2011-10-21T11:04:57-05:00 2010-12-31 RAFFA PC 1899 L STREET NW SUITE 900 WASHINGTON DC 20036 990 2010-01-01 840399006 THE ASPEN INSTITUTE ASPE 2027361074 ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 DOLORES GORGONE 2027361074 2011-10-21 1 FRANK H SMITH 2028225000 2011-10-21 2010 2016-03-07 17:11:31Z WALTER ISAACSON ONE DUPONT CIRCLE NW NO 700 WASHINGTON DC 200361133 247595926 0 X WWW.ASPENINSTITUTE.ORG X 1949 CO VALUES-BASED LEADERSHIP IN NEUTRAL AND BALANCED VENUE FOR DISCUSSING CRITICAL ISSUES. 69 69 285 40 8703285 -2396324 46041356 49399174 19726376 18696816 636598 642091 149678 357611 66554008 69095692 4005088 2966536 0 0 22905859 25059549 0 0 1539203 37652819 38040955 64563766 66067040 1990242 3028652 164089518 170674815 12037246 10377863 152052272 160296952 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 28755376 2489692 2621837 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. 13398829 0 0 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. 4384668 3920 5458891 PUBLIC PROGRAMS: THE INSTITUTE'S PUBLIC PROGRAMS 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. 2862262 0 143400 GLOBAL LEADERSHIP NETWORK 1400683 0 1788879 SEMINARS 900375 27559 168054 OTHER RESTRICTED PROGRAMS 5163320 27559 2100333 51702193 1 1 0 1 0 0 0 0 1 1 1 0 0 1 1 1 0 0 0 1 1 0 0 1 0 0 1 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 477 0 1 285 1 1 1 0 0 0 0 0 0 0 0 0 X 69 69 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 MO MS NH NJ NM NY NC ND OH PA OR OK RI SC 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 HENRY E CATTO 0.30 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 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 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 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 SINDEY 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 OTARO KOBAYASHI 0.30 X 0 0 0 DAVID H KOCH 0.30 X 0 0 0 ANN MCLAUGHLIN KOROLOGOS 0.30 X 0 0 0 TIMOTHY K KRAUSKOPF 0.30 X 0 0 0 ELISABETH LULIN 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 ELEANOR MERRILL 0.30 X 0 0 0 KARLHEINZ MUHR 0.30 X 0 0 0 CLARE MUNANA 0.30 X 0 0 0 ELINOR BUNIN MUNROE 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 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 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 BEATRICE W WELTERS 0.30 X 0 0 0 ALICE YOUNG 0.30 X 0 0 0 WALTER ISAACSON 40.00 X 760425 0 55818 AMY MARGERUM 40.00 X 304448 0 54921 ELLIOT GERSON 40.00 X 306497 0 53279 DOLORES GORGONE 40.00 X 199927 0 32150 PETER A REILING 40.00 X 299345 0 55799 SUSAN SHERWIN 40.00 X 248706 0 50686 RICHARD CLARK 40.00 X 344586 0 50702 MARY ROBINSON 40.00 X 347152 0 51236 CHARLES FIRESTONE 40.00 X 266562 0 50704 MARVIN EDWARDS 40.00 X 255075 0 46165 JANE WALES 40.00 X 317574 0 26895 3650297 0 528355 69 0 1 0 SHEILA A BROWN 1 TOWER HILL ROAD BOW NH 03304 PROGRAM CONSULTANT 206352 SPITFIRE STRATEGIES LLC 1800 M STREET NW SUITE 300 WASHINGTON DC 20036 PROGRAM CONSULTANT 144655 I THREE GRAPHIC 23400 TWO RIVERS RD SUITE 48 BASALT CO 81621 WEB DESIGN 129903 JAMES PICKUP 2916 RICHMOND LANE ALEXANDRIA VA 22305 LEGAL CONSULTING 120000 FRANMARIE KENNEDY 3303 WATER ST NW APT 4N WASHINGTON DC 20007 PROGRAM CONSULTANT 110000 12 1896413 1231098 46271663 2341062 49399174 CONF./FACILITY FEES 531390 8515755 8515755 SEMINAR FEES 900099 5300110 5300110 CONTRACT REVENUE 900099 4687683 4687683 MEMBERSHIP FEES 900099 154585 154585 BOOK SALES 900099 38683 38683 18696816 567534 -2015 569549 178001103 88440 177920232 94754 80871 -6314 74557 74557 227376 1896413 485248 -257872 -257872 OTHER INCOME 900099 223581 223581 SUBLEASE INCOME 900099 202357 202357 ADVERTISING INCOME 541800 189545 189545 615483 69095692 10181061 8703285 812172 2100816 2100816 420355 420355 445365 445365 2422001 282417 1840192 299392 17304542 13467305 3343686 493551 1757928 1412879 299885 45164 2343895 1767298 489273 87324 1231183 900995 278986 51202 232689 41105 191584 134299 11994 122305 21552 21552 6425970 6172534 216152 37284 431292 395132 35117 1043 1519337 955231 482182 81924 983050 518039 447401 17610 2457635 1833533 596127 27975 8029207 7449536 465155 114516 1779103 1623894 121007 34202 3566888 3566888 241491 275 241216 CONTRACTED SERVICES 11393968 11393968 BAD DEBT 305801 101723 8760 195318 OTHER TAXES/FEES 287923 252738 141 35044 REFRESH/AWARDS/CONTR. 122926 86408 27584 8934 BOOKS AND PUBLICATIONS 66876 53505 13088 283 40948 15148 17363 8437 66067040 51702193 12825644 1539203 13718 15237 10127493 8394187 29616462 24701726 1281346 1085456 96834 97936 510267 489754 90550856 31184398 55087651 59366458 13979515 22834730 53224140 53473260 152092 216071 164089518 170674815 4456276 3923553 3358209 713504 2660443 3717684 1562318 2023122 12037246 10377863 X 72607975 85844583 55725346 49067431 23718951 25384938 152052272 160296952 164089518 170674815 X 3028652 5216028 X 0 1 1 X 0 X 45153965 54098271 45660759 46041356 49443174 240397525 45153965 54098271 45660759 46041356 49443174 240397525 20305074 220092451 939227 657132 755293 574674 769891 3696217 233666 274931 286354 324107 235057 1354115 245447857 73685629 0.89670 0.89130 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 9987 0 0 9987 0 37422020 4218614 3375615 1533038 43483211 28840212 5059542 5032286 1510020 37422020 39213501 2297746 -7132796 5538239 28840212 0.29530 0.58380 0.12090 0 0 10627664 10627664 66586253 21618024 44968229 195740 176357 19383 5248215 3487372 1760843 7892984 5902645 1990339 59366458 PRIVATE EQUITY FUNDS 53134462 F INVESTMENT CONTRACT 338798 F 53473260 CAPITAL LEASE OBLIGATIONS 376097 DEFERRED COMPENSATION 1647025 2023122 69095692 66067040 3028652 5216028 5216028 8244680 74987882 5216028 212466 5428494 69559388 21552 -485248 -463696 69095692 66743202 212466 212466 66530736 21552 -485248 -463696 66067040 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: THE INSTITUTE PERFORMED AN EVALUATION OF UNCERTAIN TAX POSITIONS FOR THE YEAR ENDED DECEMBER 31, 2010, 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 XII, LINE 4B - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES -485,248. PART XIII, LINE 4B - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES -485,248. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 31061 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 46071 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 1176902 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 272371 NORTH AMERICA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 397547 SOUTH AMERICA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 5624 SOUTH ASIA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 27127 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 378398 0 0 0 2335101 0 2335101 EUROPE (INCLUDING ICELAND & GREENLAND) WORKING WITH COMPANIES TO ADOPT HUMAN RIGHTS POLICIES. 30000 WIRE NORTH AMERICA CAPACITY BUILDING IN THE FINANCIAL MARKETPLACE. 60000 WIRE SOUTH ASIA STRENGTHEN THE EMPLOYMENT ASPECTS OF LIBERIA'S PROVERTY REDUCTION STRATEGY. 21916 WIRE SUB-SAHARAN AFRICA ENHANCING WOMEN: ECONOMIC EMPOWERMENT FOR SELF-RELIANCE. 15000 WIRE SUB-SAHARAN AFRICA ENHANCE THE DEMOCRATIC CHARACTER AND TRANSFORM THE GENDER PROFILE OF ITS NATIONAL UNION TO REFLECT A HIGH DEGREE OF GENDER EQUALITY. 80000 WIRE SUB-SAHARAN AFRICA TO ADVANCE MATERNAL HEALTH AND FAMILY PLANNING POICY IN THE "MINISTERIAL LEADERSHIP INITIATIVE FOR GLOBAL HEALTH". 163449 WIRE SUB-SAHARAN AFRICA DEVELOPMENT OF CORPORATE GOVERNANCE TOOLKIT FOR SGB'S IN EAST AFRICA. 55000 WIRE SOUTH ASIA THE PRIZE AIMS TO GALVANIZE EFFORTS TO ADDRESS THE FOREMOST SOCIAL, ECONOMIC AND POLITICAL CHALLENGES OF OUR TIME BY RECOGNIZING THE BEST OF THE EXCEPTIONAL LEADERSHIP PROJECTS. 10000 WIRE EAST ASIA AND THE PACIFIC THE PRIZE AIMS TO GALVANIZE EFFORTS TO ADDRESS THE FOREMOST SOCIAL, ECONOMIC AND POLITICAL CHALLENGES OF OUR TIME BY RECOGNIZING THE BEST OF THE EXCEPTIONAL LEADERSHIP PROJECTS. 10000 WIRE 0 9 0 0 0 0 0 0 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. SUMMER BENEFIT 548434 474434 74000 5515 560 157330 ANNUAL DINNER 1289543 1189718 99825 8008 67533 225251 2 285812 232261 53551 7784 13267 2123789 1896413 227376 13523 75877 395848 485248 -257872 1 ACCION NEW MEXICO 20 FIRST PLAZA NW SUITE 417 ALBUOUEROUE NM 87102 060646973 501(C)(3) 25500 TO IMPLEMENT A SET OF ORGANIZATIONAL DEVELOPMENT ACTIVITIES TO SUPPORT SCALE GOALS AND PARTICIPATE IN THE SCALE ACADEMY FOR MICROENTERPRISE DEVELOPMENT. ACCION USA 57 ROLAND STREET SUITE 300 BOSTON MA 02130 330620415 501(C)(3) 29000 TO IMPLEMENT A SET OF ORGANIZATIONAL DEVELOPMENT ACTIVITIES TO SUPPORT SCALE GOALS AND PARTICIPATE IN THE SCALE ACADEMY FOR MICROENTERPRISE DEVELOPMENT. APPALACHIAN CENTER FOR ECONOMIC NETWORKS INC 94 COLUMBUS ROAD ATHENS OH 45701 311129632 501(C)(3) 25000 TO IMPLEMENT A SET OF ORGANIZATIONAL DEVELOPMENT ACTIVITIES TO SUPPORT SCALE GOALS AND PARTICIPATE IN THE SCALE ACADEMY FOR MICROENTERPRISE DEVELOPMENT. ASSOCIATION FOR ENTERPRISE OPP 1601 N KENT STREET SUITE 1101 ARLINGTON VA 22209 232689714 501(C)(3) 45000 TO SUPPORT PARTICIPATION IN THE IMPLEMENTATION OF THE SCALE ACADEMY FOR MICROENTERPRISE DEVELOPMENT. CAPITAL IDEA 504 LAVACA AUSTIN TX 78701 931315010 501(C)(3) 100000 COURSES TO EMPLOYMENT: EDUCATION AND TRAINING SERVICES TO LOW INCOME ADULTS, AND EVALUATION ACTIVITIES CONDUCTED BY THE WORKFORCE STRATEGIES INITIATIVE. CENTER FOR CREATIVE LEADERSHIP PO BOX 26300 GREENSBORO NC 27438 237079591 501(C)(3) 90000 UNLOCKING LEADERSHIP CAPACITY IN THE SGB SECTOR. COMMUNITY CAREER DEVELOPMENT INC 3550 WILSHIEE BLM SUITE 500 LOS ANGELES CA 90010 311543695 501(C)(3) 100000 COURSES TO EMPLOYMENT: EDUCATION AND TRAINING SERVICES TO LOW INCOME ADULTS, AND EVALUATION ACTIVITIES CONDUCTED BY THE WORKFORCE STRATEGIES INITIATIVE. INSTITUTO DEL PROGRESO LATINO 2570 S BLUE ISLAND AVENUE CHICAGO IL 60608 030557778 501(C)(3) 100000 COURSES TO EMPLOYMENT: EDUCATION AND TRAINING SERVICES TO LOW INCOME ADULTS, AND EVALUATION ACTIVITIES CONDUCTED BY THE WORKFORCE STRATEGIES INITIATIVE. JUSTINE PETERSEN HOUSING & REINVESTMENT 1024 N GRAND BLW ST LOUIS MO 63107 050258882 501(C)(3) 29140 TO IMPLEMENT A SET OF ORGANIZATIONAL DEVELOPMENT ACTIVITIES TO SUPPORT SCALE GOALS AND PARTICIPATE IN THE SCALE ACADEMY FOR MICROENTERPRISE DEVELOPMENT. MERCY CORPS 45 SW ANKENY STREET PORTLAND OR 97204 911148123 501(C)(3) 199000 TO FUND THE COCOA SEEDS GARDEN REHABILITATION PROJECT AND EXPLORE HOW A DECENT WORK APPROACH COULD BE INCORPORATED INTO COCOA PRODUCTION. MOUNTAIN BIZWORKS 153 S LEXINGTON AVENUE ASREVILLE NC 28801 232048721 501(C)(3) 30000 TO IMPLEMENT A SET OF ORGANIZATIONAL DEVELOPMENT ACTIVITIES TO SUPPORT SCALE GOALS AND PARTICIPATE IN THE SCALE ACADEMY FOR MICROENTERPRISE DEVELOPMENT. NORTHERN VIRGINIA FAMILY SERVICE 10455 WHITE GRANIT DRIVE STE 100 OAKTON VA 22124 540791977 501(C)(3) 100000 COURSES TO EMPLOYMENT: EDUCATION AND TRAINING SERVICES TO LOW INCOME ADULTS, AND EVALUATION ACTIVITIES CONDUCTED BY THE WORKFORCE STRATEGIES INITIATIVE OPPORTUNITY FUND 112 WEST SAINT JOHN STREET SAN JOSE CA 95114 850417348 501(C)(3) 27280 TO IMPLEMENT A SET OF ORGANIZATIONAL DEVELOPMENT ACTIVITIES TO SUPPORT SCALE GOALS AND PARTICIPATE IN THE SCALE ACADEMY FOR MICROENTERPRISE DEVELOPMENT. PACIFIC COMMUNITY VENTURES INC 51 FEDERAL ST SAN FRANSISCO CA 94107 770485877 501(C)(3) 31000 CONDUCT RESEARCH AND PROVIDE AN UPDATE ON THE BALTIMORE FUND. PUBLICIPRIVATE VENTURES 2001 MARKET STREET SUITE 600 PHILADELPHIA PA 19103 341018992 501(C)(3) 42000 FOR WORKING IN PARTNERSHIP WITH WORKFORCE STRATEGIES INITIATIVE ON THE SIXTH CLASS OF SECTOR SKILLS ACADEMY. SANTA CLARA UNIVERSITY 500 EL CAMINO REAL SANTA CLARA CA 95053 941156617 501(C)(3) 50000 TO SUPPORT THE PROPOSAL "HORIZONTAL AGGREGATION OF CAPITAL TO THE GLOBAL SGB SECTOR". WORKFORCE DEVELOPMENT COUNCIL SEATTLE KING COUNTY 2003 WESTERN AVENUE SEATTLE WA 98121 912051978 501(C)(3) 100000 COURSES TO EMPLOYMENT: EDUCATION AND TRAINING SERVICES TO LOW INCOME ADULTS, AND EVALUATION ACTIVITIES CONDUCTED BY THE WORKFORCE STRATEGIES INITIATIVE. SHORECAP EXCHANGE CORPORATION 2230 S MICHIGAN AVE CHICAGO IL 60616 300199985 501(C)(3) 56000 SMALL BUSINESS FINANCE NETWORK. SNV US LLC 1889 F ST NW 2ND FLOOR WASHINGTON DC 20006 264026863 N/A 70000 CAPACITY BUILDING IN THE SGB SECTOR. WESST CORP 414 SILVER SW ALBUQUERQUE NM 87102 383301514 501(C)(3) 20000 TO IMPLEMENT A SET OF ORGANIZATIONAL DEVELOPMENT ACTIVITIES TO SUPPORT SCALE GOALS AND PARTICIPATE IN THE SCALE ACADEMY FOR MICROENTERPRISE DEVELOPMENT. WORLD AFFAIRS COUNCIL OF NORTHERN CA 312 SUTTER STREET 2ND FLOOR SAN FRANSISCO CA 94108 941156356 N/A 40000 ENGAGING NEW PHILANTHROPISTS AND SUPPORTING THE ASPEN PHILANTHROPY GROUP. CARNEGIE FOUNDATION 51 VISTA LANE STANFORD CA 943058703 131623924 501(C)(3) 27772 TO COVER THE COST OF STAFF DESIGNATED TO SUPPORT THE DEVELOPMENT OF BACKGROUND MATERIALS, ANDTO UPDATETHE PROGRAM IMPROVEMENT MAP FOR THE "BUILDING AN EFFECTIVE TEACHING NETWORK" (BTEN) PROJECT. FOUNDATION FOR THE MID SOUTH 134 EAST AMUTE STREET JACKSON MS 39201 721151070 501(C)(3) 10000 RDPEI TECHNICAL ASSISTANCE FUND. GLEN COVE MANSION HOTEL & CONFERENCE CENTER 200 DOSORIS LANE GLEN COVE NY 11542 203677205 N/A 15241 SCHOLARSHIP INTERSECT FUND PO BOX 5356 NEW BRUNSWICK NJ 08903 364636828 501(C)(3) 5000 CAMPUS MICROFINANCE ALLIANCE CONFERENCE. MIDDLE EAST INVESTMENT INITIATIVE 500 8TH STREET NW WASHINGTON DC 20004 020760094 501(C)(3) 56250 CT-3229 GRANT TO FURTHER ECONOMIC EQUITY & DEV MIDDLE EAST. TECHNOSERVE 148 EAST AVE NORWALK CT 06851 132626135 501(C)(3) 75000 TRAINING MATERIALS AND FINANCIAL LITERACY TOOLKIT. VOICES FOR AMERICAS CHILDREN 1000 VERMONT AVE STUITE 700 WASHINGTON DC 20005 341479461 501(C)(3) 10000 ING FUNDING. MOTT COMMUNITY COLLEGE 1402 E COURT ST FLINT MI 48503 381914697 501(C)(3) 100000 COURSES TO EMPLOYMENT: EDUCATION AND TRAINING SERVICES TO LOW INCOME ADULTS, AND EVALUATION ACTIVITIES CONDUCTED BY THE WORKFORCE STRATEGEIS INITIATIVE. RODEL FOUNDATION 100 WEST 10TH ST SUITE 704 WILMINGTON DE 19801 911944585 501(C)(3) 193140 TO SUPPORT THE PARTICIPATION OF DELEGATIONS FROM ALL "RACE TO THE TOP" WINNERS TO GATHER TO SHARE BEST PRACTICES AND EXPLORE AREAS OF CROSS-COLLABORATION. 27 3 MARINE SPATIAL PLANNING 1 2900 KNIGHT COMMISSION "INFORMING COMMUNITIES" PAPER 7 127500 STUDY REPORT FOR NATIONAL STUDY OF ARTIST ENDOWED FOUNDATIONS. 1 8000 CASE COMPETITION 4 20200 AWF AWARD 1 5000 GRAUSTEIN GIFT 1 9300 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 X 1 1 X X X X X 1 0 0 0 0 0 0 0 0 WALTER ISAACSON 760425 0 0 0 0 0 36750 0 19068 0 816243 0 0 0 AMY MARGERUM 304448 0 0 0 0 0 36750 0 18171 0 359369 0 0 0 ELLIOT GERSON 306497 0 0 0 0 0 34206 0 19073 0 359776 0 0 0 DOLORES GORGONE 199927 0 0 0 0 0 29835 0 2315 0 232077 0 0 0 PETER A REILING 299345 0 0 0 0 0 36750 0 19049 0 355144 0 0 0 SUSAN SHERWIN 248706 0 0 0 0 0 36720 0 13966 0 299392 0 0 0 RICHARD CLARK 344586 0 0 0 0 0 36750 0 13952 0 395288 0 0 0 MARY ROBINSON 317296 0 0 0 29856 0 37347 0 13889 0 398388 0 0 0 CHARLES FIRESTONE 266562 0 0 0 0 0 36750 0 13954 0 317266 0 0 0 MARVIN EDWARDS 255075 0 0 0 0 0 36750 0 9415 0 301240 0 0 0 JANE WALES 317574 0 0 0 0 0 24500 0 2395 0 344469 0 0 0 PART I, LINE 1A OCCASIONALLY, THE INSTITUTE COVERS FIRST CLASS TRAVEL EXPENSES FOR THE EXECUTIVE VICE PRESIDENTS WHEN THEY UNDERGO LONG BUSINESS TRIPS TO FOREIGN COUNTRIES. THE INSTITUTE ALSO PAYS FOR THE PRESIDENT/CEO'S SOCIAL CLUB FEES, WHICH IS USED FOR BUSINESS PURPOSES. PART I, LINE 4A MARY ROBINSON, DIRECTOR OF EGI, RECEIVED A TOTAL SEVERANCE PAYMENT OF $29,856 FOR THE YEAR ENDED DECEMBER 31, 2010. X 1 1 FAIR MARKET VALUE X 41 402486 FAIR MARKET VALUE X 1 118575 FAIR MARKET VALUE X 1 1820000 ASSESSMENT 0 1 0 FORM 990, PART VI, SECTION A, LINE 4 DURING THE 2010 SPRING BOARD MEETINGS, THE INSTITUTE BOARD DECIDED BY A MAJORITY VOTE TO CHANGE THE MAXIMUM NUMBER OF MEMBERS ON THE EXECUTIVE COMMITTEE TO 18. FORM 990, PART VI, SECTION B, LINE 11 THE 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 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 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. FORM 990, PART VI, SECTION B, LINE 12C THE PURPOSE OF THE CONFLICT OF INTEREST POLICY IS TO PROTECT THE ASPEN INSTITUTE'S INTEREST WHEN IT IS CONTEMPLATING ENTERING INTO A TRANSACTION OR ARRANGEMENT THAT MIGHT BENEFIT THE PRIVATE INTEREST OF AN ASPEN OFFICER, 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 AND KEY EMPLOYEES. 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, OTHER OFFICERS, AND KEY EMPLOYEES 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. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 5,216,028.