2018-05-15T13:24:21-07:00 2017-06-30 990 2016-07-01 530196523 CARNEGIE INSTITUTION OF WASHINGTON CARN 2023876400 1530 P St NW Washington DC 200051910 Timothy Doyle Chief Operating Officer 2023876400 2018-05-15 2016 2022-09-23 18:48:47Z MATTHEW SCOTT 1530 P STREET NW WASHINGTON DC 20005 693809970 0 X WWW.CARNEGIESCIENCE.EDU X 1904 DC The conduct of scientific discovery, research and education in the fields of plant biology, developmental biology, earth and planetary sciences, astronomy, and global ecology 24 24 520 0 151777 -157925 37111828 33826174 6316450 6456343 28342419 105948059 1175920 1071310 72946617 147301886 5246271 5153364 0 0 50987746 52068501 0 0 1895480 45078906 43075940 101312923 100297805 -28366306 47004081 1136045174 1204970912 179859720 185774092 956185454 1019196820 X The mission of the Carnegie Insitution of Washington, as set forth in its articles of incorporation under an Act of Congress in 1904, is "to encourage, in the broadest and most liberal manner, investigation, research, and discovery, and the application of knowledge to the improvement of mankind." 0 0 67872139 0 0 Carnegie investigators are leaders in the fields of plant biology, developmental biology, earth and planetary sciences, astronomy and global ecology. Using molecular genetics and related methods, Carnegie biologists study the genes responsible for plant responses to light and the genetic controls over vaious growth and developmental processes including those that enable plants to survive disease and environmental stress. In addition, the department is a world leader in bioinformatics. It developed and now manages an online-integrated database, one of the most widely used biological databases in the world, that supplies all aspects of biological information on the most widely used modal plant, Arabidopsis. Researchers in developmental biology address fundamental questions in animal development and genetics at the cellular and molecular levels. Some researchers investigate the genetic programming behind cellular processes as cells develop, while others explore the genes that control growth and obesity, stimulate stem cells to become specialized body parts, and perform many other functions. Other researchers examine the physics and chemistry of Earth's deep interior and (Continued on Schedule O, Statement 1) 11015700 5153363 0 Education. Carnegie, a non-degree granting entity, is an advanced study organization at which highly qualified graduate scientists are offered postgraduate and post doctoral training for careers in education and research. Carnegie's postdoctoral scientific education is mostly conducted in the laboratory or in the field. The postdoctoral curriculum is heavily weighted toward training candidates to be capable researchers and teachers of research. The faculty consists of the professional staff of Carnegie, all of whom pursue their own research. Carnegie also offers certain training opportunities for predoctoral students who may pursue formal degrees at degree-granting institututions. Carnegie programs also train public elementary school teachers how to incorporate interactive science instruction into all aspects of the curriculum; helps improve the instruction of mathematics education of public school children by training individuals with mathematics or related degrees to become classroom instructors; introduces and trains high school students to career education pathways in the field of biotechnology; and makes information available concerning Carnegie's scientific research findings to students and the general public. 0 0 0 None 0 0 0 78887839 1 1 0 0 0 0 0 0 0 1 1 1 0 0 1 1 1 0 1 1 1 0 0 0 0 0 0 1 1 1 1 1 0 0 0 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 1 286 0 1 520 1 1 1 1 CI 0 0 0 0 0 0 0 0 X 24 24 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA DC MD X Timothy Doyle 2023876400 1530 P St NW Washington DC 200051910 Stephen P A Foder Trustee 1 0 X 0 0 0 Suzanne Nora Johnson Trustee 1 0 X 0 0 0 Bruce W Ferguson Trustee 1 0 X 0 0 0 Deborah Rose Trustee 1 0 X 0 0 0 Craig R Barrett Trustee 1 0 X 0 0 0 John F Crawford Trustee 1 0 X 0 0 0 Michael A Duffy Trustee 1 0 X 0 0 0 Sandra M Faber Trustee 1 0 X 0 0 0 William K Gayden Trustee 1 0 X 0 0 0 Michael E Gellert Trustee 1 0 X 0 0 0 William R Hearst III Trustee 1 0 X 0 0 0 Rush D Holt Jr Trustee 1 0 X 0 0 0 Walter Isaacson Trustee 1 0 X 0 0 0 Mary C King Trustee 1 0 X 0 0 0 Katherine Lapp Trustee 1 0 X 0 0 0 Michael Long Trustee 1 0 X 0 0 0 Pamela Matson Trustee 1 0 X 0 0 0 Richard Meserve Trustee 1 0 X 0 0 0 Cristian Samper Trustee 1 0 X 0 0 0 Maxine Singer Trustee 1 0 X 0 0 0 Christopher T S Stone Trustee 1 0 X 0 0 0 David Thompson Trustee 1 0 X 0 0 0 Marshal Wais Trustee 1 0 X 0 0 0 Michael Wilson Trustee 1 0 X 0 0 0 Matthew P Scott President 50 0 X 575396 0 51374 Timothy P Doyle Chief Operating Officer 50 0 X 355250 0 59000 Benjamin Aderson General Counsel 50 0 X 96440 0 13485 Richard W Carlson Department Director 50 0 X 260145 0 55957 John S Mulchaey Department Director 50 0 X 248389 0 46306 Seung Rhee Department Director 50 0 X 242083 0 51985 George Cody Department Director 50 0 X 231750 0 51203 Yixian Zheng Department Director 50 0 X 227788 0 39370 Joseph Berry Department Director 50 0 X 206509 0 48495 Wolf Frommer Staff 50 0 X 268707 0 58101 Christopher B Field Staff 50 0 X 203943 0 41625 Russell Hemley Staff 50 0 X 182296 0 7187 Patrick J McCarthy Staff 50 0 X 330000 0 57095 Michael Stambaugh Staff 50 0 X 305556 0 46587 Kenneth G Caldeira Staff 50 0 X 248389 0 57625 Gotthard SaghiSzabo Staff 50 0 X 232912 0 45634 Erik H Hauri Staff 50 0 X 220750 0 50770 Cynthia Allen Staff - Former Officer 50 0 X 120901 0 7447 4557204 0 789246 117 1 1 0 Morgan Lewis Bockius LLP PO Box 8500 S 6050 Philadelphia PA 19178 Legal 409118 Rippeteau Architects PC 1530 14th Street NW Washington DC 20005 Architect 358217 KPMG LLP Dept 0522 P O Box 120001 Dallas TX 75312 Accounting 288925 Cambridge Computer Serv Inc 271 Waverly Oaks Road Suite 301 Waltham MA 02452 Info System 251973 Biomedt2 LLC PO Box 34046 Bethesda MD 20827 Consulting 175715 13 0 0 0 0 24978760 8847414 20554 33826174 Magellan Telescope Program 541700 3783972 3783972 0 0 GMT Challenge Program 541700 973220 973220 0 0 Australian Astronomy Program 541700 397500 397500 0 0 Geochemical Society Office 541700 202259 202259 0 0 Yonsei Astronomy Program 541700 119000 119000 0 0 980392 980392 0 0 6456343 12198033 0 -30354 12228387 0 0 0 0 1779278 1779278 0 0 980752 0 1432467 0 -451715 0 -451715 -451715 0 0 638825643 0 545075617 0 93750026 0 93750026 0 182131 93567895 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Realized gain on ST bond fund 900099 1808930 1808930 0 0 Loss on disposals 900099 -1468280 -1468280 0 0 Loss on Swap transactions 900099 -931805 -931805 0 0 334902 334902 0 0 -256253 147301886 7527653 151777 105796282 1513363 1513363 3640001 3640001 0 0 0 0 3276855 759613 2274713 242529 0 0 0 0 38930174 35500438 2402665 1027071 1328119 1400885 -87064 14298 6260858 3956616 2251822 52420 2272495 1919981 281431 71083 0 0 0 0 501735 0 501735 0 237900 0 237900 0 0 0 0 0 0 0 0 0 0 0 1133297 150692 978095 4510 0 0 0 0 1114305 771918 262321 80066 1590989 912500 678489 0 0 0 0 0 5298375 3722275 1480867 95233 2667843 2320809 285186 61848 0 0 0 0 918597 564107 250677 103813 4598988 0 4598988 0 0 0 0 0 10047933 9522054 508732 17147 680021 274145 405018 858 Contract and subawards 6360176 6236167 14121 109888 Research education expense 5250880 5204872 41311 4697 Exchange rate (gain) loss -10047 -3224 -6823 0 Bond admin & Other maintenance expense 251002 153563 97439 0 2433946 367064 2056863 10019 100297805 78887839 19514486 1895480 0 0 55325132 54784928 11032444 11040752 186580 190108 1381086 552596 0 0 1030899 1011527 0 0 57705567 58302225 272162563 138740182 133823031 133422381 431922972 497728581 443637463 447937814 1136045174 1204970912 8150825 11609118 0 0 28929144 27684675 65105000 65105000 0 0 0 0 6000000 77674751 75375299 179859720 185774092 X 288925810 308315540 612103681 655711218 55155963 55170062 956185454 1019196820 1136045174 1204970912 X 47004081 15413692 0 -2781512 30004 3345101 X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 744153617 16599 103067040 3168223 42901696 3667131 797500206 819540019 130750 -29062673 3026553 41059613 2368313 744153617 809951370 148221 50809234 2429969 34184148 4754689 819540019 707403855 13500 146597541 2647656 37629606 3786264 809951370 658368805 11625 91897050 2845079 37035222 2993324 707403855 0.161 0.069 0.77 1 0 0 817117 817117 0 88282586 33937854 54344732 0 0 0 0 0 175919686 104802328 71117358 0 7143174 0 7143174 133422381 0 F 413696 C Real asset/natural resources 170291629 F Alternative Investments 277232489 F 447937814 0 Accrued postretirement benefit cost 25375299 Taxable bond payable 50000000 75375299 X 161396537 15413692 0 0 30004 15443696 145952841 2781512 -1432467 1349045 147301886 101730272 0 0 0 1432467 1432467 100297805 0 0 0 100297805 Schedule D, Part V, Line 4 The organization's endowment funds are intended to support its overall mission of supporting scientific discovery "in the broadest and most liberal manner". Schedule D, Part VI, Line 1e Art - $80,888: Construction in Progress - $7,062,286. Schedule D, Part X, Line 2 On July 1, 2007, Carnegie adopted the provisions of FASB Interpretation No. 48, Accounting for Uncertainty in Income Taxes (FIN48). FIN48 required that a tax position be recognized or derecognized based on a 'more-likely-than-not' threshold. This applies to positions taken or expected to be taken in a tax return. The implementation of FIN48 had no impact on the statement of financial position or statement of activities. Carnegie does not believe its financial statements include (or reflect) any uncertain tax positions. FASB Accounting Standards Codification (ASC) 740-10, Income Taxes, requires that management evaluate tax positions taken by Carnegie and recognize a tax liability (or asset) if Carnegie has taken an uncertain tax position that more likely than not would not be sustained upon examination by the Internal Revenue Service. Carnegie has analyzed the tax positions taken and has concluded that as of June 30, 2017, there are no uncertain tax positions taken or expected to be taken that would require recognition of a liability (or asset) or disclosure in the financial statements. Schedule D, Part XI, Line 2d Prior year adjustments Schedule D, Part XI, Line 4b Rental expenses Schedule D, Part XII, Line 2d Rental expenses 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 Schedule E, Part I, Line 3 Our non-discrimination policy is available on our website, www.carnegiescience.edu, under Policies and Procedures. Schedule E, Part I, Line 6 We receive grants and pass through from several Federal agencies including NSF, DOE, DHS, NASA, USDA, ONR, NIST, and others. These monies support our scientific research and education. 1 Central America and the Caribbean 0 0 Program Services LIGHTHOUSE REEF FIELD WORK 22555 East Asia and the Pacific 0 0 Program Services SABAH MAPPING CAMPAIGN 71096 East Asia and the Pacific 0 0 Program Services ONE TREE ISLAND EXPEDITION 156010 East Asia and the Pacific 0 0 Program Services BORNEO CAMPAIGN 15005 East Asia and the Pacific 0 0 Program Services CHLAMY CONFERENCE 13979 East Asia and the Pacific 0 0 Program Services IRBC CONFERENCE 18047 East Asia and the Pacific 0 0 Speaking at Seminars or Conferences SPEAKER - NAGOYA UNIVERSITY 16763 East Asia and the Pacific 0 0 Program Services GRANT WRITING 13268 East Asia and the Pacific 0 0 Program Services COLLABORATION AND CONFERENCES 15166 East Asia and the Pacific 0 5 Program Services EARTH BEFORE MOON MTG, HAYBUSA2 SCIENCE MTG 23906 East Asia and the Pacific 0 5 Program Services ANGLO-AUSTRALIA OBS FIELDWORK, DCO FIELDWORK 37058 East Asia and the Pacific 0 3 Program Services SLAVE CRATON FIELDWORK 70341 East Asia and the Pacific 0 0 Program Services DCO EXECUTIVE COMMITTEE MEETING 33018 East Asia and the Pacific 0 0 Program Services GOLDSCHMIDT CONFERENCE 17384 Europe (including Iceland and Greenland) 0 0 Program Services MAXPLANK MEETING, PIK TALK 20404 Europe (including Iceland and Greenland) 0 0 Program Services SABAH CAMPAIGN MEETING 13667 Europe (including Iceland and Greenland) 0 0 Program Services COLLABORATION AND CONFERENCES 64751 Europe (including Iceland and Greenland) 0 14 Program Services ACCRETE, COOL STARS, MELT IN MANTLE MEETINGS 86273 Europe (including Iceland and Greenland) 0 0 Program Services DCO EXECUTIVE COMMITTEE MEETING 27184 Europe (including Iceland and Greenland) 0 0 Program Services DCO INTERNATIONAL SCIENCE MEETING 125470 Europe (including Iceland and Greenland) 0 0 Program Services DCO WORKSHOP 10645 North America (including Canada and Mexico, but not the United States) 0 0 Program Services LIGHTHOUSE REEF FIELDWORK 10080 South America 0 0 Program Services ECUADOR MAPPING CAMPAIGN 79349 South America 0 0 Program Services SCIENTIFIC OBSERVATION RUNS 233415 South America 0 0 Program Services COLLABORATION AND CONFERENCES 25873 South America 0 0 Program Services TELESCOPE ENGINEERING AND MAINTENANCE 19665 South America 2 70 Program Services TELESCOPE RESEARCH OPERATIONS 6876279 South America 0 0 Program Services OBSERVATORY RESEARCH 225849 South America 0 11 Program Services LCO AND QDP PROTOTYPE FIELDWORK 100564 2 108 8443064 0 0 0 1 1 0 Schedule F, Part I, Line 2 As a research institution, Carnegie provides fellows with the opportunity to pursue independent research and the training to acquire the additional skills and expertise needed to become a successful scientist. Carnegie monitors the fellowship experience to achieve both objectives. Fellows pursue their research program relatively independently but have full access to Carnegie facilities and staff members and typically perform their experiments and scientific work on-site and in collaboration with other Carnegie facilities and staff members and typically perform their experiments and scientific work on-site and in collaboration with other Carnegie vehicle for monitoring and supporting the work of the fellow. Carnegie's various administrative and research policies apply to fellows. In Carnegie's structure, department directors are responsible for assuring that fellows follow these procedures and carry out the research supported through externally or internally-funded fellowships. The fellows listed below are stationed at the Carnegie facility in Las Campanas, Chile. 1 STANFORD UNIVERSITY PO BOX 873503 SAN FRANCISCO CA 941444253 941156365 501(c)3 403260 0 Participant support; academic partnership to train young scientists THE REGENTS OF THE UNIVERSITY OF CALIFORNIA 10920 WILSHIRE BLVD STE 107 LOS ANGELES CA 900246503 956006143 501(c)3 122989 0 Participant support; academic partnership to train young scientists NORTWESTERN UNIVERSITY 633 CLARK ST RM G547 EVANSTON IL 602081112 362167817 501(c)3 103799 0 Participant support; academic partnership to train young scientists CALIFORNIA INSTITUTE OF TECHNOLOGY 1200 E CALIFORNIA BLVD PASADENA CA 91125 951643307 501(c)3 95258 0 Participant support; academic partnership to train young scientists UNIVERSITY OF ALABAMA AT BIRMINGHAM UNIVERSITY STATION BIRMINGHAM AL 35294 636005396 501(c)3 90338 0 Participant support; academic partnership to train young scientists UNIVERSITY OF UTAH 201 S PRESIDENTS CIR NO 406 SALT LAKE CITY UT 841129020 876000525 501(c)3 75006 0 Participant support; academic partnership to train young scientists MICHIGAN STATE UNIVERSITY 220 TROWBRIDGE RD EAST LANSING MI 48824 386005984 501(c)3 73928 0 Participant support; academic partnership to train young scientists UNIVERSITY OF ILLINOIS 1901 SOUTH FIRST ST A CHAMPAIGN IL 618207406 376000511 501(c)3 66508 0 Participant support; academic partnership to train young scientists UNIVERSITY OF CHICAGO 5801 S ELLIS AVENUE CHICAGO IL 60637 362177139 501(c)3 60888 0 Participant support; academic partnership to train young scientists SUNY AT BUFFALO PO BOX 9 ALBANY NY 122010009 141368361 501(c)3 59528 0 Participant support; academic partnership to train young scientists UNIVERSITY OF HAWAII 2440 CAMPUS RD HONOLULU HI 96822 996000354 501(c)3 50261 0 Participant support; academic partnership to train young scientists WASHINGTON UNIVERSITY IN ST LOUIS 700 ROSEDALE AVE ST LOUIS MO 631121408 430653611 501(c)3 45800 0 Participant support; academic partnership to train young scientists THE UNIVERSITY OF TENNESSEE 1331 CIRLCLE PARK DRIVE KNOXVILLE TN 379163801 626001636 501(c)3 44853 0 Participant support; academic partnership to train young scientists WASHINGTON STATE UNIVERSITY PO BOX 641025 PULLMAN WA 991641025 916001108 501(c)3 18670 0 Participant support; academic partnership to train young scientists 14 0 Fellowship 48 1839775 0 Schedule I, Part I, Line 2 As a research institution, Carnegie provides fellows with the opportunity to pursue independent research and the training to acquire the additional skills and expertise needed to become a successful scientist. Carnegie monitors the fellowship experience to achieve both objectives. Fellows pursue their research program relatively independently but have full access to Carnegie facilities and staff members and typically perform their experiments and scientific work on-site and in collaboration with other Carnegie scientists. Fellows in the biological sciences apply to Carnegie mainly to learn the research techniques and research areas of a particular Carnegie staff scientist, that is, to work in that principal investigator's (PI) lab. Labs routinely engage a number of different people, including a PI, technicians, postdoctoral scientists, and researchers. The PI monitors the work of the fellow on an ongoing basis, critiques the fellows' research, makes suggestions for avenues to explore, and provides ongoing mentoring. Fellows in the physical sciences typically collaborate with a senior staff member on research projects. This provides an ongoing vehicle for monitoring and supporting the work of the fellow. Fellows are asked to present and defend their research to other scientists both at Carnegie and at other institutions. This process helps to monitor a fellows' scientific progress and permits adjustments as necessary. Carnegie's various administrative and research policies apply to fellows. In Carnegie's structure, department directors are responsible for assuring that fellows follow these procedures and carry out the research supported through externally or internally-funded fellowships. X 1 1 X X X 1 0 0 0 0 0 0 0 0 Matthew P Scott President 575396 0 0 0 0 0 0 0 51374 0 626770 0 0 0 Timothy P Doyle Chief Operating Officer 355250 0 0 0 0 0 0 0 59000 0 414250 0 0 0 Benjamin Aderson General Counsel 96440 0 0 0 0 0 0 0 13485 0 109925 0 0 Richard W Carlson Department Director 260145 0 0 0 0 0 0 0 55957 0 316102 0 0 0 John S Mulchaey Department Director 248389 0 0 0 0 0 0 0 46306 0 294695 0 0 0 Seung Rhee Department Director 242083 0 0 0 0 0 0 0 51985 0 294068 0 0 0 George Cody Department Director 231750 0 0 0 0 0 0 0 51203 0 282953 0 0 0 Yixian Zheng Department Director 227788 0 0 0 0 0 0 0 39370 0 267158 0 0 0 Joseph Berry Department Director 206509 0 0 0 0 0 0 0 48495 0 255004 0 0 0 Patrick J McCarthy Staff 330000 0 0 0 0 0 0 0 57095 0 387095 0 0 0 Michael Stambaugh Staff 305556 0 0 0 0 0 0 0 46587 0 352143 0 0 0 Kenneth G Caldeira Staff 231058 0 0 0 17331 0 0 0 57625 0 306014 0 0 0 Gotthard SaghiSzabo Staff 232912 0 0 0 0 0 0 0 45634 0 278546 0 0 0 Erik H Hauri Staff 220750 0 0 0 0 0 0 0 50770 0 271520 0 0 0 Wolf Frommer Staff 268707 0 0 0 0 0 0 0 58101 0 326808 0 0 0 Christopher B Field Staff 203943 0 0 0 0 0 0 0 41625 0 245568 0 0 0 Russell Hemley Staff 182296 0 0 0 0 0 0 0 7187 0 189483 0 0 0 Cynthia Allen Staff 120901 0 0 0 0 0 0 0 7447 0 128348 0 0 0 Schedule J, Part I, Line 1a Housing allowance - Carnegie's policies include a provision for housing subsidies in high-cost areas for qualifying staff members. Schedule J, Part I, Line 4 Base compensation include severance payments for following staffs: Gottahrd SaghiSzabo - $107,917, Cyntian Allen - $68,039 A Maryland Health & Higher Educational Facilities Authority (MHHEFA) on behalf of Carnegie 520936091 574217JB2 2010-02-04 30580000 Refund prior MHHEFA bonds issued to construct & equip new facility. 0 0 0 B California Educational Facilities Authority (CEFA) on behalf of Carnegie Institution of Washington 521705592 130178VS2 2010-03-24 34525000 Refund prior CEFA bonds issued to finance telescope proj and renovate facilities. 0 0 0 A 0 0 30505440 0 0 0 553594 0 0 30000000 0 0 2005 1 0 1 1 B 0 0 38365183 0 0 0 565183 0 0 35800000 0 0 2003 1 0 1 1 A 0 0 0 0 0 0 0 1 0 1 B 0 0 0 0 0 0 0 1 0 1 A 0 0 1 0 0 0 0 0 1 B 0 0 1 0 0 0 0 0 1 A 1 B 1 Schedule K, Part II, Line 7-02/04/2010 30,580,000 Maryland Health & Higher Educational Facilities This issue was used to refund prior MHHEFA bonds of $30 million issued in October, 2002, the proceeds of which were used to construct and equip a new facility for Carnegie's Department of Embryology on the Johns Hopkins Homewood Campus in Baltimore, Maryland. Construction began in April 2003 and the facility was occupied in September 2005. The 2010 series was issued at a discount of $74,561 and amounts borrowed in excess of $30 million were used to cover issuance costs. Schedule K, Part II, Line 7-03/24/2010 34,525,000 California Educational Facilities Authority (CEFA) This issue was used to refund $17.5 million of 1993 Series B California Educational Facilities Authority Revenue tax exempt bonds and $18.3 million of 2006 Series A CEFA Refunding Revenue tax-exempt bonds which refunded all outstanding 1993 Series A California Educational Facilities Authority Revenue tax exempt bonds. 1993 Series A & B bonds were used to finance the Magellan telescope project and the renovation of the facilities of the Observatories at Pasadena. The telescope project was completed in 2003. The 2010 Series was issued at a premium of $1,840,183 and amounts in excess of $35.8 million were used to cover issuance costs. Seung Yon Rhee Department Director Mortgage X 761694 552596 0 1 1 552596 Merit Energy Company Trustee, William Gayden 8891853 Contribution to Merit Investments 0 X 4 20553 FMV 0 1 1 Schedule M, Part I, Line 32b The organization uses its custodial bank, State Street, to process and sell stock contributions received from donors. Form 990, Part III, Line 4a CARNEGIE IS A WORLD-RENOWNED CENTER FOR PETROLOGY - STUDY OF ROCKS. IT IS ALSO A WORLD LEADER IN HIGH-PRESSURE AND HIGH-TEMPERATURE PHYSICS MAKING SIGNIFICANT CONTRIBUTIONS TO BOTH EARTH AND MATERIAL SCIENCES. CARNEGIE SCIENTISTS ARE PART OF AN INTERDISCIPLINARY EFFORT TO INVESTIGATE HOW LIFE EVOLVED ON THIS PLANET AND DETERMINE ITS POTENTIAL FOR EXISTING ELSEWHERE. WITH VARIOUS PARTNERS, CARNEGIE HAS LAUNCHED A NEW MULTI-DISCIPLINARY, INTERNATIONAL INITIATIVE DEDICATED TO ACHIEVING A TRANSFORMATIONAL UNDERSTANDING OF EARTH'S DEEP CARBON CYCLE, INCLUDING ITS POORLY CONSTRAINED RESERVOIRS AND FLUXES, UNKNOWN ROLE OF DEEP BIOLOGY, AND UNEXPLORED INFLUENCES OF THE DEEP CARBON CYCLE ON CRITICAL SOCIETAL CONCERNS RELATED TO ENERGY, ENVIRONMENT, AND CLIMATE. CARNEGIE ASTRONOMERS, UNLIKE MOST IN THEIR FILED, DESIGN AND BUILD THEIR OWN INSTRUMENTS TO CAPTURE THE SECRETS OF SPACE. THEY ARE TRACING THE EVOLUTION OF THE UNIVERSE FROM THE SPARK OF THE BIG BANG THROUGH STAR AND GALAXY FORMATION, EXPLORING THE STRUCTURE OF THE UNIVERSE, AND PROBING THE MYSTERIES OF DARK MATTER, DARK ENERGY, AND THE EVER-ACCELERATING RATE AT WHICH THE UNIVERSE IS EXPANDING. CARNEGIE OPERATED TELESCOPES IN LAS CAMPANAS CHILE, AT WHICH A LARGE PART OF THE RESEARCH IS CONDUCTED, AND IS PART OF A CONSORTIUM THAT HAS UNDERTAKEN TO DESIGN, CONSTRUCT AND OPERATE A TELESCOPE KNOWN AS THE GIANT MAGELLAN TELESCOPE THAT, WHEN COMPLETE, WILL BE AMONG THE WORLD'S LARGEST GROUND BASED OPTICAL/INFRARED FACILITIES. CARNEGIE RESEARCH ALSO INCLUDES INTERDISCIPLINARY TEAMS OF ASTRONOMERS AND ASTROPHYSICISTS, GEOPHYSICISTS AND GEOCHEMISTS, COSMOCHEMISTS AND PLANETARY SCIENTISTS. THESE TEAMS ARE DISCOVERING PLANETS OUTSIDE OUR SOLAR SYSTEM, DETERMINING THE AGE AND STRUCTURE OF THE UNIVERSE, AND STUDYING THE CAUSES OF EARTHQUAKES AND VOLCANOES. USING INNOVATIVE APPROACHES TO RESEARCH ON GLOBAL ECOLOGY, CARNEGIE SCIENTISTS ARE PICKING APART THE COMPLICATED INTERACTIONS OF EARTH'S LAND, ATMOSPHERE, AND OCEANS TO UNDERSTAND HOW GLOBAL SYSTEMS OPERATE. WITH A WIDE RANGE OF POWERFUL TOOLS-FROM SATELLITES TO THE INSTRUMENTS OF MOLECULAR BIOLOGY-THESE SCIENTISTS EXPLORE ISSUES SUCH AS THE GLOBAL CARBON CYCLE, THE ROLE OF LAND AND OCEANIC ECOSYSTEMS, AND MUCH MORE. THESE ECOLOGISTS ALSO PLAY AN ACTIVE ROLE IN THE PUBLIC ARENA, FROM SERVING ON INTERNATIONAL PANELS INVESTIGATING CLIMATE CHANGE TO PROMOTING SATELLITE IMAGERY FOR THE DISCOVERY OF ENVIRONMENTAL HOT SPOTS. Form 990, Part VI, Section B, Line 11b CARNEGIE'S FORM 990 IS THOROUGHLY PREPARED AND RIGOROUSLY REVIEWED BEFORE IT IS FILED WITH THE IRS. THE RETURN IS PREPARED BY FINANCE DEPARTMENT AND REVIEWED BY SENIOR STAFF. THE DRAFT FORM 990 IS THEN DISTRIBUTED TO MEMBERS OF THE FINANCE AND OPERATIONS COMMITTEE OF THE BOARD OF TRUSTEES FOR REVIEW AND COMMENT. AFTER THE FINANCE AND OPERATIONS COMMITTEE HAS REVIEWED THE RETURN AND ITS FEEDBACK HAS BEEN INCORPORATED, THE RETURN IS DISTRIBUTED TO ALL MEMBERS OF THE BOARD OF TRUSTEES FOR REVIEW AND COMMENT BEFORE IT IS FILED WITH THE IRS. TRUSTEES ARE ENCOURAGED TO CONTACT THE CHIEF OPERATING OFFICER OR DIRECTOR OF FINANCE WITH ANY QUESTIONS. Form 990, Part VI, Section B, Line 12c CARNEGIE HAS ADOPTED CONFLICT OF INTEREST POLICIES THAT APPLY TO THE INSTITUTION'S TRUSTEES, CORPORATE OFFICERS, AND EMPLOYEES. THESE POLICIES REQUIRE EACH TRUSTEE TO COMPLETE ANNUALLY A FORM TO DISCLOSE ANY POTENTIAL CONFLICTS OF INTEREST. THE FORMS ARE COLLECTED BY THE CORPORATE SECRETARY, AND ANY DISCLOSURES ARE SUBSEQUENTLY PROVIDED TO THE BOARD OF TRUSTEES OR RELEVANT COMMITTEE OF THE BOARD FOR REVIEW AND APPROVAL. SIMILARLY, ALL EMPLOYEES OF CARNEGIE (INCLUDING CORPORATE OFFICERS) ARE REQUIRED, UPON HIRING AND ANNUALLY THEREAFTER, TO REPORT THEIR POTENTIAL CONFLICTS OF INTEREST. DEPARTMENT DIRECTORS REVIEW ALL POTENTIAL CONFLICTS IN THEIR DEPARTMENTS. THE PRESIDENT REVIEWS ALL POTENTIAL CONFLICTS FOR DEPARTMENT DIRECTORS. THE BOARD OF TRUSTEES REVIEWS ALL POTENTIAL CONFLICTS FOR THE CORPORATE OFFICERS. THROUGHOUT THE YEAR, EACH INDIVIDUAL SUBJECT TO THE CONFLICT OF INTEREST POLICIES IS REQUIRED TO UPDATE HIS/HER DISCLOSURE STATEMENT TO INCLUDE ANY INFORMATION REQUIRED TO BE DISCLOSED. THE SIGNED EMPLOYEE DISCLOSURE FORMS ARE KEPT IN THE EMPLOYEE'S PERSONNEL FILE. Form 990, Part VI, Section B, Line 15 CARNEGIE ENGAGES AN INDEPENDENT COMPENSATION CONSULTING FIRM TO CONDUCT A COMPENSATION STUDY TO EVALUATE THE REASONABLENESS OF THE TOTAL PROPOSED COMPENSATION FOR THE ORGANIZATION'S "DISQUALIFIED PERSONS" UNDER TREAS. REG. 53.4958-3 WITHOUT REGARD TO WHETHER THE PERSON HAS BEEN ELECTED AN OFFICER. THE INDEPENDENT COMPENSATION STUDY FOCUSES ON THE COMPENSATION PAID TO FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY-SITUATED ORGANIZATIONS AND ALSO CONSIDERS INDUSTRY COMPENSATION SURVEYS. THE COMPENSATION STUDY IS PROVIDED TO THE ORGANIZATION'S HUMAN RESOURCES AND COMPENSATION COMMITTEE, TOGETHER WITH A REASONED WRITTEN OPINION FROM THE COMPENSATION CONSULTANT THAT THE PROPOSED COMPENSATION ARRANGEMENTS FOR THE DISQUALIFIED PERSONS ARE "REASONABLE" WITHIN THE MEANING OF TREAS. REG. 53,4958-4(B)(1)(II)(A). THE HUMAN RESOURCES AND COMPENSATION COMMITTEE SETS COMPENSATION FOR EACH DISQUALIFIED PERSON AND MAKES A RECOMMENDATION TO THE FULL BOARD OF TRUSTEES WITH RESPECT TO COMPENSATION FOR THE PRESIDENT. THE FULL BOARD THEN REVIEWS THE COMPENSATION STUDY AND OPINION FOR THE PRESIDENT, TOGETHER WITH THE RECOMMENDATION OF THE HUMAN RESOURCES AND COMPENSATION COMMITTEE AND MAKES A DECISION WITH RESPECT TO THE PRESIDENT'S COMPENSATION. THE HUMAN RESOURCES AND COMPENSATION COMMITTEE AND BOARD RELY ON THE COMPENSATION CONSULTANT'S OPINION AND COMPENSATION STUDY TO GUIDE ITS REVIEW, DELIBERATION, AND APPROVAL OF THE PROPOSED COMPENSATION ARRANGEMENTS, AND ITS DECISIONS REGARDING COMPENSATION (INCLUDING THE BASES FOR THESE DECISIONS) ARE DOCUMENTED IN THE MEETING MINUTES. THE HUMAN RESOURCES AND COMPENSATION COMMITTEE AND TRUSTEEES WHO VOTE ON COMPENSATION FOR DISQUALIFIED PERSONS AND TH PRESIDENT DO NOT HAVE A CONFLICT OF INTEREST WITH REGARD TO THESE COMPENSATION ARRANGEMENTS. Form 990, Part VI, Section C, Line 19 IN ACCORDANCE WITH TREAS. REG. 301-6104(D)-1(A)(1) AND IRS NOTICE 2007-45, COPIES OF CARNEGIE'S THREE MOST RECENT FORMS 990 ARE MADE AVAILABLE FOR INSPECTION BY THE PUBLIC DURING REGULAR BUSINESS HOURS AT CARNEGIE'S OFFICE IN WASHINGTON, DC. CARNEGIE'S MOST RECENT FORM 990 IS ALSO MADE AVAILABLE TO THE PUBLIC ON THE INSTITUTION'S WEBSITE. THE ORGANIZATION DOES NOT NORMALLY MAKE ITS GOVERNING DOCUMENTS AVAILABLE TO THE PUBLIC. THE ORGANIZATION'S AUDITED FINANCIAL STATEMENTS AND STAFF CONFLICT OF INTEREST POLICY ARE ALSO MADE AVAILABLE TO THE PUBLIC UPON REQUEST. Form 990, Part XI, Line 9 $3,345,103 PENSION RELATED CHARGES OTHER THAN NET PERIODIC POSTRETIREMENT BENEFIT COST OF $3,363,103 UNRECOGNIZED NET ACTUARIAL GAIN AND $18,000 UNRECOGNIZED PRIOR SERVICE COST FOR THE YEAR ENDING JUNE 30, 2017.