2018-08-15T09:12:07-05:00 2017-09-30 861065772 Deloitte Tax LLP 2 Jericho Plaza Jericho NY 11753 990 2016-10-01 210634479 Educational Testing Service EDUC 6099219000 Rosedale Road MS 20-J Princeton NJ 08541 Jack Hayon SVP & Chief Financial Officer 6099219000 2018-08-09 Christine Kawecki P00743140 5169187000 2016 2022-09-23 18:48:47Z Jack Hayon Rosedale Road MS 20-J Princeton NJ 08541 1576000317 0 X www.ets.org X 1947 NY See Page 2, Part III, Question 1 17 16 32927 0 13533949 -12869768 8691256 8163384 1211680710 1227726560 47092990 85841710 86539438 84862955 1354004394 1406594609 1686586 1363691 0 0 439925534 453425438 0 0 0 868738011 885261534 1310350131 1340050663 43654263 66543946 1169535566 1319854215 441217985 508653571 728317581 811200644 X Educational Testing Service (ETS) was incorporated in 1947 by the Board of Regents for the Education Department of the State of New York as an educational organization to engage in research, services and other activities in the field of educational testing.MISSIONOur mission is to help advance quality and equity in education by providing fair and valid assessments, research and related services. Our products and services measure knowledge and skills, promote learning and performance, and support education and professional development for all people worldwide.VISIONETS will be recognized as the global leader in providing fair and valid assessments, research and related products and services to help individuals make successful educational and career transitions throughout their lives, parents understand and use assessments and related products to help their children reach their full potential and teachers improve their practice through assessment and professional development. 0 0 820546957 1363691 858868380 Assessment Research, Development, and Scoring Educational Testing Service ("ETS") conducts research on statistical and psychometric methodology to advance the science of educational measurement and ensure the technical quality and fairness of ETS's assessments and assessment-related services. Through its Policy Evaluation and Research Center, ETS also conducts research and analyses that address challenging educational policy issues. In conjunction with its research, ETS develops educational assessments for use by states in K-12 assessment, for college admissions and the transition from high school to college, for graduate and business school admissions, and for use in measuring knowledge and skills, promoting learning and performance, and supporting education and professional development. ETS has developed more than 200 assessment programs including but not limited to Praxis, HiSET, Test of English as a Foreign Language (TOEFL), Graduate Record Examination (GRE), Test of English for International Communication (TOEIC), and state specific and pre-college assessments. In conjunction with its research, ETS continues working collaboratively with the National Center for Education Statistics on the National Assessment of Educational Progress (NAEP). Additionally, ETS's Institute for Student Achievement (ISA) continues working in partnership with districts and schools to transform underperforming high schools into rigorous and supportive learning environments that prepare students to be college-ready.Each year, ETS scores and delivers millions of assessments and score reports to examinees and institutions, in numerous formats and using a variety of means.The process of scoring educational assessments includes ensuring that tests: (a) accurately measure what they are intended to measure; (b) generate consistent results across different versions and among different groups of test takers; and (c) are fair to all test takers. 353700000 368858180 Assessment Administration & Delivery ETS provides test administration and delivery services. ETS administers assessments for college admissions as well as assessments supporting student's transition from high school to college. ETS administers approximately 15 million assessments annually in more than 6,600 locations. ETS has test centers and related test administration staff undergo a rigorous training and approval process prior to the administration of an assessment. For example, test center administrators are primarily responsible for establishing a secure testing environment and managing day-to-day testing activities. These activities provide vital support for the administration and delivery of ETS assessment in numerous formats and using a variety of means. 1174246957 1 1 0 1 0 0 0 0 0 0 1 1 1 0 1 1 0 1 0 1 1 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 1 0 0 0 0 0 1 1 1 1 0 0 1 X 103407 0 32927 1 1 1 1 AS BE CA CH FR GM IN EI IS IT JA JO LU MY MT NL PL SN SF KS SZ TU AE UK 0 0 0 0 0 0 0 0 X 17 16 0 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 AZ CA DC DE IN KS NJ NY OR X Michael J Freddo Vice President a 6099219000 Rosedale Road MS 20-J Princeton NJ 08541 Carstarphen Meria Trustee 2.00 X 54000 0 0 Colbert Isaac Trustee 2.00 X 62000 0 0 English Michela A Trustee 2.00 X 104000 0 0 Garcia Ofelia Trustee 2.00 X 62000 0 0 Driver Darienne Trustee 2.00 X 0 0 0 Henderson Wade N Trustee 2.00 X 86000 0 0 Kanter Martha Trustee 2.00 X 62000 0 0 Sine Jeffrey Trustee 2.00 X 78000 0 0 Lewis Earl Trustee 2.00 X 69000 0 0 Lumpkins Robert Trustee 2.00 X 70000 0 0 Menezes Victor Trustee 2.00 X 77000 0 0 Murley Robert S Trustee 2.00 X 77750 0 0 Pellegrino James Trustee 2.00 X 0 0 0 Rothkopf Arthur J Trustee 2.00 X 82000 0 0 Stewart Debra W Trustee 2.00 X 82000 0 0 Tatum Beverly Daniel Trustee 2.00 X 62000 0 0 Valdes Guadalupe Trustee 2.00 X 85000 0 0 Winckler Georg Trustee 2.00 X 54000 0 0 MacDonald Walter B President 40.00 X X 1120730 0 37734 Bailey Diane A VP Teacher Licensure & Certification 40.00 X 374654 0 49575 Basehore John VP & Treasurer 40.00 X 338481 0 49652 Donado Yvette SVP & Chief Admin Officer 40.00 X 436009 0 58866 Draper Jr William C VP & COO College Board 40.00 X 384961 0 38460 Elliott Thomas J VP & CLO Strategic Workforce 40.00 X 382487 0 47440 Ercikan-Alper Kadriye VP Stat Analysis & Psych Research 40.00 X 84118 0 13137 Farnum Marisa VP Assessment Development 40.00 X 337155 0 29865 Freddo Michael J VP & Controller 40.00 X 412840 0 38211 Gilbertson Bruce M VP Facilities & Real Estate 40.00 X 349995 0 32329 Gorin Joanna VP Research 40.00 X 299167 0 31841 Hayon Jack SVP & CFO 40.00 X 609545 0 46310 Hernandez Sandra VP Finance 40.00 X 367978 0 42815 Hobson David VP & Corporate Secretary 40.00 X 349037 0 36312 House Naomi President ISA 40.00 X 595269 0 39050 Hunt David SVP Global Ed. & Workforce 40.00 X 478800 0 69723 Johnson-Gregory Sheree L VP Assoc. General Counsel 40.00 X 359000 0 58176 Kerins Nancy J SVP Production & Delivery 40.00 X 547019 0 38552 Lawrence Ida M SVP Research & Development 40.00 X 632650 0 39907 Lazer Stephen SVP Student & Teacher Assessment 40.00 X 471167 0 66899 Mazzeo John VP Stat Analysis & Psych. 40.00 X 391523 0 23850 Miller George VP Strategic Workforce Solutions 40.00 X 374806 0 30033 Nelson Scott F SVP & Chief Marketing Officer 40.00 X 457082 0 64990 Nettles Michael T SVP & Controller for Policy Evaluation 40.00 X 439829 0 48294 Oswald John VP & COO K-12 Assessment 40.00 X 385035 0 38450 Payne David G VP & COO Global Education 40.00 X 518018 0 45744 Pfund Rebecca VP IT Production 40.00 X 397855 0 57409 Pote Stephen K VP & Chief Quality Officer 40.00 X 351345 0 48368 Rockey Anne F VP Test Taker Services 40.00 X 352012 0 47498 Schroeder Glenn C SVP & General Counsel 40.00 X 594807 0 45680 Wakeman Daniel VP & Chief Information Officer 40.00 X 368164 0 59466 Weaver Scott V VP & Chief Strategy Officer 40.00 X 407106 0 61940 Williamson David VP New Product Development 40.00 X 282977 0 50916 Bennett Randy E Frederiksen Chair Assessment 40.00 X 354242 0 31212 Kirsch Irwin Tyler Chair LG Scale Assessment 40.00 X 350346 0 39694 Chan Peter General Manager, Applications 40.00 X 304978 0 49996 Schmidt Amy General Manager, Stat Analyst 40.00 X 308917 0 45957 Mislevy Robert Lord Chair in Meas & Statistic 40.00 X 286149 0 34378 Johnson Melvin Former Trustee 2.00 X 10500 0 0 Paris Scott G Former Distinguished Pres Appointee 40.00 X 208066 0 15470 17241569 0 1704199 1418 1 1 0 Accenture LLP 161 North Clark St Chicago IL 60601 Supply chain 72775870 Computer Sciences Corporation 3180 Fairview Park Drive Falls Church VA 22042 Computer services 51326388 Iris Software Inc 200 Metroplex Drive Suite 300 Edison NJ 08817 Temporary labor 26027821 Adecco Corporation 175 Broad Hollow Road Melville NY 11747 Temporary labor 24099672 American Institutes for Research 200 Vesey Street Floor 24 New York NY 10281 Consulting 23942351 185 7870715 292669 8163384 Assess R&D & Scoring 611710 858868380 858868380 Assess Admin&Delivery 611710 368858180 368858180 1227726560 66911415 66911415 71298730 71298730 30276 0 30276 30276 30276 188234203 101800 169290637 115071 18943566 -13271 18930295 18930295 Occupational & Prof Sk 611600 9404276 9404276 Chauncey Conf. Center 721000 3951308 3951308 Services to subsidiari 541900 178365 178365 13533949 1406594609 1227726560 13533949 157170716 X 1078416 1078416 285275 285275 17054170 6580181 10473989 582808 582808 332109412 271774937 60334475 28795488 22917667 5877821 50692296 40344834 10347462 24191264 19253271 4937993 8205216 1836306 6368910 3704760 3704760 27376 27376 709563 709563 571713096 536900652 34812444 23070036 22850623 219413 171503434 163370374 8133060 2061035 2061035 20217922 14768018 5449904 7632720 6488423 1144297 2436236 2113723 322513 1333154 1333154 57974035 52225704 5748331 2225838 2225838 Business Fees 4905936 2027809 2878127 Foreign and State Tax 3718075 3718075 Chauncey Conference Cen 3344078 3344078 Memberships and Dues 479024 307556 171468 1340050663 1174246957 165803706 0 9606317 24363634 41346792 105914677 151322221 142493350 27573064 26207297 26910462 291460543 169780773 129797556 121679770 108629636 124671114 560847390 502791360 105007285 138935437 135262499 2842920 3187000 1169535566 1319854215 159387615 171855154 100174774 101199740 181655596 235598677 441217985 508653571 X 728317581 811200644 728317581 811200644 1169535566 1319854215 X 66543946 4095233 12243884 X 0 1 X 1 1 1 X 11378847 9848829 5869527 8691255 8163384 43951842 1040603980 1086721635 812183280 1211680710 1227726560 5378916165 1051982827 1096570464 818052807 1220371965 1235889944 5422868007 0 359048657 400936397 363759501 525014890 525817956 2174577401 359048657 400936397 363759501 525014890 525817956 2174577401 3248290606 66309563 119431874 96024877 119884373 138342221 539992908 66309563 119431874 96024877 119884373 138342221 539992908 1118292390 1216002338 914077684 1340256338 1374232165 5962860915 0.54480 0.56060 0.09060 0.08350 X Part III, Sections A and B As a result of Educational Testing Service changing from a calendar year end to a September 30 fiscal year end in 2015,Schedule A, Part III, Sections A & B, the 2016 column represents the period 10/01/2016 to 09/30/2017. The 2015 column represents the period 10/01/2015 to 9/30/2016. The 2014 column represents the period 1/1/2015 to 09/30/2015. The 2013 column represents the period 1/1/2014 to 12/31/2014. The 2012 column represents the period 1/1/2013 to 12/31/2013. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 27376 27376 1314308765 1314336141 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 94519 49570 37186 27376 208651 250000 250000 250000 250000 1000000 1500000 Part II-A, Line 2, Lobbying Activities: Total ETS federal and state lobbying expenses were $27,376. The total lobbying expenditures of ETS were minimal in comparison to total revenues. Part II-A, Line 2 a-f, Lobbying Expenditures During 4-Year Averaging Period As a result of Educational Testing Service changing from a calendar year end to a September 30 fiscal year end in 2015, Schedule C, Part II-A, Sections 2, the 2016 column represents the period 10/01/2016 to 09/30/2017. The 2015 column represents the period 10/01/2015 to 9/30/2016. The 2014 column represents the period 1/1/2015 to 09/30/2015. The 2013 column represents the period 1/1/14 to 12/31/14. 1970618 1970618 207305030 118189535 89115495 5910319 3328823 2581496 76274576 48262415 28012161 121679770 Investment in affiliated entities 426170616 F Non-publicly traded securities 76620744 F 502791360 ETSQ Holdings LLC Investment in Program Related affiliate 105007285 F 105007285 Post-retirement medical benefits 126635826 Other liabilities 108962851 235598677 X Part X, Line 2: This summary reflects the ETS portion of the ASC 740-10(FIN 48) Note in the Consolidated Financial Statements. Educational Testing Service adopted ASC 740-10(FIN 48) on January 1, 2009 in accordance with U.S. Generally Accepted Accounting Procedures (US GAAP). In accordance with the US GAAP requirements, Educational Testing Service adjusted its net assets for its uncertain tax positions. It is reasonably possible that the balance of gross unrecognized tax benefits may change within the next twelve months, due to lapse of applicable statutes of limitations or closure of an examination. 1 North America 0 991 Program services Assessment Administration & Delivery 1683023 Europe 0 673 Program services Assessment Administration & Delivery 11719789 Central America and the Caribbean 0 579 Program services Assessment Administration & Delivery 440492 East Asia and the Pacific 0 1961 Program services Assessment Administration & Delivery 10363349 Middle East and North Africa 0 666 Program services Assessment Administration & Delivery 1828378 Russia and Neighboring States 0 208 Program services Assessment Administration & Delivery 336207 South America 0 559 Program services Assessment Administration & Delivery 1231115 South Asia 0 1375 Program services Assessment Administration & Delivery 4431368 Sub-Saharan Africa 0 449 Program services Assessment Administration & Delivery 1066557 Europe 0 0 Investments 14469782 North America 0 0 Investments 522015 Central America and the Caribbean 0 0 Investments 10841754 0 7012 0 449 0 7461 32033721 26900108 58933829 1 0 1 0 0 1 1 50 Can Inc 1112 16th Street NW Suite 240 Washington DC 20036 273069592 501(c)(3) 25000 Support of local community educational programs. Asian Pacific Islander American Scholarship Fund 2025 M Street NW Suite 610 Washington DC 20036 571192973 501(c)(3) 10000 Support of local community educational programs. American Assoc of Hispanics in Higher Education (AAHHE) c/o Arizona State University Tempe AZ 85257 300150324 501(c)(3) 50000 Support of local community educational programs. American Indian Higher Education Consortum 121 Oronoco Street Alexandria VA 22314 840640326 501(c)(3) 60857 Fair Market Value Catering and Supplies Support of local community educational programs. Anchor House Foundation Inc 482 Centre Street Trenton NJ 08611 222229995 501(c)(3) 10000 Support of local community educational programs. Career Development Awards PO Box 2314 Princeton NJ 08542 237206954 501(c)(3) 5000 4315 Fair Market Value Catering and Supplies Support of local community educational programs. Children's Defense Fund 25 E Street NW Washington DC 20001 520895622 501(c)(3) 161000 Support of local community educational programs. College Board 3700 Crestwood Parkway Suite 700 Duluth GA 30096 131623965 501(c)(3) 9496 Support of local community educational programs. Communities in Schools of San Antonio 1616 E Commerce Bldg 1 San Antonio TX 78205 742393714 501(c)(3) 5230 Support of local community educational programs. Council for Opportunity in Education 1025 Vermont Avenue NW Suite 900 Washington DC 20005 521221301 501(c)(3) 25000 Support of local community educational programs. Education Law Center 60 Park Place Newark NJ 07102 222014555 501(c)(3) 10000 Support of local community educational programs. Educational Leadership Foundation of New Jersey 413 West State Street Suite 207 Trenton NJ 08618 264437074 501(c)(3) 60083 Fair Market Value Catering and Supplies Support of local community educational programs. Ewing High School 990 Parkway Avenue Ewing NJ 08618 Government 6101 Fair Market Value Catering and Supplies Support of local community educational programs. Ewing Public Education Foundation PO Box 7033 Ewing NJ 08628 223347353 501(c)(3) 45288 237 Fair Market Value Catering and Supplies Support of local community educational programs. Ewing Public School District 2099 Pennington Road Ewing NJ 08618 Government 5700 Fair Market Value Catering and Supplies Support of local community educational programs. Every Child Valued 175 Johnson Avenue Lawrenceville NJ 08648 264654078 501(c)(3) 15312 Support of local community educational programs. Hispanics Inspiring Students' Performance and Achievement (HISPA) PO Box 702 Princeton NJ 08542 521825305 501(c)(3) 11428 862 Fair Market Value Catering and Supplies Support of local community educational programs Junior Achievement of New Jersey 4365 Route 1 South Princeton NJ 08540 221774147 501(c)(3) 21242 756 Fair Market Value Catering and Supplies Support of local community educational programs. McCarter Theater 91 University Place Princeton NJ 08540 210724198 501(c)(3) 10224 Support of local community educational programs. Mercer County Community College Foundation 1200 Old Trenton Road West Windsor NJ 08550 221824242 501(c)(3) 10000 Support of local community educational programs. Mercer County Office of Education 1075 Old Trenton Road Trenton NJ 08690 Government 12658 Fair Market Value Catering and Supplies Support of local community educational programs. National Alliance on Mental Illness (NAMI) Mercer County 3371 Brunswock Pike Suite 124 Lawrenceville NJ 08648 222587453 501(c)(3) 5000 789 Fair Market Value Catering and Supplies Support of local community educational programs. National Urban League 120 Wall Street New York NY 10005 131840489 501(c)(3) 25000 Support of local community educational programs. New Jersey Seeds 494 Broad Street Suite 105 Newark NJ 07102 223181507 501(c)(3) 30000 263 Fair Market Value Catering and Supplies Support of local community educational programs. New Venture Fund 1201 Connecticut Avenue NW Suite 300 Washington DC 20036 205806345 501(c)(3) 50000 Support of local community educational programs. Opportunity Junction 3102 Delta Fair Blvd Antioch CA 94509 680459131 501(c)(3) 10000 Support of local community educational programs. Parents Step Ahead Inc 2102 Empire Central Dallas TX 75235 262477378 501(c)(3) 25000 Support of local community educational programs. Pascack Valley Regional High School District 46 Akers Avenue Montvale NJ 07645 226002917 501(c)(3) 70568 Support of local community educational programs. Princeton Area Community Foundation 15 Princess Road Lawrenceville NJ 08648 521746234 501(c)(3) 7229 Fair Market Value Catering and Supplies Support of local community educational programs. Princeton Regional Chamber of Commerce 182 Nassau Street Suite 301 Princeton NJ 08540 210722138 501(c)(6) 8000 Support of local community educational programs. Salzburg Global Seminar 1250 H Street NW Suite 1150 Washington DC 20006 042200147 501(c)(3) 37500 Support of local community educational programs. Shiloh Community Development Corporation 416 Bellevue Suite 201 Trenton NJ 08618 123799161 501(c)(3) 10000 Support of local community educational programs. St Lawrence Rehabilitation Center 2381 Lawrence Road Lawrenceville NJ 08648 522250044 501(c)(3) 12764 Support of local community educational programs. Stony Brook Millstone Watershed Association 31 Titus Mill Road Pennington NJ 08534 210649717 501(c)(3) 10000 Support of local community educational programs. The Leadership Conference on Civil and Human Rights 1620 L Street NW Suite 1100 Washington DC 20036 520789800 501(c)(4) 7200 Support of local community educational programs. UCLA Foundation 405 Hilgard Ave GSEIS Moore Hall Los Angeles CA 90095 952250801 501(c)(3) 20000 Support of local community educational programs. Young Audiences of New Jersey Inc 200 Forrestal Road Princeton NJ 08540 237384991 501(c)(3) 36000 Support of local community educational programs. YWCA Princeton 59 Paul Robeson Place Princeton NJ 08540 210639890 501(c)(3) 15824 7478 Fair Market Value Catering and Supplies Support of local community educational programs. YWCA San Antonio 6756 Montgomery Drive San Antonio TX 78239 741143135 501(c)(3) 10000 Support of local community educational programs. 37 2 Historically Black Colleges and Universities Presidential Scholarship 15 128269 Trenton Central High School Scholarship 11 80606 Research Fellowships 1 75000 Part I, Line 2: Educational Testing Service requires applicants for scholarships to provide transcripts and other information upon which they are evaluated. During Fiscal Year 2017,scholarship funds were made payable directly to the university or college that the awarded recipient attends or made payable to both the institution and the student. The ETS Center for Advocacy and Philanthropy, a division of ETS that manages ETS's contributions, has established criteria for making grants and other contributions. It also maintains records to substantiate the amount of grants or in-kind contributions, as well as the grantees eligibility for the grants. IRS Form W-9 is requested from all organizations to ascertain the legal name, EIN or Taxpayer Identification Number and address. ETS typically maintains close contact with its grantees to monitor their progress in the use of funds and, whenever feasible, the extent to which the funded program met its objectives. Small contributions (under $2,000) are sometimes made to 501(c)(3) organizations to promote volunteerism and philanthropy among employees at ETS. ETS monitors the use of funds in several ways: (1) requests written reports on the use of restricted funds and the organization's annual report when the grant is unrestricted; (2) for sponsored events, such as conferences and workshops, ETS requests programs and other materials prepared for the event; (3) staff members attend a number of sponsored events so that there is direct observation; (4) ETS remains in contact with grant recipients via email, phone calls and face-to-face meetings; and (5) ETS obtains copies of any research papers that might be developed as a result of the grant. X X X X 1 1 X X X X 1 1 0 0 0 1 0 1 0 MacDonald Walter B President 606641 0 273000 0 241089 0 23850 0 13884 0 1158464 0 0 0 Bailey Diane A VP Teacher Licensure & Certification 241692 0 103350 0 29612 0 35163 0 14412 0 424229 0 0 0 Basehore John VP & Treasurer 178584 0 85556 0 74341 0 32502 0 17150 0 388133 0 0 0 Donado Yvette SVP & Chief Admin Officer 271368 0 117938 0 46703 0 41716 0 17150 0 494875 0 0 0 Draper Jr William C VP & COO College Board 231681 0 101531 0 51749 0 35910 0 2550 0 423421 0 0 0 Elliott Thomas J VP & CLO Strategic Workforce 218377 0 99000 0 65110 0 23850 0 23590 0 429927 0 0 0 Farnum Marisa VP Assessment Development 202702 0 81000 0 53453 0 22258 0 7607 0 367020 0 0 0 Freddo Michael J VP & Controller 196222 0 89813 0 126805 0 21999 0 16212 0 451051 0 36860 0 Gilbertson Bruce M VP Facilities & Real Estate 213344 0 91406 0 45245 0 32329 0 0 0 382324 0 0 0 Gorin Joanna VP Research 226933 0 54000 0 18234 0 31841 0 0 0 331008 0 0 0 Hayon Jack SVP & CFO 340089 0 190125 0 79331 0 23850 0 22460 0 655855 0 0 0 Hernandez Sandra VP Finance 225010 0 103847 0 39121 0 23118 0 19697 0 410793 0 0 0 Hobson David VP & Corporate Secretary 190490 0 95597 0 62950 0 21400 0 14912 0 385349 0 0 0 House Naomi President ISA 358771 0 117375 0 119123 0 23850 0 15200 0 634319 0 0 0 Hunt David SVP Global Ed. & Workforce 303402 0 127706 0 47692 0 46101 0 23622 0 548523 0 0 0 Johnson-Gregory Sheree L VP Assoc. General Counsel 250802 0 98438 0 9760 0 34814 0 23362 0 417176 0 0 0 Kerins Nancy J SVP Production & Delivery 332910 0 140869 0 73240 0 23850 0 14702 0 585571 0 0 0 Lawrence Ida M SVP Research & Development 305691 0 135330 0 191629 0 23850 0 16057 0 672557 0 96804 0 Lazer Stephen SVP Student & Teacher Assessment 314958 0 124674 0 31535 0 45005 0 21894 0 538066 0 0 0 Mazzeo John VP Stat Analysis & Psych. 236891 0 105788 0 48844 0 23850 0 0 0 415373 0 0 0 Miller George VP Strategic Workforce Solutions 178782 0 101991 0 94033 0 17432 0 12601 0 404839 0 0 0 Nelson Scott F SVP & Chief Marketing Officer 290820 0 133547 0 32715 0 42943 0 22047 0 522072 0 0 0 Nettles Michael T SVP & Controller for Policy Evaluati 258178 0 113906 0 67745 0 23850 0 24444 0 488123 0 0 0 Oswald John VP & COO K-12 Assessment 253596 0 84675 0 46764 0 23850 0 14600 0 423485 0 0 0 Payne David G VP & COO Global Education 258308 0 112875 0 146835 0 23850 0 21894 0 563762 0 63955 0 Pfund Rebecca VP IT Production 245591 0 124031 0 28233 0 35362 0 22047 0 455264 0 0 0 Pote Stephen K VP & Chief Quality Officer 231138 0 95625 0 24582 0 33839 0 14529 0 399713 0 0 0 Rockey Anne F VP Test Taker Services 239834 0 102094 0 10084 0 32840 0 14658 0 399510 0 0 0 Schroeder Glenn C SVP & General Counsel 335464 0 202219 0 57124 0 23850 0 21830 0 640487 0 0 0 Wakeman Daniel VP & Chief Information Officer 238065 0 96377 0 33722 0 35304 0 24162 0 427630 0 0 0 Weaver Scott V VP & Chief Strategy Officer 263094 0 117459 0 26553 0 37778 0 24162 0 469046 0 0 0 Williamson David VP New Product Development 205225 0 59063 0 18689 0 29844 0 21072 0 333893 0 0 0 Bennett Randy E Frederiksen Chair Assessment 295666 0 32416 0 26160 0 23850 0 7362 0 385454 0 0 0 Kirsch Irwin Tyler Chair LG Scale Assessment 263473 0 59155 0 27718 0 23850 0 15844 0 390040 0 0 0 Chan Peter General Manager, Applications 223172 0 57031 0 24775 0 32846 0 17150 0 354974 0 0 0 Schmidt Amy General Manager, Stat Analyst 204631 0 61030 0 43256 0 32613 0 13344 0 354874 0 0 0 Mislevy Robert Lord Chair in Meas & Statistic 203198 0 56167 0 26784 0 20846 0 13532 0 320527 0 0 0 Johnson Melvin Former Trustee 10500 0 0 0 0 0 0 0 0 0 10500 0 0 0 Paris Scott G Former Distinguished Pres Appointee 63966 0 64190 0 79910 0 8344 0 7126 0 223536 0 0 0 Part I, Line 1a First-class or charter travel: Four ETS officers and three trustees received the benefit of a single first class airplane ticket during 2016. It was not treated as taxable compensation to the individual. This benefit is provided based on length of travel time required of the individual. Part I, Line 1a: Tax gross-up payments: Twenty Seven Officers received this benefit (related to financial planning) during 2016. It was treated as taxable compensation to the individuals. Part I, Line 1a: Housing allowance or residence for personal use: One officer received this benefit during 2016. It was treated as taxable compensation to the individual. Part I, Line 1a: Personal Services: Officers received this benefit (financial planning) during 2016. It was treated as taxable compensation to the individuals. Part I, Line 3 ETS engages an external and independent executive compensation consultant organization to review and advise on excess benefit transaction laws and to prepare an annual report and analysis of proposed compensation for ETS's CEO and officers. The analysis includes data on compensation for comparable organizations within similar occupations and functions. The external executive independent compensation consultant also develops a Letter of Reasonableness regarding the analysis of Officer pay consistent with government guidelines which is presented to the Committee on Governance and Human Resources and the Board for review, comment and approval. Part I, Lines 4a-b Officers and other executives participated in a supplemental non-qualified retirement plan under 457(f). The non-vested portion of each officer's deferred compensation is reported in Column C. The vested portion of each officer's deferred compensation is reported in Columns B & F. Part 1, Line 4a: One officer, Scott Paris, received a severance payment of $38,000 from the organization in 2016. Part I, Line 6 Part I, Lines 6a and 7: ETS investment compensation programs are variable cash compensation programs to provide employees earnings opportunities in addition to base pay. These variable compensation components recognize and reward based on individual and ETS performance. Payment under these programs are realized when ETS meets and achieves its annual performance targets for the year, as determined by a holistic assessment of metrics from ETS's balanced scorecard objectives including financial, operational, customer and growth goals. Teresa M Sanchez-Lazer See Part V 199353 See Part V 0 Alberto Acereda See Part V 212398 See Part V 0 Irene Elliott See Part V 64608 See Part V 0 Part IV: (a)Name of person: Teresa M. Sanchez-Lazer(b)Relationship between interested person and the organization: family member of Stephen Lazer, Current Officer(d)Description of transaction: Salary and benefits(a)Name of person: Alberto Acereda(b)Relationship between interested person and the organization: family member of Joanna Gorin, Current Officer(d)Description of transaction: Salary and benefits(a)Name of person: Irene Elliott(b)Relationship between interested person and the organization: family member of Thomas J. Elliott, Current Officer(d)Description of transaction: Salary and benefits Form 990, Part VI, Section B, line 11b All Trustees receive a copy of Form 990 for review and information prior to Board of Trustees meeting. Form 990 is reviewed by the Board of Trustees' Audit Commitee and the full Board of Trustees. Form 990, Part VI, Section B, line 12c The Trustees of Educational Testing Service, individually and collectively, are expected to act in accordance with the highest standards of ethical behavior. Annually, the Audit Committee reviews the ETS Code of Ethics for Members of the Board of Trustees. Subsequently, each Trustee receives a copy of the Code of Ethics and signs a statement agreeing to abide by the Code. The Code of Ethics states a clear policy on conflicts of interest. ETS also has a conflict of interest policy that is supplied to the Board of Trustees, officers and key employees. The Trustees annually complete a Trustee Disclosure Statement and a Trustee Affiliation Form. The Disclosure Statement requests information regarding whether any trustee has material financial interest to which ETS is a party. The Affiliation Form requests information regarding the Trustees employment as a staff member or as a consultant of ETS, as well as their affiliation with other organizations. The Corporate Secretary reviews these disclosures for potential conflicts or the potential appearance of a conflict. Should a situation be disclosed that presents a potential conflict, the Corporate Secretary would seek resolution with the involvement of the appropriate authority such as the Audit Committee or the ETS General Counsel and Chief Ethics Officer. Intrinsic to the policy is a Trustee recusing themselves on certain matters or resigning from the Board to prevent a conflict of interest or avoid an appearance of a conflict of interest. Failure to respond to the annual disclosure process would result in the requisite follow up by the Corporate Secretary. Candidates for Trustees receive general information on relevant ETS policies, such as the Code of Ethics and Conflict of Interest and are required to complete the Affiliations Form prior to standing for election. Trustees can obtain assistance with the interpretation or administration of the Code of Ethics conflicts policy or procedures from the Corporate Secretary or the General Counsel and Chief Ethics Officer. Trustees receive the complete policy statements upon their election. Educational Testing Service requires that employees, including officers, who are uncertain whether an outside activity comes within the scope of ETS's Code of Ethics or Conflict of Interest policy, discuss the matter with their supervisors. Employees wishing to engage in outside activities must submit an Outside Activities Report to their division Vice President for review and approval prior to engaging in the activity. Employees must submit an amended report whenever the activity changes. The report is reviewed and the employee is informed whether the request is approved. The employee's division Vice President and the Vice President of Strategic Workforce Solutions (SWS)(ETS's Human Resources Department) receive a copy of all such reports regardless of whether the request is approved. Any situation involving a potential conflict of interest must be reviewed by SWS to verify that no conflict exists. Any employee who acquires information that gives the employee reason to believe that any employee, officer or trustee is engaged in conduct that is prohibited by ETS's Code of Ethics or subject to ETS's Conflict of Interest policy, or that any sales representative, distributor or other person or firm representing ETS in any transaction is engaged in the type of conduct (whether or not in connection with a transaction involving ETS or its products) which, if engaged in by an employee, would violate this policy is required to report this information immediately. All complaints regarding potential conflicts of interest are investigated promptly, and where necessary, immediate and appropriate action is taken to stop and remedy any such conduct. Any employee or officer, found in violation of this policy will be subject to disciplinary action, up to and including termination, depending upon the severity of the violation. This policy is reviewed on an annual basis by the Vice President of Strategic Workforce Solutions. All ETS employees receive a copy of the Code of Ethics on an annual basis. The annual review and signature indicating their agreement to comply with the policy is mandatory as part of employment with ETS. Form 990, Part VI, Section B, line 15 ETS engages an external and independent executive compensation consultant organization to review and advise on excess benefit transaction laws and to prepare an annual report and analysis of proposed compensation for ETS's CEO and officers. The analysis includes data on compensation for comparable organizations within similar occupations and functions. The external executive independent compensation consultant also develops a Letter of Reasonableness regarding the analysis of Officer pay consistent with government guidelines which is presented to the Committee on Governance and Human Resources and the Board for review, comment and approval. Form 990, Part VI, Section C, line 19 ETS does not make its governing documents, conflict of interest policy, or financial statements available to the public. Form 990, Part IX, line 11g Test Admin and Consultants: Program service expenses 185,470,218. Management and general expenses 17,194,769. Fundraising expenses 0. Total expenses 202,664,987. Subcontracting Costs: Program service expenses 351,430,434. Management and general expenses 17,617,675. Fundraising expenses 0. Total expenses 369,048,109. Form 990, Part XI, line 9: Postretirement benefits 29,661,000. Equity in earnings reported separately -17,417,116. Computerized Assessments and Learning LLC 1202 East 23rd Street Suite D Lawrence KS 66046 204973305 Educational services KS 0 0 Educational Testing Service ETS Tech LLC Rosedale Road Princeton NJ 08541 454054815 Holding company DE 7235000 1000 Educational Testing Service Educational Testing Service Retiree Medical and Life Ins Plan Rosedale Road MS 20-J Princeton NJ 08541 223372287 Benefit Plan NJ 501(c)(9) Educational Testing Service 1 Educational Testing Service (ETS) Global BV Strawinskylaan 929 Amsterdam NL 1077 XX Educational services NL Educational Testing Service C 28771436 13236725 1.00000 1 ETS Educational Testing Service Canada Inc 138B ch de la Grande-Cote Rosemere Quebec CA J7A 1H3 Educational services CA Educational Testing Service C 1029162 888479 1.00000 1 ETS Assessments (Beijing) Ltd No 3 Dongsanhuan Beilu Block B L Beijing CH 100027 Educational services CH Educational Testing Service (ETS) Global BV C 3086466 2356644 1.00000 1 ETS Educational Services (India) Private 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