2014-02-05T10:19:32-07:00 2013-06-30 990 2012-07-01 231352013 AMERICAN LAW INSTITUTE AMER 2152431600 4025 Chestnut Street Philadelphia PA 191043099 Margaret Marshall 2152431600 2014-02-06 2012 2015-11-30 17:44:51Z Roberta Cooper Ramo 4025 Chestnut Street Philadelphia PA 19104 45508452 0 X www.ali.org X 1923 DC The American Law Institute is the leading independent organization in the United States producing scholarly work to clarify, modernize, and otherwise improve the law. The Institute (made up of over 4,300 lawyers, judges, and law professors of the highest qualifications) drafts, discusses, revises, and publishes Restatements of the Law, model statutes, and principles of law that are enormously influential in the courts and legislatures, as well as in legal scholarship and education. The Institute through its ALI CLE operating group provides education for the legal profession throughout the United States. 57 57 109 2800 0 0 891384 845412 12876874 12325933 2012908 1888396 1910011 692437 17691177 15752178 534244 969322 0 0 8242676 6303761 0 0 95330 7476858 5763427 16253778 13036510 1437399 2715668 54012098 58050761 5825706 4606246 48186392 53444515 The Institute's mission, as set out in its certificate of incorporation, is to promote the clarification and simplification of the law and its better adaptation to social needs, to secure the better administration of justice, and to encourage and carry on scholarly and scientific legal work. 0 0 3179189 525781 3508752 ALI: The Institute produces drafts, discusses, and publishes Restatements of the Law, model statutes and principles of the law. ALI members take an active part in ALI activities by reviewing and commenting on project drafts, participating in meetings to discuss drafts, and attending annual meetings where ALI's work is debated and voted on. 6476822 443541 9258772 ALI CLE: The Institute, through ALI CLE, provides education for the legal profession throughout the United States, offering in-person courses, webcasts, telephone seminars, on-demand programs, online materials, and periodicals. ALI CLE held approximately 61 in-person courses attended by approximately 2,480 registrants. There were over 50,000 users of ALI CLE's online programs and services. 0 0 0 9656011 1 1 0 0 0 0 0 0 1 1 1 1 0 0 1 1 0 1 0 0 1 0 1 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 172 0 1 109 1 0 0 0 0 0 0 0 0 0 0 X 57 57 1 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 1 1 AK AL AR AZ CA CO CT DC FL GA HI IL KS KY LA MA MD ME MI MN MO MS NC ND NH NJ NM NY OH OK OR PA RI SC TN UT VA WA WI X The American Law Institute Deputy Director 2152431600 4025 Chestnut Street Philadelphia PA 191043099 Kenneth S Abraham 2 X 0 0 0 Kim J Askew 2 X 0 0 0 Jose I Astigarraga 2 X 0 0 0 John H Beisner 2 X 0 0 0 Sheila L Birnbaum 2 X 0 0 0 Amelia H Boss 2 X 0 0 0 Elizabeth J Cabraser 2 X 0 0 0 Edward H Cooper 2 X 0 0 0 N Lee Cooper 2 X 0 0 0 George H T Dudley 2 X 0 0 0 Christine M Durham 2 X 0 0 0 Kenneth C Frazier 2 X 0 0 0 Yvonne Gonzalez Rogers 3 X 0 0 0 Anton G Hajjar 2 X 0 0 0 Geoffrey C Hazard Jr 2 X 0 0 0 D Brock Hornby 3 X 0 0 0 William C Hubbard 2 X 0 0 0 Wallace B Jefferson 2 X 0 0 0 Mary Kay Kane 3 X 0 0 0 Michele C Kane 2 X 0 0 0 Harold Hongju Koh 2 X 0 0 0 Carolyn B Kuhl 2 X 0 0 0 Carolyn B Lamm 2 X 0 0 0 Derek P Langhauser 2 X 0 0 0 Carol F Lee 2 X 0 0 0 David F Levi 2 X 0 0 0 Goodwin Liu 2 X 0 0 0 Gerard E Lynch 2 X 0 0 0 Lori A Martin 2 X 0 0 0 M Margaret McKeown 2 X 0 0 0 John J McKetta III 3 X 0 0 0 Daniel J Meltzer 2 X 0 0 0 Judith A Miller 3 X 0 0 0 Kathryn A Oberly 3 X 0 0 0 Harvey S Perlman 2 X 0 0 0 David W Rivkin 2 X 0 0 0 Daniel B Rodriguez 2 X 0 0 0 Lee H Rosenthal 3 X 0 0 0 Gary L Sasso 2 X 0 0 0 Mary M Schroeder 3 X 0 0 0 Anthony J Scirica 2 X 0 0 0 Marsha E Simms 2 X 0 0 0 Robert H Sitkoff 2 X 0 0 0 Jane Stapleton 2 X 0 0 0 Laura Stein 2 X 0 0 0 Robert A Stein 2 X 0 0 0 Larry S Stewart 2 X 0 0 0 Elizabeth S Stong 2 X 0 0 0 Catherine T Struve 2 X 0 0 0 David K Y Tang 2 X 0 0 0 Sarah S Vance 2 X 0 0 0 Bill Wagner 2 X 0 0 0 Steven O Weise 3 X 0 0 0 Diane P Wood 3 X 0 0 0 Roberta Cooper Ramo 16 X X 0 0 0 Allen D Black 5 X X 0 0 0 Douglas Laycock 5 X X 0 0 0 Susan Frelich Appleton 5 X X 0 0 0 Paul L Friedman 5 X X 0 0 0 Margaret H Marshall 5 X X 0 0 0 Carolyn Dineen King 5 X X 0 0 0 Lance Liebman 30 X 284305 0 17500 Stephanie Middleton 50 X 266603 0 16625 Nancy Mulloy-Bonn 35 X 177725 0 24116 Marianne Walker 35 X 156840 0 10787 Leslie Belasco 35 X 139254 0 9349 Mark Carroll 35 X 138944 0 22323 Julie Scribner 25 X 129804 0 23135 Deanne Dissinger 35 X 127745 0 15190 L Julene Franki 0 X 186163 0 11669 Lawrence Meehan 0 X 152509 0 13905 1759892 0 164599 15 1 1 0 Gardner Fox 919 Glenbrook Avenue Bryn Mawr PA 19010 Construction 971553 Darwill PO Box 87618 Chicago IL 60680 Printing & mailing services 248530 Yurchak Printing Inc 920 Links Avenue Landisville PA 17538 Printing 220155 Hifi House Commercial AV 1000 Sussex Blvd Broomall PA 19008 audio/video services 212322 Riverbend Media 187 Country Bend Road Farmington UT 84025 Webcast services 197500 8 0 476569 0 0 0 368843 0 845412 CLE Programs, products, and partner royalties 611710 8959310 8959310 0 0 ALI Publications and related royalties 511120 3366623 3366623 0 0 0 0 0 0 12325933 1207463 0 0 1207463 0 0 0 0 0 0 0 0 563564 0 312718 0 250846 0 250846 0 0 250846 29726626 2400 29048093 0 678533 2400 680933 0 0 680933 0 837054 395463 441591 441591 0 0 0 0 0 0 0 15752178 12767524 0 2139242 40500 40500 913160 913160 15662 15662 0 0 804024 402763 381632 19629 0 0 0 0 4218022 2874951 1296499 46572 276691 188589 85047 3055 619111 421978 190297 6836 385913 254141 126853 4919 0 0 0 0 97301 0 85330 11971 93327 10665 82662 0 0 0 0 0 0 0 230895 0 230895 0 0 0 0 0 962796 871287 91509 0 461289 233798 226954 537 162506 36974 125532 0 72771 72771 0 0 246029 162133 83896 0 612661 568060 44597 4 64773 45402 19371 0 1685117 1651297 32338 1482 0 0 0 0 0 0 0 0 279830 184408 95422 0 38693 0 38693 0 Consultants, Honoraria, and Trainers 225096 222573 2523 0 Production and Transmission 308234 308234 0 0 222109 176665 45119 325 13036510 9656011 3285169 95330 1813367 1437447 0 0 0 0 1525575 893155 0 0 0 0 0 0 610495 39724 322897 330256 10375189 7519159 1787212 2856030 40686631 43229761 7265921 7835352 0 1429036 0 0 54012098 58050761 2294672 1487113 0 0 1103442 1021405 0 0 23379 23058 2404213 2074670 5825706 4606246 X 32862040 38214054 14884981 14791090 439371 439371 48186392 53444515 54012098 58050761 X 2715668 2995425 0 0 0 -452970 X 0 1 X 1 0 X 827531 811932 769137 891384 845412 4145396 15890363 14720304 14897042 15563345 13162988 74234042 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 16717894 15532236 15666179 16454729 14008400 78379438 0 0 0 65705 68995 134700 0 0 0 0 0 0 0 0 0 65705 68995 134700 78244738 2227979 1483006 1295743 1385783 1771027 8163538 0 0 0 0 0 0 2227979 1483006 1295743 1385783 1771027 8163538 0 0 0 0 0 0 0 0 0 0 0 0 18945873 17015242 16961922 17840512 15779427 86542976 0.90411 0.90591 0.09433 0.09337 X On the 2012 Form 990, Schedule A, Part III, the presentation of ALIP was changed to show 75% of the net income of ALIP in line 2. The prior years reported reflect 100% of the activities related to ALIP. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 X 19004013 192911 1940967 0 1827425 0 19310466 18919940 1193477 179409 0 1288813 0 19004013 17266210 995183 1984729 0 1326182 0 18919940 11181053 6669680 706738 0 1291261 0 17266210 13363063 1034496 -2079428 0 1137078 0 11181053 0.3592 0.0228 0.618 0 0 0 393750 393750 1703422 795595 2497778 1239 1192807 3777232 3177483 1792556 0 2346885 1843898 502987 0 165498 0 165498 2856030 Hedge Funds 7835352 F 7835352 0 Postretirement Healthcare Obligation 2074670 2074670 X SchD_P04_S00_L02b Schedule D, Part IV, Line 2b The American Law Institute maintains as landlord an escrow bank account as a security deposit for one of its tenants, Elwyn Inc. SchD_P05_S00_L04 Schedule D, Part V, Line 4 In accordance with donor-imposed restrictions on the Falk Endowment, principal is permanently restricted and income may only be used for purposes of the Permanent Editorial Board for the Uniform Commercial Code (PEB-UCC). A second fund was established to provide financial support for an endowed chair in memory of Professor Casner. The Wechsler Fund and the unrestricted PEB-UCC Fund have Board-designated spending restrictions. The Mellon Fund is a temporarily restricted fund to be used for the Restatement projects. SchD_P10_S00_L02 Schedule D, Part X, Line 2 For the years ended June 30, 2013 and 2012, ALI and American Law Institute Publishers (ALIP) did not identify any uncertain tax positions taken or expected to be taken in an information return or in an income tax return, respectively, which would not require adjustment to or disclosure in the consolidated financial statement. In addition, ALI and ALIP believe that they have not engaged in any activities for which ALI's tax-exempt status and ALIP's tax status as a pass through entity would not be sustained under examination. ALI and ALIP are potentially subject to federal, state, and local examinations, as applicable, for years subsequent to June, 30, 2009. 1 Europe (including Iceland and Greenland) 0 0 Program Services Stipends and meeting expense 11518 North America (including Canada and Mexico, but not the United States) 0 0 Program Services Meeting Expenses 17184 Middle East and North Africa 0 0 Program Services Stipend 1000 0 0 29702 Stipends to Reporters Europe (including Iceland and Greenland) 1 1000 Wire Transfer 0 Meeting and Travel Europe (including Iceland and Greenland) 8 10518 Wire Transfer and Check 0 Meeting expenses North America (including Canada and Mexico, but not the United States) 3 3144 Check 0 Stipend Middle East and North Africa 1 1000 Check 0 0 0 0 1 0 0 SchF_P01_S00_L02 Schedule F, Part I, Line 2 The "grants" are in the form of stipends determined by the Institute and cost-reimbursement for travel and meeting expenses that the Institute reviews for reasonableness and controls when payments are due. There will be a direct relationship between the amount approved for payment and the actual payment amount. 1 University of Pennsylvania 3451 Walnut Street 433 Franklin Building Philadelphia PA 191046205 231352685 37000 0 Letter acknowledging cash contribution The contribution made to the University of Pennsylvania was in support of the University's Library Archive Department which holds a collection of records of the Institute's. 1 0 The American Law Institute provides financial assistance to cover travel expenses for certain volunteers who attend its meetings. ALI CLE offers full scholarships to certain lawyers to attend its various courses. 3617 21382 421376 50% of tuition cost to attend a seminar The non-cash assistance is in the form of a full scholarship. The American Law institute provides stipends to reporters and research assistants as payment for their work performed on ALI projects. 60 470402 0 Amount is budgeted based on project and work to be performed. SchI_P01_S00_L02 Schedule I, Part I, Line 2 The American Law Institute, including ALI CLE, makes voluntary payments to governmental units, nonprofit organizations, and individuals. Given their nature, the payments are made either by check or by award of a scholarship for all or part of the fee for a program. The American Law Institute, including ALI CLE, is able to direct and monitor these expenditures and scholarships. X X X X 1 0 0 0 0 0 0 0 0 Lance Liebman 282821 0 0 0 1484 0 17500 0 0 0 301805 0 0 0 Stephanie Middleton 240001 0 25000 0 1601 0 16625 0 0 0 283227 0 0 0 L Julene Franki 72304 0 0 0 113859 0 2398 0 9271 0 197832 0 0 0 Lawrence Meehan 152128 0 0 0 381 0 2705 0 11200 0 166414 0 0 0 Nancy Mulloy-Bonn 176239 0 0 0 1485 0 12758 0 11358 0 201840 0 0 0 Mark Carroll 137990 0 0 0 954 0 9975 0 12348 0 161267 0 0 0 Marianne Walker 155596 0 0 0 1244 0 10787 0 0 0 167627 0 0 0 Julie Scribner 129256 0 0 0 548 0 9625 0 13510 0 152939 0 0 0 SchJ_P01_S00_L04 Schedule J, Part I, Line 4 L Julene Franki, Executive Director of ALI-ABA until February 2012, received a severance package which started April 1, 2012 to be paid in 12 monthly installments. F990_P06_S0A_L01a Form 990, Part VI, Section A, Line 1a The Institute's governing body, the Council, has delegated to the Executive Committee the authority to oversee the management of the business and affairs of the Institute, except for certain matters reserved to the Council as described in the bylaws. The Executive Committee has primary responsibility for such oversight; however, the delegated authority is not exclusive and the Council continues to retain and may exercise all delegated authority. All members of the Executive Committee are members of the Council. Committee members include the President, First and Second Vice Presidents, Secretary, Treasurer, and Chair of the Council. F990_P06_S0A_L02 Form 990, Part VI, Section A, Line 2 The following directors have family or business relationships: Robert A. Stein is the father of Laura Stein; Kim J. Askew and David K.Y. Tang are partners in the law firm of K&L Gates LLP; John H. Beisner and Sheila L. Birnbaum were partners in the law firm of Skadden, Arps, Slate, Meagher & Flom LLP for part of the year; Roberta Cooper Ramo and Robert A. Stein serve on the board of directors of Educational Credit Management Corporation (ECMC), a nonprofit corporation; Lee H. Rosenthal and Anthony J. Scirica serve on the board of visitors of Duke University School of Law and David F. Levi is the dean of that school. The following officer and director have a business relationship: Lance Liebman and Elizabeth S. Stong serve on the board of trustees of the Practising Law Institute. F990_P06_S0A_L06 Form 990, Part VI, Section A, Line 6 There were 4,361 members as of 6/30/13. There are four classes of membership: elected members, life members, honorary members, and ex-officio members. All members have the right to vote on the matters described in Lines 7a and 7b. F990_P06_S0A_L07a Form 990, Part VI, Section A, Line 7a Institute members elect members of the governing body from the Institute's membership at the annual meeting of the membership. All Institute members, regardless of class of membership, are eligible to vote. F990_P06_S0A_L07b Form 990, Part VI, Section A, Line 7b Publication of any work representing the Institute's position requires approval by both the membership and the governing body. In addition, the following matters require membership approval: Bylaw amendments; and any change in the maximum number of elected members of the Institute. All Institute members, regardless of class of membership, are eligible to vote. F990_P06_S0B_L11b Form 990, Part VI, Section B, Line 11b The Institute's governing body has delegated to the Audit Committee the responsibility to review the Form 990 before it is filed. The Form 990 (including all schedules) is prepared by management, reviewed by the Institute's independent auditor and outside legal counsel, and provided to all members of the Committee for review before filing. Committee members then may raise any questions they may have at the Committee's meeting or anytime by phone or email. A complete copy of the Form 990 is provided to all members of the governing body before it is filed. F990_P06_S0B_L12c Form 990, Part VI, Section B, Line 12c The Institute's conflicts of interest policy applies to officers and members of the Council and Audit and Investment Committees. The policy requires disclosure of actual or potential conflicts of interest and all material facts to the President or Chair of Council prior to participating in discussion, consideration, or action on a transaction or arrangement under consideration. If there is a question as to whether a conflict of interest exists, the question is resolved by a vote of the Council or Executive Committee, as applicable, in which the interested individual may not vote. Interested individuals may not be present during, or participate in, the consideration or action on the transaction or other arrangement. Key employees are covered by the conflicts of interest provisions in the Institute's Code of Conduct for Employees. Those provisions require disclosure of any conflicts of interest to an executive staff member or officer identified in the Code. If warranted, appropriate action will be taken; for example, the employee might be excluded from involvement in the relevant matter. All persons to whom the conflicts of interest policy applies, as well as key employees, also must disclose any actual or potential conflicts of interest through an annual disclosure process via a disclosure questionnaire. Any conflict-of-interest disclosures in the completed questionnaires are reviewed by the Audit Committee. If the Audit Committee determines that an actual or potential conflict of interest exists, it recommends an appropriate remedy to the President or Chair of Council. If the President or Chair of Council is the person who has the actual or potential conflict of interest, the Audit Committee makes its recommendation to the Executive Committee. F990_P06_S0B_L15 Form 990, Part VI, Section B, Line 15 The Executive Compensation Subcommittee of the Institute's Executive Committee annually reviews and makes recommendations to the Executive Committee concerning the compensation of the Director, Deputy Director, Chief Financial Officer, Director of ALI CLE, and other staff in accordance with the Institute's Executive Compensation Policy. The process was last undertaken for these persons in the fiscal year ended June 30, 2013. F990_P06_S0C_L19 Form 990, Part VI, Section C, Line 19 The Institute's governing documents, conflicts of interest policy, and annual report containing financial statements are available to the public on the Institute's website, www.ali.org. F990_P11_S00_L05 Form 990, Part XI, Line 5 Net unrealized gain on investments were $2,995,425. F990_P11_S00_L09 Form 990, Part XI, Line 9 Represents prior year non-controlling interest in American Law Institute Publishers, a majority owned joint venture. American Law Institute Publishers 610 Opperman Drive Eagan MN 55123 416164506 Publishes law books. MN N/A Related 2695121 1430271 0 0 0.75 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 American Law Institute Publishers p 336524 From actual invoice totals American Law Institute Publishers q 265494 Total of invoices paid. American Law Institute Publishers r 2625000 Distribution of net income from American Law Institute Publishers.