAS SIGNED BY THE UNITED STATES AND SOUTH AFRICA GOVERNMENTS. R4D ALSO UNDERTOOK MAJOR ANALYSIS FOR A STUDY OF AIDS EXPENDITURES AND FINANCING IN THE 12 LARGEST PEPFAR RECIPIENT COUNTRIES, ALL LOCATED IN AFRICA. THE STUDY EXPLORES ISSUES OF COUNTRY FAIR-SHARE FINANCING, RESOURCE ALLOCATIONS, FUNDING GAPS, AND SUSTAINABILITY. PRELIMINARY FINDINGS FROM THIS STUDY WERE PRESENTED AT AN INTERNATIONAL MEETING IN GENEVA IN NOVEMBER 2012.R4D WORKED WITH THE GLOBAL ALLIANCE FOR VACCINES AND IMMUNIZATION (GAVI) ON A NUMBER OF IMMUNIZATION-RELATED PROJECTS. ACCOMPLISHMENTS FROM THESE PROJECTS INCLUDED A PAPER ON NON-VACCINE DELIVERY COSTS, PAPERS ON GAVI'S VACCINE INTRODUCTION GRANT POLICY, TOOLS TO ASSIST GAVI AND MIDDLE-INCOME COUNTRIES IN TRANSITIONING MIDDLE-INCOME COUNTRIES AWAY FROM GAVI ASSISTANCE, AND A PAPER ON GRADUATING COUNTRY EXPERIENCES AND LESSONS LEARNED FROM MIDDLE-INCOME COUNTRY VISITS IN 2012. THE JOINT LEARNING NETWORK FOR UNIVERSAL HEALTH COVERAGE (JLN) IS A UNIQUE PRACTITIONER-TO-PRACTITIONER LEARNING NETWORK THAT CONNECTS LOW- AND MIDDLE-INCOME COUNTRIES WITH ONE ANOTHER SO THAT THEY CAN LEARN FROM ONE ANOTHER'S SUCCESSES AND CHALLENGES WITH IMPLEMENTING REFORMS TO ACHIEVE UNIVERSAL HEALTH COVERAGE (UHC), JOINTLY SOLVE PROBLEMS, AND COLLECTIVELY PRODUCE AND USE NEW KNOWLEDGE, TOOLS, AND INNOVATIVE APPROACHES TO ACHIEVE UHC. THE JLN IS MADE UP OF NINE MEMBER COUNTRIES: GHANA, INDIA, INDONESIA, KENYA, MALAYSIA, MALI, NIGERIA, THE PHILIPPINES, AND VIETNAM. WITH SUPPORT FROM THE ROCKEFELLER FOUNDATION AND THE BILL & MELINDA GATES FOUNDATION, R4D SERVES AS THE NETWORK COORDINATOR OF THE JLN, AND ALSO FACILITATES THE WORK OF TWO JLN TECHNICAL INITIATIVES, EXPANDING COVERAGE AND PROVIDER PAYMENT MECHANISMS. IN 2012, IN ITS ROLE AS JLN NETWORK COORDINATOR, R4D CONVENED THE FIRST FACE-TO-FACE MEETING OF REPRESENTATIVES OF ALL FOUR TECHNICAL INITIATIVES DURING THE PRINCE MAHIDOL AWARD CONFERENCE IN BANGKOK (PMAC) IN JANUARY 2012. R4D ALSO BROUGHT TOGETHER COLLABORATING TECHNICAL PARTNERS IN BELLAGIO, ITALY IN FEBRUARY 2012 TO BUILD WORKING RELATIONSHIPS, DEVELOP A COMMON VISION, AND DISCUSS TECHNICAL ACTIVITIES AND OPPORTUNITIES FOR COLLABORATION. THEN IN OCTOBER 2012, R4D LAUNCHED AN EXTERNAL STRATEGIC REVIEW OF THE JLN TO IDENTIFY WAYS THE JLN CAN ENHANCE VALUE TO MEMBERS, INCREASE COUNTRY LEADERSHIP AND ENGAGEMENT, IMPROVE TRANSPARENCY IN THE GOVERNANCE STRUCTURE, AND SET IN PLACE A LONG-TERM SUSTAINABLE FUNDING MODEL. THIS ASSESSMENT CONSISTED OF A QUANTITATIVE SURVEY AND A QUALITATIVE SET OF INTERVIEWS OF TARGETED JLN STAKEHOLDERS.IN 2012, R4D CONTINUED ITS ROLE OF FACILITATING THE EXPANDING COVERAGE AND PROVIDER PAYMENT TECHNICAL INITIATIVES OF THE JLN. TWO HIGHLIGHT ACTIVITIES OF THE EXPANDING COVERAGE INITIATIVE WERE: (1) A WORKSHOP ON FINANCIAL ACCESS TO HEALTH SERVICES CONDUCTED JOINTLY WITH THE MINISTRY OF HEALTH OF MOROCCO AND THE HARMONIZATION FOR HEALTH IN AFRICA FINANCIAL ACCESS COMMUNITY OF PRACTICE AND (2) AN EXCHANGE BETWEEN CHINA AND THE ASIAN JLN COUNTRIES ON COVERING LOW-INCOME POPULATIONS CONDUCTED IN BEIJING, CHINA. IN R4D'S ROLE OF FACILITATING THE PROVIDER PAYMENT INITIATIVE OF THE JLN, R4D PROVIDED COMPREHENSIVE SUPPORT TO VIETNAM'S PROVIDER PAYMENT REFORM PROCESS, FACILITATED A COLLABORATIVE ON THE DEVELOPMENT OF A PRACTICAL MANUAL ON COSTING FOR PROVIDER PAYMENT, WHICH INCLUDED TWO IN-PERSON WORKSHOPS, AND CONDUCTED A WORKSHOP IN INDONESIA IN COLLABORATION WITH AUSAID TO REVIEW AND PRESENT THE INTERNATIONAL EXPERIENCE WITH THE DESIGN AND IMPLEMENTATION OF CAPITATION PAYMENT SYSTEMS FOR PRIMARY CARE. IN 2012, R4D ALSO SUPPORTED THE GROWING GLOBAL MOVEMENT TO INCREASE GLOBAL AWARENESS AND BUILD KNOWLEDGE ABOUT UNIVERSAL HEALTH COVERAGE EFFORTS FROM AROUND THE GLOBE. IN JANUARY 2012, R4D LAUNCHED THE WEB SITE WWW.UHCFORWARD.ORG TO CONSOLIDATE INFORMATION FROM HUNDREDS OF SOURCES INTO A ONE-STOP PORTAL TO HELP POLICYMAKERS, PRACTITIONERS, AND THE DEVELOPMENT COMMUNITY BETTER UNDERSTAND HOW TO TRANSLATE AVAILABLE RESEARCH INTO PRAGMATIC ACTION, APPLY AN ANALYTIC EYE TO REFORM EXPERIENCES, EXCHANGE IDEAS WITH OTHERS, AND FIND LINKS TO ADDITIONAL RESOURCES ABOUT UHC. IN 2012, THE WEBSITE HAD OVER 22,150 VISITORS FROM 164 COUNTRIES, AND WE POSTED APPROXIMATELY 150 BLOGS. IN ADDITION TO THE WEBSITE, UHC FORWARD FEATURES BOTH MONTHLY AND WEEKLY E-NEWSLETTERS. THE MONTHLY MAILING LIST GREW FROM 881 SUBSCRIBERS IN DECEMBER 2011 TO OVER 2,000 SUBSCRIBERS AT THE END OF 2012.IN 2012, R4D PROVIDED KEY TECHNICAL INPUTS AND POLICY ANALYSIS TO SUPPORT NATIONAL EFFORTS TO EXPAND HEALTH COVERAGE IN SOUTH AFRICA AND NIGERIA. R4D AUTHORED A PAPER ON SOURCES OF REVENUE MOBILIZATION FOR THE NATIONAL TREASURY DEPARTMENT IN SOUTH AFRICA. IN THIS PAPER, R4D EXPLORED EXAMPLES FROM COUNTRIES WHICH HAVE ACHIEVED OR ARE IN THE PURSUIT OF UHC IN ORDER TO HIGHLIGHT SOURCES OF REVENUE AND DRAW LESSONS FROM THEIR EXPERIENCES. R4D ALSO CONVENED A PANEL OF INTERNATIONAL HEALTH INSURANCE EXPERTS IN PRETORIA, SOUTH AFRICA IN DECEMBER 2012 TO PROVIDE TECHNICAL GUIDANCE ON SOUTH AFRICA'S APPROACH TO NATIONAL HEALTH INSURANCE. TO SUPPORT NIGERIA'S EFFORTS TO ACHIEVE UHC, R4D, WITH SUPPORT FROM PHARMACCESS, AUTHORED A DISCUSSION PAPER AS AN INPUT TO CURRENT POLICY DELIBERATIONS. THIS PAPER PROPOSED SEVERAL POTENTIAL PATHWAYS FOR NIGERIA TO MOBILIZE FINANCIAL RESOURCES AND MOVE TOWARD INCLUSIVE HEALTH INSURANCE COVERAGE OF PRIORITY INTERVENTIONS FOR THE POOR AND INFORMAL SECTOR. THE CENTER FOR HEALTH MARKET INNOVATIONS (CHMI) PROMOTES POLICIES AND PRACTICES THAT IMPROVE HEALTH CARE DELIVERED BY THE PRIVATE SECTOR FOR THE POOR IN LOW AND MIDDLE-INCOME COUNTRIES. THE CHMI WEBSITE (WWW.HEALTHMARKETINNOVATIONS.ORG) IS THE MOST COMPREHENSIVE GLOBAL REPOSITORY OF INNOVATIVE HEALTH PROGRAMS THAT HARNESS PRIVATE PROVIDERS TO SERVE THE POOR, CURRENTLY REPORTING INFORMATION ABOUT OVER 1,250 PROGRAMS OPERATING IN 106 COUNTRIES. CHMI HAS HAD OVER 275,000 UNIQUE VISITORS TO ITS WEBSITE TO DATE AND OVER 500 PROGRAM MANAGERS, FUNDERS, RESEARCHERS AND POLICYMAKERS HAVE PARTICIPATED IN CHMI EVENTS. CHMI WORKS IN CLOSE PARTNERSHIP WITH A NETWORK OF REGIONAL INNOVATION PARTNERS OPERATING IN AFRICA, ASIA, AND LATIN AMERICA TO IDENTIFY, ANALYZE, AND CONNECT INNOVATIVE MODELS WITH RESOURCES THAT CAN ENABLE THEM TO SCALE UP OR REPLICATE. IN 2012, R4D MADE SIGNIFICANT PROGRESS IN EXPANDING THE REACH AND ACTIVITIES OF CHMI, INCLUDING CONTINUING TO SOURCE INNOVATIVE MODELS FOR ITS GROWING DATABASE OF PROGRAMS, EXPANDING THE COLLECTION OF REPORTED RESULTS FROM FEATURED PROGRAMS TO OVER 15% PARTICIPATION, COMPLETING A SERIES OF ANALYTIC PRODUCTS IN AREAS SUCH AS MATERNAL AND CHILD HEALTH, TB AND MALARIA, AS WELL AS A SET OF FIELD STUDIES ON DRUG QUALITY IN INDIA AND INFORMAL PROVIDERS IN BANGLADESH, INDIA, AND NIGERIA. IN THE PAST YEAR, CHMI HAS CREATED PARTNERSHIPS WORTH MILLIONS OF DOLLARS THAT WILL PROVIDE NEW OR EXPANDED HEALTH CARE SERVICES TO OVER 1.6 MILLION PEOPLE. R4D RECEIVES FUNDING FROM DFID, THE BILL & MELINDA GATES FOUNDATION, AND THE ROCKEFELLER FOUNDATION TO SUPPORT CHMI. IN 2012, R4D ASSISTED THE CHILDREN'S INVESTMENT FUND FOUNDATION (CIFF) TO DEVELOP AND TO PILOT IMPLEMENTATION OF SYSTEMATIC METHODS TO PERFORM COST, COST-EFFECTIVENESS, AND FINANCIAL SUSTAINABILITY ANALYSES IN THE FOUNDATION'S DESIGN AND AWARD OF GRANTS ACROSS FIVE CIFF PRIORITY AREAS: NEONATAL MORTALITY, EARLY CHILDHOOD EDUCATION, SEVERE AND ACUTE MALNUTRITION, PREVENTION OF MOTHER-TO-CHILD TRANSMISSION OF HIV AND DE-WORMING. 2671950 1308898 GOVERNANCE - IN 2012, R4D CONTINUED ITS WORK ON ITS TWO FLAGSHIP GOVERNANCE PROJECTS - THE TRANSPARENCY AND ACCOUNTABILITY PROGRAM PHASE 3 AND THE STRENGTHENING INSTITUTIONS PROJECT. IN ADDITION, THE PROGRAM LAUNCHED BUILDING BRIDGES FOR BETTER SPENDING IN SOUTHEAST ASIA, A USAID-FUNDED PROJECT SUPPORTING SOCIAL ACCOUNTABILITY IN 4 COUNTRIES IN SOUTHEAST ASIA. R4D CARRIED OUT THE SECOND YEAR OF THE THREE-YEAR TRANSPARENCY AND ACCOUNTABILITY PROGRAM (TAP). THE TEAM DESIGNED AND LED TWO TECHNICAL SUPPORT AND PEER LEARNING WORKSHOPS FOR THE 18 CIVIL SOCIETY ORGANIZATIONS TAP SUPPORTS IN BURKINA FASO, GHANA, KENYA, RWANDA, SENEGAL, TANZANIA, AND UGANDA. PARTNERS WORKED ON THEIR CITIZEN REPORT CARD AND COMMUNITY SCORE CARD PROJECTS, EMPOWERING COMMUNITIES, MONITORING PUBLIC SPENDING AND SERVICES, AND ADVOCATING FOR IMPROVEMENTS. TAP RELEASED FOUR VIDEOS HIGHLIGHTING THE IMPORTANCE OF SOCIAL ACCOUNTABILITY INTERVENTIONS AND THE WORK OF THREE PARTNERS.AS THE LEAD TECHNICAL PARTNER OF THE STRENGTHENING INSTITUTIONS PROJECT, R4D PROVIDED IN-PERSON AND VIRTUAL TECHNICAL SUPPORT AND TRAINING TO FOURTEEN THINK TANKS ACROSS THE WORLD TO DESIGN AND UNDERTAKE PUBLIC EXPENDITURE ANALYSIS IN THE HEALTH, EDUCATION, AND WATER SECTORS. THE THINK TANK PARTNERS FINALIZED COST EFFECTIVENESS STUDIES IN THE THREE SECTORS, AND R4D LED THE TECHNICAL REVIEW OF THESE RESEARCH PROJECTS. IN ADDITION, R4D (IN COLLABORATION WITH THE GLOBAL DEVELOPMENT NETWORK) LED A PEER LEARNING WORKSHOP IN ISTANBUL FOR THE FOURTEEN PARTNERS TO SHARE FINDINGS AND FEEDBACK, TO DEVELOP CONSTRUCTIVE ENGAGEMENT PLANS, AND TO PARTICIPATE IN TRAININGS FOR THE POLICY SIMULATION WORK THEY LED IN 2012 AND 2013. IN 2012, R4D GOVERNANCE LAUNCHED THE USAID BUILDING BRIDGES FOR BETTER SPENDING IN SOUTHEAST ASIA PROGRAM, WHICH IT CO-LEADS WITH THE INDONESIA-BASED BANDUNG INSTITUTE FOR GOVERNANCE STUDIES (BIGS). OVER THE COURSE OF THE YEAR, R4D AND BIGS SELECTED AND PROVIDED TECHNICAL ASSISTANCE TO PARTNER ORGANIZATIONS THROUGHOUT SOUTHEAST ASIA, WHO AS PART OF THE PROJECT BEGAN NEW EFFORTS TO IMPROVE PUBLIC HEALTH AND EDUCATION SERVICES IN THEIR COUNTRIES. IN ADDITION, R4D BEGAN WORK ON AN ONLINE PLATFORM FOR HIGHLIGHTING SOCIAL ACCOUNTABILITY WORK IN SOUTHEAST ASIA. 1238326 83000 567808 MARKET DYNAMICS - IN 2012, THE MARKET DYNAMICS TEAM CONTINUED TO BUILD ON ITS STRENGTH IN THE HEALTH SECTOR WHILE TACKLING A NEW SET OF CHALLENGES IN THE NUTRITION SECTOR. A FEW OF THE HIGHLIGHTS ARE PRESENTED BELOW.OPTIMIZING VALUE IN THE PURCHASE OF LONG-LASTING INSECTICIDE-TREATED NETS: THROUGH 2015, OVER 560 MILLION LONG-LASTING INSECTICIDE-TREATED NETS (LLINS) ARE REQUIRED TO ACHIEVE AND MAINTAIN UNIVERSAL COVERAGE IN AFRICA, AT A TOTAL GLOBAL COST OF $2.4 BILLION. WITH GATES FOUNDATION SUPPORT, THE MARKET DYNAMICS TEAM DEVELOPED CONCRETE STRATEGIES TO SAVE THE GLOBAL COMMUNITY UP TO $600 MILLION OVER 5 YEARS, WHICH CAN FINANCE THE PURCHASE OF 150M BED NETS AND COVER 300M MORE INDIVIDUALS. THIS FIRST-OF-ITS KIND WORK INCLUDED CONSULTATIONS WITH OVER 140 ACTORS ACROSS THE PRIVATE AND PUBLIC SECTORS, INCLUDING ALL 10 WHO PESTICIDE EVALUATION SCHEME (WHOPES)-RECOMMENDED LLIN MANUFACTURERS.STRATEGIES INCLUDE FINANCIAL INCENTIVES TO DRIVE UPTAKE OF THE MOST COST-EFFECTIVE LLINS WHILE ENSURING DEVELOPMENT AND USE OF INNOVATIVE NEW TECHNOLOGIES (E.G. PATH TO MARKET FOR RESISTANCE PRODUCTS). FOR EXAMPLE, SIMPLE CHANGES - I.E. REDUCING FRAGMENTATION FROM THE OVER 200+ SUPPLIER OFFERINGS (I.E. OF SHAPE, SIZE, ETC.) TO 70 CHOICES - CAN SAVE $290M WITHOUT IMPACTING END USAGE. R4D IS NOW WORKING TO ADVISE STRATEGY IMPLEMENTATION BY WORKING WITH MAJOR FINANCIERS AND NORMATIVE AGENCIES (I.E. WHO, USG, GATES).NEW FRONTIERS IN NUTRITION:WITH SUPPORT FROM THE GATES FOUNDATION, THE MARKET DYNAMICS TEAM UNDERTOOK A TWO-PHASE PROJECT FOCUSED ON DEVELOPING AND SCALING THE MICRONUTRIENT POWDER MARKET TO ADDRESS DEFICIENCIES IN PARTNERSHIP WITH THE MICRONUTRIENT INITIATIVE (MI). PARTICULAR EMPHASIS WAS PLACED ON TESTING THE VIABILITY OF A COMMERCIAL APPROACH THROUGH INTENSIVE ENGAGEMENT WITH PRIVATE SECTOR. IN PHASE 1, THE TEAM DEVELOPED STRATEGIES TO INCREASE MNP ACCESS THROUGH EXPANSION OF CONSUMER DEMAND AND ENHANCED SUPPLIER ENGAGEMENT IN IMPROVED PRODUCT CHARACTERISTICS, MARKETING, AND DISTRIBUTION. IN PHASE 2 (2013) THE TEAM IS DEVELOPING A SCALE-UP STRATEGY TO BE IMPLEMENTED ACROSS 2-3 COUNTRIES. KEY FACTS INCLUDE:- MALNUTRITION KILLS MORE THAN 2.5 MILLION CHILDREN WORLDWIDE EACH YEAR.- MICRONUTRIENT POWDERS (MNPS) ARE AVAILABLE FOR JUST PENNIES A DAY ($1.80 FOR A FULL 60-DAY COURSE) TO ADDRESS IRON, IODINE, AND VITAMIN A DEFICIENCIES AND CAN BE SPRINKLED ON A CHILD'S FOOD.- DESPITE LOW COST AND SIMPLICITY, MILLIONS OF CHILDREN STILL LACK ACCESS TO THE PRODUCT.- AVAILABLE TODAY THROUGH PUBLIC SECTOR / NGOS, BUT THESE PROGRAMS HAVE LIMITED REACH.UN COMMISSION ON LIFE SAVING COMMODITIES FOR WOMEN & CHILDRENTHE MARKET DYNAMICS TEAM SUPPORTED THE UNITED NATIONS COMMISSION ON LIFE SAVING COMMODITIES FOR WOMEN & CHILDREN, AIMED AT EXPANDING ACCESS TO ESSENTIAL HEALTH COMMODITIES (E.G. FAMILY PLANNING, ANTISEPTIC PRODUCTS TO PREVENT INFECTION, ANTIBIOTICS TO TREAT PNEUMONIA, ZINC/ORS FOR DIARRHEA, ETC.), TO SAVE OVER 3 MILLION LIVES ANNUALLY.- CO-CHAIRED BY PRIME MINISTER OF NORWAY, JENS STOLTENBERG, AND PRESIDENT OF NIGERIA, GOODLUCK JONATHAN.- OTHER COMMISSIONERS INCLUDED CEOS OF FORTUNE 500 COMPANIES, DIRECTORS OF MAJOR FOUNDATIONS (E.G. CHRIS ELIAS OF THE BILL AND MELINDA GATES FOUNDATION, JAMIE COOPER-HOHN OF THE CHILDREN'S INVESTMENT FUND FOUNDATION), AND LEADERS OF DEVELOPMENT AGENCIES (E.G. RAJ SHAH OF USAID)KANIKA BAHL SERVED AS CO-CHAIR OF THE MARKET SHAPING WORKING GROUP, ONE OF THREE GROUPS PROVIDING RECOMMENDATIONS TO THE COMMISSIONERS. IN A CLOSED-DOOR MEETING IN MAY 2012, COMMISSIONERS APPROVED ALL MARKET SHAPING RECOMMENDATIONS.PRAZIQUANTEL (PZQ) SUSTAINABLE SUPPLY:THE MARKET DYNAMICS TEAM WAS ASKED BY THE GATES FOUNDATION WITH TO EVALUATE AND SECURE THE SUSTAINABILITY OF SUPPLY FOR DRUGS TO TREAT THE NEGLECTED TROPICAL DISEASE SCHISTOSOMIASIS. THE TEAM COLLABORATED WITH PARTNERS ACROSS THE MARKET-MAJOR DONORS (DFID, USAID), PROCUREMENT AGENTS, API SUPPLIERS, AND KEY FORMULATORS-TO MAP CONSTRAINTS AND RECOMMEND STRATEGIES TO BREAK BOTTLENECKS. THIS WORK CONTRIBUTED TO A 10X INCREASE IN MERCK'S DONATION COMMITMENT (THOUGH IMPLEMENTATION IS STILL TBD GIVEN RECENT CLOSURE ON RELEVANT OPERATIONS). 1089466 2500 136429 EDUCATION 1089466 2500 136429 12177171 1 1 0 0 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 1 1 1 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 58 0 1 58 1 0 0 0 0 0 0 0 0 0 0 X 14 13 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X SHIRLENE ARCHER 2024705711 1100 15TH STREET NW NO 400 WASHINGTON DC 20005 DAVID DE FERRANTI 40.00 X X 343460 0 13855 MARK W HINKLEY 0.30 X X 0 0 0 OLIVER LAFOURCADE 0.30 X X 0 0 0 OZGUR KAROSMANOGLU 0.30 X X 0 0 0 DZINGAI MUTUMBUKA 0.30 X X 0 0 0 KY AMOAKO 0.30 X 0 0 0 ANA-MARIA ARRIAGADA 0.30 X 0 0 0 ROBERTO DANINO 0.30 X 0 0 0 JULIO FRENK 0.30 X 0 0 0 CARLA HILLS 0.30 X 0 0 0 FOLA LAOYE 0.30 X 0 0 0 JORGE QUIROGA 0.30 X 0 0 0 SANGITA REDDY 0.30 X 0 0 0 JO RITZEN 0.30 X 0 0 0 SHIRLENE ARCHER 40.00 X 141725 0 14876 KANIKA BAHL 40.00 X 276462 0 13868 NICHOLAS BURNETT 40.00 X 305701 0 14095 ROBERT M HECHT 40.00 X 305038 0 14095 GINA M LAGOMARSINO 40.00 X 289043 0 13973 WILLIAM M MAKINEN 40.00 X 256112 0 23892 MAME ANNAN-BROWN 40.00 X 115811 0 4663 AMANDA FOLSOM 40.00 X 143053 0 13422 COURTNEY TOLMIE 40.00 X 145043 0 11931 JEAN ARKEDIS 40.00 X 119012 0 12198 STEPHANIE SEALY 40.00 X 139320 0 6867 2579780 0 157735 13 0 1 0 THE REGENTS OF UNIVERSITY OF CALIFORNIA PO BOX 0897 SAN FRANCISCO CA 941430897 HEALTH SYSTEMS DESIGN 364059 JULIAN SCHWEITZER 5107 WEHAWKEN ROAD BETHESDA MD 20816 PROJECT MANAGEMENT 177795 NATIONAL OPINION RESEARCH COUNCIL 55 E MONROE STREET CHICAGO IL 60603 MONITORING & EVALUATION 133354 PAUL WILSON 780 RIVERSIDE DRIVE APT 108 NEW YORK NY 10032 PROJECT MANAGEMENT 120050 4 1524342 3726763 5251105 CONTRACTS 900099 2906857 2906857 2906857 17211 17211 SUBLEASE INCOME 900099 24765 24765 FOREIGN CURRENCY GAIN 900099 17904 17904 OTHER INCOME 900099 12026 12026 54695 8229868 2906857 0 71906 X 40000 40000 1467400 1467400 2026195 1931242 94953 2885646 2882601 3045 110352 110189 163 169021 166674 2347 295326 289608 5718 15138 15056 75 7 32768 28963 3463 342 2874190 2849971 24219 308152 287287 19354 1511 38037 37716 321 595480 537772 52513 5195 1017895 1013334 4561 351625 350050 1575 99339 94866 4071 402 39548 38532 993 23 TRAINING & DEVELOPMENT 11099 10814 279 6 MEMBERSHIP & DUES 9257 8854 403 PAYROLL FEES 6892 6715 173 4 RECRUITMENT 6792 6618 170 4 3059 2909 149 1 12403211 12177171 212409 13631 2594 230440 10167470 8058867 6724305 4706361 851288 1079745 154741 138711 565842 344125 263818 221717 163360 163360 18327576 14599201 859055 637297 250000 248688 75414 1262981 197058 231743 1381527 2380709 X -184632 735636 17130681 11482856 16946049 12218492 18327576 14599201 X -4173343 -554214 X 0 1 X 1 0 X 10947974 7763903 8618983 9523811 5251105 42105776 10947974 7763903 8618983 9523811 5251105 42105776 30793731 11312045 18690 110693 50401 17938 41976 239698 734 2167 4776 7418 12026 27121 42372595 8867193 0.26700 X THIS IS OPEN SCHEDULE A, PART IV, SUPPLEMENTAL INFORMATION: I. BACKGROUND RESULTS FOR DEVELOPMENT INSTITUTE, INC. ("R4D") IS A NONPROFIT ORGANIZATION INCORPORATED IN WASHINGTON, D.C. IN 2007. R4D'S MISSION IS DEDICATED TO REDUCING POVERTY AND IMPROVING HUMAN WELFARE IN DEVELOPING COUNTRIES. R4D'S MISSION IS TO ENCOURAGE HIGH IMPACT INVESTMENTS IN POOR PEOPLE BY SEEDING NEW THINKING, IMPLEMENTATION METHODS, AND SIMPLE MEASURES OF RESULTS TO SUPPORT INNOVATIVE FINANCING ARRANGEMENTS FOR SUBSIDIES THAT OVERCOME MARKET, GOVERNMENT AND INSTITUTIONAL FAILURES; IMPROVING ACCOUNTABILITY OF GOVERNMENTS AND PRIVATE PROVIDERS FOR RESULTS; AND IMPROVING INSTITUTIONAL ARRANGEMENTS THAT HELP HOUSEHOLDS MANAGE THE FINANCIAL RISKS OF POOR HEALTH AND THE COSTS OF INVESTING IN THEIR CHILDREN. II. ANALYSIS R4D QUALIFIES AS A "PUBLICLY SUPPORTED" ORGANIZATION DESCRIBED UNDER SECTION 170(B)(1)(A)(VI) AND THEREFORE AS AN ORGANIZATION DESCRIBED IN SECTION 509(A)(1) BECAUSE IT SATISFIES THE "FACTS AND CIRCUMSTANCES TEST" SET FORTH IN SECTION 1.170A-9(E)(3) OF THE TREASURY REGULATIONS. A. THRESHOLD REQUIREMENTS R4D IS ELIGIBLE FOR A DETERMINATION OF PUBLIC SUPPORT UNDER THE FACTS AND CIRCUMSTANCES TEST BECAUSE IT MEETS THE TWO THRESHOLD REQUIREMENTS FOR CONSIDERATION. FIRST, THE PORTION OF R4D'S SUPPORT THAT QUALIFIES AS ELIGIBLE PUBLIC SUPPORT IS APPROXIMATELY 26.70%, WHICH EXCEEDS THE 10% THRESHOLD REQUIRED UNDER TREASURY REGULATION SECTION 1.170A-9(E)(3)(I). SECOND, R4D'S OPERATIONS ENSURE THAT IT WILL CONTINUE TO ATTRACT NEW AND ADDITIONAL PUBLIC SUPPORT, AS REQUIRED BY TREASURY REGULATION SECTION 1.170A-9(E)(3)(II). R4D HAS CONTINUED TO MAKE SIGNIFICANT STRIDES IN THE AREA OF BEING DIVERSIFIED IN THEIR FUNDING, THEREBY SATISFYING THE OTHER THRESHOLD REQUIREMENT FOR QUALIFYING AS PUBLICLY SUPPORTED UNDER THE FACTS AND CIRCUMSTANCES TEST. AS OF JUNE 30, 2013, R4D'S REVENUE SOURCES WERE AS FOLLOWS: 53% FROM PRIVATE FOUNDATIONS, 35% FROM FOREIGN GOVERNMENTS AND 12% FROM USAID. B. OTHER RELEVANT FACTORS IN DETERMINING WHETHER R4D MEETS THE "FACTS AND CIRCUMSTANCES TEST," THE TREASURY REGULATIONS ALSO PROVIDE A LIST OF FACTORS THAT SERVE AS INDICIA OF WHETHER AN ORGANIZATION QUALIFIES AS "PUBLICLY SUPPORTED." THE HIGHER THE PERCENTAGE OF SUPPORT ABOVE THE 10% REQUIREMENT, THE LOWER THE ORGANIZATION'S BURDEN IN ESTABLISHING IT'S PUBLICLY SUPPORTED NATURE WITH OTHER FACTORS. THESE ADDITIONAL FACTORS, DISCUSSED BELOW, PROVIDE FURTHER EVIDENCE THAT R4D SATISFIES THE FACTS AND CIRCUMSTANCES TEST. BECAUSE R4D'S PERCENTAGE OF SUPPORT IS 26.70%, R4D HAS A LESSER BURDEN IN PROVING ITS PUBLICLY SUPPORTED NATURE THROUGH THESE FACTORS. C. SOURCES OF SUPPORT R4D RECEIVES ITS PUBLIC SUPPORT FROM A WIDE VARIETY OF CONTRIBUTORS AND DOES NOT DEPEND ON A SINGLE FAMILY FOR CONTRIBUTIONS, TWO FACTS THAT PROVIDE FURTHER SUPPORT FOR R4D'S QUALIFICATION AS A "PUBLICLY SUPPORTED" ENTITY. THESE DONORS INCLUDE PRIVATE FOUNDATIONS, FOREIGN GOVERNMENTS, AND USAID. R4D PLANS TO CONTINUE REACHING OUT TO NEW DONORS IN THE COMING YEARS. D. REPRESENTATIVE GOVERNING BODY THE REPRESENTATIVE NATURE OF AN ORGANIZATION'S GOVERNING BODY IS ALSO A FACTOR IN DETERMINING WHETHER IT QUALIFIES UNDER THE "FACTS AND CIRCUMSTANCES TEST." IN CONSIDERING WHETHER A BOARD IS REPRESENTATIVE, SUCH FACTORS AS THE MEMBERS' EXPERTISE IN THE RELEVANT FIELD, THEIR HISTORY OF LEADERSHIP IN THE COMMUNITY AND THEIR TRADITION OF PUBLIC SERVICE ARE RELEVANT. R4D'S TEAM IS A UNIQUE BLEND OF THOSE WITH DECADES OF EXPERIENCE IN SENIOR POSITIONS IN INTERNATIONAL INSTITUTIONS, THINK TANKS, NON-PROFIT ORGANIZATIONS AND THE PRIVATE SECTOR, AND THOSE THAT BRING NEW SKILL SETS AND NEW EXPERIENCES TO GLOBAL DEVELOPMENT. OUR TEAM HAVE DIVERSE BACKGROUNDS IN POLICY DEVELOPMENT AND IMPLEMENTATION IN PUBLIC AND PRIVATE SECTORS, WHO APPLY PRACTICAL, GROUNDED APPROACHES TO ACHIEVE LARGE SCALE IMPACT. DAVID DE FERRANTI: PRESIDENT (AND FOUNDER) WITH OVER 30 YEARS OF EXPERIENCE IN LEADERSHIP AND SENIOR MANAGEMENT POSITIONS IN THE PUBLIC AND PRIVATE SECTOR, CHIEFLY IN THE FIELDS OF INTERNATIONAL DEVELOPMENT AND, EARLIER, U.S. PUBLIC POLICY. HE WAS PREVIOUSLY THE WORLD BANK'S REGIONAL VICE PRESIDENT FOR LATIN AMERICA AND THE CARIBBEAN FROM 1999 TO 2005. FROM 1994 TO 1999, HE OVERSAW THE BANK'S RESEARCH AND FINANCIAL SUPPORT TO COUNTRIES WORLDWIDE IN THE AREAS OF HEALTH, EDUCATION, NUTRITION, AND OTHER SOCIAL SERVICES. K.Y. AMOAKO: (BOARD OF DIRECTORS) MR. AMOAKO IS PRESIDENT AND FOUNDER OF THE AFRICAN CENTER FOR ECONOMIC TRANSFORMATION (ACET), A POLICY RESEARCH AND ADVISORY INSTITUTION BASED IN GHANA FOCUSED ON WORKING WITH AFRICAN GOVERNMENTS TO DELIVER LONG-TERM ECONOMIC GROWTH. PREVIOUSLY HE SERVED AS UNDER SECRETARY GENERAL OF THE UN AND EXECUTIVE SECRETARY OF THE ECONOMIC COMMISSION FOR AFRICA (ECA) FROM 1995-2005. ANA-MARIA ARRIAGADA: (BOARD OF DIRECTORS) MS. ARRIGADA IS AN INDEPENDENT INTERNATIONAL DEVELOPMENT CONSULTANT SPECIALIZING IN SOCIAL POLICY, STRATEGY DEVELOPMENT, ORGANIZATION MANAGEMENT, AND LEARNING. SHE IS CURRENTLY WORKING WITH SENIOR EXECUTIVES IN A RANGE OF NON-PROFIT ORGANIZATIONS TO DEVELOP EFFECTIVE BUSINESS STRATEGIES TO PROMOTE INNOVATION AND ELEVATE THE PERFORMANCE OF ORGANIZATIONS, PROJECTS, AND TEAMS. CARLA ANDERSON HILLS: (BOARD OF DIRECTORS) MRS. HILLS SERVED AS UNITED STATES TRADE REPRESENTATIVE FROM 1989 TO 1993. AS A MEMBER OF PRESIDENT BUSH'S CABINET, MRS. HILLS WAS THE PRESIDENT'S PRINCIPAL ADVISOR ON INTERNATIONAL TRADE POLICY. SHE WAS ALSO THE NATION'S CHIEF TRADE NEGOTIATOR, REPRESENTING AMERICAN INTERESTS IN MULTILATERAL AND BILATERAL TRADE NEGOTIATIONS THROUGHOUT THE WORLD. SHE LED THE U.S. NEGOTIATIONS IN THE URUGUAY ROUND OF MULTILATERAL TRADE TALKS, CONCLUDED THE NORTH AMERICAN FREE TRADE AGREEMENT, AND ENTERED INTO A LARGE NUMBER OF TRADE AND INVESTMENT AGREEMENTS WITH COUNTRIES ALL AROUND THE WORLD. FOLA LAOYE (BOARD OF DIRECTORS). MRS. LAOYE HAS OVER 19 YEARS OF EXPERIENCE IN THE INTERNATIONAL BUSINESS SECTOR. SHE IS THE CHIEF EXECUTIVE OFFICER OF HYGEIA NIGERIA LIMITED, PROMOTERS OF HYGEIA HMO, THE LEADING HEALTH MAINTENANCE ORGANIZATION IN NIGERIA AND THE LAGOON HOSPITALS GROUP. HENRY SCHIRMER: (BOARD OF DIRECTORS) MR. SCHIRMER IS SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER OF UNILEVER NORTH AMERICA. IN HIS 20 YEAR CAREER, SCHIRMER HAS GAINED INTERNATIONAL MANAGEMENT AND LEADERSHIP EXPERIENCE IN THE FAST MOVING CONSUMER GOODS INDUSTRY AND INDUSTRIAL SECTOR UNDER PUBLIC AND PRIVATE EQUITY OWNERSHIP. E. PUBLIC PARTICIPATION IN PROGRAMS UNDER SECTION 1.170A-9(E)(3)(VI)(C)(1) OF THE TREASURY REGULATIONS, ONE FACTOR INDICATING THAT AN ORGANIZATION QUALIFIES AS "PUBLICLY SUPPORTED" UNDER THE FACTS AND CIRCUMSTANCES TEST IS THAT "MEMBERS OF THE PUBLIC HAVING SPECIALIZED KNOWLEDGE OR EXPERTISE, PUBLIC OFFICIALS, OR CIVIC OR COMMUNITY LEADERS" PARTICIPATE IN, OR SPONSOR, THE ORGANIZATION'S PROGRAMS. AS DISCUSSED ABOVE, ALL OF R4D'S OFFICERS AND KEY EMPLOYEES ARE EXPERTS AND LEADERS IN THE ENVIRONMENTAL FIELD. F. PROGRAM EFFORTS WE BELIEVE THE FOLLOWING PROGRAMS REFLECT R4D'S IMPACT ON LARGE POPULATIONS IN LOW AND MIDDLE INCOME COUNTRIES. MARKET DYNAMICS: MULTIPLE MICRONUTRIENT POWDERS PROJECT: THE CHALLENGE EACH YEAR, MALNUTRITION KILLS MORE THAN 2.5 MILLION CHILDREN UNDER FIVE YEARS OLD WORLDWIDE AND IMPAIRS HUNDREDS OF THOUSANDS MORE. IN PARTICULAR, MICRONUTRIENT DEFICIENCIES OF VITAMINS AND MINERALS SUCH AS IRON, IODINE, AND VITAMIN A ARE AMONG THE LEADING CAUSES OF MENTAL AND PHYSICAL IMPAIRMENTS IN CHILDREN. SIMPLE AND HIGHLY EFFECTIVE PRODUCTS, KNOWN AS MICRONUTRIENT POWDERS (MNPS), ARE AVAILABLE FOR JUST PENNIES A DAY TO ADDRESS THESE DEFICIENCIES. DESPITE THEIR LOW COST, MILLIONS OF CHILDREN IN NEED STILL DO NOT HAVE ACCESS TO THE PRODUCT. OUR WORK RESULTS FOR DEVELOPMENT (R4D) AND MICRONUTRIENT INITIATIVE (MI), THE LEADING NONPROFIT WORKING EXCLUSIVELY TO ELIMINATE VITAMIN AND MINERAL DEFICIENCIES IN THE WORLD'S MOST VULNERABLE POPULATIONS, ARE UNDERTAKING THE FIRST OF A TWO-PHASE MICRONUTRIENT POWDERS PROJECT COMMISSIONED BY THE BILL & MELINDA GATES FOUNDATION AND FOCUSED ON DEVELOPING AND SCALING THE MNP MARKET. THIS WORK WILL OCCUR OVER A 12 MONTH PERIOD BEGINNING IN JUNE 2012. THIS WORK WILL DIRECTLY IMPACT MILLIONS OF CHILDREN WHO NEED AND USE THESE POWDERS IN THE DEVELOPING WORLD. INCREASING THE IMPACT OF INVESTMENT IN CHILDREN: THE CHALLENGE THE CHILDREN'S INVESTMENT FUND FOUNDATION (CIFF), A PHILANTHROPIC ORGANIZATION THAT AIMS TO "IMPROVE THE LIVES OF CHILDREN LIVING IN POVERTY IN DEVELOPING COUNTRIES BY ACHIEVING LARGE-SCALE, SUSTAINABLE IMPACT" PRIDES ITSELF ON HIGH-IMPACT INVESTING. IT SEEKS TO ACHIEVE A HIGH RETURN ON ITS INVESTMENT IN THE FORM OF LARGE SCALE, TRANSFORMATIVE IMPACTS IN THE LIVES OF CHILDREN. IN ORDER TO ACHIEVE ITS AIM, CIFF WISHES TO HARNESS A GROWING BODY OF KNOWLEDGE AROUND COSTING, COST-EFFECTIVENESS AND FINANCING AND APPLY IT TO ITS CORE INVESTMENTS. SCHEDULE A, PART IV, SUPPLEMENTAL INFORMATION: OUR WORK CIFF ASKED RESULTS FOR DEVELOPMENT INSTITUTE TO DEVELOP FRAMEWORKS FOR COSTING, COST-EFFECTIVENESS ANALYSIS, AND FINANCIAL SUSTAINABILITY THAT THE FOUNDATION CAN USE CONSISTENTLY ACROSS FIVE CIFF PRIORITY AREAS: NEONATAL MORTALITY, EARLY CHILDHOOD EDUCATION, SEVERE AND ACUTE MALNUTRITION, PREVENTION OF MOTHER-TO-CHILD TRANSMISSION OF HIV AND DE-WORMING. THROUGH THE IDENTIFICATION OF RELEVANT COSTS, COST EFFECTIVENESS AND FINANCING METHODS, DATA SOURCES AND BENCHMARKS, THESE FRAMEWORKS WILL INFORM BOTH THE TYPES OF INVESTMENTS THAT CIFF MAKES IN EACH OF THESE DOMAINS AS WELL AS THE WAY IN WHICH IT EVALUATES ITS INVESTMENTS. THE SUCCESSFUL APPLICATION OF THESE FRAMEWORKS WILL FACILITATE THE ACHIEVEMENT OF HIGH-PERFORMING, SUSTAINABLE PROGRAMS THAT OPERATE AT SCALE. BUILDING BRIDGES FOR BETTER SPENDING IN SOUTHEAST ASIA: THE CHALLENGE NO GOVERNMENT ACTIVITY HAS A MORE SIGNIFICANT IMPACT ON CITIZENS' ABILITY TO ATTAIN HEALTH, EDUCATION AND OTHER INTRINSIC HUMAN RIGHTS THAN THE FORMULATION AND IMPLEMENTATION OF THE PUBLIC BUDGET. HOWEVER, GOVERNMENT SPENDING CAN FAIL TO IMPROVE THE LIVES OF THE WORLD'S POOREST PEOPLE IF FUNDS ARE NOT ALLOCATED OR SPENT EFFICIENTLY AND EQUITABLY. WHILE SOME COUNTRIES HAVE BEEN ABLE TO IMPROVE SPENDING AND SERVICE DELIVERY THROUGH A VIBRANT CIVIL SOCIETY THAT HAS MADE MAJOR STRIDES IN MONITORING GOVERNMENT ACTIONS AND HOLDING THEM ACCOUNTABLE, THE EXPERTISE OF THESE CIVIL SOCIETY ORGANIZATIONS HAS BEEN SLOW TO CROSS BORDERS, AND MANY COUNTRIES ARE LAGGING BEHIND IN SOCIAL ACCOUNTABILITY WORK. OUR WORK THE USAID FUNDED BUILDING BRIDGES FOR BETTER SPENDING IN SOUTHEAST ASIA PROJECT IMPROVES GOVERNANCE AND ACCESS TO BASIC HUMAN RIGHTS IN SOUTHEAST ASIA BY MAKING PUBLIC SPENDING AND SERVICE DELIVERY MORE EFFECTIVE. JOINTLY LED BY RESULTS FOR DEVELOPMENT INSTITUTE (R4D) AND THE BANDUNG INSTITUTE OF GOVERNANCE STUDIES (BIGS), THE THREE-YEAR (2011-2014) BUILDING BRIDGES PROJECT DEVELOPS SOUTHEAST ASIAN CIVIL SOCIETY ORGANIZATIONS' CSOS' CAPACITY TO MONITOR AND IMPROVE PUBLIC SPENDING AND SERVICE DELIVERY; ENHANCES COLLABORATIONS BETWEEN CSOS AND POLICYMAKERS FOR BETTER POLICY DECISIONS; AND CATALYZES CONCRETE IMPROVEMENTS IN HEALTH AND EDUCATION SPENDING AND OUTCOMES. III. CONCLUSION IN SUMMARY, R4D HAS THE CHARACTERISTICS OF A "PUBLICLY SUPPORTED" ORGANIZATION, BASED ON THE FACTS AND CIRCUMSTANCES TEST DESCRIBED IN SECTION 1.170A-9(E)(3) OF THE TREASURY REGULATIONS. SPECIFICALLY, A SMALL NUMBER OF DONORS DO NOT CONTROL R4D; RATHER R4D IS A GROWING INSTITUTION THAT BEARS MANY OF THE INDICIA OF A "PUBLICLY SUPPORTED" ORGANIZATION, INCLUDING PUBLIC SUPPORT FROM A WIDE CROSS-SECTION OF DONORS, WITH A REPRESENTATIVE GOVERNING BODY. MOREOVER, R4D IS CONTINUING TO SEEK NEW SOURCES OF SUPPORT FROM THE GENERAL PUBLIC AS WELL AS OTHER ORGANIZATIONS. ACCORDINGLY, R4D QUALIFIES AS A "PUBLICLY SUPPORTED" ORGANIZATION DESCRIBED IN SECTION 170(B)(1)(A)(VI). RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 34601 33779 822 220062 93692 126370 311179 216654 94525 221717 DEFERRED RENT 231743 231743 X 7425654 -804214 -804214 8229868 0 8229868 12153211 -250000 -250000 12403211 0 12403211 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: IN ACCORDANCE WITH ACCOUNTING STANDARDS CODIFICATION (ASC) TOPIC 740, INCOME TAXES, R4D HAS EVALUATED 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 2D - OTHER ADJUSTMENTS: LOSS ON RETURN OF GRANT FUNDS -804,214. PART XII, LINE 2D - OTHER ADJUSTMENTS: RECOVERY OF PRIOR YEAR GRANTS -250,000. 1 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 468776 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 998624 0 0 0 0 0 0 1467400 0 1467400 EAST ASIA AND THE PACIFIC BUILDING BRIDGES FOR BETTER SPENDING IN SE ASIA 171208 WIRE EAST ASIA AND THE PACIFIC BUILDING BRIDGES FOR BETTER SPENDING IN SE ASIA 99585 WIRE EAST ASIA AND THE PACIFIC PERFORMANCE MANAGEMENT AMONG CHMI PROGRAMS 77498 WIRE EAST ASIA AND THE PACIFIC BUILDING BRIDGES FOR BETTER SPENDING IN SE ASIA 65000 WIRE EAST ASIA AND THE PACIFIC BUILDING BRIDGES FOR BETTER SPENDING IN SE ASIA 25480 WIRE EAST ASIA AND THE PACIFIC BUILDING BRIDGES FOR BETTER SPENDING IN SE ASIA 14377 WIRE EAST ASIA AND THE PACIFIC BUILDING BRIDGES FOR BETTER SPENDING IN SE ASIA 13128 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 62637 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 99999 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 99982 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 83000 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 69836 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 65000 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 63380 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 50000 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 50000 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 40000 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 40000 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 40000 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 39921 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 39767 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 35504 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 25000 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 24952 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 24754 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 22814 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 16698 WIRE SUB-SAHARAN AFRICA TRANSPARENCY & ACCOUNTABILITY PROJECT 5380 WIRE 0 28 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: GRANT RECIPIENTS HAVE DELIVERABLES BASED ON AGREEMENTS WITH R4D ON THE SCOPE OF THE WORK. 0 SAVE THE CHILDREN FEDERATION INC 54 WILSON ROAD WESTPORT CT 06880 060726487 501(C)(3) 40000 TRANSPARENCY & ACCOUNTABILITY PROJECT 1 0 X X X 0 0 0 0 0 0 0 1 0 DAVID DE FERRANTI 311250 0 30000 0 2210 0 12500 0 1355 0 357315 0 0 0 SHIRLENE ARCHER 132500 0 9125 0 100 0 7086 0 7790 0 156601 0 0 0 KANIKA BAHL 262500 0 13800 0 162 0 12500 0 1368 0 290330 0 0 0 NICHOLAS BURNETT 290000 0 13800 0 1901 0 12500 0 1595 0 319796 0 0 0 ROBERT M HECHT 290000 0 13800 0 1238 0 12500 0 1595 0 319133 0 0 0 GINA M LAGOMARSINO 275000 0 13800 0 243 0 12500 0 1473 0 303016 0 0 0 WILLIAM M MAKINEN 240625 0 13800 0 1687 0 12500 0 11392 0 280004 0 0 0 AMANDA FOLSOM 136200 0 6760 0 93 0 7153 0 6269 0 156475 0 0 0 COURTNEY TOLMIE 135200 0 9760 0 83 0 7252 0 4679 0 156974 0 0 0 PART I, LINE 7 NICHOLAS BURNETT, PRINCIPAL/MANAGING DIRECTOR, KANIKA BAHL, PRINCIPAL/MANAGING DIRECTOR, ROBERT M. HECHT, PRINCIPAL/MANAGING DIRECTOR, GINA M. LAGORMARSINA, PRINCIPAL/MANAGING DIRECTOR, MARTIN MAKINEN, PRINCIPAL/MANAGING DIRECTOR, COURTNEY TOLMIE, PROGRAM OFFICER, ALL RECEIVED BONUSES WHICH WERE BASED ON REVIEW OF THEIR PERFORMANCES. FORM 990, PART VI, SECTION B, LINE 11 THE FEDERAL FORM 990 IS REVIEWED BY THE AUDIT COMMITTEE WITH THE TAX PREPARER AND THEN FORWARDED TO THE FULL BOARD OF DIRECTORS FOR FINAL REVIEW PRIOR TO FILING WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C THE BOARD OF DIRECTORS APPROVED A CONFLICT OF INTEREST POLICY AT THEIR OCTOBER 28, 2009 MEETING. THE BOARD MEMBERS REVIEW THE CONFLICT OF INTEREST POLICY ANNUALLY. TO ENSURE THE RESULTS FOR DEVELOPMENT INSTITUTE OPERATES IN A MANNER CONSISTENT WITH CHARITABLE PURPOSES AND DOES NOT ENGAGE IN ACTIVITIES THAT COULD JEOPARDIZE ITS TAX-EXEMPT STATUS, PERIODIC REVIEWS SHALL BE CONDUCTED. THE PERIODIC REVIEWS SHALL, AT A MINIMUM, INCLUDE THE FOLLOWING SUBJECTS: WHETHER COMPENSATION ARRANGEMENTS AND BENEFITS ARE REASONABLE, BASED ON COMPETENT SURVEY INFORMATION, AND THE RESULT OF ARM'S LENGTH BARGAINING, AND WHETHER PARTNERSHIPS, JOINT VENTURES, AND ARRANGEMENTS WITH MANAGEMENT ORGANIZATIONS CONFORM TO R4D'S WRITTEN POLICIES, ARE PROPERLY RECORDED, REFLECT REASONABLE INVESTMENT OR PAYMENTS FOR GOODS AND SERVICES, FURTHER CHARITABLE PURPOSES AND DO NOT RESULT IN INUREMENT, IMPERMISSIBLE PRIVATE BENEFIT OR IN AN EXCESS BENEFIT TRANSACTION. IF 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 BOARD OF DIRECTORS REVIEWS AND APPROVES THE PRESIDENT'S COMPENSATION ON AN ANNUAL BASIS. THE BOARD OF DIRECTORS COMMISSIONED A REPORT FROM AN INDEPENDENT CONSULTANT IN 2009 TO ENSURE THE APPROPRIATENESS OF THE COMPENSATION LEVELS OF THE MANAGING DIRECTORS AND THE PRESIDENT. IN 2010 THE R4D MANAGEMENT UNDERTOOK A REVIEW OF AN INDEPENDENTLY PRODUCED COMPENSATION SURVEY OF OTHER NONPROFIT ORGANIZATIONS OF SIMILAR SIZE AND SCOPE TO R4D TO ENSURE THE APPROPRIATENESS OF THE COMPENSATION LEVELS OF ITS STAFF. ANNUALLY R4D MANAGEMENT REVIEWS THE SALARY OF ITS STAFF AND COMPENSATION OF R4D MANAGING DIRECTORS AND ALL STAFF SALARIES ARE APPROVED BY THE PRESIDENT. FORM 990, PART VI, SECTION C, LINE 19 R4D MAKES ITS GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY AVAILABLE TO THE PUBLIC UPON REQUEST. OTHER FEES FORM 990, PART IX, LINE 11G AGENCY TEMPORARIES: PROGRAM SERVICE EXPENSES 108,686. MANAGEMENT AND GENERAL EXPENSES 924. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 109,610. INTERN STIPENDS: PROGRAM SERVICE EXPENSES 34,758. MANAGEMENT AND GENERAL EXPENSES 295. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 35,053. CONSULTING: PROGRAM SERVICE EXPENSES 2,706,527. MANAGEMENT AND GENERAL EXPENSES 23,000. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,729,527. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: LOSS ON RETURN OF GRANT FUNDS -804,214. RECOVERY OF PRIOR YEAR GRANTS 250,000.