2017-11-10T10:42:56-06:00 2016-12-31 GRANT THORNTON LLP 171 N CLARK ST SUITE 200 CHICAGO IL 60601 990 2015-12-27 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 2017-11-15 true Bridget T Roche P00666837 3128560200 38.84.128.189 36941220173145000000 2017-11-10 P C6AB72ACE23A2343913CC702E01E1C6360601897 8570B2D8046878F456576E706BB8FB99030C32C0 2016 2017-02-10 21:41:12Z NORC James E Dunne 55 E Monroe Street 20th Floor Chicago IL 60603 188466530 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. 15 6 3990 6 616232 47316 159228552 152719237 20156730 35411904 457516 238048 0 0 179842798 188369189 0 0 0 0 93554721 101475930 0 0 0 82080225 85744254 175634946 187220184 4207852 1149005 79705246 89420912 42784684 51081327 36920562 38339585 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 128835388 0 35411904 The National Opinion Research Center is an independent scientific research institution operating for the public benefit. 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. Some representative clients include the Bureau of Justice Statistics, the Bureau of Labor Statistics, the Census Bureau, the Centers for Disease Control and Prevention, the Centers for Medicare & Medicaid Services, the Department of Agriculture, the Department of Education, the Energy Information Administration, the Federal Reserve Board, the Health Resources and Services Administration, the CMS Innovation Center, the Medicare Payment Advisory Commission, the Millennium Challenge Corporation, the National Institute of Standards and Technology, the United States Agency for International Development, and TRICARE Management Activity. NORC also conducts research on behalf of numerous foundations such as the Joyce Foundation, the Rockefeller Foundation, the Scan Foundation, the Sloan Foundation, the Henry J. Kaiser Family Foundation, and others. NORC conducts research in the following areas: economics, markets, and the workforce; education, training, and learning; global development; health and well-being; and society. NORC's expertise is evidenced in this selection of some of its landmark studies, such as the National Surveys of Youth, one of the most successful large-data resources in the social sciences; the National Immunization Survey, one of the largest telephone surveys in the United States; the Survey of Earned Doctorates and Survey of Doctorate Recipients; the Survey of Consumer Finances, which provides detailed information on the finances of U.S. families; the National Survey of Early Care and Education, which provides data on consumers and providers; work for the Centers for Medicare & Medicaid Services that provides detailed information on the implementation of the Affordable Care Act; the National Social Life, Health, and Aging Project that delivers critical information on the correlation between social factors and older people's health; and the General Social Survey, the most frequently analyzed source of social science data outside of the U.S. Census, which NORC has conducted since 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Trustee 1.0 0.0 X 0 0 0 Kerwin Charles Trustee 1.0 40.0 X 0 819452 68219 Diane Lauderdale Trustee 1.0 40.0 X 0 332195 21249 Daniel Diermeier Trustee (Beg. 7/21/2016) 1.0 40.0 X 0 868114 86398 Mary Louise Gorno Trustee 1.0 0.0 X 0 0 0 Kenneth Prewitt Trustee 1.0 0.0 X 0 0 0 Kenneth Polonsky Trustee 1.0 40.0 X 0 3016023 252292 ERIC D ISAACS TRUSTEE (THRU 6/6/2016) 1.0 40.0 X 0 738605 129838 Daniel Gaylin President 40.0 0.0 X 631065 0 46272 Michele Nachbar Secretary/EVP 40.0 0.0 X 437031 0 40712 James E Dunne CFO/EVP/TREASURER 40.0 0.0 X 444605 0 40860 Ron Jurek CIO/EVP 40.0 0.0 X 429780 0 47683 Kirk Wolter Executive Vice President 40.0 0.0 X 393194 0 41185 Chet Bowie Executive Vice President 40.0 0.0 X 379733 0 23975 Michael Davern Executive Vice President 40.0 0.0 X 352330 0 50062 Caitlin Oppenheimer Senior Vice President 40.0 0.0 X 264871 0 44467 Jeffrey Telgarsky Executive Vice President 40.0 0.0 X 362026 0 34697 Stephen Smith Senior Vice President 40.0 0.0 X 300192 0 40181 John Dennis Senior Vice President 40.0 0.0 X 300806 0 47854 Kennon Copeland Senior Vice President 40.0 0.0 X 298635 0 41767 Jennifer Kelly Vice President 40.0 0.0 X 287505 0 33198 4922482 8266288 1363927 255 false true false Press America Inc 661 Fargo Ave ELK GROVE VILLAGE IL 60007 PRINTING 1534690 CDW Government Inc 230 N Milwaukee Avenue VERNON HILLS IL 60061 INFO TECH 1261385 ATT PO 8104 AURORA IL 60507 TELECOM 1085331 Ricoh Usa Inc 410 Warrenville Road LISLE IL 60532 Facility services 948391 Performance Mailers Inc 42 Congress Circle West ROSELLE IL 60172 MAIL SERVICES 853085 61 175000 152544237 152719237 PUBLIC OPINION RESEARCH 900099 35411904 34795672 616232 35411904 335389 335389 0 0 0 0 0 97341 -97341 -97341 -97341 0 0 0 0 0 0 0 0 0 0 188369189 34795672 616232 238048 X 0 0 0 0 3708535 628171 3080364 0 71379563 54191091 17188472 6532142 4205297 2326845 13558183 11224098 2334085 6297507 4029984 2267523 0 463188 463188 1729689 1729689 266161 266161 0 20875 20875 32249854 28630622 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709037902 121427381 0.99827 0.99875 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false false true false false false false true 266161 false false 266161 false SCHEDULE C, PART II-B, LINE 1B & 1G PAID STAFF OR MANAGEMENT & DIRECT CONTACT National Opinion Research Center ("NORC") senior management staff had meetings with staff in the offices of members of the U.S. House of Representatives and the U.S. Senate. 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. 1725757 1087851 637906 17452408 13992294 3460114 4098020 FIXED INCOME FUNDS 4400492 F 457B INVESTMENT 181677 F 4582169 0 DUE TO UNIVERSITY OF CHICAGO 382123 382123 X 188639207 270018 270018 188369189 188369189 187220184 187220184 187220184 Schedule D, Part X, Line 2 LIABILITY FOR UNCERTAIN TAX POSITION (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, no provision for income taxes is reflected in these financial statements and there is no interest or penalties recognized in the accompanying financial statements. Fiscal years ended 2013, 2014, 2015 and 2016 are open to audit for both federal and state income tax purposes. false Sub-Saharan Africa Program Services Eval & Survey Research 6895854 Russia and the Newly Independent States Program Services Eval & Survey Research 275289 Europe (Including Iceland and Greenland) Program Services Eval & Survey Research 134307 Middle East and North Africa Program Services Eval & Survey Research 220589 Central America and the Caribbean Program Services Eval & Survey Research 824428 East Asia and the Pacific Program Services Eval & Survey Research 744445 South Asia Program Services Eval & Survey Research 887473 South America Program Services Eval & Survey Research 220589 10202974 10202974 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 Chairman and Trustee 40709 187173 0 0 0 0 0 15674 0 15022 40709 217869 0 0 J Mark Hansen Trustee 0 365372 0 2500 0 5866 0 21200 0 65446 0 460384 0 0 Robert Gertner Trustee 0 429205 0 342400 0 0 0 21200 0 35656 0 828461 0 0 Harry L Davis Trustee 0 351664 0 380853 0 0 0 21200 0 24117 0 777834 0 0 David Nirenberg Trustee 0 423226 0 0 0 3640 0 21200 0 32303 0 480369 0 0 Kerwin Charles Trustee 0 687618 0 83000 0 48834 0 21200 0 47019 0 887671 0 0 Diane Lauderdale Trustee 0 327695 0 4500 0 0 0 21200 0 49 0 353444 0 0 Daniel Diermeier Trustee (Beg. 7/21/2016) 0 704694 0 83225 0 80195 0 21200 0 65198 0 954512 0 0 Kenneth Polonsky Trustee 0 1638484 0 400000 0 977539 0 228139 0 24153 0 3268315 0 597665 ERIC D ISAACS TRUSTEE (THRU 6/6/2016) 0 698294 0 30000 0 10311 0 21200 0 108638 0 868443 0 0 Daniel Gaylin President 542858 0 70000 0 18207 0 22976 0 23296 0 677337 0 0 0 Michele Nachbar Secretary/EVP 373061 0 55000 0 8970 0 22976 0 17736 0 477743 0 0 0 James E Dunne CFO/EVP/TREASURER 382068 0 54000 0 8537 0 22976 0 17884 0 485465 0 0 0 Ron Jurek CIO/EVP 357111 0 65000 0 7669 0 22976 0 24707 0 477463 0 0 0 Kirk Wolter Executive Vice President 338079 0 50000 0 5115 0 22976 0 18209 0 434379 0 0 0 Chet Bowie Executive Vice President 332658 0 43000 0 4075 0 22976 0 999 0 403708 0 0 0 Michael Davern Executive Vice President 308862 0 40000 0 3468 0 22976 0 27086 0 402392 0 0 0 Caitlin Oppenheimer Senior Vice President 236871 0 28000 0 0 0 21243 0 23224 0 309338 0 0 0 Jeffrey Telgarsky Executive Vice President 319951 0 38000 0 4075 0 22976 0 11721 0 396723 0 0 0 Stephen Smith Senior Vice President 273954 0 25000 0 1238 0 22976 0 17205 0 340373 0 0 0 John Dennis Senior Vice President 268806 0 32000 0 0 0 22976 0 24878 0 348660 0 0 0 Kennon Copeland Senior Vice President 268548 0 30000 0 87 0 22976 0 18791 0 340402 0 0 0 Jennifer Kelly Vice President 255505 0 32000 0 0 0 22369 0 10829 0 320703 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 and The University 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 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, Line 15a and 15b Process for Determining Compensation The Compensation Committee of the NORC Board of Trustees establishes and determines certain senior management employees annually (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:28105862 FORM 990 PART IX LINE 11G DESCRIPTION:RESPONDENT FEES TOTAL FEES:3235308 FORM 990 PART IX LINE 11G DESCRIPTION:HIRING AND RECRUITING TOTAL FEES:908684 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