2020-11-12T16:16:22-06:00 2019-12-31 420714325 RSM US LLP 2021 L STREET NW 400 WASHINGTON DC 20036 990 2019-01-01 520955532 AMERICAN GEOPHYSICAL UNION AMER 2024626900 2000 FLORIDA AVE NW WASHINGTON DC 200091231 RANDY FISER CEO 2024626900 2020-11-12 1 ELIZABETH W HELLER P00397829 2022932200 2020-11-12 173.79.22.96 2020-11-12 16:11:21 ES P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 907A16943A5AE6BD468F5755AE9454C37C362E74 2019 2021-01-29 14:40:06Z RANDY FISER 2000 FLORIDA AVE NW WASHINGTON DC 200091231 59087550 0 X WWW.AGU.ORG X 1972 DC AGU SEEKS TO PROMOTE DISCOVERY IN EARTH AND SPACE SCIENCE FOR THE BENEFIT OF HUMANITY. 14 14 166 21000 264706 45929 3823570 4207852 35222259 33478723 2912569 6807549 0 247490 41958398 44741614 481842 1275652 0 0 17279622 19136622 0 0 876298 26546024 28162572 44307488 48574846 -2349090 -3833232 165599946 183407268 52891606 61761711 112708340 121645557 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 12067917 295416 16285147 MEETINGS: AGU HAS A DIVERSE MEETING PORTFOLIO THAT OFFERS MEETINGS OF VARIOUS SIZES AND FORMATS. MOST MEETING PARTICIPANTS PRESENT A POSTER AND/OR A TALK ON THEIR LATEST SCIENTIFIC FINDINGS CONTRIBUTING TO ADVANCING EARTH AND SPACE SCIENCE. INDIVIDUALS MUST PAY A REGISTRATION FEE TO PARTICIPATE. THE ABSTRACT SUBMISSIONS COVERING THEIR PRESENTATIONS ARE PUBLISHED AS PART OF THE SCIENTIFIC PROGRAM FOR EACH MEETING AND AVAILABLE VIA AGU'S WEBSITE.THE 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 27,000 PARTICIPANTS AT THE DECEMBER 2019 MEETING. THE MEETING GENERATES HUNDREDS OF PRESS AND MEDIA STORIES ABOUT EARTH AND SCIENCE IN PROMINENT SOURCES THROUGH DISTRIBUTION ON THE TELEVISION, NEWS PRINT AND THROUGH OTHER ELECTRONIC OUTLETS.THE CHAPMAN CONFERENCES ARE SMALL TOPICAL CONFERENCES THAT FOCUS ON CURRENT AND EMERGING SCIENCE ISSUES. FIVE CHAPMAN CONFERENCES WERE HELD IN 2019. OF THE FIVE CONFERENCES, THREE WERE HELD IN THE UNITED STATES, ONE WAS HELD IN ICELAND AND ONE WAS HELD IN SPAIN. ATTENDANCE RANGED FROM BETWEEN 44 AND 140 PARTICIPANTS. THE ASTROBIOLOGY CONFERENCE (ABSCICON) IS AN ANNUAL MEETING OF THE ASTROBIOLOGY COMMUNITY IN PARTNERSHIP WITH NASA. THE 2019 MEETING WAS HELD AT THE HYATT REGENCY BELLEVUE IN BELLEVUE, WASHINGTON. THE MEETING FOCUSES ON ALL AREAS OF ASTROBIOLOGY INCLUDING OCEAN WORLDS, EXOPLANETS AND THE TRANSITION OF PREBIOTIC CHEMISTRY TO BIOLOGY. THE 2019 MEETING ATTRACTED OVER 900 ATTENDEES FROM 29 COUNTRIES. THE AGU-SEG WORKSHOP IS IN PARTNERSHIP WITH THE SOCIETY OF EXPLORATION GEOPHYSICS (SEG). THE FOCUS OF THE 2019 WORKSHOP WAS TO SHARE ADVANCEMENTS AND APPLICATIONS OF AIRBORNE GEOPHYSICS FOR GROUND WATER, MINERAL, PETROLEUM, GEOTECHNICAL AND HAZARDS INVESTIGATIONS. THE WORKSHOP WAS HELD AT FLORIDA ATLANTIC UNIVERSITY IN DAVIE, FLORIDA AND ATTRACTED 52 ATTENDEES. 11298246 102915 COMMUNICATIONS AND MEDIA, PROGRAMS SEEK TO: 1) BUILD AND MAINTAIN AGU'S REPUTATION AS A LEADER, COLLABORATOR AND SOUGHT AFTER PARTNER WITHIN AND OUTSIDE OF THE EARTH AND SPACE SCIENCE COMMUNITY; 2) PROMOTE AGU AND ITS PROGRAMS, INITIATIVES AND SERVICES TO CURRENT AND POTENTIAL MEMBERS, AS WELL AS TO THE BROADER EARTH AND SPACE SCIENCE COMMUNITY; AND 3) EDUCATE THE PUBLIC, AT ALL LEVELS AND ACROSS ALL SECTORS, ON THE IMPORTANCE AND IMPACT OF THE EARTH AND SPACE SCIENCES, PARTICULARLY AS IT RELATES TO SOCIETAL WELL-BEING. MAJOR ACCOMPLISHMENTS IN THESE AREAS DURING THE 2019 FISCAL YEAR INCLUDE: EXPANDING EOS.ORG, A NEWS WEBSITE DEDICATED TO PROVIDING TRUSTWORTHY NEWS AND PERSPECTIVES ABOUT THE EARTH AND SPACE SCIENCES AND THEIR IMPACT, AS WELL AS A BI-WEEKLY NEWS MAGAZINE; REFRAMING AND RELAUNCHING THE SHARING SCIENCE PROGRAM, WHICH SEEKS TO EDUCATE AND EMPOWER SCIENTISTS TO SHARE THEIR KNOWLEDGE WITH THE PUBLIC. 10988324 17122575 PUBLICATIONS - AGU PUBLISHES 22 JOURNALS PRESENTING PEER-REVIEWED RESEARCH PAPERS AS WELL AS NUMEROUS BOOKS. THESE PUBLICATIONS COVER THE EARTH SCIENCES, PLANETARY SCIENCES, SOLAR-TERRESTRIAL AND SPACE PHYSICS, AND THE ENVIRONMENTAL SCIENCES. COVERAGE OF THE PAPERS HELP 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 THE AGU'S MORE THAN 60,000 MEMBERS. AGU PUBLICATIONS REACH MANY SCIENTISTS AND STUDENTS BEYOND THE AGU MEMBERSHIP, AS WELL AS OTHER MEMBERS OF THE PUBLIC, THROUGH MORE THAN 5,800 LIBRARIES, AND CONTENT AFTER 1997 AND OLDER THAN 24 MONTHS IS FREELY AVAILABLE. PUBLICATIONS ARE AVAILABLE IN OVER 150 COUNTRIES. AGU PUBLISHES MORE THAN 6940 ARTICLES ANNUALLY. 4926674 877320 697347 SCIENCE - THE AGU SCIENCE DEPARTMENT IS RESPONSIBLE FOR AGU TALENT POOL AND PROFESSIONAL EDUCATION PROGRAMS PROVIDING SUPPORT TO AGU MEMBERS THROUGH ALL CAREER STAGES; AND FOR SERVING AS FOCAL POINT FOR SCIENTIFIC PROGRAM-RELATED ACTIVITIES WHICH CUT ACROSS AGU DISCIPLINESINCLUDING AREAS SUCH AS SCIENTIFIC ETHICS PROGRAMS, HONORS AND RECOGNITION PROGRAMS FOR AGU MEMBERS, AND FOR AGU SCIENTIFIC INITIATIVES SUCH AS THE THRIVING EARTH EXCHANGE PROGRAM. 1225198 1990471 SOCIETY ACTIVITIES AND MEMBERSHIP SERVICES. 6151872 877320 2687818 40506359 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 0 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 1 188 0 1 166 1 1 1 1 CA UK 0 0 0 0 0 0 0 0 0 0 X 14 14 0 0 0 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X RANDY FISER CEO 2024626900 2000 FLORIDA AVE NW WASHINGTON DC 200091231 ROBIN ELIZABETH BELL PRESIDENT 8.00 X X 0 0 0 SUSAN LOZIER PRESIDENT-ELECT 5.00 X X 0 0 0 ERIC A DAVIDSON IMMEDIATE PAST PRESIDENT 5.00 X X 0 0 0 JANA DAVIS GENERAL SECRETARY/TREASURER 5.00 X X 0 0 0 CARLOS NOBRE INTERNATIONAL SECRETARY 5.00 X X 0 0 0 CHRIS BALLENTINE BOARD DIRECTOR 5.00 X 0 0 0 CARLOS DENGO BOARD DIRECTOR 5.00 X 0 0 0 LISA J GRAUMLICH BOARD DIRECTOR 5.00 X 0 0 0 BRANDON JONES BOARD DIRECTOR 5.00 X 0 0 0 JILL L KARSTEN BOARD DIRECTOR 5.00 X 0 0 0 KERSTIN LEHNERT BOARD DIRECTOR 5.00 X 0 0 0 PHILIP MOTE BOARD DIRECTOR 5.00 X 0 0 0 RICHARD W MURRAY BOARD DIRECTOR 5.00 X 0 0 0 JENNY RIKER BOARD DIRECTOR 5.00 X 0 0 0 CHRISTINE MCENTEE CEO 37.50 X 838607 0 29631 JANICE R LACHANCE COO 37.50 X 414809 0 33890 MICHAEL S ANDREWS CFO 37.50 X 288413 0 59511 JAY R BRODSKY CHIEF DIGITAL OFFICER 37.50 X 250096 0 25048 ROYCE B HANSON EXECUTIVE VICE PRESIDENT 37.50 X 378386 0 44057 DANA D REHM SENIOR VICE PRESIDENT 37.50 X 246674 0 10313 BILLY WILLIAMS SENIOR VICE PRESIDENT 37.50 X 239825 0 42547 LAUREN M PARR VICE PRESIDENT 37.50 X 210899 0 36391 ALEXANDRA M SHULTZ VICE PRESIDENT 37.50 X 210493 0 40739 ARTESHA C MOORE VICE PRESIDENT 37.50 X 205244 0 37856 MATTHEW M GIAMPOALA VICE PRESIDENT 37.50 X 202539 0 15756 TRACY J LAMONDUE VICE PRESIDENT 37.50 X 198802 0 35705 SHELLEY L STALL SENIOR DIRECTOR 37.50 X 193864 0 20684 JESSICA C LATTERMAN DIRECTOR 37.50 X 167790 0 12301 RAJUL E PANDYA DIRECTOR 37.50 X 166538 0 18254 VICTORIA J FORLINI DIRECTOR 37.50 X 163327 0 15604 KARINE S BLAUFUSS DIRECTOR 37.50 X 147405 0 14226 4523711 0 492513 50 0 1 0 HITT CONSULTING 2900 FAIRVIEW PARK DR FALLS CHURCH VA 22042 CONSULTING SERVICES 1977998 SMG FOOD & BEVERAGE 300 CONSHOHOCKEN STATE RD CONSHOHOCKEN PA 19428 CATERING SERVICES 1546545 PROJECTION PRESENTATION PO BOX 890472 CHARLOTTE NC 282890472 AV SERVICES 1419381 FREEMAN 9900 BUSINESS PARKWAY LANHAM MD 20706 EXHIBIT SERVICES 949005 MARRIOTT INTERNATIONAL 901 MASSACHUSETTS AVE NW WASHINGTON DC 20001 CONVENTION VENUE 867596 48 1990471 324436 1892945 4207852 PUBLICATIONS 511190 17263065 16998359 264706 MEETINGS 900099 15956007 15956007 SOCIETY ACTIVITIES 900099 155875 155875 PUBLICATION AND MEDIA ROYALTIES 511190 103776 103776 33478723 2289026 2289026 247490 0 247490 247490 247490 18864459 14345936 4518523 4518523 4518523 44741614 33214017 264706 7055039 X 37915 37915 863156 863156 374581 374581 4110451 2501088 1483551 125812 11006725 6732573 3930581 343571 958226 565225 367975 25026 1967665 1109259 811286 47120 1093555 680060 385437 28058 323397 323397 950594 48878 900428 1288 185196 185196 422189 422189 5612688 2103686 3329217 179785 48005 21346 26659 875513 667911 198945 8657 1863560 401159 1457496 4905 36892 33644 3248 1072253 5423 1066830 1826629 1241980 532437 52212 7905499 7121359 770757 13383 884000 884000 1475718 26865 1448853 278368 278368 HONORARIA/CONTRIBUTIONS 1482983 1432808 23175 27000 PRODUCTION/PUBLICATIONS 979029 963378 13399 2252 OUTSOURCING & LOGISTICS 443177 428803 14374 ABSTRACT MANAGEMENT 297904 297904 1198978 12847358 -11665609 17229 48574846 40506359 7192189 876298 419 419 9204684 14556427 38781 166754 3154365 3138520 870691 859234 50667300 4060062 40431279 46607238 72443837 68345791 38412138 48240504 1043752 1492381 165599946 183407268 8272904 11456336 987418 3598499 40081602 43157126 3549682 3549750 52891606 61761711 X 104066147 110627291 8642193 11018266 112708340 121645557 165599946 183407268 X -3833232 12784807 -14358 X X 0 1 X 1 0 X 2513039 2746787 2938021 3823570 4207852 16229269 27516431 30466706 52170146 34830142 33214017 178197442 30029470 33213493 55108167 38653712 37421869 194426711 18270 18340 22816 36585 11326 107337 0 18270 18340 22816 36585 11326 107337 194319374 2046350 2101346 2126323 2392979 2536516 11203514 2046350 2101346 2126323 2392979 2536516 11203514 36284 36284 32075820 35314839 57234490 41046691 39994669 205666509 0.94480 0.94330 0.05450 0.05590 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 6484 33028 39512 48315735 48355247 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 21360 31798 24129 39512 116799 250000 250000 250000 250000 1000000 1500000 135 1572 3393 6484 11584 1360862 805948 140491 20993 2286308 875400 558886 -50085 22881 458 1360862 764380 30992 103537 23051 458 875400 656256 84268 45316 21000 460 764380 602625 49902 9729 6000 656256 0.93010 0.06990 0 0 1705021 1705021 41744607 737129 41007478 986265 29887 956378 4649196 1710835 2938361 1582211 1582211 0 46607238 ALTERNATIVE INVESTMENT FUNDS 48240504 F 48240504 ACCRUED POSTRETIREMENT BENEFITS 3498198 PREPAID RENT 51552 3549750 57104232 12784807 12784807 44319425 422189 422189 44741614 48152657 0 48152657 422189 422189 48574846 PART V, LINE 4: THE ENDOWMENT FUNDS HAVE BEEN ESTABLISHED FOR THE PURPOSE OF RECOGNIZING AND SUPPORTING EXCELLENCE IN SPECIFIC AREAS OF SCIENTIFIC RESEARCH. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANTMAKING TRAVEL GRANT 3000 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING REIMBURSEMENT, TRAVEL GRANT 98264 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICE ACTIVITIES, GRANTMAKING HONORARIA, REIMBURSEMENT, TRAVEL GRANT 594941 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTMAKING REIMBURSEMENT, TRAVEL GRANT 3875 NORTH AMERICA 0 0 GRANTMAKING HONORARIA, REIMBURSEMENT, TRAVEL GRANT 32505 RUSSIA AND NEIGHBORING STATES 0 0 GRANTMAKING TRAVEL GRANT 1429 SOUTH AMERICA 0 0 GRANTMAKING REIMBURSEMENT, TRAVEL GRANT 6542 SOUTH ASIA 0 0 GRANTMAKING REIMBURSEMENT, TRAVEL GRANT 101686 SUB-SAHARAN AFRICA 0 0 GRANTMAKING HONORARIA, REIMBURSEMENT, TRAVEL GRANT 180614 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENT 3368652 0 0 0 0 0 0 842242 3549266 4391508 TRAVEL GRANT CENTRAL AMERICA AND THE CARIBBEAN 1 2500 WIRE TRANSFER FALL MEETING TRAVEL GRANT EAST ASIA AND THE PACIFIC 16 19500 WIRE TRANSFER FALL MEETING AND CHAPMAN TRAVEL GRANT EUROPE (INCLUDING ICELAND & GREENLAND) 31 50154 WIRE TRANSFER FALL MEETING TRAVEL GRANT MIDDLE EAST AND NORTH AFRICA 3 3500 WIRE TRANSFER FALL MEETING AND OCEAN SICENCE MEETING TRAVEL GRANT NORTH AMERICA 12 20588 WIRE TRANSFER FALL MEETING TRAVEL GRANT RUSSIA AND NEIGHBORING STATES 1 1269 WIRE TRANSFER FALL MEETING AND OCEAN SICENCE MEETING TRAVEL GRANT SOUTH AMERICA 4 4084 WIRE TRANSFER FALL MEETING AND CHAPMAN TRAVEL GRANT SOUTH ASIA 88 97897 WIRE TRANSFER FALL MEETING TRAVEL GRANT SUB-SAHARAN AFRICA 31 175089 WIRE TRANSFER 0 0 0 0 0 1 PART I, LINE 2: PRIOR TO MAKING AN AWARD TO A FOREIGN NATIONAL, AGU CHECKS THE EXCLUDED PARTIES LIST SYSTEM (HTTPS://WWW.EPLS.GOV/) TO ENSURE THAT THE RECIPIENT IS ALLOWED TO RECEIVE THESE FUNDS. PART III ACCOUNTING METHOD: 1 AMERICAN ASSOCIATION FOR THE ADVANCEMENT OF SCIENCE 1200 NEW YORK AVENUE NW WASHINGTON DC 20005 530196568 501C3 17915 PLANNING AND MANAGEMENT OF PLACEMENT SERVICES AND SUPPORT FOR CONGRESSIONAL FELLOWS SUMMER OF APPLIED GEOPHYSICAL EXPERIENCE 2215 CURTIS STREET BERKELEY CA 94702 825105770 501C3 20000 2019 AGU SAGE RIECKER SCHOLARS 2 0 BERKNER 11 19075 CENTENNIAL 90 516167 CHAPMAN TRAVEL GRANT 37 54868 CLIMATE PRIZE GRANT 1 5000 CONGRESSIONAL SCIENCE FELLOWS 2 85000 DATA VISUALIZATION AND STORYTELLING COMPETITION GRAND 21 43000 FM TRAVEL GRANT 118 90782 HORTON GRANT 4 21000 TAIRA PRIZE GRANT 1 18000 OTHER GRANT 4 10263 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 X 1 1 X X X X X X 1 0 0 0 0 0 0 1 0 CHRISTINE MCENTEE CEO 747019 0 57245 0 34343 0 6413 0 24763 0 869783 0 0 0 JANICE R LACHANCE COO 367562 0 22500 0 24747 0 33585 0 1754 0 450148 0 0 0 MICHAEL S ANDREWS CFO 259126 0 22500 0 6787 0 33585 0 27398 0 349396 0 0 0 JAY R BRODSKY CHIEF DIGITAL OFFICER 243252 0 5000 0 1844 0 24003 0 2514 0 276613 0 0 0 ROYCE B HANSON EXECUTIVE VICE PRESIDENT 361678 0 12500 0 4208 0 33585 0 12173 0 424144 0 0 0 DANA D REHM SENIOR VICE PRESIDENT 103348 0 5000 0 138326 0 10313 0 326 0 257313 0 0 0 BILLY WILLIAMS SENIOR VICE PRESIDENT 221291 0 4000 0 14534 0 26942 0 16905 0 283672 0 0 0 LAUREN M PARR VICE PRESIDENT 201825 0 8000 0 1074 0 24518 0 13037 0 248454 0 0 0 ALEXANDRA M SHULTZ VICE PRESIDENT 200776 0 8000 0 1717 0 24141 0 17806 0 252440 0 0 0 ARTESHA C MOORE VICE PRESIDENT 192727 0 12000 0 517 0 23751 0 15023 0 244018 0 0 0 MATTHEW M GIAMPOALA VICE PRESIDENT 197767 0 4000 0 772 0 13378 0 3124 0 219041 0 0 0 TRACY J LAMONDUE VICE PRESIDENT 196230 0 0 0 2572 0 22131 0 14496 0 235429 0 0 0 SHELLEY L STALL SENIOR DIRECTOR 184763 0 4000 0 5101 0 20684 0 1147 0 215695 0 0 0 JESSICA C LATTERMAN DIRECTOR 160000 0 6000 0 1790 0 12301 0 894 0 180985 0 0 0 RAJUL E PANDYA DIRECTOR 163048 0 3000 0 490 0 17255 0 1899 0 185692 0 0 0 VICTORIA J FORLINI DIRECTOR 147356 0 6000 0 9971 0 15604 0 888 0 179819 0 0 0 KARINE S BLAUFUSS DIRECTOR 144162 0 0 0 3243 0 14226 0 985 0 162616 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 WILL PAY ANNUALLY ALL REASONABLE EXPENSES OF THE CEO'S SPOUSE TO ACCOMPANY HER TO THE FALL MEETING AND ONE OTHER AGU MEETING OF HER CHOICE WHICH IS TAXABLE INCOME TO THE CEO. PART I, LINE 4A DANA REHM, SEVERANCE, $131,250. 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 2017-03-01 37650000 SERIES 2017 DIRECT PLACEMENT FOR AGU BUILDING RENOVATION 0 0 0 A 37650000 573718 2017 1 0 0 1 A 0 0 0 0 0 0 1 A 0 0 0 1 0 0 0 0 1 A 1 SCHEDULE K, PART II, LINE 13 THE BONDS WERE ORIGINALLY ISSUED IN 2017. 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 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 11B THE GENERAL SECRETARY/TREASURER REVIEWS THE FORM 990 IN DEPTH WITH THE EVP, FINANCE AND IT AND THE DIRECTOR, FINANCE. 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, AND COMMITTEE MEMBERS ARE REQUIRED TO SIGN A CONFLICT OF INTEREST AT THE START OF THEIR TENURE. EMPLOYEES ARE REQUIRED TO SIGN A CONFLICT OF INTEREST POLICY AT THE START OF EMPLOYMENT. EMPLOYEES AND VOLUNTEERS ARE ASKED TO REVIEW AND UPDATE THEIR CONFLICT OF INTEREST STATEMENT ANNUALLY IF NECESSARY. 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 MARCH 2017. 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. THE CEO SHARES THE COMPARABLE MARKET DATA ON SALARY RANGES WITH THE EXECUTIVE COMMITTEE. 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. FORM 990, PART IX, LINE 11G OTHER PROFESSIONAL FEES: PROGRAM SERVICE EXPENSES 2,103,686. MANAGEMENT AND GENERAL EXPENSES 3,329,217. FUNDRAISING EXPENSES 179,785. TOTAL EXPENSES 5,612,688. FORM 990, PART XI, LINE 9: CHANGE IN POST-RETIREMENT BENEFITS 218,690. NET PERIODIC BENEFIT COST -233,048. FORM 990, PART IX, LINE 2C: THE OVERSIGHT PROCESS REMAINS UNCHANGED FROM THE PRIOR YEAR.