2015-05-15T14:38:22-05:00 2014-06-30 271728945 O'CONNOR DAVIES LLP 665 FIFTH AVENUE NEW YORK NY 10022 990 2013-07-01 112104059 NEW YORK HALL OF SCIENCE NEWY 7186990005 47-01 111TH STREET CORONA NY 11368 MARGARET HONEY CHIEF EXECUTIVE OFFICER 7186990005 2015-05-15 1 GARRETT M HIGGINS P00543209 2122862600 2013 2016-03-07 17:11:31Z MARGARET HONEY 47-01 111TH STREET CORONA NY 11368 23358205 0 X HTTP://WWW.NYSCI.ORG X 1964 NY SEE SCHEDULE O FOR ORGANIZATION MISSION STATEMENT IN FULL 37 37 342 49 0 0 21070595 15797962 2733280 2843183 276447 430125 860065 958879 24940387 20030149 2227396 1707630 0 0 10447889 11528879 96840 115436 2901167 8459017 7561587 21231142 20913532 3709245 -883383 70933255 70733736 1595034 2004881 69338221 68728855 X NYSCI BRINGS THE EXCITEMENT AND UNDERSTANDING OF SCIENCE AND TECHNOLOGY TO CHILDREN, FAMILIES, TEACHERS, AND OTHERS BY GALVANIZING THEIR CURIOSITY AND OFFERING THEM CREATIVE AND PARTICIPATORY WAYS TO LEARN. 0 0 6333420 2132521 EXHIBITIONS: IN ITS FIRST 50 YEARS, NYSCI HAS EVOLVED INTO A LEADER IN THE SCIENCE MUSEUM FIELD, HIGHLY REGARDED FOR ITS EXHIBITIONS, PROGRAMS AND EDUCATIONAL PROJECTS. THROUGH ITS PLACE, NYSCI OFFERS EXHIBITS AND PROGRAMS THAT USE DESIGN-MAKE-PLAY METHODOLOGIES TO DEEPEN VISITOR ENGAGEMENT AND CREATE BROAD PATHWAYS OF OPPORTUNITY FOR YOUTH TO PURSUE STEM (SCIENCE, TECHNOLOGY ENGINEERING AND MATH) CAREERS. AN UNPARALLELED RANGE OF 450 PERMANENT INTERACTIVE EXHIBITS EXPLORE CHEMISTRY, BIOLOGY, ASTRONOMY, PHYSICS, GENETICS, AND MUCH MORE, ALL GEARED FOR CHILDREN AND ADULTS. BY COMBINING THESE EXHIBITS WITH THE OUTDOOR SCIENCE PLAYGROUND, ROCKET PARK MINI GOLF, MAKER SPACE, THE BIOCHEMISTRY, ASTRONOMY AND CONNECTIONS DISCOVERY LABS, THE PRESCHOOL PLACE FOR EARLY CHILDHOOD LEARNING, AND NATIONALLY REPLICATED SCIENCE EDUCATION PROGRAMS FOR UNDERSERVED POPULATIONS, NYSCI OFFERS A HIGH-TECH, HANDS-ON EXPERIENCE OF DISCOVERY FOR VISITORS OF ALL AGES.DESIGN LAB: UNVEILED IN SPRING 2014, THIS 6,300-SQUARE-FOOT PERMANENT EXHIBITION PROVIDES A MULTI-FACETED, HANDS-ON EXPERIENCE WHERE VISITORS OF ALL AGES LEARN THE FUNDAMENTALS OF ENGINEERING THROUGH DESIGN. WITHIN EACH AREA - STUDIO, TREEHOUSE, BACKSTAGE AND SANDBOX - STUDENTS, TEACHERS AND FAMILIES ARE INVITED TO ENGAGE IN ACTIVITIES THAT PROVIDE A DEEPER UNDERSTANDING OF THE ENGINEERING AND DESIGN PROCESS. IN THE CLASSROOM, DESIGN-BASED LEARNING CAN INVIGORATE FORMAL SCIENCE TEACHING BY MAKING STUDENTS ACTIVE PARTICIPANTS WHO CONDUCT STEM EXPERIMENTS TO SOLVE A PROBLEM.CONNECTED WORLDS: NYSCI'S NEWEST EXHIBITION INVITES VISITORS TO EXPLORE ISSUES CONNECTED TO ENVIRONMENTAL BALANCE AND THE STABILITY OF ECOSYSTEMS WITHIN THE CONTEXT OF IMAGINATIVE, IMMERSIVE WORLDS. THROUGH STATE-OF-THE-ART SENSOR TECHNOLOGIES, VISITORS CAN ENGAGE WITH ANY ONE OF SEVEN ENVIRONMENTS THAT ARE CREATED THROUGH PROJECTIONS AND DYNAMIC, REAL-TIME ANIMATIONS. MULTI-MEDIA, DATA-VISUALIZATION TOOLS, INTERACTIVE DIGITAL TECHNOLOGIES, ROLE-PLAYING GAMES, AND "WHAT-IF" SCENARIOS WILL GIVE VISITORS OPPORTUNITIES TO INVESTIGATE HOW HUMAN ACTIVITY IMPACTS THE SUSTAINABILITY OF COMMUNITIES - LOCALLY, NATIONALLY AND GLOBALLY. 3794089 340756 EDUCATION:SCIENCE CAREER LADDER (SCL): A YOUTH DEVELOPMENT AND EMPLOYMENT PROGRAM AIMED AT INCREASING THE PARTICIPATION OF WOMEN AND PEOPLE OF COLOR IN STEM PROFESSIONS, SCL TRAINS HIGH SCHOOL AND COLLEGE STUDENTS AS EXPLAINERS TO LEAD DEMONSTRATIONS, ASSIST AND INSTRUCT MUSEUM VISITORS, AND FACILITATE PUBLIC PROGRAMS. THE SCIENCE CAREER LADDER HAS SERVED OVER 3,000 YOUTH SINCE ITS INCEPTION, EMPLOYING THEM AS EXPLAINERS AND PROVIDING THEM WITH MENTORING, APPRENTICESHIPS AND NETWORKING OPPORTUNITIES TO HELP THEM PREPARE FOR CAREERS IN STEM FIELDS.ALAN J. FRIEDMAN CENTER FOR THE DEVELOPMENT OF YOUNG SCIENTISTS: CREATED IN HONOR OF THE MEMORY OF DR. ALAN J. FRIEDMAN, WHO LED THE INSTITUTION FROM 1984 UNTIL 2006, THE FRIEDMAN CENTER WILL NOT ONLY SUSTAIN THE SCIENCE CAREER LADDER, BUT ALSO ENABLE THE CREATION OF ADDITIONAL PROGRAMS TO CULTIVATE THE INTERESTS AND CAREERS OF YOUNG SCIENTISTS. THE FRIEDMAN CENTER INCLUDES EXPANDED INITIATIVES LIKE THE INNOVATION INSTITUTE THAT ENGAGES HIGH SCHOOL STUDENTS IN NEXT-GENERATION ENTREPRENEURIAL ACTIVITIES; STEM CAREER NIGHTS FOR ASPIRING YOUNG SCIENTISTS TO LEARN FROM STEM PROFESSIONALS; EXPLAINER TV, WHICH TEACHES VIDEO PRODUCTION AND PHOTOGRAPHY; AND SCIENCE CAREER LADDER RESIDENCIES FOR GROWTH AND DEVELOPMENT TRAINING IN STEM FIELDS.AFTER SCHOOL PROGRAMS: THROUGH WORKSHOPS, CLUBS, CAMPS AND OUTREACH ACTIVITIES DESIGNED TO TEACH THE BASIC PRINCIPLES OF CHEMISTRY, PHYSICS, BIOLOGY, ECOLOGY, FORENSICS AND OTHER SCIENTIFIC DISCIPLINES, THESE PROGRAMS PROVIDE ELEMENTARY THROUGH HIGH SCHOOL STUDENTS WITH HANDS-ON LEARNING AND LEADERSHIP EXPERIENCES. AFTERSCHOOL CLUBS TAP INTO THE MAKER MOVEMENT AND INCORPORATE MAKER-RELATED ACTIVITIES SPECIFICALLY DESIGNED TO FOSTER INVENTION IN YOUNG "TINKERS" THROUGH EXPERIMENTAL PROBLEM SOLVING, PROJECT DESIGN AND CONSTRUCTION. THE AFTERSCHOOL CLUBS AND CAMPS PROGRAMS ENGAGE OVER 450 STUDENTS EVERY YEAR.PROFESSIONAL DEVELOPMENT: NYSCI OFFERS STEM PROFESSIONAL DEVELOPMENT EACH YEAR TO MORE THAN 4,000 K-12 TEACHERS, EFFECTIVELY REACHING 300,000 STUDENTS ANNUALLY. ON-SITE, MOBILE, DIGITAL, AND WEB-BASED TEACHER DEVELOPMENT PROGRAMS OFFER UNIQUE OPPORTUNITIES TO LEARN AND PRACTICE ENGAGING AND EFFECTIVE METHODS FOR TEACHING STEM SUBJECTS. NYSCI DELIVERS WEB-ENABLED PROFESSIONAL DEVELOPMENT TRAINING THROUGH ITS INTERACTIVE DISTANCE LEARNING INITIATIVES AND HAS ALSO PARTNERED WITH EDUCATORS TO DEVELOP NEW, DESIGN-BASED LEARNING PRACTICES THAT WILL REVOLUTIONIZE HOW STEM IS TAUGHT. VIRTUAL VISITS: THIS PROGRAM ENABLES CHRONICALLY ILL MIDDLE SCHOOL AND HIGH SCHOOL STUDENTS TO INTERACT DIRECTLY WITH THE MUSEUM'S EXHIBITIONS, PARTICIPATE IN STATE-MANDATED CHEMISTRY AND BIOLOGY LABS, AND ALLOW CHILDREN IN MULTIPLE HOSPITALS TO CONNECT WITH ONE ANOTHER, SIMULATING THE FEEL OF A LIVE CLASSROOM. VIRTUAL VISITS UTILIZES NEW AND INNOVATIVE TECHNOLOGY SUCH AS AN INTERACTIVE VIDEOCONFERENCING PLATFORM AND A REMOTE CONTROLLED VGO ROBOT THAT ALLOWS THIS VULNERABLE POPULATION TO PARTICIPATE IN NYSCI'S PROGRAMS FROM A DISTANCE. 938025 369906 PUBLIC PROGRAMS:MAKER SPACE: OCCUPYING 1,200 SQUARE FEET, MAKER SPACE IS A LEARNING ENVIRONMENT AT NYSCI WHERE CHILDREN, TEENS, ADULTS AND FAMILIES CAN TINKER, DESIGN AND CREATE TOGETHER. FROM WOODWORKING AND PLASTER CASTING TO ELECTRONICS AND 3D PRINTING, NYSCI ENCOURAGES EXPERIMENTATION AND OPEN-ENDED EXPLORATION. EVEN CHILDREN AS YOUNG AS 18 MONTHS OLD CAN PARTICIPATE IN DIY WORKSHOPS THROUGH NYSCI'S LITTLE MAKERS PROGRAM. MAKER SPACE OFFERS ACTIVITIES DESIGNED TO APPEAL TO A SPAN OF SKILL LEVELS, FOSTERING OPPORTUNITIES FOR COOPERATION, SHARING AND FAMILY CONVERSATION. EARLY CHILDHOOD AND FAMILY LEARNING INITIATIVES: THE PRIMARY LOCATION FOR WORKSHOPS AND ACTIVITIES IS THE 2,500-SQUARE FOOT EARLY CHILDHOOD LEARNING ENVIRONMENT, PRESCHOOL PLACE, WHICH OFFERS A VARIETY OF IMAGINATIVE LEARNING EXPERIENCES THAT INTRODUCE YOUNG CHILDREN (AGES 6 AND YOUNGER) AND THEIR ACCOMPANYING PARENTS, GRANDPARENTS AND CAREGIVERS, TO THE SCIENCE OF SOUND, COLOR, LIGHT, MEASUREMENT AND SIMPLE MACHINES. ADDITIONAL SPACES FOR PRESCHOOL CHILDREN INCLUDE THE PRESCHOOL LAUNCH PAD AND THE PRESCHOOL SCIENCE PLAYGROUND DESIGNED ESPECIALLY FOR CHILDREN SIX AND UNDER. AT PRESCHOOL PLACE AND THROUGHOUT THE ENTIRE MUSEUM SPACE, NYSCI'S YOUNGEST VISITORS ARE USING MATERIALS IN UNEXPECTED WAYS AND MAKING OBJECTS THAT GO BEYOND WHAT WOULD BE POSSIBLE WITH MORE TRADITIONAL AND PRESCRIPTIVE SCIENCE ACTIVITIES. LITTLE MAKERS AND FAMILY SCIENCE ADVENTURES: LITTLE MAKERS PROVIDES PRE-K READINESS THROUGH WORKSHOPS USING HANDS-ON, DESIGN-BASED CHALLENGES AND SCIENCE/TECHNOLOGY EXPERIENCES TO FOSTER THE DEVELOPMENT OF SCIENTIFIC INQUIRY SKILLS INCLUDING OBSERVATION, MEASUREMENT, CLASSIFICATION, EXPERIMENTATION, PREDICTION, AND COMMUNICATION. FAMILY SCIENCE ADVENTURES FACILITATES CREATIVE ART PROJECTS AND INNOVATIVE SCIENCE EXPERIMENTS IN A SERIES OF WORKSHOPS THAT ENGAGE YOUNG CHILDREN, PARENTS, AND CAREGIVERS IN HANDS-ON-SCIENCE PROJECTS THAT PROMOTE SCIENTIFIC INQUIRY AND SKILLS.WORLD MAKER FAIRE: THE 4TH ANNUAL WORLD MAKER FAIRE - A CROSS BETWEEN A COUNTY FAIR AND THE MOST INTERESTING SCIENCE FAIR EVER - BROUGHT TOGETHER 600 MAKERS AND 75,000 VISITORS FOR A WEEKEND OF CREATIVITY, DISCOVERY, INNOVATION AND THE REQUIRED DETERMINATION AND COMPLEXITY OF REALIZING AN IDEA IN THE MARKETPLACE. WORLD MAKER FAIRE ATTRACTS FAMILIES, EDUCATORS, ENGINEERS, ARTISTS, TECHNOLOGISTS, ENTHUSIASTIC ENTREPRENEURS, AS WELL AS GLOBAL CORPORATE LEADERS TO CONNECT, TINKER AND MAKE, REINVIGORATING THE SPIRIT OF AMERICAN INVENTION AND ENGAGEMENT IN STEM. 4869891 1707630 SARA LEE SCHUPF FAMILY CENTER FOR PLAY, SCIENCE, AND TECHNOLOGY LEARNING: AN APPLIED RESEARCH AND DEVELOPMENT CENTER, SCIPLAY WORKS TO CREATE THE NEXT GENERATION OF INTERACTIVE AND INSTRUCTIONAL TOOLS FOR BRINGING THE DESIGN-MAKE-PLAY PHILOSOPHY TO LEARNERS AROUND THE GLOBE. THE RESEARCH TEAM IS DEVELOPING A SUITE OF DIGITAL AND CURRICULAR TOOLS THAT DRAW ON CHILDREN'S PHYSICAL PLAY AS THE BASIS FOR LEARNING PHYSICS CONCEPTS. SCIPLAY RESEARCHERS ARE ALSO EXPLORING THE USE OF PLAYFULNESS AS A PEDAGOGICAL APPROACH FOR INTRODUCING SCIENCE IDEAS TO PRESCHOOL CHILDREN THROUGH A NEW SET OF MOBILE APPLICATIONS.PARTNERSHIPS: NYSCI IS COMMITTED TO PARTNERSHIPS THAT EXTEND ITS IMPACT LOCALLY, NATIONALLY AND INTERNATIONALLY, AND ITS WORK HAS GARNERED SUPPORT FROM LEADING FOUNDATIONS AND COMPANIES. THROUGH COLLABORATIONS WITH THE WHITE HOUSE OFFICE OF SCIENCE TECHNOLOGY POLICY AND ORGANIZATIONS LIKE THE NETWORK SCIENCE CENTER AT WEST POINT, NYSCI HAS PRODUCED CONFERENCES ON RELEVANT TOPICS, WHICH INCLUDE LEARNING AND MAKING AND THE SCIENCE OF BIG DATA. VIRTUALLY ALL OF NYSCI'S RESEARCH AND EDUCATIONAL PROGRAMS INVOLVE PARTNERS FROM UNIVERSITIES AND OTHER FORMAL AND INFORMAL LEARNING ORGANIZATIONS.INTERNATIONAL IMPACT: NYSCI HAS CREATED AN INTERNATIONAL FOOTPRINT, DELIVERING PROGRAMS AND PRESENTATIONS AROUND THE WORLD, INCLUDING THE SCIENCE CENTER WORLD SUMMIT IN BELGIUM AND THE BANGKOK SCIENCE FESTIVAL IN THAILAND. IN PARTNERSHIP WITH TUFTS UNIVERSITY AND WITH SUPPORT FROM USAID, NYSCI STAFF HAVE CREATED SMART LAB, A PROGRAM THAT PROVIDES PROFESSIONAL DEVELOPMENT TO 500 SECONDARY SCHOOL TEACHERS AND 10,000 STUDENTS IN INDONESIA. 4869891 1707630 15935425 1 1 0 1 0 0 0 1 0 1 1 0 0 0 0 1 1 0 0 0 1 1 0 1 1 0 0 1 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 1 148 0 342 1 0 0 0 0 0 1 1 0 0 0 0 X 37 37 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X MARGARET HONEY PRESIDENT & CEO 7186990005 47-01 111TH STREET CORONA NY 11368 FRANCISCO D'SOUZA CO-CHAIR 3.00 X X 0 0 0 MELISSA VAIL CO-CHAIR 8.00 X X 0 0 0 SIBYL R GOLDEN SECRETARY 1.00 X X 0 0 0 MARTIN R KUPFERBERG TREASURER 2.00 X X 0 0 0 ANTHONY K ASNES TRUSTEE UNTIL 6/19/14 1.00 X 0 0 0 BONNIE ROCHE-BRONFMAN TRUSTEE UNTIL 9/18/13 1.00 X 0 0 0 DR GEORGE CAMPBELL JR TRUSTEE 2.00 X 0 0 0 DAVID CHRISTMAN TRUSTEE 2.00 X 0 0 0 ANTHONY CIOFFI TRUSTEE 1.00 X 0 0 0 RAVENEL B CURRY III TRUSTEE 2.00 X 0 0 0 MIKAEL DOLSTEN MD PHD TRUSTEE UNTIL 9/24/13 1.00 X 0 0 0 NICHOLAS M DONOFRIO TRUSTEE 1.00 X 0 0 0 ATUL DUBEY TRUSTEE 2.00 X 0 0 0 SETH H DUBINESQ TRUSTEE 2.00 X 0 0 0 ANNA M EWING TRUSTEE 1.00 X 0 0 0 JOSEPH R FICALORA TRUSTEE 1.00 X 0 0 0 STUART FISCHER TRUSTEE 4.00 X 0 0 0 JEFFREY M FRIEDMAN TRUSTEE 4.00 X 0 0 0 JOHN J GILBERT III TRUSTEE 5.00 X 0 0 0 EDWARD D HOROWITZ TRUSTEE 2.00 X 0 0 0 MARY E KELLY TRUSTEE 1.00 X 0 0 0 JEFFREY R LIBSHUTZ TRUSTEE 1.00 X 0 0 0 YVONNE LIU TRUSTEE 1.00 X 0 0 0 PAUL J MADDON TRUSTEE 1.00 X 0 0 0 PAUL MALCHOW TRUSTEE 1.00 X 0 0 0 MARY JANE MCCARTNEY TRUSTEE 2.00 X 0 0 0 ANTHONY J MELONE TRUSTEE 1.00 X 0 0 0 JOEL H MOSER ESQ TRUSTEE 2.00 X 0 0 0 SHANKAR NARAYANAN TRUSTEE UNTIL 3/21/14 1.00 X 0 0 0 DAVID NEWMAN TRUSTEE 1.00 X 0 0 0 DEVESH RAJ TRUSTEE 1.00 X 0 0 0 STEPHEN H SANDS TRUSTEE 2.00 X 0 0 0 LINDA S SANFORD TRUSTEE 1.00 X 0 0 0 SARA LEE SCHUPF TRUSTEE 3.00 X 0 0 0 IVAN G SEIDENBERG TRUSTEE 1.00 X 0 0 0 ANIL SHRIVASTAVA TRUSTEE 1.00 X 0 0 0 ALAN SINSHEIMER ESQ TRUSTEE 5.00 X 0 0 0 KARENANN TERRELL TRUSTEE 1.00 X 0 0 0 CLAUDE TRAHAN TRUSTEE UNTIL 11/1/13 1.00 X 0 0 0 MICHELE TROGNI TRUSTEE 1.00 X 0 0 0 KURT D WOETZEL TRUSTEE 2.00 X 0 0 0 BERT WELLS TRUSTEE 1.00 X 0 0 0 MARGARET HONEY PRESIDENT & CEO 35.00 X 293487 0 138472 PATRICIA HUIE CHIEF FINANCIAL OFFICER 35.00 X 173196 0 27335 ROBERT LOGAN EXECUTIVE VP & COO 35.00 X 170253 0 21950 ERIC SIEGEL DIRECTOR & CHIEF CONTENT O 35.00 X 161028 0 48529 FRANK DUUS JR VP, INST. ADVANCEMT UNTIL 3/28/14 35.00 X 167368 0 18402 DANNY WEMPA VP, EXTERNAL AFFAIRS 35.00 X 166835 0 19941 STEPHEN UZZO VP, SCIENCE & TECHNOLOGY 35.00 X 117452 0 36545 SUHUI WON ASST VP INSTITUTIONAL ADVANCEMENT 35.00 X 129330 0 18613 LEE LIVNEY DTR CORPORATE/FDN RELATIONS 35.00 X 116426 0 23999 DAVID KANTER DTR SCIPLAY UNTIL 10/7/13 35.00 X 121985 0 18218 ELLEN WAHL DTR. YOUTH DEVELOPMT & ENTERPRISE 35.00 X 129254 0 10711 1746614 0 382715 12 0 1 0 LOCAL PROJECTS 318 WEST 39TH STREET STE 908 NEW YORK NY 10018 IT DESIGN & CONSULTANT 876750 SITU FABRICATION 20 JAY STREET SUITE 218 BROOKLYN NY 11201 EXHIBIT DESIGN & FABRICATION 388600 SITU STUDIOS 20 JAY STREET SUITE 218 BROOKLYN NY 11201 EXHIBIT DESIGN CONSULTANT 357590 DESIGN IO LLC 37 DIMICK STREET 3 SOMVERVILLE MA 02143 EXHIBIT DESIGN & FABRICATION 327200 42ND STREET LESSEE LLC 110 EAST 42ND STREET NEW YORK NY 10017 GALA PLANNING SERVICES 270528 11 430618 979246 10515785 3872313 7585253 15797962 ADMISSIONS 713990 2142724 2142724 PUBLIC PROGRAMS 611710 369906 369906 EDUCATION/TRAINING 611710 330553 330553 2843183 70285 70285 4704 4704 528016 257341 270675 270675 270675 3029423 2669583 359840 359840 359840 728168 979246 401132 327036 327036 PARKING LOT INCOME 812930 284363 284363 RESTAURANT 722210 63369 63369 SALES TAX REIMBURSEMENTS 713990 8101 8101 631 631 356464 20030149 2843183 0 1389004 1175333 1175333 389800 389800 142497 142497 1467121 1025069 184007 258045 7424576 5101090 1016679 1306807 476910 351247 32856 92807 1373866 1000653 97580 275633 786406 579192 54178 153036 230841 230841 115436 115436 48225 48225 986650 516603 344220 125827 130430 128089 718 1623 669642 448748 83069 137825 389561 243798 84119 61644 206583 150853 28230 27500 52103 26164 6373 19566 3377708 3317106 29191 31411 235605 231542 1955 2108 OTHER OPERATING EXPENSE 535027 285756 13034 236237 EXHIBIT RENTAL & MAINTE 454671 399409 9185 46077 NONCAPTIALIZED EQUIP 148111 118665 21712 7734 PARTICIPANT COSTS 57955 57955 38475 15015 21609 1851 20913532 15935425 2076940 2901167 2413679 411075 3270465 3055426 12316167 7431494 118448 234880 597323 83117574 27765367 49472519 55352207 3100886 3886211 6211 0 70933255 70733736 1288736 1785080 306298 219801 1595034 2004881 X 5035060 5435196 63907736 62897234 395425 396425 69338221 68728855 70933255 70733736 -883383 274017 0 X X 0 1 X 1 1 1 X 16150966 17321615 14250132 20566954 15797962 84087629 602751 642854 574974 503641 593556 2917776 16753717 17964469 14825106 21070595 16391518 87005405 1137898 85867507 556026 537226 577228 607670 603005 2881155 327036 327036 197679 192688 218428 204744 356464 1170003 91383599 15033845 0.93960 0.93550 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS INCOME - 2009 AMOUNT: $ 37,513. 2010 AMOUNT: $ 27,350. 2011 AMOUNT: $ 37,452. 2012 AMOUNT: $ 22,935. 2013 AMOUNT: $ 631. PARKING INCOME - 2009 AMOUNT: $ 124,005. 2010 AMOUNT: $ 121,114. 2011 AMOUNT: $ 131,222. 2012 AMOUNT: $ 125,890. 2013 AMOUNT: $ 284,363. RESTAURANT - 2009 AMOUNT: $ 36,161. 2010 AMOUNT: $ 44,224. 2011 AMOUNT: $ 49,754. 2012 AMOUNT: $ 55,919. 2013 AMOUNT: $ 63,369. SALES TAX REIMBURSEMENT - 2013 AMOUNT: $ 8,101. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 0 0 0 0 1 230841 0 1 2081 232922 0 PART II-B, LINE 1: NEW YORK HALL OF SCIENCE HAS RETAINED COUNSEL TO MONITOR APPROPRIATIONS ACTIVITY AND CONTACT GOVERNMENT OFFICIALS REGARDING SCIENCE FUNDING AND FUNDING FOR NYSCI WITH RESPECT TO THE UNITED STATES, NEW YORK STATE AND NEW YORK CITY GOVERNMENTS. THE VP, EXTERNAL AFFAIRS PARTICIPATES IN REQUESTING PUBLIC SUPPORT, PRIMARILY FROM NEW YORK CITY SOURCES, TO HELP FUND THE EDUCATIONAL AND OPERATIONAL NEEDS OF NYSCI. $1,541 OF HIS SALARY AND $540 OF HIS FRINGE BENEFITS HAVE BEEN ALLOCATED TO THE LOBBYING COSTS DISCLOSED ON SCHEDULE C, PART II-B, LINE 1I. X X 0 2357482 1000 394436 -156434 -22630 2573854 2038199 363975 187665 -215614 -16743 2357482 1734354 290818 79394 -53255 -13112 2038199 1663190 360 190818 -107062 -12952 1734354 1744496 5089 137599 -208492 -15502 1663190 0.75400 0.15400 0.09200 0 0 80513213 27097884 53415329 2531455 615897 1915558 72906 51586 21320 55352207 X 21634018 274017 719605 658472 1652094 19981924 48225 48225 20030149 22243384 719605 658472 1378077 20865307 48225 48225 20913532 PART III, LINE 1A: CONSISTENT WITH THE POLICY OF MANY MUSEUMS, PURCHASES FOR USE AS EXHIBITS AND PROGRAMS ARE NOT CAPITALIZED. PART III, LINE 4: NYSCI HAS APPROXIMATELY 450 INTERACTIVE EXHIBITS THAT EXPLORE CHEMISTRY, BIOLOGY, ASTRONOMY, PHYSICS, GENETICS, AND OTHER STEM (SCIENCE, TECHNOLOGY, ENGINEERING AND MATH) TOPICS, ALL GEARED FOR CHILDREN AND ADULTS. THESE EXHIBITS, COMBINED WITH THE OUTDOOR SCIENCE PLAYGROUND, ROCKET PARK MINI GOLF, THE BIOCHEMISTRY, ASTRONOMY AND CONNECTIONS DISCOVERY LABS, THE PRESCHOOL PLACE FOR EARLY CHILDHOOD LEARNING, THE HARCOURT TEACHER LEADERSHIP CENTER FOR ENHANCED TEACHER TRAINING PROGRAMS, AND NATIONALLY REPLICATED SCIENCE EDUCATION PROGRAMS FOR UNDERSERVED POPULATIONS, OFFER A HIGH-TECH HANDS-ON LABORATORY OF DISCOVERY FOR VISITORS OF ALL AGES. THE EXHIBITS SERVE A CRITICAL ROLE IN REALIZING NYSCI'S MISSION TO BRING THE EXCITEMENT AND UNDERSTANDING OF SCIENCE AND TECHNOLOGY TO CHILDREN, FAMILIES, TEACHERS AND OTHERS BY OFFERING CREATIVE AND PARTICIPATORY WAYS TO LEARN ABOUT STEM TOPICS. PART V, LINE 4: NYSCI MAINTAINS VARIOUS DONOR RESTRICTED FUNDS WHOSE PURPOSE IS TO PROVIDE LONG-TERM SUPPORT FOR ITS PROGRAMS IN EXHIBITIONS, EDUCATION, PUBLIC PROGAMS AND SPECIAL PROJECTS. PART X, LINE 2: NYSCI RECOGNIZES THE EFFECT OF INCOME TAX POSITIONS ONLY WHEN THEY ARE MORE LIKELY THAN NOT OF BEING SUSTAINED. MANAGEMENT HAS DETERMINED THAT NYSCI HAD NO UNCERTAIN TAX POSITIONS THAT WOULD REQUIRE FINANCIAL STATEMENT RECOGNITION OR DISCLOSURE. NYSCI IS NO LONGER SUBJECT TO EXAMINATIONS BY THE APPLICABLE TAXING JURISDICTIONS FOR PERIODS PRIOR TO FISCAL 2011. PART XI, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES REPORTED ON PART VIII LINE 6B 257,340. DIRECT EXPENSE FOR FUNDRAISING GALA REPORTED ON PART VIII LINE 8B 401,132. PART XII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSES REPORTED ON PART VIII LINE 6B 257,340. DIRECT EXPENSE FOR FUNDRAISING GALA REPORTED ON PART VIII LINE 8B 401,132. 1 EUROPE 0 0 GRANTS TO RECIPIENTS 112497 CANADA 0 0 GRANTS TO RECIPIENTS 30000 0 0 0 0 0 0 142497 0 142497 EUROPE TO DEVELOP AND PRODUCE INTERACTIVES AND MEDIA ELEMENTS FOR THE E-BOOK, "INNOCENCE, GUILT AND SCIENCE". GRANT RECIPIENT HAD TO SUBMIT DESIGN ELEMENTS AND INTERACTIVE SPECIFICATIONS FOR ORGANIZATION'S REVIEW AND COMMENT. GRANT RECIPIENT THEN INCORPORATED TEXT, MEDIA AND DOCUMENTATION INTO A FINISHED E-BOOK PRODUCT. 112497 WIRE TRANSFER CANADA PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH FEDERAL RESEARCH PROJECT FOCUSING ON DEVELOPING RESOURCES AROUND DESIGN-BASED LEARNING. 30000 CHECK 1 1 0 0 0 0 0 0 PART I, LINE 2: EACH PARTY'S PROJECT REPRESENTATIVE MET REGULARLY DURING THE PROPOSAL AND DEVELOPMENT PHASES OF THE PROJECT TO DISCUSS ANY ISSUES THAT AROSE. GRANT RECIPIENT WAS RESPONSIBLE FOR CREATING A PRODUCTION ROADMAP AND DEVELOPING A DETAILED PRODUCTION BUDGET AND SCHEDULE. IN ADDITION, THE AGREEMENT SET FORTH A PROJECT TIMELINE WITH SPECIFIC MILESTONES FOR THE GRANT RECIPIENT. THE AGREEMENT REQUIRES THE GRANT RECIPIENT TO KEEP UP-TO-DATE BOOKS OF ACCOUNT AND RECORDS RELATING TO NET RECEIPTS AND MUST ALLOW AUTHORIZED REPRESENTATIVES OF THE OTHER PARTIES TO EXAMINE THE APPLICABLE BOOKS AND RECORDS UPON REQUEST. PART I, LINE 3: X X X X X X 1 INNOVATIVE PHILANTHROPY 5 HANOVER SQ 2103 NEW YORK NY 10004 EVENT FUNDRAISING AND PLANNING 0 1707414 115436 1647362 1707414 115436 1647362 NY ANNUAL GALA 1707414 979246 728168 270528 86268 44336 1707414 979246 728168 270528 86268 44336 401132 327036 1 AMERICAN INSTITUTE FOR RESEARCH IN THE BEHAVIORAL SCIENCES 1000 THOMAS JEFFERSON STREET NW WASHINGTON DC 200073835 250965219 501(C)(3) 31437 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON INVESTING IN INNOVATION (I3) FUND RECOVERY ACT EXPLORA SCIENCE CTR & CHILDREN'S MUSEUM OF ALBUQUERUE 1701 MOUNTAIN ROAD NW ALBUQUERQUE NM 87104 850442062 501(C)(3) 20000 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES CONCORD CONSORTIUM INC 25 LOVE LANE CONCORD MA 01742 043254131 501(C)(3) 65746 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES LEARNING GAMES NETWORK 222 THIRD STREET SUITE 0300 CAMBRIDGE MA 02142 262901936 501(C)(3) 47750 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES; AND PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON INVESTING IN INNOVATION (I3) FUND RECOVERY ACT COSI DBA LIFELONG LEARNING GROUP 333 W BROAD STREET COLUMBUS OH 43215 314383802 501(C)(3) 46368 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES NEW KNOWLEDGE ORGANIZATION LTD 689 FORT WASHINGTON AVE 5E NEW YORK NY 100403759 454393574 501(C)(3) 8521 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES OREGON MUSEUM OF SCIENCE & INDUSTRY 1945 SE WATER AVENUE PORTLAND OR 972143354 930402877 501(C)(3) 64840 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES LOCAL PROJECTS LLC 315 WEST 39TH STREET STE 908 NEW YORK NY 10018 201408531 N/A 606000 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCESAND PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON INVESTING IN INNOVATION (I3) FUND RECOVERY ACT MUSEUM OF SCIENCE 1 SCIENCE PARK BOSTON MA 021141099 042103916 501(C)(3) 20000 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCES THE TECH MUSEUM 201 S MARKET STREET SAN JOSE CA 95113 942864660 501(C)(3) 30000 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON EDUCATION AND HUMAN RESOURCESAND PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON INVESTING IN INNOVATION (I3) FUND RECOVERY ACT NEW YORK UNIVERSITY 105 EAST 17TH STREET - 4TH FL NEW YORK NY 100039580 135562308 501(C)(3) 118458 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON COMPUTER AND INFORMATION SCIENCE AND ENGINEERING SCIENCE MUSEUM OF MINNESOTA 120 W KELLOGG BLVD SAINT PAUL MN 55102 410706172 501(C)(3) 20000 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH RESEARCH PROJECT FOCUSING ON EDUCATION AND HUMAN RESOURCES ROCKMAN ET AL INC 49 GEARY STREET SUITE 530 SAN FRANCISCO CA 94108 943400371 N/A 64894 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH A FEDERAL RESEARCH GRANT FOCUSING ON BASIC AND APPLIED SCIENTIFIC RESEARCH TRUSTEES OF COLUMBIA UNIVERSITY 615 WEST 131ST STREET MC 8741 NEW YORK NY 100277922 135598093 501(C)(3) 28292 PAYMENT FOR SERVICES RENDERED IN CONNECTION WITH RESEARCH PROJECT FOCUSING ON COMPUTER AND INFORMATION SCIENCE AND ENGINEERING 14 3 PAYMENT TO DESIGN AND CREATE AN EDUCATIONAL, IMMERSIVE INTERACTIVE EXHIBIT "CONNECTED WORLDS" 1 357800 PAYMENT FOR WRITING NARRATIVE IN CONNECTION WITH EDUCATIONAL PROJECT TO PRODUCE E-BOOK "INNOCENCE, GUILT AND SCIENCE" 1 32000 PART I, LINE 2: THE SUBCONTRACTOR IS REQUIRED TO SUBMIT A BUDGET FOR APPROVAL. ONCE APPROVED, NYSCI MAINTAINS THE BUDGET IN ITS ACCOUNTING SYSTEM AND MONITORS GRANT EXPENSES AGAINST THIS BUDGET. PAYMENT TO THE SUBCONTRACTOR IS USUALLY IN THE FORM OF REIMBURSEMENTS. SUBCONTRACTOR IS REQUIRED TO SUBMIT RECEIPTS AND SUPPORTING DOCUMENTATION IN ORDER TO BE REIMBURSED. DEPENDING ON THE PROJECT, INTERIM PROGRESS REPORTS MAY BE REQUIRED. A FINAL REPORT AND ACCOUNTING STATEMENT IS USUALLY REQUIRED AT THE END OF THE PROJECT. AT ITS DISCRETION, NYSCI RESERVES THE RIGHT TO AUDIT THE SUBCONTRACTOR'S FINANCIAL RECORDS. X X X X 1 0 0 0 0 0 0 0 0 MARGARET HONEY PRESIDENT & CEO 280197 0 0 0 13290 0 99600 0 38872 0 431959 0 0 0 PATRICIA HUIE CHIEF FINANCIAL OFFICER 172844 0 0 0 352 0 14589 0 12746 0 200531 0 0 0 ROBERT LOGAN EXECUTIVE VP & COO 168437 0 0 0 1816 0 13905 0 8045 0 192203 0 0 0 ERIC SIEGEL DIRECTOR & CHIEF CONTENT O 159471 0 0 0 1557 0 14443 0 34086 0 209557 0 0 0 FRANK DUUS JR VP, INST. ADVANCEMT UNTIL 3/28/14 166437 0 0 0 931 0 13755 0 4647 0 185770 0 0 0 DANNY WEMPA VP, EXTERNAL AFFAIRS 166522 0 0 0 313 0 13985 0 5956 0 186776 0 0 0 STEPHEN UZZO VP, SCIENCE & TECHNOLOGY 116420 0 0 0 1032 0 10250 0 26295 0 153997 0 0 0 PART I, LINE 4A THE ORGANIZATION MADE SEVERANCE PAYMENTS TO MR. FRANK DUUS, JR., DIRECTOR OF INSTITUTIONAL ADVANCEMENT, DURING THE TAX YEAR ENDING 6/30/14. X 3 366096 FMV X EQUIP/PROP. 1 7130870 FMV X MARS ROBOT 1 40839 EXPERT OPINION X OFFICE/IT EQU 2 38138 FMV X SEWING MACHIN 1 9310 FMV 0 1 0 PART I, COLUMN (B): THE ORGANIZATION IS REPORTING THE NUMBER OF CONTRIBUTORS IN SCHEDULE M, PART I, COLUMN (B). FORM 990, PART I, LINE 1 SINCE ITS FOUNDING AT THE 1964-65 NEW YORK WORLD'S FAIR, THE NEW YORK HALL OF SCIENCE (NYSCI) HAS INSPIRED MORE THAN 7 MILLION PEOPLE - CHILDREN, TEACHERS AND FAMILIES -BY OFFERING CREATIVE, PARTICIPATORY WAYS TO LEARN AND ENCOURAGING PEOPLE TO EXPLORE THEIR CURIOSITY AND NURTURE THEIR CREATIVITY. LOCATED IN QUEENS, THE MOST ETHNICALLY DIVERSE COUNTY IN THE COUNTRY, NYSCI WELCOMES 500,000 VISITORS EACH YEAR AND SERVES THOUSANDS MORE THROUGH OUTREACH IN SCHOOLS, TEACHER PROFESSIONAL DEVELOPMENT, AND A VARIETY OF EVENTS, PROGRAMS AND RESEARCH INITIATIVES. NYSCI ENGAGES PEOPLE OF ALL AGES AND EXPERIENCES, PARTICULARLY YOUNG PEOPLE IN SCIENCE, TECHNOLOGY, ENGINEERING AND MATH (STEM) BY FOSTERING THE EXCITEMENT OF SELF-DIRECTED EXPLORATION AND BY TAPPING INTO THE JOY OF LEARNING INTRINSIC IN PLAY. NYSCI IS ALSO COMMITTED TO TRAINING AND SUPPORTING K-12 SCIENCE TEACHERS, RECOGNIZING AND RESPECTING THE CRITICAL ROLE EDUCATORS PLAY IN SPARKING AND MAINTAINING STUDENTS' LIFELONG LOVE OF SCIENCE. OVER THE PAST SEVERAL YEARS, NYSCI HAS EMBRACED A PHILOSOPHY CALLED DESIGN-MAKE-PLAY. DESIGN EMPHASIZES INTENTIONALITY IN PROBLEM SOLVING AND HELPS PEOPLE SEE THE POSSIBILITIES IN THE WORLD; MAKE HIGHLIGHTS HANDS-ON EXPERIENCE WITH MATERIALS, TOOLS AND PROCESSES AND NURTURES THE DEVELOPMENT OF SKILLS AND CONFIDENCE; PLAY PROMOTES INTRINSIC MOTIVATION AND DEEP ENGAGEMENT. THESE DESIGN-MAKE-PLAY CHARACTERISTICS ARE CLOSELY ALIGNED WITH CONCEPTS AND PRACTICES UNDERSCORED IN THE COMMON CORE MATH AND NEXT GENERATION SCIENCE STANDARDS, AND ARE DYNAMIC VEHICLES FOR CULTIVATING THE KINDS OF CREATIVE PROBLEM SOLVING THAT EMPLOYERS ARE LOOKING FOR IN THEIR 21ST CENTURY WORKFORCES. NYSCI'S VISION IS REALIZED IN THREE INTERCONNECTED WAYS: 1) THROUGH THE MUSEUM AS A VITAL PLACE FOR LEARNING, 2) THROUGH PRODUCTS THAT EXTEND LEARNING BEYOND THE WALLS OF THE MUSEUM, AND 3) THROUGH PARTNERSHIPS THAT ENHANCE NYSCI'S IMPACT ON STEM LEARNING AND ENGAGEMENT IN PEOPLE'S DAY-TO-DAY LIVES , IN THE CLASSROOM, IN THE WORKPLACE, AND IN THEIR HOMES. FORM 990, PART VI, SECTION A, LINE 2 BOARD OF TRUSTEE MEMBER ALAN SINSHEIMER AND BOARD OF TRUSTEE MEMBER SETH DUBIN HAVE A FAMILY RELATIONSHIP. BOARD OF TRUSTEE MEMBER GEORGE CAMPBELL IS A DIRECTOR AT CON EDISON WHERE BOARD OF TRUSTEE MEMBERS MARY KELLY AND CLAUDE TRAHAN ARE EXECUTIVES. BOARD OF TRUSTEE MEMBER GEORGE CAMPBELL AND BOARD OF TRUSTEE MEMBER NICHOLAS DONOFRIO BOTH SERVE AS TRUSTEES ON THE BOARD OF THE MITRE CORPORATION. BOARD OF TRUSTEE MEMBER KURT WOETZEL IS A SENIOR EXECUTIVE VP AND CHIEF INFORMATION OFFICER OF BANK OF NY MELLON ON WHOSE BOARD NYSCI BOARD OF TRUSTEE MEMBER NICHOLAS DONOFRIO SERVES. FORM 990, PART VI, SECTION B, LINE 11 THE CHIEF FINANCIAL OFFICER ENGAGED AN EXTERNAL ACCOUNTING FIRM TO PREPARE FORM 990. THE FIRST DRAFT WAS REVIEWED WITH SENIOR MANAGEMENT. FORM 990 WAS THEN PROVIDED TO EACH VOTING MEMBER ELECTRONICALLY VIA EMAIL FOR REVIEW AND COMMENT BEFORE FILING. THE CHIEF FINANCIAL OFFICER COORDINATED DISTRIBUTION TO THE BOARD, AND IN CONJUNCTION WITH THE CHIEF EXECUTIVE OFFICER, RESPONDED TO COMMENTS AND QUESTIONS. FORM 990 WAS FILED AFTER REVIEW AND COMMENT BY THE BOARD. FORM 990, PART VI, SECTION B, LINE 12C NYSCI'S TRANSPARENCY POLICY INTRODUCTION THE INTERNAL REVENUE CODE IMPOSES PENALTY TAXES IF NYSCI WERE TO ENTER INTO AN EXCESS BENEFIT TRANSACTION WITH A TRUSTEE OR OFFICER OF NYSCI OR WITH ANYONE ELSE WHO, DURING THE PRIOR FIVE YEARS, HAS BEEN IN A POSITION TO EXERCISE SUBSTANTIAL INFLUENCE OVER THE AFFAIRS OF NYSCI. A SIMILAR CONCERN ABOUT CONFLICTS OF INTEREST ALSO INFORMS THE NEW YORK NOT-FOR-PROFIT LAW PROVISIONS ABOUT CONTRACTS INVOLVING NOT-FOR-PROFIT ORGANIZATIONS AND THEIR TRUSTEES AND OFFICERS. NYSCI HAS ALWAYS BEEN CAREFUL TO AVOID CONFLICTS ISSUES. NEVERTHELESS, IT IS APPROPRIATE TO SET OUT NYSCI'S POLICY IN A WRITTEN STATEMENT WHICH DRAWS FROM THE REQUIREMENTS OF FEDERAL AND STATE LAW AND ALSO FROM OTHER PRINCIPLES OF GOOD MANAGEMENT. DEFINITIONS: A PERSON WHO HAS "SUBSTANTIAL INFLUENCE OVER THE AFFAIRS OF NYSCI" MEANS EACH TRUSTEE AND EACH SENIOR OFFICER OF NYSCI INCLUDING ALL NYSCI EMPLOYEES WHO ARE AT THE LEVEL OF DIRECTOR OR ABOVE. FOR OUR PURPOSES, IT ALSO MEANS A CORPORATION IN WHICH A TRUSTEE OR A SENIOR OFFICER IS A DIRECTOR OR OFFICER OR CONTROLS AT LEAST 10% OF THE VOTING POWER AND A PARTNERSHIP IN WHICH A TRUSTEE OR A SENIOR OFFICER IS ENTITLED TO AT LEAST 10% OF THE PROFITS. WE CALL EACH OF THOSE PEOPLE AND ENTITIES AN "INFLUENTIAL PERSON." THAT ALSO INCLUDES AN INDIVIDUAL'S SPOUSE OR SIGNIFICANT OTHER, PARENTS, CHILDREN AND THEIR SPOUSES, SISTERS AND BROTHERS, AND SISTERS- AND BROTHERS-IN-LAW. AN EXCESS BENEFIT TRANSACTION IS A TRANSACTION IN WHICH NYSCI PROVIDES TO AN INFLUENTIAL PERSON AN ECONOMIC BENEFIT THAT IS WORTH MORE THAN THE GOODS OR SERVICES THAT NYSCI RECEIVES IN RETURN. THE "REVIEWER" IS THE COMMITTEE DESIGNATED BY THE CHAIRMAN TO REVIEW TRANSACTIONS THAT REQUIRE AUTHORIZATION UNDER THIS POLICY STATEMENT. REVIEW: WITHOUT FIRST RECEIVING AUTHORIZATION FROM THE REVIEWER: A) NYSCI MAY NOT DO BUSINESS WITH AN INFLUENTIAL PERSON; B) NO INFLUENTIAL PERSON MAY ACCEPT A GIFT OR LOAN (OTHER THAN A LOAN IN THE NORMAL COURSE OF THE LENDER'S BUSINESS) FROM A CONTRACTOR OR VENDOR OF NYSCI AND THAT HAS A VALUE OF MORE THAN $100; C) NYSCI MAY NOT MAKE A CONTRIBUTION TO ANY CHARITY OF WHICH AN INFLUENTIAL PERSON IS A DIRECTOR OR OFFICER; AND D) NO INFLUENTIAL PERSON MAY GIVE OR LOAN TO AN EMPLOYEE OF NYSCI, NOR MAY AN EMPLOYEE OF NYSCI GIVE OR LOAN TO AN INFLUENTIAL PERSON, MORE THAN $1,000. THE REVIEWER MAY DECLINE TO GRANT AUTHORIZATION FOR A TRANSACTION UNDER (A) ONLY IF THE REVIEWER DETERMINES THAT THE PROPOSED TRANSACTION WOULD BE AN EXCESS BENEFIT TRANSACTION. THE REVIEWER MAY DECLINE TO GRANT AUTHORIZATION FOR A TRANSACTION UNDER (B), (C), OR (D) ONLY IF THE REVIEWER DETERMINES THAT THE PROPOSED TRANSACTION WOULD BE INIMICAL, OR MAY BE SEEN TO BE INIMICAL, TO RESPONSIBLE MANAGEMENT OF NYSCI. LARGE CONTRACTS: BEFORE NYSCI ENTERS INTO ANY AGREEMENT FOR MORE THAN 2.5% OF NYSCI'S OPERATING BUDGET, IT SHALL NOTIFY THE REVIEWER OF THE NATURE OF THE AGREEMENT AND THE NAME OF THE OTHER PARTY AND FURNISH WHATEVER INFORMATION IT HAS IN ITS POSSESSION ABOUT THE OWNERSHIP AND CONTROL OF THE OTHER PARTY. THE REVIEWER SHALL BE DEEMED TO HAVE AUTHORIZED NYSCI TO ENTER INTO THE AGREEMENT UNLESS IT NOTIFIES NYSCI WITHIN SEVEN DAYS THAT THE AGREEMENT CONTEMPLATES A TRANSACTION THAT, BY REASONS OF THE IDENTITY OF THE PARTIES, REQUIRES FURTHER REVIEW UNDER THIS POLICY STATEMENT. NOTIFICATION: EACH INFLUENTIAL PERSON MUST NOTIFY THE REVIEWER UPON BECOMING AWARE THAT NYSCI IS DOING BUSINESS, OR IS CONSIDERING DOING BUSINESS, WITH THAT INFLUENTIAL PERSON. IN ADDITION, ONCE EACH YEAR AT A TIME DESIGNATED BY THE CHAIRMAN, EACH INFLUENTIAL PERSON SHALL SUBMIT TO THE REVIEWER A COMPLETED QUESTIONNAIRE IN THE FORM ATTACHED TO THIS POLICY STATEMENT. REPETITIVE BUSINESS: IN THE EVENT THAT AN INFLUENTIAL PERSON AND NYSCI EXPECT TO ENGAGE IN REPETITIVE BUSINESS, THE REVIEWER MAY PROSPECTIVELY AUTHORIZE THE CONDUCT OF THAT BUSINESS ON TERMS THAT THE REVIEWER CONSIDERS APPROPRIATE. NO FURTHER AUTHORIZATION FOR THAT REPETITIVE BUSINESS SHALL BE REQUIRED SO LONG AS THE INFLUENTIAL PERSON AND NYSCI COMPLY WITH THE TERMS SET BY THE REVIEWER. THE REVIEWER MAY REVOKE A PROSPECTIVE AUTHORIZATION AT ANY TIME. RECONSIDERATION: IF THE REVIEWER DECLINES TO AUTHORIZE ANY TRANSACTION THAT REQUIRES AUTHORIZATION UNDER THIS POLICY STATEMENT, ANY PARTY TO THAT TRANSACTION MAY SUBMIT THE MATTER TO THE BOARD OF TRUSTEES OR THE EXECUTIVE COMMITTEE OF THE BOARD FOR RECONSIDERATION. THE RELEVANT INFLUENTIAL PERSON MAY NOT VOTE ON THAT MATTER AS A TRUSTEE OR MEMBER OF THE EXECUTIVE COMMITTEE. DOCUMENTATION: ANNUALLY, THE FINANCE AND AUDIT COMMITTEE PRESENTS TO THE BOARD ANY SIGNIFICANT POTENTIAL CONFLICTS, OR LACK THEREOF, ENCOUNTERED DURING THE YEAR. THE PRESENTATION IS RECORDED IN THE MINUTES OF THE BOARD MEETING. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION FOR THE CEO IS REVIEWED AND APPROVED BY THE BOARD OF TRUSTEES, PROVIDED THAT PERSONS WITH POTENTIAL CONFLICT OF INTEREST WITH RESPECT TO THE COMPENSATION ARRANGEMENTS DO NOT PARTICIPATE. THE BOARD USES APPROPRIATE AND ADEQUATE DATA TO DETERMINE THE REASONABLENESS OF THE COMPENSATION BEING CONSIDERED AGAINST INDUSTRY STANDARDS. THE BOARD DISCUSSES THE COMPENSATION PACKAGE IN EXECUTIVE SESSION AT THE APPROPRIATE QUARTERLY BOARD MEETING, FOLLOWED BY A CLOSED DOOR DISCUSSION WITH THE CEO. THE BOARD'S APPROVAL OF CHANGES TO THE CEO'S COMPENSATION, ALONG WITH ANY ASSOCIATED PERFORMANCE GOALS, ARE CAPTURED IN A FORMAL SIGNED AGREEMENT BETWEEN THE BOARD AND THE CEO. FOR KEY EMPLOYEES, THE CEO USES INDUSTRY STANDARDS SUBSTANTIATED BY APPROPRIATE DATA SUCH AS COMPENSATION SURVEYS, PERFORMANCE REVIEWS, AND A CONSIDERATION OF EQUITY AND PARITY WITHIN THE ORGANIZATION. WRITTEN AND SIGNED PERFORMANCE REVIEWS, WHICH INCLUDE FUTURE GOALS, ARE PREPARED AND DISCUSSED BETWEEN EACH KEY EMPLOYEE AND THE CEO. CHANGES TO A KEY EMPLOYEE'S COMPENSATION IS DOCUMENTED IN A WRITTEN MEMO FROM THE CEO TO THE KEY EMPLOYEE. THE COMPENSATION REVIEW PROCESS WAS LAST UNDERTAKEN FOR THE CEO AND KEY EMPLOYEES IN THE YEARS LISTED BELOW: PRESIDENT & CEO: 2013 DIRECTOR & CHIEF CONTENT OFFICER: 2013 CHIEF FINANCIAL OFFICER: 2013 EXECUTIVE VP & COO: 2013 VP INSTITUTIONAL ADVANCEMENT: 2013 VP EXTERNAL AFFAIRS: 2013 FORM 990, PART VI, SECTION C, LINE 19 GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY HAVE NEVER BEEN REQUESTED AND HAVE NOT BEEN MADE READILY AVAILABLE TO THE PUBLIC. FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST. HARD COPIES ARE PROVIDED WITH A CHARGE TO THE RECIPIENT FOR POSTAGE. ELECTRONIC COPIES IN PDF FORMAT ARE PROVIDED FOR FREE. FORM 990, PART XII, LINE 2C: THERE HAVE BEEN NO CHANGES IN THE OVERSIGHT PROCESS OF THE AUDIT OF NYSCI'S FINANCIAL STATEMENTS OR IN THE SELECTION PROCESS OF AN INDEPENDENT ACCOUNTANT WITHIN THIS TAX YEAR.