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THE ORGANIZATION IS ANNUALLY REQUIRED TO FILE A RETURN OF ORGANIZATION EXEMPT FROM INCOME TAX (FORM 990) WITH THE IRS. IN ADDITION, BATTELLE ECOLOGY, INC. IS SUBJECT TO INCOME TAX ON NET INCOME THAT IS DERIVED FROM BUSINESS ACTIVITIES THAT ARE UNRELATED TO ITS EXEMPT PURPOSE. THE ORGANIZATION HAS DETERMINED IT IS NOT SUBJECT TO UNRELATED BUSINESS INCOME TAX AND HAS NOT FILED AN EXEMPT ORGANIZATION BUSINESS INCOME TAX RETURN (FORM 990-T) WITH THE IRS. BATTELLE ECOLOGY, INC. BELIEVES THAT IT HAS APPROPRIATE SUPPORT FOR ANY TAX POSITIONS TAKEN AFFECTING ITS ANNUAL FILING REQUIREMENTS, AND AS SUCH, DOES NOT HAVE ANY UNCERTAIN TAX POSITIONS THAT ARE MATERIAL TO THE FINANCIAL STATEMENTS. THE ORGANIZATION WOULD RECOGNIZE FUTURE ACCRUED INTEREST AND PENALTIES RELATED TO UNRECOGNIZED TAX BENEFITS AND LIABILITIES IN INCOME TAX EXPENSE IF SUCH INTEREST AND PENALTIES ARE INCURRED. X X X 0 0 0 0 0 0 0 0 0 CHARLENE LAUS CFO (THRU 11/15) 198357 0 0 0 431 0 12304 0 22423 0 233515 0 0 0 JAVIER MARTI-CANALES DEPUTY PROJECT MGR. (THRU 7/16) 177751 0 0 0 668 0 10975 0 20871 0 210265 0 0 0 VLADIMIR ALEKSIEV CHIEF INFORMATION OFFICER & VP 203945 0 0 0 149 0 7062 0 18320 0 229476 0 0 0 BRIAN WEE CHIEF OF STR. ALLIANCES (THRU 4/16) 186240 0 0 0 243 0 11231 0 6450 0 204164 0 0 0 WENDY GRAM CHIEF OF EDU. & PUB. ENGMT. (THRU 8/ 243000 0 0 0 356 0 14990 0 25349 0 283695 0 0 0 KIRSTEN RUIZ DEPUTY OBSERVATORY DIR. (THRU 6/16) 186155 0 0 0 167 0 11464 0 15814 0 213600 0 0 0 FORM 990, PART VI, SECTION A, LINE 4 DURING FISCAL YEAR ENDED SEPTEMBER 30, 2016, THE EXISTING BOARD OF DIRECTORS OF NATIONAL ECOLOGICAL OBSERVATORY NETWORK, INC. DETERMINED THAT IN ORDER TO ACCOMPLISH ITS SCIENTIFIC AND EDUCATIONAL MISSION, IT WAS IN THE BEST INTEREST OF THE ORGANIZATION TO TRANSITION CONTROL OF THE ORGANIZATION TO A NEW BOARD OF DIRECTORS. ON APRIL 8, 2016, THE EXISTING NATIONAL ECOLOGICAL OBSERVATORY NETWORK, INC. BOARD OF DIRECTORS ADOPTED RESOLUTIONS TO THEIR GOVERNING DOCUMENTS, EFFECTIVELY TRANSITIONING CONTROL OF THE ORGANIZATION. THE ADOPTED RESOLUTIONS INITIALLY INCREASED THE SIZE OF THE BOARD TO FOURTEEN MEMBERS AND ELECTED THREE BATTELLE MEMORIAL INSTITUTE, A NON-PROFIT ORGANIZATION, DIRECTORS TO FILL THE VACANCIES. THE BOARD WAS THEN REDUCED TO THREE MEMBERS (EFFECTIVE AFTER ALL NON-BATTELLE MEMORIAL INSTITUTE MEMBERS RESIGNED). THE NEW BOARD ELECTED BATTELLE MEMORIAL INSTITUTE AS THE SOLE MEMBER OF THE ORGANIZATION AND REMOVED ALL OTHER MEMBERS OF THE ORGANIZATION. RESTATED AND AMENDED BYLAWS WERE ADOPTED ON APRIL 8, 2016 BY THE BOARD AND THE SOLE MEMBER TO REFLECT THE SIGNIFICANT CHANGES TO THE ORGANIZATION'S GOVERNING DOCUMENTS. FORM 990, PART VI, SECTION A, LINE 6 FOR THE PERIOD OCTOBER 1, 2015 THROUGH APRIL 7, 2016, NATIONAL ECOLOGICAL OBSERVATORY NETWORK, INC. HAD INSTITUTIONAL VOTING MEMBERS, WHICH CONSISTED OF ANY SCIENTIFIC, EDUCATIONAL, AND/OR RESEARCH INSTITUTION THAT IS INTERESTED IN PROMOTING THE PURPOSES AND ACTIVITIES OF NATIONAL ECOLOGICAL OBSERVATORY NETWORK, INC., THAT WAS ELECTED BY THE BOARD, AND THAT PAID THE INITIATION FEES, MEMBERSHIP DUES, AND SPECIAL ASSESSMENTS. UPON ADOPTION OF THE GOVERNANCE REORGANIZATION PLAN, EFFECTIVE APRIL 8, 2016, BATTELLE MEMORIAL INSTITUTE, A RELATED NON-PROFIT ORGANIZATION, IS THE SOLE MEMBER OF NATIONAL ECOLOGICAL OBSERVATORY NETWORK, INC. ALL OTHER MEMBERS PRIOR TO THIS DATE WERE REMOVED AS MEMBERS OF THE ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 7A BATTELLE MEMORIAL INSTITUTE, THE SOLE MEMBER OF NATIONAL ECOLOGICAL OBSERVATORY NETWORK, INC., HAS THE RIGHT TO ELECT DIRECTORS OF THE ORGANIZATION. FORM 990, PART VI, SECTION A, LINE 8B THE ORGANIZATION DOES NOT HAVE ANY COMMITTEES WITH THE AUTHORITY TO ACT ON BEHALF OF THE GOVERNING BODY. FORM 990, PART VI, SECTION B, LINE 11 AFTER THE FORM 990 IS PREPARED, THE MANAGER OF FINANCE REVIEWS THE RETURN AND SENDS IT FOR APPROVAL BY THE DIRECTOR OF FINANCE AND ADMINISTRATION. ONCE FINALIZED, THE DIRECTOR OF FINANCE AND ADMINISTRATION SIGNS THE RETURN BEFORE FILING. IN ADDITION, A COPY OF THE FORM IS PROVIDED TO THE BOARD OF DIRECTORS AT THE NEXT BOARD MEETING. FORM 990, PART VI, SECTION B, LINE 12C ALL EMPLOYEES AND BOARD OF DIRECTOR MEMBERS ARE COVERED BY THE CONFLICT OF INTEREST POLICY. BOARD MEMBERS ARE REQUIRED TO SIGN A CONFLICT OF INTEREST STATEMENT ANNUALLY. ALL EMPLOYEES ARE REQUIRED TO SIGN A CONFLICT OF INTEREST STATEMENT UPON INITIAL HIRE AND THEN ON AN ANNUAL BASIS. ANY CONFLICTS OF INTEREST DISCOVERED OR REPORTED ARE ESCALATED TO NATIONAL ECOLOGICAL OBSERVATORY NETWORK, INC.'S CEO AND MAY RESULT IN TERMINATION OR RECUSAL OF CERTAIN INDIVIDUALS, AS APPROPRIATE. FAILURE TO ADEQUATELY REPORT ANY CONFLICT OF INTEREST MAY ALSO RESULT IN DISCIPLINARY ACTION UP TO AND INCLUDING TERMINATION. FOR THE CURRENT TAX YEAR NO CONFLICT OF INTEREST SITUATIONS HAVE BEEN REPORTED OR DISCOVERED. FORM 990, PART VI, SECTION B, LINE 15 THE MOST RELEVANT OUTSIDE COMPENSATION DATA AVAILABLE (DEFINED BY THE INDUSTRIES AND REGIONS IN WHICH WE COMPETE FOR QUALIFIED APPLICANTS, INCLUDING DATA FROM SIMILARLY SITUATED ORGANIZATIONS) TO GUIDE COMPENSATION STRATEGIES, SALARY RANGES AND TO GUIDE INDIVIDUAL SALARY OFFERS. SUCH MARKET COMPENSATION DATA WAS UTILIZED TO FORM THE COMPENSATION ARRANGEMENTS FOR TOP OFFICERS PRIOR TO EXTENDING OFFERS OF EMPLOYMENT. MARKET COMPENSATION DATA IS REVIEWED ANNUALLY TO ASSURE THAT COMPENSATION LEVELS ARE APPROPRIATE. CONTEMPORANEOUS MARKET COMPENSATION DATA IS RETAINED FOR THE KEY OFFICER POSITIONS (CEO AND CFO) ON AN ANNUAL BASIS. 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COMPENSATION FOR THESE INDIVIDUALS FOR THE CALENDAR YEAR 2015 REPORTING PERIOD, WAS EARNED PRIOR TO TRANSITION OF MANAGEMENT ON APRIL 8, 2016. THEREFORE, NO CALENDAR YEAR 2015 COMPENSATION IS REPORTED FOR THESE INDIVIDUALS ON FORM 990, PART VII. BATTELLE MEMORIAL INSTITUTE 505 KING AVE COLUMBUS OH 43201 314379427 UTILIZATION OF SCIENCE AND RESEARCH FOR THE BENEFIT AND EDUCATION OF MANKIND OH 501(C)(3) LINE 7 N/A 0 0 0 1 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0