2024-04-18T08:44:12-05:00 2023-09-30 FORVIS LLP 111 South Tejon Suite 800 Colorado Springs CO 809039848 990 2022-10-01 261939342 ALLIANCE FOR SUSTAINABLE ENERGY LLC % SUSAN SCRIVER ALLI 3032753000 15013 DENVER WEST PARKWAY RSF041 GOLDEN CO 80401 MS JENNIFER LOGAN CFO 3032753000 2024-02-20 true MS JENNIFER LOGAN 999009999 Adam R Smith CPA P00958966 7194714290 2 2022 2023-04-26 12:10:37Z DR MARTIN KELLER 15013 DENVER WEST PARKWAY GOLDEN CO 80401 786331979 false X WWW.ALLIANCEFORSUSTAINABLEENERGY.ORG X LLC 2008 DE OPERATES THE NATIONAL RENEWABLE ENERGY LABORATORY TO DEVELOP ENERGY EFFICIENT TECHNOLOGIES. 15 15 3457 15 0 0 671912744 786152855 0 0 67 9136 169288 169988 672082099 786331979 22645 283342 0 0 397080788 468991619 0 0 0 269084460 309556940 666187893 778831901 5894206 7500078 146825371 175027158 142311386 170531686 4513985 4495472 X THE MISSION OF THE ALLIANCE FOR SUSTAINABLE ENERGY LLC (ALLIANCE) IS TO OPERATE THE U.S. DEPARTMENT OF ENERGY'S NATIONAL RENEWABLE ENERGY LABORATORY TO ADVANCE THE SCIENCE AND ENGINEERING OF ENERGY EFFICIENCY, SUSTAINABLE TRANSPORTATION, AND RENEWABLE POWER TECHNOLOGIES, AND PROVIDES THE KNOWLEDGE TO INTEGRATE AND OPTIMIZE ENERGY SYSTEMS. false false 777735962 283342 169988 ON OCTOBER 1, 2008, ALLIANCE BEGAN MANAGEMENT OF THE U.S. DEPARTMENT OF ENERGY'S (DOE) NATIONAL RENEWABLE ENERGY LABORATORY UNDER PRIME CONTRACT NUMBER DE-AC36-08-GO28308. THE NATIONAL RENEWABLE ENERGY LABORATORY (NREL) IS THE NATION'S PRIMARY LABORATORY FOR RENEWABLE ENERGY AND ENERGY EFFICIENCY RESEARCH AND DEVELOPMENT (R AND D). ALLIANCE PROVIDES THE LEADERSHIP AND STRATEGY THROUGH ITS MANAGEMENT AND OPERATION CONTRACT OF THE NATIONAL RENEWABLE ENERGY LABORATORY (NREL) TO EXECUTE RESEARCH, DEVELOPMENT, DEMONSTRATION, TECHNICAL ASSISTANCE AND ANALYSIS PROGRAMS ON BEHALF OF DOE, OTHER FEDERAL AGENCIES AND THE PRIVATE SECTOR. IT STEWARDS THE UNDERLYING CAPABILITIES AND RESEARCH ASSETS THAT ENABLE MISSION ACCOMPLISHMENT. IT ALSO PROVIDES THE LEADERSHIP TO SAFELY, SECURELY AND SUSTAINABLY MANAGE AND OPERATE TWO MAJOR NREL CAMPUSES LOCATED IN COLORADO, AND ONE NREL CAMPUS IN FAIRBANKS, ALASKA, AS WELL AS SEVERAL OFF-CAMPUS RESEARCH AND OFFICE FACILITIES, AND TO OPERATE AND CONTINUOUSLY IMPROVE BUSINESS SYSTEMS, INCLUDING FINANCE, HUMAN RESOURCES, PROCUREMENT, AND QUALITY. ALLIANCE PARTNERS WITH INDUSTRY, OTHER GOVERNMENT AGENCIES, AND ACADEMIA TO TRANSFER THE KNOWLEDGE, KNOW HOW, AND INTELLECTUAL PROPERTY TO ENABLE NEW PRODUCT DEVELOPMENT AND THEN SCALE UP WITHIN THE NATION'S ENERGY INFRASTRUCTURE. THIS EFFORT SUPPORTS ENERGY SECURITY AND A VIBRANT ECONOMY WHILE ENSURING STEWARDSHIP OF THE ENVIRONMENT. ALLIANCE PROVIDES LEADERSHIP AND TECHNICAL CAPABILITIES FOR WORK WITHIN THE FOLLOWING AREAS: RENEWABLE ELECTRICITY GENERATION THIS AREA INCLUDES ADVANCEMENTS IN RENEWABLE ELECTRICITY GENERATION TECHNOLOGIES INCLUDING SOLAR, WATER, WIND AND GEOTHERMAL. ENERGY PRODUCTIVITY THIS AREA INCLUDES ADVANCEMENTS, TECHNOLOGIES, AND SYSTEMS INTEGRATION TO INCREASE ENERGY PRODUCTIVITY IN HOMES, BUILDINGS, AND INDUSTRIAL PLANTS. SUSTAINABLE TRANSPORTATION THIS AREA INCLUDES ADVANCEMENTS IN TRANSPORTATION AND VEHICLE TECHNOLOGIES AND ALTERNATIVE FUELS. ENERGY ANALYSIS CREDIBLE AND OBJECTIVE ENERGY ANALYSIS INCREASES THE UNDERSTANDING OF HOW THE ENERGY SYSTEMS OPERATE. WE EXPLORE HOW ENERGY POLICIES, MARKETS, RESOURCES, TECHNOLOGIES, ENVIRONMENTAL IMPACTS, AND INFRASTRUCTURE INTERACT. ANALYSES, DATA, AND TOOLS INFORM INVESTMENT DECISIONS AS ENERGY-EFFICIENT AND RENEWABLE ENERGY TECHNOLOGIES ADVANCE FROM CONCEPT TO COMMERCIAL APPLICATION. ENERGY SYSTEMS INTEGRATION ENERGY SYSTEMS INTEGRATION RESEARCH ADDRESSES TRADEOFFS ACROSS ENERGY CARRIERS (SUCH AS ELECTRICITY, THERMAL PATHWAYS, FUELS, AND WATER) WITHIN INFRASTRUCTURES (GRIDS, BUILDINGS AND CAMPUSES, COMMUNITIES, COMMUNICATIONS AND TRANSPORTATION) TO MAXIMIZE EFFICIENCY AND MINIMIZE WASTE. NREL TRANSFORMS ENERGY THROUGH SCIENCE BY FOCUSING ITS EXPERTISE AND RESOURCES ON THREE DISTINCT RESEARCH AREAS THAT RECOGNIZE EMERGING MEGATRENDS TO HELP GUIDE ITS RESEARCH. INTEGRATED ENERGY PATHWAYS FOCUSES ON MODERNIZING THE GRID TO SUPPORT A BROAD SELECTION OF GENERATION TYPES, ENCOURAGE ACTIVE PARTICIPATION BY THE CONSUMER, AND EXPAND OPTIONS FOR TRANSPORTATION ELECTRIFICATION. ELECTRONS TO MOLECULES FOCUSES ON THE USE OF RENEWABLE, AFFORDABLE ELECTRICITY AS THE DRIVING FORCE FOR THE CONVERSION OF LOW-ENERGY MOLECULES-SUCH AS WATER AND CARBON DIOXIDE-TO GENERATE HIGHER-VALUE, HIGHER-ENERGY CHEMICALS, FUELS, AND MATERIALS. CIRCULAR ECONOMY FOR ENERGY MATERIALS FOCUSES ON REDUCING WASTE AND PRESERVING RESOURCES THROUGH THE DESIGN OF MATERIALS AND PRODUCTS WITH REUSE, RECYCLING, AND UPCYCLING IN MIND FROM THE START. NREL IS POSITIONED TO HELP THE NATION ADVANCE ITS ENERGY GOALS THROUGH THE ALLIANCE STRATEGY FOR ACCELERATING IMPACT. THE LABORATORY DELIVERS MARKET-RELEVANT, HIGH-IMPACT KNOWLEDGE/INNOVATIONS; AMPLIFIES MARKET IMPACT THROUGH STRATEGIC PARTNERSHIPS; STEWARDS DISTINCTIVE CAPABILITIES AND SUSTAINS OPERATIONAL EXCELLENCE. NREL SUPPORTS COLLABORATIVE RESEARCH PROJECTS, DISSEMINATES RESEARCH RESULTS BROADLY, PROTECTS INTELLECTUAL PROPERTY THROUGH PATENTS AND COPYRIGHTS, LICENSES TECHNOLOGIES AND WORKS WITH PUBLIC AND PRIVATE PARTNERS TO IMPLEMENT TECHNOLOGIES. INNOVATIVE TECHNOLOGIES ARE ANNUALLY RECOGNIZED WITH MULTIPLE R&D 100 AWARDS, WHICH ARE CONSIDERED THE MOST PRESTIGIOUS TECHNOLOGY INNOVATION AWARDS IN THE UNITED STATES. THE ENGINEERING AND SCIENCE BEHIND THESE TECHNOLOGY TRANSFER SUCCESSES AND AWARDS DEMONSTRATE ALLIANCE'S COMMITMENT TO DEVELOPING AND APPLYING INNOVATIVE RENEWABLE ENERGY SOLUTIONS TO ACHIEVE THE NATION'S SECURE AND SUSTAINABLE ENERGY FUTURE. 777735962 true true false true false false false false false false false false false false true true true true false true true false false false false false false true false true false false false false false false false false false false false false false false false false true 575 0 true 3457 true false false false false false false false false false false false false X 15 15 false false false false true true true true true false false true true true true true true true true false CA NY X X SUSAN SCRIVER 3032753000 15013 DENVER WEST PARKWAY RSF041 GOLDEN CO 80401 DR MARTIN KELLER PRESIDENT 40.0 0.0 X 861189 0 25939 MS JULIE BAKER SENIOR VICE PRESIDENT 40.0 0.0 X 626608 0 13946 DR PETER GREEN SENIOR VICE PRESIDENT 40.0 0.0 X 593857 0 34010 MS CHRISTINE HERRERA CHIEF HR OFFICER 40.0 0.0 X 474051 0 57272 DR JOHNEY GREEN ASSOCIATE LAB DIRECTOR 40.0 0.0 X 486240 0 12811 MR JUAN TORRES ASSOCIATE LAB DIRECTOR 40.0 0.0 X 483668 0 7448 DR WILLIAM TUMAS ASSOCIATE LAB DIRECTOR 40.0 0.0 X 477932 0 12 MR WILLIAM FARRIS ASSOCIATE LAB DIRECTOR 40.0 0.0 X 467033 0 -15901 MR JOHN STOLPA SECRETARY 40.0 0.0 X 429973 0 -29112 MS JENNIFER LOGAN CFO 40.0 0.0 X 365394 0 31890 DR MARK PETERS CHAIRMAN OF THE BOARD 1.0 0.0 X X 0 0 0 MR EDWARD C ANDERSON JR BOARD MEMBER 1.0 0.0 X 0 0 0 DR ROBERT ARMSTRONG BOARD MEMBER - THRU 6/27/23 1.0 0.0 X 0 0 0 MS REACHEL BEICHLEY BOARD MEMBER - THRU 5/15/23 1.0 0.0 X 0 0 0 DR WALTER COPAN BOARD MEMBER 1.0 0.0 X 0 0 0 DR YI CUI BOARD MEMBER 1.0 0.0 X 0 0 0 DR DEAN GRAY BOARD MEMBER - THRU 2/10/23 1.0 0.0 X 0 0 0 MR TODD HARRINGTON BOARD MEMBER 1.0 0.0 X 0 0 0 DR ALAN A RUDOLPH BOARD MEMBER - THRU 7/1/23 1.0 0.0 X 0 0 0 DR MASSIMO RUZZENE BOARD MEMBER 1.0 0.0 X 0 0 0 MS LEANNE STRIBLEY BOARD MEMBER 1.0 0.0 X 0 0 0 MR MATT VAUGHAN BOARD MEMBER 1.0 0.0 X 0 0 0 MS KRISTINE WERKING BOARD MEMBER 1.0 0.0 X 0 0 0 DR WILLIAM JEFFREY BOARD MEMBER - STARTING 3/6/23 1.0 0.0 X 0 0 0 DR CHRISTA JOHNSON BOARD MEMBER - STARTING 7/2/23 1.0 0.0 X 0 0 0 DR AMY MANNING-BOG BOARD MEMBER - THRU 3/5/23 1.0 0.0 X 0 0 0 MR LUKE MCGLYNN BOARD MEMBER -STARTING 5/16/23 1.0 0.0 X 0 0 0 DR ROBERT STONER BOARD MEMBER -STARTING 6/28/23 1.0 0.0 X 0 0 0 DR IAN COLRAIN VICE CHAIRMAN OF THE BOARD 1.0 0.0 X X 0 0 0 MR RICHARD THOMAS FLEENER BOARD MEMBER - THRU 12/31/22 1.0 0.0 X 0 0 0 MR MARTIN NEVSHEMAL BOARD MEMBER -STARTING 1/1/23 1.0 0.0 X 0 0 0 5265945 0 138315 1501 false true false MA MORTENSON COMPANY 700 MEADOW LANE NORTH MINNEAPOLIS MN 55422 CONSTRUCTION 13672582 SUN CONSTRUCTION DESIGN SERVICES IN 1232 BOSTON AVE LONGMONT CO 80501 CONSTRUCTION 9213997 ACCENTURE FEDERAL SERVICES LLC 1255 TREAT BLVD SUITE 250 WALNUT CREEK CA 94597 CONSULTING SERVICES 8510034 STATE OF COLORADO SCHOOL OF MINES 1200 16TH STREET GOLDEN CO 80401 RESEARCH SERVICES 4747589 REGENTS OF THE UNIVERSITY OF COLORA 3100 MARINE STREET BOULDER CO 80309 RESEARCH SERVICES 3939623 277 786152855 786152855 0 9136 9136 0 169988 169988 0 0 0 0 0 0 0 0 0 0 0 0 0 0 786331979 169988 0 9136 283342 283342 0 0 0 2903301 2272024 631277 0 363236478 363222144 14334 36625129 36625129 39079885 39079885 27146826 27146826 0 2088106 2088106 84012 84012 0 0 0 11121718 11001842 119876 0 3066004 2761745 304259 28223541 28223541 122840 122840 10178178 10178178 10595972 10594279 1693 0 6008966 6008966 338798 338798 0 477239 477239 0 SUBCONTRACTS 173565681 173541181 24500 LAB EQUIPMENT AND SUPPLIES 44623769 44623769 MAINTENANCE AND REPAIR 14636878 14636878 DUES AND SUBSCRIPTIONS 4425238 4425238 778831901 777735962 1095939 0 772316 1677237 5108877 5019179 0 0 127419516 153203224 0 0 0 0 0 0 163327 159314 12471152 12503220 0 0 0 0 0 0 0 0 0 0 890183 2464984 146825371 175027158 97676311 119855710 0 0 0 0 0 0 0 0 0 0 0 0 0 0 44635075 50675976 142311386 170531686 X 4513985 4495472 0 0 4513985 4495472 146825371 175027158 X 7500078 -7518591 X false true X true false X 493545097 546285329 602878882 671912744 786152855 3100774907 0 0 493545097 546285329 602878882 671912744 786152855 3100774907 0 3100774907 4483 31888 67531 169355 179124 452381 0 0 3101227288 0.99985 0.99990 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 778831901 778831901 1000000 250000 false 1000000 1000000 1000000 1000000 4000000 6000000 250000 250000 250000 250000 1000000 1500000 0 Advances 50675976 50675976 786331979 786331979 786331979 778831901 778831901 778831901 SCHEDULE D, PART X, LINE 2 UNCERTAIN TAX POSITIONS: MANAGEMENT HAS EVALUATED THEIR INCOME TAX POSITIONS UNDER THE GUIDANCE INCLUDED IN ASC 740. BASED ON THEIR REVIEW, MANAGEMENT HAS NOT IDENTIFIED ANY MATERIAL UNCERTAIN TAX POSITIONS TO BE RECORDED OR DISCLOSED IN THE FINANCIAL STATEMENTS. East Asia and the Pacific 0 2 Program Services SEE ATTACHED 35406 Europe (Including Iceland and Greenland) 0 2 Program Services SEE ATTACHED 43917 South America 0 1 Program Services SEE ATTACHED 60251 0 5 0 5 139574 139574 false false false false false false SCHEDULE F, PART I, LINE 3 ASIA: ONE EMPLOYEE WORKED 50% FOR ALLIANCE AND 50% AS A VISITING PROFESSOR AT KYUSHU UNIVERSITY IN JAPAN. THE EMPLOYEE PARTICIPATED IN A SPEAKER SERIES ON GLOBAL ENERGY GOALS AND CHALLENGES IN REACHING 100% RENEWABLE/CLEAN ENERGY. ONE EMPLOYEE PARTICIPATED IN MEETINGS AND TRAINING SESSIONS SUPPORTING THAILAND'S NET ZERO WORLD ACTIVITIES. EUROPE: ONE EMPLOYEE WORKED 50% FOR ALLIANCE AND 50% AS A VISITING SCIENTIST AT THE ECOLE POLYTECHNIQUE FEDERALE DE LAUSANNE (EPFL) LABORATORIES IN SWITZERLAND. THE EMPLOYEE'S ALLIANCE/NREL WORK WAS RESEARCH WORK IN SILICO. ONE EMPLOYEE WORKED 10% FOR ALLIANCE RESEARCHING AND COLLABORATING WITH PERSONNEL AT THE UNIVERSITY OF COMILLAS IN SPAIN ON THE CAPABILITY OF RNM-US TO CREATE UTILITY MODELS IN AREAS OF LIMITED AVAILABLE DATA. SOUTH AMERICA: ONE EMPLOYEE WORKED 50% FOR ALLIANCE AND 50% AS A VISITING PROFESSOR AT THE UNIVERSITY OF MEDELLIN IN COLOMBIA. THE EMPLOYEE'S ALLIANCE/NREL WORK WAS RESEARCH WORK IN WIND AND SOLAR RESOURCE ASSESSMENT AND TECHNICAL POTENTIAL MODELING AND PARTICIPATING IN SEMINARS AND TRAININGS IN THIS FIELD OF STUDY. SCHEDULE F, PART I, LINE 3, COLUMN (F) DESCRIPTION OF ACCOUNTING METHOD: ALLIANCE FOR SUSTAINABLE ENERGY USES THE ACCRUAL ACCOUNTING METHOD FOR AMOUNTS ENTERED IN SCHEDULE F, PART I, LINE 3 COLUMN (F). true COMMUNITY SHARES OF COLORADO 789 SHERMAN ST 230 DENVER CO 80203 742401941 501(C)(3) 22785 SUPPORT ORGANIZATION NREL FOUNDATION 601 16TH ST SUITE C452 GOLDEN CO 80401 863498248 501(C)(3) 200000 SUPPORT ORGANIZATION THE ACTION CENTER 8745 W 14TH AVE LAKEWOOD CO 80215 237019679 501(C)(3) 10010 SUPPORT ORGANIZATION MILE HIGH UNITED WAY INC 711 PARK AVE W DENVER CO 80205 840404235 501(C)(3) 7000 SUPPORT ORGANIZATION DENVER PUBLIC SCHOOLS 1860 LINCOLN ST DENVER CO 80203 841224325 501(C)(3) 6000 SUPPORT ORGANIZATION CO LABS INC 2440 PEARL ST BOULDER CO 80302 260373539 501(C)(3) 10000 SUPPORT ORGANIZATION DENVER METRO CHAMBER OF COMMERCE 1445 MARKET ST SUITE 400 DENVER CO 80202 840186760 501(C)(6) 12500 SUPPORT ORGANIZATION 6 1 SCHEDULE I, PART I, LINE 2 DESCRIPTION FOR MONITORING GRANTS: ALLIANCE HAS A CONTINUING RELATIONSHIP WITH VARIOUS LOCAL CHARITABLE, EDUCATIONAL, AND CIVIC ORGANIZATIONS. PRIOR TO PROVIDING DONATIONS, THE ORGANIZATIONS ARE IDENTIFIED AS NON-PROFIT ORGANIZATIONS IN GOOD FINANCIAL AND NON-PROFIT STANDING. THE ENTITIES PROVIDE INFORMATION TO THE PUBLIC AND ALLIANCE ON THE GOOD BEING ACCOMPLISHED THROUGH DONATIONS LIKE THOSE FROM ALLIANCE. X X X X X false false false false false false false true false DR MARTIN KELLER PRESIDENT 532280 0 286004 0 42905 0 -8959 0 34898 0 887128 0 MR JOHN STOLPA SECRETARY 313758 0 84731 0 31484 0 -62676 0 33564 0 400861 0 DR PETER GREEN SENIOR VICE PRESIDENT 382984 0 186810 0 24063 0 9212 0 24798 0 627867 0 MS JULIE BAKER SENIOR VICE PRESIDENT 376902 0 189767 0 59939 0 -17832 0 31778 0 640554 0 DR JOHNEY GREEN ASSOCIATE LAB DIRECTOR 343553 0 121059 0 21628 0 -19411 0 32222 0 499051 0 MR WILLIAM FARRIS ASSOCIATE LAB DIRECTOR 298785 0 113573 0 54675 0 -41448 0 25547 0 451132 0 MR JUAN TORRES ASSOCIATE LAB DIRECTOR 327703 0 120369 0 35596 0 -3517 0 10965 0 491116 0 DR WILLIAM TUMAS ASSOCIATE LAB DIRECTOR 337798 0 117932 0 22202 0 -23586 0 23598 0 477944 0 MS JENNIFER LOGAN CFO 145289 0 92443 0 127662 0 17143 0 14747 0 397284 0 MS CHRISTINE HERRERA CHIEF HR OFFICER 258037 0 92642 0 123372 0 30823 0 26449 0 531323 0 SCHEDULE J, PART I, LINE 7 THE ALLIANCE'S INCENTIVE PROGRAM INCLUDES TWO PLANS AND MULTIPLE TIERS WITHIN EACH PLAN. THESE TIERS ARE TARGETED TO SPECIFIC JOB TITLES, WITH EACH FEATURING A TARGET INCENTIVE AS A PERCENTAGE OF BASE PAY. PAYOUTS ARE BASED ON TWO FACTORS: EACH PARTICIPANT'S INDIVIDUAL PERFORMANCE AND THE LAB'S OVERALL PERFORMANCE. FORM 990, PART VI, SECTION A, LINE 1A DESCRIPTION IN DIFFERENCE OF VOTING RIGHTS: ALLIANCE FOR SUSTAINABLE ENERGY HAS 15 BOARD MEMBERS 5 ARE ELECTED BY MRIGLOBAL, 5 BY BATTELLE & 5 CORE UNIVERSITY MEMBERS. ALL BOARD MEMBERS CAN VOTE ON GENERAL BUSINESS AND POLICY MATTERS. MRIGLOBAL AND BATTELLE BOARD MEMBERS ARE THE ONLY MEMBERS THAT CAN VOTE ON ECONOMIC AND OTHER INTERESTS IN THE COMPANY AND OR THE MEMBERS' BUSINESS REPUTATIONS. FORM 990, PART VI, SECTION A, LINE 6 DESCRIBE CIRCUMSTANCES FOR HAVING MEMBERS: ALLIANCE FOR SUSTAINBLE ENERGY HAS TWO MEMBERS: - MRIGLOBAL - BATTELLE MEMORIAL INSTITUTE FORM 990, PART VI, SECTION A, LINE 7A MEMBERS WHO CAN ELECT MEMBERS OF THE GOVERNING BODY: EACH MEMBER HAS THE RIGHT TO NOMINATE AND ELECT 5 MEMBER DIRECTORS. FORM 990, PART VI, SECTION A, LINE 7B DECISIONS OF GOVERNING BODY SUBJECT TO APPROVAL BY MEMBERS: THE MEMBERS HAVE THE RIGHT TO AMEND AND APPROVE THE OPERATING AGREEMENT. FORM 990, PART VI, SECTION B, LINE 11B DESCRIPTION OF PROCESS FOR REVIEWING 990: 1. CONTROLLER REVIEWS THE DRAFT 990 AND SENDS TO THE FINANCE AND AUDIT COMMITTEE (FAC) MEMBERS FOR REVIEW. 2. FAC REVIEW THE DRAFT 990 AND EACH APPROVES THE 990 FOR FILING. 3. THE DRAFT 990 IS POSTED ON THE BOARD SITE FOR THREE BUSINESS DAYS. IF NO COMMENTS OR EDITS ARE RECEIVED, THE 990 IS FILED. FORM 990, PART VI, SECTION B, LINE 12C DESCRIPTION OF PROCESS FOR MONITORING CONFLICT OF INTEREST POLICY: ALL ALLIANCE EMPLOYEES ARE REQUIRED TO ATTEND ETHICS TRAINING WHICH PERIODICALLY INCLUDES THE PROCESS FOR IDENTIFICATION AND DISCLOSURE OF CONFLICTS OF INTEREST. EMPLOYEES ARE REQUIRED TO FILE A WRITTEN DISCLOSURE STATEMENT CONCERNING OUTSIDE ACTIVITIES AND/OR ACTUAL OR POTENTIAL CONFLICTS OF INTEREST BETWEEN THE EMPLOYEE'S WORK AND PERSONAL, FINANCIAL, OR ALLIANCE FOR SUSTAINABLE ENERGY, LLC 26-1939342 BUSINESS INTERESTS. THE EMPLOYEE'S COGNIZANT LINE MANAGEMENT IS RESPONSIBLE FOR THE REVIEW AND APPROVAL OF EMPLOYEE REQUESTS FOR APPROVAL OF OUTSIDE ACTIVITIES WHICH ARE OF CONCERN TO ALLIANCE. EMPLOYEES WHOSE REGULAR RESPONSIBILITIES INVOLVE MANAGING OR EXECUTING LICENSE AGREEMENTS FOR INTELLECTUAL PROPERTY OR THE PREPARATION OR EXECUTION OF COOPERATIVE RESEARCH AND DEVELOPMENT AGREEMENTS (CRADAS) OR OTHER TECHNOLOGY TRANSFER OR TECHNOLOGY PARTNERSHIP ARRANGEMENTS MUST ANNUALLY OR UPON CHANGES IN RELEVANT PERSONAL OR FAMILY CIRCUMSTANCES OR THE NATURE OF WORK ASSIGNED, COMPLETE AN EMPLOYEE'S STATEMENT OF ECONOMIC INTEREST. IF AN ACTUAL OR POTENTIAL CONFLICT OF INTEREST EXISTS, THE EMPLOYEE CONSULTS WITH THE GENERAL COUNSEL OR DESIGNEE TO IDENTIFY AND IMPLEMENT MITIGATION OR AVOIDANCE ACTIONS, OR RECUSES SELF IF AN APPROPRIATE MITIGATION OR AVOIDANCE ACTION CANNOT BE IDENTIFIED. ALL ALLIANCE OFFICERS AND BOARD OF DIRECTOR MEMBERS ARE REQUIRED TO SUBMIT A CONFLICT OF INTEREST DISCLOSURE UPON APPOINTMENT, AND AN ANNUAL CONFLICT OF INTEREST DISCLOSURE AND RECEIVE ANNUAL ORGANIZATIONAL CONFLICTS OF INTEREST TRAINING. THE ALLIANCE BOARD OF DIRECTORS USES DISCLOSURE STATEMENTS TO DETERMINE IF A CONFLICT OF INTEREST EXISTS. IF SO, THE BOARD OF DIRECTORS IMPLEMENTS AVOIDANCE OR MITIGATION ACTIONS AND ANY DIRECTOR OR OFFICER MAY NOT TAKE PART IN DISCUSSION OR VOTING ON MATTERS RELATED TO A DISCLOSED INTEREST. FORM 990, PART VI, SECTION B, LINE 15A & 15B DESCRIPTION OF PRESIDENT AND OTHER OFFICER COMPENSATION PROCESS: GOVERNANCE OF EXECUTIVE COMPENSATION IS CHARTERED THROUGH THE ALLIANCE HUMAN RESOURCES COMPENSATION COMMITTEE. EXTERNAL THIRD PARTY RESOURCES ARE RETAINED ON A BIENNIAL BASIS TO REVIEW ALL ELEMENTS OF EXECUTIVE REMUNERATION (BASE SALARY, ANNUAL INCENTIVES, RETIREMENT BENEFITS, HEALTH AND WELFARE BENEFITS, AND EXECUTIVE PREREQUISITES) TO INSURE COMPETITIVENESS OF ALL THE ELEMENTS OF CASH COMPENSATION RELATIVE TO THE MARKET FOR BOTH BASE COMPENSATION AND TOTAL COMPENSATION. THERE ARE NO PERSONS SERVING ON THE COMPENSATION COMMITTEE WITH A CONFLICT OF INTEREST WITH RESPECT TO THE COMPENSATION ARRANGEMENTS. CONTEMPORANEOUS DOCUMENTATION AND RECORDS ARE RETAINED. THE LAST COMPENSATION REVIEW OCCURRED IN 2023 BY MERCER. FORM 990, PART VI, SECTION C, LINE 19 DESCRIPTION OF GOVERNING DOCUMENTS MADE AVAILABLE TO THE PUBLIC: ALLIANCE MAKES ITS GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY AVAILABLE TO THE PUBLIC UPON REQUEST. ALLIANCE DOES NOT PROVIDE FINANCIAL STATEMENTS TO THE PUBLIC. AS A FEDERALLY FUNDED RESEARCH AND DEVELOPMENT CENTER FOR THE U.S. DEPARTMENT OF ENERGY, ALLIANCE FOR SUSTAINABLE ENERGY, LLC ONLY PROVIDES FINANCIAL STATEMENTS TO THE FEDERAL AGENCY FUNDING THE PROJECT. Form 990, PART XI, LINE 9, CHANGES IN NET ASSETS DESCRIPTION OF OTHER CHANGE IN NET ASSETS: (7,518,591) - DISTRIBUTION TO MEMBERS