2017-10-16T12:44:20-05:00 2016-12-31 930743240 HOFFMAN STEWART & SCHMIDT PC 4900 MEADOWS ROAD STE 200 LAKE OSWEGO OR 970353295 990 2016-01-01 931228867 NORTHWEST ENERGY EFFICIENCY ALLIANCE NORT 5036885400 421 SW SIXTH AVE NO 600 PORTLAND OR 97204 SUELYNN CALLAHAN EXECUTIVE DIRECTOR 5036885400 2017-09-14 1 TODD D MASSINGER P00075883 5032205900 2016 2022-09-23 18:48:47Z SUSAN E STRATTON 421 SW SIXTH AVE NO 600 PORTLAND OR 97204 37610262 0 X WWW.NEEA.ORG X 1996 OR THE NORTHWEST ENERGY EFFICIENCY ALLIANCE (NEEA OR "THE ALLIANCE")WORKS TO MOBILIZE THE NORTHWEST TO BECOME INCREASINGLY ENERGY EFFICIENT FOR A SUSTAINABLE FUTURE. NEEA IS FUNDED BY THE BONNEVILLE POWER ADMINISTRATION, ENERGY TRUST OF OREGON AND ELECTRIC AND NATURAL GAS UTILITIES ACCROSS THE REGION. ITS STAKEHOLDERS INCLUDE PUBLIC BENEFITS ADMINISTRATORS, STATE GOVERNMENTS, PUBLIC INTEREST GROUPS AND ENERGY EFFICIENCY INDUSTRY REPRESENTATIVES. NEEA COLLABORATES WITH ITS FUNDERS AND STAKEHOLDERS TO IDENTIFY EMERGING ENERGY-EFFICIENT PRODUCTS, SERVICES AND PRACTICES AND CREATE THE MARKET CONDITIONS FOR THEIR ADOPTION. BY WORKING TOGETHER AS AN ALLIANCE, NEEA'S FUNDERS AGGREGATE THEIR ENGERGY EFFICIENCY INVESTMENT TO ACHIEVE REGIONAL ECONOMIES OF SCALE, INCREASE MARKET LEVERAGE AND POOL RISK. THE RESULT IS LONG-TERM, COST-EFFECTIVE ENERGY SAVINGS FOR THE REGION.SINCE 1997, NEEA'S ACTIVITIES HAVE SAVED MORE THAN 1,400 AVERAGE MEGAWATTS. 19 19 102 290 0 0 32085630 37449987 0 0 9940 6550 100914 153725 32196484 37610262 0 0 0 0 9691273 10851525 0 0 0 22805229 27042085 32496502 37893610 -300018 -283348 12146629 9636031 10319236 8091986 1827393 1544045 X SEE SCHEDULE O 0 0 22860197 0 0 MARKET EXECUTION:IN PARTNERSHIP WITH THE REGION, NEEA USES THE MARKET POWER OF THE NORTHWEST'S 13 MILLION ENERGY CONSUMERS TO ACCELERATE THE INNOVATION AND ADOPTION OF BOTH ELECTRIC AND NATURAL GAS ENERGY-EFFICIENT PRODUCTS, SERVICES AND PRACTICES. SOME KEY ACTIVITIES AND RESULTS STEMMING FROM THE REGION'S INVESTMENT ARE: -ALL MAJOR MANUFACTURERS NOW OFFER HIGHLY-EFFICIENT HEAT PUMP WATER HEATERS WITH THE NUMBER OF QUALIFIED PRODUCTS INCREASING FROM ONE TO 65 IN 2016. -REGIONAL DUCTLESS HEAT PUMP SALES INCREASED 22% OVER 2015 WITH ALMOST 35,000 UNITS SOLD. -MARKET SHARE OF LOW WATT FLUORESCENT LAMPS REACHED 22% - UP FROM 17% IN 2015 - WITH MORE THAN 200 ELECTRICAL AND LIGHTING DISTRIBUTOR BRANCHES NOW PARTICIPATING IN THE PROGRAM. -THE REGION COMPLETED THE FIRST REGIONAL STRATEGIC MARKET PLAN FOR THE CONSUMER PRODUCTS MARKET, WHICH INCLUDES A SHARED VISION, MISSION, GOALS, STRATEGIES FOR ADVANCING EFFICIENCY IN THIS MARKET OVER THE NEXT 20 YEARS. -NEEA CONDUCTED LAB AND FIELD-TESTING OF A NUMBER OF NATURAL GAS TECHNOLOGIES, INCLUDING: GAS-FIRED HEAT PUMP WATER HEATERS, COMBINATION SPACE AND WATER HEATING SYSTEMS, EFFICIENT GAS DRYERS, AND CONDENSING ROOFTOP UNITS. STAFF ARE WORKING WITH MANUFACTURERS TO REFINE THEIR PRODUCTS TO MAXIMIZE ENERGY SAVINGS, REDUCE PRODUCT COST AND ENSURE CONSUMER SATISFACTION. -NEEA LAUNCHED A NATURAL GAS MARKET CHARACTERIZATION STUDY THAT WILL PROVIDE A RICH UNDERSTANDING OF NATURAL GAS END USE CUSTOMERS, AND INFORM FUTURE STRATEGIES TO OVERCOME MARKET BARRIERS TO PRODUCT ACCELERATION AND ADOPTION. 8027134 0 0 PLANNING EVALUATION AND TECHNOLOGY:NEEA SCANS THE MARKET FOR ENERGY EFFICIENCY OPPORTUNITIES AND DRIVES ACCEPTANCE AND AVAILABILITY OF PROMISING EMERGING TECHNOLOGIES. IN 2016, NEEA STAFF UNDERTOOK RESEARCH AND CONDUCTED LAB AND FIELD TESTS OF EMERGING TECHNOLOGIES. ACTIVITIES INCLUDE: -INVESTIGATING EMERGING ENERGY EFFICIENCY OPPORTUNITIES REPRESENTING TECHNICAL SAVINGS POTENTIAL FOR THE REGION OF MORE THAN 1,400 AVERAGE MEGAWATTS (AMW). -CONDUCTING LAB AND FIELD-TESTING OF A NUMBER OF EMERGING TECHNOLOGIES, INCLUDING: HIGHLY-EFFICIENT COMMERCIAL ROOFTOP HVAC UNITS, THREE COMBINATION SPACE AND WATER HEATING SYSTEMS (A DUCTLESS HEAT PUMP COMBINED WITH A HEAT PUMP WATER HEATER), AND A CO2 HEAT PUMP WATER HEATER. -DEVELOPING A TEST METHOD THAT ASSESSES THE FULL RANGE OF NEW ULTR-HIGH DEFINITION TV FEATURES AND CAN BE USED TO ADEQUATELY MEASURE REAL ENERGY CONSUMPTION OF THIS NEXT GENERATION TECHNOLOGY, WHICH IS QUICKLY GAINING MARKET SHARE.NEEA'S MARKET RESEARCH DRIVES PROGRAMMING, DEFINES CHALLENGES WITHIN ENERGY EFFICIENCY WORK, AND PROVIDES CRITICAL MARKET DATA AND ANALYSES ABOUT REGIONAL ENERGY CONSUMPTION AND MARKETS FOR ITS STAKEHOLDERS. I 2016, NEEA STAFF: -PUBLISHED 17 MARKET RESEARCH AND EVALUATION REPORTS ON BEHALF OF THE REGION, INCLUDING A MARKET CHARACTERIZATION AND BASELINE REPORT FOR LUMINAIRE LEVEL LIGHTING CONTROLS, THE FIRST MARKET PROIGRESS AND EVALUATION REPORT FOR NEEA'S REDUCED WATTAGE LAMP REPLACEMENT PROGRAM, AND A MARKET CHARACTERIZATION REPORT FOR SUPER-EFFICIENT DRYERS. -CONDUCTED SITE VISITS FOR A RESIDENTIAL BUILDING STOCK ASSESSMENT AND LAUNCHED PLANNING FOR A COMMERCIAL BUILDING STOCK ASSESSMENT. BOTH REGIONAL STOCK ASSESSMENTS WILL INFORM FUTURE ENERGY PLANNING EFFORTS, AS WELL AS ENERGY EFFICIENCY UTILITY PROGRAMS AND REBATES OFFERED BY THE REGION'S UTILITIES, THE ENERGY TRUST OF OREGON AND THE BONNEVILLE POWER ADMINISTRATION. 1184449 0 0 STAKEHOLDER ENGAGEMENT AND COMMUNICATION:THE GOAL OF NEEA'S STAKEHOLDER ENGAGEMENT AND COMMUNICATION TEAM IS TO FACILITATE AND ADVANCE REGIONAL COLLABORATION BETWEEN NEEA AND ITS FUNDERS AND STAKEHOLDERS. IN 2016, NEEA STAFF: -DELIVERED THE 7TH ANNUAL EFFICIENCY EXCHANGE CONFERENCE TO FACILITATE REGIONAL COLLABORATION ON ENERGY EFFICIENCY OPPORTUNITIES AND SHARE SUCCESS STORIES AND BEST PRACTICES. -CONVENED CHIEF EXECUTIVE OFFICERS FROM UTILITIES AND KEY REGIONAL ENERGY EFFICIENCY GROUPS (NATURAL RESOURCES DEFENSE COUNCIL, NW ENERGY COALITION, NORTHWEST POWER AND CONSERVATION COUNCIL, AND OTHERS) TO DISCUSS THE FUTURE OF ENERGY EFFICIENCY IN THE REGION AT THE THIRD ANNUAL NORTHWEST ENERGY EFFICIENCY LEADERSHIP MEETING. -ORGANIZED AND FACILIATATED QUARTERLY NEEA SECTOR ADVISORY COMMITTEE MEETINGS TO ENSURE REGIONAL PARTICIPATION IN NEEA MARKET TRANSFORMATION PROGRAMS. 32071780 1 1 0 1 0 0 0 0 0 0 1 0 0 0 0 1 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 75 0 1 102 1 0 0 0 0 0 0 0 0 0 0 0 0 X 19 19 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 OR X SUELYNN CALLAHAN 5036885400 421 SW SIXTH AVE SUITE 600 PORTLAND OR 97204 BOB STOLARSKI CHAIR 2.00 X X 0 0 0 DEB YOUNG VICE CHAIR 2.00 X X 0 0 0 MARGIE HARRIS SECRETARY 2.00 X X 0 0 0 JOHN FRANCISCO TREASURER 2.00 X X 0 0 0 LARRY BLAUFUS BOARD MEMBER 2.00 X 0 0 0 JOHN CHATBURN BOARD MEMBER 4.00 X 0 0 0 KEVIN CHRISTIE BOARD MEMBER 2.00 X 0 0 0 MICHAEL COSGROVE BOARD MEMBER 2.00 X 0 0 0 THERESA DRAKE BOARD MEMBER 2.00 X 0 0 0 JASON EISDORFER BOARD MEMBER 3.00 X 0 0 0 MARK GENDRON BOARD MEMBER 0.50 X 0 0 0 ANDREW GRASSELL BOARD MEMBER 2.00 X 0 0 0 GARY HUHTA BOARD MEMBER 2.00 X 0 0 0 BOB JENKS BOARD MEMBER 2.00 X 0 0 0 MIKE JONES BOARD MEMBER 4.00 X 0 0 0 TOM KARIER BOARD MEMBER 2.00 X 0 0 0 GARRETT MARTIN BOARD MEMBER 5.00 X 0 0 0 MIKE MCCLENAHAN BOARD MEMBER 2.00 X 0 0 0 CLAY NORRIS BOARD MEMBER 2.00 X 0 0 0 BEN OTTO BOARD MEMBER 2.00 X 0 0 0 GEORGE POHNDORF BOARD MEMBER 2.00 X 0 0 0 CORY SCOTT BOARD MEMBER 2.00 X 0 0 0 SUSAN STRATTON EXECUTIVE DIRECTOR 40.00 X 216909 0 58869 SUELYNN CALLAHAN DIR. BUSINESS ADMINISTRATI 40.00 X 151089 0 34659 JULIA HARPER DIR. MARKET EXECUTION 40.00 X 182326 0 38090 SUSAN HERMENET DIR. PLANNING & EVALUATION 40.00 X 179129 0 32823 JEFF HARRIS CHIEF TRANSFORMATION OFFICER 40.00 X 162393 0 41720 JEREMY LITOW DIR. STAKEHOLDER RELATIONS 40.00 X 163720 0 38739 KENNETH BAKER SENIOR MANAGER 40.00 X 138940 0 28633 1194506 0 273533 27 0 1 0 CLEARESULT OPERATING LLC 4301 WESTBANK DRIVE AUSTIN TX 78746 PROJECT CONSULTANT 5819077 THE CADMUS GROUP INC 100 5TH AVE WALTHAM MA 02451 PROJECT CONSULTANT 1709372 GAS TECHNOLOGY INSTITUTE 1700 S MOUNT PROSPECT RD DES PLAINES IL 60018 PROJECT CONSULTANT 1059634 D & R INTERNATIONAL LTD 1100 WAYNE AVE SILVER SPRINGS MD 20910 PROJECT CONSULTANT 767366 NW ENERGY EFFICIENCY COUNCIL 1200 12TH AVE S SEATTLE WA 98144 PROJECT CONSULTANT 663209 45 12750743 24699244 37449987 6550 6550 1180 1180 MISCELLAENOUS REVENUE 900099 152545 152545 152545 37610262 0 0 160275 459686 264778 194908 8084754 4659044 3425710 591716 340829 250887 1073119 618937 454182 642250 369936 272314 6299 6299 30146 30146 327154 105934 221220 440545 383795 56750 333928 134992 198936 413284 238052 175232 393665 355952 37713 180441 136610 43831 575954 529036 46918 46398 46398 PROJECT IMPLEMENTATION 20377521 20377521 EVALUATION 3550864 3550864 COMMUNICATIONS 278630 278630 BOARD AND COMMITTEE 73256 73256 14000 5500 8500 37893610 32071780 5821830 0 10339190 8040350 78096 212647 496676 480870 3955504 3053340 1232667 902164 12146629 9636031 4594950 4225573 5724286 3866413 10319236 8091986 X 1823633 1532804 3760 11241 1827393 1544045 12146629 9636031 -283348 0 X X 0 1 X 1 1 1 X 39697152 39960398 37211953 32085630 37449987 186405120 39697152 39960398 37211953 32085630 37449987 186405120 31714962 154690158 65061 109155 69422 13895 7730 265263 8556 64020 78116 96958 152545 400195 187070578 0.82690 0.76030 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: MISCELLANEOUS INCOME PART II OR PART III, LINE 1 - UNUSUAL DESCRIPTION 2012 2013 2014 2015 2016 TOTAL PART II, B LINE 10 2012 2013 2014 2015 2016 MISCELLANEOUS INCOME 8,556 64,020 78,116 96,958 152,545 400,195 8,556 64,020 78,116 96,958 152,545 400,195 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 37893610 37893610 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 250000 250000 250000 250000 1000000 1500000 501940 294749 207191 3453564 2758591 694973 902164 X 37610262 0 37610262 0 37610262 37893610 0 37893610 0 37893610 PART X, LINE 2: NEEA IS EXEMPT FROM FEDERAL AND STATE INCOME TAXES UNDER SECTION 501(C)(3)OF THE INTERNAL REVENUE CODE AND SIMILAR STATE PROVISIONS. THE ORGANIZATION IS NOT CLASSIFIED AS A PRIVATE FOUNDATION. GAAP PRESCRIBES A RECOGNITION THRESHOLD AND MEASUREMENT PROCESS FOR ACCOUNTING FOR UNCERTAIN TAX POSITIONS AND PROVIDE GUIDANCE ON VARIOUS RELATED MATTERS SUCH AS INTEREST, PENALTIES, AND REQUIRED DISCLOSURES. MANAGEMENT DOES NOT BELIEVE NEEA HAS ANY UNCERTAIN TAX POSITIONS. NEEA FILES INFORMATION RETURNS. GENERALLY, THESE RETURNS ARE SUBJECT TO EXAMINATION BY INCOME TAX AUTHORITIES FOR THREE YEARS FROM THE FILING OF A RETURN. NEEA HAS NOT PAID ANY INTEREST OR PENALTIES RELATED TO ITS INCOME TAX POSITIONS, AND THERE ARE CURRENTLY NO AUDITS FOR ANY TAX PERIODS IN PROGRESS. INTEREST OR PENALTIES ASSESSED BY TAXING AUTHORITIES, IF ANY, WOULD BE INCLUDED WITH GENERAL OPERATIONS EXPENSES. X X X X X 0 0 0 0 0 0 0 0 0 SUSAN STRATTON EXECUTIVE DIRECTOR 200675 0 14254 0 1980 0 29692 0 29177 0 275778 0 0 0 SUELYNN CALLAHAN DIR. BUSINESS ADMINISTRATI 149130 0 0 0 1959 0 12163 0 22496 0 185748 0 0 0 JULIA HARPER DIR. MARKET EXECUTION 181036 0 0 0 1290 0 14040 0 24050 0 220416 0 0 0 SUSAN HERMENET DIR. PLANNING & EVALUATION 178439 0 0 0 690 0 14367 0 18456 0 211952 0 0 0 JEFF HARRIS CHIEF TRANSFORMATION OFFICER 161103 0 0 0 1290 0 13339 0 28381 0 204113 0 0 0 JEREMY LITOW DIR. STAKEHOLDER RELATIONS 163305 0 0 0 415 0 10354 0 28385 0 202459 0 0 0 KENNETH BAKER SENIOR MANAGER 137163 0 0 0 1777 0 10973 0 17660 0 167573 0 0 0 FORM 990, PART VI, SECTION B, LINE 11B THE COMPLETED 990 IS REVIEWED BY THE FINANCE AND AUDIT COMMITTEE ESTABLISHED BY NEEA'S BOARD OF DIRECTORS. ALL MEMBERS OF THE BOARD OF DIRECTORS ARE GIVEN AN OPPORTUNITY TO PARTICIPATE IN MEETINGS OF THE FINANCE/AUDIT COMMITTEE, INDEPENDENTLY REVIEW THE FORM AND PARTICIPATE IN A CONFERENCE CALL WITH THE ORGANIZATION'S AUDIT FIRM TO ADDRESS QUESTIONS PRIOR TO THE FORMS FILING. FORM 990, PART VI, SECTION B, LINE 12C THE FINANCE/AUDIT COMMITTEE OF THE BOARD OVERSEES OPERATION OF THE CONFLICT OF INTEREST POLICY AND THE ORGANIZATION'S OVERALL COMPLIANCE WITH IT. A CONFLICT OF INTEREST "OCCURS WHEN AN INTERESTED PERSON HAS A MATERIAL FINANCIAL INTEREST IN A TRANSACTION IN WHICH NEEA IS INVOLVED, OR TO WHICH NEEA IS A PARTY IN THE FUTURE, OR WHICH OTHERWISE AFFECTS NEEA." AN "INTERESTED PERSON" IS AN OFFICER, EMPLOYEE, MEMBER OF THE BOARD OF DIRECTORS OF NEEA, OR ANYONE ELSE WHO IS IN A POSITION OF AUTHORITY WITH NEEA, AS WELL AS FAMILY MEMBERS OF NEEA OFFICERS, EMPLOYEES OR BOARD MEMBERS; ENTITIES WHICH ARE MORE THAN 35% OWNED, DIRECTLY OR INDIRECTLY, INDIVIDUALLY OR COLLECTIVELY, BY ONE OR MORE NEEA OFFICERS, DIRECTORS, OR EMPLOYEES; AND OTHER ENTITIES (EXCLUDING 501(C) TAX-EXEMPT ORGANIZATIONS) OF WHICH A NEEA OFFICER, DIRECTOR OR EMPLOYEE SERVES IN A POSITION OF INFLUENCE (E.G., AS AN OFFICER, DIRECTOR, OR KEY EMPLOYEE). A "MATERIAL INTEREST" IS DEFINED AS ANYTHING OVER 2 PERCENT OF THE TOTAL DOLLAR AMOUNT TO BE VOTED UPON IN THE CASE OF A TRANSACTION IN WHICH A NEEA BOARD MEMBER IS INVOLVED. THE BOARD OF DIRECTORS AND STAFF REVIEW THE POLICY ANNUALLY AND COMPLETE ANNUAL DISCLOSURE FORMS. THE FORMS ARE CONFIDENTIAL, MADE AVAILABLE TO THE CHAIR, BOARD AND EXECUTIVE DIRECTOR AS NECESSARY TO IMPLEMENT THE POLICY. PROCEDURES A. PRIOR TO A BOARD OR COMMITTEE ACTION ON A TRANSACTION, AN INTERESTED PERSON HAVING A CONFLICT OF INTEREST SHALL DISCLOSE ALL MATERIAL FACTS PERTAINING TO THE CONFLICT OF INTEREST. THESE FACTS SHALL BE RECORDED IN THE MINUTES OF THE MEETING. B. AN INTERESTED PERSON WHO HAS A CONFLICT OF INTEREST SHALL NOT PARTICIPATE IN OR HEAR THE BOARD OR COMMITTEE DISCUSSION OF THE TRANSACTION EXCEPT TO DISCLOSE FACTS AND ANSWER QUESTIONS. THE INTERESTED PERSON SHALL NOT ATTEMPT TO EXERT HIS OR HER PERSONAL INFLUENCE REGARDING THE TRANSACTION AT ANY TIME. C. AN INTERESTED PERSON WHO HAS A CONFLICT OF INTEREST SHALL NOT BE COUNTED FOR PURPOSES OF DETERMINING A QUORUM WITH RESPECT TO A VOTE REGARDING THE TRANSACTION, AND SHALL NOT VOTE ON THE TRANSACTION OR BE PRESENT WHEN THE VOTE IS TAKEN. SUCH PERSON'S INELIGIBILITY TO VOTE SHALL BE REFLECTED IN THE MINUTES OF THE MEETING. D. IF IT IS NOT CLEAR WHETHER A CONFLICT OF INTEREST EXISTS, THE INTERESTED PERSON SHALL DISCLOSE ALL MATERIAL FACTS PERTAINING TO THE POTENTIAL CONFLICT OF INTEREST TO HIS OR HER SUPERVISOR OR THE CHAIR OF THE BOARD OR THE CHAIR'S DESIGNEE. THE CHAIR OF THE BOARD SHALL HAVE THE SOLE AUTHORITY TO DETERMINE WHETHER A CONFLICT OF INTEREST EXISTS, OR MAY DELEGATE THIS DECISION FOR A VOTE OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 15 ON A BIENNIAL BASIS, THE BOARD OF DIRECTORS COMMISSIONS A SALARY SURVEY BY AN INDEPENDENT FIRM. THIS INFORMATION IS USED PRIMARILY IN THE BOARD'S EVALUATION OF THE PROPRIETY OF COMPENSATION PAID TO THE ORGANIZATION'S EXECUTIVE DIRECTOR AND ALL STAFF. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE PROVIDED TO MEMBERS OF THE GENERAL PUBLIC UPON REQUEST. FORM 990, PART XII, LINE 2C THE PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR.