2011-11-14T10:24:34-06:00 2010-12-31 RAFFA PC 1899 L STREET NW SUITE 900 WASHINGTON DC 20036 990 2010-01-01 300126510 CENTER FOR AMERICAN PROGRESS CENT 2026821611 1333 H STREET NW 10TH FLOOR WASHINGTON DC 20005 DEBORAH FINE 2026821611 2011-11-14 1 FRANK H SMITH 2028225000 2011-11-14 2010 2016-03-07 17:11:31Z NEERA TANDEN 1333 H STREET NW 10TH FLOOR WASHINGTON DC 20005 37445529 0 X WWW.AMERICANPROGRESS.ORG X 2002 DC NON-PARTISAN RESEARCH AND EDUCATION DEDICATED TO ADVANCING PROGRESSIVE POLICY IDEAS. 11 10 325 0 13711 10340 38187695 36517866 218025 172499 141508 49269 53707 59431 38600935 36799065 6971205 6980323 0 0 14092915 16050048 233540 71590 798892 10333646 10625167 31631306 33727128 6969629 3071937 35593855 41654746 3039703 5028656 32554152 36626090 X THE CENTER FOR AMERICAN PROGRESS IS A NONPARTISAN RESEARCH AND EDUCATIONAL INSTITUTE DEDICATED TO PROMOTING AND ADVANCING A STRONG, SECURE AND PROSPEROUS AMERICA THAT EXPANDS OPPORTUNITIES, EXTENDS OUR FREEDOMS AND ENSURES FAIRNESS. IT ALSO PROMOTES THE BROAD AND DIVERSE PRINCIPLES OF PROGRESSIVISM INCLUDING MODERATE AND LIBERAL VIEWPOINTS WHILE ENGAGING IN THE DEBATES OF THE DAY. 0 0 4900243 3775677 EXTERNAL RELATIONS: PROJECTS WERE UNDERTAKEN TO EDUCATE THE PUBLIC, POLICYMAKERS, OPINION LEADERS AND ADVOCATES; ANTICIPATE AND SHAPE THE NATIONAL DEBATE; AND CHALLENGE THE MEDIA TO COVER THE ISSUES THAT TRULY MATTER THROUGH A WIDE ARRAY OF DISSEMINATION CHANNELS, INCLUDING FAITH COMMUNITIES, CAMPUS ORGANIZATIONS, PRINT, BROADCAST, AND ONLINE MEDIA. 4135937 964000 66932 DOMESTIC POLICY: PROJECTS WERE CONDUCTED IN AREAS OF ENERGY AND THE ENVIRONMENT, BIOETHICS AND SCIENCE, CIVIL RIGHTS, EDUCATION, HEALTH CARE, IMMIGRATION, OPEN GOVERNMENT, POVERTY, AND WOMEN'S RIGHTS. 3970204 49533 50000 ECONOMIC POLICY: REPORTS AND STUDIES WERE CONDUCTED, ESPECIALLY TO RESPOND TO JOB CREATION AND BUILDING STRONG ECONOMIC GROWTH. TOPICS INCLUDED MARKETS AND REGULATION, CREDIT AND DEBT, THE FEDERAL BUDGET, THE GLOBAL ECONOMY, HOUSING, LABOR, POSTSECONDARY EDUCATION, RETIREMENT, TAX REFORM, AND TECHNOLOGY AND INNOVATION. 3861918 1550000 17365 COMMUNICATIONS 3573745 293566 100 ENOUGH! 2869001 6200 POLICY - INTERNATIONAL/NATIONAL SECURITY 2476102 ONLINE COMMUNICATIONS 1871175 147547 CAMPUS PROGRESS 1626410 200000 31902 POLICY - ENERGY AND ENVIRONMENT 1441719 EXECUTIVE OFFICE 836220 DEVELOPMENT 207301 CALIFORNIA OFFICE -379858 RENTAL EXPENSE PLUG 18383733 2191113 55567 31390117 1 1 0 1 0 0 0 0 0 1 0 0 0 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 0 0 0 0 0 0 0 0 0 1 258 0 1 325 1 1 1 0 0 0 0 1 1 0 0 0 0 X 11 10 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 CT FL GA IL KS KY ME MD MA MI MN MS RI NH NJ NM NY NC ND OH OK OR PA VA UT TN SC WA WV WI X JOSEPH W SMOLSKIS 2027416276 1333 H STREET NW 10TH FLOOR WASHINGTON DC 20005 MADELEINE ALBRIGHT 1.00 X 0 0 0 SENATOR TOM DASCHLE 1.00 X 0 0 0 RICHARD LEONE 1.00 X 0 0 0 PETER LEWIS 1.00 X 0 0 0 ARYEH NEIER 1.00 X 0 0 0 MARION SANDLER 1.00 X 0 0 0 TOM STEYER 1.00 X 0 0 0 S DONALD SUSSMAN 1.00 X 0 0 0 JOSE VILLARREAL 1.00 X 0 0 0 HANSJORG WYSS 1.00 X 0 0 0 JOHN PODESTA 40.00 X X 250292 0 23811 SARAH WARTELL 40.00 X 243156 0 20950 DEBORAH FINE 40.00 X 99146 0 11127 NEERA TANDEN 40.00 X 151543 0 22344 LAWRENCE J KORB 40.00 X 198946 0 19439 DAVID E HALPERIN 40.00 X 179998 0 26201 RALPH S LILLY 40.00 X 179306 0 11160 ANDREW J SHERRY 40.00 X 165451 0 24046 JOHN PRENDERGAST 40.00 X 157733 0 13296 1625571 0 172374 8 0 1 0 I-ACT 1732 AVIATION BLVD 138 REDONDO BEACH CA 90278 VIDEO BLOGGING SERVICES 201920 VANBROWNECOM LTD 22 FORESTERS WALK STAMFORD BRIDGE YORK UK CONSULTING SERVICES 195000 PETER D HART RESEARCH ASSOCIATES 1724 CONNECTICUT AVE NW WASHINGTON DC 20009 POLLING SERVICES 155000 STEPHEN BUNZL 165 E 56TH ST 2ND FLOOR NEW YORK NY 10022 CONSULTING SERVICES 116745 FORUM ONE COMMUNICATIONS 2200 MOUNT VERNON AVE ALEXANDRIA VA 22301 WEBSITE SERVICES 101124 5 887310 35630556 2497380 36517866 PROGRAM SERVICE INCOME 900099 172499 172499 172499 50936 50936 352851 379858 -27007 -27007 -27007 102466 104133 -1667 -1667 -1667 108540 887310 162473 -53933 -53933 OTHER INCOME 900099 67443 67443 OFFICE SHARING INCOME 900099 59217 59217 ADVERTISING REVENUE 541800 13711 13711 140371 36799065 172499 13711 94989 6980323 6980323 822367 643266 165441 13660 12640603 11574653 770716 295234 569465 524232 30800 14433 1062499 972313 68297 21889 955114 867083 64547 23484 209329 128593 80736 83874 150 83724 324 324 71590 71590 3256369 3024098 61850 170421 77223 76871 352 564241 329086 233824 1331 1503265 74546 1428719 1084020 1071782 153 12085 614308 533845 158 80305 750021 750021 80495 80495 MISCELLANEOUS EXPENSES 1655399 1014614 633507 7278 COMMISSIONED PAPERS 379197 379197 PUBLIC OPINION ANALYSIS 252600 252600 FURNITURE AND EQUIPMENT 113209 10512 102697 UBI TAX 1293 1293 2932029 -3019211 87182 33727128 31390117 1538119 798892 7764235 2312981 18517954 29820751 4709466 7020867 47550 104996 457621 457681 6163435 4396540 1436326 1766895 2499860 2480 160843 168095 35593855 41654746 1859335 3109211 22680 1157688 1919445 3039703 5028656 X 17119006 17381551 15435146 19244539 32554152 36626090 35593855 41654746 X 3071937 1000000 X 0 1 1 X 0 X 17396478 28073894 28045367 39187695 36517866 149221300 17396478 28073894 28045367 39187695 36517866 149221300 46557315 102663985 899732 513968 795621 565481 403787 3178589 126028 7684 6909 10170 9577 160368 7025 15639 25857 21895 130794 201210 152761467 1305815 0.67210 0.62590 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 51717 262361 314078 33339825 33653903 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 226305 701000 630085 314078 1871468 250000 250000 250000 250000 1000000 1500000 167087 100000 119100 51717 437904 2356991 1350535 1006456 1896782 1506708 390074 1909662 1539297 370365 1766895 TENANT DEPOSITS 21000 DEFERRED LEASE OBLIGATION 1898445 1919445 36799065 33727128 3071937 1000000 1000000 4071937 37341396 542331 542331 36799065 0 36799065 34269458 542331 542331 33727127 0 33727127 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: IN ACCORDANCE WITH ASC TOPIC 740, INCOME TAXES, THE CENTER HAS EVALUATED ITS INCOME TAX POSITIONS FOR THE YEARS ENDED DECEMBER 31, 2010 AND 2009, AND DETERMINED THAT THERE WERE NO MATERIAL UNCERTAIN TAX POSITIONS AND, ACCORDINGLY, THE CENTER HAS NOT RECOGNIZED ANY LIABILITY FOR UNRECOGNIZED INCOME TAX. PART XI, LINE 8 - OTHER ADJUSTMENTS: SPECIAL EVENTS EXPENSES PART XII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENTS EXPENSES 162,473. RENTAL EXPENSES 379,858. PART XIII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENTS EXPENSES 162,473. RENTAL EXPENSES 379,858. X X X X X X 1 THE BONNER GROUP INC 729 15TH STREET NW 3 WASHINGTON DC 200052105 GENERAL FUNDRAISING SERVICES 0 1440500 71590 1368910 1440500 71590 1368910 AL AK AZ AR CA CO CT DC FL GA IL KS KY ME MD MA MI MN MS MO NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI ANNUAL DINNER 995850 887310 108540 18700 162 143611 995850 887310 108540 18700 162 143611 162473 -53933 1 AL-TALIB NEWS MAGAZINE 308 WESTWOOD PLAZA 118 KERCKHOFF HALL LOS ANGELES CA 90024 951777979 501(C)(3) 5750 SUPPORT STUDENT PUBLICATION AMERICAN ENTERPRISE INSTITUTE 1150 SEVENTEENTH STREET NW WASHINGTON DC 20036 530218495 501(C)(3) 74000 SUPPORT CHARITABLE EDUCATIONAL ACTIVITIES ANTE UP FOR AFRICA 1112 MONTANA AVENUE SUITE 59 SANTA MONICA CA 90403 263736419 501(C)(3) 55100 SUPPORT CHARITABLE EDUCATIONAL ACTIVITIES ASIAN AMERICAN JUSTICE CENTER 1140 CONNECTICUT AVENUE NW WASHINGTON DC 20036 133619000 501(C)(3) 200000 SUPPORT CHARITABLE EDUCATIONAL ACTIVITIES CENTER FOR AMERICAN PROGRESS ACTION FUND 1333 H STREET NW 10TH FLOOR WASHINGTON DC 20005 300192708 501(C)(4) 5415677 SUPPORT CHARITABLE EDUCATIONAL ACTIVITIES CUTLER PUBLICATIONS-CIPHER 902 NORTH CASADE AVENUE COLORADO SPRINGS CO 80946 237085967 6500 SUPPORT STUDENT PUBLICATION ECONOMIC POLICY INSTITUTE 1333 H STREET NW 300 EAST TOWER WASHINGTON DC 20005 521368964 501(C)(3) 100000 SUPPORT EPI IMMIGRATION POLICY RESEARCH ETHOS MAGAZINE PO BOX EXECUTIVE OFFICE EMU 4 EUGENE OR 97403 481278531 6500 SUPPORT STUDENT PUBLICATION FINE PRINT PO BOX 15058 GAINESVILLE FL 32603 800220447 7500 SUPPORT STUDENT PUBLICATION IMMIGRATION WORKS FOUNDATION 1101 PENNSYLVANIA AVENUE SE 204 WASHINGTON DC 20003 263268040 501(C)(3) 100000 SUPPORT CHARITABLE EDUCATIONAL ACTIVITIES LEADERSHIP CONFERENCE 1629 K STREET NW 10TH FLOOR WASHINGTON DC 20006 237026895 501(C)(3) 125000 SUPPORT LCCREF'S IMMIGRATION EDUCATION ACTIVITIES MEDIA MATTERS FOR AMERICA 455 MASSACHUSETTS AVENUE NW SUITE 600 WASHINGTON DC 20001 470928008 501(C)(3) 350000 SUPPORT MMFA ENERGY COMMUNICATIONS NATIONAL COUNCIL OF LA RAZA 1126 16TH STREET NW WASHINGTON DC 20036 860212873 501(C)(3) 100000 SUPPORT NCLR IMMIGRATION POLICY RESEARCH NATIONAL IMMIGRATION LAW CENTER 3435 WILSHIRE BLVD 2850 LOS ANGELES CA 90010 954539765 501(C)(3) 75000 SUPPORT NCLR IMMIGRATION POLICY RESEARCH NEW JOURNAL PO BOX 202265 NEW HAVEN CT 06520 060849132 5750 SUPPORT STUDENT PUBLICATION NORTH BY NORTHWESTERN NFP 1424 FOREST AVENUE WILMETTE IL 60091 383777722 6000 SUPPORT STUDENT PUBLICATION PERSPECTIVE 2000 PENNINGTON ROAD EWING NJ 08628 042894336 5250 SUPPORT STUDENT PUBLICATION ROBERT H JACKSON CENTER 305 EAST FOURTH STREET JAMESTOWN NY 14702 161605121 501(C)(3) 15000 SPONSOR ANNUAL INTERNATIONAL HUMANITARIAN DIALOGS CONFERENCE UNIVERSITY OF NC AT CHAPEL HILL 5-40670 01 OFFICE OF SPONSORED RESEARCH PO BOX 402420 ATLANTA GA 303842420 566001393 50000 SUPPORT UNC HOUSING POLICY RESEARCH USA FOR UNHCR 1775 K STREET NW 290 WASHINGTON DC 20006 521662800 501(C)(3) 172566 SUPPORT SISTER SCHOOLS PROGRAM WAKE 1313 5TH STREET SE SUITE 331 MINNEAPOLIS MN 55414 200095537 5940 SUPPORT STUDENT PUBLICATION 12 9 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: CENTER FOR AMERICAN PROGRESS REQUIRES ANY GRANTEE ORGANIZATION TO REPRESENT, WARRANT AND AGREE: THAT IT WILL USE GRANT FUNDS SOLELY FOR PURPOSES CONSISTENT WITH CAP'S TAX-EXEMPT STATUS UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE; THAT NO PORTION OF GRANT FUNDS WILL BE USED DIRECTLY OR INDIRECTLY TO EXPRESSLY OR IMPLICITLY SUPPORT OR OPPOSE ANY CANDIDATE SEEKING ELECTION TO PUBLIC OFFICE OR PROVIDE A BENEFIT TO ANY POLITICAL PARTY OR CANDIDATE; THAT IT WILL ALLOW CAP STAFF OR REPRESENTATIVES TO CONDUCT EVALUATIONS AND AUDITS OF THE USE OF GRANT FUNDS, WHICH MAY INVOLVE VISITS TO OBSERVE, REVIEW AND DISCUSS ITS OPERATIONS, FINANCIAL RECORDS, AND OTHER MATERIALS CONNECTED WITH THE GRANTEE; AND THAT IT WILL SEND CAP FINAL FINANCIAL AND NARRATIVE REPORTS BY A DATE SPECIFIED IN THE ORIGINAL AWARD LETTER. CAP REQUIRES DONEE ORGANIZATIONS TO PROVIDE NARRATIVE AND FINANCIAL REPORTS THAT: ARE SIGNED BY AN OFFICER OF THE ORGANIZATION; DESCRIBE HOW THE FUNDS WERE SPENT AND WHAT WAS ACCOMPLISHED; AND PROVIDE A REASONABLY DETAILED ACCOUNT OF THE ACTIVITIES CONDUCTED BY THE GRANTEE IN PERFORMANCE OF THE AGREED UPON WORK. X X X X 0 0 0 0 0 0 0 0 0 JOHN PODESTA 250292 0 0 0 0 0 22526 0 1285 0 274103 0 0 0 SARAH WARTELL 243156 0 0 0 0 0 19452 0 1498 0 264106 0 0 0 NEERA TANDEN 151543 0 0 0 0 0 12123 0 10221 0 173887 0 0 0 LAWRENCE J KORB 198946 0 0 0 0 0 9947 0 9492 0 218385 0 0 0 DAVID E HALPERIN 179998 0 0 0 0 0 14400 0 11801 0 206199 0 0 0 RALPH S LILLY 179306 0 0 0 0 0 8965 0 2195 0 190466 0 0 0 ANDREW J SHERRY 165451 0 0 0 0 0 13236 0 10810 0 189497 0 0 0 JOHN PRENDERGAST 157733 0 0 0 0 0 7887 0 5409 0 171029 0 0 0 X 1 450 FMV X 12 1504891 FMV 1 0 0 0 FORM 990, PART VI, SECTION B, LINE 11 THE FINANCE DEPARTMENT WORKS DIRECTLY WITH AN INDEPENDENT ACCOUNTING FIRM TO PREPARE THE 990 ON BEHALF OF THE CORPORATION. THE FINANCE DEPARTMENT MANAGES THE PROCESS, WITH CLOSE COORDINATION WITH THE LEGAL DEPARTMENT. THE ACCOUNTING FIRM PROVIDES A DRAFT 990, WHICH IS REVIEWED AND COMMENTED ON BY FINANCE, LEGAL AND THE CORPORATE OFFICERS. THE COMPLETE 990 AND SUMMARY MATERIALS WERE PROVIDED TO THE AUDIT COMMITTEE OF THE BOARD FOR REVIEW AND CONSIDERATION ON BEHALF OF THE FULL BOARD. THE AUDIT COMMITTEE WAS OFFERED THE OPPORTUNITY TO DISCUSS THE MATERIALS WITH CORPORATION STAFF AND THE ACCOUNTING FIRM THAT PREPARED THE 990. THE AUDIT COMMITTEE APPROVED THE FORM 990 AND THE FULL BOARD RECEIVES THE APPROVED VERSION BEFORE IT IS FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C THE CORPORATION IS COMMITTED TO PREVENTING OUTSIDE FINANCIAL INTERESTS OF ITS BOARD MEMBERS, OFFICERS OR EMPLOYEES FROM INFLUENCING ITS ACTIVITIES. TO THAT END, IT HAS ADOPTED AND ENFORCES POLICIES TO PREVENT CONFLICTS OF INTEREST AND THE APPEARANCE OF CONFLICTS OF INTEREST, INCLUDING SEPARATE POLICIES GOVERNING (1) OFFICERS, DIRECTORS, AND KEY EMPLOYEES; AND (2) ALL EMPLOYEES. COMPLIANCE WITH POLICIES GOVERNING OFFICERS, DIRECTORS AND KEY EMPLOYEES OFFICERS, DIRECTORS AND KEY EMPLOYEES RECEIVE A COPY OF THE CONFLICT OF INTEREST POLICY ANNUALLY, AND ARE ASKED TO REVIEW THE POLICY AND SIGN AN ACKNOWLEDGEMENT AFFIRMING RECEIPT, REVIEW AND AGREEMENT TO COMPLY WITH THE POLICY, AS WELL AS UNDERSTANDING THAT THE CORPORATION IS A CHARITABLE ORGANIZATION. IN ADDITION, OFFICERS, DIRECTORS AND KEY EMPLOYEES ARE ASKED TO COMPLETE AN ANNUAL INDEPENDENCE QUESTIONNAIRE, WHICH SEEKS DISCLOSURE OF CERTAIN RELATIONSHIPS, ARRANGEMENTS AND TRANSACTIONS IN ORDER TO DETERMINE INDEPENDENCE AND THE EXISTENCE OF CONFLICTS OF INTEREST. THESE POLICIES DESCRIBE POTENTIAL CONFLICTS, PROVIDE MEANS FOR DISCLOSURE, AND PROVIDE PROCESSES FOR INVESTIGATING AND RESOLVING POTENTIAL CONFLICTS. FORM 990, PART VI, SECTION B, LINE 15 IT IS THE POLICY OF CAP THAT THE PRESIDENT SUBMITS HIS OR HER RECOMMENDATIONS FOR COMPENSATION OF NEWLY HIRED SENIOR MANAGERS AT CAP TO THE COMPENSATION COMMITTEE OF THE BOARD FOR ITS APPROVAL WHEN, AMONG OTHER THINGS, THE RECOMMENDED SALARY EQUALS OR EXCEEDS AN INFLATION ADJUSTED THRESHOLD. FOR FELLOWS, THE BOARD APPROVES A RANGE OF COMPENSATION, ADJUSTED ANNUALLY FOR INFLATION. SALARIES FOR HALF-TIME AND FULL-TIME FELLOWS AND FOR OTHER SALARIES ARE PROPORTIONAL TO THIS PAY SCALE. THE PRESIDENT SUBMITS RECOMMENDATIONS FOR ANY FELLOW TO BE COMPENSATED OUTSIDE OF THIS RANGE. THIS POLICY WAS ESTABLISHED IN ORDER TO PREVENT PAYING EXCESSIVE COMPENSATION TO EMPLOYEES. TO THIS END, COMPENSATION RECOMMENDATIONS FOR NEW SENIOR STAFF OR FELLOWS ABOVE THE APPLICABLE INFLATION ADJUSTED THRESHOLD ARE SUBMITTED TO THE COMPENSATION COMMITTEE. THE RECOMMENDATION INCLUDES A JOB DESCRIPTION, INFORMATION ABOUT THE QUALIFICATIONS OF THE CANDIDATE, AND INFORMATION ABOUT WHAT COMPARABLE ORGANIZATIONS ARE PAYING FOR SIMILAR SERVICES. THE COMPENSATION COMMITTEE WILL CONSIDER AND MAY APPROVE THESE RECOMMENDATIONS. THE COMMITTEE DOCUMENTS THE BASIS FOR ITS DECISION WITH A CONTEMPORANEOUS RECORD THAT IS KEPT IN THE CORPORATION'S BOOKS AND RECORDS. ONCE COMPENSATION IS APPROVED BY THE BOARD, THE PRESIDENT IS AUTHORIZED TO ADJUST THE SALARY LEVELS OF CERTAIN HIGHLY COMPENSATED EMPLOYEES AND FELLOWS WITHOUT APPROVAL BY THE COMPENSATION COMMITTEE WHEN (1) THE RELEVANT SUPERVISOR HAS COMPLETED AN EVALUATION OF THE EMPLOYEE'S OR FELLOW'S WORK AND IT WAS DETERMINED THAT HIS OR HER WORK "MET OR EXCEEDED EXPECTATIONS" FOR THAT POSITION; (2) THE PRESIDENT OR COO HAS REVIEWED RECENT DATA AS TO WHAT COMPARABLE ORGANIZATIONS ARE PAYING FOR SIMILAR SERVICES AND DETERMINED THAT THE ADJUSTED SALARY WOULD BE REASONABLE AND APPROPRIATE; (3) THE PRESIDENT OR COO HAS DETERMINED THAT THE ADJUSTMENT WOULD BE COMMENSURATE WITH OTHER HIGHLY COMPENSATED EMPLOYEES OR FELLOWS WITH SIMILAR RESPONSIBILITIES, AUTHORITY, AND PERFORMANCE WITHIN CAP; AND (4) THE SALARY INCREASE IS NOT MORE THAN 15% OF THE SENIOR STAFF OR FELLOW'S PER ANNUM SALARY, AND THAT THE TOTAL INCREASES OVER THREE YEARS NOT EXCEED 35%. THE COMPENSATION COMMITTEE IS COMPRISED OF INDEPENDENT DIRECTORS; ONLY MEMBERS WITHOUT A CONFLICT OF INTEREST VOTE FOR EACH RECOMMENDATION. THE OFFICERS AND KEY EMPLOYEES FOR WHICH THE COMPENSATION REVIEW AND APPROVAL PROCESS DESCRIBED ABOVE WAS USED AND THE MONTH AND YEAR IN WHICH SUCH PROCESS WAS LAST UNDERTAKEN FOR EACH SUCH POSITION IS AS FOLLOWS: PRESIDENT AND CEO, DECEMBER 2007; COO, APRIL 2010; TREASURER AND EVP, DECEMBER 2005; SVP FOR COMMUNICATIONS, DECEMBER 2007; SVP FOR EXTERNAL AFFAIRS, OCTOBER 2006; SVP FOR DEVELOPMENT, SEPTEMBER 2010; SENIOR FELLOW LAWRENCE KORB, OCTOBER 2003; EXECUTIVE DIRECTOR OF THE ENOUGH PROJECT, JUNE 2008. FORM 990, PART VI, SECTION C, LINE 19 CAP MAKES ITS GOVERNING DOCUMENTS, CONFLICTS OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC. CAP'S GOVERNING DOCUMENTS ARE INCLUDED IN ITS FORM 1023, APPLICATION FOR RECOGNITION OF EXEMPTION UNDER SECTION 501(C)(3). CHANGES TO ITS GOVERNING DOCUMENTS ARE FILED WITH ITS ANNUAL FORM 990. BOTH FORMS AND THE 990-T ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. CAP'S ANNUAL FORM 990 IS ALSO MADE AVAILABLE TO THE PUBLIC BY WAY OF THE ONLINE INFORMATION SERVICE, GUIDESTAR.ORG, AS WELL AS BY SOME OF THE STATES WHERE IT IS REQUIRED TO SUBMIT ITS 990 FOR STATE REGISTRATION. CAP'S AUDITED FINANCIAL STATEMENTS ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. CAP'S FINANCIAL STATEMENTS ARE AUDITED BY AN INDEPENDENT ACCOUNTANT ON AN ANNUAL BASIS. CAP'S AUDIT COMMITTEE, ACTING WITH DELEGATED AUTHORITY ON BEHALF OF THE FULL BOARD OF DIRECTORS, OVERSEES ALL ASPECTS OF THE CORPORATION'S FINANCIAL STATEMENT AUDIT. EACH YEAR, THE AUDIT COMMITTEE APPROVES THE ORGANIZATION'S AUDITOR. AT ANY STAGE OF THE AUDIT, THE AUDIT COMMITTEE HAS THE OPPORTUNITY TO MEET WITH THE AUDITOR WITH OR WITHOUT CAP MANAGEMENT OR STAFF PRESENT. AT THE CONCLUSION OF THE AUDIT, THE AUDIT COMMITTEE REVIEWS THE AUDIT REPORT, WHICH INCLUDES COMMUNICATIONS TO THE AUDIT COMMITTEE REQUIRED UNDER STATEMENT OF AUDITING STANDARDS #114. AFTER ITS REVIEW AND DISCUSSION WITS THE AUDITOR, THE AUDIT COMMITTEE VOTES TO ACCEPT OR REJECT THE AUDIT. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: PRIOR PERIOD ADJUSTMENTS: 1,000,000. SPECIAL EVENTS EXPENSES SCHEDULE D, PART XI, LINE 7 PRIOR PERIOD ADJUSTMENT TO RECORD AN UNCONDITIONAL CONTRIBUTION PROMISED TO THE CENTER IN 2009.