2016-05-23T11:53:39-05:00 2015-09-30 521186096 RUBINO AND COMPANY CHARTERED 6903 ROCKLEDGE DRIVE SUITE 1200 BETHESDA MD 208171818 990 2014-10-01 521892964 CONSORTIUM FOR OCEAN LEADERSHIP CONS 2022323900 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 YAN XING VP & CFO 2022323900 2016-05-19 1 PATRICIA A O'MALLEY CPA P00285909 3015643636 2014 2016-08-17 19:52:53Z JONATHAN WHITE 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 143662765 0 X WWW.OCEANLEADERSHIP.ORG X 1994 DE TO SHAPE THE FUTURE OF OCEAN SCIENCE AND TECHNOLOGY THROUGH DISCOVERY, UNDERSTANDING AND ACTION. 17 16 66 50 0 0 201802475 142902095 642426 624503 107736 136167 0 0 202552637 143662765 321683 375815 0 0 7714583 6011999 0 74842 74842 194666240 137734512 202702506 144197168 -149869 -534403 50178442 51391705 46435558 48346306 3742884 3045399 X OCEAN LEADERSHIP SHAPES THE FUTURE OF OCEAN SCIENCE AND TECHNOLOGY THROUGH DISCOVERY, UNDERSTANDING AND ACTION. OCEAN LEADERSHIP PROVIDES EXPERTISE IN MANAGING, COORDINATING, AND FACILITATING SCIENTIFIC PROGRAMS AND PARTNERSHIPS; INFLUENCING SOUND OCEAN POLICY; AND EDUCATING THE NEXT GENERATION OF OCEAN LEADERS. 0 0 93874081 THE OCEAN OBSERVATORIES INITIATIVE (OOI) WILL CONSTRUCT A NETWORKED INFRASTRUCTURE OF SCIENCE-DRIVEN SENSOR SYSTEMS TO MEASURE THE PHYSICAL, CHEMICAL, GEOLOGICAL AND BIOLOGICAL VARIABLES IN THE OCEAN AND SEAFLOOR. 34463852 THE GULF OF MEXICO RESEARCH INITIATIVE (GOMRI) WILL INVESTIGATE THE IMPACTS OF THE OIL, DISPERSED OIL, AND DISPERSANT ON THE ECOSYSTEMS OF THE GULF OF MEXICO AND AFFECTED COASTAL STATES IN A BROAD CONTEXT OF IMPROVING FUNDAMENTAL UNDERSTANDING OF THE DYNAMICS OF SUCH EVENTS AND THEIR ENVIRONMENTAL STRESSES AND PUBLIC HEALTH IMPLICATIONS. 4643963 THE INTERNATIONAL OCEAN DISCOVERY PROGRAM (IODP) IS AN INTERNATIONAL RESEARCH COLLABORATION THAT ADDRESSES IMPORTANT QUESTIONS IN EARTH, OCEAN, ENVIRONMENT AND LIFE SCIENCES BASED ON DRILL CORES, BOREHOLE IMAGING, OBSERVATORY DATA, AND RELATED GEOPHYSICAL IMAGING OBTAINED FROM BENEATH THE OCEAN FLOOR USING SPECIALIZED OCEAN-GOING DRILLING AND RESEARCH PLATFORMS. 6580086 375815 624503 OTHER RESEARCH & EDUCATION 6580086 375815 624503 139561982 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 1 0 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 89 0 1 66 1 0 0 0 0 0 0 0 0 X 17 16 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 NY X YAN XING 2022323900 1201 NEW YORK AVE 4TH FL WASHINGTON DC 20005 DR ROBERT GAGOSIAN PRESIDENT/CEO - RESIGNED 02/16/15 40.00 X X 476481 0 42401 DR ROBERT B DUNBAR BD OF TRUSTEES, CHAIR & EX-OFFICIO 2.00 X X 0 0 0 DR ROBERTA MARINELLI BOARD OF TRUSTEES, VICE CHAIR 2.00 X X 0 0 0 DR GRAHAM SHIMMIELD BOARD OF TRUSTEES, TREASURER 2.00 X X 0 0 0 DR MARK ABBOTT BOARD OF TRUSTEES 2.00 X 0 0 0 DR E VIRGINIA ARMBRUST BOARD OF TRUSTEES 2.00 X 0 0 0 DR JACQUELINE E DIXON BOARD OF TRUSTEES 2.00 X 0 0 0 MR JOSIE QUINTRELL BOARD OF TRUSTEES 2.00 X 0 0 0 MR HANK LOBE BOARD OF TRUSTEES 2.00 X 0 0 0 DR SANDRA WHITEHOUSE BOARD OF TRUSTEES 2.00 X 0 0 0 DR MARCIA MCNUTT BOARD OF TRUSTEES 2.00 X 0 0 0 DR CHRISTOPHER D'ELIA BOARD OF TRUSTEES 2.00 X 0 0 0 DR MEGAN DAVIS BOARD OF TRUSTEES 2.00 X 0 0 0 DR MICHAEL PERFIT BOARD OF TRUSTEES 2.00 X 0 0 0 DR STEVEN E LOHRENZ BOARD OF TRUSTEES 2.00 X 0 0 0 DR JAMES G SANDERS BOARD OF TRUSTEES 2.00 X 0 0 0 DR CHRIS SCHOLIN BOARD OF TRUSTEES 2.00 X 0 0 0 DR NANCY M TARGETT BOARD OF TRUSTEES 2.00 X 0 0 0 VICE ADMIRAL PAUL G GAFFNEY II BOARD OF TRUSTEES 2.00 X 0 0 0 DR LARRY MAYER - ENDED 3415 BOARD OF TRUSTEES, VICE CHAIR 2.00 X X 0 0 0 DR DONALD F BOESCH BOARD OF TRUSTEES - ENDED 3/4/15 2.00 X 0 0 0 AMY CASTNER SEC/DIR OF BOARD RELATIONS 40.00 X 96497 0 27454 COLIN REED ASST. SEC/SR MGR EXEC. OFFICE 40.00 X 80755 0 14483 YAN XING VP & CFO 40.00 X 212351 0 50420 KEVIN WHEELER VP, DIR PUBLIC AFFAIRS 40.00 X 178526 0 40633 TIMOTHY COWLES VP, DIR OCEAN OBSERVING 40.00 X 230514 0 39013 DAVID DIVINS VP, DIR OCEAN DRILLING 40.00 X 185506 0 46649 SUSAN BANAHAN ASSOC DIR, OCEAN OBSERVING 40.00 X 166075 0 32905 MICHAEL KELLY PROJECT MANAGER, OOI 40.00 X 212017 0 40564 DOUGLAS FILS DATA MGMT TECHNICAL EXPERT 40.00 X 148847 0 34521 ANNA MARIE SCOTT DIR OF CONTRACTS & COMPLIANCE 40.00 X 153384 0 23760 JEFFREY SCHUFFERT DIR U.S. SCIENCE SUPPORT PROGRAM 40.00 X 134912 0 39701 2275865 0 432504 22 0 1 0 WOODS HOLE OCEANOGRAPHIC INSTITUTE 569 WOODS HOLE RD WOODS HOLE IL 02543 IMPLEMENTATION OF OCEAN OBSERVING 54818898 UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DR CHICAGO IL 60923 IMPLEMENTATION OF OCEAN OBSERVING 19838144 RAYTHEON P O BOX 414183 BOSTON MA 022414183 IMPLEMENTATION OF OCEAN OBSERVING 6675462 UNIVERSITY OF SOUTH FLORIDA P O BOX 864568 ORLANDO FL 32886 SEE SCHEDULE O 4692214 OREGON STATE UNIVERSITY PO BOX 1086 CORVALLIS OR 973391086 IMPLEMENTATION OF OCEAN OBSERVING 4657860 26 842 105791060 37110193 142902095 MEMBERSHIP DUES 900099 624503 624503 624503 136167 136167 143662765 624503 0 136167 X 232000 232000 143815 143815 1478037 653592 824445 3359749 2185607 1174142 366729 233651 133078 507198 304829 202369 300286 173559 126727 196883 99862 97021 143095 143095 74842 74842 15534 15534 134481835 134040681 441154 8242 6922 1320 342528 132962 209566 195772 101361 94411 866499 866499 978822 906045 72777 309810 300196 9614 87295 87295 108197 46900 61297 144197168 139561982 4560344 74842 3456 2509 7280370 12876087 10897900 3442438 28198105 31585047 220594 115910 1591610 1272812 286001 318798 2894108 2868212 369443 154239 28465 28465 50178442 51391705 14693621 12688213 30693990 34240749 1047947 1417344 46435558 48346306 X 3742884 3045399 3742884 3045399 50178442 51391705 -534403 -163082 0 X X 0 1 X 1 1 1 X 172568155 159850130 187430956 201802475 142902095 864553811 172568155 159850130 187430956 201802475 142902095 864553811 105239949 759313862 53154 67448 68147 107736 136167 432652 864986463 3188987 0.87780 0.91670 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 35186 35186 144161982 144197168 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 31540 14069 21050 35186 101845 250000 250000 250000 250000 1000000 1500000 496313 437460 58853 599388 518065 81323 495909 317287 178622 318798 DEFERRED RENT 943369 DEFERRED COMPENSATION 473975 1417344 X 143484149 -163082 -163082 143647231 15534 15534 143662765 144181634 0 144181634 15534 15534 144197168 PART X, LINE 2: OCEAN LEADERSHIP IS EXEMPT FROM FEDERAL INCOME TAXES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. AS SUCH, IT IS EXEMPT FROM FEDERAL INCOME TAXES ON ALL BUT UNRELATED BUSINESS INCOME, IF ANY. THERE WAS NO NET UNRELATED BUSINESS INCOME FOR THE YEARS ENDED SEPTEMBER 30, 2015 AND 2014. HOWEVER, TAX YEARS ENDED SEPTEMBER 30, 2012 THROUGH 2014 REMAIN OPEN TO EXAMINATION BY THE TAXING JURISDICTIONS TO WHICH OCEAN LEADERSHIP IS SUBJECT, AND THEY HAVE NOT BEEN EXTENDED BEYOND THE APPLICABLE STATUTE OF LIMITATIONS. CENTRAL AMERICA AND CARRIBEAN PROGRAM SERVICES SEE PART V 5125 EAST ASIA AND THE PACIFIC PROGRAM SERVICES SEE PART V 104076 EUROPE PROGRAM SERVICES SEE PART V 46399 SOUTH AMERICA PROGRAM SERVICES ARGENTINE MARGIN 14625 NORTH AMERICA PROGRAM EXPENSES ICDP-IODP JOINT ASSEMBLY 12404 0 0 0 0 0 0 182629 0 182629 0 0 0 0 0 0 PART I, LINE 2: OCEAN LEADERSHIP MAINTAINS RECORDS THAT INCLUDE: PURCHASE REQUEST WITH AUTHORIZED SIGNATURE, COPY OF AWARD AND CERTIFICATIONS, EPLS PRINT OUT AS EVIDENCE OF ELIGIBILITY, AND SELECTION CRITERIA IF AWARD EXCEEDS THE MICRO PURCHASE THRESHOLD OF $3,000 AS PER OCEAN LEADERSHIP'S POLICIES. OCEAN LEADERSHIP HAS PROVIDED A LEVEL OF OVERSIGHT AND MONITORING THAT WILL ALLOW ADEQUATE AND ACCURATE COLLECTION OF DATA ON PERFORMANCE THROUGHOUT THE LIFE OF A PROGRAM. MONITORING PROCESS FOR THE GRANTS AND SUBCONTRACTS: THE OVERALL PURPOSE OF MONITORING AND EVALUATION IS THE MEASUREMENT AND ASSESSMENT OF PERFORMANCE IN ORDER TO MORE EFFECTIVELY MANAGE THE OUTPUTS AND OUTCOMES OF EXPENDITURES. OCEAN LEADERSHIP MONITORS AWARDS AT SEVERAL KEY PHASES OF THE AWARD'S LIFE CYCLE. 1) PRE-AWARD ASSESSMENT: THE INITIAL MONITORING BEGINS WITH A PRE-AWARD ASSESSMENT OF THE PROSPECTIVE RECIPIENT'S ABILITIES AND RESOURCES TO BE APPLIED TO THE AWARD FOR THE PURPOSE OF DETERMINING WHETHER THE RECIPIENT CAN ADEQUATELY PROVIDE THE SERVICES DEMANDED BY THE AWARD. 2) PERIODIC MONITORING: ON-GOING MONITORING IS CONDUCTED DURING THE LIFE OF THE AWARD. PERIODIC MONITORING INCLUDES REVIEW OF THE QUARTERLY AND ANNUAL REPORTING REQUIRED UNDER THE AWARD AND ANY OTHER REPORTS AS SPECIFIED IN THE AWARD. 3) COMPLETION OF GRANT: A FINAL REVIEW OF THE AWARD'S ACTIVITY AND ACCOMPLISHMENTS AND SPENDING IS CONDUCTED AT THE COMPLETION OF THE AWARD. 4) THE ABOVE MONITORING IS ACCOMPLISHED THROUGH VARIOUS MEANS BASED ON THE NEEDS OF THE INDIVIDUAL AWARD. TECHNIQUES USED WILL CONSIST OF PERIODIC WRITTEN REPORTS FROM THE RECIPIENT, ON-SITE VISITS (ANNOUNCED AND UNANNOUNCED), TELEPHONE CONTACTS, AND, IF APPLICABLE ON-LINE REVIEW OF AWARD DATA. 5) REPORTING FORMAT: THE RECIPIENT IS EXPECTED TO PROVIDE THE REPORTS IDENTIFIED IN THE AGREEMENT SIGNED BETWEEN OCEAN LEADERSHIP AND THE RECIPIENT. THE ANNUAL REPORTS REQUIRED ARE COMPLETED USING THE REPORTING FORMAT PROVIDED FOR BY OCEAN LEADERSHIP. 6) PROGRAM DIRECTORS WILL REVIEW THE SUBCONTRACTOR'S REPORTS TO MAKE SURE THEY ARE COMPLETE AND THAT THE INFORMATION AGREES WITH ANY PERIODIC REPORTING. 7) MONITORING RECORDS: PROGRAM STAFF FULLY AND ACCURATELY DOCUMENT ALL MONITORING EFFORTS. 8) SITE VISITS: OCEAN LEADERSHIP MAY UNDERTAKE ADDITIONAL RECIPIENT MONITORING BY MAKING PERIODIC SITE VISITS. BASED ON THE LEVEL OF RISK ASSIGNED TO EACH RECIPIENT, ONE TO SEVERAL SITE VISITS MAY BE SCHEDULED DURING THE TERM OF THE AWARD. PART 1, LINE 3, COLUMN (E): CENTRAL AMERICA AND CARRIBEAN: EXPEDITION 340 AND CHICXULUB IMPACT STRUCTURE WORKSHOP EAST ASIA AND THE PACIFIC: EXPEDITION 353, EXPEDITION 354, CHIKYU IODP BOARD MEETING, ECORD FACILITY BOARD MEETING, ECROD TRAINING COURSE, EXPEDITION 337 SECOND POST CRUISE, JAPAN GEOSCIENCE UNION MEETING, EXPEDITION 344 SECOND POST CRUISE MEETING,IODP FORUM,2015 AOGS SINGAPORE, EXPEDITION 354 SAMPLING PARTY, 349 SECOND POST CRUISE MEETING EUROPE: POST EXPEDITION AWARD TRAVEL, SEP MEETING, PRE-DRILLING ACTIVITY MEETING FOR IODP 883, EXPEDITION 347 SECOND POST CRUISE MEETING, TPOS 2020 BACKBONE TT MEETING X X 1 FOCUS FUNDRAISING 4800 WESTERN AVE BETHESDA MD 20816 PROVIDE AND DEVELOP FUNDRAISING STRATEGIES 0 0 72342 -72342 72342 -72342 1 VIRGINIA INSTITUTE OF MARINE SCIENCE P O BOX 1346 GLOUCESTER POINT VA 230621346 546001802 STATE OF VA 10000 FMV NOSB REGIONAL AWARD REGENTS UNIVERSITY OF MICHIGAN 520 E LIBERTY ST SUITE 310 ANN ARBOR MI 481042210 386006309 501(C)(3) 10000 FMV NOSB REGIONAL AWARD MASSACHUSSETS INSTITUTE OF TECHNOLOGY 77 MASSACHUSSETS AVENUE CAMBRIDGE MA 02139 042103594 501(C)(3) 10000 FMV NOSB REGIONAL AWARD UNIVERSITY OF NORTH CAROLINA CHAPEL HILL 3202D VENABLE HALL CAPMPUS BOX 3300 3300 CHAPEL HILL NC 275993300 566001393 501(C)(3) 10000 FMV NOSB REGIONAL AWARD BOARD OF REGENTS UNIVERSITY OF WISCONSIN MILWAUKEE 600 E GREENFIELD AVENUE MILWAUKEE WI 53204 391805963 501(C)(3) 10000 FMV NOSB REGIONAL AWARD RUTGERS UNIVERSITY 3 RUTGERS PLAZA ASB II NEW BRUNSWICK NJ 08901 226001086 IRC 115 10000 FMV NOSB REGIONAL AWARD CIRES UNIVERSITY OF COLORADO AT BOULDER 1540 30TH STREET OFFICE 127 BOULDER CO 80309 846000555 STATE OF CO 10000 FMV NOSB REGIONAL AWARD UNIVERSITY OF MAINE 360 AUGERT HALL ORONO ME 04469 016000769 501(C)(3) 10000 FMV NOSB REGIONAL AWARD GULF COAST RESEARCH LAB 703 EAST BEACH DRIVE OCEAN SPRINGS MS 39564 646000818 STATE OF MS 35000 FMV NOSB REGIONAL AWARD TEXAS A&M UNIVERSITY TAES ANNEX BLDG 730 LAMAR STREET 4115 TAMU COLLEGE STATION TX 778434115 746000531 STATE OF TX 20000 FMV NOSB REGIONAL AWARD YOUNGSTOWN STATE UNIVERSITY ONE UNIVERSITY PLAZA YOUNGSTOWN OH 44555 341011998 STATE OF OH 10000 FMV NOSB REGIONAL AWARD FLORIDA ATLANTIC UNIVERSITY-HARBOR BRANCH OCEANOGRAPHIC 5600 US 1 NORTH FORT PIERCE FL 34946 650385507 STATE OF FL 10000 FMV NOSB REGIONAL AWARD STONY BROOK UNIVERSITY W/5510 MELVILLE LIBRARY STONY BROOK NY 117945000 141368361 501(C)(3) 10000 FMV NOSB REGIONAL AWARD STANFORD UNIVERSITY 397 PANAMA MALL STANFORD CA 94305 941156365 501(C)(3) 10000 FMV NOSB REGIONAL AWARD OREGON STATE UNIVERSITY 104 CEOS ADMIN BLDG CORVALLIS OR 97331 481278540 STATE OF OR 10000 FMV NOSB REGIONAL AWARD UNIVERSITY OF WASHINGTON 3716 BROOKLYN AVE NE SEATTLE WA 98105 916001537 IRC 115 10000 FMV NOSB REGIONAL AWARD UNIVERSITY OF SOUTH FLORIDA 140 7TH AVENUES SOUTH MSL 119 ST PETERSBURG FL 33701 593102112 501(C)(3) 10000 FMV NOSB REGIONAL AWARD UNIVERSITY OF ALASKA P O BOX 730 SEWARD AK 99664 926000147 IRC 115 10000 FMV NOSB REGIONAL AWARD GEORGE MASON UNIVERSITY 4400 UNIVERSITY DRIVE FAIRFAX VA 22030 540836354 STATE OF VA 7000 FMV NOSB REGIONAL AWARD INDISTRICT COMMITTEE OF PROJECT OCEANOLOGY 1084 SHENNECOSSETT ROAD GROFTON CT 063406048 060896672 501(C)(3) 10000 FMV NOSB REGIONAL AWARD 9 11 HONORARIUM 9 8300 FMV UNRESTRICTED STIPENDS 4 18918 FMV NOSB QUESTION WRITERS 14 4727 FMV GRI PANEL PEER REVIEW 72 94171 FMV IUSSP KITS/EDUCATION STIPENDS 2 10040 FMV NOSB SCHOLARSHIPS 5 5000 FMV NOSB AWARDS 7 2659 FMV PART I, LINE 2: OCEAN LEADERSHIP MAINTAINS RECORDS THAT INCLUDE: PURCHASE REQUEST WITH AUTHORIZED SIGNATURE, COPY OF AWARD AND CERTIFICATIONS, EPLS PRINT OUT AS EVIDENCE OF ELIGIBILITY, AND SELECTION CRITERIA IF AWARD EXCEEDS THE MICRO PURCHASE THRESHOLD OF $3,000 AS PER OCEAN LEADERSHIP'S POLICIES. OCEAN LEADERSHIP HAS PROVIDED A LEVEL OF OVERSIGHT AND MONITORING THAT WILL ALLOW ADEQUATE AND ACCURATE COLLECTION OF DATA ON PERFORMANCE THROUGHOUT THE LIFE OF A PROGRAM. MONITORING PROCESS FOR THE GRANTS AND SUBCONTRACTS: THE OVERALL PURPOSE OF MONITORING AND EVALUATION IS THE MEASUREMENT AND ASSESSMENT OF PERFORMANCE IN ORDER TO MORE EFFECTIVELY MANAGE THE OUTPUTS AND OUTCOMES OF EXPENDITURES. OCEAN LEADERSHIP MONITORS AWARDS AT SEVERAL KEY PHASES OF THE AWARD'S LIFE CYCLE. 1) PRE-AWARD ASSESSMENT: THE INITIAL MONITORING BEGINS WITH A PRE-AWARD ASSESSMENT OF THE PROSPECTIVE RECIPIENT'S ABILITIES AND RESOURCES TO BE APPLIED TO THE AWARD FOR THE PURPOSE OF DETERMINING WHETHER THE RECIPIENT CAN ADEQUATELY PROVIDE THE SERVICES DEMANDED BY THE AWARD. 2) PERIODIC MONITORING: ON-GOING MONITORING IS CONDUCTED DURING THE LIFE OF THE AWARD. PERIODIC MONITORING INCLUDES REVIEW OF THE QUARTERLY AND ANNUAL REPORTING REQUIRED UNDER THE AWARD AND ANY OTHER REPORTS AS SPECIFIED IN THE AWARD. 3) COMPLETION OF GRANT: A FINAL REVIEW OF THE AWARD'S ACTIVITY AND ACCOMPLISHMENTS AND SPENDING IS CONDUCTED AT THE COMPLETION OF THE AWARD. 4) THE ABOVE MONITORING IS ACCOMPLISHED THROUGH VARIOUS MEANS BASED ON THE NEEDS OF THE INDIVIDUAL AWARD. TECHNIQUES USED WILL CONSIST OF PERIODIC WRITTEN REPORTS FROM THE RECIPIENT, ON-SITE VISITS (ANNOUNCED AND UNANNOUNCED), TELEPHONE CONTACTS, AND, IF APPLICABLE ON-LINE REVIEW OF AWARD DATA. 5) REPORTING FORMAT: THE RECIPIENT IS EXPECTED TO PROVIDE THE REPORTS IDENTIFIED IN THE AGREEMENT SIGNED BETWEEN OCEAN LEADERSHIP AND THE RECIPIENT. THE ANNUAL REPORTS REQUIRED ARE COMPLETED USING THE REPORTING FORMAT PROVIDED FOR BY OCEAN LEADERSHIP. 6) PROGRAM DIRECTORS WILL REVIEW THE SUBCONTRACTOR'S REPORTS TO MAKE SURE THEY ARE COMPLETE AND THAT THE INFORMATION AGREES WITH ANY PERIODIC REPORTING. 7) MONITORING RECORDS: PROGRAM STAFF FULLY AND ACCURATELY DOCUMENT ALL MONITORING EFFORTS. 8) SITE VISITS: OCEAN LEADERSHIP MAY UNDERTAKE ADDITIONAL RECIPIENT MONITORING BY MAKING PERIODIC SITE VISITS. BASED ON THE LEVEL OF RISK ASSIGNED TO EACH RECIPIENT, ONE TO SEVERAL SITE VISITS MAY BE SCHEDULED DURING THE TERM OF THE AWARD. X X X X X 0 0 0 0 0 0 0 1 0 DR ROBERT GAGOSIAN PRESIDENT/CEO - RESIGNED 02/16/15 466481 0 10000 0 0 0 26000 0 16401 0 518882 0 0 0 YAN XING VP & CFO 210351 0 2000 0 0 0 32567 0 17853 0 262771 0 0 0 KEVIN WHEELER VP, DIR PUBLIC AFFAIRS 176526 0 2000 0 0 0 18243 0 22390 0 219159 0 0 0 TIMOTHY COWLES VP, DIR OCEAN OBSERVING 227014 0 3500 0 0 0 22743 0 16270 0 269527 0 0 0 DAVID DIVINS VP, DIR OCEAN DRILLING 182506 0 3000 0 0 0 27957 0 18692 0 232155 0 0 0 SUSAN BANAHAN ASSOC DIR, OCEAN OBSERVING 164075 0 2000 0 0 0 24716 0 8189 0 198980 0 0 0 MICHAEL KELLY PROJECT MANAGER, OOI 208517 0 3500 0 0 0 21004 0 19560 0 252581 0 0 0 DOUGLAS FILS DATA MGMT TECHNICAL EXPERT 147097 0 1750 0 0 0 15287 0 19234 0 183368 0 0 0 ANNA MARIE SCOTT DIR OF CONTRACTS & COMPLIANCE 151384 0 2000 0 0 0 15677 0 8083 0 177144 0 0 0 JEFFREY SCHUFFERT DIR U.S. SCIENCE SUPPORT PROGRAM 133412 0 1500 0 0 0 20777 0 18924 0 174613 0 0 0 PART I, LINE 7 THE PRESIDENT/CEO BONUS IS DETERMINED BY THE EXECUTIVE COMMITTEE AS PART OF THE PRESIDENT'S EMPLOYMENT CONTRACT. PERFORMANCE BONUSES MAY BE AWARDED EACH YEAR BASED ON THE ORGANIZATION'S BUDGET AND CALCULATED AS A PERCENT OF THE TOTAL SALARY BUDGET. THE PRESIDENT/CEO REVIEWS THE SUBMITTED BONUS RECOMMENDATIONS AND APPROVES THE FINAL BONUS AMOUNTS. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS FORTY-TWO VOTING MEMBERS, THIRTY ASSOCIATE MEMBERS, AND EIGHT AFFILIATE MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A THE ORGANIZATION'S FORTY-TWO VOTING MEMBERS ELECT INDIVIDUALS TO THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7B THE BYLAWS OF THE CORPORATION MAY BE AMENDED ONLY BY A VOTE OF THE VOTING MEMBERS. IN ADDITION, VOTING MEMBERS ELECT TRUSTEES TO SERVICE ON THE BOARD OF TRUSTEES AND ADMIT NEW MEMBERS. FORM 990, PART VI, SECTION B, LINE 11 FORM 990 IS FIRST PROVIDED TO THE FINANCE COMMITTEE OF THE BOARD FOR REVIEW AND THEN MADE AVAILABLE TO ALL MEMBERS OF THE BOARD PRIOR TO ITS FILING WITH THE IRS. IN ADDITION, FORM 990 IS PROVIDED TO OCEAN LEADERSHIP'S COGNIZANT AGENCY. FORM 990, PART VI, SECTION B, LINE 12C OCEAN LEADERSHIP MAINTAINS A CONFLICT OF INTEREST POLICY. THE POLICY IS PART OF THE EMPLOYEE HANDBOOK WHICH NEW HIRES RECEIVE AS PART OF THE ORIENTATION PROCESS. THE HUMAN RESOURCES CONSULTANT DISCUSSES THE CONFLICT OF INTEREST POLICY AS WELL AS ALL OTHER KEY OCEAN LEADERSHIP POLICIES WITH ALL NEW HIRES DURING NEW HIRE ORIENTATION. ALL EMPLOYEES ARE REQUIRED TO SIGN A RECEIPT OF THE EMPLOYEE HANDBOOK. AN EMPLOYEE WHO VIOLATES THE CONFLICT OF INTEREST POLICY WOULD BE SUBJECT TO DISCIPLINARY ACTION PER THE ORGANIZATION'S DISCIPLINARY ACTION POLICY. SUCH DISCIPLINARY ACTION COULD INCLUDE TERMINATION OF EMPLOYMENT, DEPENDING ON THE NATURE OF THE SITUATION. OCEAN LEADERSHIP MAINTAINS TWO CONFLICT OF INTEREST POLICIES: ONE FOR ALL MEMBERS AND ONE FOR ALL TRUSTEES. EACH MEMBER AND TRUSTEE IS REQUIRED TO SUBMIT AN ANNUAL DISCLOSURE STATEMENT TO THE BOARD SECRETARY, AS WELL AS TO DISCLOSE IMMEDIATELY AND IN WRITING ANY POSSIBLE CONFLICTS AT SUCH TIME HE OR SHE BECOMES AWARE THAT ONE MIGHT EXIST. THE COLLECTION OF THE ANNUAL STATEMENTS BEGINS WITH THE MARCH MEMBERS MEETING AND CONTINUES UNTIL ALL MEMBER REPRESENTATIVES AND TRUSTEES HAVE A FORM ON FILE. ONCE ALL FORMS ARE ON FILE, THEY ARE REVIEWED BY THE EXECUTIVE COMMITTE AND ALL POSSIBLE CONFLICTS ARE DISCUSSED AND ACTED UPON, AS APPROPRIATE. ADDITIONALLY, ALL MEMBERS AND TRUSTEES ARE REMINDED OF THESE POLICIES AND THEIR NEED TO DISCLOSE AT EACH MEMBER AND BOARD MEETING. FORM 990, PART VI, SECTION B, LINE 15A FOR THE PRESIDENT/CEO - AN ASSESSMENT IS CONDUCTED AT THE REQUEST OF THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES AS NEEDED. THE ASSESSMENT INCLUDES A COMPREHENSIVE MARKET SALARY REVIEW CONDUCTED BY NONPROFIT HR SOLUTIONS, AN INDEPENDENT HUMAN RESOURCES CONSULTING FIRM. THE INDEPENDENT STUDY ALSO INCLUDES A REVIEW OF BENEFITS PROVIDED TO OTHER NON-PROFIT CHIEF EXECUTIVES WITH COMPARABLE BUDGET, STAFF SIZE, SCOPE AND MISSION. IN SOME YEARS THE ASSESSMENT INCLUDES A REVIEW OF MARKET INCREASE DATA. RESULTS OF THESE MARKET REVIEWS ARE PRESENTED BY NPHRS TO THE EXECUTIVE COMMITTEE, WHICH DISCUSSES THE DATA COLLECTED, CONSIDERS THE PERFORMANCE OF THE PRESIDENT/CEO, AND SETS A SALARY ALIGNED TO A FIGURE THEY DEEM TO BE REASONABLE AND APPROPRIATE, TAKING INTO CONSIDERATION THE REPORTED MEAN OF THE MARKET. EXECUTIVE COMPENSATION BETWEEN THE EXECUTIVE COMMITTEE AND THE PRESIDENT/CEO IS ESTABLISHED BY CONTRACT BETWEEN THE EXECUTIVE COMMITTEE AND THE PRESIDENT/CEO. LINE 15B, THE PROCESS FOR DETERMINING COMPENSATION FOR VICE PRESIDENTS INCLUDES COMPREHENSIVE MARKET SALARY REVIEWS FOR VICE PRESIDENT LEVEL POSITIONS AS NECESSARY TO ENSURE THAT SALARIES ARE APPROPRIATELY ALIGNED WITH THE MEAN OF THE MARKET. SALARY ADJUSTMENTS ARE APPROVED BY THE PRESIDENT/CEO. ALL DATA USED IN DETERMINING COMPENSATION IS REVIEWED AND RANGES ARE SHIFTED EVERY TWO TO THREE YEARS. DATA IS GATHERED FROM COMPENSATION SURVEYS USING DATA FROM ORGANIZATIONS OF SIMILAR SIZE, BUDGET, SCOPE, AND MISSION. DATA WAS LAST GATHERED IN 2012. COMPENSATION DECISIONS ARE DOCUMENTED IN OFFER LETTERS, PERSONNEL ACTION FORMS AND SALARY NOTIFICATIONS TO EMPLOYEES. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS AND GOVERNANCE-RELATED CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC BOTH ON THE ORGANIZATION'S WEBSITE AND UPON REQUEST. THE FORM 990 AND FINANCIAL STATEMENTS ARE AVAILABLE ON GUIDESTAR AND AVAILABLE UPON REQUEST. FORM 990, PART IX, LINE 11G SUBCONTRACT EXPENSES: PROGRAM SERVICE EXPENSES 131,799,138. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 131,799,138. STIPENDS: PROGRAM SERVICE EXPENSES 2,057,311. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,057,311. CONSULTANT FEES: PROGRAM SERVICE EXPENSES 154,238. MANAGEMENT AND GENERAL EXPENSES 329,134. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 483,372. TEMPORARY HELP: PROGRAM SERVICE EXPENSES 29,994. MANAGEMENT AND GENERAL EXPENSES 112,020. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 142,014. FORM 990, PART XII, LINE 2C THE AUDIT COMMITTEE SELECTS THE AUDIT FIRM AND OVERSEES THE AUDIT PROCESS. THIS PROCESS HAS NOT CHANGED SINCE OCEAN LEADERSHIPS CREATION IN 2007. FORM 990, PAGE 6, PART VI, LINE 1A THE EXECUTIVE COMMITTEE INCLUDES THE BOARD CHAIR, THE VICE CHAIR, THE TREASURER AND THE CHAIRS OF THE OTHER STANDING BOARD COMMITTEES: AUDIT AND BOARD NOMINATING - AND A "CHAIR'S CHOICE" WHICH IS FILLED BY A TRUSTEE AT THE PREFERENCE OF THE BOARD CHAIR. THE PRESIDENT AND SECRETARY OF THE BOARD ARE NON-VOTING MEMBERS OF THE EXECUTIVE COMMITTEE. THE EXECUTIVE COMMITTEE IS CHARGED WITH EXERCISING ALL THE POWERS VESTED IN THE BOARD OF TRUSTEES DURING THE INTERVALS BETWEEN MEETINGS OF THE BOARD AND THE WITH MAKING NOMINATIONS OF AT-LARGE TRUSTEES. FORM 990, PART VII, SECTION B, COLUMN B UNIVERSITY OF SOUTH FLORIDA - TO CONDUCT STUDIES IN (1) NEAR-TO-FAR FIELD MODELING, (2) HIGH-PRESSURE EXPERIMENTATION, (3) SEDIMENTATION OF OIL AND ITS IMPACTS, (4) IMPACTS ON THE ABUNDANCE, CONTAMINATION AND POPULATION DYNAMICS OF FISHES AND MARINE MAMMALS, (5) TOXICOLOGY STUDIES, AND (6) ECOSYSTEM MODELING, IN ORDER TO ADVANCE UNDERSTANDING OF THE PROCESSES AND MECHANISMS INVOLVED IN MARINE BLOWOUTS AND THEIR ENVIRONMENTAL CONSEQUENCES.