2013-08-15T10:57:27-05:00 2012-09-30 Deloitte Tax LLP 555 17th Street Suite 100 Denver CO 80202 990 2011-10-01 840412668 University Corporation for Atmospheric Research UNIV 3034978575 PO Box 3000 Boulder CO 80307 Kathryn Schmoll 3034978575 2013-08-15 1 Colleen E Miller P00288331 3032925400 2011 2016-02-24 21:20:13Z Kathryn Schmoll PO Box 3000 Boulder CO 80307 253509724 0 X www.fin.ucar.edu X 1946 CO The Corporation, on behalf of and in cooperation with its university members, is engaged in management of long term atmospheric and related research and educational activities and of scientific facilities, mostly through the operation of NCAR. It also assumes the roles of scientific leadership and advocacy on a national and international basis and provides services to the research community such as visitor programs, the dissemination of scientific data, computing, radar and aircraft facilities and fostering new and improved relationships among the academic research community and the private sector. 20 19 1756 0 118269 -27001 232492140 228404861 35244026 21043519 1830254 1979591 1728330 2081753 271294750 253509724 92120 86987 0 0 150183698 147764299 0 0 0 70843742 99496501 221119560 247347787 50175190 6161937 255464633 282180763 147832247 162066641 107632386 120114122 X The Corporation, on behalf of and in cooperation with its university members, is engaged in management of long term atmospheric and related research and educational activities and of scientific facilities, mostly through the operation of NCAR. It also assumes the roles of scientific leadership and advocacy on a national and international basis and provides services to the research community such as visitor programs, the dissemination of scientific data, computing, radar and aircraft facilities and fostering new and improved relationships among the academic research community and the private sector. 0 0 50270736 16492945 NCAR Earth System Laboratory - Advanced understanding of weather, climate, atmospheric composition and processes; provided facility support to the community and applied the results to benefit society. 69073015 2416542 Computational & Informations Systems Laboratory - provided end-to-end services, a science laboratory that conducts research, and an education laboratory that trains and mentors. 36125650 2706452 Earth Observing Laboratory - developed and employed new advanced optical spectroscopic technologies, instruments, and advanced algorithms for the next generation of ground-based and airborne measurements of various atmospheric trace gases. 69702852 86987 1320188 Performed research to understand the behavior of the atmosphere and related physical, biological, and social systems, provided information to support, enhance, and extend the capabilities of the university community and the broader scientific community, nationally and internationally, and fostered the transfer of knowledge and technology for the betterment of life on Earth. 69702852 86987 1320188 225172253 1 1 0 1 0 0 0 0 0 1 1 1 0 0 1 0 0 1 0 0 1 0 0 0 0 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 1 0 0 0 1 1 1 1 0 0 1 257 0 1 1756 1 1 1 0 0 0 0 0 0 0 0 0 0 X 20 19 0 0 0 0 1 1 1 1 1 0 1 1 1 1 1 1 1 1 1 1 0 X Melissa Miller 3034978575 PO Box 3000 Boulder CO 80307 X Richard A Anthes 40.00 X X 360679 0 12238 Dennis Hartmann Sch O 2.20 X 0 0 0 Steve Ackerman 1.00 X 0 0 0 Roberta Balstad 1.00 X 0 0 0 Richard Clark 1.00 X 0 0 0 Rana Fine 1.00 X 0 0 0 Jerry Melillo 1.00 X 0 0 0 Richard Porecca 1.00 X 0 0 0 Mark Abbott 1.00 X 0 0 0 Fred Carr 1.00 X 0 0 0 Kerry Cook 1.00 X 0 0 0 Eric Saltzman 1.00 X 0 0 0 Eugene Takle 1.00 X 0 0 0 Richard Truly 1.00 X 0 0 0 Anne Thompson 1.00 X 0 0 0 Don Wuebbles 1.00 X 0 0 0 Ken Bowman 1.00 X 0 0 0 Amy Clement 1.00 X 0 0 0 Molly Macauley 1.00 X 0 0 0 Scott Sternberg 1.00 X 0 0 0 Susan Friberg 40.00 X 95670 0 5759 Kathryn S Schmoll 40.00 X 255574 0 6711 Jack D Fellows 40.00 X 252857 0 15770 Roger M Wakimoto 40.00 X 313694 0 16305 Maura E Hagan 40.00 X 218804 0 2252 Jeff D Reaves Sch O 58.00 X 180116 0 11527 Dan Jay Wilson 40.00 X 167002 0 2256 G Brant Foote 40.00 X 228446 0 1849 Alasdair Kellie 40.00 X 224039 0 11679 Sue Schauffler 40.00 X 167534 0 1858 Margaret McClellan Sch O 55.00 X 177514 0 15335 James W Hurrell 40.00 X 177046 0 15329 Gregory Holland 40.00 X 202084 0 11521 Michael Thompson 40.00 X 188381 0 1950 Richard Rotunno 40.00 X 187140 0 11573 Kevin Trenberth 40.00 X 187119 0 11394 Bruce Carmichael 40.00 X 180600 0 2561 3764299 0 157867 333 0 1 0 GH Phipps Construction Co PO Box 3237 Englewood CO 801553237 Building Renovation 7195181 Saunders Construction Inc 6950 Jordan Rd Centennial CO 80112 Building Construction 3282852 University Of Texas at Tyler 3900 University Blvd Tyler TX 75799 Program Support 623795 Teksystems PO Box 198568 Atlanta GA 303848568 IT Staffing 615402 SBM Site Services LLC 5241 Arnold Ave Mcclellan CA 95652 Janitorial Services 577224 37 63500 228228990 112371 48893 228404861 Contract Prog Srv Rev 541700 20315396 20315396 Conference/Seminar Reg 900099 735622 735622 Inc. from Partnerships 900099 -7499 -7499 21043519 1963591 1963591 148 148 65243 0 65243 65243 65243 16000 0 16000 16000 16000 5485 0 5485 5485 Cafeteria Services 722210 1149639 1078507 71132 Child Care Center 624410 148355 93719 54636 712883 712883 2010877 253509724 22936127 118269 2050467 86987 86987 3414088 127074 3287014 113106889 104876475 8230414 10866448 10866448 12265493 6959178 5306315 8111381 8111381 301514 91373 210141 200341 200341 79015 79015 17695103 16659734 1035369 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-43885 -6771 -43705 -17435 -27001 -138797 1170515282 1170515282 0.99830 0.99200 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 79015 79015 247268772 247347787 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 55128 58286 59371 79015 251800 250000 250000 250000 250000 1000000 1500000 92 91 183 Organizations Direct and Indirect Political Campaign Activities: Part I-A, Line 1: On behalf of UCAR's university members and NCAR, UCAR periodically lobbies on specific Federal legislation that affects the broader community. Specifically, UCAR lobbying activities include: 1. Issuing "action alerts" (emails) to university members, asking them to contact members of their own congressional delegation regarding specific pieces of legislation, including appropriations (for NSF, NASA, NOAA and DOE Office of Science), policy (such as a climate bill), and authorization bills (such as America COMPETES bill). Some times contacting their members on their behalf, by fax. 2. Commenting on relevant bills, including suggesting specific language (such as the NOAA Organic Act), through letters, emails, visits and phone calls. 3. Directly contacting congressional members to support or reject bills relevant to the community, through letters, emails, visits and phone calls. 0 0 397168 1200 1991 396377 395868 1300 397168 394468 1400 395868 387348 7150 30 394468 1.00000 0 0 7987223 7987223 161900966 42329423 119571543 35209689 27766142 7443547 1196396 43870 1152526 136154839 Guaranteed Insurance Contract 3150000 C US Government Agency Securities 21976000 F Certificates of Deposit 6027000 F Equity Securities 42005055 F Other Fixed Income 5162000 F 78320055 Salaries, Wages and Payroll Taxes Payable 10312450 Interest Payable 250317 Accrued Vacation Payable 13104286 Accrued Post-Retirement Benefit 7281694 30948747 Description of Intended Use of Endowment Funds: Part V, Line 4: UCAR's endowment consists of two donor-restricted funds established to support two scientific fellowships from donations. The investment income earned on the donations is intended to fund the expenses of the fellowships with the principal balance remaining Permanently intact. Net assets associated with endowment funds are classified and reported as permanently restricted. Investment earnings are reported as temporarily restricted net assets. Central America & the Caribbean 0 0 Program services Scientific Research/collaboration/education 222747 East Asia and the Pacific 0 0 Program services Scientific Research/collaboration/education 1071103 Europe (including Iceland & Greenland) 0 0 Program services Scientific Research/collaboration/education 1377614 Middle East and North Africa 0 0 Program services Scientific Research/collaboration/education 290682 North America 0 0 Program services Scientific Research/collaboration/education 430949 Russia & the Newly Independent States 0 0 Program services Scientific Research/collaboration/education 21982 South America 0 0 Program services Scientific Research/collaboration/education 432939 South Asia 0 0 Program services Scientific Research/collaboration/education 673781 Sub-Saharan Africa 0 0 Program services Scientific Research/collaboration/education 309746 Central America & the Caribbean 0 0 Foreign Investments 7228724 0 0 0 0 0 0 4521797 7538470 12060267 1 0 1 1 0 0 Procedure for Monitoring Grants Outside the U.S.: Schedule F, Part I, Line 2: Procedures are based upon the Terms and Conditions of awards received for research, collaboration and educational purposes, prescribed by OMB Circulars. 1 0 0 Scholarships for students studying atmospheric sciences 6 54000 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: To be considered for funding, students must submit a funding request and all supporting documentation. Documentation includes transcripts and needs documentation as defined by the school. Each grant is made out to the student's university account. This ensures that grants are used to pay tuition, fees and other school related cost. X 1 1 X X X X 1 0 0 0 0 0 0 0 0 Richard A Anthes 351429 0 0 0 9250 0 0 0 12238 0 372917 0 0 0 Kathryn S Schmoll 255574 0 0 0 0 0 0 0 6711 0 262285 0 0 0 Jack D Fellows 252857 0 0 0 0 0 0 0 15770 0 268627 0 0 0 Roger M Wakimoto 308094 0 0 0 5600 0 0 0 16305 0 329999 0 0 0 Maura E Hagan 218804 0 0 0 0 0 0 0 2252 0 221056 0 0 0 Jeff D Reaves Sch O 180116 0 0 0 0 0 0 0 11527 0 191643 0 0 0 Dan Jay Wilson 167002 0 0 0 0 0 0 0 2256 0 169258 0 0 0 G Brant Foote 228446 0 0 0 0 0 0 0 1849 0 230295 0 0 0 Alasdair Kellie 224039 0 0 0 0 0 0 0 11679 0 235718 0 0 0 Sue Schauffler 167534 0 0 0 0 0 0 0 1858 0 169392 0 0 0 Margaret McClellan Sch O 177514 0 0 0 0 0 0 0 15335 0 192849 0 0 0 James W Hurrell 177046 0 0 0 0 0 0 0 15329 0 192375 0 0 0 Gregory Holland 202084 0 0 0 0 0 0 0 11521 0 213605 0 0 0 Michael Thompson 188381 0 0 0 0 0 0 0 1950 0 190331 0 0 0 Richard Rotunno 187140 0 0 0 0 0 0 0 11573 0 198713 0 0 0 Kevin Trenberth 187119 0 0 0 0 0 0 0 11394 0 198513 0 0 0 Bruce Carmichael 180600 0 0 0 0 0 0 0 2561 0 183161 0 0 0 Part I, Line 1a First- or Business-class fares are allowable for international travel when the trip has a one-way in-flight segment of 10 hours or more, or where the total elapsed one-way in-flight time is 15 hours or more without overnight stopovers. Part I, Line 4a Jack Fellows received severance pay of $129,074. County of Boulder Colorado 846000748 10146BEE5 2003-12-04 25206399 See part VI 1 0 0 CO Educational & Cultural Facilities Auth 840896727 19645RLK5 2010-05-20 28527506 See part VI 0 0 0 CO Educational & Cultural Facilities Auth 840896727 NONEABAIO 2011-08-16 25125000 See part VI 0 0 0 CO Educational & Cultural Facilities Auth 840896727 NONEABAIO 2011-09-07 8325000 See part VI 0 0 0 8195000 6580000 26458096 1761829 534099 375564 23786604 2006 0 0 1 1 3360000 28781554 11 745488 392761 22338507 2960160 2344639 2012 1 0 0 1 1100000 25138883 5 181239 395347 18485364 6076934 1 0 0 1 155000 8325000 47305 50779 27190 8247031 0 1 0 1 0 0 1 1 0 1 0 0 1 1 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 Bayerishe Bank 2.000000000000 1 0 1 0 1 1 Deustche Bank 9.500000000000 0 0 1 Natixis 2.300000000000 1 0 1 0 0 0 1 Natixis 0.900000000000 1 1 0 X Schedule K Supplental Information A: Part I(A)(f) Construct a Laboratory Building B: Part I(B)(f) Purchase Bldgs & remodel 2 bldgs &equipment and refund bonds issued 1/8/97 & 2/25/99. C: Part I(C)(f) Purchase Bldgs & equipment & refund bonds issued 11/27/2001. D: Part I(D)(f) Advance refund 2002 bonds issued 12/18/02 E: Part I(E)(f) Advance refund 2002 & 2003 bonds issued Where total gross proceeds shown in Part II, line 3 exceed bond issue listed in Part I, it is due to investment earnings. Part IV, line 5- Proceeds held beyond an available temporary period were appropriately yield restricted. Part IV- line 6- Bonds B & C were answered "yes" because current refunding portion of the bonds met the requirements of the 6 month spending exception. CO Educational and Cultural Facilities Auth 840896727 19645RQJ3 2012-05-10 14428350 See part VI 0 0 0 14428350 3481 7037373 227569 7163408 0 1 0 1 0 0 1 1 0 1 0 0 0 0 1 0 X Computer Equip. 3 48893 Fair Market Value 0 0 1 0 Method for Determining Number of Contributors: Part I, Column (b): We received 3 pieces of computer equipment from Cornell University. Form 990, Part VI, Section A, line 6 UCAR is organized as a nonprofit membership corporation under Colorado Statutes. Pursuant to the UCAR Bylaws, Article 2, Section 2: Qualifications for Membership. Only universities, other nonprofit institutions or organizations, or divisions or units of universities or other nonprofit institutions or organizations, or governmental instrumentalities, which: (a) are organized for educational or scientific purposes, (b) are located within the boundaries of the United States of America, Canada or Mexico, and (c) have met the following criteria, shall be eligible for membership: Program of Studies and Research. Such entity has made a definitive, substantial, and continuing commitment to a full, coherent, and integrated program of course studies and dissertation research leading to the doctorate in one or more of the atmospheric sciences or related fields; and Progress in the Atmospheric Sciences or Related Fields. Such entity has made a definitive, substantial, and continuing commitment to progress in the atmospheric sciences or related fields as evidenced by scholarly works of significance by its faculty in the atmospheric sciences or related fields; and Participation. Such entity is willing to make a clear and continuing commitment to active participation in the activities of the corporation, including governance, and its programs and facilities Form 990, Part VI, Section A, line 7a The Members have the right, through their Members Representatives, to nominate and elect the Board of Trustees, through the Members Nominating Committee. At the annual meeting, each year, the Members elect trustees to serve on the Board of Trustees. There are 18 elected trustees: 12 institutional trustees (from Member institutions) and 6 trustees-at-large. The trustees serve staggered terms, so the number of trustees elected depends on term expirations and vacancies, but it is typically 3 trustees each year. Form 990, Part VI, Section A, line 7b There were no bylaw amendments during the tax year, but Members have a right to approve any amendments to the bylaws, by a two-thirds majority vote. Form 990, Part VI, Section B, line 11 The organization's trustees were provided an electronic copy of the final Form 990 prior to filing with the IRS. In addition, certain sections of the Form 990 were discussed with the Audit and Finance Committee of the board of trustees and senior officers of the organization during regularly held meetings. The organization's officers were briefed and discussed certain sections of the Form 990 prior to filing. The vice president for finance and administration, the director of human resources, and the general counsel reviewed and prepared portions of the Form 990 before it was filed. The director of budget and finance, the accounting manager and project accountant prepared and reviewed all sections of the Form 990 in preparation for filing. Form 990, Part VI, Section B, line 12c Annually the trustees and officers are given an overview of the conflict of interest policy, and sign conflict of interest forms. The organization requires all employees to complete a Conflict of Interest Statement upon hire and update the statement at least once a year. Annual raises, if any, will not be allowed unless an employee's statement is completed and submitted. Form 990, Part VI, Section B, line 15 The UCAR President's compensation is set annually by the board of trustees. The personnel committee of the board of trustees and the full board of trustees, annually, at the May board meeting, consider the compensation structure, including comparability data and vote on structure and merit adjustments for all employees (including top management positions). Compensation data, record keeping and decisions thereon for all employees, is maintained in UCAR human resources. In addition, the specific compensation for the following top management positions: UCAR President, NCAR Director, VP of Finance and Administration, UCP Director, NCAR Deputy Director, are reviewed every couple of years by a compensation specialist within UCAR human resources. The review includes market survey compensation for comparable positions at similarly situated organizations. This market data was reviewed by an external third party organization in May 2011 and found to be appropriate. Form 990, Part VI, Section C, line 19 All of these documents are made available through the organization's web site: www.ucar.edu. Form 990, Part VII, Section A: Certain Directors, Officers, and Key Employees provide services to entities that are related to UCAR. Where noted with a Schedule O reference, the hours reported represent aggregate average hours per week. Changes in Net Assets or Fund Balances: Form 990, Part XI, line 5: Net unrealized gains on investments: 6,319,799. Form 990, Part XII, LIne 2a & b: UCAR has consolidated financial statements with the UCAR Foundation that are audited by KPMG. UCAR Childcare LLC PO Box 3000 Boulder CO 80307 840412668 Childcare CO 148355 UCAR University Corporation for Atmospheric Research Foundation PO Box 3000 Boulder CO 80307 742439386 Foundation CO Section 501(c)(3) Schedule A, Line 11a University Corporation for Atmospheric Research 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 University Corp for Atm Research Foundation A 63863 Cash