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. Information about Schedule A (Form 990 or 990-EZ) and its instructions is at www.irs.gov/form990.
OMB No. 1545-0047
2013
Open to Public Inspection
Name of the organization
PHOENIX CENTER FOR ADVANCED LEGAL & ECONOMIC PUBLIC POLICY STUDIES INC
Employer identification number
52-2079266
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
6
7
8
9
10
11
e
f
g
(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 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 monetary support
Yes
No
Yes
No
Yes
No
Total
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990EZ.
Cat. No. 11285F
Schedule A (Form 990 or 990-EZ) 2013
Page 2
Schedule A (Form 990 or 990-EZ) 2013
Page 2
Part II
Support Schedule for Organizations Described in Sections 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) 2009
(b) 2010
(c) 2011
(d) 2012
(e) 2013
(f) Total
1
Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") ....
792,116
776,863
810,000
603,250
519,595
3,501,824
2
Tax revenues levied for the organization's benefit and either paid to or expended on its behalf.......
0
3
The value of services or facilities furnished by a governmental unit to the organization without charge..
0
4
Total. Add lines 1 through 3
792,116
776,863
810,000
603,250
519,595
3,501,824
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)..
2,814,394
6
Public support. Subtract line 5 from line 4.
687,430
Section B. Total Support
Calendar year
(or fiscal year beginning in)
(a) 2009
(b) 2010
(c) 2011
(d) 2012
(e) 2013
(f) Total
7
Amounts from line 4..
792,116
776,863
810,000
603,250
519,595
3,501,824
8
Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources...
141
328
258
208
200
1,135
9
Net income from unrelated business activities, whether or not the business is regularly carried on..
0
10
Other income. Do not include gain or loss from the sale of capital assets (Explain in Part IV.)..
0
11
Total support (Add lines 7 through 10).
3,502,959
12
12
335,399
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
14
19.624 %
15
15
14.831 %
16a
b
17a
b
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) 2013
Page 3
Schedule A (Form 990 or 990-EZ) 2013
Page 3
Part III
Support Schedule for Organizations Described in Section 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) 2009
(b) 2010
(c) 2011
(d) 2012
(e) 2013
(f) Total
1
Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .
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......
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.
7a
Amounts included on lines 1, 2, and 3 received from disqualified persons...
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.
c
Add lines 7a and 7b..
8
Public support (Subtract line 7c from line 6.)
Section B. Total Support
Calendar year (or fiscal year beginning in)
(a) 2009
(b) 2010
(c) 2011
(d) 2012
(e) 2013
(f) Total
9
Amounts from line 6...
10a
Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources..
b
Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975.
c
Add lines 10a and 10b.
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.)
..
13
Total support. (Add lines 9, 10c, 11, and 12.)..
14
Section C. Computation of Public Support Percentage
15
15
16
16
Section D. Computation of Investment Income Percentage
17
17
18
18
19a
b
20
Schedule A (Form 990 or 990-EZ) 2013
Page 4
Schedule A (Form 990 or 990-EZ) 2013
Page 4
Part IV
Supplemental Information. Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; and Part III, line 12. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
Return Reference
Explanation
Form 990, Schedule A - Part IV - Supplemental Information
I. Facts and circumstances Although the Phoenix Center does not meet the safe harbor test for public support (33-1/3%) in 2013, it believes that the following facts and circumstances support the organization's continuance as a public charity. The Phoenix Center has grown and developed since its inception to become a voice for consumer welfare by promoting free markets, competition and individual freedom and liberty. The Phoenix Center was formed to study broad public-policy issues related to governance, social and economic conditions, with a particular emphasis on the law and economics of the digital age. During its existence, the Phoenix Center was busy accomplishing these objectives by: - Authoring over one hundred scholarly papers, many of which were published in leading academic journals; - Conducting a study for the United States Department of Commerce on the "Valley of Death" for basic research; - Participating in a United States Department of State trip to Manila and Hanoi as part of President Bush's "Digital Freedom Initiative" to talk about Universal Service and broadband deployment; -Developing a new "Broadband Adoption Index" with the generous sponsorship of the Government of Portugal and additional support by the Government of Brazil that was republished in the Federal Communications Law Journal; - Participating in a United States Department of State Conference in Ghana on the benefits of broadband deployment; - Advising the Government of Peru, under the auspices of the United States Agency for International Development (USAID), on telecommunications and broadband policies; - Serving at the request of the Chairman of the Federal Communications Commission for three years (including acting as Chairman) of the North American Numbering Council (the Federal Advisory Board charged with advising the Federal Communications Commission on telephone numbering issues) (http://www.fcc.gov/wcb/cpd/Nanc/nancback.html); - Testifying before the United States Congress, and the Federal Communications Commission, among other federal, state, local and international governmental entities; and - Holding various briefings and symposia to discuss the Phoenix Center's research, in addition to participating in various other academic conferences. - - In 2013 specifically, the Phoenix Center, among other things, published nine Phoenix Center papers; had four of its papers published (or accepted for publication) in leading academic journals; authored twenty four blogs as part of its "@lawandeconomics" series where phoenix center staff provided commentary and explained the relevancy of phoenix center research to current events; had its research cited extensively by policymakers and government agencies; had its research cited extensively in the academic literature; had its staff quoted extensively in the media, sponsored three public educational events; and had its staff present phoenix center research at a variety of national conferences. in addition, phoenix center staff testified before both the u.s. house of representatives and the u.s. senate. phoenix center also traveled to thailand under the auspices of the united states agency for international development (usaid) to conduct a study about how thailand used market-based mechanisms to allocate radio spectrum. all of the phoenix center's research may be downloaded free by the public both from the phoenix center's website (www.phoenix-center.org) and from the social science research network (www.ssrn.com), where phoenix center chief economist dr. george ford and phoenix center president lawrence j. spiwak are in the top one and one and a half percent of authors downloaded, respectively. under its current fundraising model, the phoenix center prepares a list of various topics it intends to address in the coming year in its annual report and solicits general support from public, corporate and individual contributors. as the year progresses and the debate evolves, new or expanded topics arise and funding for these projects is also solicited. II. Continuous and bona fide program for solicitation of funds The Phoenix Center has a continuous and bona fide program for the solicitation of funds. With respect to contributions, the Phoenix Center regularly and actively solicits contributions through its web-site, business associates, acquaintances and others. It also solicits general support contributions through publishing of its agenda of upcoming topics. III. Other facts and circumstances on how we benefit the general public: The Phoenix Center continues to serve the interests of the general public by: - Serving as a clearing house of ideas and as a free source for academic research in order to raise the level of public dialectic; - Website visitors can avail at no cost a variety of research tools, including Phoenix Center Policy Papers, Phoenix Center Policy Bulletins, and Phoenix Center Policy Perspectives; - As a research organization, the Phoenix Center does not lobby, file comments at regulatory agencies, or join advocacy coalitions. As such, given our dispassionate and "neutral" role and reputation for rigorous analysis, Phoenix Center staff are often asked to serve on government advisory boards, participate in government sponsored trips and events, and to testify before government agencies and Congress; and - Sponsoring programs, lectures and conferences which are open to the general public. IV. Board of Directors The Board of Directors is public in nature and represents persons from various professions whose commonality is in sharing the Phoenix Center's mission and goals. These persons are not related parties. A listing of our current Board and their resumes are as follows: A. Lawrence J. Spiwak: President Mr. Spiwak is a prolific author whose scholarly books and papers are frequently cited by policymakers around the world, including the United States Federal Communications Commission, the United States Securities and Exchange Commission, the United States Federal Trade Commission, the United States Department of State, the United States Department of Commerce, the United States Code Annotated, the Congressional Research Service, American Jurisprudence (2d), the International Telecommunication Union (ITU), and the Organization for Economic Co-Operation and Development (OECD). Mr. Spiwak's work has also been featured by major media news outlets such as The Economist, the Wall Street Journal, Business Week, the New York Times, the Los Angeles Times and the Washington Post, and he is ranked among the top two percent of downloaded authors on the Social Science Research Network ("SSRN"). In addition to his academic responsibilities, Mr. Spiwak often expresses his views and analysis in such major outlets as CNET.com, Forbes.com, The Hill, the Washington Times, and the Legal Times. In 2007, Mr. Spiwak was privileged to be selected by the FCC's Chairman's Office to participate in a trip to Southeast Asia as part of President Bush's Digital Freedom Initiative (DFI), and in July 2008 he was selected to participate in the U.S. State Department's West Africa ICT road map to opportunities conference in Ghana. Mr. Spiwak is a member in good standing of the bars of New York, Massachusetts, the District of Columbia, and the U.S. Court of Appeals for the D.C. Circuit. Mr. Spiwak received his B.A. with special honors from the George Washington University in 1986 (Special Honors, Middle Eastern Studies) and his J.D. from the Benjamin N. Cardozo School of Law in 1989, where he was the international law editor of the Cardozo Moot Court Board and served on the National Moot Court Team. He, his wife and their daughter live in North Bethesda, MD. B. Dr. George Ford: Director George S. Ford is a co-founder of the Phoenix Center and currently serves as its Chief Economist. Dr. Ford is a prolific and noted scholar, and has published numerous papers in leading academic journals such as Applied Economics, the Quarterly Review of Economics and Finance, Journal of Regulatory Economics, Kilos, the Federal Communications Law Journal, Comlaw Conspectus , the Journal of Law and Economics, the Journal of Business and Empirical Economics, the NYU Journal of Law and Business, Hastings Communications and Entertainment Law Journal, the International Journal of the Economics of Business, and the Yale Journal of Regulation. Dr. Ford is ranked in the top 1% of authors listed overall with the Social Science Research Network ("SSRN"). Prior to joining the Phoenix Center full time, Dr. Ford was the Chief Economist of Strategic Policy and Planning at Z-Tel Communications. Z-Tel was a start-up telecommunications provider headquartered in Tampa, Florida. Dr. Ford was responsible for performing and evaluating economic analyses pertaining to Z-Tel's strategic plans and public policy positions. Prior to joining Z-Tel, Dr. Ford was Senior Economist at MCI-Worldcom and, prior to joining WorldCom, was a Senior Economist in the Federal Communicati
Attach to Form 990 or Form 990-EZ.