2022-09-30T13:13:28-05:00 2021-12-31 111986323 MARCUM LLP 1899 L STREET NW SUITE 850 WASHINGTON DC 20036 990 2021-01-01 840399006 THE ASPEN INSTITUTE INC ASPE 2027365800 2300 N STREET NW 700 WASHINGTON DC 20037 DANIEL R PORTERFIELD PRESIDENT/CEO 2027365800 2022-09-29 1 DANIEL PORTERFIELD XXX-XX-XXXX AARON M FOX P01365820 2022274000 3 AAL1 IAL1 2021 2022-09-23 18:48:47Z DANIEL R PORTERFIELD 2300 N STREET NW 700 WASHINGTON DC 20037 479307525 0 X WWW.ASPENINSTITUTE.ORG X 1949 CO THE ASPEN INSTITUTE IS A PEOPLE-SERVING ORGANIZATION THAT WORKS WITH PARTNERS ACROSS THE UNITED STATES AND AROUND THE WORLD TO BUILD A FREE, JUST, AND EQUITABLE SOCIETY. THE INSTITUTE CREATES POSITIVE CHANGE BY INSPIRING INCLUSIVE DIALOGUE AND EMPOWERING LEADERS TO SOLVE SOCIETY'S BIGGEST CHALLENGES. 65 64 720 95 10637859 0 131254703 140695602 17868195 28586934 1961152 1822532 178771 141618 151262821 171246686 16945859 18858005 0 0 65246455 69925233 0 0 3610042 46933372 54990527 129125686 143773765 22137135 27472921 394226132 465514933 41995580 53081498 352230552 412433435 X THE ASPEN INSTITUTE IS A PEOPLE-SERVING ORGANIZATION THAT WORKS WITH PARTNERS ACROSS THE UNITED STATES AND AROUND THE WORLD TO BUILD A FREE, JUST, AND EQUITABLE SOCIETY. THE INSTITUTE CREATES POSITIVE CHANGE BY INSPIRING INCLUSIVE DIALOGUE AND EMPOWERING LEADERS TO SOLVE 0 0 73099258 18012766 13099707 POLICY PROGRAMS: THE ASPEN INSTITUTE'S POLICY PROGRAMS EXPLORE AND IDENTIFY SOLUTIONS FOR PROBLEMS RANGING FROM ECONOMIC DISTRESS TO EDUCATIONAL OPPORTUNITY, FROM CLIMATE CHANGE TO RACIAL DISPARITIES, IN AN EFFORT TO INFLUENCE DECISION-MAKERS IN THE PUBLIC AND PRIVATE SECTORS TO ADVANCE THE BEST AND MOST INSPIRED PROPOSALS. OUR POLICY PROGRAMS RANGE IN SIZE FROM $100,000 TO $15 MILLION IN ANNUAL REVENUE AND EXPENSES. 12074317 60501 CAMPUS ACTIVITIES: IN ADDITION TO ITS HEADQUARTERS IN WASHINGTON, DC, THE ASPEN INSTITUTE ALSO CONDUCTS MUCH OF ITS WORK ON ITS FOUNDING CAMPUS IN ASPEN, COLORADO, WHICH PROVIDES NATURAL BEAUTY AND QUIET SURROUNDINGS THAT ENCOURAGE THOUGHTFUL REFLECTION THAT REFRESHES MIND, BODY AND SPIRIT. ONE OF OUR PROGRAMS THAT USE THE CAMPUS IS OUR ASPEN SEMINAR WHICH CHALLENGES INDIVIDUALS TO THINK MORE DEEPLY, LISTEN MORE ATTENTIVELY, AND REFINE THEIR ABILITY TO LEAD IN AN INCREASINGLY COMPLEX AND CONFLICTING WORLD. SEMINAR PARTICIPANTS ENGAGE IN CHALLENGING CONVERSATIONS ABOUT ENDURING QUESTIONS OF ETHICAL AND EFFECTIVE LEADERSHIP, GAINING A GREATER CAPACITY TO LEAD WITH COURAGE AND CONVICTION. 6856285 291255 107688 ASPEN GLOBAL LEADERSHIP NETWORK: THE ASPEN GLOBAL LEADERSHIP NETWORK IS A GROWING, WORLDWIDE COMMUNITY OF ENTREPRENEURIAL LEADERS FROM BUSINESS, GOVERNMENT, AND THE NONPROFIT SECTOR DRAWING FROM FELLOWS IN OVER 60 COUNTRIES WHO SHARE A COMMITMENT TO ENLIGHTENED LEADERSHIP AND TO USING THEIR EXTRAORDINARY CREATIVITY, ENERGY, AND RESOURCES TO TACKLE THE FOREMOST SOCIETAL CHALLENGES OF OUR TIMES. ALL HAVE PARTICIPATED IN THE FLAGSHIP HENRY CROWN FELLOWSHIP OR IN ONE OF THE DOZEN ASPEN INSTITUTE LEADERSHIP INITIATIVES IT HAS INSPIRED IN THE UNITED STATES, AFRICA, CHINA, CENTRAL AMERICA, INDIA, AND THE MIDDLE EAST. EACH SUMMER, THE NETWORK GATHERS TO RECONNECT AND RECOMMIT TO ACTION AT THE ANNUAL RESNICK ASPEN ACTION FORUM IN ASPEN, COLORADO. 20382851 553984 6328121 OTHER RESTRICTED PROGRAMS/PUBLIC PROGRAMS/YOUTH AND ENGAGEMENT/SEMINARS 20382851 553984 6328121 112412711 1 1 0 1 0 0 1 1 0 1 1 1 0 0 1 0 1 0 0 0 1 1 1 0 1 0 0 1 1 1 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 1 816 0 1 720 1 1 1 0 0 0 0 1 1 0 0 0 0 0 0 X 65 64 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 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 X X ASPEN INSTITUTEJENNIFER JONES 4103533226 2300 N STREET NW 700 WASHINGTON DC 20037 DANIEL PORTERFIELD PRESIDENT & CEO 40.00 X X 643984 0 54772 ELLIOT GERSON EXECUTIVE VP 40.00 X 450891 0 59501 NAMITA KHASAT CFO/CAO/TREASURER 40.00 X 408234 0 56757 DAVID LANGSTAFF EXEC VICE PRESIDENT 40.00 X 353857 0 56959 STEPHEN PATRICK EXECUTIVE DIRECTOR 40.00 X 330683 0 65825 JANE WALES VP, EXECUTIVE DIRECTOR 40.00 X 350780 0 45542 ANN MOSLE VP, EXECUTIVE DIRECTOR 40.00 X 327672 0 65832 VIVIAN SCHILLER EXECUTIVE DIRECTOR 40.00 X 346379 0 44924 ERIKA MALLIN EXECUTIVE DIRECTOR 40.00 X 349830 0 34697 MARIA ACEBAL VP STRATEGIC DEV CORP SECRETARY 40.00 X 278458 0 46876 ERIC MOTLEY EVP, CORP SECRETARY - UNTIL 08/2021 40.00 X 280415 0 39197 JAMES SCHINE CROWN CHAIRMAN 1.00 X X 0 0 0 WILLIAM E MAYER TRUSTEE 1.00 X X 0 0 0 JEFFREY S ARONIN TRUSTEE 1.00 X 0 0 0 DONNA BARKSDALE TRUSTEE 1.00 X 0 0 0 MERCEDES BASS TRUSTEE 1.00 X 0 0 0 MIGUEL MIKE BEZOS TRUSTEE 1.00 X 0 0 0 LAWRENCE BOBO TRUSTEE 1.00 X 0 0 0 RICHARD BRADDOCK TRUSTEE 1.00 X 0 0 0 BETH BROOKE TRUSTEE 1.00 X 0 0 0 WILLIAM BYNUM TRUSTEE 1.00 X 0 0 0 STEPHEN L CARTER TRUSTEE 1.00 X 0 0 0 TROY CARTER TRUSTEE 1.00 X 0 0 0 CESAR R CONDE TRUSTEE 1.00 X 0 0 0 PHYLLIS COULTER TRUSTEE 1.00 X 0 0 0 KATIE COURIC TRUSTEE 1.00 X 0 0 0 ANDREA CUNNINGHAM TRUSTEE 1.00 X 0 0 0 KENNETH L DAVIS MD TRUSTEE 1.00 X 0 0 0 JOHN DOERR TRUSTEE 1.00 X 0 0 0 THELMA DUGGIN TRUSTEE 1.00 X 0 0 0 ARNE DUNCAN TRUSTEE 1.00 X 0 0 0 MICHAEL D EISNER TRUSTEE 1.00 X 0 0 0 L BROOKS ENTWISTLE TRUSTEE 1.00 X 0 0 0 ELIZABETH FLEMING TRUSTEE 1.00 X 0 0 0 ROGER FERGUSON TRUSTEE 1.00 X 0 0 0 ANN B FRIEDMAN TRUSTEE - UNTIL 01/2021 1.00 X 0 0 0 HENRY LOUIS GATES JR TRUSTEE 1.00 X 0 0 0 RUSSELL GOLDSMITH TRUSTEE 1.00 X 0 0 0 ANTONIO GRACIAS TRUSTEE 1.00 X 0 0 0 PATRICK W GROSS TRUSTEE 1.00 X 0 0 0 ARJUN GUPTA TRUSTEE 1.00 X 0 0 0 JANE HARMAN TRUSTEE 1.00 X 0 0 0 KAYA HENDERSON TRUSTEE 1.00 X 0 0 0 MARK HOPLAMAZIAN TRUSTEE 1.00 X 0 0 0 GERALD D HOSIER TRUSTEE 1.00 X 0 0 0 ROBERT HURST TRUSTEE 1.00 X 0 0 0 SONIA KAPADIA TRUSTEE 1.00 X 0 0 0 MICHAEL KLEIN TRUSTEE 1.00 X 0 0 0 KELI LEE TRUSTEE 1.00 X 0 0 0 LAURA LAUDER TRUSTEE 1.00 X 0 0 0 MELONY LEWIS TRUSTEE 1.00 X 0 0 0 JAMES M MANYIKA TRUSTEE 1.00 X 0 0 0 CRAIG MARTIN TRUSTEE 1.00 X 0 0 0 BONNIE PALMER MCCLOSKEY TRUSTEE 1.00 X 0 0 0 DAVID MCCORMICK TRUSTEE - UNTIL 11/2021 1.00 X 0 0 0 ANNE WELSH MCNULTY TRUSTEE 1.00 X 0 0 0 DIANE L MORRIS TRUSTEE 1.00 X 0 0 0 KARLHEINZ MUHR TRUSTEE 1.00 X 0 0 0 CLARE MUNANA TRUSTEE 1.00 X 0 0 0 JERRY MURDOCK TRUSTEE 1.00 X 0 0 0 MARC NATHANSON TRUSTEE 1.00 X 0 0 0 WILLIAM A NITZE TRUSTEE - UNTIL 07/2021 1.00 X 0 0 0 HER MAJESTY QUEEN NOOR TRUSTEE 1.00 X 0 0 0 JACQUELINE NOVOGRATZ TRUSTEE 1.00 X 0 0 0 OLARA A OTUNNU TRUSTEE 1.00 X 0 0 0 ELAINE PAGELS TRUSTEE 1.00 X 0 0 0 CARRIE WALTON PENNER TRUSTEE 1.00 X 0 0 0 CARLA PINEYRO-SUBLETT TRUSTEE 1.00 X 0 0 0 MARGOT L PRITZKER TRUSTEE 1.00 X 0 0 0 WILLIAM RESNICK TRUSTEE 1.00 X 0 0 0 CONDOLEEZZA RICE TRUSTEE - UNTIL 01/2021 1.00 X 0 0 0 RICARDO SALINAS TRUSTEE 1.00 X 0 0 0 LEWIS SANDERS TRUSTEE - UNTIL 11/2021 1.00 X 0 0 0 ANNA DEAVERE SMITH TRUSTEE 1.00 X 0 0 0 ROBERT K STEEL TRUSTEE 1.00 X 0 0 0 LAURIE M TISCH TRUSTEE 1.00 X 0 0 0 CHRISTOPHER VARELAS TRUSTEE 1.00 X 0 0 0 RODERICK K VON LIPSEY TRUSTEE 1.00 X 0 0 0 VIN WEBER TRUSTEE 1.00 X 0 0 0 JESSIE WOOLLEY-WILSON TRUSTEE 1.00 X 0 0 0 4121183 0 570882 216 0 1 0 TENANT IMPROVEMENT SPECIALISTS 713 EAST 23RD STREET CARSON CA 90745 CONSTRUCTION SERVICES 8463267 BRAIN SOURCE INTERNATIONAL 42-44 BISHOPSGATE LONDON UK EC2N STAFFING AND PAYROLL SERVICES 1268182 EPLUS TECHNOLOGY INC 1595 DULLES TECHNOLOGY DRIVE HERNDON VA 20171 IT SYSTEMS AND SUPPORT 627215 ROWLAND BROUGHTON ARCHITECTURE AND URBAN 500 WEST MAIN STREET ASPEN CO 81611 ARCHITECTURAL SERVICES FOR CONSTRUCTION 448626 SPITFIRE STRATEGIES LLC 2300 N STREET NW WASHINGTON DC 20037 COMMUNICATIONS CONSULTING & MANAGEMENT 388351 24 1115907 4500898 135078797 10448358 140695602 CONTRACT REVENUE 900099 17079149 17079149 CONF./FACILITY FEES 531390 8990917 8990917 SEMINAR AND EVENT FEES 900099 2515732 2515732 BOOK SALES 900099 1136 1136 28586934 907211 1611202 -703991 132559 125624 6935 6935 6935 307961739 291428 307066996 270850 894743 20578 915321 915321 28130 1115907 597369 -569239 -569239 OTHER INCOME 900099 364790 364790 SUBLEASE INCOME 900099 303392 303392 ADVERTISING INCOME 541800 35740 35740 703922 171246686 19596017 10637859 317208 X 13662257 13662257 778444 778444 4417304 4417304 2729901 433833 2136261 159807 53239622 40190913 10868319 2180390 4276778 3639578 423731 213469 4618403 3393844 923765 300794 5060529 4739572 161786 159171 10291120 10291120 453729 299356 154373 142947 142947 1200594 1200594 22337210 17922591 4272396 142223 3032028 2248163 728062 55803 983787 711872 251278 20637 5920843 3586777 2157519 176547 3742433 3399639 326928 15866 167410 167410 62783 62783 3280847 3280847 424469 438 424031 PARTNER REIMBURSEMENTS 1205584 1205584 PUBLICATIONS 964579 912011 45387 7181 REPAIRS AND MAINTENANCE 398141 145353 252788 BAD DEBT 382023 203869 178154 143773765 112412711 27751012 3610042 7143777 15569294 26098145 20005043 40677134 49885211 25416890 6960249 138867 283265 1662165 2147646 135038341 58459221 69191910 76579120 32770950 75643810 188820548 215765025 2305746 2676270 394226132 465514933 11901598 13594228 2359126 1916128 6737446 12033695 3780000 20997410 21757447 41995580 53081498 X 136758015 157173863 215472537 255259572 352230552 412433435 394226132 465514933 X 27472921 32537736 -3000 195226 X 0 1 X 1 1 1 X 92261254 94760517 108438960 131254703 140723732 567439166 92261254 94760517 108438960 131254703 140723732 567439166 62570247 504868919 759709 -390616 -59007 535540 1343162 2188788 434052 443054 799478 156060 394530 2227174 571855128 128972580 0.88290 0.91050 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2017 AMOUNT: $ 434,052. 2018 AMOUNT: $ 443,054. 2019 AMOUNT: $ 799,478. 2020 AMOUNT: $ 156,060. 2021 AMOUNT: $ 394,530. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 1285 0 0 1285 0 PART II-B, LINE 1: ALLOCATED SALARY EXPENSE FROM COMMUNICATION WITH LEGISLATORS REGARDING PENDING LEGISLATION. X 2 263.88 2 1 1096267 X 0 140520233 17309092 30072140 9195723 178705742 126362776 10938289 10092783 6873615 140520233 115098677 1418728 15369499 5524128 126362776 119077203 3995266 -4694709 3279083 115098677 99879276 12665941 10999814 4467828 119077203 0.36314 0.24674 0.39012 0 0 10411093 10411093 78504315 42288447 36215868 9927593 2859797 7067796 6661797 6252748 409049 29533543 7058229 22475314 76579120 INVESTMENT CONTRACT 1227786 F LIMITED PARTNERSHIPS 214537239 F 215765025 DEFERRED RENT AND LEASE INCENTIVE 13972765 DEFERRED COMPENSATION 7711589 CAPITAL LEASE OBLIGATIONS 56093 DUE TO AFFILIATE 17000 21757447 X 203443337 32537736 136516 32674252 170769085 1200594 -722993 477601 171246686 143237454 136516 527767 664283 142573171 1200594 1200594 143773765 PART II, LINE 5: THE INSTITUTE CONTINUES TO COMPLY WITH TERMS OF CONTRACT GOVERNING THE CONSERVATION EASEMENT HELD, WHICH INCLUDES PROTECTION OF NATURAL HABITAT. PART II, LINE 9: THE INSTITUTE HOLDS A CONSERVATION EASEMENT ON THE BALANCE SHEET AND THE CONTRIBUTED PARCEL OF LAND WAS BOOKED AS REVENUE FOR THE YEAR IT WAS GIFTED. PART III, LINE 4: AT OUR ASPEN MEADOWS CAMPUS, ASPEN, COLORADO, WE HAVE A LARGE COLLECTION OF ART THAT IS ON DISPLAY BOTH IN GALLERIES AND PUBLIC SPACES. IT IS ENJOYED BY GUESTS WHO VISIT AND STAY AT OUR RESORT. THIS ART COLLECTION IS MADE UP OF PHOTOS FROM FRANZ BERKO, OFFICIAL PHOTOGRAPHER FOR THE INSTITUTE, AS WELL AS ART IN VARIOUS MEDIUMS BY HERBERT BAYER. BAYER WAS THE ARCHITECT FOR OUR CAMPUS, AND ALSO DESIGNED SEVERAL OF THE LAND FORMS THROUGHOUT OUR PROPERTY. ONE GALLERY ON PROPERTY IS DEDICATED SOLELY TO THE WORK OF BAYER. ALTHOUGH THE ARTWORK IS HELD ON THE BOOKS AT COST, IT HAS AN INSURED FAIR VALUE OF $3.1 MILLION. PART V, LINE 4: 5% OF A 12 QUARTER ROLLING AVERAGE OF THE FUNDS ARE USED TO FUND PROGRAMMATIC WORK OF THE INSTITUTE. PART X, LINE 2: MANAGEMENT OF THE INSTITUTE BELIEVES THAT IT HAS NO MATERIAL UNCERTAINTY IN INCOME TAXES AND, ACCORDINGLY, IT WILL NOT RECOGNIZE ANY LIABILITY FOR UNRECOGNIZED TAXES IN ITS FINANCIAL STATEMENTS. PART XI, LINE 4B - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES -597,369. RENTAL EXPENSES -125,624. PART XII, LINE 2D - OTHER ADJUSTMENTS: SPECIAL EVENT EXPENSES 597,369. RENTAL EXPENSES 125,624. REFUNDED GRANTS -195,226. 1 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 296065 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 247442 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 302606 NORTH AMERICA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 258997 SOUTH AMERICA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 1036460 SOUTH ASIA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 1047116 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES AND GRANTS TO RECIPIENTS LOCATED IN REGION. GRANTS, MEETINGS AND PROGRAMMATIC ACTIVITIES. 1228618 0 0 0 0 0 0 4417304 0 4417304 SUB-SAHARAN AFRICA CHAPTER OPERATIONS SUPPORT 365387 WIRE TRANSFER 0 SOUTH AMERICA SUPPORT GOYN INITIATIVE 353500 WIRE TRANSFER 0 SUB-SAHARAN AFRICA SUPPORT CHAPTER OPERATIONS IN AFRICA 336586 WIRE TRANSFER 0 SOUTH ASIA CAPACITY PLANNING WORK, SUPPORT GOYN INITIATIVE 325000 WIRE TRANSFER 0 SOUTH ASIA CAPACITY PLANNING WORK, SUPPORT GOYN INITIATIVE 325000 WIRE TRANSFER 0 SOUTH AMERICA CAPACITY PLANNING WORK, SUPPORT GOYN INITIATIVE 325000 WIRE TRANSFER 0 EAST ASIA AND THE PACIFIC CHAPTER OPERATIONS SUPPORT 275815 WIRE TRANSFER 0 SUB-SAHARAN AFRICA SUPPORT GOYN INITIATIVE 250000 WIRE TRANSFER 0 EUROPE (INCLUDING ICELAND & GREENLAND) SUPPORT ACCELERATING WOMEN-LED VENTURES PROJECT 200000 WIRE TRANSFER 0 SOUTH AMERICA SUPPORT CHAPTER OPERATIONS IN BRAZIL 154650 WIRE TRANSFER 0 NORTH AMERICA SUPPORT CHAPTER OPERATIONS IN MEXICO 143967 WIRE TRANSFER 0 SOUTH ASIA CHAPTER OPERATIONS SUPPORT 135739 WIRE TRANSFER 0 MIDDLE EAST AND NORTH AFRICA STEVENS INITIATIVE CULTURAL EXCHANGE 129182 WIRE TRANSFER 0 SOUTH ASIA STEVENS INITIATIVE CULTURAL EXCHANGE 107455 WIRE TRANSFER 0 SUB-SAHARAN AFRICA CAPACITY PLANNING WORK 100000 WIRE TRANSFER 0 NORTH AMERICA SUPPORT GOYN INITIATIVE 100000 WIRE TRANSFER 0 SOUTH AMERICA SUPPORT OPERATIONS IN COLUMBIA 94446 WIRE TRANSFER 0 SOUTH AMERICA CHAPTER OPERATIONS SUPPORT 88602 WIRE TRANSFER 0 MIDDLE EAST AND NORTH AFRICA STEVENS INITIATIVE CULTURAL EXCHANGE 88354 WIRE TRANSFER 0 SOUTH ASIA CHAPTER OPERATIONS SUPPORT 78923 WIRE TRANSFER 0 SOUTH ASIA SUPPORT EQUITY AT THE LAST MILE INITIATIVE 75000 WIRE TRANSFER 0 SUB-SAHARAN AFRICA ANDE CHAPTER SUPPORT GRANT 53052 WIRE TRANSFER 0 MIDDLE EAST AND NORTH AFRICA STEVENS INITIATIVE CULTURAL EXCHANGE 47419 WIRE TRANSFER 0 SUB-SAHARAN AFRICA CHAPTER OPERATIONS SUPPORT 42997 WIRE TRANSFER 0 EUROPE (INCLUDING ICELAND & GREENLAND) SUPPORT PARTNERSHIPS FOR INCLUSIVE AND SUSTAINABLE SMALL AND GROWING BUSINESSES INITIATIVE 42692 WIRE TRANSFER 0 MIDDLE EAST AND NORTH AFRICA STEVENS INITIATIVE CULTURAL EXCHANGE 36088 WIRE TRANSFER 0 SUB-SAHARAN AFRICA AGORA PARTICIPATION AWARD 24000 WIRE TRANSFER 0 SUB-SAHARAN AFRICA SUPPORT ACCELERATING WOMEN-LED VENTURES PROJECT 21595 WIRE TRANSFER 0 SOUTH AMERICA SUPPORT ACCELERATING WOMEN-LED VENTURES PROJECT 20262 WIRE TRANSFER 0 SUB-SAHARAN AFRICA GLOBAL INCLUSIVE GROWTH SPARK GRANT 20000 WIRE TRANSFER 0 NORTH AMERICA MCNULTY PRIZE AWARD 15030 WIRE TRANSFER 0 SUB-SAHARAN AFRICA MCNULTY GLOBAL RESPONSE FUND AWARD 15000 WIRE TRANSFER 0 7 25 HONORARIUM EAST ASIA AND THE PACIFIC 2 18000 WIRE TRANSFER EVENT PARTICIPATION STIPEND EAST ASIA AND THE PACIFIC 1 2250 WIRE TRANSFER HONORARIUM EUROPE (INCLUDING ICELAND AND GREENLAND) 3 1000 WIRE TRANSFER HONORARIUM MIDDLE EAST AND NORTH AFRICA 3 1563 WIRE TRANSFER 1 0 0 0 0 0 PART I, LINE 2: THE INSTITUTE PERIODICALLY 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 IS 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 DEGREE 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. PART I, LINE 3: THE CASH METHOD OF ACCOUNTING WAS USED TO ACCOUNT FOR FOREIGN EXPENDITURES. PART III, COL (C): THIS COLUMN REPRESENTS THE ACTUAL NUMBER OF GRANT RECIPIENTS. PART III ACCOUNTING METHOD: SUMMER CELEBRATION 431842 424112 7730 111 31779 1016 209478 SOCRATES BENEFIT DINNER 349127 333127 16000 34278 78177 2 363068 358668 4400 54094 1216 187220 1144037 1115907 28130 54205 66057 2232 474875 597369 -569239 1 ITHAKA HARBORS INC 2 RECTOR STREET NEW YORK NY 10006 133857105 501(C)(3) 741000 0 COLLABORATION IN THE AMERICAN TALENT INITIATIVE SOLIYA INC 261 MADISON AVENUE 9TH FLOOR NEW YORK NY 10016 320060209 501(C)(3) 641157 0 STEVENS INITIATIVE CULTURAL EXCHANGE ALAMO COMMUNITY COLLEGE DISTRICT 2222 NORTH ALAMO STREET SAN ANTONIO TX 78215 746002173 501(C)(3) 600000 0 ASPEN PRIZE AWARD WINNER EQUAL MEASURE 520 WALNUT STREET SUITE 1450 PHILADELPHIA PA 19106 232694572 501(C)(3) 557010 0 SUPPORT OYF ASPEN FORUM, WORK IN THE ASPEN CRIMINAL JUSTICE REFORM INITIATIVE BOSTON PRIVATE INDUSTRY COUNCIL INC 2 OLIVER STREET 3RD FLOOR BOSTON MA 02109 042676661 501(C)(3) 550000 0 FORUM IN YOUTH-LED CHANGE ALLIANCE FOR CHILDRENS RIGHTS 3333 WILSHIRE BOULEVARD SUITE 550 LOS ANGELES CA 90010 954358213 501(C)(3) 450000 0 BUILDING ECOSYSTEMS FOR YOUTH OPPORTUNITY IMPLEMENTATION GLOBAL NOMADS GROUP 132 NASSAU STREET SUITE 822 NEW YORK NY 10038 752750127 501(C)(3) 438853 0 STEVENS INITIATIVE CULTURAL EXCHANGE INTERNATIONAL RESEARCH AND EXCHANGES BOARD INC 1275 K STREET NW SUITE 600 WASHINGTON DC 20005 223087809 501(C)(3) 425212 0 STEVENS INITIATIVE CULTURAL EXCHANGE WORLD LEARNING INC 1 KIPLING ROAD PO BOX 676 BRATTLEBORO VT 05302 030179592 501(C)(3) 408270 0 STEVENS INITIATIVE CULTURAL EXCHANGE THE BOARD OF TRUSTEES OF THE LELAND STANFORD JUNIOR UNIVERSITY 3145 PORTER DRIVE SUITE 142 PALO ALTO CA 94304 941156365 501(C)(3) 402564 0 ASPEN RISING PRESIDENTS FELLOWSHIP ALLIANCE OF COMMUNITY ASSITANCE MINISTRIES INC 710 NORTH POST OAK ROAD SUITE 210 HOUSTON TX 77024 275410988 501(C)(3) 300000 0 BUILDING ECOSYSTEMS FOR YOUTH OPPORTUNITY IMPLEMENTATION TIDES CENTER 1012 TORNEY AVENUE SAN FRANCISCO CA 94129 943213100 501(C)(3) 300000 0 OYIF NETWORK BUILD NETWORK GRANT YOUTHBUILD NEWARK 571 CENTRAL AVENUE 2ND FLOOR NEWARK NJ 07107 753187358 501(C)(3) 300000 0 BUILDING ECOSYSTEMS FOR YOUTH OPPORTUNITY ACCELERATOR GRANT CRITERION INSTITUTE INC 81 CHURCH HILL ROAD HADDAM CT 06438 273458737 501(C)(3) 297629 0 GLOBAL AFFAIRS CANADA GENDER LENS INVESTING JUSTICE MAPPING CENTER 49 BAYVIEW AVENUE GROUND FLOOR APARTMENT PORT WASHINGTON NY 11050 205537766 501(C)(3) 250000 0 WORK IN THE ASPEN CRIMINAL JUSTICE REFORM INITIATIVE GLOBAL DEVELOPMENT INCUBATOR INC 1634 I ST NW SUITE 300 WASHINGTON DC 20006 141945286 501(C)(3) 225000 0 SUPPORT GOYN INITIATIVE IMPACT ASSETS 4340 EAST WEST HIGHWAY BETHESDA MD 20814 262048480 501(C)(3) 216836 0 GLOBAL AFFAIRS CANADA GENDER LENS INVESTING PHILADELPHIA YOUTH NETWORK 400 MARKET STREET SUITE 200 PHILADELPHIA PA 19106 232993155 501(C)(3) 200000 0 COLLABORATION ON ECONOMIC OPPORTUNITIES PROGRAM REIMAGINE RETAIL PROJECT COMMUNITY FOUNDATION OF GREATER BIRMINGHAM 2100 FIRST AVE NORTH SUITE 700 BIRMINGHAM AL 35203 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MASSACHUSETTS AVENUE NW WASHINGTON DC 20036 530196577 501(C)(3) 45000 0 J. SCHUETZ FELLOWSHIP AGREEMENT CNATURENET 1611 COUNTY ROAD B WEST SUITE 320 ROSEVILLE MN 55113 141959018 501(C)(3) 40000 0 SUPPORT FRESH TRACKS INITIATIVE THE SAND COUNTY FOUNDATION INC 131 W WILSON STREET SUITE 610 MADISON WI 53703 396089450 501(C)(3) 40000 0 AWARD FOR 2021 WATER FORUM PARTNERSHIP UNDER ONE ROOF 21 KEMP COURT ALAMO CA 94507 661871541 501(C)(3) 35000 0 GLOBAL INCLUSIVE GROWTH SPARKS GRANT AFRICAN ENTREPRENEURSHIP COLLECTIVE PO BOX 209 CLINTON WA 98236 460743201 501(C)(3) 32250 0 ADVANCING WOMEN'S EMPOWERMENT CATALYST FUND ONSLOW COUNTY PUBLIC SCHOOLS 200 BROADHURST ROAD JACKSONVILLE NC 28540 566001089 501(C)(3) 30543 0 STEVENS INITIATIVE CULTURAL EXCHANGE CHEYENNE RIVER YOUTH PROJECT PO BOX 410 EAGLE BUTTE SD 57625 460423106 501(C)(3) 25000 0 CHAMPIONS FOR CHANGE INITIATIVE THE HOPI FOUNDATION PO BOX 301 KYKOTSMOVI AZ 86039 742488628 501(C)(3) 25000 0 DATA FOR IMPACT RURAL AND TRIBAL DATA ENHANCEMENT GRANT THE UNIVERSITY OF TEXAS AT AUSTIN 110 INNER CAMPUS DRIVE STOP K5300 AUSTIN TX 78712 746000203 501(C)(3) 25000 0 SUPPORT OYF ASPEN FORUM THE TRUSTES OF THE UNIVERSITY OF PENNSLYLVANIA 3451 WALNUT STREET ROOM 329 PHILADELPHIA PA 19104 231352685 501(C)(3) 24500 0 COLLABORATION ON COMMUNITY-BASED EFFORTS OF CIVIC SCIENCE BOARD OF EDUCATION OF FREDERICK COUNTY 191 S EAST STREET FREDERICK MD 21701 526000941 501(C)(3) 20000 0 AWARD FOR LARGE SUBURBAN REIMAGINING SCHOOL SPORTS WINER COMMUNITY FOUNDATION FOR GREATER BUFFALO INC 726 EXCHANGE STREET SUITE 525 BUFFALO NY 14210 222743917 501(C)(3) 20000 0 OPPORTUNITY YOUTH FORUM LEARNING GRANT SCIENCE LEADERSHIP ACADEMY HOME AND SCHOOL ASSOCIATION 1482 GREEN STREET PHILADELPHIA PA 19130 611513400 501(C)(3) 20000 0 PRIVATE SCHOOL WINNER REIMAGINING SCHOOL SPORTS TRINITY SCHOOL OF DURHAM AND CHAPEL HILL 4011 PICKETT ROAD DURHAM NC 27705 561926923 501(C)(3) 20000 0 AWARD FOR PRIVATE SCHOOL WINNER SEATTLE UNIVERSITY 901-12TH AVENUE PO BOX 222000 SEATTLE WA 98122 910565006 501(C)(3) 14230 0 STEVENS INITIATIVE CULTURAL EXCHANGE TEXAS INTERNATIONAL EDUCATION CONSORTIUM 1103 W 24TH STREET AUSTIN TX 78705 742383582 501(C)(3) 13437 0 STEVENS INITIATIVE CULTURAL EXCHANGE DUKE UNIVERSITY PO BOX 104132 DURHAM NC 27708 560532129 501(C)(3) 10000 0 PARTNERSHIP AWARD FOR THEIR PARTNERSHIP IN THE 2021 ASPEN-NICHOLAS WATER FORUM AND ROUNDTABLES CATHOLIC UNIVERSITY OF AMERICA 620 MICHIGAN AVENUE NE WASHINGTON DC 20064 530196583 501(C)(3) 8275 0 WORK IN THE POLITICS OF VULNERABILITY PROJECT THE URBAN OASIS INC 2812 CLIFTON AVENUE BALTIMORE MD 21216 843768675 501(C)(3) 7000 0 WEAVER AWARDS VILLAGE OF VIOLETVILLE INC 1218 HAVERHILL ROAD BALTIMORE MD 21229 842168228 501(C)(3) 7000 0 WEAVER AWARDS HISPANIC UNITY OF FLORIDA INC 5840 JOHNSON STREET HOLLYWOOD FL 33021 592230272 501(C)(3) 6000 0 2GEN LEVEL UP PRIZE PAYMENT ACHIEVING THE DREAM 8484 GEORGIA AVENUE SUITE 500 SILVER SPRING MD 20910 271635830 501(C)(3) 5500 0 COHORT HONORARIUM 87 0 HONORARIA 200 469450 AWARDS 41 155561 EVENT PARTICIPATION STIPEND 53 75433 HEALTH STIPEND 14 22500 TRAVEL STIPEND 14 18000 PRIZES 4 37500 PART I, LINE 2: THE INSTITUTE PERIODICALLY 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 IS 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 DEGREE 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 1 1 X X X X X 0 0 0 0 0 0 0 0 0 DANIEL PORTERFIELD PRESIDENT & CEO 532293 0 108127 0 3564 0 32346 0 22426 0 698756 0 0 0 ELLIOT GERSON EXECUTIVE VP 444033 0 0 0 6858 0 43500 0 16001 0 510392 0 0 0 NAMITA KHASAT CFO/CAO/TREASURER 404670 0 0 0 3564 0 40711 0 16046 0 464991 0 0 0 DAVID LANGSTAFF EXEC VICE PRESIDENT 346999 0 0 0 6858 0 33461 0 23498 0 410816 0 0 0 STEPHEN PATRICK EXECUTIVE DIRECTOR 329441 0 0 0 1242 0 43500 0 22325 0 396508 0 0 0 JANE WALES VP, EXECUTIVE DIRECTOR 339656 0 0 0 11124 0 43500 0 2042 0 396322 0 0 0 ANN MOSLE VP, EXECUTIVE DIRECTOR 325350 0 0 0 2322 0 43500 0 22332 0 393504 0 0 0 VIVIAN SCHILLER EXECUTIVE DIRECTOR 342815 0 0 0 3564 0 29000 0 15924 0 391303 0 0 0 ERIKA MALLIN EXECUTIVE DIRECTOR 347508 0 0 0 2322 0 25709 0 8988 0 384527 0 0 0 MARIA ACEBAL VP STRATEGIC DEV CORP SECRETARY 260760 0 16500 0 1198 0 24541 0 22335 0 325334 0 0 0 ERIC MOTLEY EVP, CORP SECRETARY - UNTIL 08/2021 279917 0 0 0 498 0 28442 0 10755 0 319612 0 0 0 PART I, LINE 1A THE ASPEN INSTITUTE FOLLOWS A POLICY GOVERNING EXPENSE REIMBURSEMENT AND COMPLIES WITH TRAVEL GUIDELINES APPLICABLE TO ALL EMPLOYEES. X 48 10448358 FMV 0 1 0 PART I, COLUMN (B): THIS COLUMN REPRESENTS THE NUMBER OF ACTUAL CONTRIBUTIONS, NOT THE NUMBER OF ITEMS CONTRIBUTED. PART I, LINE 32B: THE INSTITUTE HAS A WRITTEN GIFT ACCEPTANCE POLICY. IF A DONOR WANTS TO GIVE A GIFT OUTSIDE OF THAT POLICY, IT WILL BE REVIEWED BY SENIOR MANAGEMENT AND, IF NECESSARY, REFERRED TO THE BOARD OF TRUSTEES. FORM 990, PART III, LINE 1 SOCIETY'S BIGGEST CHALLENGES. WE BRING TOGETHER THOUGHTFUL PEOPLE WITH DIVERSE BACKGROUNDS AND POINTS OF VIEW; WE CULTIVATE AND SUPPORT VALUES-BASED, PURPOSE-DRIVEN LEADERS IN MANY COMMUNITIES; WE TURN IDEAS INTO ACTION AND IMPACT FOR INDIVIDUALS AND SOCIETY. FOR NEARLY 70 YEARS, THE INSTITUTE HAS WORKED TO ADVANCE A MISSION TO CULTIVATE ASPIRATIONAL, VALUES-BASED LEADERS; CONVENE DIVERSE THINKERS AND DOERS AROUND CRITICAL QUESTIONS AND ISSUES; ELEVATE COMPELLING IDEAS AND WORKS OF ART, LITERATURE, AND CULTURE; AND NURTURE A STRONG CIVIL SOCIETY, ACCOUNTABLE INSTITUTIONS, AND EFFECTIVE PROBLEM-SOLVING. IT IS BASED IN WASHINGTON, DC WITH CAMPUSES AND OFFICES IN ASPEN, COLORADO, ITS ORIGINAL HOME SINCE ITS FOUNDING IN 1949, AND NEW YORK CITY. ELEVEN OFFICIAL INTERNATIONAL PARTNERS CONDUCT REGULAR MEETINGS AND SEMINARS IN COUNTRIES THROUGHOUT LATIN AMERICA, EUROPE, AND ASIA. FORM 990, PART VI, SECTION B, LINE 11B THE FEDERAL FORM 990 OF THE INSTITUTE IS PREPARED BY AN EXTERNAL ACCOUNTING FIRM USING INFORMATION OBTAINED FROM INSTITUTE'S STAFF. ONCE THE INITIAL DRAFT IS PREPARED, IT IS REVIEWED BY SR. FINANCE/ACCOUNTING STAFF. IF NECESSARY, CHANGES ARE MADE AND ANOTHER DRAFT IS ISSUED. THE SECOND DRAFT FORM 990 IS REVIEWED BY AN APPOINTED MEMBER OF THE AUDIT COMMITTEE ALONG WITH THE EVP FINANCE & ADMINISTRATION AND VP OF FINANCE. IF NECESSARY, CHANGES ARE MADE AND ANOTHER DRAFT IS ISSUED. THE FINAL DRAFT FORM 990 IS PROVIDED TO ALL MEMBERS OF THE AUDIT COMMITTEE, WHICH INCLUDES THE CHAIR OF THE BOARD OF TRUSTEES. ONCE APPROVED, COPIES ARE THEN DISTRIBUTED TO ALL BOARD MEMBERS BEFORE THE RETURN IS FILED WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C ALL ASPEN INSTITUTE TRUSTEES AND EMPLOYEES ARE REQUIRED ANNUALLY TO COMPLETE AND SIGN A DISCLOSURE AND ACKNOWLEDGEMENT FORM RELATED TO THE INSTITUTE'S CONFLICT OF INTEREST POLICY. SPECIFICALLY, ALL TRUSTEES AND EMPLOYEES ARE REQUIRED TO ACKNOWLEDGE THAT THEY HAVE READ, UNDERSTOOD, AND ARE COMMITTED TO ABIDING BY THE INSTITUTE'S CONFLICT OF INTEREST POLICY, AND TO MAKE CERTAIN DISCLOSURES ABOUT THEIR ACTIVITIES OUTSIDE OF WORK AND FINANCES TO HELP IDENTIFY POSSIBLE CONFLICTS OF INTEREST. ALL EMPLOYEE FORMS ARE SUBMITTED TO THE HUMAN RESOURCES DEPARTMENT, WHICH REVIEWS THEM AND HAS DISCRETION, IN COORDINATION WITH THE GENERAL COUNSEL AND SENIOR MANAGEMENT, TO MAKE RECOMMENDATIONS OR RAISE CONCERNS WITH AFFECTED INDIVIDUALS AS APPROPRIATE. ALL TRUSTEE FORMS ARE SUBMITTED TO THE OFFICE OF THE CORPORATE SECRETARY, WHICH REVIEWS THEM ALONG WITH THE GENERAL COUNSEL. MAJOR CONFLICT OF INTEREST ISSUES INVOLVING TRUSTEES AND/OR SENIOR MANAGEMENT ARE REFERRED TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES FOR RESOLUTION. THE CORPORATE SECRETARY, GENERAL COUNSEL AND SENIOR MANAGEMENT REGULARLY CONFER WITH THE CHAIR OF THE AUDIT COMMITTEE REGARDING THE INSTITUTE'S CONFLICT OF INTEREST POLICY AND ANY CONFLICT OF INTEREST ISSUES. FORM 990, PART VI, SECTION B, LINE 15 THE INSTITUTE CONTRACTS WITH AN EXTERNAL COMPENSATION FIRM TO PERFORM A MARKET ANALYSIS TO SET THE SALARY RANGES FOR ALL OF OUR POSITIONS ANNUALLY. THE COMPENSATION FIRM ANALYZES SALARIES FROM LIKE ORGANIZATIONS TO DETERMINE THE APPROPRIATE SALARY RANGE FOR EACH POSITION IN THE INSTITUTE. THE INSTITUTE'S COMPENSATION PHILOSOPHY IS THAT WE GENERALLY TARGET THE 50TH PERCENTILE OF THE MARKET FOR OUR POSITIONS. IN ADDITION TO THE ANNUAL MARKET ANALYSIS FOR ALL POSITIONS, WE CONTRACT WITH AN EXTERNAL COMPENSATION CONSULTANT BI-ANNUALLY TO CONDUCT AN IN-DEPTH ANALYSIS FOR OUR PRESIDENT/CEO AND EACH OF OUR EXECUTIVE OFFICERS. EACH EXECUTIVE'S TOTAL COMPENSATION IS BENCHMARKED AGAINST SIMILAR POSITIONS IN COMPARABLE ORGANIZATIONS IN LABOR MARKETS IN WHICH THE INSTITUTE COMPETES FOR EXECUTIVE TALENT. THE RECOMMENDATIONS OF THE CONSULTANT ARE PRESENTED TO THE EXECUTIVE COMMITTEE OF THE BOARD FOR THEIR REVIEW AND ENDORSEMENT. THE PRESIDENT/CEO'S SALARY IS THEN PRESENTED TO THE FULL BOARD FOR FINAL APPROVAL. TO HELP MITIGATE COVID-RELATED BUDGET IMPACTS, A NUMBER OF ACTIONS WERE TAKEN, INCLUDING VOLUNTARY SALARY REDUCTIONS BY ALL SENIOR EXECUTIVE STAFF, A FREEZE ON OPEN POSITIONS, ACROSS THE BOARD CONTROLS ON SALARY INCREASES, AND OTHER RESTRICTIONS ON SALARIES. FORM 990, PART VI, SECTION C, LINE 19 THE DOCUMENTS ARE ALL PUBLISHED ON OUR WEBSITE AND MADE AVAILABLE BY REQUEST. FORM 990, PART IX, LINE 11G CONTRACTUAL INTERNATIONAL STAFF: PROGRAM SERVICE EXPENSES 1,533,184. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 1,533,184. IT SUPPORT SERVICE: PROGRAM SERVICE EXPENSES 713,331. MANAGEMENT AND GENERAL EXPENSES 1,579,761. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,293,092. CONSULTANTS: PROGRAM SERVICE EXPENSES 12,656,972. MANAGEMENT AND GENERAL EXPENSES 1,233,268. FUNDRAISING EXPENSES 2,125. TOTAL EXPENSES 13,892,365. CONTRIBUTING WRITERS AND RAPPORTEURS: PROGRAM SERVICE EXPENSES 195,257. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 195,257. TEMPORARY SERVICES: PROGRAM SERVICE EXPENSES 181,943. MANAGEMENT AND GENERAL EXPENSES 72,308. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 254,251. PHOTOGRAPHY: PROGRAM SERVICE EXPENSES 185,475. MANAGEMENT AND GENERAL EXPENSES 5,787. FUNDRAISING EXPENSES 2,863. TOTAL EXPENSES 194,125. PROMOTIONAL EXPENSE: PROGRAM SERVICE EXPENSES 94,239. MANAGEMENT AND GENERAL EXPENSES 28,456. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 122,695. CONTRACTED SERVICES: PROGRAM SERVICE EXPENSES 1,076,540. MANAGEMENT AND GENERAL EXPENSES 1,294,280. FUNDRAISING EXPENSES 64,198. TOTAL EXPENSES 2,435,018. AUDIO VISUAL/DIGITAL SERVICES: PROGRAM SERVICE EXPENSES 765,981. MANAGEMENT AND GENERAL EXPENSES 58,536. FUNDRAISING EXPENSES 71,287. TOTAL EXPENSES 895,804. MODERATOR AND SPEAKER: PROGRAM SERVICE EXPENSES 519,669. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 1,750. TOTAL EXPENSES 521,419. FORM 990, PART XI, LINE 9: REFUNDED GRANTS 195,226.