2011-11-15T14:42:39-06:00 2010-12-31 JOHNSON LAMBERT & CO LLP 700 SPRING FOREST ROAD STE 115 RALEIGH NC 27609 990 2010-01-01 520955532 AMERICAN GEOPHYSICAL UNION AMER 2024626900 2000 FLORIDA AVE NW WASHINGTON DC 20009 MARK HERNICK 2024626900 2011-11-15 1 9197196400 2010 2016-02-24 21:20:13Z MARK HERNICK 2000 FLORIDA AVE NW WASHINGTON DC 20009 50526447 0 X WWW.AGU.ORG X 1972 DC THE PURPOSE OF THE AMERICAN GEOPHYSICAL UNION IS TO PROMOTE DISCOVERY IN EARTH AND SPACE SCIENCE FOR THE BENEFIT OF HUMANITY. 15 15 229 13000 1145190 0 4315262 1452520 31274834 32776657 770217 3333667 1242667 1050616 37602980 38613460 1803882 729552 0 0 13006909 13801682 0 0 847435 19791193 22294113 34601984 36825347 3000996 1788113 89739734 86530378 27435619 18658879 62304115 67871499 X THE PURPOSE OF THE AMERICAN GEOPHYSICAL UNION 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 1 19383410 23453277 PUBLICATIONS - AGU PUBLISHES HIGHLY RESPECTED, PEER-REVIEWED SCIENTIFIC JOURNALS, A MEMBER NEWSPAPER, AND AWARD-WINNING BOOKS. AGU PUBLICATIONS COVER RESEARCH IN THE EARTH AND SPACE SCIENCES, ON LAND, UNDER THE SEA, AND IN THE AIR, ANIMAL, ROCK, OR MINERAL, FROM THE FOSSILS OF THE PAST TO TODAY'S LATEST DISCOVERIES AND INTO THE FUTURE WITH FORECAST MODELING. AVAILABLE IN MORE THAN 148 COUNTRIES AND NEARLY 2200 INSTITUTIONS, AGU PUBLICATIONS REACH A GLOBAL AUDIENCE. AS THE PREMIER INTERNATIONAL NEWSPAPER OF THE EARTH AND SPACE SCIENCES, EOS SEEKS TO FORGE STRONG INTERDISCIPLINARY TIES AMONG GEOPHYSICISTS AND PLACE THE IMPORTANT CONTRIBUTIONS OF GEOPHYSICS IN THE CONTEXT OF THE SOCIAL AND POLICY-MAKING ARENAS. 6046043 8512990 MEETINGS - AGU HOLDS LARGE AND SMALL MEETINGS THROUGHOUT THE YEAR. MOST REGISTRANTS PRESENT PAPERS ON THEIR LATEST WORK TO THEIR SCIENTIFIC COLLEAGUES, THEREBY ADVANCING EARTH AND SPACE SCIENCE. ABSTRACTS OF THE PRESENTATIONS ARE AVAILABLE WITHOUT CHARGE TO SCIENTISTS, STUDENTS AND THE GENERAL PUBLIC VIA AGU'S WEBSITE. IN ADDITION, HUNDREDS OF STORIES ABOUT EARTH AND SPACE SCIENCE APPEAR IN NEWSPAPERS, ON RADIO AND TELEVISION, AND THROUGH ELECTRONIC NEWS OUTLETS AS A RESULT OF THE EFFORTS OF THE REPORTERS WHO COVER AGU MEETINGS. 1716805 STRATEGIC COMMUNICATIONS AND OUTREACH - COMMUNICATIONS AND OUTREACH PROGRAMS PROVIDE INFORMATION ABOUT EARTH AND SPACE SCIENCE TO THE PUBLIC AT ALL LEVELS. KEY ACTIVITIES 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 TO DECISION MAKERS WORLDWIDE, ESPECIALLY 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. 785556 729552 94263 SOCIETY ACTIVITIES - THE SOCIETY ACTIVITIES PROGRAM ASSURES COORDINATION AMONG VOLUNTEER OPERATING ENTITIES OF AGU. ADMINISTRATIVE AND PROGRAMMATIC SUPPORT IS PROVIDED TO THE 20 DISCIPLINE-ORIENTED SCIENTIFIC SECTIONS AND FOCUS GROUPS AND NUMEROUS COMMITTEES. THE PURPOSE IS TO ASSURE THAT MEMBER VOLUNTEERS FEEL THAT THEIR TIME IS BEING SPENT EFFECTIVELY TO ADVANCE EARTH AND SPACE SCIENCE. THE HONORS PROGRAM AND SOME INTERNATIONAL ACTIVITIES ARE ALSO COORDINATED UNDER THIS PROGRAM. 785556 729552 94263 27931814 1 1 0 1 0 0 0 0 1 1 1 0 0 1 1 0 1 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 1 90 0 1 229 1 1 1 1 CA UK 0 0 0 0 0 0 0 0 X 15 15 0 1 1 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X MARK E HERNICK 2026426900 2000 FLORIDA AVE NW WASHINGTON DC 20009 MICHAEL MCPHADEN 8.00 X X 0 0 0 CAROL FINN 5.00 X X 0 0 0 TIM GROVE 5.00 X X 0 0 0 LISA TAUXE 5.00 X X 0 0 0 FRANCIS ALBAREDE 5.00 X X 0 0 0 JAIME URRUTIA FUCAGAUCH 5.00 X X 0 0 0 ROBERT VAN HOOK 37.50 X X 0 0 0 CHRISTINE MCENTEE 37.50 X X 131566 0 1367 SUNANDA BASU 5.00 X 0 0 0 R STEPHEN J SPARKS 5.00 X 0 0 0 ALAN ROBOCK 5.00 X 0 0 0 BILL SCHLESINGER 5.00 X 0 0 0 JIM DAVIS 5.00 X 0 0 0 CATHY CONSTABLE 5.00 X 0 0 0 JOHN WILSON 5.00 X 0 0 0 JOHN FARRINGTON 5.00 X 0 0 0 BRUCE JAKOSKY 5.00 X 0 0 0 ROB VAN DER HILST 5.00 X 0 0 0 ROBERTY LLOYD MCPHERSON 5.00 X 0 0 0 CINDY EBINGER 5.00 X 0 0 0 ALEX HALLIDAY 5.00 X 0 0 0 ANNE THOMPSON 5.00 X 0 0 0 JENNIFER HARDEN 5.00 X 0 0 0 DAVID SANDWELL 5.00 X 0 0 0 PETER SHEARER 5.00 X 0 0 0 RICHARD BLAKELY 5.00 X 0 0 0 DENNIS LETTENMAIER 5.00 X 0 0 0 PETER SCHLOSSER 5.00 X 0 0 0 LAURIE LESHIN 5.00 X 0 0 0 JAN JOSEF SOJKA 5.00 X 0 0 0 HARRY GREEN 5.00 X 0 0 0 CHRIS MOONEY 5.00 X 0 0 0 FLOYD DESCHAMPS 5.00 X 0 0 0 MARGARET LEINEN 5.00 X 0 0 0 MARY VOYTEK 5.00 X 0 0 0 MARY ANNE CARROLL 5.00 X 0 0 0 NANCY CROOKER 5.00 X 0 0 0 RAFAEL BRAS 5.00 X 0 0 0 ROBERT VAN DER HILST 5.00 X 0 0 0 MARK HERNICK 37.50 X 206111 0 25648 WILLIAM WHITE 37.50 X 183299 0 28994 WILLIAM COOK 37.50 X 218438 0 36945 REBECCA BARNES-HOGG 37.50 X 151469 0 17639 ANN CAIRNS 37.50 X 142464 0 21746 BRENDA WEAVER 37.50 X 141799 0 20927 APRIL ORR 37.50 X 139007 0 17837 CARTER GLASS 37.50 X 136864 0 26091 HASSAN VIRJI 37.50 X 141415 0 20583 AF SPILHAUS JR 37.50 X 614471 0 0 JUDY HOLOVIAK 37.50 X 297132 0 0 2504035 0 217777 17 1 1 0 CADMUS PSG 11410 ISAAC NEWTON SQUARE NORTH S RESTON VA 20190 PUBLICATION 2795129 AMERICAN INSTITUTE OF PHYSICS ONE PHYSICS ELLIPSE COLLEGE PARK MD 20740 PUBLICATION 1348730 SMG FOOD & BEVERAGE LLC 300 EAST OCEAN BOULEVARD LONG BEACH CA 90802 CONFERENCE FOOD & BEVERAGE 1295670 SPI TECHNOLOGIES INC 2807 NORTH PARHAM ROAD SUITE 350 RICHMOND VA 23294 PUBLICATION 1094538 IMS PUBLICATIONS 3330 PACIFIC AVENUE SUITE 500 VIRGINIA BEACH VA 23451 PUBLICATION 1005423 35 905268 220873 326379 1452520 PUBLICATIONS 900099 23453277 22308087 1145190 MEETINGS 900099 9323380 8512990 810390 32776657 1445463 1445463 154046 154046 560914 560914 560914 560914 13595297 11707093 1888204 1888204 1888204 391038 205894 185144 185144 CONFERENCE CENTER INCO 900099 84647 84647 BUILDING PARKING INCOM 900099 56249 56249 MISCELLANEOUS REVENUE 900099 9616 9616 150512 38613460 30915340 1145190 5100410 632394 632394 96158 96158 1000 1000 1913078 1313965 560323 38790 9586389 6080755 3325293 180341 997928 656111 323613 18204 404103 2243713 -1904840 65230 900184 591847 291917 16420 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4014975 2214922 2216672 13085492 2204426 2434497 4014975 2214922 2216672 13085492 20613 11798 358225 94263 484899 33430783 34579395 37565410 37566045 35785960 178927593 0.92420 0.92780 0.07310 0.07220 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 1000000 1000000 1500000 14399 14399 250000 250000 375000 5298327 326379 724064 290115 6058655 4052678 683542 1946159 1384052 5298327 5439915 475450 -1724560 138127 4052678 1.00000 0 0 1705021 1705021 7227420 2996368 4231052 4269463 2898770 1370693 6987585 5579098 1408487 8715253 TRUST INVESTMENTS 24229261 F 24229261 SECURITY DEPOSITS 20721 INTEREST RATE COLLAR AGREEMENT 708161 ACCRUED POSTRETIREMENT BENEFITS 2229396 PREPAID RENT 579 DUE TO START 310168 3269025 38613460 36825347 1788113 4720000 -1090963 150234 3779271 5567384 47502086 4720000 4168626 8888626 38613460 0 38613460 40365495 3540148 3540148 36825347 0 36825347 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: MANAGEMENT DOES NOT BELIEVE ITS FINANCIAL STATEMENTS INCLUDE ANY UNCERTAIN TAX POSITIONS. PART XI, LINE 8 - OTHER ADJUSTMENTS: START NET ASSETS 150,234. PART XII, LINE 2D - OTHER ADJUSTMENTS: START REVENUE 4,168,626. PART XIII, LINE 2D - OTHER ADJUSTMENTS: START EXPENSES 3,540,148. 1 AMERICAN SOCIETY OF LIMNOLOGY AND OCEANOGRAPHY 5400 BOSQUE BLVD SUITE 680 WACO TX 76710 381710020 501(C)(3) 187289 ASSIST WITH EDUCATIONAL SUPPLIES AND/OR RESEARCH SUPPORT. INCORPORATED RESEARCH INSTITUTIONS FOR SEISMOLOGY 1200 NEW YORK AVE NW WASHINGTON DC 20005 521362650 501(C)(3) 15000 ASSIST WITH EDUCATIONAL SUPPLIES AND/OR RESEARCH SUPPORT. THE OCEANOGRAPHY SOCIETY PO BOX 1931 ROCKVILLE MD 20849 521563085 501(C)(3) 80569 ASSIST WITH EDUCATIONAL SUPPLIES AND/OR RESEARCH SUPPORT. WOODS HOLE OCEANOGRAPHIC SOCIETY 569 WOODS HOLE RD MS 14 WOODS HOLD MA 02543 042105850 501(C)(3) 10000 ASSIST WITH EDUCATIONAL SUPPLIES AND/OR RESEARCH SUPPORT. 4 0 STUDENT GRANT 7 96158 GRANTS TO ALLOW STUDENTS TO TRAVEL AND FURTHER THEIR EDUCATION. PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, 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 RECIPIENT IS NOT LISTED ON EITHER THE TREASURY DEPARTMENT OFFICE OF TERRORISM AND FINANCIAL INTELLIGENCE 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 REOUIRED 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 REOUIRED 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 1 0 0 0 0 0 0 0 0 MARK HERNICK 206111 0 0 0 0 0 24608 0 1040 0 231759 0 0 0 WILLIAM WHITE 152038 0 0 0 31261 0 21670 0 7324 0 212293 0 0 0 WILLIAM COOK 218438 0 0 0 0 0 27819 0 9126 0 255383 0 0 0 REBECCA BARNES-HOGG 151469 0 0 0 0 0 16492 0 1147 0 169108 0 0 0 ANN CAIRNS 142464 0 0 0 0 0 15688 0 6058 0 164210 0 0 0 BRENDA WEAVER 141799 0 0 0 0 0 15671 0 5256 0 162726 0 0 0 APRIL ORR 139007 0 0 0 0 0 14821 0 3016 0 156844 0 0 0 CARTER GLASS 136864 0 0 0 0 0 15769 0 10322 0 162955 0 0 0 HASSAN VIRJI 118106 0 0 0 23309 0 16894 0 3689 0 161998 0 0 0 AF SPILHAUS JR 0 0 0 0 614471 0 0 0 0 0 614471 0 0 0 JUDY HOLOVIAK 0 0 0 0 297132 0 0 0 0 0 297132 0 0 0 PART I, LINE 1A AGU HAS PROVIDED 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 TRAVEL IN TAXABLE INCOME. PART I, LINE 4A PART I, LINE 4A: THE FOLLOWING INDIVIDUALS RECEIVED SEVERANCE PAYMENTS: A.F. SPILHAUSE $614,471 JUDY HOLOVIAK $297,132 WILLIAM WHITE $12,452 AMERICAN INSTITUTE OF PHYSICS SHARED BOARD MEMBERS 1348730 PUBLICATION SERVICES 0 CHANGES IN PROGRAM SERVICES FORM 990, PART III, LINE 3 AGU CREATED A SEPARATE ENTITY PERFORM THE DUTIES RELATED TO SUPPORTING THE SECRETARIAT OF THE START PROGRAM. AGU WILL BE SHIFTING THE DUTIES OF THIS PROGRAM TO THE NEW ENTITY OVER FUTURE YEARS. FORM 990, PART VI, SECTION A, LINE 3 DURING 2010, AGU CONTRACTED A THIRD PARTY CONSULTING FIRM TO PROVIDE AN INTERIM EXECUTIVE DIRECTOR. FORM 990, PART VI, SECTION A, LINE 4 AGU AMENDED THEIR BYLAWS IN 2010 TO CREATE AND DEFINE THE DUTIES OF THE ORGANIZATION'S BOARD OF DIRECTORS. FORM 990, PART VI, SECTION A, LINE 6 AGU MEMBERSHIP ENCOMPASSES MORE THAN 58,000 INDIVIDUALS FROM OVER 135 COUNTRIES. THE GOAL OF AGU MEMBERSHIP IS TO UNITE EARTH, ATMOSPHERIC, OCEANIC, HYDROLOGIC, SPACE, AND PLANETARY SCIENTISTS BY PROVIDING A DYNAMIC FORUM FOR THE GEOPHYSICAL COMMUNITY THROUGH SCIENTIC JOURNALS, MEETINGS, ELECTRONIC MAIL, A WEEKLY NEWSPAPER, SCIENTIFIC AND TECHNICAL COMMITTEE ACTIVITIES, AND SEVERAL ONLINE DATA AND INFORMATION SERVICES. AGU IS AN INDIVIDUAL MEMBERSHIP SOCIETY OPEN TO THOSE PROFESSIONALLY ENGAGED IN OR ASSOCIATED WITH THE EARTH AND SPACE SCIENCES. FORM 990, PART VI, SECTION A, LINE 7A ALL ELIGIBLE MEMBERS MAY VOTE TO ELECT THE UNION OFFICERS (PRESIDENT, INTERNATIONAL SECRETARY, AND GENERAL SECRETARY) AND CAN VOTE IN UP TO 3 SECTIONS OF THEIR CHOICE TO ELECT SECTION PRESIDENTS. FORM 990, PART VI, SECTION B, LINE 11 THE GOVERNING BODY IS GIVEN THE OPPORTUNITY TO REVIEW AND COMMENT ON AN ELECTRONIC COPY OF THE FORM 990 BEFORE 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 AGU CONDUCTS A MARKET-BASED SURVEY USING WELL-KNOWN COMPENSATION SURVEYS BASED ON REVENUE, NUMBER OF EMPLOYEES, INDUSTRY, AND GEOGRAPHIC REGION. THE SALARY RANGES ARE FROM 80% - 120% OF THE 50TH PERCENTILE OF THE SURVEY DATA. SALARY INCREASES ARE TIED TO PERFORMANCE AND ARE STRICTLY MERIT BASED. THE SALARY INCREASE RANGES ARE SET ANNUALLY IN CONNECTION WITH OUR BUDGET CYCLE. COMPENSATION OF THE EXECUTIVE DIRECTOR WAS LAST REVIEWED IN JULY OF 2010. 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. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 4,720,000. PRIOR PERIOD ADJUSTMENTS: -1,090,963. START NET ASSETS 150,234. TOTAL TO FORM 990, PART XI, LINE 5: 3,779,271.