2014-08-13T10:47:52-05:00 2013-12-31 521855942 TATE AND TRYON 2021 L STREET NW SUITE 400 WASHINGTON DC 20036 990 2013-01-01 520955532 AMERICAN GEOPHYSICAL UNION AMER 2024626900 2000 FLORIDA AVE NW WASHINGTON DC 20009 CHRISTINE W MCENTEE CEO 2024626900 2014-08-13 1 DEBORAH G KOSNETT P00290720 2022932200 2013 2015-11-30 17:44:51Z CHRISTINE W MCENTEE 2000 FLORIDA AVE NW WASHINGTON DC 20009 38511061 0 X HTTP://SITES.AGU.ORG/ X 1972 DC AGU SEEKS TO PROMOTE DISCOVERY IN EARTH AND SPACE SCIENCE FOR THE BENEFIT OF HUMANITY. 15 15 190 21000 1272878 0 3520077 4093488 32177174 14265530 2653676 2183550 11625125 14617389 49976052 35159957 2329868 2061656 0 0 18348778 12678020 0 0 1350519 19941954 16037573 40620600 30777249 9355452 4382708 96291197 105216621 20107735 16915929 76183462 88300692 X THE PURPOSE OF THE AMERICAN GEOPHYSICAL UNION (AGU) IS TO PROMOTE DISCOVERY IN EARTH AND SPACE SCIENCE FOR THE BENEFIT OF HUMANITY. AGU GALVANIZES A COMMUNITY OF EARTH AND SPACE SCIENTISTS THAT COLLABORATIVELY ADVANCES AND COMMUNICATES SCIENCE AND ITS POWER TO ENSURE A SUSTAINABLE FUTURE. 0 0 6644764 0 2852722 PUBLICATIONS - AGU PUBLISHES 18 JOURNALS PRESENTING PEER-REVIEWED RESEARCH PAPERS AS WELL AS NUMEROUS BOOKS, AND CO-PUBLISHES TWO OTHER JOURNALS WITH OTHER SOCIETIES. THESE PUBLICATIONS COVER THE EARTH SCIENCES, PLANETARY SCIENCES, SOLAR-TERRESTRIAL AND SPACE PHYSICS, AND THE ENVIRONMENTAL SCIENCES. COVERAGES OF THE PAPERS HELPS MAKE THESE SCIENTIFIC STUDIES AVAILABLE TO THE PUBLIC AND MANY OF THE PAPERS ARE USED IN IMPORTANT ASSESSMENTS SUCH AS THE IPCC. ALL AGU JOURNALS AND SOME BOOKS ARE DISTRIBUTED ELECTRONICALLY VIA THE INTERNET; MOST STILL HAVE A MINOR PRINT COMPONENT. ONE OR MORE OF THE PUBLICATIONS REACH EACH OF AGU'S MORE THAN 61,000 MEMBERS. AGU PUBLICATIONS REACH MANY SCIENTISTS AND STUDENTS BEYOND THE AGU MEMBERSHIP, AS WELL AS OTHER MEMBERS OF THE PUBLIC, THROUGH MORE THAN 1,500 LIBRARIES. PUBLICATIONS ARE AVAILABLE IN OVER 135 COUNTRIES. AGU PUBLISHES MORE THAN 55,000 PAGE EQUIVALENTS ANNUALLY. 7917871 36063 11294334 MEETINGS - AGU HAS A DIVERSE MEETING PORTFOLIO THAT OFFERS MEETINGS OF VARIOUS SIZES. MOST MEETING PARTICIPANTS PRESENT A TALK ON THEIR LATEST SCIENTIFIC FINDINGS CONTRIBUTING TO ADVANCING EARTH AND SPACE SCIENCE. INDIVIDUALS MUST PAY A REGISTRATION FEE TO PARTICIPATE THOUGH THE ABSTRACT SUBMISSIONS COVERING THEIR PRESENTATIONS ARE PUBLISHED AS PART OF THE SCIENTIFIC PROGRAM FOR EACH MEETING AND AVAILABLE VIA AGU'S WEBSITE. AGU FALL MEETING IS RECOGNIZED AS THE LEADING MEETING IN THE EARTH AND SPACE SCIENCES COMMUNITY WITH PROGRAMMING FOCUSED ON INTER- AND MULTIPLE DISCIPLINARY SCIENCES AND POLICY AND SOCIETAL ISSUES. IT IS THE LARGEST MEETING IN THIS FIELD ATTRACTING MORE THAN 22,000 PARTICIPANTS AT THE DECEMBER 2013 MEETING. THE MEETING GENERATES HUNDREDS OF PRESS AND MEDIA STORIES ABOUT EARTH AND SCIENCE SCIENCES IN PROMINENT SOURCES THROUGH DISTRIBUTION ON THE TELEVISION, NEWS PRINT AND THROUGH OTHER ELECTRONIC OUTLETSTHE MEETINGS OF THE AMERICAS PROVIDES COLLABORATIVE OPPORTUNITIES BETWEEN AGU AND SCIENTIFIC SOCIETIES AND SCIENTISTS IN NORTH, SOUTH, AND CENTRAL AMERICAS. THE 2013 MEETING PROVIDED A MULTI-DISCIPLINARY PROGRAM THAT CUT ACROSS THE BROAD AGU DISCIPLINES AND WAS HELD IN MEXICO IN MAY 2013 WHICH DREW ABOUT 1,380 PARTICIPANTS FROM APPROXIMATELY 42 COUNTRIES.CHAPMAN CONFERENCES ARE TOPICAL CONFERENCES THAT FOCUS ON CURRENT AND EMERGING SCIENCE ISSUES. SEVEN CONFERENCES WERE HELD IN 2013 WITH ATTENDANCE RANGING BETWEEN 65-110 PARTICIPANTS. 7611109 148942 STRATEGIC COMMUNICATIONS AND OUTREACH - COMMUNICATIONS AND OUTREACH PROGRAMS PROVIDE INFORMATION ABOUT EARTH AND SPACE SCIENCE TO THE PUBLIC AT ALL LEVELS. KEY ACITIVITIES INCLUDE IMPROVING THE QUALITY OF SCIENCE TEACHING AT K-12 LEVELS AND BEYOND; INCREASING THE NUMBER AND DIVERSITY OF EARTH AND SPACE SCIENTISTS; DELIVERING USEFUL SCIENTIFIC INFORMATION IN MULTIPLE FORMATS, INCLUDING A WEEKLY NEWSPAPER, TO DECISION MAKERS WORLDWIDE. OF PARTICULAR IMPORTANCE IS THE COMMUNICATION OF SCIENTIFIC INFORMATION AS IT RELATES TO SOCIETAL WELL-BEING; AND IMPROVING THE PUBLIC UNDERSTANDING OF EARTH AND ITS SPACE ENVIRONMENT. KEY TO THIS END IS EDUCATING THE PUBLIC, GOVERNMENT AGENCIES, AND THE MEDIA ON THE IMPORTANCE OF GEOPHYSICAL ISSUES AND ENHANCING THE AMOUNT AND QUALITY OF MEDIA COVERAGE. RESEARCH SUPPORT ACTIVITIES PROVIDE ADMINISTRATIVE SUPPORT AND LEADERSHIP FOR A VARIETY OF ONGOING PROGRAMS THAT HELP ADVANCE THE UNDERSTANDING OF EARTH. 1990546 318517 118474 1. SCIENCE - THE AGU SCIENCE DEPARTMENT IS RESPONSIBLE FOR HELPING TO SHAPE AGU'S SCIENTIFIC ACTIVITIES BY (A) SERVING AS THE PRIMARY INTERFACE FOR LEADING AND SUPPORTING MEMBER AFFILIATION THROUGH TECHNICAL DISCIPLINES (AGU SECTION AND FOCUS GROUPS); (B) STRENGTHENING AND PROMOTING SCIENTIFIC CAREER PATHS AND BROADER TALENT INITIATIVES FOR AGU STUDENT MEMBERS AND EARLY-CAREER SCIENTIST (AGU STUDENT SERVICES AND STUDENT CENTER); (C) LEADING THE DEVELOPMENT AND IMPLEMENTATION OF SPECIFIC SCIENCE-RELATED AGU PROGRAMS AND INITIATIVES (SCIENTIFIC INTEGRITY AND PROFESSIONAL ETHICS, AGU THRIVING EARTH EXCHANGE, EMERGING SCIENCE TRENDS); (D) LEADING AGU'S SCIENCE EDUCATION AND OUTREACH-RELATED INITIATIVES FOR BROADER MEMBER AND PUBLIC ENGAGEMENT; (E) MANAGING THE AGU HONORS AND RECOGNITION PROGRAMS FOR AGU SCIENTISTS; (F) MANAGING THE DEVELOPMENT AND IMPLEMENTATION OF MOU'S AND OTHER SCIENTIFIC SOCIETY COLLABORATIONS AS A STRONGER VOICE FOR SCIENCE; AND (G) FACILITATING THE WORKING AGU COMMITTEES, AGU MEMBERS, INTERNAL STAFF, AND EXTERNAL PARTNERS IN FULFILLING THE OBJECTIVES OF THE AGU STRATEGIC PLAN. 2790759 1558133 2. SOCIETY ACTIVITIES, START INTERNATIONAL ACTIVITIES AND MEMBERSHIP SERVICES. 4781305 1876650 118474 26955049 1 1 0 1 0 0 0 0 0 0 1 1 0 0 1 1 1 0 0 0 1 0 1 0 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 90 0 1 190 1 1 1 1 CA UK 0 0 0 0 0 0 0 0 X 15 15 0 0 1 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X MARK E HERNICK 2024626900 2000 FLORIDA AVE NW WASHINGTON DC 20009 CAROL FINN PRESIDENT 8.00 X X 0 0 0 MARGARET LEINEN PRESIDENT-ELECT 5.00 X X 0 0 0 MICHAEL J MCPHADEN PAST PRESIDENT 5.00 X X 0 0 0 LISA TAUXE GENERAL SECRETARY (TREASURER) 5.00 X X 0 0 0 SUSAN WEBB INTERNATIONAL SECRETARY 5.00 X X 0 0 0 JOHN BATES DIRECTOR 5.00 X 0 0 0 RAFAEL BRAS DIRECTOR 5.00 X 0 0 0 MARY ANNE CAROLL DIRECTOR 5.00 X 0 0 0 CATHERINE CONSTABLE DIRECTOR 5.00 X 0 0 0 RANA FINE DIRECTOR 5.00 X 0 0 0 SUSAN JOY HASSOL DIRECTOR 5.00 X 0 0 0 SETH KAHAN DIRECTOR 5.00 X 0 0 0 CHRISTY TILL DIRECTOR 5.00 X 0 0 0 MARY A VOYTEK DIRECTOR 5.00 X 0 0 0 KENNETH WASHINGTON DIRECTOR 5.00 X 0 0 0 CHRISTINE W MCENTEE EXECUTIVE DIRECTOR & CEO 37.50 X 466617 0 108518 FRANK KRAUSE CHIEF OPERATING OFFICER 37.50 X 312015 0 50283 MARK HERNICK CHIEF FINANCIAL OFFICER 37.50 X 216336 0 32956 BRENDA WEAVER DIR, MEETINGS 37.50 X 173327 0 26617 BROOKS HANSON DIR, PUBLICATIONS 37.50 X 162066 0 32610 KERRY MICKELSON DIR, INFO SVCS/TECH 37.50 X 185737 0 36646 MICHAEL HOAGLAND DIR, HUMAN RESOURCES 37.50 X 181486 0 35243 HARRY FURUKAWA DIR, PRODUCT DVLPMT 37.50 X 159611 0 24062 BILLY WILLIAMS DIR, SCIENCE 37.50 X 167033 0 37405 JILL TREBY ASST DIR, MEMBRSHP/MRKTG 37.50 X 124187 0 19221 CAMALA KOVALICK PROJECT MANAGER 37.50 X 124851 0 16168 2273266 0 419729 22 0 1 0 PROJECTION INC 8351 BRISTOL COURT SUITE 111 JESSUP MD 20794 AV SERVICES 870410 PONGOS INTERACTIVE 9332 LIMESTONE PLACE COLLEGE PARK MD 20740 INFO SYSTEMS CONSULTING 838935 CADMUS PSG PO BOX 751898 CHARLOTTE NC 28275 PUBLISHING SERVICES 507970 SCHOLARONE 375 GREENBRIER DRIVE CHARLOTTESVILLE VA 22901 INFO SYSTEMS CONSULTING 257392 PRECISION COMPUTER WORKS 5508 GREENTREE ROAD BETHESDA MD 20817 INFO SYSTEMS CONSULTING 238457 16 2049287 2044201 4093488 MEETINGS 900099 11294334 10913203 381131 PUBLICATIONS 900099 2852722 1960975 891747 SOCIETY ACTIVITIES 900099 118474 118474 14265530 1192571 1192571 13854692 13854692 734131 0 734131 734131 734131 4322478 3200 3315454 19245 1007024 -16045 990979 990979 44971 16405 28566 28566 35159957 12992652 1272878 16800939 X 1565483 1565483 474241 474241 21932 21932 1803727 979865 777030 46832 8775158 4600003 3962119 213036 501479 319825 165208 16446 829209 545872 250125 33212 768447 459062 287372 22013 72083 72083 29955 8720 21235 119850 119850 120000 120000 358430 358430 2443417 1302395 1131452 9570 1354855 392804 946968 15083 885680 203128 676252 6300 5981 5698 283 809823 809823 1239178 665073 290435 283670 4513539 4138642 186060 188837 204011 204011 1486446 159451 1326995 106067 12527 93540 HONORARIA/CONTRIBUTIONS 696942 667485 5857 23600 PRODUCTION/PUBLICATIONS 498741 496240 1735 766 OTHER EXPENSES 466563 170647 226603 69313 ABSTRACT MANAGEMENT 279339 279339 0 0 346673 9366617 -9441785 421841 30777249 26955049 2471681 1350519 600 419 18919676 5241703 738374 111844 1357886 3516462 82500 299388 177423 22660353 13373361 9562897 9286992 31320760 42803221 32937775 42898381 1071341 1180176 96291197 105216621 8186194 6018825 1085448 1083428 5825000 5405000 5011093 4408676 20107735 16915929 X 66748689 77923933 9434773 10376759 76183462 88300692 96291197 105216621 X 4382708 7120722 613800 X 0 1 X 1 1 1 X 4315262 1452520 2731674 3520077 4093488 16113021 30677636 32022505 29802674 31549011 12992652 137044478 34992898 33475025 32534348 35069088 17086140 153157499 26560 2890 14582 20678 3890 68600 0 26560 2890 14582 20678 3890 68600 153088899 2214922 1116672 2850163 13163737 15781394 35126888 2214922 1116672 2850163 13163737 15781394 35126888 358225 94263 452488 37566045 34685960 35384511 48232825 32867534 188736875 0.81110 0.87180 0.18610 0.12570 X SCHEDULE A, PART II, LINE 12, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2009 AMOUNT: $ 358,225. 2010 AMOUNT: $ 94,263. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 120000 120000 29514046 29634046 1000000 250000 0 0 1000000 1000000 1000000 3000000 4500000 60375 12000 120000 192375 250000 250000 250000 750000 1125000 1705021 1705021 12009955 6967817 5042138 7395854 6098871 1296983 1549523 306673 1242850 9286992 TRUST INVESTMENTS 42898381 F 42898381 SECURITY DEPOSITS 30667 INTEREST RATE COLLAR AGREEMENTS 606810 ACCRUED POSTRETIREMENT BENEFITS 3731603 PREPAID RENT 39596 4408676 X 42910524 7120722 613800 7734522 35176002 -16045 -16045 35159957 30793294 16045 16045 30777249 0 30777249 PART X, LINE 2: MANAGEMENT DOES NOT BELIEVE ITS FINANCIAL STATEMENTS INCLUDE ANY UNCERTAIN TAX POSITIONS. TAX RETURNS FILED DURING THE PAST THREE YEARS ARE SUBJECT TO EXAMINATION BY TAXING AUTHORITIES; THERE ARE CURRENTLY NO EXAMINATIONS BEING CONDUCTED. PART XI, LINE 2D - OTHER ADJUSTMENTS: NET GAIN ON INTEREST RATE COLLAR 331,990. CHANGE IN POST-RETIREMENT BENEFITS 281,810. PART XI, LINE 4B - OTHER ADJUSTMENTS: LOSS ON SALE OF FIXED ASSETS -16,045. PART XII, LINE 2D - OTHER ADJUSTMENTS: LOSS ON SALE OF FIXED ASSETS 16,045. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES REIMBURSEMENTS 104682 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES, GRANTMAKING HONORARIA, REIMBURSEMENTS 52397 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES, GRANTMAKING HONORARIA, REIMBURSEMENTS 412497 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES, GRANTMAKING HONORARIA, REIMBURSEMENTS 46743 SOUTH ASIA 0 0 GRANTMAKING 2435 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 343 NORTH AMERICA 0 0 PROGRAM SERVICES HONORARIA, REIMBURSEMENTS 238353 0 0 0 0 0 0 857450 0 857450 CHAPMAN TRAVEL GRANT EAST ASIA AND THE PACIFIC 2 2213 WIRE TRANSFER 0 FALL MEETING GRANT EUROPE (INCLUDING ICELAND & GREENLAND) 1 10000 WIRE TRANSFER 0 MEET OF THE AMERICAS GRANT EUROPE (INCLUDING ICELAND & GREENLAND) 2 753 WIRE TRANSFER 0 COMM CLIMATE SCIENCE GRANT EUROPE (INCLUDING ICELAND & GREENLAND) 2 3578 WIRE TRANSFER 0 CHAPMAN TRAVEL GRANTS EUROPE (INCLUDING ICELAND & GREENLAND) 2 1899 WIRE TRANSFER 0 FALL MEETING GRANT MIDDLE EAST AND NORTH AFRICA 2 710 WIRE TRANSFER 0 MEET OF THE AMERICAS GRANT SOUTH ASIA 3 2273 WIRE TRANSFER 0 SCIENCE POLICY GRANT SOUTH ASIA 1 163 WIRE TRANSFER 0 MEET OF THE AMERICAS GRANT SUB-SAHARAN AFRICA 1 343 WIRE TRANSFER 0 1 0 0 0 0 1 PART I, LINE 2: PRIOR TO MAKING AN AWARD TO A FOREIGN NATIONAL, AGU AND START CHECKS THE EXCLUDED PARTIES LIST SYSTEM (HTTPS://WWW.EPLS.GOV/) TO ENSURE THAT THE RECIPIENT IS ALLOWED TO RECEIVE THESE FUNDS. 1 START INTERNATIONAL 2000 FLORIDA AVE NW 2ND FLOOR WASHINGTON DC 20009 271363108 501(C)(3) 1558133 0 SUBGRANT FOR FEDERAL AWARDS AMERICAN ASSOCIATION FOR THE ADVANCEMENT OF SCIENCE 1200 NEW YORK AVE NW WASHINGTON DC 20005 530196568 501(C)(3) 7350 0 CONGRESSIONAL FELLOWS AND PLACEMENT RESOURCES 2 0 CONGRESSIONAL SCIENCE FELLOW 5 141592 2013 STUDENT TRAVEL GRANT 27 57599 CHAPMAN TRAVEL GRANT 30 36041 FALL MEETING STUDENT TRAVEL GRANT 261 199832 MOA STUDENT TRAVEL GRANT 28 39177 PART I, LINE 2: THE EXPENSES INCLUDED IN THE BUDGETS ARE REVIEWED PRIOR TO MAKING AN OFFER OF AN AWARD AND THE PRESENTATION OF A CONTRACT. POTENTIAL AWARDEES ARE ASKED TO REVISE THEIR BUDGETS, WHERE NECESSARY, AND TO PRESENT AN ANNOTATED BUDGET NARRATIVE EXPLAINING PROPOSED EXPENSES. PRIOR TO TRANSFERRING ANY FUNDS, WE CONFIRM THAT THE RECIPIENT IS NOT LISTED ON EITHER THE TREASURY DEPARTMENT OFFICE OF TERRORISM AND FINANCIAL SANCTIONS LIST OR THE GSA EXCLUDED PARTIES LIST SYSTEM. THE PRINCIPAL INVESTIGATOR AND THE INSTITUTION'S FINANCIAL OFFICER ARE PRESENTED WITH COPIES OF FINANCIAL REGULATIONS, AS WELL AS REFERENCES WITH ADDITIONAL INFORMATION. THE AWARDEES ARE INSTRUCTED THAT UPON SIGNATURE IT IS EXPECTED THAT THEY WILL ABIDE BY ALL STIPULATIONS OF THE CONTRACT AS WELL AS THE ACCOMPANYING INFORMATION, ESPECIALLY IN REGARD TO REPORTING REQUIREMENTS. THE NAME OF THE CONTRACT OFFICER IS INCLUDED IN ALL CORRESPONDENCE AND RECIPIENTS ARE REQUIRED TO REMAIN IN CONTACT WITH THE CONTRACT OFFICER THROUGHOUT THE TIME OF THE GRANT AWARD. AWARDEES ARE ALSO REQUIRED TO REPORT ON CHANGES IN PROPOSED EXPENSES IF THOSE CHANGES EXCEED 20% OF THE FUNDS IN ANY INDIVIDUAL CATEGORY, DETAILED FINANCIAL REPORTS, INCLUDING BACKUP DOCUMENTATION, ARE REQUIRED AT SUITABLE INTERVALS DURING THE PROJECTS. THE GRANT AWARDS ARE MADE IN INSTALLMENTS BASED ON A PRE-DETERMINED PAYMENT SCHEDULE. FINAL PAYMENTS ARE MADE ONLY AFTER REVIEW OF THE FINANCIAL STATEMENTS AND TECHNICAL REPORTS AND ARE BASED ON ACTUAL EXPENSES AND CONFIRMATION THAT THE AWARDEE HAS MET CONTRACT OBLIGATIONS. X 1 1 X X X X X X 0 1 0 0 0 0 0 1 0 CHRISTINE W MCENTEE EXECUTIVE DIRECTOR & CEO 409375 0 41520 0 15722 0 89445 0 19073 0 575135 0 0 0 FRANK KRAUSE CHIEF OPERATING OFFICER 306235 0 5000 0 780 0 31004 0 19279 0 362298 0 0 0 MARK HERNICK CHIEF FINANCIAL OFFICER 215645 0 0 0 691 0 26184 0 6772 0 249292 0 0 0 BRENDA WEAVER DIR, MEETINGS 155030 0 10328 0 7969 0 18822 0 7795 0 199944 0 0 0 BROOKS HANSON DIR, PUBLICATIONS 161324 0 0 0 742 0 18647 0 13963 0 194676 0 0 0 KERRY MICKELSON DIR, INFO SVCS/TECH 184761 0 0 0 976 0 21909 0 14737 0 222383 0 0 0 MICHAEL HOAGLAND DIR, HUMAN RESOURCES 172614 0 600 0 8272 0 20471 0 14772 0 216729 0 0 0 HARRY FURUKAWA DIR, PRODUCT DVLPMT 157433 0 0 0 2178 0 17480 0 6582 0 183673 0 0 0 BILLY WILLIAMS DIR, SCIENCE 164633 0 0 0 2400 0 19681 0 17723 0 204437 0 0 0 PART I, LINE 1A AGU MAY PROVIDE BUSINESS OR FIRST CLASS TRAVEL (ON A CASE-BY-CASE BASIS) FOR THE AGU PRESIDENT WHEN MULTIPLE TRIPS (IN EXCESS OF 6 HOURS) TO ATTEND AGU BUSINESS MEETINGS ARE REQUIRED. ADDITIONALLY, THE CEO'S EMPLOYMENT AGREEMENT ALLOWS FOR BUSINESS OR FIRST CLASS TRAVEL FOR TRIPS IN EXCESS OF 5 HOURS. AGU DOES NOT INCLUDE THE COST OF FIRST CLASS OR BUSINESS TRAVEL AS TAXABLE INCOME TO THE CEO OR PRESIDENT. AGU DOES ALLOW FOR COMPANION TRAVEL FOR THE CEO; HOWEVER, WHEN COSTS ARE NOT REIMBURSED BY THE CEO, THE COSTS ARE TAXABLE INCOME TO THE CEO. PART I, LINE 4B CHRISTINE W. MCENTEE: $58,441, SECTION 457 PLAN PART I, LINE 7 THE EXECUTIVE COMMITTEE, IN ITS SOLE DISCRETION, MAY PAY EXECUTIVE AN ANNUAL PERFORMANCE BONUS OF UP TO TEN PERCENT (10%) OF HER SALARY BASED ON HER ACHIEVING EXPLICIT PERFORMANCE GOALS MANUALLY SET FORTH ANNUALLY BY THE EXECUTIVE AND THE EXECUTIVE COMMITTEE DURING THE REVIEW PERIOD. A DISTRICT OF COLUMBIA 536001131 254839K77 2006-05-10 8095000 REMARKET 09/29/93 BOND ISSUE 0 0 0 A 2270000 8095000 5405000 1 0 0 0 A 0 0 0 0 0 0 1 A 0 0 0 1 0 0 0 0 0 A 1 DATE REBATE COMPUTATION PERFORMED ISSUER NAME: DISTRICT OF COLUMBIA DATE THE REBATE COMPUTATION WAS PERFORMED: 05/18/2011 FORM 990, PART VI, SECTION A, LINE 1 THERE SHALL BE AN EXECUTIVE COMMITTEE COMPOSED OF THE PRESIDENT, PRESIDENT-ELECT, IMMEDIATE PAST PRESIDENT, GENERAL SECRETARY, AND THE INTERNATIONAL SECRETARY. THE EXECUTIVE DIRECTOR SHALL BE A NONVOTING EX-OFFICIO MEMBER. THE EXECUTIVE COMMITTEE SHALL HAVE THE AUTHORITY TO CONDUCT THE AFFAIRS OF THE UNION BETWEEN MEETINGS OF THE BOARD, PROVIDED THAT THE EXECUTIVE COMMITTEE MAY NOT CONTRADICT BOARD POLICY OR DECISIONS. ACTIONS OF THE EXECUTIVE COMMITTEE MUST BE REPORTED TO THE BOARD WITHIN TEN DAYS. THE EXECUTIVE COMMITTEE MAY ALSO MEET BY CONFERENCE CALL OR OTHER ELECTRONIC MEANS PROVIDED THAT ALL PERSONS MAY HEAR AND SPEAK TO ONE ANOTHER AT THE SAME TIME. THE EXECUTIVE COMMITTEE MAY TAKE ACTION BY WRITTEN CONSENT SIGNED BY ALL MEMBERS. FORM 990, PART VI, SECTION A, LINE 4 THE AGU BYLAWS WERE UPDATED AND APPROVED BY THE BOARD ON 12/3/2013. A SUMMARY OF THE BYLAW CHANGES FOLLOWS: - CHANGE THE NOMENCLATURE FROM GEOPHYSICAL SCIENCE TO EARTH AND SPACE SCIENCE IN AGU'S PURPOSE AND THROUGHOUT THE BYLAWS; - CLARIFY THE RULES OF A QUORUM AND VACANCY ON THE BOARD TO ALIGN WITH DC LAW; - CLARIFY THE TERMS AND RESPONSIBILITIES FOR THE OFFICERS, COUNCIL, BOARD OF DIRECTORS, AND SECTIONS AND FOCUS GROUPS; - INCREASE THE COUNCIL LEADERSHIP BY THREE POSITIONS; - CHANGE THE NAME AND SCOPE OF THE NOMINATING COMMITTEE TO BE THE GOVERNANCE COMMITTEE; - REMOVE THE BOARD COMMITTEE SECTION SINCE AGU HAS NO BOARD COMMITTEES BY DC DEFINITION; - AUDIT COMMITTEE REQUIREMENT WAS MOVED TO THE STANDING COMMITTEE SECTION; AND - CLARIFY THAT COUNCIL DOES NOT HAVE FIDUCIARY RESPONSIBILITY FOR THE UNION AND THEREFORE DO NOT REQUIREMENT INDEMNIFICATION. FORM 990, PART VI, SECTION A, LINE 6 THERE SHALL BE THE FOLLOWING MEMBERSHIP CATEGORIES: A. MEMBER - INDIVIDUALS WHO ARE PROFESSIONALLY ENGAGED IN OR ASSOCIATED WITH EARTH AND SPACE SCIENCE ARE ELIGIBLE TO BECOME MEMBERS OF THE UNION. MEMBERS SHALL BE ENTITLED TO ALL RIGHTS AND PRIVILEGES OF MEMBERSHIP, INCLUDING THE RIGHT TO RECEIVE PUBLICATIONS AND OTHER MATERIALS, SUBSCRIBE TO UNION JOURNALS, PURCHASE UNION PUBLICATIONS AT MEMBER RATES AS ESTABLISHED BY THE BOARD OF DIRECTORS, SERVE AS ELECTED OFFICERS OF THE UNION, SECTIONS AND FOCUS GROUPS, AND VOTE ON MATTERS BROUGHT BEFORE THE MEMBERSHIP; B. FELLOW - A MEMBER WHO HAS ATTAINED ACKNOWLEDGED EMINENCE IN EARTH AND SPACE SCIENCE, AND WHO HAS BEEN ELECTED BY A COMMITTEE OF FELLOWS APPOINTED BY THE PRESIDENT SHALL BE INDUCTED AS A FELLOW. A MEMBER OF THE UNION WHO IS A RECIPIENT OF AN AGU MEDAL SHALL AUTOMATICALLY BE MADE A FELLOW. THE NUMBER OF FELLOWS ELECTED IN EACH ANNUAL CLASS SHALL NOT EXCEED 0.1% OF THE TOTAL MEMBERSHIP AT THE END OF THE YEAR PRECEDING INSTALLATION OF THAT CLASS; C. HONORARY FELLOW - A PERSON WHO HAS PROVIDED SERVICES TO THE UNION OR MADE EXCEPTIONAL CONTRIBUTIONS TO THE FIELDS OF EARTH AND SPACE SCIENCE MAY BE ELECTED AN HONORARY FELLOW BY THE COUNCIL; D. ASSOCIATE - AN INDIVIDUAL WHO DESIRES IDENTIFICATION WITH THE UNION AND WISHES TO SUPPORT ITS OBJECTIVES BUT DOES NOT MEET THE QUALIFICATIONS OF MEMBERSHIP MAY BECOME AN ASSOCIATE. ASSOCIATE MEMBERS MAY NOT VOTE OR HOLD OFFICE, BUT SHALL OTHERWISE HAVE ALL OF THE RIGHTS OF MEMBERSHIP; AND E. AFFILIATE - A CORPORATION, ACADEMIC INSTITUTION, OR OTHER ORGANIZATION INTERESTED IN EARTH AND SPACE SCIENCE MAY DESIGNATE A REPRESENTATIVE TO BECOME AN AFFILIATE. THE DESIGNATED REPRESENTATIVE SHALL ENJOY THE PRIVILEGES OF A MEMBER. FORM 990, PART VI, SECTION A, LINE 7A ALL ELIGIBLE MEMBERS MAY VOTE TO ELECT THE UNION OFFICERS (PRESIDENT, INTERNATIONAL SECRETARY AND GENERAL SECRETARY/TREASURER) AND CAN VOTE IN UP TO THREE SECTIONS OF THEIR CHOICE TO ELECT SECTION PRESIDENTS. FORM 990, PART VI, SECTION B, LINE 11 THE EXECUTIVE COMMITTEE OF THE BOARD REVIEWS THE 990 IN DEPTH WITH THE CEO, COO, AND CFO OF AGU. THE ENTIRE BOARD OF DIRECTORS IS GIVEN THE OPPORTUNITY TO REVIEW AND COMMENT ON AN ELECTRONIC COPY OF THE FORM 990 PRIOR TO ITS FILING WITH THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C IF AN OFFICER, DIRECTOR, TRUSTEE OR EMPLOYEE HAS ANY INDICATION THAT HE OR SHE HAS A DIRECT OR INDIRECT CONFLICT OF INTEREST, OR RECEIVES INFORMATION REGARDING A POTENTIAL CONFLICT OF INTEREST OF ANOTHER, THE CEO, COO AND DIRECTOR OF HUMAN RESOURCES MUST BE IMMEDIATELY NOTIFIED. ALL AGU OFFICERS, DIRECTORS, TRUSTEES, COMMITTEE MEMBERS, AND EMPLOYEES ARE REQUIRED TO SIGN AN ANNUAL CONFLICT OF INTEREST STATEMENT. FORM 990, PART VI, SECTION B, LINE 15 15A - CEO COMPENSATION IS ESTABLISHED USING THE METHODS INDICATED ON SCHEDULE J, PART I, LINE 3. COMPENSATION OF THE EXECUTIVE DIRECTOR WAS LAST REVIEWED BY THE EXECUTIVE COMMITTEE OF THE AGU BOARD IN FEBRUARY 2013. 15B - COMPENSATION OF OTHER OFFICERS OR KEY EMPLOYEES IS DETERMINED USING AN INDEPENDENT COMPENSATION CONSULTANT, COMPENSATION SURVEYS, AND FORM 990 COMPARISON DATA. COMPENSATION APPROVAL FOR AGU OFFICERS AND KEY EMPLOYEES IS THE RESPONSIBILITY OF THE CEO. FORM 990, PART VI, SECTION C, LINE 19 AGU'S GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC ONLINE AT WWW.AGU.ORG AND FINANCIAL STATEMENTS ARE AVAILABLE UPON REQUEST. PART IX, LINE 24 THERE IS AN ALLOCATION OF OVERHEAD INCLUDED ON FORM 990, PART IX, LINE 24, COLUMNS (B), (C), AND (D) THAT IS NOT ALLOCABLE TO ANY NATURAL EXPENSE LINE ITEM IN PART IX, BUT RATHER IS ALLOCABLE IN A GENERAL FASHION TO THE ORGANIZATION'S PROGRAM SERVICE ACTIVITIES AS REPORTED IN ITS AUDITED FINANCIAL STATEMENTS. THIS ALLOCATION WAS MADE SO AS TO BETTER ALIGN TOTAL PROGRAM SERVICE EXPENSES WITH THE ORGANIZATION'S AUDITED FINANCIAL STATEMENTS, WHICH FAIRLY REPORT THE ORGANIZATION'S PROGRAM SERVICE EXPENDITURES. FORM 990, PART XI, LINE 9: NET GAIN ON INTEREST RATE COLLAR 331,990. CHANGE IN POST-RETIREMENT BENEFITS 281,810.