2014-07-03T13:41:35-05:00 2013-09-30 521186096 RUBINO & COMPANY CHARTERED 6903 ROCKLEDGE DRIVE SUITE 1200 BETHESDA MD 20817 990 2012-10-01 521892964 CONSORTIUM FOR OCEAN LEADERSHIP CONS 2022323900 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 YAN XING 2022323900 2014-07-03 1 PATRICIA A O'MALLEY CPA P00285909 3015643636 2012 2015-11-30 17:44:51Z DR ROBERT GAGOSIAN 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 188557174 0 X WWW.OCEANLEADERSHIP.ORG X 1994 DE TO SHAPE THE FUTURE OF OCEAN SCIENCE AND TECHNOLOGY THROUGH DISCOVERY, UNDERSTANDING AND ACTION. 18 18 93 50 0 0 159850130 187430956 652040 655460 67448 68147 0 0 160569618 188154563 582077 558285 0 0 10302780 9450195 0 0 298 148879474 177765602 159764331 187774082 805287 380481 52909458 52910706 49850137 49184468 3059321 3726238 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 70563719 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. 68546036 INTEGRATED OCEAN DRILLING PROGRAM - INTERNATIONAL PARTNERSHIP OF SCIENTISTS AND RESEARCH INSTITUTIONS ORGANIZED TO EXPLORE THE HISTORY AND STRUCTURE OF THE EARTH. 34051935 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. 6975888 558285 655460 OTHER RESEARCH & EDUCATION 888420 NATIONAL OCEAN SCIENCES BOWL 688569 GULF OF MEXICO RESEARCH INITIATIVE 282630 NATIONAL OCEANOGRAPHIC PARTNERSHIP PROGRAM 227312 OVERSEAS DRILLING LIMITED 9062819 558285 655460 182224509 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 0 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 18 18 0 0 1 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 40.00 X X 414051 0 38711 AMY CASTNER 40.00 X X 86941 0 25288 COLIN REED 40.00 X X 74482 0 12869 DR ROBERT B DUNBAR 2.00 X X 0 0 0 DR LARRY MAYER 2.00 X X 0 0 0 DR JAMES G SANDERS 2.00 X X 0 0 0 DR MARK R ABBOTT 2.00 X 0 0 0 DR GINGER ARMBRUST 2.00 X 0 0 0 DR GRAHAM SHIMMIELD 2.00 X 0 0 0 MS JOSIE QUINTRELL 2.00 X 0 0 0 MR HANK LOBE 2.00 X 0 0 0 DR SANDRA WHITEHOUSE 2.00 X 0 0 0 DR SUSAN K AVERY 2.00 X 0 0 0 DR MICHAEL PERFIT 2.00 X 0 0 0 DR NANCY RABALAIS 2.00 X 0 0 0 DR ROBERT W CORELL 2.00 X 0 0 0 DR DONALD F BOESCH 2.00 X 0 0 0 DR STEVEN E LOHRENZ 2.00 X 0 0 0 DR JACQUELINE E DIXON 2.00 X 0 0 0 YAN XING 40.00 X 197228 0 43688 KEVIN WHEELER 40.00 X 165074 0 32937 TIMOTHY COWLES 40.00 X 211020 0 34343 DAVID DIVINS 40.00 X 170926 0 41795 PAUL HAGSTROM 40.00 X 162165 0 17861 WILLIAM PRITCHETT 40.00 X 169055 0 23515 STEVEN ACKLESON 40.00 X 180173 0 33623 GREGORY MYERS 40.00 X 160540 0 31377 EDWARD CHAPMAN 40.00 X 146810 0 30831 2138465 0 366838 28 0 1 0 TEXAS A&M RESEARCH FOUNDATION PO BOX 201918 DALLAS TX 753201918 IMPLEMENTATION OF OCEAN DRILLING 60504965 WOODS HOLE OCEANOGRAPHIC INSTITUTE 569 WOODS HOLE RD WOODS HOLE MA 02543 IMPLEMENTATION OF OCEAN OBSERVING 26640784 UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DR CHICAGO IL 606930001 IMPLEMENTATION OF OCEAN OBSERVING 25752169 UNIVERSITY OF CALIFORNIA REGENTS 9500 GILMAN DR LAJOLLA CA 92093 IMPLEMENTATION OF OCEAN OBSERVING 9555543 TRUSTEES OF COLUMBIA UNIVERSITY PO BOX 29789 NEW YORK NY 10027 IMPLEMENTATION OF OCEAN OBSERVING 6879524 24 1068 150910100 36519788 187430956 MEMBERSHIP DUES 900099 655460 655460 655460 68147 68147 402611 402611 0 188154563 655460 0 68147 X 485575 485575 72710 72710 1618168 1039470 578698 5762254 4239047 1523207 639491 478786 160705 928456 645928 282528 501826 362128 139698 132073 99856 32217 228084 228084 10554 10554 173175521 172565902 609619 11451 11451 627669 349719 277652 298 138601 44439 94162 1286282 1286282 1571338 1475180 96158 367302 354318 12984 152642 152642 64085 64085 187774082 182224509 5549275 298 16311100 9357552 1797707 1661361 17704549 12485218 13688811 25813370 416892 335755 1394334 1066910 480066 327424 2288299 2588990 222034 341036 52909458 52910706 18667733 11848236 30260535 36378223 921869 958009 49850137 49184468 X 3059321 3726238 3059321 3726238 52909458 52910706 380481 286436 0 X X 0 1 X 1 1 1 X 103145435 133645022 172568155 159850130 187430956 756639698 103145435 133645022 172568155 159850130 187430956 756639698 35493846 721145852 59808 30197 53154 67448 68147 278754 756918452 3110123 0.95270 0.99450 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 14069 14069 187760013 187774082 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 22014 50283 31540 14069 117906 250000 250000 250000 250000 1000000 1500000 496313 361831 134482 599388 416953 182435 298633 288126 10507 327424 DEFERRED RENT 605031 DEFERRED COMPENSATION 352978 958009 188430445 286436 286436 188144009 10554 10554 188154563 187763528 0 187763528 10554 10554 187774082 CENTRAL AMERICA AND CARRIBEAN PROGRAM SERVICES POCM(2ND POST CRUISE MEETING) EXP. 334 15639 EAST ASIA AND THE PACIFIC PROGRAM SERVICES SEE PART V 125342 EUROPE PROGRAM SERVICES SEE PART V 93070 NORTH AMERICA - CANADA PROGRAM SERVICES SEE PART V 15894 SOUTH AMERICA PROGRAM SERVICES OMZ WORKSHOP; INT'L CONGRESS BRAZILIAN GEOPHYSICAL SOCIETY 46970 SOUTH ASIA PROGRAM SERVICES INDIAN OCEAN & PACIFIC CONFERENCE; SEISMIC DATA 9536 MIDDLE EAST AND NORTH AFRICA PROGRAM SERVICES POCM(POST-CRUISE MEETING) EXP. 330 1248 0 0 0 0 0 0 307699 0 307699 0 0 0 0 0 0 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, 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: EXP. 348, GEOPRISMS NEW ZEALAND PRIMARY SITES WORKSHOP, CHIKYU+10 WORKSHOP, EXP. 338 SAMPLING PARTY; CHIKYU IODP BOARD MEETING; SITE SURVEY CRUISE IODP EUROPE: PEA, EXP. 335, ECORD FACILITY BOARD MEETING, CRETACEOUS GREENHOUSE THROUGH SCIENTIFIC DRILLING; EXP. 333 POCM; EXP. 335 POCM; EXP. 347 BALTIC SEA PALEOENVIRONMENT; SMPL(SAMPLING PARTY) 02/13, EXP. 342; SIPCOM NORTH AMERICA - CANADA: EXP. 341 SOUTHERN ALASKA MARGIN TECTONICS, CLIMATE & SEDIMENTATION; EXP 341S SIMPLE CABELED INSTRUMENT FOR MEASURING PARAMETERS IN SITU(SCIMPI) 1 BIRCH AQUARIUM AT SCRIPPS 9500 GILMAN DR DEPT 0207 LAJOLLA CA 920930207 956006144 501(C)(3) 13000 FMV SUBSIDY FOR NOSB COMPETITION CIRESUNIVERSITY OF COLORADO AT BOULDER DEPT 220 BOX 910220 DENVER CO 80291 846000555 STATE OF CO 13000 FMV SUBSIDY FOR NOSB COMPETITION GULF COAST RESEARCH LAB(UNIV OF SOUTHERN MS) 703 EAST BEACH DRIVE OCEAN SPRINGS MS 39567 646000818 STATE OF MS 13000 FMV SUBSIDY FOR NOSB COMPETITION REGENTS OF UNIV OF MI - MI SEA GRANT COLLEGE 520 E LIBERTY ST STE 300 ANN ARBOR MI 481042210 366006309 501(C)(3) 13000 FMV SUBSIDY FOR NOSB COMPETITION INTER-DISTRICT COMMITTEE PROJECT OCEANOLOGY 1084 SHENNECOSSETT RD GROTON CT 063406048 060896672 501(C)(3) 13000 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF ALASKA FAIRBANKS 109 ADMINISTRATIVE SVCS CENTER P O BOX 757880 FAIRBANKS AK 997757880 926000147 IRC 115 13000 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF WISCONSINMILWAUKEE SCHOOL OF CONTINUING EDUCATION 161 W WISCONSIN AVE STE 6000 MILWAUKEE WI 532032602 391805963 501(C)(3) 35900 FMV SUBSIDY FOR NOSB COMPETITION GEORGE MASON UNIVERSITY OFFICE OF SPONSORED PROGRAMS MSN 4C6 4400 UNIV DRIVE FAIRFAX VA 22030 540836354 STATE OF VA 12675 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF HAWAII OFFICE OF RESEARCH SERVICES 2440 CAMPUS ROAD BOX 368 HONOLULU HI 96822 996000354 STATE OF HI 13000 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF MIAMI SPONSORED PROGRAMS P O BOX 405803 ATLANTA GA 30384 590624458 501(C)(3) 13000 FMV SUBSIDY FOR NOSB COMPETITION MASSACHUSSETS INSTITUTE OF TECHNOLOGY 77 MASSACHUSSETS AVENUE RM 11-320 CAMBRIDGE MA 02139 042103594 501(C)(3) 13000 FMV SUBSIDY FOR NOSB COMPETITION NORTH CAROLINA STATE UNIVERSITY CB 7203 RALEIGH NC 276957203 566000756 STATE OF NC 13000 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF NEW ENGLAND DEPT OF MARINE SCIENCES 11 HILLS BEACH BIDDEFORD ME 04005 010211810 501(C)(3) 13000 FMV SUBSIDY FOR NOSB COMPETITION OLD DOMINION UNIVERSITY RESEARCH FOUNDATION P O BOX 6369 NORFOLK VA 23508 546068198 501(C)(3) 6500 FMV SUBSIDY FOR NOSB COMPETITION JACQUES COUSTEAU RESERVE-RUTGERS THE STATE UNIVERSITY OF NEW JERSEY 130 GREAT BAY BOULEVARD TUCKERTON NJ 08087 226001086 IRC 115 13000 FMV SUBSIDY FOR NOSB COMPETITION SAN FRANCISCO STATE UNIVERSITY 1600 HOLLOWAY AVENUE-ADM 155 SAN FRANCISCO CA 94132 931137247 IRC 115 13000 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF SOUTH FLORIDA P O BOX 864568 ORLANDO FL 328864568 593102112 STATE OF FL 13000 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF SOUTHERN CALIFORNIA SPONSORED PROJECTS ACCOUNTING FILE NO 52095 LOS ANGELES CA 900742095 951642394 501(C)(3) 13000 FMV SUBSIDY FOR NOSB COMPETITION STONY BROOK UNIVTHE RESEARCH FDN OF STATE UNIVERSITY OF NY P O BOX 9 ALBANY NY 122010009 141368361 501(C)(3) 13000 FMV SUBSIDY FOR NOSB COMPETITION TEXAS A&M UNIVERSITY 2700 EARL RUDDER FWY S STE 1800 COLLEGE STATION TX 77845 746000531 STATE OF TX 26000 FMV SUBSIDY FOR NOSB COMPETITION YOUNGSTOWN STATE UNIVERSITY ONE UNIVERSITY PLAZA YOUNGSTOWN OH 44555 341011998 STATE OF OH 13000 FMV SUBSIDY FOR NOSB COMPETITION VIRGINIA INSTITUTE OF MARINE SCIENCE P O BOX 1346 GLOUCESTER POINT VA 230621346 546001802 STATE OF VA 6500 FMV SUBSIDY FOR NOSB COMPETITION UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DRIVE CHICAGO IL 606930001 916001537 IRC 115 13000 FMV SUBSIDY FOR NOSB COMPETITION OREGON STATE UNIVERSITY OFFICE OF POST AWARD ADMIN P O BOX 1086 CORVALLIS OR 973391086 481278540 STATE OF OR 73000 FMV SUBSIDY FOR NOSB COMPETITION/IUSSP41 SCHLANGER SCHOLARSHIP CALIFORNIA INSTITUTE OF TECHNOLOGY MAIL CODE 100-23 1200 E CALIFORNIA BLVD PASADENA CA 91125 951643307 501(C)(3) 30000 FMV IUSSP FELLOWSHIP AWARD/SCHLANGER SCHOLARSHIP TRUSTEES OF COLUMBIA UNIVERSITY P O BOX 29789 NEW YORK NY 10027 135598093 501(C)(3) 30000 FMV IUSSP FELLOWSHIP AWARD/SCHLANGER SCHOLARSHIP UNIVERSITY OF SOUTHERN CALIFORNIA SPONSORED PROJECTS ACCOUNTING FILE NO 52095 LOS ANGELES CA 90074 951642394 501(C)(3) 30000 FMV IUSSP FELLOWSHIP AWARD/SCHLANGER SCHOLARSHIP 23 4 SOR INSTRUCTOR/EDUCATION OFFICER IODP 7 23500 FMV IUSSP410 ROCKS 8 2900 FMV SCHOLARSHIP 5 4500 FMV NOSB QUESTION WRITER 8 6720 FMV UNRESTRICTED INTERNSHIP 1 4500 FMV PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, 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 398977 0 15074 0 0 0 25000 0 13711 0 452762 0 0 0 YAN XING 192228 0 5000 0 0 0 29541 0 14147 0 240916 0 0 0 KEVIN WHEELER 161074 0 4000 0 0 0 16548 0 16389 0 198011 0 0 0 TIMOTHY COWLES 205020 0 6000 0 0 0 20630 0 13713 0 245363 0 0 0 DAVID DIVINS 164926 0 6000 0 0 0 25360 0 16435 0 212721 0 0 0 PAUL HAGSTROM 158165 0 4000 0 0 0 15632 0 2229 0 180026 0 0 0 WILLIAM PRITCHETT 164055 0 5000 0 0 0 16534 0 6981 0 192570 0 0 0 STEVEN ACKLESON 178373 0 1800 0 0 0 18320 0 15303 0 213796 0 0 0 GREGORY MYERS 154540 0 6000 0 0 0 16015 0 15362 0 191917 0 0 0 EDWARD CHAPMAN 143310 0 3500 0 0 0 15030 0 15801 0 177641 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 4 THE CORPORATE BYLAWS WERE AMENDED TO INCLUDE CHANGES TO THE QUALIFICATIONS FOR ASSOCIATE MEMBER CLASSIFICATION; TO THE ADMISSION PROVISIONS FOR NEW ASSOCIATE AND AFFLIATE MEMBERS; TO POWERS OF THE EXECUTIVE COMMITTEE TO ESTABLISH A POLICY FOR DEFERRAL OR FORGIVENESS OF MEMBERSHIP FEES; TO THE MODEL UNDER WHICH TRUSTEES ARE ELECTED TO THE BOARD; TO THE POWERS OF THE BOARD TO APPOINT A SUCCESSOR TO THE PRESIDENT AND TO ASSIGN DUTIES TO THE VICE PRESIDENTS; TO CLARIFY THE RESPONSIBILITIES OF THE AUDIT COMMITTEE VIA ADOPTION OF AUDIT COMMITTEE CHARTER; TO THE POWERS OF THE MEMBERSHIP COMMITTEE; AND TO REMOVE THE MEMBER RELATIONS COMMITTEE AS A STANDING COMMITTEE. FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS FORTY-FOUR VOTING MEMBERS, TWENTY-NINE ASSOCIATE MEMBERS, AND NINE AFFILIATE MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A THE ORGANIZATION'S FORTY-FOUR 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 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. OTHER FEES FORM 990, PART IX, LINE 11G SUBCONTRACT EXPENSES: PROGRAM SERVICE EXPENSES 172,370,222. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 172,370,222. CONSULTANT FEES: PROGRAM SERVICE EXPENSES 122,736. MANAGEMENT AND GENERAL EXPENSES 517,845. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 640,581. TEMPORARY HELP: PROGRAM SERVICE EXPENSES 72,944. MANAGEMENT AND GENERAL EXPENSES 91,774. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 164,718. FORM 990, PART XII, LINE 2C THE FINANCE COMMITTEE, WHICH SERVES AS THE AUDIT COMMITTEE, OVERSEES THE AUDIT AND SELECTION OF THE AUDIT FIRM. THE PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. 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.