2015-05-19T15:52:45-05:00 2014-09-30 521186096 RUBINO AND COMPANY CHARTERED 6903 ROCKLEDGE DRIVE SUITE 1200 BETHESDA MD 208171818 990 2013-10-01 521892964 CONSORTIUM FOR OCEAN LEADERSHIP CONS 2022323900 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 YAN XING VP & CFO 2022323900 2015-05-18 1 PATRICIA A O'MALLEY CPA P00285909 3015643636 2013 2016-02-25 16:41:14Z SHERRI GOODMAN 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 202620637 0 X WWW.OCEANLEADERSHIP.ORG X 1994 DE TO SHAPE THE FUTURE OF OCEAN SCIENCE AND TECHNOLOGY THROUGH DISCOVERY, UNDERSTANDING AND ACTION. 15 15 93 50 0 0 187430956 201802475 655460 642426 68147 107736 0 0 188154563 202552637 558285 321683 0 0 9450195 7714583 177765602 0 63674 0 194666240 187774082 202702506 380481 -149869 52910706 50178442 49184468 46435558 3726238 3742884 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 91085810 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. 61788627 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. 37443611 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. 6083931 321683 642426 OTHER RESEARCH & EDUCATION 729101 GULF OF MEXICO RESEARCH INITIATIVE 597280 NATIONAL OCEAN SCIENCES BOWL 7410312 321683 642426 197728360 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 1 0 0 0 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 93 1 0 0 0 0 0 0 0 0 X 15 15 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 B DUNBAR CHAIR 2.00 X X 0 0 0 DR LARRY MAYER VICE CHAIR 2.00 X X 0 0 0 DR JAMES G SANDERS TREASURER, TERM ENDED 3/14/14 2.00 X X 0 0 0 DR GRAHAM SHIMMIELD TREASURER, TERM 3/13/14 - 9/30/14 2.00 X 0 0 0 DR SUSAN AVERY TRUSTEE 2.00 X 0 0 0 DR MICHAEL PERFIT TRUSTEE 2.00 X 0 0 0 DR NANCY RABALAIS TRUSTEE 2.00 X 0 0 0 DR DONALD F BOESCH TRUSTEE 2.00 X 0 0 0 DR E VIRGINIA ARMBRUST TRUSTEE 2.00 X 0 0 0 DR STEVEN E LOHRENZ TRUSTEE 2.00 X 0 0 0 DR JACQUELINE E DIXON TRUSTEE 2.00 X 0 0 0 DR MARK ABBOTT TRUSTEE 2.00 X 0 0 0 MS JOSIE QUINTRELL TRUSTEE 2.00 X 0 0 0 MR HANK LOBE TRUSTEE 2.00 X 0 0 0 DR SANDRA WHITEHOUSE TRUSTEE 2.00 X 0 0 0 DR MARCIA K MCNUTT TRUSTEE 2.00 X 0 0 0 DR ROBERT W CORRELL TRUSTEE 2.00 X 0 0 0 DR NANCY M TARGETT TRUSTEE, FORMER CHAIR 2.00 X 0 0 0 DR CHRISTOPHER D'ELIA TRUSTEE 2.00 X 0 0 0 DR MEGAN DAVIS TRUSTEE 2.00 X 0 0 0 DR ROBERTA MARINELLI TRUSTEE 2.00 X 0 0 0 DR ROBERT GAGOSIAN PRESIDENT & CEO 40.00 X 443296 0 39737 AMY CASTNER SEC/DIR OF BOARD RELATIONS 40.00 X 89599 0 26149 COLIN REED ASST. SEC/SR MGR EXEC. OFF 40.00 X 76104 0 13206 YAN XING VP & CFO 40.00 X 202766 0 45217 KEVIN WHEELER VP, DIR PUBLIC AFFAIRS 40.00 X 169849 0 34139 TIMOTHY COWLES VP, DIR OCEAN OBSERVING 40.00 X 217323 0 35484 DAVID DIVINS VP, DIR OCEAN DRILLING 40.00 X 174721 0 43196 SUSAN BANAHAN ASSOC DIR, OCEAN OBSERVING 40.00 X 158211 0 30352 MICHAEL KELLY PROJECT MANAGER, OOI 40.00 X 158052 0 28675 DOUGLAS FILS DATA MGMT TECHNICAL EXPERT 40.00 X 146978 0 31713 GREGORY MYERS SR TECH EXPERT, ENG & TECH 40.00 X 164473 0 33504 EDWARD CHAPMAN SR SYSTEMS ENGINEER, OOI 40.00 X 147453 0 32216 2148825 0 393588 28 0 1 0 TEXAS A&M RESEARCH FOUNDATION PO BOX 201918 DALLAS TX 753201918 IMPLEMENTATION OF OCEAN DRILLING 53442231 WOODS HOLE OCEANOGRAPHIC INSTITUTE 569 WOODS HOLE RD WOODS HOLE MA 02543 IMPLEMENTATION OF OCEAN OBSERVING 40973671 UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DR CHICAGO IL 606930001 IMPLEMENTATION OF OCEAN OBSERVING 29955108 FLORIDA STATE UNIVERSITY 874 TRADITIONS WAY 3RD FLOOR TALLAHASSEE FL 32306 DEAPSEA TO COAST CONNECTIVITY 7056181 TRUSTEES OF COLUMBIA UNIVERSITY PO BOX 29789 NEW YORK NY 10027 IMPLEMENTATION OF OCEAN OBSERVING 6986180 25 2507 162364376 39435592 201802475 MEMBERSHIP DUES 900099 631875 631875 OTHER PROGRAM REVENUE 900099 10551 10551 642426 107736 107736 68000 68000 0 202552637 642426 0 107736 X 146665 146665 175018 175018 1678272 968785 709487 4417530 2912440 1505090 488253 322997 165256 735288 472484 262804 395240 251730 143510 116821 71589 45232 76991 76991 14516 14516 190951311 190577102 311827 62382 11385 10885 500 485340 261888 222160 1292 137544 46913 90631 1119180 1119180 1254253 1200106 54147 271192 262858 8334 118607 118607 109100 46900 62200 202702506 197728360 4910472 63674 9357552 3456 1661361 7280370 12485218 10897900 25813370 28198105 335755 249059 1471518 1185517 327424 286001 2588990 2894108 341036 369443 52910706 50178442 11848236 14693621 36378223 30693990 958009 1047947 49184468 46435558 X 3726238 3742884 3726238 3742884 52910706 50178442 -149869 166515 0 X X 0 1 X 1 1 1 X 133645022 172568155 159850130 187430956 201802475 855296738 133645022 172568155 159850130 187430956 201802475 855296738 70963358 784333380 30197 53154 67448 68147 107736 326682 855623420 3124810 0.91670 0.95270 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 21050 21050 202681456 202702506 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 50283 31540 14069 21050 116942 250000 250000 250000 250000 1000000 1500000 496313 416971 79342 599388 477272 122116 375817 291274 84543 286001 DEFERRED RENT 610084 DEFERRED COMPENSATION 426786 DEPOSITS 11077 1047947 X 202704636 166515 166515 202538121 14516 14516 202552637 202687990 0 202687990 14516 14516 202702506 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, 2014 AND 2013. HOWEVER, TAX YEARS ENDED SEPTEMBER 30, 2011-2013 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 0 0 PROGRAM SERVICES RESEARCH & POSTDOC SCHOLAR SUMMIT 30210 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES SEE PART V 193038 EUROPE 0 0 PROGRAM SERVICES SEE PART V 52384 SOUTH AMERICA 0 0 PROGRAM SERVICES SEE PART V 56979 0 0 0 0 0 0 332611 0 332611 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): EAST ASIA AND THE PACIFIC: EXPEDITION 348; EXPEDITION 349; J-DESC CORE SHORT COURSE; IODP EXPEDITION 350 TO AND FROM PORTS; EXPEDITION 350; EXPEDITION 346 SAMPLING PARTY; IODP FORUM: TRACKING TSUNAMIGENIC SLIPS IN JAPAN TRENCH; EXPEDITION 351; EXPEDITION 351 TO AND FROM PORTS; CHIKYU IOD BOARD MEETING; EXPEDITION 352; EXPEDITION 352 TRAVEL TO/FROM PORTS; EXPEDITION 352 TRAVEL TO/FROM PORTS; EXPEDITION 346(SECOND SAMPLING PARTY) EUROPE: ECORD IODP PRESS CONFERENCE; EXPEDITION 347 OSP TRAVEL; EXPEDITION 342 SAMPLING PARTY; ECORD FACILITY BOARD; EXPEDITION 339 2ND POST CRUISE MEETING; CO-CHIEF TRAVEL: INT. SEDIMENTOLOGICAL CONGRESS; NORTH ATLANTIC DRILLING WORKSHOP SOUTH AMERICA: BRAZILIAN EQUATORIAL MARGIN WORKSHOP; DEEP DRILLING OF THE AMAZON CONTIENTAL MARGIN; RIO GRAND RISE WORKSHOP 1 GULF COAST RESEARCH LAB 703 EAST BEACH DRIVE OCEAN SPRINGS MS 39584 646000818 STATE OF MS 12200 FMV NOSB 2014 DIVERSITY INITIATIVE AWARD, NOSB REGIONAL AWARD TEXAS A&M UNIVERSITY 2700 EARL RUDDER FWY S STE 1800 COLLEGE STATION TX 77845 746000531 STATE OF TX 10000 FMV NOSB REGIONAL AWARD UNIVERSITY OF DELAWARE 116 STUDENT SERVICES BUILDING NEWARK DE 19716 516000297 501(C)(3) 5000 FMV NOSB REGIONAL AWARD YOUNGSTOWN STATE UNIVERSITY ONE UNIVERSITY PLAZA YOUNGSTOWN OH 44555 341011998 STATE OF OH 5000 FMV NOSB REGIONAL AWARD MASSACHUSSETS INSTITUTE OF TECHNOLOGY 77 MASSACHUSSETS AVENUE CAMBRIDGE MA 02139 042103594 501(C)(3) 5000 FMV NOSB REGIONAL AWARD NORTH CAROLINA STATE UNIVERSITY CB 7203 RALEIGH NC 276957203 566000756 STATE OF NC 5000 FMV NOSB REGIONAL AWARD BIRCH AQUARIUM AT SCRIPPS INSTITUTION SIO 9500 GILMAN DR DEPT 0207 LA JOLLA CA 92093 956006144 501(C)(3) 5000 FMV NOSB REGIONAL AWARD UNIVERSITY OF WISCONSIN MILWAUKEE 161 W WISCONSIN AVE STE 6000 MILWAUKEE WI 532032602 391805963 501(C)(3) 5000 FMV NOSB REGIONAL AWARD INTERDISTRICT COMMITTEE PROJECT OCEANOLOGY 1084 SHENNECOSSETT ROAD GROTON CT 063406048 060896672 501(C)(3) 5000 FMV NOSB REGIONAL AWARD SAVANNAH STATE BOX 20419 SAVANNAH GA 31404 586002069 STATE OF GA 5000 FMV NOSB REGIONAL AWARD RUTGERS-THE STATE UNIVERSITY OF NJ 3 RUTGERS PLAZA 2ND FLOOR NEW BRUNSWICK NJ 08901 226001086 IRC 115 5000 FMV NOSB REGIONAL AWARD REGENTS UNIVERSITY OF MICHIGAN 520 E LIBERTY ST SUITE 300 ANN ARBOR MI 481042210 386006309 501(C)(3) 5000 FMV NOSB REGIONAL AWARD UNIVERSITY OF SOUTHERN CALIFORNIA SPONSORED PROJECTS ACCOUNTING FILE NO 52095 LOS ANGELES CA 900742095 951642394 501(C)(3) 6965 FMV NOSB REGIONAL AWARD UNIVERSITY OF NEW HAMPSHIRE UNH OFFICE OF SPONSORED RESEARCH DURHAM NH 03824 026000937 501(C)(3) 5000 FMV NOSB REGIONAL AWARD UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DRIVE CHICAGO IL 606930001 916001537 IRC 115 30000 FMV NOSB REGIONAL AWARD STONY BROOK UNIVERSITY SOMAS C/O STEFANIE MASSUCCI STONY BROOK NY 117945000 141368361 501(C)(3) 5000 FMV NOSB REGIONAL AWARD FLORIDA ATLANTIC UNIVERSITY-HARBOR BRANCH OCEANOGRAPHIC 5600 US 1 NORTH FORT PIERCE FL 34946 650385507 STATE OF FL 5000 FMV NOSB REGIONAL AWARD VIRGINIA INSTITUTE OF MARINE SCIENCE P O BOX 1346 GLOUCESTER POINT VA 230621346 546001802 STATE OF VA 5000 FMV NOSB REGIONAL AWARD UNIVERSITY OF ALASKA FAIRBANKS GRANTS & CONTRACT SERVICES 109 ADMINISTRATION SVCS CENTER FAIRBANKS AK 99775 926000147 IRC 115 5000 FMV NOSB REGIONAL AWARD UNIVERSITY OF SOUTH FLORIDA P O BOX 864568 ORLANDO FL 328864568 593102112 STATE OF FL 5000 FMV NOSB REGIONAL AWARD OREGON STATE UNIVERSITY P O BOX 1086 CORVALLIS OR 973391086 481278540 STATE OF OR 7500 FMV NOSB REGIONAL AWARD 9 12 NOSB SCHOLARCHIPS 5 5000 FMV NOSB QUESTION WRITING SERVICES - GOOS ASSISTANCE 10 5587 FMV IUSSP TEACHING KITS/SUBSTITUTE PAY 6 9011 FMV IODP AND IUSSP TEACHER STIPENDS AND INTERNSHIPS 32 56108 FMV GRI PANEL PEER REVIEW 53 58781 FMV HONORARIUM 8 14000 FMV UNRESTRICTED STIPENDS 5 26531 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 416484 0 26812 0 0 0 25500 0 14237 0 483033 0 0 0 YAN XING VP & CFO 197766 0 5000 0 0 0 30424 0 14793 0 247983 0 0 0 KEVIN WHEELER VP, DIR PUBLIC AFFAIRS 165849 0 4000 0 0 0 17043 0 17096 0 203988 0 0 0 TIMOTHY COWLES VP, DIR OCEAN OBSERVING 212323 0 5000 0 0 0 21247 0 14237 0 252807 0 0 0 DAVID DIVINS VP, DIR OCEAN DRILLING 169721 0 5000 0 0 0 26118 0 17078 0 217917 0 0 0 SUSAN BANAHAN ASSOC DIR, OCEAN OBSERVING 154211 0 4000 0 0 0 23090 0 7262 0 188563 0 0 0 MICHAEL KELLY PROJECT MANAGER, OOI 153052 0 5000 0 0 0 15697 0 12978 0 186727 0 0 0 DOUGLAS FILS DATA MGMT TECHNICAL EXPERT 143978 0 3000 0 0 0 14844 0 16869 0 178691 0 0 0 GREGORY MYERS SR TECH EXPERT, ENG & TECH 159473 0 5000 0 0 0 16493 0 17011 0 197977 0 0 0 EDWARD CHAPMAN SR SYSTEMS ENGINEER, OOI 144453 0 3000 0 0 0 15479 0 16737 0 179669 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. THE PERFORMANCE BONUSES FOR ALL EMPLOYEES WITH THE EXCEPTION OF THE PRESIDENT/CEO ARE DETERMINED EACH YEAR BASED ON THE ORGANIZATION'S BUDGET AND CALCULATED AS A PERCENT OF THE TOTAL SALARY BUDGET. THE PRESIDENT/CEO REVIEWS THE SUBMITTED RECOMMENDATIONS AND APPROVES THE FINAL BONUS AMOUNT. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS FORTY-THREE VOTING MEMBERS, THIRTY ASSOCIATE MEMBERS, AND EIGHT AFFILIATE MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A THE ORGANIZATION'S FORTY-THREE VOTING MEMBERS ELECT REPRESENTATIVES 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 AUDIT 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 187,538,065. MANAGEMENT AND GENERAL EXPENSES 293,062. FUNDRAISING EXPENSES 62,382. TOTAL EXPENSES 187,893,509. STIPENDS: PROGRAM SERVICE EXPENSES 2,859,489. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,859,489. CONSULTANT FEES: PROGRAM SERVICE EXPENSES 100,800. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 100,800. TEMPORARY HELP: PROGRAM SERVICE EXPENSES 78,748. MANAGEMENT AND GENERAL EXPENSES 18,765. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 97,513. 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.