2012-12-18T09:51:01-06:00 2011-12-31 133385019 O'CONNOR DAVIES LLP 665 FIFTH AVENUE NEW YORK NY 10022 990 2011-01-01 383678458 NATIONAL SEPTEMBER 11 MEMORIAL & MUSEUM AT THE WORLD TRADE CENTER FOUNDATIONINC NATI 2123128800 ONE LIBERTY PLAZA 20TH FLOOR NEW YORK NY 10006 DAVID LANGFORD 2123128800 2012-12-18 1 MARK J PISZKO CPA P01402796 2122862600 2011 2016-02-24 21:20:13Z 911 MEMORIAL DAVID LANGFORD ONE LIBERTY PLAZA 20TH FLOOR NEW YORK NY 10006 85297635 0 X WWW.911MEMORIAL.ORG X 2003 NY CONSTRUCTION AND OPERATION OF THE NATIONAL SEPTEMBER 11 MEMORIAL AND MUSEUM AT THE WORLD TRADE CENTER SITE. THE ORGANIZATION OPERATES THE FACILITIES AS COMPLETED. THE MEMORIAL MUSEUM WILL BE AN AUTHORITATIVE SOURCE OF INFORMATION, LEARNING AND UNDERSTANDING OF THE 9/11 ATTACKS, THEIR PRECURSORS, AND ONGOING RAMIFICATIONS WITH EDUCATIONAL RESOURCES AND PROGRAMS AS A CORE COMPONENT OF PROGRAMMING FOR VISITORS. 48 48 253 248 0 0 87438036 78345395 0 0 710085 180494 1276634 3326225 89424755 81852114 307000 28864 0 0 6563215 10374589 48000 48000 4396027 5093958 25149565 12012173 35601018 77412582 46251096 626461940 689257137 41871246 56080875 584590694 633176262 X SEE SCHEDULE O 1 0 21342836 0 3995746 OPERATIONS:IN 2011, THE 9/11 MEMORIAL TRANSITIONED FROM A CONSTRUCTION SITE INTO AN OPERATING FACILITY WELCOMING MORE THAN A MILLION VISITORS BY THE END OF THE YEAR. ONE CHALLENGE TO ACHIEVING THIS GOAL WAS OPENING AND THEN RUNNING THE MEMORIAL WHILE SURROUNDED ON ALL FOUR SIDES BY ACTIVE WORLD TRADE CENTER SITE CONSTRUCTION. TO MANAGE VISITOR ACCESS AND OCCUPANCY, A TIMED-RESERVATION SYSTEM ("TRS") WAS INSTITUTED PROVIDING FREE VISITOR PASS RESERVATIONS TO BETTER FACILITATE AND ORGANIZE VISITATION. PASSES WERE MADE AVAILABLE VIA THE INTERNET OR IN-PERSON AT DESIGNATED OUTLETS. TO INSTITUTE SECURITY SCREENING, AS WELL AS TO MANAGE VISITATION, OFF-SITE FACILITIES WERE CONSTRUCTED ONE BLOCK SOUTH OF THE MEMORIAL. A SCREENING FACILITY WAS CREATED, AS WAS A ROOM DEDICATED TO 9/11 FAMILY MEMBERS, A SECOND RETAIL SPACE AND A STAFF-ONLY AREA. ADJACENT TO THESE AREAS, AN OUTDOOR CHECK-IN AREA WAS BUILT TO PROCESS VISITORS AND QUEUE THEM ON HIGH DEMAND DAYS. AN EXTERNAL CALL CENTER ACCOMPANIED THE LAUNCH OF THE TRS AND THEN TRANSITIONED INTO A SMALLER IN-HOUSE OPERATION THAT ALSO ISSUED DAY-OF PASSES AT THE PREVIEW SITE. THE PREVIEW SITE STAFFING MODEL OF PROVIDING VISITOR EDUCATION AND VISITOR SOUVENIR SALES WAS DUPLICATED IN THE VISITOR CENTER LOCATED AT THE END OF THE MEMORIAL VISITOR EXIT PATH. IN ORDER TO FACILITATE VISITOR SERVICES AT THE MEMORIAL, THE 9/11 MEMORIAL ASSEMBLED A SUBSTANTIAL STAFF CONSISTING OF FIELD SUPERVISORS AND VISITOR HOST PERSONNEL. ADDITIONALLY A LARGE VOLUNTEER CORPS HAS BEEN RECRUITED TO SUPPLEMENT THE DAILY WORK OF THE VISITOR SERVICES FIELD STAFF. THE OPERATIONS TEAM WILL CONTINUE TO GROW IN PREPARATION FOR THE MUSEUM OPENING. TO HELP RAISE AWARENESS ABOUT THE MEMORIAL AS WELL AS INFORM THE PUBLIC ABOUT HOW TO PLAN A VISIT TO THE MEMORIAL, THE 9/11 MEMORIAL LAUNCHED A PRO BONO PSA CAMPAIGN. DONATED MEDIA WAS SECURED FOR TELEVISION, RADIO, OUTDOOR, AND ONLINE PLACEMENT. IN ADDITION, A STREET SIGNAGE PROGRAM WAS CREATED TO HELP DIRECT VISITORS TO THE MEMORIAL'S ENTRANCE. 7374306 28864 MUSEUM:THE YEAR 2011 MARKED A PERIOD OF ADVANCING COMPLETION OF THE MUSEUM. THE PROJECT HAS MOVED INTO THE EXHIBITION FABRICATION PHASE WITH THE MEDIA PRODUCTION AND EXHIBITION FABRICATION FIRMS. CONSTRUCTION MANAGEMENT FOR THE MUSEUM'S MEMORIAL EXHIBITION AND INTERSTITIAL SPACES BEGAN, AS WELL AS PRODUCTION OF NUMEROUS MULTIMEDIA PROGRAMS FOR THE CORE EXHIBITIONS. THE CONSTRUCTION OF EXHIBIT CASEWORK COMMENCED WHILE LAYOUT OF THE MUSEUM'S CONTROL ROOMS AND EQUIPMENT SPECIFICATION WAS COMPLETED. EDUCATION ACTIVITIES DURING THE YEAR INCLUDED CONVENING TWO CURRICULUM WRITING GROUPS FROM THE NEW YORK CITY DEPARTMENT OF EDUCATION AND THE NEW JERSEY STATE HOLOCAUST COMMISSION, RESULTING IN THE PRODUCTION AND ONLINE DISSEMINATION OF MORE THAN 80 K-12 LESSON PLANS RELATING TO THE TEACHING OF 9/11 HISTORY. IN ADDITION, GUIDELINES FOR HOW TO TALK TO CHILDREN ABOUT THE 9/11 ATTACKS WERE POSTED TO THE MEMORIAL WEBSITE FOR USE BY PARENTS AND EDUCATORS IN ADVANCE OF THE 10TH ANNIVERSARY OF THE ATTACKS.MUSEUM STAFF CONTINUED INTENSIVE WORK ON EXHIBITION SCRIPT WRITING, EDITING AND REVIEW. IN ADDITION, THE FINAL SELECTION OF PHOTO AND VIDEO COMPONENTS REACHED SUBSTANTIAL COMPLETION, COUPLED WITH EXTENSIVE LICENSING ACTIVITY.A NUMBER OF MUSEUM INITIATIVES WERE UNDERTAKEN AND ACCOMPLISHED IN CONJUNCTION WITH THE 10TH ANNIVERSARY OF 9/11 AND THE OPENING OF THE MEMORIAL IN SEPTEMBER 2011. TWO SPECIAL EXHIBITIONS WERE MOUNTED, ONE ENTITLED "FROM MEMORY TO MEMORIAL," FEATURED AT THE 9/11 MEMORIAL PREVIEW SITE, AND THE SECOND, A TRAVELING EXHIBITION ENTITLED "MEMORY REMAINS: 9/11 ARTIFACTS AT HANGAR 17." THE LATTER EXHIBITION OPENED IN NEW YORK CITY AT THE INTERNATIONAL CENTER OF PHOTOGRAPHY, AND WAS ALSO PRESENTED AT THREE VENUES ABROAD STARTING IN AUGUST 2011: THE IMPERIAL WAR MUSEUM IN LONDON, THE CENTER FOR CONTEMPORARY CULTURE IN BARCELONA, AND THE CENTROCENTRO IN MADRID. IN ADDITION TO THESE EXHIBITION PROJECTS, MUSEUM STAFF SUPPORTED THE OPENING OF A NEW MEMORIAL VISITOR CENTER BY SELECTING AND INSTALLING FEATURED OBJECTS AND PHOTOGRAPHS FROM THE PERMANENT COLLECTION.THE MUSEUM PRODUCED THREE 10TH ANNIVERSARY-RELATED PUBLICATIONS. "A PLACE OF REMEMBRANCE: THE OFFICIAL BOOK OF THE NATIONAL SEPTEMBER 11 MEMORIAL" WAS PUBLISHED BY NATIONAL GEOGRAPHIC. A COMPANION BOOK TO THE "MEMORY REMAINS" EXHIBITION WAS ALSO PUBLISHED BY NATIONAL GEOGRAPHIC, AND ANOTHER BOOK, "ART FOR HEART," FEATURING CHILDREN'S ARTWORK AND POETRY CREATED IN THE AFTERMATH OF 9/11, WAS PUBLISHED BY ASSOULINE. THE ANNIVERSARY ALSO OCCASIONED A NUMBER OF PARTNERSHIP VENTURES, INCLUDING ONE WITH WNYC FOR A PRODUCTION OF THE "RADIO ROOKIES" SERIES FOCUSED ON YOUNG PEOPLE'S REFLECTIONS ON 9/11. THE PROGRAM RECEIVED A NUMBER OF ACCOLADES INCLUDING THE COLUMBIA DART AWARD AND THE SOCIETY OF PROFESSIONAL JOURNALISTS AWARD. A MAJOR INTERNATIONAL SYMPOSIUM, "IN THE TRACKS OF MEMORY," WAS OFFERED IN NOVEMBER 2011 BY A CONSORTIUM OF ORGANIZATIONS INCLUDING THE 9/11 MEMORIAL MUSEUM, NEW YORK UNIVERSITY, CNRS CENTER FOR INTERNATIONAL RESEARCH IN THE HUMANITIES AND SOCIAL SCIENCES, THE MEMORIAL DE CAEN, AND THE CULTURAL SERVICES OF THE FRENCH EMBASSY IN NEW YORK. ALSO IN CONJUNCTION WITH THE MEMORIAL'S OPENING, A VICTIM REMEMBRANCE COMPONENT WAS CREATED IN COLLABORATION WITH THE MUSEUM'S PARTNER, STORYCORPS, FOR THE NEWLY LAUNCHED MEMORIAL GUIDE MULTI-PLATFORM APP. THIS PROGRAM WAS SUBSEQUENTLY RECOGNIZED WITH A PEABODY AWARD. 0 DESIGN & CONSTRUCTION: THIS YEAR, THE 9/11 MEMORIAL SUCCESSFULLY OPENED TO THE PUBLIC. PLAZA CONSTRUCTION WAS COMPLETED IN ALL AREAS OPEN TO THE PUBLIC INCLUDING THE TWO REFLECTING POOLS (EACH ABOUT AN ACRE IN SIZE), THE BRONZE NAMES PARAPETS INSCRIBED WITH THE NAMES OF ALL THOSE LOST, AND THE SURROUNDING PLAZA LANDSCAPING INCLUDING 225 SWAMP WHITE OAK TREES AND THE "SURVIVOR TREE," A CALLERY PEAR TREE. STRUCTURAL STEEL, CONCRETE, AND EXTERIOR CLADDING FOR THE MUSEUM PAVILION WERE SUBSTANTIALLY COMPLETED. THE MUSEUM PAVILION ROOF WORK WILL CONTINUE INTO 2012. THE WEST VENT STRUCTURES AND CLADDING WERE ALSO COMPLETED THIS YEAR. THE EXHIBITION SPACES OF THE MUSEUM PROGRESSED AS WELL. INTERIOR FRAMING OF THE MUSEUM SPACES CONTINUED THIS YEAR AS WELL AS FRAMING OF THE HIGH CEILINGS IN THE EXHIBITION SPACES. MANY LARGE ARTIFACTS SUCH AS AN AMBULANCE, FIRE TRUCKS, AND WORLD TRADE CENTER STEEL DAMAGED ON 9/11 WERE DELIVERED TO THE SITE FROM A STORAGE HANGAR AT JFK AIRPORT AND PLACED IN THE MUSEUM SPACES. 28717142 1 1 0 1 0 0 0 1 0 0 1 0 0 1 1 1 1 0 0 0 0 0 0 1 1 0 0 1 0 1 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 1 35 0 1 253 1 0 0 0 0 0 1 1 0 0 0 0 X 48 48 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 AL AK AZ AR CA CO CT FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI X X MR DAVID LANGFORD CFO 2123128800 ONE LIBERTY PLAZA 20TH FLOOR NEW YORK NY 10006 MICHAEL R BLOOMBERG 2.50 X X 0 0 0 ANDREW M SENCHAK 2.50 X X 0 0 0 VIRGINIA S BAUER 2.50 X 0 0 0 DAVID BEAMER 2.50 X 0 0 0 PAULA GRANT BERRY 2.50 X 0 0 0 FRANK BISIGNANO 2.50 X 0 0 0 DEBRA BURLINGAME 2.50 X 0 0 0 JOHN P CAHILL 2.50 X 0 0 0 RUSSEL L CARSON 2.50 X 0 0 0 KENNETH I CHENAULT 2.50 X 0 0 0 KEATING CROWN 2.50 X 0 0 0 BILLY CRYSTAL 2.50 X 0 0 0 ROBERT DE NIRO 2.50 X 0 0 0 SAMUEL A DIPIAZZA JR 2.50 X 0 0 0 CHRISTINE A FERER 2.50 X 0 0 0 MAURICE R GREENBERG 2.50 X 0 0 0 DR VARTAN GREGORIAN 2.50 X 0 0 0 PATRICIA E HARRIS 2.50 X 0 0 0 WILLIAM B HARRISON JR 2.50 X 0 0 0 GERALD L HASSELL 2.50 X 0 0 0 ROBERT IGER 2.50 X 0 0 0 LEE A IELPI 2.50 X 0 0 0 MONICA IKEN 2.50 X 0 0 0 ROBERT WOOD JOHNSON IV 2.50 X 0 0 0 THOMAS S JOHNSON 2.50 X 0 0 0 ROBERT KASDIN 2.50 X 0 0 0 ANTHOULA KATSIMATIDES 2.50 X 0 0 0 PETER M LEHRER 2.50 X 0 0 0 HOWARD W LUTNICK 2.50 X 0 0 0 JULIE MENIN 2.50 X 0 0 0 IRA M MILLSTEIN 2.50 X 0 0 0 HOWARD MILSTEIN 2.50 X 0 0 0 HON PETER G PETERSON 2.50 X 0 0 0 EMILY K RAFFERTY 2.50 X 0 0 0 KEVIN M RAMPE 2.50 X 0 0 0 JON STEWART 2.50 X 0 0 0 JUDITH RODIN 2.50 X 0 0 0 THOMAS H ROGER 2.50 X 0 0 0 JANE ROSENTHAL 2.50 X 0 0 0 E JOHN ROSENWALD JR 2.50 X 0 0 0 AVI SCHICK 2.50 X 0 0 0 JERRY I SPEYER 2.50 X 0 0 0 CRAIG ROBERTS STAPLETON 2.50 X 0 0 0 ANNE M TATLOCK 2.50 X 0 0 0 DANIEL R TISHMAN 2.50 X 0 0 0 SETH WAUGH 2.50 X 0 0 0 JOHN C WHITEHEAD 2.50 X 0 0 0 JOHN E ZUCCOTTI 2.50 X 0 0 0 JOSEPH DANIELS 40.00 X 319466 0 46758 DAVID LANGFORD 40.00 X 187312 0 34189 ALLISON BLAIS 40.00 X 177251 0 23414 SALVATORE ADINOLFI 40.00 X 248414 0 21487 CATHY BLANEY 40.00 X 271579 0 46758 JAMES CONNORS 40.00 X 268944 0 20572 ALICE GREENWALD 40.00 X 313766 0 37405 THOMAS CANCELLIERE 40.00 X 196155 0 19500 NOELLE LILIEN 40.00 X 162145 0 14756 LAWRENCE MANNION 40.00 X 168109 0 17342 LUIS F MENDES 40.00 X 183765 0 38624 CAROLYN RASIC 40.00 X 186192 0 23553 2683098 0 344358 21 0 1 0 BOVIS LEND LEASE 200 PARK AVENUE 9TH FLOOR NEW YORK NY 10166 CONSTRUCTION MANAGEMENT 138619303 ACCENTURE LLP PO BOX 70629 CHICAGO IL 606730629 TECHNOLOGY CONSULTING 6652510 DAVIS BRODY BOND LLP 315 HUDSON STREET NEW YORK NY 10013 ARCHITECTURAL PLANNING 4473256 ANDREWS INTERNATIONAL INC PO BOX 417142 BOSTON MA 022417142 SECURITY SERVICES 2705318 ENVIRONMENTAL TREE & DESIGN INC 23544 DOONS ROAD TOMBALL TX 77375 TREE CARE & TRANSPLANT 2525143 66 4141730 53751297 20452368 1650165 78345395 187434 187434 67777 67777 6940 -6940 -6940 -6940 304155 4141730 1045521 -741366 -741366 6388806 2393060 3995746 3995746 OTHER INCOME 900099 2793 2793 MEDIA GUIDE FEES 900099 1275 1275 4068 81852114 3995746 0 -489027 28864 28864 1747414 924132 306534 516748 6943116 5324205 782510 836401 509722 375640 66482 67600 532459 431067 32200 69192 641878 351473 212619 77786 339526 299786 39740 126574 104315 13355 8904 114242 114242 244032 244032 48000 48000 1378572 1015430 167220 195922 1132715 507976 5310 619429 1249366 848771 135511 265084 1563599 1147222 316969 99408 1302798 1220697 15323 66778 363394 149959 56986 156449 7332 2350 3842 1140 9021917 8758078 146146 117693 521169 433157 41417 46595 CONTRACTED SECURITY SER 3094246 3072948 21298 CONTRACTED MAINTENANCE/ 1687659 1687659 PROGRAMMATIC EVENTS 1630207 1630207 DIRECT MAIL EXPENSE 1041776 112299 25753 903724 330441 290907 5690 33844 35601018 28717142 2487849 4396027 412594 2430101 110607290 31127202 92750296 65642193 4886 2396 423571 1681442 350215 1329446 328588050 10071554 1100939 318516496 420812149 268527861 626461940 689257137 41871246 55831473 107800 0 141602 41871246 56080875 X 546916540 608400185 37674154 24776077 584590694 633176262 626461940 689257137 X 46251096 2334472 X X 0 1 1 X 1 1 X 190537099 45970282 92680699 87438036 78345395 494971511 190537099 45970282 92680699 87438036 78345395 494971511 39308 494932203 4242424 3585868 1332950 766692 255211 10183145 900 4068 4968 505159624 10643786 0.97980 0.96410 X SCHEDULE A, PART IV, SUPPLEMENTAL INFORMATION: FORM 990; SCHEDULE A, PART II, LINE 10: EXPLANATION OF OTHER INCOME: OTHER INCOME CONSISTS OF MEDIA GUIDE FEES, TOTALING $900 FOR THE TAX YEAR 2010 AND $1,275 FOR THE TAX YEAR 2011. OTHER INCOME FOR THE 2011 TAX YEAR ALSO CONSISTS OF $2,600 AS REIMBURSEMENT OF EXPENSES, AND $193 IN MISCELLANEOUS REVENUE. TOTAL OTHER INCOME REPORTED FOR 2011 TOTALS $4,068. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 15421 0 1 244032 259453 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: IN 2011, THE NATIONAL SEPTEMBER 11TH MEMORIAL AND MUSEUM WORKED WITH A CONSULTANT TO DEVELOP A STRATEGY FOR THE PURPOSE OF SEEKING FEDERAL FUNDING TO SUPPORT THE MEMORIAL AND THE MUSEUM. X 0 316033369 7113411 308919958 4996307 1042330 3953977 6447738 1543850 4903888 1110636 371963 738673 318516496 CONSTRUCTION IN PROGRESS 268458364 INTELLECTUAL PROPERTY RIGHTS, NET OF ACCUM AMORTIZATION 69497 268527861 DEFERRED RENT 141602 141602 81852114 35601018 46251096 2334472 2334472 48585568 85534956 3675902 6940 3682842 81852114 0 81852114 36883538 1341430 6940 1348370 35535168 65850 65850 35601018 PART III, LINE 1A: THE VALUE OF THE ORGANIZATION'S COLLECTION IS NOT REFLECTED AS AN ASSET IN THE STATEMENT OF FINANCIAL POSITION, AND GIFTS OF COLLECTION ITEMS ARE EXCLUDED FROM REVENUE IN THE STATEMENT OF ACTIVITIES. PURCHASES OF COLLECTION ITEMS ARE RECORDED IN THE YEAR IN WHICH THE ITEMS WERE ACQUIRED AS DECREASES IN UNRESTRICTED NET ASSETS IN THE STATEMENT OF ACTIVITIES. PURSUANT TO THE ORGANIZATION'S COLLECTIONS AND MANAGEMENT POLICY, PROCEEDS FROM DEACCESSIONS ARE TO BE USED EXCLUSIVELY TO ACQUIRE OTHER ITEMS FOR THE COLLECTION AND WILL BE RECORDED AS UNRESTRICTED NET ASSETS DESIGNATED FOR ACQUISITIONS OF COLLECTION ITEMS. PART III, LINE 4: THE ORGANIZATION IS IN THE PROCESS OF ASSEMBLING A PERMANENT COLLECTION AND HAS INSTITUTED A COLLECTIONS MANAGEMENT POLICY TO DEFINE THE SCOPE AND INTELLECTUAL FRAMEWORK OF CONTENT ASSETS AND THE PROCEDURES BY WHICH THESE MATERIALS ARE ACCESSIONED, CATALOGUED AND PRESERVED. THROUGH THE LEADERSHIP OF THE BOARD AND STAFF, THE MEMORIAL STRIVES TO ESTABLISH, PRESERVE AND DOCUMENT PRIMARY RECORDS, MATERIAL EVIDENCE, SPOKEN TESTIMONY AND OTHER WIDE RANGING CULTURAL DOCUMENTATION BEARING ON THE EXPERIENTIAL AND TRANSFORMATIVE NATURE OF THE SEPTEMBER 11, 2001 TERRORIST ATTACKS, THE BOMBING OF THE WORLD TRADE CENTER ON FEBRUARY 26, 1993 AND THE HISTORY OF THE BUILDINGS THEMSELVES. THE MEMORIAL ALSO COLLECTS ARTIFACTS, SPOKEN REMEMBRANCES AND OTHER MATERIALS WHICH HONOR THE VICTIMS OF THE 9/11/01 AND 2/26/93 TERRORIST ATTACKS AND THEIR LEGACIES. THE COLLECTION IS MAINTAINED FOR USE IN THE PERMANENT EXHIBITION OF THE FUTURE MEMORIAL MUSEUM, AS WELL AS FOR TEMPORARY AND TRAVELLING EXHIBITIONS AND FOR LOANS TO OTHER ORGANIZATIONS, AND AS AN ON-LINE RESEARCH AND EDUCATIONAL TOOL TO BE USED BY THE PUBLIC AND BY SCHOLARS TO SUPPORT INTERNATIONAL RESEARCH AND PUBLICATIONS OF INTELLECTUAL MERIT. IN CONFORMITY WITH ACCOUNTING POLICIES GENERALLY FOLLOWED BY HISTORY AND ART MUSEUMS, THE VALUE OF THE ORGANIZATION'S COLLECTION IS NOT REFLECTED AS AN ASSET IN THE STATEMENT OF FINANCIAL POSITION, AND GIFTS OF COLLECTION ITEMS ARE EXCLUDED FROM REVENUE IN THE STATEMENT OF ACTIVITIES. PURCHASES OF COLLECTION ITEMS ARE RECORDED IN THE YEAR IN WHICH THE ITEMS WERE ACQUIRED AS DECREASES IN UNRESTRICTED NET ASSETS IN THE STATEMENT OF ACTIVITIES. PURSUANT TO MEMORIAL'S COLLECTIONS MANAGEMENT POLICY, PROCEEDS FROM DE-ACCESSIONS ARE TO BE USED EXCLUSIVELY TO ACQUIRE OTHER ITEMS FOR THE COLLECTION AND WILL BE RECORDED AS TEMPORARILY RESTRICTED NET ASSETS. ACQUISITIONS OF COLLECTION ITEMS: IN 2011, THE ORGANIZATION SPENT $65,850 ON ACQUISITIONS OF COLLECTION ITEMS. THESE ACQUISITIONS WERE PARTIALLY FUNDED BY CASH CONTRIBUTIONS THAT WERE RECEIVED IN 2010 AND RESTRICTED FOR THIS PURPOSE. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE ORGANIZATION RECOGNIZES THE EFFECT OF INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE MORE LIKELY THAN NOT TO BE SUSTAINED. MANAGEMENT HAS DETERMINED THAT THE ORGANIZATION HAD NO UNCERTAIN TAX POSITIONS THAT WOULD REQUIRE FINANCIAL STATEMENT RECOGNITION OR DISCLOSURE. THE ORGANIZATION IS NO LONGER SUBJECT TO EXAMINATION BY THE APPLICABLE TAXING JURSIDICTIONS FOR YEARS PRIOR TO DECEMBER 31, 2008. PART XII, LINE 2D - OTHER ADJUSTMENTS: RECLASSIFICATION: DISPOSAL OF FIXED ASSET 6,940. PART XIII, LINE 2D - OTHER ADJUSTMENTS: RECLASSIFICATION: DISPOSAL OF FIXED ASSET 6,940. PART XIII, LINE 4B - OTHER ADJUSTMENTS: RECLASSIFICATION: MUSEUM COLLECTION EXPENSE 65,850. X X X X X X X 1 THE LUKENS COMPANY 2800 SHIRLINGTON RD SUITE 900 ARLINGTON VA 22206 DIRECT MAIL CONSULTING/MANAGEMENT 0 1364616 1089777 274839 1364616 1089777 274839 AL AK AZ AR CA CO CT FL GA HI IL KS KY ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI BENEFIT DINNER 3589140 3345115 244025 252623 593838 BENEFIT BREAKFAST 782000 751870 30130 49996 110523 2 74745 44745 30000 28290 10251 4445885 4141730 304155 330909 714612 1045521 -741366 EXPLANATION OF FUNDRAISING PAYMENTS SCHEDULE G, PART I, LINE 2B, COLUMN (V) THE LUKENS COMPANY ("TLC") AND THE ORGANIZATION HAS A NON-EXCLUSIVE AGREEMENT FOR DIRECT RESPONSE MARKETING CONSULTATION AND MANAGEMENT, THE CREATION AND PRODUCTION OF DIRECT MAIL PACKAGES, PACKAGE INSERTS, SPACE ADVERTISEMENTS, TELEMARKETING CAMPAIGNS, DIRECT RESPONSE TELEVISION, AND INTERNET-BASED MARKETING PROGRAMS. TLC RECEIVED A MONTHLY RETAINER FEE OF $4,000 PER MONTH PLUS REIMBURSEMENT OF ALL MAILING, COPY CREATION, AND OTHER SERVICE FEES INCURRED UNDER THE CONTRACT AGREEMENT. THE ORGANIZATION DISTINGUISHES BETWEEN PAYMENT FOR CONSULTING FEES AND EXPENSE REIMBURSEMENT WITH TLC BASED ON SPECIFIC CONTRACT ARRANGEMENTS AND ITEMIZED INVOICING. IN ADDITION TO THE $48,000 OF CONSULTANT FEES PAID, TLC ALSO RECEIVED ADDITIONAL AMOUNTS OF $602,489 AND $439,288 AS REIMBURSEMENT FOR POSTAGE AND PRINTING EXPENSES INCURRED. 1 SOUND PORTRAIT PRODUCTIONS INC (STORY CORPS) 80 HANSON PLACE 2ND FLOOR BROOKLYN NY 11217 133753011 501(C)(3) 26500 N/A N/A TO FUND ORAL HISTORIES THROUGH THE "STORY CORPS" PROJECT COVERING 9/11 EVENTS. VOICES OF SEPTEMBER 11TH 161 CHERRY STREET NEW CANAAN CT 06840 161639299 501(C)(3) 2364 N/A N/A USED FOR COMPONENTS NEEDED FOR MEMORIAL EXHIBITION. 2 0 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: IN EACH CASE, THE ORGANIZATION REQUIRED AN AGREEMENT MANDATING SIGNIFICANT OVERSIGHT OF PROGRAM ACTIVITIES WHERE ORGANIZATION FUNDS WERE BEING PROVIDED. THE ORGANIZATION REQUIRED THESE RECIPIENTS TO SUBMIT REPORTS DOCUMENTING SPECIFIC PROGRAM OUTCOMES SUPPORTED BY THE GRANT AND GRANT FUNDS EXPENDED. X X X X 0 0 0 0 0 0 0 0 0 JOSEPH DANIELS 319466 0 0 0 0 0 24500 0 22258 0 366224 0 0 0 DAVID LANGFORD 187312 0 0 0 0 0 19278 0 14911 0 221501 0 0 0 ALLISON BLAIS 177251 0 0 0 0 0 16200 0 7214 0 200665 0 0 0 SALVATORE ADINOLFI 248414 0 0 0 0 0 12300 0 9187 0 269901 0 0 0 CATHY BLANEY 271579 0 0 0 0 0 24500 0 22258 0 318337 0 0 0 JAMES CONNORS 268944 0 0 0 0 0 20572 0 0 0 289516 0 0 0 ALICE GREENWALD 313766 0 0 0 0 0 24500 0 12905 0 351171 0 0 0 THOMAS CANCELLIERE 196155 0 0 0 0 0 19500 0 0 0 215655 0 0 0 NOELLE LILIEN 162145 0 0 0 0 0 14756 0 0 0 176901 0 0 0 LAWRENCE MANNION 168109 0 0 0 0 0 16850 0 492 0 185451 0 0 0 LUIS F MENDES 183765 0 0 0 0 0 16366 0 22258 0 222389 0 0 0 CAROLYN RASIC 186192 0 0 0 0 0 16247 0 7306 0 209745 0 0 0 X 1 X 22494 FAIR MARKET VALUE X 78444 FAIR MARKET VALUE X 1 247248 FAIR MARKET VALUE X 2 746339 FAIR MARKET VALUE X 5 22495 FAIR MARKET VALUE X TREES 1 127500 FAIR MARKET VALUE X EQUIPMENT 3 243185 FAIR MARKET VALUE X SOFTWARE 1 162460 FAIR MARKET VALUE 1 0 1 0 METHOD FOR DETERMINING NUMBER OF CONTRIBUTORS: PART I, COLUMN (B): THE ORGANIZATION IS REPORTING THE NUMBER OF CONTRIBUTORS IN PART I COLUMN (B). NON REPORTING OF REVENUE: PART I, LINE 33: THE VALUE OF THE ORGANIZATION'S COLLECTION IS NOT REFLECTED AS AN ASSET IN THE STATEMENTS OF FINANCIAL POSITION, AND GIFTS OF COLLECTION ITEMS ARE EXCLUDED FROM REVENUE IN THE STATEMENT OF ACTIVITIES. ORGANIZATION MISSION STATEMENT FORM 990, PART III, LINE 1 THE MEMORIAL MISSION: REMEMBER AND HONOR THE THOUSANDS OF INNOCENT MEN, WOMEN, AND CHILDREN MURDERED BY TERRORISTS IN THE HORRIFIC ATTACKS OF FEBRUARY 26, 1993 AND SEPTEMBER 11, 2001. RESPECT THIS PLACE MADE SACRED THROUGH TRAGIC LOSS. RECOGNIZE THE ENDURANCE OF THOSE WHO SURVIVED, THE COURAGE OF THOSE WHO RISKED THEIR LIVES TO SAVE OTHERS, AND THE COMPASSION OF ALL WHO SUPPORTED US IN OUR DARKEST HOURS. MAY THE LIVES REMEMBERED, THE DEEDS RECOGNIZED, AND THE SPIRIT REAWAKENED BE ETERNAL BEACONS, WHICH REAFFIRM RESPECT FOR LIFE, STRENGTHEN OUR RESOLVE TO PRESERVE FREEDOM, AND INSPIRE AN END TO HATRED, IGNORANCE AND INTOLERANCE. THE NATIONAL SEPTEMBER 11 MEMORIAL MUSEUM AT THE WORLD TRADE CENTER WILL BEAR SOLEMN WITNESS TO THE TERRORIST ATTACKS OF SEPTEMBER 11, 2001 AND FEBRUARY 26, 1993. THE MUSEUM WILL HONOR THE NEARLY 3,000 VICTIMS OF THESE ATTACKS AND ALL THOSE WHO RISKED THEIR LIVES TO SAVE OTHERS. IT WILL FURTHER RECOGNIZE THE THOUSANDS WHO SURVIVED AND ALL WHO DEMONSTRATED EXTRAORDINARY COMPASSION IN THE AFTERMATH. DEMONSTRATING THE CONSEQUENCES OF TERRORISM ON INDIVIDUAL LIVES AND ITS IMPACT ON COMMUNITIES AT THE LOCAL, NATIONAL AND INTERNATIONAL LEVELS, THE MUSEUM WILL ATTEST TO THE TRIUMPH OF HUMAN DIGNITY OVER HUMAN DEPRAVITY AND AFFIRM AN UNWAVERING COMMITMENT TO THE FUNDAMENTAL VALUE OF HUMAN LIFE. NEW PROGRAM SERVICES FORM 990, PART III, LINE 2 IN 2011, THE ORGANIZATION PREPARED FOR THE PUBLIC OPENING OF THE MEMORIAL, INCLUDING LAUNCHING A TIMED RESERVATIONS SYSTEM AND CREATING A VISITOR ENTRY PLAN, AMONG OTHER INITIATIVES. SINCE OPENING THE MEMORIAL ON SEPTEMBER 11TH, 2011 IN A CEREMONY FOR VICTIMS' FAMILIES AND THEN TO THE PUBLIC ON SEPTEMBER 12, 2011. ON THE MEMORIAL SIDE, THE ORGANIZATION HAS TRANSITIONED THE PRIMARY FOCUS OF ITS ACTIVITIES FROM PLANNING AND DEVELOPMENT TO PROVIDING VISITOR SERVICES, MAINTENANCE, SECURITY AND OPERATIONS OF THE MEMORIAL. INTENSIVE WORK CONTINUES ON THE DEVELOPMENT AND PLANS FOR OPENING THE MUSEUM. BY THE END OF 2011, OVER ONE MILLION VISITORS CAME TO THE MEMORIAL AND PEOPLE FROM ALL 50 STATES AND MORE THAN 100 COUNTRIES RESERVED VISITOR PASSES. FORM 990, PART VI, SECTION B, LINE 11 A DRAFT OF THE 990 IS SHARED ELECTRONICALLY AND IN PAPER FORM WITH THE AUDIT COMMITTEE AND FINANCE AND INVESTMENT COMMITTEE, AND EACH COMMITTEE REVIEWS AND APPROVES THE 990 IN ADVANCE OF FILING. PRIOR TO FILING, ELECTRONIC AND PAPER COPIES ARE ALSO PROVIDED TO THE FULL BOARD FOR REVIEW AND AN OPPORTUNITY TO ASK QUESTIONS. FORM 990, PART VI, SECTION B, LINE 12C THE NATIONAL SEPTEMBER 11 MEMORIAL & MUSEUM CURRENTLY HAS IN PLACE A CONFLICT OF INTEREST POLICY WHICH IT ACTIVELY MONITORS AND ENFORCES. THE BOARD CURRENTLY MANDATES THAT ALL EMPLOYEES AND THE GOVERNING BODY ANNUALLY SIGN A CONFLICT OF INTEREST QUESTIONNAIRE AND DISCLOSE ANY POTENTIAL OR ACTUAL CONFLICTS THAT MAY EXIST. THE SIGNED CONFLICT OF INTEREST QUESTIONNAIRE IS FILED ANNUALLY WITH THE SECRETARY OF THE MEMORIAL OR HER DESIGNEE WHO REVIEWS THE SIGNED ATTESTATIONS FOR POTENTIAL OR ACTUAL CONFLICTS EXPECTED TO OCCUR WITHIN THE FOLLOWING YEAR. IF A POTENTIAL OR ACTUAL CONFLICT OF INTEREST EXISTS ON THE PART OF A DIRECTOR OR OFFICER, DISCLOSURE SHALL BE MADE TO THE CHAIR(S) OF THE NOMINATING, GOVERNANCE AND COMPENSATION COMMITTEES. IN THE CASE OF ANY OTHER OFFICER OR EMPLOYEE, DISCLOSURE SHALL BE MADE TO THE OFFICER'S OR EMPLOYEE'S SUPERIOR, AS PROVIDED IN THE MEMORIAL'S EMPLOYEE MANUAL. IF AN ACTUAL CONFLICT EXISTS AND INVOLVES A PARTICULAR TRANSACTION THAT REQUIRES A VOTE OF THE BOARD OR A COMMITTEE OF THE BOARD, THE AFFECTED MEMBER OF MANAGEMENT OR THE GOVERNING BODY WILL NOT BE ENTITLED TO VOTE, DELIBERATE OR OTHERWISE USE HIS OR HER PERSONAL INFLUENCE ON THE MATTER IN QUESTION. FORM 990, PART VI, SECTION B, LINE 15 NATIONAL SEPTEMBER 11 MEMORIAL & MUSEUM HAS ESTABLISHED A WRITTEN COMPENSATION POLICY FOR THEIR COMPENSATION COMMITTEE TO FOLLOW IN ESTABLISHING THE COMPENSATIONS FOR THE PRESIDENT/CEO, TOP MANAGEMENT OFFICIALS, OTHER OFFICERS OR KEY EMPLOYEES. THE POLICY MANDATES THAT EXECUTIVE COMPENSATION BE PERIODICALLY REVIEWED BY THE COMPENSATION COMMITTEE AND THAT THE COMMITTEE SHOULD BE FREE OF CONFLICTS OF INTEREST. IN ADDITION, THE APPROVING COMPENSATION COMMITTEE REVIEWS APPROPRIATE AND ADEQUATE DATA TO DETERMINE THE REASONABLENESS OF COMPENSATION BEING CONSIDERED. THE COMPENSATION COMMITTEE USES A VARIETY OF INFORMATION AND STUDIES THAT ARE AVAILABLE TO DETERMINE THAT THE APPROPRIATE LEVEL OF COMPENSATION IS BEING PAID TO ITS EXECUTIVES. THE COMPENSATION COMMITTEE'S DECISION ON THE AMOUNT OF COMPENSATION PAID IS DOCUMENTED IN A CONTEMPORANEOUSLY WRITTEN FORMAT INCLUDING THE DATE OF THE DECISION, THE MEMBERS PRESENT DURING THE DECISION, THE FULL TERMS OF THE TRANSACTION THAT WAS APPROVED AND THE COMPARABLE DATA USED AND RELIED UPON TO MAKE THE DECISION. THE PROCESS WAS LAST UNDERTAKEN IN 2011. FORM 990, PART VI, SECTION C, LINE 19 NATIONAL SEPTEMBER 11 MEMORIAL & MUSEUM MAKES ITS FORM 990 AND CONFLICT OF INTEREST POLICY AVAILABLE FOR PUBLIC INSPECTION AS REQUIRED UNDER SECTION 6104 OF THE INTERNAL REVENUE CODE BY POSTING IT ON ITS WEBSITE. THE FINANCIAL STATEMENTS AND FORM 1023 ARE ALSO POSTED ON THE WEBSITE. THE FORM 990 IS ALSO AVAILABLE ON GUIDESTAR.ORG. IN ADDITION, FORMS 990 AND 1023 AS WELL AS THE FINANCIAL STATEMENTS ARE AVAILABLE UPON WRITTEN REQUEST AT ONE LIBERTY PLAZA, 20TH FL., NEW YORK, NY 10006 OR BY CALLING THE ORGANIZATION DIRECTLY AT 212-312-8800. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: DONATED SERVICES AND USE OF FACILITIES: 2,334,472. COMMITTEE OVERSIGHT OF THE AUDIT OF THE FINANCIAL STATEMENTS: FORM 990, PART XII, LINE 2C: THE ORGANIZATION HAS A COMMITTEE THAT ASSUMES RESPONSIBILITY FOR OVERSIGHT OF THE AUDIT OF ITS FINANCIAL STATEMENTS AND SELECTION OF AN INDEPENDENT ACCOUNTANT. THIS PROCESS DID NOT CHANGE FROM THE PRIOR YEAR. EXPLANATION OF FUNDRAISING EVENTS LOSS: FORM 990, PART VIII, LINE 8C AND FORM 990, SCHEDULE G, PART II, LINE 11: THE PROPER COMPLETION OF FORM 990 REQUIRES ORGANIZATIONS TO REPORT THE ACTIVITY FROM FUNDRAISING EVENTS THAT SUBSTANTIALLY FURTHER THE ORGANIZATION'S EXEMPT PURPOSE IN PART VIII, LINE 8C AND FORM 990, SCHEDULE G, PART II, LINE 11. FUNDRAISING EVENTS OFTEN GENERATE BOTH CONTRIBUTIONS AND INCOME, SUCH AS WHEN AN INDIVIDUAL PAYS MORE THAN THE RETAIL VALUE FOR THE GOODS OR SERVICES FURNISHED. DURING THE YEAR ENDED DECEMBER 31, 2011 THE MEMORIAL CONDUCTED FOUR SUCCESSFUL FUNDRAISING EVENTS GENERATING CONTRIBUTION REVENUE TOTALING $4,141,730. THIS CONTRIBUTION REVENUE IS REQUIRED TO BE REPORTED ON PART VIII, LINE 1C OF THE FORM 990 AS CONTRIBUTIONS FROM FUNDRAISING EVENTS PER THE IRS INSTRUCTIONS. THIS RESULTED IN A LOSS FROM FUNDRAISING EVENTS IN THE AMOUNT OF $741,366 BUT AN OVERALL NET GAIN OF $3,400,364.