2014-03-06T15:21:20-06:00 2013-09-30 450250958 EIDE BAILLY LLP 5299 DTC BLVD STE 1000 GREENWOOD VILLAGE CO 80111 990 2012-10-01 204510571 NATIONAL ECOLOGICAL OBSERVATORY NETWORK INC NATI 7207464844 1685 38TH ST SUITE 100 NO 100 BOULDER CO 80301 CHARLENE LAUS 7207464844 2014-03-05 1 KYLE FRITCH CPA P01313374 3037705700 2014-03-05 2012 2015-11-30 17:44:51Z NEON INC CHARLENE LAUS 1685 38TH ST SUITE 100 NO 100 BOULDER CO 80301 63789017 0 X WWW.NEONINC.ORG X 2005 DC PROVIDING INFRASTRUCTURE ENABLING RESEARCH, DISCOVERY, & EDUCATION ABOUT ECOLOGICAL CHANGE. 16 16 209 0 0 0 39770709 63729045 60750 59500 -9987 -37591 0 0 39821472 63750954 289396 165754 0 0 16232376 23537447 0 0 0 11076594 14413811 27598366 38117012 12223106 25633942 28980682 58740764 4235504 8361644 24745178 50379120 X TO ENABLE UNDERSTANDING AND FORECASTING OF THE IMPACTS OF CLIMATE CHANGE, LAND-USE CHANGE, AND INVASIVE SPECIES ON CONTINENTAL-SCALE ECOLOGY BY PROVIDING INFRASTRUCTURE AND CONSISTENT METHODOLOGIES TO SUPPORT RESEARCH AND EDUCATION IN THESE AREAS. 1 0 29038192 ORGANIZATIONAL AND PROJECT MANAGEMENT SUPPORT FOR MAJOR RESEARCH EQUIPMENT AND FACILITIES CONSTRUCTION (NSF FUNDED - MREFC) OF THE NATIONAL ECOLOGICAL OBSERVATORY NETWORK. 423422 DEVELOPMENT OF AIRBORNE IMAGING SPECTROMETER, SPECTROMETER ALGORITHM DEVELOPMENT AND SPECTROMETER COMPONENTS. 379980 ORGANIZATIONAL AND PROJECT MANAGEMENT SUPPORT TO COMPLETE THE NEON CONSTRUCTION-READY DESIGN AND PROJECT EXECUTION PLAN. 251392 165754 59500 IN RESPONSE TO ONE OF THE WORST WILDFIRES IN COLORADO HISTORY, NATIONAL ECOLOGICAL OBSERVATORY NETWORK (NEON) PARTNERING WITH SCIENTISTS FROM THE WERNER COLLEGE OF NATURAL RESOURCES OF COLORADO STATE UNIVERSITY (CSU) ARE LEADING A FIRST OF ITS KIND, LARGE-SCALE WILDFIRE IMPACT STUDY ON THE HIGH PARK FIRE. THE PROJECT WILL INTEGRATE AIRBORNE REMOTE SENSING DATA COLLECTED BY NEON'S AIRBORNE OBSERVATION PLATFORM WITH GROUND-BASED DATA FROM A TARGETED FIELD CAMPAIGN CONDUCTED BY CSU RESEARCHERS. THIS IS THE FIRST TIME A COMPREHENSIVE AIRBORNE REMOTE SENSING SYSTEM OF THIS CALIBER WILL BE USED TO ENHANCE RESEARCH ON WILDFIRE CAUSES AND IMPACTS. THE SYSTEM WILL BE ABLE TO DETECT REMAINING VEGETATION, IDENTIFY PLANT SPECIES, ASH COVER, SOIL PROPERTIES AND OTHER DETAILS TO HELP ILLUSTRATE HOW THE FIRE BURNED - OVER THE SPAN OF THE ENTIRE FIRE SCAR.NEON ALSO PROVIDES MANAGEMENT BUSINESS SERVICE SUBAWARDS TO ORGANIZATIONS FOR ORGANIZATIONAL AND PROJECT MANAGEMENT SUPPORT. 251392 165754 59500 30092986 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 54 0 1 209 1 0 0 0 0 0 0 0 0 0 0 X 16 16 0 0 0 0 1 1 0 1 0 0 0 1 1 1 1 1 1 1 1 0 CO X X DANA WHITE 7207464844 1685 38TH ST STE 100 BOULDER CO 80301 JIM COLLINS 9.00 X X 5100 0 0 DEBORAH GOLDBERG 2.00 X X 5100 0 0 CAROL BREWER 2.00 X 3400 0 0 DAVID DOUGLAS 2.00 X 5100 0 0 HILARY SWAIN 2.00 X 2550 0 0 LARRY WINTER 2.00 X 5100 0 0 MARGARET STRAND 2.00 X 2550 0 0 TOM JORLING 2.00 X 5100 0 0 JAMES GOSZ 2.00 X 4250 0 0 SCOTT OLLINGER 2.00 X 3400 0 0 SUSAN STAFFORD 2.00 X 5100 0 0 AMELIA WARD 2.00 X 3400 0 0 MARK ABBOTT 2.00 X 1700 0 0 THOMAS BERGER 2.00 X 1700 0 0 KATHERINE MCCARTER 2.00 X 0 0 0 ROBERT CHEN 2.00 X 0 0 0 TODD SALIMAN 2.00 X 0 0 0 JAMES MCMAHON 2.00 X 3400 0 0 JEFF GOLDMAN 2.00 X 1700 0 0 RUSS LEA 40.00 X 286486 0 67026 THOMAS SHELDON 40.00 X 210664 0 41971 CHARLENE LAUS 40.00 X 19501 0 5072 KRISTA LAURSEN 40.00 X 202045 0 53780 ROBIN MARTIN 40.00 X 197604 0 46617 BRIAN WEE 40.00 X 166393 0 31922 THOMAS KAMPE 40.00 X 165597 0 34730 WENDY GRAM 40.00 X 188671 0 50520 DAVE TAZIK 40.00 X 168810 0 47955 1664421 0 379593 37 0 1 0 LEO A DALY 2000 S COLORADO BLVD ANNEX S 30 DENVER CO 80222 CONSTRUCTION DESIGN/SURVEYING 2259634 BOLDER STAFFING 350 INTERLOCKEN BLVD SUITE 106 BROOMFIELD CO 80021 TEMPORARY STAFFING 412785 SCIENCE AND ENGINEERING ALLIANCE 1522 K ST NW STE 730 WASHINGTON DC 20005 DIVERSITY OUTREACH 325181 TWIN OTTER INTERNATIONAL LTD PO BOX 570337 LAS VEGAS NV 89157 AIRCRAFT SERVICES 223658 UNIVERSITY OF COLORADO BOULDER PO BOX 910220 BOULDER CO 80291 ACCESS TO LIBRARY SERVICES/ISOTOPE CONSU 197021 8 63729045 63729045 MEMBERSHIP DUES 900099 59500 59500 59500 472 472 38063 -38063 -38063 -38063 63750954 59500 0 -37591 165754 165754 867210 239408 627802 18483138 14803298 3679840 1072117 857567 214550 1718028 1354747 363281 1396954 1089624 307330 57305 3733 53572 67184 67184 96000 85002 10998 2263582 1779316 484266 2654653 2402649 252004 1867307 1300961 566346 1737911 1381906 356005 1782861 1648640 134221 249076 125942 123134 2714529 2497367 217162 184582 56302 128280 DUES & SUBSCRIPTIONS 155583 21952 133631 EMPLOYEE TRAINING 132734 81226 51508 RELOCATION EXPENSES 85373 85373 RECRUITING EXPENSES 75153 75153 289978 197592 92386 38117012 30092986 8024026 0 615735 4207869 2782079 3249857 6834 79458 3767525 444591 56362607 5696708 21743753 50665899 64756 93090 28980682 58740764 4032014 8215027 203490 146617 4235504 8361644 X 24745178 50379120 24745178 50379120 28980682 58740764 25633942 0 X 0 1 X 1 1 1 X 14877360 22073632 28209055 39770709 63729045 168659801 14877360 22073632 28209055 39770709 63729045 168659801 168659801 400 167 250 453 472 1742 168661543 250750 1.00000 0.99990 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 1 0 0 1 0 1 96000 96000 0 EXPLANATION OF LOBBYING ACTIVITIES: PART II-B, LINE 1: NEON, INC. HAS CONTRACTED WITH A FIRM TO PROVIDE FEDERAL GOVERNMENT RELATIONS ASSISTANCE BY PERFORMING THE FOLLOWING SERVICES: 1) DEVELOP AND IMPLEMENT A TARGETED APPROPRIATIONS STRATEGY TO ATTRACT SUPPORT FOR NEON 2) DRAFT LETTERS TO RELEVANT MEMBERS OF CONGRESS AND COMMITTEES TO ADVOCATE NEON'S OBJECTIVES 3) COORDINATE AND FACILITATE MEETINGS BETWEEN NEON AND MEMBERS OF CONGRESS AND AGENCY OFFICIALS 4) COLLABORATE WITH OTHER LIKE-MINDED ORGANIZATIONS TO FACILITATE NEON'S PUBLIC POLICY GOALS 5) MAINTAIN COMMUNICATIONS WITH CONGRESSIONAL AND AGENCY STAFF TO MONITOR THE STATUS OF NEON'S INTERESTS 1556675 449196 1107479 27305881 4312115 22993766 27500051 935397 26564654 50665899 SECURITY DEPOSITS HELD 25000 DEFERRED RENT EXPENSE 52684 DEFERRED LEASE INCENTIVE 68933 146617 X 63789017 0 63789017 -38063 -38063 63750954 38155075 38063 38063 38117012 0 38117012 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: NEON IS ORGANIZED AS A DISTRICT OF COLUMBIA NONPROFIT CORPORATION AND HAS BEEN RECOGNIZED BY THE INTERNAL REVENUE SERVICE (IRS) AS EXEMPT FROM FEDERAL INCOME TAXES UNDER SECTION 501(A) OF THE INTERNAL REVENUE CODE AS AN ORGANIZATION DESCRIBED IN SECTION 501(C)(3), QUALIFIES FOR THE CHARITABLE CONTRIBUTION DEDUCTION UNDER SECTION 170(B)(1)(A)(VI), AND HAS BEEN DETERMINED NOT TO BE PRIVATE FOUNDATIONS UNDER SECTIONS 509(A)(1). NEON IS ANNUALLY REQUIRED TO FILE A RETURN OF ORGANIZATION EXEMPT FROM INCOME TAX (FORM 990) WITH THE IRS. IN ADDITION, THE ENTITY IS SUBJECT TO INCOME TAX ON NET INCOME THAT IS DERIVED FROM BUSINESS ACTIVITIES THAT ARE UNRELATED TO ITS EXEMPT PURPOSES. NEON HAS DETERMINED IT IS NOT SUBJECT TO UNRELATED BUSINESS INCOME TAX AND HAS NOT FILED AN EXEMPT ORGANIZATION BUSINESS INCOME TAX RETURN (FORM 990-T) WITH THE IRS. NEON BELIEVES THAT IT HAS APPROPRIATE SUPPORT FOR ANY TAX POSITIONS TAKEN AFFECTING ITS ANNUAL FILING REQUIREMENTS, AND AS SUCH, DOES NOT HAVE ANY UNCERTAIN TAX POSITIONS THAT ARE MATERIAL TO THE FINANCIAL STATEMENTS. THE ENTITY WOULD RECOGNIZE FUTURE ACCRUED INTEREST AND PENALTIES RELATED TO UNRECOGNIZED TAX BENEFITS AND LIABILITIES IN INCOME TAX EXPENSE IF SUCH INTEREST AND PENALTIES ARE INCURRED. PART XI, LINE 4B - OTHER ADJUSTMENTS: ($38,063) LOSS ON ASSET IMPAIRMENT INCLUDED IN REVENUE ON FORM 990 PART XII, LINE 2D - OTHER ADJUSTMENTS: $38,063 LOSS ON ASSET IMPAIRMENT INCLUDED IN REVENUE ON FORM 990 1 SCIENCE & ENGINEERING ALLIANCE (SEA) 1522 K ST NW STE 730 WASHINGTON DC 20005 521737386 501(C)(3) 165754 PROJECT MANAGEMENT SUPPORT TO COMPLETE NEON CONSTRUCTION-READY DESIGN & PROJECT EXECUTION PLAN. 1 0 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: PRIOR TO PROVIDING GRANTS TO ORGANIZATIONS, NEON ASSESSES THE POTENTIAL RECIPIENT'S ORGANIZATIONAL AND FINANCIAL STATUS AND INTERNAL CONTROLS AS WELL AS THE TERMS OF THE PROPOSED GRANT AGREEMENT. NEON ESTABLISHES CONDITIONS FOR THE RECIPIENT CONSISTENT WITH THE LEVEL OF RISK PERCEIVED. ON AN ONGOING BASIS NEON MONITORS THE ACTIVITIES OF THE RECIPIENT UNDER THE GRANT AGREEMENT TO ENSURE THAT AWARDED FUNDS ARE USED FOR AUTHORIZED AND INTENDED PURPOSE. X X X 0 0 0 0 0 0 0 0 0 RUSS LEA 285029 0 0 0 1457 0 47551 0 20286 0 354323 0 0 0 THOMAS SHELDON 209842 0 0 0 822 0 32582 0 10077 0 253323 0 0 0 KRISTA LAURSEN 201752 0 0 0 293 0 29877 0 24648 0 256570 0 0 0 ROBIN MARTIN 197328 0 0 0 276 0 28002 0 19346 0 244952 0 0 0 BRIAN WEE 166198 0 0 0 195 0 26726 0 5796 0 198915 0 0 0 THOMAS KAMPE 165266 0 0 0 331 0 17005 0 18340 0 200942 0 0 0 WENDY GRAM 188412 0 0 0 259 0 36225 0 14989 0 239885 0 0 0 DAVE TAZIK 167844 0 0 0 966 0 32817 0 15768 0 217395 0 0 0 NEW PROGRAM SERVICES FORM 990, PART III, LINE 2 IN RESPONSE TO ONE OF THE WORST WILDFIRES IN COLORADO HISTORY, NATIONAL ECOLOGICAL OBSERVATORY NETWORK PARTNERING WITH SCIENTISTS FROM THE WERNER COLLEGE OF NATURAL RESOURCES OF COLORADO STATE UNIVERSITY ARE LEADING A FIRST OF ITS KIND, LARGE-SCALE WILDFIRE IMPACT STUDY ON THE HIGH PARK FIRE. THE STUDY WILL PROVIDE CRITICAL DATA TO THE COMMUNITIES STILL GRAPPLING WITH HOW TO RESPOND TO MAJOR WATER QUALITY, EROSION AND ECOSYSTEM RESTORATION ISSUES IN AN AREA SPANNING MORE THAN 136 SQUARE MILES. FORM 990, PART VI, SECTION A, LINE 6 INSTITUTIONAL MEMBERS: ANY SCIENTIFIC, EDUCATIONAL, AND/OR RESEARCH INSTITUTION THAT IS INTERESTED IN PROMOTING THE PURPOSES AND ACTIVITIES OF NEON, THAT IS ELECTED BY THE BOARD AND THAT PAYS THE INITIATION FEES, MEMBERSHIP DUES, AND SPECIAL ASSESSMENTS SPECIFIED FROM TIME TO TIME BY THE BOARD OF DIRECTORS SHALL BE ELIGIBLE FOR VOTING MEMBERSHIP. FORM 990, PART VI, SECTION A, LINE 7A THE BOARD OF DIRECTORS SHALL CONSIST OF TWO GROUPS: THE MEMBERSHIP GROUP AND THE AT-LARGE GROUP. A MAJORITY OF THE BOARD OF DIRECTORS SHALL CONSIST OF AT-LARGE GROUP DIRECTORS. APPROXIMATELY ONE-THIRD (1/3) OF THE DIRECTORS OF EACH GROUP SHALL BE ELECTED OR APPOINTED EACH YEAR. DIRECTORS IN THE MEMBERSHIP GROUP SHALL BE ELECTED OR APPOINTED BY THE VOTING MEMBERS FROM THE SLATE OF NOMINEES PUT FORWARD EACH YEAR BY THE NOMINATING AND GOVERNANCE COMMITTEE. DIRECTORS IN THE AT-LARGE GROUP SHALL BE ELECTED OR APPOINTED BY THE DIRECTORS THEN IN OFFICE (INCLUDING DIRECTORS IN THE MEMBERSHIP AND AT-LARGE GROUPS WHOSE TERMS ARE SET TO EXPIRE AT THE ANNUAL MEETING) FROM THE SLATE OF NOMINEES PUT FORWARD EACH YEAR BY THE NOMINATING AND GOVERNANCE COMMITTEE. FORM 990, PART VI, SECTION A, LINE 8B COMMITTEE MEETINGS ARE MORE INFORMATIVE IN NATURE AND NOT USED FOR DECISION-MAKING PURPOSES. SINCE DECISIONS ARE NOT MADE AND ACTIONS ARE NOT TAKEN AT THESE MEETINGS, THERE IS NO NEED FOR DOCUMENTATION. FORM 990, PART VI, SECTION B, LINE 11 AFTER THE FORM 990 IS PREPARED, THE CONTROLLER REVIEWS THE RETURN AND SENDS IT FOR APPROVAL BY THE CHIEF FINANCIAL OFFICER. ONCE APPROVED, THE CHIEF FINANCIAL OFFICER SENDS THE RETURN TO THE FINANCE COMMITTEE OF THE BOARD FOR APPROVAL. ONCE FINALIZED, THE CHIEF FINANCIAL OFFICER SIGNS THE RETURN BEFORE FILING. IN ADDITION, A COPY OF THE FORM 990 IS PROVIDED TO THE BOARD OF DIRECTORS FOR THEIR REVIEW PRIOR TO THE CHIEF FINANCIAL OFFICER SIGNING AND FILING WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C ALL OFFICERS AND BOARD OF DIRECTOR MEMBERS ARE REQUIRED TO SIGN THE CONFLICT OF INTEREST STATEMENT AT LEAST ANNUALLY. ALL EMPLOYEES ARE REQUIRED TO SIGN IT UPON INITIAL HIRE AND THEN ON AN ANNUAL BASIS. ANY CONFLICTS OF INTEREST DISCOVERED OR REPORTED ARE ESCALATED TO THE BOARD OF DIRECTORS AND MAY RESULT IN TERMINATION OR RECUSAL OF CERTAIN INDIVIDUALS, AS APPROPRIATE. FAILURE TO ADEQUATELY REPORT ANY CONFLICT OF INTEREST MAY ALSO RESULT IN DISCIPLINARY ACTION UP TO AND INCLUDING TERMINATION. TO DATE, NO CONFLICT OF INTEREST SITUATIONS HAVE BEEN REPORTED OR DISCOVERED. FORM 990, PART VI, SECTION B, LINE 15 NEON UTILIZES THE MOST RELEVANT OUTSIDE COMPENSATION DATA AVAILABLE (DEFINED BY THE INDUSTRIES AND REGIONS IN WHICH WE COMPETE FOR QUALIFIED APPLICANTS, INCLUDING DATA FROM SIMILARLY SITUATED ORGANIZATIONS) TO GUIDE COMPENSATION STRATEGIES, SALARY RANGES AND TO GUIDE INDIVIDUAL SALARY OFFERS. SUCH MARKET COMPENSATION DATA WAS UTILIZED TO FORM THE COMPENSATION ARRANGEMENTS FOR TOP OFFICERS PRIOR TO EXTENDING OFFERS OF EMPLOYMENT. MARKET COMPENSATION DATA IS REVIEWED ANNUALLY TO ASSURE THAT COMPENSATION LEVELS ARE APPROPRIATE. CONTEMPORANEOUS MARKET COMPENSATION DATA IS RETAINED FOR THE KEY OFFICER POSITIONS (CEO, CFO, AND COO) ON AN ANNUAL BASIS. NEON'S INDEPENDENT BOARD OF DIRECTORS (CHAIRMAN AND EXECUTIVE COMMITTEE) REVIEWS AND ANALYZES MARKET DATA AND TRENDS TO SET AND ADJUST OFFICER SALARIES ON AN ANNUAL BASIS. THIS PROCESS WAS LAST COMPLETED IN 2013. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC ON THE ORGANIZATION'S WEBSITE AS WELL AS UPON REQUEST. THE ORGANIZATION'S FINANCIAL STATEMENTS AND CONFLICT OF INTEREST POLICY ARE AVAILABLE TO THE PUBLIC UPON REQUEST.