2011-11-15T13:02:47-06:00 2010-12-31 O'CONNOR DAVIES MUNNS & DOBBINS LLP 60 EAST 42ND STREET NEW YORK NY 101653698 990 2010-01-01 237213592 THE FRANKLIN & ELEANOR ROOSEVELT INSTITUTE FRAN 2124449130 570 LEXINGTON AVENUE 18TH FLOOR NEW YORK NY 10022 GLEN WEINER 2124449130 2011-11-14 1 SANDERS DAVIES 2122862600 2010 2016-02-24 21:20:13Z GLEN WEINER 570 LEXINGTON AVENUE 18TH FLOOR NEW YORK NY 10022 33339603 0 X WWW.ROOSEVELTINSTITUTE.ORG X 1987 NY TO INFORM NEW GENERATIONS OF THE IDEALS, VALUES AND ACHIEVEMENTS OF FRANKLIN AND ELEANOR ROOSEVELT AND TO INSPIRE THE APPLICATION OF THEIR SPIRIT OF OPTIMISM AND INNOVATION TO THE SOLUTION OF CURRENT PROBLEMS THROUGH CONFERENCES AND OTHER EDUCATIONAL PROGRAMS, SUPPORT FOR THE FRANKLIN D. ROOSEVELT PRESIDENTIAL LIBRARY AND MUSEUM, AND THE GRANTING OF THE FOUR FREEDOMS MEDALS AND OTHER AWARDS ON AN ANNUAL BASIS. 33 32 34 0 0 0 5887897 21464602 0 0 -1209258 1560437 -165102 -198294 4513537 22826745 243291 242340 0 0 1384486 2144030 41443 164688 649441 3678915 13341728 5348135 15892786 -834598 6933959 23820239 35090716 383070 4213048 23437169 30877668 X SINCE ITS FORMATION IN 1987, THE ROOSEVELT INSTITUTE HAS BEEN DEVOTED TO INFORMING NEW GENERATIONS OF THE IDEALS AND ACHIEVEMENTS OF FRANKLIN AND ELEANOR ROOSEVELT. CONTINUED ON SCHEDULE OTHROUGH PROGRAMS, EVENTS, AND PUBLICATIONS, THE INSTITUTE HAS MADE LESSONS OF THE PAST RELEVANT FOR UNDERSTANDING TODAY'S CHALLENGES, WITH A RECOGNITION THAT SOME ROOSEVELT PRIORITIES - WHETHER FDR'S FOUR FREEDOMS OR ELEANOR ROOSEVELT'S UNIVERSAL DECLARATION OF HUMAN RIGHTS - ARE AS RELEVANT TODAY AS WHEN THEY WERE FIRST CONCEIVED. SINCE 2008, THE INSTITUTE HAS BEEN A HOME FOR A COLLEGE CAMPUS NETWORK OF PROGRESSIVE THINK TANK STUDENT ORGANIZATIONS. BASED IN WASHINGTON, D.C., THIS CAMPUS NETWORK HAD 80 PARTICIPATING COLLEGES BY 2010, WITH MORE THAN 8,000 COLLEGE STUDENTS AS MEMBERS. THESE YOUNG PEOPLE ENGAGE IMPORTANT QUESTIONS FOR PROGRESSIVES AND THE NATION IN DOMESTIC AND FOREIGN POLICY AT THE NATIONAL AND LOCAL LEVELS. THE INSTITUTE HAS OFFICES IN WASHINGTON, D.C., NYC, AND HYDE PARK, NY. 0 0 11085870 0 FDR FOUR FREEDOMS PARK, LLC:THE ROOSEVELT INSTITUTE SUPPORTS THE FRANKLIN D. ROOSEVELT FOUR FREEDOMS PARK. THIS PROJECT SEEKS TO BRING THE MEANING OF THE FOUR FREEDOMS TO MILLIONS OF NEW YORKERS AND CITIZENS OF THE WORLD COMMUNITY THROUGH THE CONSTRUCTION OF A MEMORIAL TO FDR'S FOUR FREEDOMS. DESIGNED BY THE RENOWNED ARCHITECT, LOUIS KAHN, THE MEMORIAL IS BEING BUILT ON THE SOUTHERN TIP OF ROOSEVELT ISLAND IN THE EAST RIVER JUST TO THE EAST OF THE UNITED NATIONS. 448300 62355 FDR LIBRARY:THE ROOSEVELT INSTITUTE PROVIDES PROGRAM SUPPORT TO THE FDR PRESIDENTIAL LIBRARY AND MUSEUM. AS PART OF THIS EFFORT, WE HELP SUPPORT THE FDR LIBRARY'S EDUCATIONAL PROGRAMS, WHICH BENEFITED 18,000 STUDENTS AND ROUGHLY 1,000 TEACHERS IN 2010; THE LIBRARY'S SPECIAL EXHIBITS GALLERY, WHICH IS VISITED BY AS MANY AS 100,000 PEOPLE PER YEAR, AND OTHER PROGRAMS. THESE PROGRAMS HELP CARRY THE LEGACY AND VISION OF FRANKLIN AND ELEANOR ROOSEVELT FORWARD FOR FUTURE GENERATIONS. 664630 108746 CAMPUS NETWORK:THE INSTITUTE SUPPORTS A NETWORK OF COLLEGE CAMPUS THINK TANKS ON OVER 80 CAMPUSES NATIONWIDE. THESE ROOSEVELT CHAPTER NETWORK ENTITIES ENCOURAGE STUDENTS TO GET INVOLVED AND USE THEIR ACADEMIC SKILL IN THE DESIGN OF PUBLIC POLICIES. MORE THAN 8,000 STUDENTS BELONGED TO THE NETWORK IN 2010. 1827846 71239 FOUR FREEDOMS CENTER:THE INSTITUTE SUPPORTS THE DEVELOPMENT AND PROMOTION OF IDEAS BY SOME OF THE SMARTEST PROGRESSIVE MINDS IN THE COUNTRY; ENCOURAGING A DEBATE OF SUBSTANCE AND POLICY DIRECTION, INSPIRED BY THE BOLD VISION THAT THE ROOSEVELTS BROUGHT TO THE LAST CENTURY. THE POLICY WORK OF THE INSTITUTE FELLOWS REFLECTS A COMMITMENT TO RIGOROUS, OPEN-MINDED INQUIRY AND A BELIEF IN THE POWER THAT CAN BE DERIVED FROM A LIVELY AND FREE DEBATE OF IDEAS IN THE UNITED STATES AND AROUND THE WORLD. TOTAL EXPENSE $1,827,846 INCLUDING GRANTS OF $71,239 1827846 71239 14026646 1 1 0 0 0 0 0 1 0 1 1 0 0 1 0 1 1 1 0 0 0 0 0 1 1 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 1 120 0 34 1 0 0 0 0 0 1 1 0 0 0 0 X 33 32 1 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 NY X X PAUL BENNETT 2124449131 570 LEXINGTON AVE 18TH FLOOR NEW YORK NY 10022 ANNA ELEANOR ROOSEVELT 2.00 X X 0 0 0 ALISON OVERSETH 2.00 X X 0 0 0 GEORGE KNOX 2.00 X X 0 0 0 NICHOLAS LUDINGTON 2.00 X X 0 0 0 HAROLD LEVY 2.00 X X 0 0 0 WILLIAM J VANDEN HEUVEL 2.00 X 0 0 0 ANDREW RICH 40.00 X X 215000 0 42656 BEN BARNES 2.00 X 0 0 0 JOE LOUIS BARROW JR 2.00 X 0 0 0 ALLIDA BLACK 2.00 X 0 0 0 DAN BOYD 2.00 X 0 0 0 MARIAN BREEZE 2.00 X 0 0 0 DOUGLAS BRINKLEY 2.00 X 0 0 0 SARAH FITZ RANDOLPH BROWN 2.00 X 0 0 0 GEORGE CHAO-CHI CHU 2.00 X 0 0 0 DONALD FOWLER 2.00 X 0 0 0 ROBERT GATJE 2.00 X 0 0 0 JEROME GOLDSTEIN 2.00 X 0 0 0 FREDRICA GOODMAN 2.00 X 0 0 0 WILLIAM GRIFFITH 2.00 X 0 0 0 GEORGE MORRIS GURLEY 2.00 X 0 0 0 DAVID CHEN CHUN HSU 2.00 X 0 0 0 NANCY ROOSEVELT IRELAND 2.00 X 0 0 0 BARBARA LOOMIS JACKSON 2.00 X 0 0 0 E ROOSEVELT JOHNSTON 2.00 X 0 0 0 PHILIP JOHNSTON 2.00 X 0 0 0 JAY MAZUR 2.00 X 0 0 0 SALLY MINARD 2.00 X 0 0 0 DENNIS MURRAY 2.00 X 0 0 0 NEIL PROTO 2.00 X 0 0 0 MRS F D ROOSEVELT JR 2.00 X 0 0 0 KATHLEEN SLOANE 2.00 X 0 0 0 GILLIAN MARTIN SORENSEN 2.00 X 0 0 0 GINA POLLARA 40.00 X 152093 0 38938 DENISE DEVENNY 40.00 X 135535 0 29801 ROBERT JOHNSON 40.00 X 150000 0 0 SHANTI NAYAK 40.00 X 129180 0 0 781808 0 111395 5 0 1 0 MITCHELLGIURGOLA ARCHITECTS 630 NINTH AVENUE SUITE 711 NEW YORK NY 10036 ARCHITECTS 156673 JOSEPH STIGLITZ 258 RIVERSIDE DRIVE 12C NEW YORK NY 10025 SCHOLAR 150000 ANCHIN BLOCK & ANCHIN LLP 1375 BROADWAY NEW YORK NY 10018 BOOKKEEPING 103551 3 537655 4998392 15928555 21464602 510603 510603 11337553 10287719 1049834 1049834 1049834 26845 537655 225139 -198294 -198294 22826745 0 0 1362143 242340 242340 614024 399287 156503 58234 1311070 852562 334167 124341 11475 8839 1756 880 70189 57548 5329 7312 137272 97687 26283 13302 164688 164688 116606 116606 944293 556896 217996 169401 66076 1884 125 64067 339112 215224 114696 9192 329200 241827 73744 13629 180515 138785 24192 17538 90107 88277 720 1110 66514 45262 17359 3893 26656 17920 7056 1680 PARK CONSTRUCTION COSTS 10733703 10733703 CONSTRUCTION/DESIGN/FAB 245828 244737 1091 0 UNCOLLECTED PLEDGES 118276 118276 PUBLICATIONS/FILMS/MICR 59017 58043 800 174 RED HOUSE EXPENSES 25825 25825 15892786 14026646 1216699 649441 X 595470 4067710 823150 2526046 17567 43021 149830 325133 174926 190327 150207 21172311 23572229 650000 650000 328393 3974694 23820239 35090716 379660 4213048 3410 383070 4213048 X 9355064 10648727 12942957 19089793 1139148 1139148 23437169 30877668 23820239 35090716 X 6933959 506540 X X 0 1 1 X 0 X 2246564 5182203 3710321 5887897 20926947 37953932 2246564 5182203 3710321 5887897 20926947 37953932 11471985 26481947 504266 717662 668948 541856 510603 2943335 40897267 158462 0.64750 0.57450 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED X X X 0 20428445 12799392 1950371 108127 16948154 18121927 17815587 4683815 2126323 100601 4096679 20428445 21829802 3076237 -4266511 89718 2734223 17815587 0.45970 0.06290 0.47740 0 0 1532 1007 525 103861 84731 19130 219740 89188 130552 150207 MISCELLANEOUS 57326 INTEREST AND DIVIDENDS RECEIVABLE 89356 FDR/ER BOOKS & DOCUMENTS 27400 WOOLF DRAWING 87000 MAQUETTE SCULPTURE 54191 CASH HELD IN ESCROW FOR CONSTRUCTION 3659421 3974694 22826745 15892786 6933959 506540 506540 7440499 23312254 506540 95575 602115 22710139 116606 116606 22826745 15871755 95575 95575 15776180 116606 116606 15892786 PART III, LINE 4: THE INSTITUTE'S ARTWORK IS STATED AT COST AND IS FOR USE IN THE FDR LIBRARY'S VISITORS CENTER. IN ADDITION, THE INSTITUTE HOLDS A DONATED COLLECTION OF AUTOGRAPHS OF FRANKLIN D. ROOSEVELT, BOOKS AND DOCUMENTS WHICH ARE STATED AT THE APPRAISED VALUE AT THE DATE OF DONATION AND ARE STORED IN THE FDR LIBRARY. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE ORGANIZATION MAINTAINS VARIOUS DONOR-RESTRICTED AND BOARD-DESIGNATED FUNDS WHOSE PURPOSE IS TO PROVIDE LONG-TERM SUPPORT FOR ITS CHARITABLE PROGRAMS. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: THE ORGANIZATION RECOGNIZES THE EFFECT OF THE INCOME TAX POSITIONS ONLY WHEN THEY ARE MORE LIKELY THAN NOT TO BE SUBSTANTIAL. MANAGEMENT HAS DETERMINED THAT THE INSTITUTE HAD NO UNCERTAIN TAX POSITIONS THAT WOULD REQUIRE FINANCIAL STATEMENT RECOGNITION OR DISCLOSURE. THE INSTITUTE IS NO LONGER SUBJECT TO AUDITS BY THE APPLICABLE TAXING JURISDICTIONS FOR PERIODS PRIOR TO 2007. X X X 0 COMMUNITY CONSULTING SERVICE PO BOX 27462 NEW YORK NY 10087 FUNDRAISING CONSULTING 0 0 65000 -65000 KIMBALL STROUD AND ASSOCIATES 1218 29TH STREET WASHINGTON DC 20007 FUNDRAISING CONSULTING 0 0 52933 -52933 BONNER GROUP 1503 PENNSLYVANIA AVE NW WASHINGTON DC 20005 FUNDRAISING CONSULTING 0 0 44723 -44723 162656 -162656 PUBLIC SERVICE AWARDS 547000 537655 9345 207342 FOUR FREEDOMS DINNER 17500 17500 17797 564500 537655 26845 225139 225139 -198294 1 X SCHLESINGER FELLOWSHIP AND HISTORY PRIZE 3 1850 0 MOSCOW & ROOSEVELT STUDY CENTER 3 30054 0 LEGACY GRANTS TO SCHOLARS 7 6969 0 FDR LIBRARY 16 62205 0 NAVAL HISTORY PRIZE 1 1500 0 CAMPUS NETWORK STIPENDS FOR COLLEGE STUDENTS 158 93625 0 MARTIN LUTHER KING SCHOLARSHIP 2 2050 OTHER SCHOLARSHIPS 2 1500 CAMPUS NETWORK GRANTS 15 9666 1 X X X 0 0 0 0 0 0 0 0 0 ANDREW RICH 215000 0 0 0 0 0 0 0 42656 0 257656 0 0 0 GINA POLLARA 152093 0 0 0 0 0 0 0 38938 0 191031 0 0 0 DENISE DEVENNY 135535 0 0 0 0 0 0 0 29801 0 165336 0 0 0 FORM 990, PART VI, SECTION A, LINE 2 DIRECTOR ANNA ELEANOR ROOSEVELT HAS A FAMILY RELATIONSHIP WITH DIRECTOR E. ROOSEVELT JOHNSTON. FORM 990, PART VI, SECTION B, LINE 11 THE 990 IS PREPARED BY THE TAX PROFESSIONALS IN CONJUNCTION WITH THE INSTITUTE'S ACCOUNTING/FINANCE DEPARTMENT. THE RETURN IS FIRST REVIEWED BY THE EXECUTIVE DIRECTOR AND CFO. THE RETURN IS THEN PRESENTED TO THE AUDIT COMMITTEE FOR FINAL REVIEW BEFORE IT IS FILED. FORM 990, PART VI, SECTION B, LINE 12C PROCEDURES FOR MONITORING AND ENFORCING THE CONFLICT OF INTEREST POLICY ARE STATED IN THE INSTITIUTE'S PERSONNEL POLICY AND PROCEDURES MANUAL. FORM 990, PART VI, SECTION B, LINE 15 PROCEDURES FOR ESTABLISHING EXECUTIVE COMPENSATION IS OUTLINED IN THE INSTITUTES' POLICY AND PROCEDURES MANUAL. FORM 990, PART VI, SECTION C, LINE 19 THE INSTITUTE'S MANAGEMENT MAKES THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, FORM 1023 AND ALL 990 TAX INFORMATION AVAILABLE UPON REQUEST. IN ADDITION, THE FORM 990 IS AVAILABLE ON-LINE WITH GUIDESTAR. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 506,540. BOARD OVERSIGHT OF AUDITED STATEMENTS PART XI LINE 2C THE INSTITUTE HAS AN AUDIT COMMITTEE WHICH HAS BEEN ASSIGNED THE RESPONSIBILITY TO 1) ENGAGE THE AUDITORS, 2) MEET TO DISCUSS PLANNING, 3) MEET TO REVIEW THE RESULTS OF AUDIT AND DISCUSS THE FINANCIAL STATEMENTS, 4) DISCUSS ANY INTERNAL CONTROL ISSUES, 5) DISCUSS ANY FUTURE ISSUES THAT MIGHT AFFECT THE INSTITUE AND 6) DISCUSS THE TAX RETURN. THE COMMITTEE REPORTS ITS FINDINGS TO THE BOARD. THERE WAS NO CHANGE TO THE POLICY IN THE CURRENT YEAR. FRANKLIN D ROOSEVELT FOUR FREEDOMS PARK LLC 147 WEST 35TH STREET SUITE 601 NEW YORK NY 10001 237213592 ESTABLISHMENT AND CONSTRUCTION OF FDR FOUR FREEDOMS PARK NY 19257178 11742359 FRANKLIN AND ELEANOR ROOSEVELT INSTITUTE