2018-11-13T12:58:25-06:00 2017-12-31 GRANT THORNTON LLP 2001 MARKET STREET SUITE 700 PHILADELPHIA PA 19103 990 2017-01-01 530196932 National Academy of Sciences % LAURA DOUGLAS/NAS NATI 2023343003 2101 Constitution Avenue NW Washington DC 204180007 MARY SALMON CFO 2023343003 2018-11-13 true Andrea Kyzyma P01273279 2155614200 2018-11-13 209.220.136.124 23695320183175000041 2018-11-13 P 4F051F6142C5BCCACEF452BB9A80591633FE9BDD AA918D8483008E32154F6CC583B06457B9AF9E42 2017 2019-02-21 02:37:17Z Marcia McNutt 2101 Constitution Ave NW Washington DC 20418 1136613769 false X www.nas.edu X 1863 DC THE NATIONAL ACADEMY OF SCIENCES (NAS) IS DEDICATED TO THE FURTHERANCE OF SCIENCE AND ITS USE FOR THE GENERAL WELFARE. 17 12 1233 5700 357640 186817 299919256 275205501 6590967 6785056 28136430 29692912 1864787 2769015 336511440 314452484 53807505 64118122 0 0 132438333 134158394 24453 289646 3213133 126161950 120458894 312432241 319025056 24079199 -4572572 1313513812 1378179858 264047813 261885443 1049465999 1116294415 X THE NATIONAL ACADEMY OF SCIENCES (NAS) WAS FORMED UNDER A CHARTER PASSED AS AN ACT OF INCORPORATION BY THE UNITED STATES CONGRESS AND SIGNED INTO LAW ON MARCH 3, 1863. THE NAS OPERATES AS A PRIVATE MEMBERSHIP ORGANIZATION OF DISTINGUISHED SCHOLARS ENGAGED IN SCIENTIFIC, ENGINEERING, OR MEDICAL RESEARCH. NAS IS DEDICATED TO THE FURTHERANCE OF SCIENCE FOR THE GENERAL WELFARE. NAS PROVIDES ADVICE AND OTHER SERVICES TO THE U.S. GOVERNMENT AND OTHER PRIVATE SPONSORS. 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LIABILITY FOR UNCERTAIN TAX POSITION FORM 990, SCHEDULE D, PART X, LINE 2 NAS IS EXEMPT FROM FEDERAL INCOME TAXES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE, EXCEPT FOR UNRELATED BUSINESS INCOME. NAS RECOGNIZES THE EFFECT OF INCOME TAX POSITIONS ONLY IF THOSE POSITIONS ARE MORE LIKELY THAN NOT OF BEING SUSTAINED UPON EXAMINATION. NAS DOES NOT BELIEVE ITS FINANCIAL STATEMENTS INCLUDE ANY UNCERTAIN TAX POSITIONS. 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NAS POLICY IS TO COMPLY WITH RESTRICTIONS ON GRANT AWARDS TO COUNTRIES ON THE US GOVERNMENT'S CURRENT LIST OF SANCTIONED COUNTRIES. RECIPIENTS ARE GENERALLY EXPECTED TO SUBMIT PROGRESS REPORTS DURING THE GRANT PERIOD. X X X X X true Marts Lundy Inc 1200 Wall Street West Lyndurst NJ 07071 fundraising counsel false 0 289646 0 0 289646 0 AL AK AZ AR CO CT DC FL GA HI KY ME MD MA MI MN MS NH NJ NM NY ND OH OK PA RI TN UT VA WA WV WI New Schedule G Filing The National Academy of Sciences files Schedule G this year because it launched a new capital campaign in 2017. 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X X X true true X X X false false false false false false false true false MARCIA MCNUTT PRESIDENT 714077 0 0 0 195374 0 50000 0 30139 0 989590 0 0 0 C Dan Mote Jr President- NAE 719373 0 0 0 106002 0 50000 0 6350 0 881725 0 0 0 Victor Dzau President- NAM 713776 0 0 0 202105 0 50000 0 26243 0 992124 0 0 0 Bruce Darling EXECUTIVE Officer 474111 0 0 0 46025 0 50000 0 18899 0 589035 0 0 0 Mary Salmon Chief Financial Officer 282927 0 0 0 5075 0 36500 0 16364 0 340866 0 0 0 Richard Bissell Executive Director PGA 260638 0 0 0 5132 0 50000 0 27443 0 343213 0 0 0 James F Hinchman Dep Exec OFCR/ Chief OP OFCR 437604 0 0 0 36714 0 50000 0 6998 0 531316 0 0 0 Clyde Behney Executive Director HMD 293311 0 0 0 10522 0 50000 0 5690 0 359523 0 0 0 Neil Pedersen Executive Director TRB 248539 0 0 0 5033 0 45922 0 2587 0 302081 0 0 0 Y Leonard Kim Chief Information Officer 290794 0 9100 0 8250 0 50000 0 39450 0 397594 0 0 0 Robert Ullrich RERF Chief of Research 220839 0 0 0 219966 0 41154 0 11380 0 493339 0 0 0 Kenneth Fulton Executive Director 293961 0 1300 0 18487 0 50000 0 14909 0 378657 0 0 0 MICHAEL MURPHY CHIEF DEVELOPMENT OFFICER 309918 0 0 0 8849 0 36500 0 13542 0 368809 0 0 0 AUDREY MOSLEY GENERAL COUNSEL 294781 0 850 0 11348 0 50000 0 11051 0 368030 0 0 0 HOUSING ALLOWANCE SCHEDULE J, PART I, LINE 1 THE PRESIDENT OF THE NATIONAL ACADEMY OF SCIENCES AND THE NATIONAL ACADEMY OF MEDICINE EACH RECEIVED A SUPPLEMENT TO SALARY FOR THE COST OF RENTAL HOUSING IN THE WASHINGTON, DC AREA FOR PERSONAL USE AND TRAVEL EXPENSES. THE ALLOWANCE IS REPORTED AS TAXABLE INCOME ON FORM W-2. TRAVEL FOR COMPANIONS SCHEDULE J, PART I, LINE 1 NAS PROCEDURES PROVIDE FOR REIMBURSEMENT OF TRAVEL EXPENSES FOR THE SPOUSES OF THE PRESIDENTS OF NAS, NAE, AND NAM SOLELY IN CIRCUMSTANCES IN WHICH THE SPOUSES PRESENCE SERVES A BONA FIDE BUSINESS PURPOSE OF THE NAS AND THE EXPENSES HAVE BEEN PROPERLY SUBSTANTIATED. TRAVEL EXPENSES ARE REVIEWED EACH YEAR THROUGH A SURVEY OF THE EXECUTIVE OFFICES OF THE PRESIDENTS. TAX INDEMNIFICATION AND GROSS-UP PAYMENTS SCHEDULE J, PART I, LINE 1 NAS PROVIDES TAX EQUALIZATION PAYMENTS FOR EMPLOYEES ON INTERNATIONAL ASSIGNMENT IN JAPAN GREATER THAN SIX MONTHS. THE OBJECTIVE OF THE NAS TAX EQUALIZATION GUIDELINES IS TO EQUALIZE THE TAX BURDEN OF EMPLOYEES ASSIGNED TO JAPAN. SCHEDULE J, PART-TIME OFFICERS COMPENSATION FOR THE VICE PRESIDENT, TREASURER, FOREIGN SECRETARY AND HOME SECRETARY, TIME ESTIMATES ARE BASED ON A PERCENTAGE LEVEL OF EFFORT, WHICH RANGES BETWEEN 25% AND 50%. NAS REIMBURSES EACH PART-TIME OFFICER'S HOME INSTITUTION FOR THE APPLICABLE PERCENTAGE OF SALARY PAID BY THE HOME INSTITUTION. NON-FIXED PAYMENTS SCHEDULE J, PART I, LINE 7 KEY EMPLOYEEs OF NAS RECEIVED LUMP-SUM MERIT AWARDs. MERIT AWARDS ARE DETERMINED BY A NUMBER OF VARIABLES INCLUDING BUT NOT LIMITED TO INDIVIDUAL PERFORMANCE AS WELL AS ORGANIZATION OPERATIONAL ACHIEVEMENTS. MERIT AWARDS PAYMENTS ARE REPORTED IN PART II, COLUMN B(II). A DISTRICT OF COLUMBIA 536001131 2012-12-03 66325000 REFUND SERIES 2008A BONDS false false false B DISTRICT OF COLUMBIA 536001131 2012-12-03 52120000 REFUND SERIES 2009A BONDS false false false C DISTRICT OF COLUMBIA 536001131 2548398N6 2010-05-20 60876507 RESTORE CONSTITUTION AVE FACILITY false false false D DISTRICT OF COLUMBIA 536001131 2017-12-21 52760000 PARTIAL REFUND SERIES 2010A BONDS false false false A 0 0 66325000 0 0 0 0 0 0 0 0 0 2002 true false true true B 0 0 52120000 0 0 0 0 0 0 0 0 0 2002 true false true true C 0 49125000 60876507 0 5285950 0 0 0 0 50408099 10468408 0 2012 false false true true D 0 0 52760000 0 0 52756156 0 0 0 0 844 0 2017 false true true true A 0 true B 0 true C false false true true true true 0.00400 0.00009 0.00391 false false false true D 0 true A false true true false 0 false 0 false true B false true true false 0 false 0 false true C false true false false 0 false 0 false true D false true false false 0 false 0 false true A true B true C true D true SCHEDULE K, PART III, LINE 3A, COLUMN C NAS HAS ENTERED INTO A MANAGEMENT OR SERVICE CONTRACT, WHICH NAS BELIEVES SATISFIES THE SAFE HARBOR STANDARDS UNDER REV. PROC. 97-13. SCHEDULE K, PART III, LINE 3C, COLUMN C THE NAS HAS ENTERED INTO RESEARCH AGREEMENTS, WHICH NAS BELIEVES SATISFIES THE SAFE HARBOR STANDARDS UNDER REV. PROC. 2007-47. SCHEDULE K, PART IV, LINE 2b, COLUMN A THE REBATE COMPUTATION WAS PERFORMED ON DECEMBER 3, 2012. SCHEDULE K, PART IV, LINE 2b, COLUMN B THE REBATE COMPUTATION WAS PERFORMED ON DECEMBER 3, 2012. SCHEDULE K, PART IV, LINE 2a, COLUMN C FOR BOND CUSIP #2548398N6, THE REBATE COMPUTATION WAS PERFORMED ON MAY 1,2016. AN ADDITIONAL REBATE COMPUTATION WAS PERFORMED ON MAY 1, 2017. See Part V X LOANS FROM NAS to INTERESTED PERSONS SCHEDULE L, PART II NAME: C. DAN MOTE, JR. RELATIONSHIP WITH ORGANIZATION: PRESIDENT - NAE PURPOSE OF LOAN: PURCHASE RESIDENCE LOAN TO OR FROM THE ORGANIZATION? FROM ORIGINAL PRINCIPAL AMOUNT: $1,500,000 BALANCE DUE: $1,500,000 IN DEFAULT? NO APPROVED BY BOARD OR COMMITTEE? YES WRITTEN AGREEMENT? YES X 19 930932 Sale Price false true true Use of third parties SCHEDULE M, LINE 32A THE ORGANIZATION UTILIZES A THIRD-PARTY INVESTMENT FIRM TO RECEIVE AND SELL DONATED SECURITIES. MEMBERS OR STOCKHOLDERS FORM 990, PART VI, SECTION A, LINES 6, 7A, AND 7B THE ORGANIZATION IS A PRIVATE MEMBERSHIP ORGANIZATION. THE NAS CONSTITUTION PROVIDES THAT THE ACADEMY SHALL CONSIST OF MEMBERS, MEMBERS EMERITI AND FOREIGN ASSOCIATES. MEMBERS OF NAS ARE ELECTED BY THE MEMBERS IN RECOGNITION OF THEIR DISTINGUISHED AND CONTINUING ACHIEVEMENTS IN ORIGINAL RESEARCH. THE OFFICERS OF THE ACADEMY ARE CHOSEN FROM THE MEMBERSHIP, AND AMENDMENTS TO THE ORGANIZATION'S CONSTITUTION AND BYLAWS, AND ELECTION OF NEW MEMBERS, OFFICERS, AND COUNCIL MEMBERS REQUIRE A VOTE OF THE MEMBERS. THE OFFICERS OF THE ORGANIZATION, TOGETHER WITH TWELVE MEMBERS TO BE ELECTED, SHALL CONSTITUTE THE NATIONAL ACADEMY OF SCIENCES (NAS) COUNCIL FOR THE TRANSACTION OF SUCH BUSINESS AS MAY BE ASSIGNED TO IT BY THE CONSTITUTION, BYLAWS, OR THE MEMBERSHIP. THE NAS COUNCIL HAS GENERAL SUPERVISION OVER THE ELECTION OF THE OFFICERS OF THE ORGANIZATION, AND SHALL SET THE DATE FOR ELECTION AND APPOINTING NOMINATING COMMITTEES. THE NAS COUNCIL MAY DELEGATE ITS AUTHORITY TO APPROPRIATE OFFICIALS OF THE ORGANIZATION EXCEPT WITH RESPECT TO THOSE AUTHORITIES CONCERNING MEMBERSHIP AFFAIRS. FORM 990 REVIEW PROCESS FORM 990, PART VI, SECTION B, LINE 11 THE DRAFT 990 IS PREPARED BY THE OFFICE OF THE CHIEF FINANCIAL OFFICER. IT IS REVIEWED BY THE OFFICE OF GENERAL COUNSEL AND AN EXTERNAL TAX ADVISOR BEFORE BEING REVIEWED BY THE AUDITING COMMITTEE. THE FINAL FORM IS THEN PROVIDED TO THE NAS COUNCIL PRIOR TO FILING. CONFLICT OF INTEREST POLICY MONITORING AND ENFORCEMENT FORM 990, PART VI, SECTION B, LINES 12B AND 12C ANNUALLY, THE GENERAL COUNSEL LEADS A DISCUSSION AT A MEETING OF OFFICERS AND COUNCIL MEMBERS AT WHICH THE CONFLICT OF INTEREST POLICY IS REVIEWED. OFFICERS AND COUNCIL MEMBERS ARE ASKED TO SIGN A STATEMENT THAT THEY WILL ABIDE BY THE ORGANIZATION'S CONFLICT OF INTEREST POLICIES AND PROCEDURES. OFFICERS, COUNCIL MEMBERS, AND KEY EMPLOYEES ARE ASKED TO COMPLETE AN ANNUAL QUESTIONNAIRE REGARDING CERTAIN BUSINESS TRANSACTIONS THAT COULD POTENTIALLY RESULT IN A CONFLICT OF INTEREST. PROCESS OF DETERMINING COMPENSATION FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION DECISIONS FOR ALL DISQUALIFIED PERSONS AS DEFINED IN IRC SECTION 4958 ARE MADE ANNUALLY BY AN EXECUTIVE COMPENSATION COMMITTEE COMPOSED OF INDEPENDENT MEMBERS ON THE BASIS OF EXECUTIVE COMPENSATION COMPATIBILITY DATA, INCLUDING A MARKET COMPENSATION SURVEY CONDUCTED BY THE OFFICE OF HUMAN RESOURCES THAT REVIEWS THE COMPENSATION OF THE HEADS OF THE LEADING UNIVERSITIES AND CHIEF EXECUTIVE OFFICERS OF SIMILAR ORGANIZATIONS. THERE IS A RECORD OF THE EXECUTIVE COMPENSATION COMMITTEE'S DELIBERATIONS AND DECISIONS. COMPENSATION DECISIONS ARE MADE ANNUALLY FOR OTHER KEY AND HIGH PAID EMPLOYEES BY SENIOR STAFF ON THE BASIS OF COMPARIBILITY DATA. FORM 990 REQUIRED TO BE FILED ALONG WITH STATES FORM 990, PART VI, SECTION C, LINE 17 NAS FILES RETURNS IN THE STATES LISTED ON THE 990 PART VI SECTION C LINE 17. IN ADDITION, NAS FILES CHARITABLE SOLICITATION REGISTRATIONS WITH A 990 ATTACHED IN THE FOLLOWING STATES: AL, AK, AZ, AR, CO, CT, DC, FL, GA, HI, KY, ME, MD, MA, MI, MN, MS, NH, NJ, NM, NY, ND, OH, OK, PA, RI, TN, UT, VA, WA, WV, WI. HOW DOCUMENTS ARE MADE AVAILABLE TO THE PUBLIC FORM 990, PART VI, SECTION C, LINE 19 NAS MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. THE GOVERNING DOCUMENTS AND ANNUAL FINANCIAL STATEMENTS ARE ALSO AVAILABLE ON THE ORGANIZATION'S WEBSITE. OTHER CHANGES IN NET ASSETS OR FUND BALANCES FORM 990, PART XI, LINE 9 AMOUNT CONSISTS OF: UNREALIZED GAIN ON DERIVATIVES $1,284,360 UNREALIZED GAIN ON CHARITABLE GIFT ANNUITIES $177,814 LOSS ON ADVANCED BOND REFUNDING ($3,833,229) ---------- ($2,371,055) NAS Title Holding LLC 5635 Bent Branch Road Bethesda MD 20816 530196932 Title Holding MD 0 87368229 NAS The National Academies Corporation 100 ACADEMY Irvine CA 92617 942994279 Sci. Meetings CA 501(c)(3) 12a NAS true NAS Retiree Welfare Benefit Plan Trust 2101 CONSTITUTION AVENUE NW WASHINGTON DC 20418 526976965 Emp. Benefits DC 501(c)(3) 12a NAS true National Academy of Engineering Fund 2101 CONSTITUTION AVENUE NW WASHINGTON DC 20418 237284092 Sci. support DC 501(c)(3) 07 NA false false false true false false false false false false false false true false true true false true true false The National Academies Corporation C 415000 Cash The National Academies Corporation Q 205199 Cash Retiree Welfare Benefit Plan Trust R 2940937 Cash Retiree Welfare Benefit Plan Trust Q 885693 cash