Department of the Treasury Internal Revenue Service
Public Charity Status and Public Support
Complete if the organization is a section 501(c)(3) organization or a section
4947(a)(1) nonexempt charitable trust.
Attach to Form 990 or Form 990-EZ. See separate instructions.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
AMERICAN INSTITUTES FOR RESEARCH IN THE BEHAVIORAL SCIENCES
Employer identification number
25-0965219
Part I
Reason for Public Charity Status
(All organizations must complete this part.) See instructions
The organization is not a private foundation because it is: (For lines 1 through 11, check only one box.)
1
2
3
4
5
section 170(b)(1)(A)(iv). (Complete Part II.)
6
7
8
9
receipts from activities related to its exempt functions—subject to certain exceptions, and (2) no more than 331/3% of
its support from gross investment income and unrelated business taxable income (less section 511 tax) from businesses
acquired by the organization after June 30, 1975. See section 509(a)(2). (Complete Part III.)
10
11
e
By checking this box, I certify that the organization is not controlled directly or indirectly by one or more disqualified persons other than foundation managers and other than one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2).
f
If the organization received a written determination from the IRS that it is a Type I, Type II or Type III supporting organization, check this box
..................................................
g
Since August 17, 2006, has the organization accepted any gift or contribution from any of the following persons?
(i) a person who directly or indirectly controls, either alone or together with persons described in (ii)
Yes
No
and (iii) below, the governing body of the the supported organization?
................
11g(i)
(ii)
a family member of a person described in (i) above?
......................
11g(ii)
(iii)
a 35% controlled entity of a person described in (i) or (ii) above?
................
11g(iii)
h
Provide the following information about the supported organization(s).
(i) Name of supported organization
(ii) EIN
(iii) Type of organization (described on lines 1- 9 above or IRC section (see instructions))
(iv) Is the organization in col. (i) listed in your governing document?
(v) Did you notify the organization in col. (i) of your support?
(vi) Is the organization in col. (i) organized in the U.S.?
(vii) Amount of support?
Yes
No
Yes
No
Yes
No
Total
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2010
Schedule A (Form 990 or 990-EZ) 2010
Page 2
Part II
Support Schedule for Organizations Described in IRC 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi) (Complete only if you checked the box on line 5, 7, or 8 of Part I or if the
organization failed to qualify under Part III. If the organization fails to
qualify under the tests listed below, please complete Part III.)
Section A. Public Support
Calendar year(or fiscal year beginning in)
(a) 2006
(b) 2007
(c) 2008
(d) 2009
(e) 2010
(f) Total
1
Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") ....
2
Tax revenues levied for the organization's benefit and either paid to or expended on its behalf.......
3
The value of services or facilities furnished by a governmental unit to the organization without charge..
4
Total. Add lines 1 through 3..
5
The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included
on line 1 that exceeds 2% of the amount shown on line 11, column (f)..
6
Public Support. Subtract line 5 from line 4.
Section B. Total Support
Calendar year(or fiscal year beginning in)
(a) 2006
(b) 2007
(c) 2008
(d) 2009
(e) 2010
(f) Total
7
Amounts from line 4..
8
Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources..
9
Net income from unrelated business activities, whether or not the business is regularly carried on..
10
Other income. (Explain in Part IV.) Do not include gain or loss from the sale of capital assets..
11
Total support (Add lines 7 through 10).
12
Gross receipts from related activities, etc. (See instructions.)
..................
12
13
First Five Years
If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a 501(c)(3) organization,
check this box and stop here..........................................
Section C. Computation of Public Support Percentage
14
Public Support Percentage for 2010 (line 6 column (f) divided by line 11 column (f))
.........
14
15
Public Support Percentage for 2009 Schedule A, Part II, line 14
...............
15
16a
33 1/3% support test—2010.
If the organization did not check the box on line 13, and line 14 is 33 1/3% or more, check this box
and stop here. The organization qualifies as a publicly supported organization
......................
b
33 1/3% support test—2009.
If the organization did not check the box on line 13 or 16a, and line 15 is 33 1/3% or more, check this
box and stop here. The organization qualifies as a publicly supported organization
.....................
17a
10%-facts-and-circumstances test—2010.
If the organization did not check a box on line 13, 16a, or 16b and line 14
is 10% or more, and if the organization meets the "facts and circumstances" test, check this box and stop here. Explain
in Part IV how the organization meets the "facts and circumstances" test. The organization qualifies as a publicly supported
organization
..................................................
b
10%-facts-and-circumstances test—2009.
If the organization did not check a box on line 13, 16a, 16b, or 17a and line
15 is 10% or more, and if the organization meets the "facts and circumstances" test, check this box and stop here.
Explain in Part IV how the organization meets the "facts and circumstances" test. The organization qualifies as a publicly supported organization
..............................................
18
Private Foundation
If the organization did not check a box on line 13, 16a, 16b, 17a or 17b, check this box and see
instructions
...................................................
Schedule A (Form 990 or 990-EZ) 2010
Schedule A (Form 990 or 990-EZ) 2010
Page 3
Part III
Support Schedule for Organizations Described in IRC 509(a)(2) (Complete only if you checked the box on line 9 of Part I or if the organization
failed to qualify under Part II. If the organization fails to qualify under
the tests listed below, please complete Part II.)
Section A. Public Support
Calendar year(or fiscal year beginning in)
(a) 2006
(b) 2007
(c) 2008
(d) 2009
(e) 2010
(f) Total
1
Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .
220,035,387
240,380,082
301,324,174
298,916,726
273,951,804
1,334,608,173
2
Gross receipts from admissions, merchandise sold or services performed, or facilities furnished in any activity that is related to the organization's tax-exempt purpose......
30,822,269
28,896,769
644,304
686,062
926,419
61,975,823
3
Gross receipts from activities that are not an unrelated trade or business under section 513..
4
Tax revenues levied for the organization's benefit and either paid to or expended on its behalf...
5
The value of services or facilities furnished by a governmental unit to the organization without charge..
6
Total. Add lines 1 through 5.
250,857,656
269,276,851
301,968,478
299,602,788
274,878,223
1,396,583,996
7a
Amounts included on lines 1, 2, and 3 received from disqualified persons...
0
b
Amounts included on lines 2 and 3 received from other than disqualified persons that exceed the greater of $5,000 or 1% of the amount on line 13 for the year.
1,287,389
279,043
1,566,432
c
Add lines 7a and 7b..
1,287,389
279,043
1,566,432
8
Public Support (Subtract line 7c from line 6.)
1,395,017,564
Section B. Total Support
Calendar year (or fiscal year beginning in)
(a) 2006
(b) 2007
(c) 2008
(d) 2009
(e) 2010
(f) Total
9
Amounts from line 6...
250,857,656
269,276,851
301,968,478
299,602,788
274,878,223
1,396,583,996
10a
Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources..
831,157
1,249,000
1,820,770
3,001,104
3,007,091
9,909,122
b
Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975.
1,904
2,092
10,345
14,341
c
Add lines 10a and 10b.
833,061
1,251,092
1,831,115
3,001,104
3,007,091
9,923,463
11
Net income from unrelated business activities not included in line 10b, whether or not the business is regularly carried on.
12
Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.)
25,960
25,960
13
Total support (Add lines 9, 10c, 11 and 12.).
251,716,677
270,527,943
303,799,593
302,603,892
277,885,314
1,406,533,419
14
First Five Years
If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a 501(c)(3) organization,
check this box and stop here.............................................
Section C. Computation of Public Support Percentage
15
Public Support Percentage for 2010 (line 8 column (f) divided by line 13 column (f))
.........
15
99.180 %
16
Public support percentage from 2009 Schedule A, Part III, line 15
...............
16
98.630 %
Section D. Computation of Investment Income Percentage
17
Investment income percentage for 2010 (line 10c column (f) divided by line 13 column (f))
......
17
0.710 %
18
Investment income percentage from 2009 Schedule A, Part III, line 17
.............
18
0.580 %
19a
33 1/3% support tests—2010.
If the organization did not check the box on line 14, and line 15 is more than 33 1/3% and line 17 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization
..........
b
33 1/3% support tests—2009.
If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 1/3% and line 18 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization
....
20
Private Foundation
If the organization did not check a box on line 14, 19a or 19b, check this box and see instructions
.....
Schedule A (Form 990 or 990-EZ) 2010
Schedule A (Form 990 or 990-EZ) 2010
Page 4
Part IV
Supplemental Information.
Supplemental Information. Complete this part to provide the explanation required by Part II, line 10; Part II, line 17a or 17b; or Part III, line 12. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
Explanation
Schedule A (Form 990 or 990-EZ) 2010
Additional Data
Software ID:
Software Version:
-
TIN:
SCHEDULE O (Form 990 or 990-EZ)
Department of the Treasury Internal Revenue Service
Supplemental Information to Form 990 or 990-EZ
Complete to provide information for responses to specific questions on
Form 990 or to provide any additional information.
Attach to Form 990 or 990-EZ.
OMB No. 1545-0047
2010
Open to Public Inspection
Name of the organization
AMERICAN INSTITUTES FOR RESEARCH IN THE BEHAVIORAL SCIENCES
Employer identification number
25-0965219
Identifier
Return Reference
Explanation
FORM 990, PART VI, SECTION A, LINE 2
SOL PELAVIN, CEO, AND DIANE PELAVIN, EXECUTIVE VICE PRESIDENT, ARE SPOUSES.
FORM 990, PART VI, SECTION B, LINE 11
1. THE FORM 990 AND RELATED SCHEDULES ARE PREPARED UNDER THE GUIDANCE OF THE CEO/PRESIDENT AND CFO/TREASURER. 2. THE FORM 990 IS REVIEWED INTERNALLY BY THE CEO/PRESIDENT, CFO/TREASURER, LEGAL COUNSEL, AND THE SENIOR VP OF HUMAN RESOURCES PRIOR TO BEING PROVIDED TO ANY MEMBERS OF THE BOARD. 3. THE FORM 990 IS FIRST PROVIDED TO THE AUDIT AND COMPENSATION COMMITTEES OF THE BOARD FOR REVIEW AND THEN MADE AVAILABLE TO ALL MEMBERS OF THE BOARD PRIOR TO THE DUE DATE (INCLUDING ANY EXTENSIONS).
FORM 990, PART VI, SECTION B, LINE 12C
ON AN ANNUAL BASIS, AIR REQUIRES ITS OFFICERS TO COMPLETE A SENIOR MANAGEMENT DISCLOSURE FORM, WHICH IS REVIEWED BY THE LEGAL COUNSEL, ETHICS OFFICER, AND CHIEF FINANCIAL OFFICER. OFFICERS ARE REQUIRED TO DISCLOSE ANY RELATIONSHIP OR TRANSACTION WHICH MAY POSE A CONFLICT AND MUST UPDATE THE FORM WHEN THERE HAS BEEN A CHANGE IN CIRCUMSTANCE. IN ADDITION, AIR OFFICERS AND EMPLOYEES ARE REQUIRED TO COMPLY WITH AIR'S CODE OF CONDUCT, WHICH PROVIDES GUIDANCE ON CONFLICTS OF INTEREST. AIR'S BOARD OF DIRECTORS COMPLETES AN ANNUAL CONFLICT OF INTEREST QUESTIONNAIRE AND FOLLOWS A BOARD CONFLICT OF INTEREST POLICY IN ADDITION TO AIR'S CODE OF CONDUCT. THE CONFLICT OF INTEREST QUESTIONNAIRES ARE SUBMITTED TO AND REVIEWED BY THE LEGAL COUNSEL AND SECRETARY OF THE ORGANIZATION.
FORM 990, PART VI, SECTION B, LINE 15
COMPENSATION IS REVIEWED AND APPROVED BY THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS (100% COMPOSED OF INDEPENDENT DIRECTORS). EACH YEAR THE COMMITTEE HIRES AN OUTSIDE INDEPENDENT CONSULTANT TO PERFORM A COMPARABILITY REVIEW OF COMPENSATION, WHICH IS COMPLETED USING EXTERNAL PUBLISHED DATA. THIS INFORMATION IS INCORPORATED INTO THE FINAL REVIEW AND DECISION PROCESS FOR THOSE INDIVIDUALS REVIEWED BY THE COMMITTEE. WRITTEN MINUTES OF THESE MEETINGS ARE KEPT CONTEMPORANEOUSLY AND MADE AVAILABLE AS REQUESTED. FOR THE OTHER KEY EMPLOYEES, MOST FOLLOW THE EXACT SAME PROCESS AS THE CEO. ANY OF THE KEY EMPLOYEES WHOSE COMPENSATION IS NOT SET BY THE COMPENSATION COMMITTEE (DUE TO NOT BEING AN OFFICER OR A PROGRAM DIRECTOR) ARE REVIEWED INTERNALLY USING THE SAME TYPE OF DATA BY THE RESPECTIVE PROGRAM DIRECTOR AND/OR THE CEO, WITH APPROVAL BY THE CEO.
FORM 990, PART VI, SECTION C, LINE 19
AIR HAS MADE A PUBLIC FILING OF ITS GOVERNING DOCUMENTS WITH THE COMMONWEALTH OF PENNSYLVANIA. A CONDENSED VERSION OF AIR'S FINANCIAL STATEMENTS ARE AVAILABLE ON ITS WEBSITE. AIR WILL MAKE ITS COMPLETE SET OF FINANCIAL STATEMENTS AND CONFLICT OF INTEREST POLICY AVAILABLE UPON REQUEST.
CHANGES IN NET ASSETS OR FUND BALANCES:
FORM 990, PART XI, LINE 5:
NET UNREALIZED GAINS ON INVESTMENTS: 2,060,083.
FORM 990, PART IV, LINE 12 AND PART XII, LINE 2B
AIR PREPARES THE CONSOLIDATED FINANCIAL STATEMENTS WHICH INCLUDE THE ORGANIZATION AND ITS AFFILIATES; THE STATEMENTS ARE AUDITED BY INDEPENDENT AUDITORS ON AN ANNUAL BASIS.
FORM 990 PART XII, LINE 2C
AIR HAS AN AUDIT COMMITTEE THAT ASSUMES RESPONSIBILITY FOR OVERSIGHT OF THE AUDIT OF THE FINANCIAL STATEMENTS AND SELECTION OF AN INDEPENDENT AUDITOR.
FORM 990, PART VI, LINE 1A
THE EXECUTIVE COMMITTEE IS COMPRISED OF THE BOARD CHAIR AND CHAIRS OF THE AUDIT, FINANCE, GOVERNANCE, HUMAN RESOURCES AND COMPENSATION COMMITTEES AND THE CHIEF EXECUTIVE OFFICER FOR THE PURPOSE OF EXERCISING ALL OF THE POWERS AND AUTHORITY OF THE FULL BOARD WHEN THE BOARD IS NOT IN SESSION AND WHEN IT IS NOT PRACTICAL OR POSSIBLE FOR THE FULL BOARD TO CONVENE A MEETING. A QUORUM IS DEFINED AS FOUR (4) MEMBERS OF THE EXECUTIVE COMMITTEE.
FORM 990, PART VII, SECTION B, LINE 1, COLUMN B
COLUMN B DESCRIPTION FOR THE CORKERY GROUP: MEDIA STRATEGY SUPPORT TO CDC'S HIV, STD, AND TB PREVENTION PROGRAM COLUMN B DESCRIPTION FOR AGHA KHAN FOUNDATION: DELIVERY OF TRAINING & ASSESSMENT ACTIVITIES COLUMN B DESCRIPTION FOR CTB MCGRAW-HILL, LLC: PRINT, SCORE & DISTRIBUTION OF TEST REPORTS, TERRANOVA
FORM 990, PART VIII, LINE 2A
INCLUDING FROM CERTAIN PERSONAL PROPERTY RENTS
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.