2019-11-14T17:37:59-06:00 2018-12-29 GRANT THORNTON LLP 171 N CLARK ST SUITE 200 CHICAGO IL 60601 990 2017-12-31 362167808 National Opinion Research Center % JAMES E DUNNE NATI 3127594000 55 E Monroe Street 20th Floor Chicago IL 60603 JAMES E DUNNE CFO/EVP/TREASURER 3127594000 2019-11-14 true Bridget T Roche P00666837 3128560200 65.229.29.128 36941220193185000018 2019-11-14 P C3E09875FC8964D7BD48D85BA168F29EA7DE466D DB64C1701B389F151E46C096E2734789DEA2CBCD 2018 2020-01-14 16:20:31Z NORC JAMES E DUNNE 55 E Monroe Street 20th Floor Chicago IL 60603 196232061 false X www.norc.org X 1942 CO CONDUCT RESEARCH AND DATA SCIENCE ON CRITICAL SOCIETAL ISSUES TO GUIDE DECISION-MAKING AND THE DEVELOPMENT OF PROGRAMS AND PUBLIC POLICY. 16 8 3824 8 2391511 656822 159438661 157946617 27360906 37572900 977906 557421 0 0 187777473 196076938 0 0 0 0 99600456 105233155 0 0 0 82337006 87460196 181937462 192693351 5840011 3383587 95932808 106696332 50592223 59490642 45340585 47205690 X NORC AT THE UNIVERSITY OF CHICAGO CONDUCTS RESEARCH AND DATA SCIENCE ON CRITICAL SOCIETAL ISSUES TO GUIDE DECISION-MAKING AND THE DEVELOPMENT OF PROGRAMS AND PUBLIC POLICY. OUR EXPERTS IDENTIFY RELATIONSHIPS AND TRENDS, AND EVALUATE PROGRAMS AND INTERVENTIONS, IN THE AREAS OF ECONOMICS, MARKETS, AND THE WORKFORCE; EDUCATION, TRAINING, AND LEARNING; GLOBAL DEVELOPMENT; HEALTH AND WELL-BEING; AND SOCIETY, MEDIA, AND PUBLIC AFFAIRS. IN THE COURSE OF THIS WORK, THEY ADVANCE RESEARCH METHODS AND TECHNOLOGIES, AND FOSTER THE RESPONSIBLE AND SCIENTIFICALLY RIGOROUS USE OF DATA. false false 132241688 0 37572900 NORC at the University of Chicago is an independent research institution that delivers reliable data and rigorous analysis to guide critical programmatic, business, and policy decisions. Since 1941, NORC has conducted groundbreaking studies, created and applied innovative methods and tools, and advanced principles of scientific integrity and collaboration. Today, government, corporate, and nonprofit clients around the world partner with NORC to transform increasingly complex information into useful knowledge. Our comprehensive and integrated services span the research cycle and offer solutions that anticipate and address critical needs in research and data science. Those services include: . Strategy and Planning . Design and Methodology . Data Collection and Management . Analytics and Data Science . Policy Analysis, Program Implementation and Evaluation . Strategic Communication and Dissemination Our areas of research focus include: . Economics, Markets, and the Workforce . Education, Training, and Learning . Global Development . Health and Well-Being . 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THE PURPOSE OF THESE MEETINGS WAS TO FAMILIARIZE MEMBERS OF CONGRESS WITH NORC MANAGEMENT MEMBERS AND TO EDUCATE THEM ABOUT IMPORTANT SCIENTIFIC OR POLICY MATTERS THAT WERE IMPORTANT TO NORC AND THE SOCIAL SCIENCE COMMUNITY. NORC PARTICIPATED IN MEETINGS TO SUPPORT FUNDING FOR FEDERAL STATISTICS PROGRAMS. NORC ALSO CONDUCTED A NUMBER OF LOBBYING ACTIVITIES IN SUPPORT OF A FEDERAL STATISTICS PROGRAM INCLUDING, BUT NOT LIMITED TO, HOLDING AN EDUCATIONAL BRIEFING FOR CONGRESSIONAL STAFF, ASKING MEMBERS TO SEND LETTERS TO THE APPLICABLE AGENCY, AND SHARING PUBLICATIONS AND OTHER MATERIALS. THESE LOBBYING ACTIVITIES ARE IN STRICT ACCORDANCE WITH THE LOBBYING PRINCIPLES THAT NORC DEVELOPED WITH ITS BOARD OF TRUSTEES. 1807420 1253419 554001 20009168 17545935 2463233 3017234 FIXED INCOME FUNDS 6859242 F 457B INVESTMENT 659135 F 7518377 0 DUE TO UNIVERSITY OF CHICAGO 383974 383974 X 194558456 -1518482 -1518482 196076938 196076938 192693351 192693351 192693351 SCHEDULE D, PART X, LINE 2 LIABILITY FOR UNCERTAIN TAX POSITIONS (ASC 740) NORC has received a favorable determination letter from the Internal Revenue Service stating that it is exempt from federal income taxes under the provision of Section 501(c)(3) of the Internal Revenue Code of 1986, as amended, except for income taxes pertaining to unrelated business income. The Financial Accounting Standards Board issued guidance that requires tax effects from uncertain tax positions to be recognized in the financial statements only if the position is more likely than not to be sustained if the position were to be challenged by a taxing authority. Management has determined that there are no material uncertain positions that require recognition in the financial statements. Additionally, a provision for income taxes is reflected in the 2018 financial statements and there is no interest or penalties recognized in the accompanying financial statements. Central America and the Caribbean Program Services Eval & Surv Research 2181100 East Asia and the Pacific Program Services Eval & Surv Research 981013 Europe (Including Iceland and Greenland) Program Services Eval & Surv Research 996652 Middle East and North Africa Program Services Eval & Surv Research 168796 Russia and the Newly Independent States Program Services Eval & Surv Research 423191 South America Program Services Eval & Surv Research 442082 South Asia Program Services Eval & Surv Research 316930 Sub-Saharan Africa 1 Program Services Eval & Surv Research 12502497 1 1 18012261 18012261 false false false false false false X true true X X X X X false false false false false false false true false Edward O Laumann Chair & Trustee (thru 11/18) 41191 183872 0 0 0 0 0 15438 0 15249 41191 214559 0 0 J Mark Hansen Trustee 0 384185 0 3025 0 8240 0 22000 0 23350 0 440800 0 0 Robert Gertner Trustee 0 472331 0 588688 0 0 0 22000 0 32841 0 1115860 0 0 Harry L Davis Trustee 0 371436 0 486288 0 0 0 22000 0 23826 0 903550 0 0 David Nirenberg Trustee 0 536946 0 900 0 4361 0 22000 0 37355 0 601562 0 0 Amanda Woodward Trustee (as of 7/18) 0 355002 0 24002 0 1898 0 22000 0 52719 0 455621 0 0 Kerwin Charles Chair & Trustee (as of 11/18) 0 662056 0 111286 0 76762 0 22000 0 63649 0 935753 0 0 Diane Lauderdale Trustee 0 340932 0 0 0 0 0 22000 0 49 0 362981 0 0 Daniel Diermeier Trustee 0 840836 0 91000 0 65576 0 72000 0 47175 0 1116587 0 0 Daniel Gaylin President 569135 0 110000 0 44683 0 23843 0 24022 0 771683 0 0 0 Michele Nachbar EVP/Secretary 381399 0 85000 0 29497 0 23843 0 23920 0 543659 0 0 0 James E Dunne CFO/EVP/Treasurer 394568 0 70000 0 29324 0 23843 0 3445 0 521180 0 0 0 Ron Jurek CIO/EVP 368218 0 65000 0 28457 0 23843 0 25611 0 511129 0 0 0 Kirk Wolter Executive Vice President 369978 0 80000 0 6936 0 23843 0 19113 0 499870 0 0 0 Chet Bowie Executive Vice President 345513 0 50000 0 16836 0 23843 0 1000 0 437192 0 0 0 Michael Davern Executive Vice President 318168 0 50000 0 23636 0 23843 0 28287 0 443934 0 0 0 Caitlin Oppenheimer Senior Vice President 262214 0 38000 0 0 0 23409 0 9240 0 332863 0 0 0 Jeffrey Telgarsky Executive Vice President 326367 0 50000 0 24136 0 23843 0 12216 0 436562 0 0 0 John Dennis Senior Vice President 292366 0 58160 0 1537 0 23843 0 22961 0 398867 0 0 0 Kennon Copeland Senior Vice President 291438 0 40000 0 1179 0 23843 0 19352 0 375812 0 0 0 Angela Debello Senior Vice President 272476 0 45219 0 420 0 23582 0 5000 0 346697 0 0 0 John Kalb Senior Vice President 264175 0 47000 0 0 0 23582 0 19180 0 353937 0 0 0 Schedule J, Part I, Line 1a HEALTH OR SOCIAL CLUB DUES OR INITIATION FEES Daniel Gaylin receives an expense reimbursement for the Quadrangle Club, The University Club, the Economics Club, and the Commercial Club social dues. Such payments are generally provided based on the provisions of a services agreement. The payments for such items are nontaxable to the individual. Schedule J, Part I, Line 7 non-fixed payments NORC paid discretionary bonuses to staff based on individual performance. The President/CEO determined the available bonus pool dollars, and allocated to his or her direct reports (senior executives) based on payroll, (they are also provided the salary and bonus history for staff for the past 5 years). The senior executives determined how their portion of the bonus pool was allocated among the departments/units in their areas. If the allocations deviated substantially from allocations based on payroll, there must be President/CEO review and approval. The President/CEO and senior executives convene to review, finalize, and approve all recommendations for bonuses (other than those people on the Board Compensation Committee). Upon completion of the President/CEO and senior executive review, the approved increases will be sent to HR for those staff not eligible for Board Compensation Review. The President/CEO will meet with the Board Compensation Committee, and obtain approval for the proposed actions for the Board Compensation Committee staff. Once approved the President/CEO will provide HR with the final approved salary actions. FORM 990, PART VI, LINE 1A EXECUTIVE COMMITTEE BY A MAJORITY VOTE OF THE TRUSTEES IN OFFICE, THE BOARD OF TRUSTEES MAY DESIGNATE AN EXECUTIVE COMMITTEE CONSISTING OF AT LEAST THREE TRUSTEES, ONE OF WHOM SHALL BE THE CHAIR OF THE BOARD OF TRUSTEES, WHO SHALL ALSO BE CHAIR OF THE EXECUTIVE COMMITTEE. THE BOARD OF TRUSTEES MAY DESIGNATE ONE OR MORE OF THE TRUSTEES AS ALTERNATE MEMBERS OF THE EXECUTIVE COMMITTEE, WHO MAY REPLACE ANY ABSENT OR DISQUALIFIED MEMBER AT ANY MEETING OF THE COMMITTEE UPON THE REQUEST OF THE CHAIR OF THE BOARD OF TRUSTEES. EXCEPT AS OTHERWISE REQUIRED BY LAW OR THESE BYLAWS, THE EXECUTIVE COMMITTEE SHALL HAVE SUCH AUTHORITY AS THE BOARD OF TRUSTEES SHALL GRANT TO IT FOR THE MANAGEMENT OF THE CORPORATION, INCLUDING THE AUTHORITY TO ATTEND TO AND MANAGE THE DETAILS OF THE BUSINESS OF THE CORPORATION AND THE POWER TO AUTHORIZE THE SEAL OF THE CORPORATION TO BE AFFIXED TO ALL PAPERS THAT MAY REQUIRE IT. THE EXECUTIVE COMMITTEE SHALL NOT DETERMINE IMPORTANT MATTERS OF POLICY AND SHALL, AT ALL TIMES, BE SUBJECT TO THE CONTROL AND SUPERVISION OF THE BOARD OF TRUSTEES. ANY ACTION BY THE TRUSTEES RESCINDING OR CHANGING ANY ACTION TAKEN BY THE EXECUTIVE COMMITTEE SHALL NOT INVALIDATE ANY ACTS OF THE OFFICERS OR OTHER PERSONS PROPERLY TAKEN PRIOR TO SUCH RESCISSION OR CHANGE. THE EXECUTIVE COMMITTEE SHALL KEEP REGULAR MINUTES OF ITS PROCEEDINGS AND SHALL REPORT THE SAME TO THE BOARD OF TRUSTEES AT THE NEXT REQUIRED OR SPECIAL MEETING OF THE BOARD OF TRUSTEES. VACANCIES IN THE EXECUTIVE COMMITTEE SHALL BE FILLED BY THE BOARD OF TRUSTEES AT A REGULAR OR SPECIAL MEETING. FORM 990, PART VI, LINE 7A MEMBERS OR STOCKHOLDERS WHO MAY ELECT THE UNIVERSITY OF CHICAGO IS A RELATED ORGANIZATION OF NATIONAL OPINION RESEARCH CENTER ("NORC"). AS SUCH, THEY HAVE THE RIGHT TO APPOINT GREATER THAN 50% OF NORC'S BOARD OF TRUSTEES. FORM 990, PART VI, LINE 7B DECISIONS SUBJECT TO APPROVAL THE UNIVERSITY OF CHICAGO HAS THE RIGHT TO APPROVE THE BOARD OF TRUSTEE'S APPOINTMENT OF MEMBERS OF THE GOVERNING BODY. FORM 990, PART VI, LINE 11B FORM 990 REVIEW PROCESS NORC'S PROCESS FOR REVIEWING AND APPROVING THE FORM 990 IS AS FOLLOWS: UPON COMPLETION OF THE RETURN, SEVERAL LAYERS OF REVIEW WERE CONDUCTED. THE INITIAL REVIEW OF THE COMPLETED RETURN WAS COMPLETED BY THE RESPECTIVE STAFF WITHIN THE FINANCE DEPARTMENT. FOLLOWING THE INITIAL REVIEW, THE PRESIDENT AND TREASURER WERE PROVIDED A COPY OF THE RETURN FOR COMMENT. COMMENTS WERE FORWARDED TO GRANT THORNTON FOR INCORPORATION INTO THE RETURN. FOLLOWING THE SENIOR MANAGEMENT REVIEW, THE AUDIT/FINANCE COMMITTEE MEMBERS WERE PROVIDED A COPY OF THE RETURN FOR COMMENT. COMMENTS WERE FORWARDED TO GRANT THORNTON FOR INCORPORATION INTO THE RETURN. FINALLY, THE RETURN IS PRESENTED TO THE FULL BOARD OF TRUSTEES FOR REVIEW PRIOR TO FILING. COMMENTS FROM THESE REVIEWS WERE EVALUATED AND PROVIDED TO GRANT THORNTON, WHO UPDATED THE RETURN, IF APPLICABLE. FORM 990, PART VI, LINE 12C CONFLICT OF INTEREST POLICY MONITORING & ENFORCEMENT NORC HAS A WRITTEN CONFLICT OF INTEREST POLICY ADDRESSING INSTANCES WHERE A THIRD-PARTY RELATIONSHIP OF A NORC EMPLOYEE OR A PAID CONSULTANT COULD IN SOME WAY POTENTIALLY PRESENT OR APPEAR TO PRESENT A COMPROMISE RELATED TO ACTIONS AND DECISIONS MADE ON BEHALF OF NORC. THE POLICY ALLOWS FOR THE PRESIDENT AND TREASURER TO REVIEW AND EVALUATE THE EXTENT OF THE CONFLICT OF INTEREST FOR ANY EMPLOYEE WITH A POTENTIAL OR REAL CONFLICT OF INTEREST. MANAGEMENT WILL THEN DEVELOP A MITIGATION PLAN TO ADDRESS THE SPECIFIC DISCLOSED CONFLICT OF INTEREST. THE CONFLICT OF INTEREST POLICY IS REVIEWED AND APPROVED ON A PERIODIC BASIS BY THE NORC BOARD OF TRUSTEES. FORM 990, PART VI, LINES 15A & 15B PROCESS FOR DETERMINING COMPENSATION THE COMPENSATION COMMITTEE OF THE NORC BOARD OF TRUSTEES ESTABLISHES AND DETERMINES CERTAIN SENIOR MANAGEMENT EMPLOYEES ANNUAL (GENERALLY, BUT NOT EXCLUSIVELY, THE PRESIDENT AND HIS OR HER DIRECT REPORTS) COMPENSATION AND BONUSES. RECOMMENDATIONS FOR PROPOSED SALARY ADJUSTMENTS AND BONUSES FOR THIS GROUP, ALONG WITH RELEVANT COMPENSATION INFORMATION, ARE PROVIDED TO THE COMPENSATION COMMITTEE FOR REVIEW USING COMPARABLE DATA. ALL SUCH INFORMATION IS CONTEMPORANEOUSLY DOCUMENTED. THE CHAIR OF THE COMPENSATION COMMITTEE SIGNS OFF ON ANY COMPENSATION COMMITTEE APPROVED BONUSES AND SALARY CHANGES FOR HIGHLY COMPENSATED EMPLOYEES. THE COMPENSATION OF OTHER OFFICERS OR KEY EMPLOYEES OF NORC IS REVIEWED ANNUALLY BY THE SALARY REVIEW COMMITTEE ("SRC"), WHICH IS APPOINTED ANNUALLY BY THE PRESIDENT. SRC REVIEWS SIMILAR POSITIONS WITHIN AND ACROSS DEPARTMENTS, STARTING RATES, SALARY RANGE MAXIMUMS, AND DISCUSSES MARKET CONSIDERATIONS. THE SRC MAY APPROVE, DISAPPROVE, MODIFY OR DEFER INCREASES OF COMPENSATION. FORM 990, PART VI, LINE 19 HOW DOCUMENTS ARE MADE AVAILABLE TO THE PUBLIC THE ORGANIZATION MAKES ITS ARTICLES OF INCORPORATION, BY-LAWS, CONFLICT OF INTEREST POLICY, FORM 990 AND AUDITED FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST AT THE HEADQUARTERS. FORM 990, PART VII, SECTION B INDEPENDENT CONTRACTORS NORC RECEIVED FEDERAL GOVERNMENT GRANTS TO CONDUCT SOCIAL SCIENCE RESEARCH THAT REQUIRED NORC TO USE SUBCONTRACTORS TO COMPLETE A SIGNIFICANT PORTION OF SUCH RESEARCH. FOR PURPOSES OF REPORTING THE "FIVE HIGHEST COMPENSATED INDEPENDENT CONTRACTORS", NORC HAS NOT CONSIDERED THESE SUBCONTRACTORS. FORM 990 PART IX LINE 11G DESCRIPTION:SUBCONTRACTS TOTAL FEES:30470763 FORM 990 PART IX LINE 11G DESCRIPTION:RESPONDENT FEES TOTAL FEES:4982383 FORM 990 PART IX LINE 11G DESCRIPTION:HIRING AND RECRUITING TOTAL FEES:896055 University of Chicago 5801 S Ellis Ave Chicago IL 60637 362177139 Educ & Resear IL 501(c)(3) 2 NA false false false true false false false false false false false true true true false false false false false false