2020-11-12T19:46:42-06:00 2019-12-31 133628255 CONDON O'MEARA MCGINTY & DONNELLY LLP ONE BATTERY PARK PLAZA NEW YORK NY 10004 990 2019-01-01 352316710 REGIONAL GREENHOUSE GAS INITIATIVE INC REGI 2124177329 90 CHURCH STREET 4TH FLOOR NEW YORK NY 10007 BEN GRUMBLES CHAIR 2124177329 2020-08-20 1 JAMES J REILLY P00183769 2126617777 24.44.201.148 2020-08-20 08:18:58 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 22603B5F3D0F044F5E1D98A58B2AA5892463CC73 2019 2021-01-29 14:40:06Z BEN GRUMBLES 90 CHURCH STREET 4TH FLOOR NEW YORK NY 10007 1726372 0 X WWW.RGGI.ORG X 2007 DE PROVIDES TECHNICAL AND SCIENTIFIC ADVISORY SERVICES TO STATES OF THE U.S. 20 20 6 20 0 0 0 0 1846627 1723634 1280 1542 0 1196 1847907 1726372 0 0 0 0 785568 735065 0 0 0 1061059 988569 1846627 1723634 1280 2738 926716 1350400 880026 1300972 46690 49428 SEE SCHEDULE O. 0 0 317500 317500 AUCTIONS: PROVIDED TECHNICAL SUPPORT TO STATES IN THE DEVELOPMENT AND EXECUTION OF AUCTION PLATFORMS FOR ALLOWANCES TO EMIT CARBON DIOXIDE. THIS RESULTED IN PUBLICATION OF AUCTION NOTICES AND MATERIALS. 254324 254324 EMISSIONS ALLOWANCE TRACKING SYSTEM: MAINTAINED A DATABASE, USERS GUIDE, AND PUBLIC REPORTING CAPABILITY TO TRACK EMISSIONS AND ALLOWANCE TRANSFERS. THIS SYSTEM IS AVAILABLE AT WWW.RGGI.ORG 184125 184125 MARKET MONITORING: DEVELOPED TECHNIQUES TO MONITOR MARKET ACTIVITY WHICH RESULTED IN QUARTERLY REPORTS OF MARKET ACTIVITY. 664543 967685 664543 967685 1420492 1 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 6 0 1 6 1 0 0 0 0 0 0 0 0 0 0 0 0 X 20 20 0 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 NY DE X X DAVID TERRIO 2129012445 BTQ FINANCIAL 80 BROAD STREET NEW YORK NY 10004 BEN GRUMBLES DIRECTOR & CHAIR 5.00 X X 0 0 0 KATIE DYKES DIRECTOR & VICE CHAIR 5.00 X X 0 0 0 JARED SNYDER DIRECTOR & TREASURER 5.00 X X 0 0 0 MARTIN SUUBERG DIRECTOR & SECRETARY 5.00 X X 0 0 0 MARION S GOLD DIRECTOR & MEMBER AT LARGE 5.00 X X 0 0 0 SARAH HOFMANN DIRECTOR & MEMBER AT LARGE 5.00 X X 0 0 0 R BRUCE WILLIAMSON FMR. DIRECTOR & MEMBER AT LARGE 5.00 X X 0 0 0 SHAWN GARVIN DIRECTOR 5.00 X 0 0 0 DALLAS WINSLOW DIRECTOR 5.00 X 0 0 0 GERALD REID DIRECTOR 5.00 X 0 0 0 JASON STANEK DIRECTOR 5.00 X 0 0 0 JUDITH JUDSON DIRECTOR 5.00 X 0 0 0 ROBERT SCOTT DIRECTOR 5.00 X 0 0 0 MICHAEL GIAIMO DIRECTOR 5.00 X 0 0 0 JOHN B RHODES DIRECTOR 5.00 X 0 0 0 JANET COIT DIRECTOR 5.00 X 0 0 0 PETER WALKE DIRECTOR 5.00 X 0 0 0 PHILIP L BARTLETT DIRECTOR 5.00 X 0 0 0 MARISSA GILLETT DIRECTOR 5.00 X 0 0 0 MELANIE LOYZIM DIRECTOR 5.00 X 0 0 0 ROB KLEE DIRECTOR 5.00 X 0 0 0 ANDREW MCKEON EXECUTIVE DIRECTOR 40.00 X 172000 0 41580 172000 0 41580 1 0 1 0 WORLD ENERGY SOLUTIONS INC 100 FRONT STREET WORCESTER MA 01608 AUCTION SERVICES 317500 SRA INTERNATIONAL INC 4300 FAIR LAKES COURT FAIRFAX VA 22033 ALLOWANCE TRACKING 275947 POTOMAC ECONOMICS LTD 9900 FAIRFAX BLVD SUITE 560 FAIRFAX VA 22030 MARKET MONITORING 177000 3 STATE REVENUE 541900 1723634 1723634 1723634 1542 1542 MISCELLANEOUS 900099 1196 1196 1196 1726372 1723634 0 2738 213580 165076 48504 377098 290694 86404 40525 31662 8863 65072 50840 14232 38790 30306 8484 6529 5010 1519 79944 79944 43066 3537 39529 20484 14438 6046 626 494 132 42940 41813 1127 4069 3183 886 8950 6122 2828 259 259 17507 13720 3787 AUCTIONS 317500 317500 EMISSIONS ALLOWANCE 254324 254324 MARKET MONITORING 184125 184125 TECH. ANALYSIS & EVAL. 7056 7056 1190 592 598 1723634 1420492 303142 0 272512 195394 623542 1120268 3622 30662 22065 28121 19070 0 9051 926716 1350400 246816 252451 633210 1048521 880026 1300972 X 46690 49428 46690 49428 926716 1350400 2738 0 X 0 1 X 1 0 X 1824958 2115303 2169494 1846628 1723634 9680017 1824958 2115303 2169494 1846628 1723634 9680017 0 0 0 9680017 2479 1281 823 1280 1542 7405 2479 1281 823 1280 1542 7405 1196 1196 1827437 2116584 2170317 1847908 1726372 9688618 0.99910 0.99920 0.00080 0.00080 X 28121 19070 9051 9051 1726372 0 1726372 0 1726372 1723634 0 1723634 0 1723634 X X X 0 0 0 0 0 0 0 0 0 ANDREW MCKEON EXECUTIVE DIRECTOR 172000 0 0 0 0 0 16260 0 25320 0 213580 0 0 0 PART III LINE 4D TECHNICAL ANALYSIS & EVALUATION: AS CALLED FOR IN THE ORIGINAL RGGI MEMORANDUM OF UNDERSTANDING, THE PARTICIPATING STATES CONDUCTED A PROGRAM REVIEW OF THE CO2 BUDGET TRADING PROGRAMS. PROPOSED AMENDMENTS TO THE PROGRAM HAVE BEEN INCORPORATED IN AN UPDATED MODEL RULE (RELEASED ON FEBRUARY 7, 2013) THAT WILL GUIDE EACH STATE AS IT FOLLOWS ITS OWN STATUTORY AND/OR REGULATORY PROCEDURES TO PROPOSE UPDATES TO ITS CO2 BUDGET TRADING PROGRAM. A RIGOROUS AND COMPREHENSIVE EVALUATION OF THE REGIONAL GREENHOUSE GAS INITIATIVE, SUPPORTED BY AN EXTENSIVE REGIONAL STAKEHOLDER PROCESS THAT ENGAGED THE REGULATED COMMUNITY, ENVIRONMENTAL NONPROFITS, CONSUMER AND INDUSTRY ADVOCATES, AND OTHER INTERESTED STAKEHOLDERS. EXPENSES INCLUDE TECHNICAL ANALYSIS TO SUPPORT PROGRAM REVIEW AND EVALUATION. FORM 990, PART VI, SECTION A, LINE 7A THE BOARD SHALL CONSIST OF TWO DIRECTORS FROM EACH SIGNATORY STATE, AS FOLLOWS: (1) THE CHAIR, OR THE COMMISSIONER DESIGNATED BY THE CHAIR, OF THE SIGNATORY STATE'S ENERGY REGULATORY AGENCY; (2) THE CHIEF EXECUTIVE OF THE SIGNATORY STATE'S ENVIRONMENTAL REGULATORY AGENCY OR DEPARTMENT; OR (3) IN THE EVENT THAT THE GOVERNOR OF A SIGNATORY STATE DETERMINES THAT A STATE OFFICIAL OTHER THAN THE AFOREMENTIONED IS THE APPROPRIATE REPRESENTATIVE TO ACT AS A DIRECTOR, THE GOVERNOR OF THAT SIGNATORY STATE SHALL SO NOTIFY THE CHAIR OF THE CORPORATION IN WRITING AND SUCH OTHER OFFICIAL SHALL BE A DIRECTOR FROM THAT SIGNATORY STATE. EACH OF THE AFOREMENTIONED OFFICERS SHALL SERVE AS AN EX OFFICIO DIRECTOR OF THE CORPORATION. EACH SUCH EX OFFICIO DIRECTOR SHALL PROVIDE WRITTEN NOTICE TO THE CHAIR OF HIS OR HER ACCEPTANCE OF THE POSITION OF DIRECTOR OF THE CORPORATION. FORM 990, PART VI, SECTION B, LINE 11B THE PROCESS THAT THE CORPORATION USES TO REVIEW THE FORM 990 IS AS FOLLOWS: 1-COPY OF THE FORM 990 IS PRESENTED TO THE AUDIT COMMITTEE; 2-COPY OF THE FORM 990 IS DISTRIBUTED TO THE EXECUTIVE COMMITTEE VIA EMAIL; AND 3-COPY OF THE FORM 990 IS DISTRIBUTED TO THE ENTIRE BOARD OF DIRECTORS VIA EMAIL. ANY COMMENTS RECEIVED FROM THESE PROCESSES ARE CONSIDERED, AFTER DUE TIME FOR RESPONSES TO BE RECEIVED. THE AUDIT COMMITTEE HAS FINAL AUTHORITY OVER THE RETURN. FORM 990, PART VI, SECTION B, LINE 12C THE CONFLICT OF INTEREST DISCLOSURE QUESTIONNAIRE IS UPDATED ANNUALLY. IN ADDITION, ALL NEWLY APPOINTED DIRECTORS MUST COMPLETE A CONFLICT OF INTEREST DISCLOSURE QUESTIONNAIRE. FORM 990, PART VI, SECTION B, LINE 15 THE SALARY AMOUNTS WERE REVIEWED BY THE BOARD OF DIRECTORS IN THE COURSE OF THEIR REVIEW OF THE BUDGET. THAT DETERMINATION WAS SUPPORTED BY A REVIEW OF DATA FROM THE NONPROFIT COORDINATING COMMITTEE OF NEW YORK AND BOARD MEMBERS KNOWLEDGE OF OTHER COMPARABLE ORGANIZATIONS. FORM 990, PART VI, SECTION C, LINE 19 THE CORPORATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AUDITED FINANCIAL STATEMENTS AND MINUTES OF MEETINGS OF THE BOARD OF DIRECTORS AVAILABLE TO THE PUBLIC THROUGH THE CORPORATION'S WEBSITE.