2012-05-04T13:33:15-05:00 2011-09-30 RUBINO & MCGEEHIN CHARTERED 6903 ROCKLEDGE DRIVE SUITE 1200 BETHESDA MD 20817 990 2010-10-01 521892964 CONSORTIUM FOR OCEAN LEADERSHIP CONS 2023320063 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 YAN XING 2023320063 2012-04-30 1 JENNY E HERRERA CPA 3015643636 2010 2016-02-24 21:20:13Z DR ROBERT GAGOSIAN 1201 NEW YORK AVENUE NW NO 420 WASHINGTON DC 20005 173235867 0 X WWW.OCEANLEADERSHIP.ORG X 1994 DE TO SHAPE THE FUTURE OF OCEAN SCIENCE AND TECHNOLOGY THROUGH DISCOVERY, UNDERSTANDING AND ACTION. 17 17 79 50 0 0 133645022 172568155 560326 614558 30197 53154 0 0 134235545 173235867 1241356 664508 0 0 8214293 9345470 0 0 1829 124958807 163077773 134414456 173087751 -178911 148116 11957257 27540631 9990433 25560189 1966824 1980442 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 90948605 OCEAN RESEARCH INTERACTIVE OBSERVATORY NETWORK PROGRAM (OOI) - DEVELOPMENT OF THE PRELIMINARY NETWORK DESIGN, SYSTEM REQUIREMENTS, AND OTHER PLANNING DOCUMENTS. 68103166 INTEGRATED OCEAN DRILLING PROGRAM - INTERNATIONAL PARTNERSHIP OF SCIENTISTS AND RESEARCH INSTITUTIONS ORGANIZED TO EXPLORE THE HISTORY AND STRUCTURE OF THE EARTH. 4010195 U.S. SCIENCE SUPPORT PROGRAM ASSOCIATED WITH THE INTERGRATED OCEAN DRILLING PROGRAM(IODP) SUPPORTS INVOLVEMENT OF THE US SCIENTIFIC COMMUNITY IN THE IODP, AN INTERNATIONAL PROGRAM OF BASIC RESEARCH IN MARINE GEOSCIENCES THAT USES MULTIPLE OCEAN DRILLING PLATFORMS TO EXPLORE THE EARTH'S HISTORY AND ENVIRONMENT. 1442555 614558 OTHER RESEARCH & EDUCATION 1172045 INTERNATIONAL CENSUS OF MARINE LIFE PROGRAM 1132368 60000 NATIONAL OCEAN SCIENCES BOWL 427654 604508 PUBLIC POLICY AND ADVOCACY 419521 NATIONAL OCEANOGRAPHIC PARTNERSHIP PROGRAM 357066 GULF OF MEXICO RESEARCH INITIATIVE 4951209 664508 614558 168013175 1 1 0 1 0 0 0 0 0 1 0 0 0 1 0 1 0 0 0 1 1 1 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 40 0 1 79 1 0 0 0 0 0 0 0 0 X 17 17 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 NY X YAN XING 2023320063 1201 NEW YORK AVE 4TH FL WASHINGTON DC 20005 DR ROBERT GAGOSIAN 40.00 X X 374804 0 37438 AMY CASTNER 40.00 X X 82699 0 28154 DR NANCY TARGETT 2.00 X X 0 0 0 DR ROBERT B DUNBAR 2.00 X X 0 0 0 DR BRIAN TAYLOR 2.00 X X 0 0 0 DR NANCY RABALAIS 2.00 X 0 0 0 DR JAMES G SANDERS 2.00 X 0 0 0 DR PETER N MIKHALEVSKY 2.00 X 0 0 0 DR ROBERT W CORELL 2.00 X 0 0 0 MR FRANK M CUSHING 2.00 X 0 0 0 DR DONALD F BOESCH 2.00 X 0 0 0 DR LARRY MAYER 2.00 X 0 0 0 DR ROBERT M OWEN 2.00 X 0 0 0 DR MARK R ABBOTT 2.00 X 0 0 0 DR CHARLIE PAULL 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 SANDRA WHITEHOUSE 2.00 X 0 0 0 MS JOSIE QUINTRELL 2.00 X 0 0 0 YAN XING 40.00 X 180514 0 40075 KEVIN WHEELER 40.00 X 158066 0 27849 DAVID DIVINS 40.00 X 158899 0 39207 STUART WILLIAMS 40.00 X 189064 0 20950 WILLIAM PRITCHETT 40.00 X 147868 0 21319 ANTHONY FERLAINO 40.00 X 168908 0 30954 GREGORY MYERS 40.00 X 149400 0 31374 REGINALD BEACH 40.00 X 158317 0 37256 1768539 0 314576 23 0 1 0 TEXAS A&M RESEARCH FOUNDATION PO BOX 201918 DALLAS TX 753201918 IMPLEMENTATION OF OCEAN DRILLING 59197088 UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DR CHICAGO IL 606930001 IMPLEMENTATION OF OCEAN OBSERVING 53575514 WOODS HOLE OCEANOGRAPHIC INSTITUTE 569 WOODS HOLE RD WOODS HOLE MA 02543 IMPLEMENTATION OF OCEAN OBSERVING 16409336 UNIVERSITY OF CALIFORNIA 9500 GILMAN DR LAJOLLA CA 92093 IMPLEMENTATION OF OCEAN OBSERVING 9523914 COLUMBIA UNIVERSITY 615 WEST 131ST STREET NEW YORK NY 10027 IMPLEMENTATION OF OCEAN DRILLING 7539729 18 1370 169535585 3031200 172568155 MEMBERSHIP DUES 900099 595050 595050 OTHER PROGRAM REVENUE 900099 19508 19508 614558 53154 53154 173235867 614558 0 53154 378362 378362 226146 226146 60000 60000 1192364 679553 512811 6092041 4741030 1349616 1395 712370 558773 153432 165 845608 647798 197643 167 503087 376814 126172 101 172051 100359 71692 198349 198349 2135 2135 156777678 156491184 286494 41665 40091 1574 664089 349156 314932 1 390244 166227 224017 1382976 1382976 2257339 2197668 59671 881888 851509 30379 216573 216573 92786 32875 59911 G&A ALLOCATION 0 115630 -115630 173087751 168013175 5072747 1829 6766 51417 3828871 2436020 4408931 21211849 469207 928488 530088 292472 1315626 775710 605972 539916 1899715 1865633 207707 214836 11957257 27540631 7049511 24160881 2130881 544939 810041 854369 9990433 25560189 X 1966824 1980442 1966824 1980442 11957257 27540631 X 148116 -134498 X X 0 1 1 X 1 1 X 40439895 91223482 103145435 133645022 172568155 541021989 40439895 91223482 103145435 133645022 172568155 541021989 541021989 121038 83093 59808 30197 53154 347290 541369279 3010449 0.99940 0.99900 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 50283 50283 173037468 173087751 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 110902 29305 22014 50283 212504 250000 250000 250000 250000 1000000 1500000 462815 208478 254337 553332 334538 218794 299479 232694 66785 539916 DEFERRED RENT 678063 DEFERRED COMPENSATION 176306 854369 173235867 173087751 148116 -134498 -134498 13618 173099234 -134498 -134498 173233732 2135 2135 173235867 173085616 0 173085616 2135 2135 173087751 1 AFRICA 0 0 PROGRAM SERVICES INTERNATIONAL CENSUS OF MARINE LIFE: LIFE IN A CHANGING OCEAN 4065 EUROPE 0 0 PROGRAM SERVICES MARINE MICROBIOLOGY; WORLD CONFERENCE ON MARINE BIODIVERSITY; INDIAN SYMPOSIUM ON CENSUS OF MARINE LIFE; CONVENTION ON BIODIVERSITY; SSC;IOC WEST PAC; EXPEDITION 323/319/322 2ND POST CRUISE MEETING; EPSP MEETING; EDP MEETING; SPC MEETING; GLOMAR ECORD SUMMER SCHOOL, HISTORY OF MARINE ANIMAL POPULATIONS, DECADE OF DISCOVERY 391292 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EXPEDITION 337 SHIMOTKA COALBED BIOSPHERE; EXPEDITION 331 DEEP HOT BIOSPHERE; EXPEDITION 333 NANTROSEIZE; EXPEDITION 333 SAMPLING MEETING; POST EXPEDITION AWARD; DETAILED PLANNING GROUP; TOHOKU EARTHQUAKE; INTERNATIONAL CENSUS OF MARINE LIFE: INDIAN SYMPOSIUM ON CENSUS OF MARINE LIFE; CONVENTION ON BIODIVERSITY; SSC; IOC; WESTPAC 126962 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES INTERNATIONAL CENSUS OF MARINE LIFE: LIFE IN A CHANGING OCEAN 34150 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES EXPEDITION 329 SOUTH PACIFIC GYRE; EXPEDITION 330 LOUISVILLE SEAMOUNTS; STP MEETING; SLOW SLIPS EVENT WORKSHOP 161865 NORTH AMERICA 0 0 PROGRAM SERVICES EXPEDITION 327 JUAN DE FUCA; GOBI PELAGIC WORKING GROUP 5591 SOUTH AMERICA 0 0 PROGRAM SERVICES SCHOOL OF ROCK;EXPEDITION 334 COSTA RICA SEISMOGENESIS; EXPEDITION 335 SUPERFAST SPREADING CRUST 4; INDIAN SYMPOSIUM ON COML; EXPEDITION 334 COSTA RICA SEISMOGENESIS PROJECT; EXPEDITION SUPERFAST SPREADING CRUST 4; EXPEDITION MID ATLANTIC RIDGE MICROBIOLOGY 69005 MIDDLE EAST 0 0 PROGRAM SERVICES GEOLOGICAL CARBON CAPTURE WORKSHOP 13520 0 0 0 0 0 0 806450 0 806450 X EAST ASIA AND THE PACIFIC AUSTRALIAN CENSUS OF MARINE LIFE 20000 EFT FMV SOUTH ASIA INDIA SYMPOSIUM 20000 EFT FMV CARRIBEAN NRIC WORKSHOP SUPPORT CENTRAL AMERICA AND THE CARRIBEAN 1 20000 EFT FMV 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 AWARDS LIFE CYCLE. 1) PRE-AWARD ASSESSMENT: THE INITIAL MONITORING BEGINS WITH A PRE-AWARD ASSESSMENT OF THE PROSPECTIVE RECIPIENTS 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 AWARDS 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 SUBCONTRACTORS 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. 1 BIRCH AQUARIUM AT SCRIPPS SIO 9500 GILMAN DR DEPT 0207 LAJOLLA CA 92093 956006144 501(C)(3) 14500 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD JL SCOTT MARINE EDUCATION CENTER 703 EAST BEACH DR OCEAN SPRINGS MS 39564 646000818 501(C)(3) 10000 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD GULF COAST RESEARCH LABORATORYUNIV SOUTHERN MISSISSIPPI 703 EAST BEACH DR OCEAN SPRINGS MS 39564 646000818 501(C)(3) 15000 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD MASSACHUSSETS INSTITUTE OF TECHNOLOGY 600 TECHNOLOGY SQ NE49-416 CAMBRIDGE MA 02139 042103594 501(C)(3) 15000 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD PROJECT OCEAN TECHNOLOGY 1084 SHENNESSOSSETT RD GROTON CT 063406048 060896672 501(C)(3) 15000 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD CIRESUNIVERSITY OF COLORADO AT BOULDER 216 UCB BOULDER CO 80309 846000555 STATE OF COLORADO 15500 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD TEXAS A&M UNIVERSITYTEXAS SEA GRANT 2700 EARL RUDDER FWY S 180 COLLEGE STATION TX 77845 746000531 115 30000 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD CSCAR(UNIVERSITY OF MICHIGAN DRAR) 2044 WOLVERINE TWR3003 SSTATE ST RM 1082 ANN ARBOR MI 48109 386006309 501(C)(3) 15000 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD UNIVERSITY OF ALASKA FAIRBANKS OFC OF GRANTS/ADM SVCS CTR ROOM 109 PO BOX 757880 SEWARD AK 99775 926000147 115 17500 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD SAN FRANCISCO STATE UNIVERSITY 1600 HOLLOWAY AVENUE-ADM 155 SAN FRANCISCO CA 94132 931137247 115 15000 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD EAST CAROLINA UNIV OFFICE OF SPONS PROG2200 S CHARLES BLVD 2906 GREENVILLE NC 278584353 566000403 STATE OF NC 14804 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD UNIVERSITY OF MIAMI 4600 RICKENBACKER CSWY MIAMI FL 33149 590624458 501(C)(3) 15000 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD OLD DOMINION UNIVERSITY RESEARCH FOUNDATION PO BOX 6369 NORFOLK VA 23508 546068198 501(C)(3) 7500 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD UNIV OF NEW HAMPSHIRE UNH OFFICE OF SPONS RESRCH SERVICE BLDG ROOM 109 DURHAM NH 038243585 026000937 501(C)(3) 12297 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD OREGON STATE UNIVERSITY PO BOX 1086 CORVALLIS OR 97339 481278540 STATE OF OR 15000 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD UNIV OF SOUTH FLORIDA COLLEGE OF MARINE SCIENCE140 SEVENTH AVE SOUTH ST PETERSBURG FL 33701 593102112 STATE OF FL 14999 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD VIRGINIA INSTITUTE OF MARINE SCIENCE PO BOX 1346 GLOUCESTER POINT VA 230621340 546001802 STATE OF VA 7500 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD UNIVERSITY OF WISCONSIN MILWAUKEE DRAWER 491 MILWAUKEE WI 53293 391805963 501(C)(3) 19000 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD UNIVERSITY OF SOUTHERN CALIFORNIA WRIGLEY INSTITUTE SPONSORED PROJECTS ACCOUNTINGFILE 52095 LOS ANGELES CA 900892095 951642394 501(C)(3) 15000 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD UNIVERSITY OF HAWAII OFFICE OF RESEARCH SERVICES2530 DOLE ST SAKAMAKI C200 HONOLULU HI 96822 996000354 STATE OF HI 18250 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD YOUNGSTOWN STATE UNIV GRANTS ACCOUNTING ONE UNIV PLAZA YOUNGSTOWN OH 44555 341011998 STATE OF OH 15000 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD USUNYRESEARCH FOUNDATION OF THE STATE UNIVERSITY OF NEW YORK PO BOX 9 ALBANY NY 12222 141368361 501(C)(3) 14961 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD UNIVERSITY OF WASHINGTON 3716 BROOKLYN AVENUE NE SEATTLE WA 981056716 916001537 STATE OF WA 14500 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD SAVANNAH STATE UNIVERSITY OFFICE OF FISCAL AFFAIRS BOX 20419 SAVANNAH GA 31404 586002069 501(C)(3) 17051 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD RUTGERS THE STATE UNIVERSITY OF NEW JERSEY 3 RUTGERS PLAZA 2ND FLOOR NEW BRUNSWICK NJ 08901 226001086 501(C)(3) 15000 FMV SUBSIDY FOR NOSB COMPETITION AND DIVERSITY AWARD 13 12 NOSB STIPENDS 5 18300 FMV COMMUNICATION STIPEND 2 11063 FMV OOI STIPEND 2 30000 FMV IODP STIPEND 1 9920 FMV JUAN DE FUCA EDUCATION 3 15000 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 AWARDS LIFE CYCLE. 1) PRE-AWARD ASSESSMENT: THE INITIAL MONITORING BEGINS WITH A PRE-AWARD ASSESSMENT OF THE PROSPECTIVE RECIPIENTS 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 AWARDS 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 SUBCONTRACTORS 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 324804 0 50000 0 0 0 24500 0 12938 0 412242 0 0 0 YAN XING 175514 0 5000 0 0 0 26970 0 13105 0 220589 0 0 0 KEVIN WHEELER 153066 0 5000 0 0 0 15600 0 12249 0 185915 0 0 0 DAVID DIVINS 154899 0 4000 0 0 0 23907 0 15300 0 198106 0 0 0 STUART WILLIAMS 131020 0 58044 0 0 0 19087 0 1863 0 210014 0 0 0 WILLIAM PRITCHETT 144368 0 3500 0 0 0 14944 0 6375 0 169187 0 0 0 ANTHONY FERLAINO 163908 0 5000 0 0 0 24780 0 6174 0 199862 0 0 0 GREGORY MYERS 145400 0 4000 0 0 0 15497 0 15877 0 180774 0 0 0 REGINALD BEACH 158317 0 0 0 0 0 24327 0 12929 0 195573 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 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-SIX VOTING MEMBERS, THIRTY-THREE ASSOCIATE MEMBERS, AND SEVEN AFFILIATE MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A THE ORGANIZATION'S FORTY-SIX VOTING MEMBERS ELECT REPRESENTATIVES TO THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION A, LINE 7B THE BYLAWS MAY BE AMENDED AT ANY REGULAR OR SPECIAL MEETING OF THE VOTING MEMBERS, DULY CALLED AND HELD, BY THE VOTE OF A MAJORITY OF THE VOTING MEMBERSHIP PRESENT AT SUCH MEETING IF A QUORUM EXISTS. FORM 990, PART VI, SECTION B, LINE 11 THE FORM 990 WAS PROVIDED TO THE AUDIT COMMITTEE FOR REVIEW AND COMMENTS PRIOR TO FILING THE RETURN. THE FORM WAS ALSO PROVIDED TO THE REST OF THE BOARD FOR REVIEW. THE RETURN WAS THEN REVIEWED BY THE CFO AND SUBMITTED TO THE 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. ALL MEMBERS AND TRUSTEES ARE REQUIRED TO SUBMIT AN ANNUAL CONFLICT OF INTEREST DISCLOSURE FORM WITH THE SECRETARY OF THE BOARD. THE COLLECTION PROCESS BEGINS AT THE ANNUAL MEETING OF THE MEMBERS EACH YEAR AND CONTINUES UNTIL ALL MEMBER REPRESENTATIVES AND TRUSTEES HAVE A FORM ON FILE. ANY POTENTIAL CONFLICTS ARE NOTED, STORED IN THE CORPORATE RECORD, AND SHARED WITH THE EXECUTIVE COMMITTEE. 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. THE ASSESSMENT INCLUDES A COMPREHENSIVE MARKET SALARY REVIEW CONDUCTED BY NONPROFIT HR SOLUTIONS(NPHR), 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. 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 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. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC BOTH ON THE ORGANIZATION'S WEBSITE AND UPON REQUEST. THE FORM 990 IS AVAILABLE ON GUIDESTAR AND UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -134,498. 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, NOMINATING, AND PERSONNEL. THE OCEAN LEADERSHIP 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.