2023-11-14T15:32:03-06:00 2022-12-31 946214841 ARMANINO LLP 2700 CAMINO RAMON STE 350 SAN RAMON CA 945835004 990 2022-01-01 680492065 PUBLIC LIBRARY OF SCIENCE PUBL 4156241200 1265 BATTERY STREET STE 200 SAN FRANCISCO CA 94111 KATHRYN MOTONAGA CFO 4156241200 2023-11-14 1 KATHRYN MOTONAGA 999009999 1 KATY BROWN P00650274 9257902600 2023-11-14 2 AAL1 IAL1 2022 2023-04-26 12:10:37Z KATHYRN MOTONAGA 1265 BATTERY STREET STE 200 SAN FRANCISCO CA 94111 35409325 0 X WWW.PLOS.ORG X 2001 CA PLEASE SEE SCHEDULE O FOR COMPLETE DESCRIPTION OF THE ORGANIZATION'S MISSION. 10 9 138 13500 313008 99788 2574373 43355 34399920 34660585 1165406 281185 0 115 38139699 34985240 0 0 0 0 19868916 20933458 0 0 0 12645627 12429335 32514543 33362793 5625156 1622447 24530446 25935740 4498245 6970642 20032201 18965098 X PLEASE SEE SCHEDULE O FOR COMPLETE DESCRIPTION OF THE ORGANIZATION'S MISSION. 0 0 28636476 34347577 SCIENCE AND MEDICAL PUBLISHING ARE THE CORE OF PLOS PROGRAM EXPENSE AT OVER $28.6 MILLION. THE ACTIVITIES INVOLVED IN OUR PUBLISHING OPERATION INCLUDE:EDITORIAL AND PRODUCTION WORK - RECEIPT AND TRIAGE OF SUBMISSIONS; PERFORMING/COORDINATING THEIR PEER REVIEW; AND PRODUCTION AND ONLINE PUBLICATION OF ACCEPTED ARTICLES. MARKETING AND OUTREACH - PROMOTING ARTICLES AND INVITING SUBMISSIONS, INCREASING AWARENESS AND UNDERSTANDING OF OPEN SCIENCE BENEFITS AND PRACTICES, PROMOTING INITIATIVES SUCH AS CALLS FOR PAPERS, AND CREATING RESOURCES FOR AUTHORS AND REVIEWERS.PUBLISHING ETHICS HANDLING ETHICAL AND SCIENTIFIC CONCERNS INVOLVING SUBMISSIONS AND PUBLISHED ARTICLES.ENGAGEMENT WITH RESEARCH COMMUNITIES (E.G. BY ATTENDING/ORGANIZING CONFERENCES/EVENTS/WORKSHOPS) - TO ENSURE THE JOURNALS AND THEIR POLICIES REFLECT THE RESEARCH INTERESTS AND VALUES OF THESE FIELDS AND COMMUNITIES.MEDIA - COLLABORATING WITH AUTHORS, INSTITUTIONS, SCIENCE MEDIA CENTERS AND JOURNALISTS TO COMMUNICATE RESEARCH TO BOTH SCIENTISTS AND SOCIETY.THE SCOPE OF PLOS JOURNALS PUBLISHING IN 2022 INCLUDES:PLOS ONE, THE FIRST MULTIDISCIPLINARY OA JOURNAL PUBLISHING ALL TECHNICALLY VALID AND ETHICAL RESEARCH, REGARDLESS OF ANTICIPATED IMPACT.PLOS BIOLOGY, PUBLISHING ARTICLES OF EXCEPTIONAL SIGNIFICANCE, ORIGINALITY AND RELEVANCE IN ALL AREAS OF BIOLOGICAL SCIENCE, FROM MOLECULES TO ECOSYSTEMS TO DATA-DRIVEN META-RESEARCH.PLOS CLIMATE, PUBLISHING RESEARCH THAT ADDRESSES THE CAUSES AND EFFECTS OF CLIMATE CHANGE AND DYNAMICS.PLOS DIGITAL HEALTH, PUBLISHING RESEARCH THAT ADVANCES HEALTHCARE THROUGH DIGITAL TOOLS, TECHNOLOGIES, AND DATA SCIENCE.PLOS GLOBAL PUBLIC HEALTH, A NEW HOME FOR DIVERSE RESEARCH ADDRESSING GLOBAL PUBLIC HEALTH CHALLENGES AND INEQUITIESPLOS MEDICINE, PUBLISHING LEADING RESEARCH IN ALL AREAS OF MEDICAL SCIENCE, CLINICAL PRACTICE AND HEALTH POLICY INCLUDING A VARIETY OF STUDY DESIGNS.PLOS COMPUTATIONAL BIOLOGY, PUBLISHING WORK THAT FURTHERS THE UNDERSTANDING OF LIVING SYSTEMS AT ALL SCALES THROUGH THE APPLICATION OF COMPUTATIONAL METHODS.PLOS GENETICS, FOCUSED ON ORIGINAL CONTRIBUTIONS IN GENETICS AND GENOMICS THAT REFLECT THE FULL BREADTH, INTERDISCIPLINARY NATURE AND IMPACT OF THESE FIELDS ON SCIENCE AND MEDICINE.PLOS NEGLECTED TROPICAL DISEASES, THE FIRST JOURNAL SOLELY DEVOTED TO CHRONIC AND POVERTY-PROMOTING INFECTIOUS DISEASES, PUBLISHES RESEARCH ON ALL ASPECTS OF NTDS. PLOS PATHOGENS, FIRST OA JOURNAL FOR BREAKTHROUGHS IN UNDERSTANDING PATHOGENS AND THEIR INTERACTIONS WITH HOST ORGANISMS. PLOS SUSTAINABILITY AND TRANSFORMATION, PUBLISHING LEADING RESEARCH THAT DRIVES PROGRESS TOWARDS SUSTAINABILITY OF OUR RENEWABLE RESOURCES, ECONOMY, AND SOCIETY.PLOS WATER, A NEW HOME FOR ALL RESEARCH RELATED TO WATER AS A VITAL RESOURCE FOR PEOPLE AND THE PLANET.IN ADDITION TO MANAGING THE ABOVE PORTFOLIO OF JOURNALS, IN 2022 PLOS CONTINUED ITS FOCUS ON THREE BROAD AREAS: (1) OPEN SCIENCE PRACTICES AND INITIATIVES AROUND TRANSPARENCY, RECOGNITION, EXPANDED OPPORTUNITIES FOR PEER REVIEW, FIGHTING PUBLICATION BIAS, AND REPRODUCIBILITY; (2) DEVELOPING MORE EQUITABLE BUSINESS MODELS TO ENABLE A DIVERSE AND SUSTAINABLE PUBLISHING ECOSYSTEM AND (3) EXPANDING OUR CAPACITY TO LEARN FROM DIVERSE RESEARCH COMMUNITIES ACROSS THE GLOBE TO CO-CREATE SOLUTIONS FOR A MORE OPEN, EFFECTIVE, AND FAIR RESEARCH ECOSYSTEM. THE FOLLOWING ARE KEY HIGHLIGHTS FROM OUR WORK IN 2022:PLOS PARTNERED WITH DATASEER TO DEVELOP OPEN SCIENCE INDICATORS, INTRODUCING STANDARDS FOR MEASURING AND TRACKING OPEN SCIENCE BEHAVIORS ACROSS OUR JOURNALS.WE ESTABLISHED A REPRESENTATIVE OFFICE IN SINGAPORE AS PART OF OUR GOAL TO DEEPEN OUR UNDERSTANDING OF DIVERSE RESEARCH COMMUNITIES AND ADVANCE OUR MISSION FOR AN EQUITABLE OPEN SCIENCE FUTURE IN LOCALLY RESPONSIBLE WAYS.JOURNALS LAUNCHED IN 2021 TO ADDRESS GLOBAL HEALTH AND ENVIRONMENTAL CHALLENGES PUBLISHED THEIR FIRST 1,000 PAPERS AS WE CONTINUED TO ENGAGE WITH AND GROW THESE COMMUNITIES IN WAYS THAT PROMOTE MULTI-DISCIPLINARY DISCUSSION AND EXCHANGE OF KNOWLEDGE.PLOS DOUBLED OUR PARTNERSHIPS WITH INSTITUTIONS UNDER OUR COMMUNITY ACTION PUBLISHING, GLOBAL EQUITY AND FLAT FEE MODELS WHICH REDUCE OR ELIMINATE AUTHOR PUBLICATION FEES.WE CONTINUED OUR WORK TO ADVANCE ADOPTION OF OPEN SCIENCE PRACTICES AS WELL AS REFINE AND DEVELOP NEW SERVICES FOR AUTHORS. WE EXTENDED OUR PREPRINT OPTIONS TO INCLUDE FACILITATED POSTING TO MEDRXIV AND DIRECT SUBMISSIONS FROM EARTHRXIV TO SELECT JOURNALS. AS PART OF A PROJECT FUNDED BY THE WELLCOME TRUST, WE ALSO TESTED TWO SOLUTIONS TO INCREASE DATA-SHARING AND DISCOVERY: ENABLING AUTHORS SUBMITTING TO PLOS PATHOGENS TO DEPOSIT THEIR DATA WITH DRYAD UPON SUBMISSION, AND CREATING AN ACCESSIBLE DATA ICON FOR MANUSCRIPTS SHARING DATA IN ONE OF OUR MOST-USED REPOSITORIES. PLOS UNDERTOOK SEVERAL RESEARCH PROJECTS TO FACILITATE DEEPER UNDERSTANDING OF OUR SCHOLARLY PUBLISHING SYSTEM, INCLUDING AN ASSESSMENT OF INTERACTIVE NOTEBOOKS AND CODE-SHARING PRACTICES, MEASURING THE IMPACT OF PLOS COMPUTATIONAL BIOLOGY'S CODE POLICY, AND A SURVEY OF RESEARCHERS' METHOD SHARING PRACTICES AND PRIORITIES. ALL OUR FINDINGS ARE PUBLICLY AVAILABLE.PLOS CONTINUED TO PARTICIPATE IN THE PLAN S PRICE & SERVICE TRANSPARENCY FRAMEWORK, PUBLICLY REPORTING OUR PRICING BREAKDOWN ON OUR BLOG.PLOS CONTINUED OUR PUBLICATION FEE ASSISTANCE PROGRAMS, DESIGNED TO OVERCOME BARRIERS TO IMMEDIATE AVAILABILITY, ACCESS AND USE OF RESEARCH. IN 2022 PLOS PROVIDED $3.8 MILLION IN PARTIAL OR FULL ARTICLE PROCESSING CHARGE (APC) WAIVERS TO AUTHORS. 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THE EXEMPTIONS ARE SUBJECT TO PERIODIC REVIEW BY THE FEDERAL AND STATE TAXING AUTHORITIES, AND MANAGEMENT IS CONFIDENT THAT PLOS CONTINUES TO SATISFY ALL FEDERAL AND STATE STATUTES IN ORDER TO QUALIFY FOR CONTINUED TAX EXEMPTION STATUS. PLOS MAY PERIODICALLY RECEIVE UNRELATED BUSINESS INCOME (SUCH AS ADVERTISING INCOME, ETC.) REQUIRING PLOS TO FILE SEPARATE TAX RETURNS UNDER FEDERAL AND STATE STATUTES. PLOS ALSO HAS CERTAIN TRANSACTIONS REQUIRING THE PAYMENT OF ADDITIONAL EMPLOYER TAXES TO HM REVENUE AND CUSTOMS IN THE U.K. UNDER SUCH CONDITIONS, PLOS CALCULATES AND ACCRUES THE APPLICABLE TAXES. PLOS IS NOT SUBJECT TO EXAMINATION BY TAXING AUTHORITIES, NOR WAS FOR ANY PRIOR YEARS. THE GERMAN SUBSIDIARY, PLOS GMBH, IS NOT AN EXEMPT ORGANIZATION AND IS SUBJECT TO EMPLOYER TAXES, CORPORATE INCOME TAX FILINGS, AND PAYMENT OBLIGATIONS TO THE AUTHORITIES IN GERMANY. PLOS CONSULTS WITH AN AGENT, MAZARS GMBH AND CO. KG, IN GERMANY TO TIMELY PREPARE AND FILE THE RETURNS. PLOS ASSESSES TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN AGAINST MORE-LIKELY-THAN-NOT RECOGNITION THRESHOLD AND MEASUREMENT ATTRIBUTES FOR FINANCIAL STATEMENT RECOGNITION. BASED ON AN ANALYSIS PREPARED BY PLOS, IT WAS DETERMINED THAT PLOS BELIEVES THAT IT HAS APPROPRIATE SUPPORT FOR ANY TAX POSITIONS TAKEN, AND AS SUCH, DOES NOT HAVE ANY UNCERTAIN TAX POSITIONS THAT ARE MATERIAL TO THE FINANCIAL STATEMENTS. PART XI, LINE 4B - OTHER ADJUSTMENTS: FOREIGN EXCHANGE ADJUSTMENT 576. PART XII, LINE 4B - OTHER ADJUSTMENTS: FOREIGN EXCHANGE ADJUSTMENT 576. EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 2 77 PROGRAM SERVICES EDITORIAL SUPPORT TO SERVE U.S. OPERATIONS. 4008323 2 77 0 0 2 77 4008323 0 4008323 0 0 0 0 0 0 PART III ACCOUNTING METHOD: X X X 0 0 0 0 0 0 0 1 0 ALISON MUDDITT CHIEF EXECUTIVE OFFICER 450549 0 40000 0 0 0 17143 0 25915 0 533607 0 0 0 VERONIQUE KIERMER PUBLISHER & EXEC EDITOR 307483 0 3869 0 0 0 12079 0 25915 0 349346 0 0 0 REBEKAH DARKSMITH CHIEF MARKETING OFFICER 286736 0 4232 0 0 0 11383 0 25915 0 328266 0 0 0 KATHRYN MOTONAGA CHIEF FINANCIAL OFFICER 286920 0 3869 0 0 0 11542 0 9809 0 312140 0 0 0 KRISTINA MARTIN CHIEF PEOPLE & CULTURE 257657 0 3869 0 0 0 10174 0 20962 0 292662 0 0 0 AARON DODDS EXECUTIVE DIRECTOR RESEARCH AND MGMT 228617 0 2232 0 0 0 9234 0 13808 0 253891 0 0 0 NIAMH O'CONNOR CHIEF PUBLISHING OFFICER 203018 0 4062 0 0 0 8085 0 5872 0 221037 0 0 0 RANDY TOWNSEND DIRECTOR, PUBLISHING OPERATIONS 209481 0 903 0 0 0 8589 0 0 0 218973 0 0 0 MATTHEW VALDEZ PRINCIPAL SOFTWARE ENGINEER, PLATFOR 187872 0 1869 0 0 0 6636 0 20962 0 217339 0 0 0 JAMES HARNEY SENIOR MANAGER, STRATEGIC RESEARCH 199498 0 2232 0 0 0 7980 0 3720 0 213430 0 0 0 SAYEDEH ROUHI DIRECTOR, STRATEGIC PARTNERSHIP 192585 0 2232 0 0 0 6993 0 177 0 201987 0 0 0 SANDRA UPEGUI GENERAL COUNSEL AND CORPORATE SECRET 169590 0 0 0 0 0 6688 0 10292 0 186570 0 0 0 PART I, LINE 7 THE ORGANIZATION'S OFFICERS RECEIVE NON-FIXED BONUS PAYMENTS. THESE AMOUNTS ARE BASED ON BOARD APPROVAL. PART I, LINE 1 PLOS (PUBLIC LIBRARY OF SCIENCE) IS A NONPROFIT LEADING A TRANSFORMATION IN RESEARCH COMMUNICATION. WE PUBLISH A SUITE OF OPEN ACCESS JOURNALS, AND WORK ALONGSIDE RESEARCH COMMUNITIES TO BREAK DOWN BARRIERS IN MAKING RESEARCH COMMUNICATION MORE OPEN, EFFECTIVE, AND FAIR. WE HAVE BEEN BREAKING BOUNDARIES SINCE OUR FOUNDING IN 2001. PLOS JOURNALS PROPELLED THE MOVEMENT FOR OA ALTERNATIVES TO SUBSCRIPTION JOURNALS. WE ESTABLISHED THE FIRST MULTI-DISCIPLINARY PUBLICATION INCLUSIVE OF ALL EXCELLENT RESEARCH REGARDLESS OF NOVELTY OR IMPACT AND DEMONSTRATED THE IMPORTANCE OF OPEN DATA AVAILABILITY. WE CONTINUE TO ADVOCATE FOR AND PUSH THE BOUNDARIES OF OPEN SCIENCE IN ORDER TO STRENGTHEN THE FOUNDATION OF KNOWLEDGE FROM WHICH WE ALL ADVANCE. PLOS' OPEN ACCESS JOURNALS COVER ALL AREAS OF SCIENCE, MEDICINE AND RELATED SOCIAL SCIENCES. RIGOROUSLY REPORTED, PEER REVIEWED, AND IMMEDIATELY AVAILABLE WITHOUT RESTRICTIONS, THE JOURNALS PROMOTE THE WIDEST READERSHIP AND IMPACT POSSIBLE. WE STRIVE TO IMPLEMENT POLICIES AND INNOVATIONS THAT PROMOTE REPRODUCIBILITY, CREDIT, AND ACCOUNTABILITY TO FOSTER A CULTURE OF OPEN SCIENCE. OUR WORK IN THESE AREAS IS SUPPORTED BY THE EFFORTS OF A DIVERSE, INTERNATIONAL COMMUNITY OF SCIENTIFIC RESEARCHERS FROM HUNDREDS OF RESEARCH AREAS WHO PUBLISH AND REVIEW RIGOROUS RESEARCH OF ALL TYPES. SINCE 2003, PLOS HAS PUBLISHED MORE THAN 300,000 RESEARCH ARTICLES. IN 2021 ALONE PLOS PUBLISHED MORE THAN 20,000 RESEARCH ARTICLES DOCUMENTING THE OBSERVATIONS AND DISCOVERIES OF A DIVERSE SCIENTIFIC COMMUNITY. THOUSANDS OF RESEARCHERS ACROSS THE GLOBE DEDICATED THEIR TIME AS ACADEMIC EDITORS AND REVIEWERS TO BRINGING THIS WORK TO THE PUBLIC. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 IS PREPARED BY AN OUTSIDE TAX PROFESSIONAL WITH ASSISTANCE FROM THE ORGANIZATION. THE FORM IS THEN REVIEWED BY THE CFO AND MEMBERS FROM THE AUDIT COMMITTEE. AFTER REVIEW AND MODIFICATIONS WHERE NECESSARY, THE FINAL VERSION OF THE TAX RETURN IS PROVIDED TO THE BOARD OF DIRECTORS. THE CFO SIGNS AND FILES ALL REQUIRED TAX FILINGS. FORM 990, PART VI, SECTION B, LINE 12C THE GENERAL COUNSEL AND SECRETARY OVERSEES THE ANNUAL CONFLICT OF INTEREST DISCLOSURE PROCESS. A COMMITTEE OF THE BOARD OF DIRECTORS REVIEWS ALL POTENTIAL CONFLICTS OF INTEREST AT LEAST ANNUALLY. THE CEO AND ALL BOARD MEMBERS ARE REQUIRED TO DISCLOSE (IN WRITING) POTENTIAL CONFLICTS AND ANY RELATED PARTY AFFILIATIONS. LOANS BETWEEN THE ORGANIZATION AND MEMBERS OF MANAGEMENT AND THE BOARD ARE STRICTLY PROHIBITED. THE ORGANIZATION SEEKS FULL TRANSPARENCY ON ALL RELATIONSHIPS. ANY POTENTIAL CONFLICTS (IN FACT OR APPEARANCE) ARE DISCUSSED OPENLY AND RESOLVED IN ACCORDANCE WITH THE ORGANIZATION'S POLICIES AND PROCEDURES. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS REVIEWS THE COMPENSATION OF ALL HIGH-LEVEL PERSONNEL ANNUALLY IN ACCORDANCE WITH IRS RULES AND REGULATIONS. EFFORTS ARE MADE TO SECURE COMPENSATION DATA FROM INDUSTRY SOURCES IN ORDER TO DETERMINE COMPETITIVENESS AND APPROPRIATENESS OF SALARIES AND BENEFITS. EVERY EFFORT IS MADE TO ENSURE THAT THE PROCESS IS THOROUGH AND TRANSPARENT IN ACCORDANCE WITH APPROPRIATE GOVERNANCE AND REGULATORY COMPLIANCE. THIS IS PERFORMED ANNUALLY AND THE PROCESS IS MANAGED BY THE HR DIRECTOR. REVIEW ENCOMPASSES CEO, CFO, EXECUTIVES AND KEY EMPLOYEES. FORM 990, PART VI, SECTION C, LINE 19 PLOS MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. THESE DOCUMENTS ARE ALSO POSTED ON OUR WEBSITE. PLOS GMBH EDISONSTRABE 63 HAUS A 1 ETAGE BERLIN GM 12459 RESEARCH GM -361604 23838 PUBLIC LIBRARY OF SCIENCE