2021-08-04T18:03:42-05:00 2020-09-30 BKD LLP 111 South Tejon Suite 800 Colorado Springs CO 809039848 990 2019-10-01 261939342 ALLIANCE FOR SUSTAINABLE ENERGY LLC % SUSAN SCRIVER ALLI 3032753000 15013 DENVER WEST PARKWAY RSF041 GOLDEN CO 80401 MR OWEN BARWELL CFO 3032753000 2021-08-16 true Adam R Smith CPA P00958966 7194714290 2019 2022-09-23 18:48:47Z DR MARTIN KELLER 15013 Denver West Pkwy RSF041 GOLDEN CO 80401 546317217 false X WWW.ALLIANCEFORSUSTAINABLEENERGY.ORG X LLC 2008 DE OPERATES THE NATIONAL RENEWABLE ENERGY LABORATORY TO DEVELOP ENERGY EFFICIENT TECHNOLOGIES 15 15 2866 15 0 493545097 546285329 0 0 4483 1111 0 30777 493549580 546317217 0 0 0 0 296091065 345950502 0 0 0 191807168 193821196 487898233 539771698 5651347 6545519 111143841 132660064 104428408 128486818 6715433 4173246 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 538758351 30777 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&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. 538758351 true true false true false false false false false false false false false false true true true false false true true false false false false false false false false true false false false false false false false false false false false false false false false false true 482 0 2866 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 GOLDEN CO 80401 X MS BOBI GARRETT SENIOR VICE PRESIDENT 40.0 0.0 X 576533 0 433217 DR MARTIN KELLER PRESIDENT 40.0 0.0 X 696436 0 90900 DR PETER GREEN SENIOR VICE PRESIDENT 40.0 0.0 X 490135 0 93122 MR WILLIAM FARRIS ASSOCIATE LAB DIRECTOR 40.0 0.0 X 356816 0 171089 DR WILLIAM TUMAS ASSOCIATE LAB DIRECTOR 40.0 0.0 X 394245 0 121725 DR JOHNEY GREEN ASSOCIATE LAB DIRECTOR 40.0 0.0 X 393036 0 83567 MR STEVEN SILBERGLEID SECRETARY - FORMER 0.0 0.0 X 403150 0 63461 MR OWEN BARWELL CHIEF FINANCIAL OFFICER 40.0 0.0 X 363348 0 102575 DR ROBERT LELAND ASSOCIATE LAB DIRECTOR 40.0 0.0 X 394809 0 60094 MR JUAN TORRES ASSOCIATE LAB DIRECTOR 40.0 0.0 X 391767 0 59585 MS JULIE BAKER SENIOR VICE PRESIDENT 40.0 0.0 X 334208 0 88764 MR JOHN STOLPA SECRETARY 40.0 0.0 X 258138 0 107614 DR RONALD D TOWNSEND CHAIRMAN OF THE BOARD 1.0 0.0 X X 0 0 0 DR THOMAS M SACK VICE 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 1.0 0.0 X 0 0 0 DR SALLY M BENSON BOARD MEMBER 1.0 0.0 X 0 0 0 MR MARTIN CONGER BOARD MEMBER 1.0 0.0 X 0 0 0 DR JOHN CHRIS DETTER BOARD MEMBER 1.0 0.0 X 0 0 0 DR THERESA S FIEZ BOARD MEMBER 1.0 0.0 X 0 0 0 MR RICHARD THOMAS FLEENER BOARD MEMBER 1.0 0.0 X 0 0 0 MR TODD HARRINGTON BOARD MEMBER 1.0 0.0 X 0 0 0 DR MICHAEL KUHLMAN BOARD MEMBER 1.0 0.0 X 0 0 0 DR ALAN A RUDOLPH BOARD MEMBER 1.0 0.0 X 0 0 0 DR JOHN S STANLEY BOARD MEMBER 1.0 0.0 X 0 0 0 DR STEPHANIE TOMPKINS BOARD MEMBER 1.0 0.0 X 0 0 0 MS KRISTINE WERKING BOARD MEMBER 1.0 0.0 X 0 0 0 5052621 0 1475713 1021 true true false SUN CONSTRUCTION FACILITY SERVICE 1232 BOSTON AVENUE LONGMONT CO 80501 CONSTRUCTION 4995675 COLORADO SCHOOL OF MINES 1500 ILLINOIS STREET GOLDEN CO 80401 RESEARCH 3828683 REGENTS OF THE UNIVERSITY OF COLORA 12800 E 19TH AVENUE AURORA CO 80045 RESEARCH 3497539 Regan Technologies Corporation 515 Centerpoint Drive MIDDLETOWN CT 06457 Software Maintenance 2134216 Sandia National Laboratories PO BOX 5800 ALBUQUEREQUE NM 87185 Research 1787022 291 546285329 546285329 0 1111 1111 0 30777 30777 0 0 0 0 0 0 0 0 0 0 0 0 0 0 546317217 30777 1111 0 0 0 0 2417879 1933203 484676 0 266274456 266274456 33016739 33016739 25928595 25928595 18312833 18312833 0 767058 767058 251984 251984 0 0 0 9031463 8796892 234571 0 2534755 2309478 225277 16668075 16668075 95779 95779 6803347 6803347 3560962 3559307 1655 0 3610698 3610698 391246 391044 202 0 0 228337 228337 LAB EQUIPMENT AND SUPPLIES 32527929 32527929 MAINTENANCE AND REPAIR 19137476 19137476 DUES AND SUBSCRIPTIONS 4049211 4049211 SUBCONTRACTS 94162876 94095910 66966 0 539771698 538758351 1013347 0 880347 5650215 4490178 0 0 0 97857140 118429649 0 0 0 0 0 0 0 144385 7570706 8177977 0 0 0 0 0 0 0 0 0 0 345470 257838 111143841 132660064 74628274 89852911 0 0 505047 0 0 0 0 0 0 0 0 0 0 0 29295087 38633907 104428408 128486818 X 4047644 4173246 2667789 0 6715433 4173246 111143841 132660064 X 6545519 -2667789 -6419917 X false true X true false X 387495321 384266251 411299186 493545097 546285329 2222891184 0 0 387495321 384266251 411299186 493545097 546285329 2222891184 0 2222891184 798 835 1633 4483 31888 39637 0 0 2222930821 0.99998 1.00000 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 539771698 539771698 1000000 250000 false 1000000 1000000 1000000 1000000 4000000 6000000 250000 250000 250000 250000 1000000 1500000 0 Advances 38633907 38633907 546317217 546317217 546317217 539771698 539771698 539771698 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 1 PROGRAM SERVICES SEE ATTACHED 26486 EUROPE (INCLUDING ICELAND AND GREENLAND) 4 PROGRAM SERVICES SEE ATTACHED 471711 5 5 498197 498197 false false false false false false SCHEDULE F, PART I, LINE 3 Description of Expenditures in Region: East Asia and the Pacific: One employee in collaboration with an internationally recognized scientist in the field of solar cells that incorporate quantum Nanostructures that complements our core SETO-funded research at NREL targeting a 33% two-junction cell efficiency, and has applications to other projects funded by the Department of Energy. Europe: One employee working in Spain on effective integration of various analytical models developed by Comillas University related to DOE Building Technologies Office project milestones. One employee working in the United Kingdom utilizing high performance computing to address electronic, structural, vibrational, optical, or magnetic phenomena and properties of materials at the atomic, nano- or meso- scale. Two employees were on personal trips when the Covid-19 pandemic delayed their return to the United States. Both employees continued their assigned tasks remotely. One worked developing systems innovations and engineering tools related to high performance wave energy technologies and one employee supported global collaborations with world-leading Energy Systems Integrations research institutions. Schedule F, PArt I, Line 3, Column (f) Description of Accounting Method: Alliance for Sustainable Energy uses the accural accounting method for amounts entered in Schedule F,Part I, Line 3 Column (f). X X X X X true false false false false false false true false DR WILLIAM TUMAS ASSOCIATE LAB DIRECTOR 300357 83082 10806 100702 21023 515970 DR MARTIN KELLER PRESIDENT 454124 0 222070 0 20242 0 57175 0 33725 0 787336 0 MR JOHN STOLPA SECRETARY 221438 0 36164 0 536 0 74845 0 32769 0 365752 0 MR OWEN BARWELL CHIEF FINANCIAL OFFICER 277009 0 66214 0 20125 0 68632 0 33943 0 465923 0 DR PETER GREEN SENIOR VICE PRESIDENT 328180 0 139391 0 22564 0 64738 0 28384 0 583257 0 MS JULIE BAKER SENIOR VICE PRESIDENT 258616 0 74626 0 966 0 56726 0 32038 0 422972 0 MS BOBI GARRETT SENIOR VICE PRESIDENT 358663 0 141575 0 76295 0 417853 0 15364 0 1009750 0 MR STEVEN SILBERGLEID SECRETARY - FORMER 195802 0 2651 0 204697 0 45170 0 18291 0 466611 0 DR JOHNEY GREEN ASSOCIATE LAB DIRECTOR 298572 0 87690 0 6774 0 50486 0 33081 0 476603 0 DR ROBERT LELAND ASSOCIATE LAB DIRECTOR 310369 0 82268 0 2172 0 49825 0 10269 0 454903 0 MR JUAN TORRES ASSOCIATE LAB DIRECTOR 285427 0 86203 0 20137 0 49495 0 10090 0 451352 0 MR WILLIAM FARRIS ASSOCIATE LAB DIRECTOR 256189 0 79683 0 20944 0 137353 0 33736 0 527905 0 SCHEDULE J, PART I, LINE 4C Description of SEVERANCE OR CHANGE OF CONTROL PAYMENT: Steven Silbergleid received a severance or change of control payment in the amount of $156,345. 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 Descritpion 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 COMMITEE (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 ON NOVEMBER 15,2019 BY MERCER. FORM 990, PART VI, SECTION C, LINE 19 Description of Governing Documents made available to the public: ALLIANCE MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC UPON REQUEST. Form 990, PArt XI, Line 9, Changes in Net Assets Description of other change in net assets: (6,419,917) - Distribution to Members