2012-03-05T11:58:16-06:00 2011-09-30 EIDE BAILLY LLP 5299 DTC BLVD STE 1000 GREENWOOD VILLAGE CO 801113329 990 2010-10-01 204510571 NATIONAL ECOLOGICAL OBSERVATORY NETWORK INC NATI 7207464844 1685 38TH STREET NO 100 BOULDER CO 80301 THOMAS SHELDON 7207464844 2012-03-05 1 TIM J MCCUTCHEON CPA 3037705700 2012-02-08 2010 2016-02-24 21:20:13Z NEON INC THOMAS SHELDON 1685 38TH STREET NO 100 BOULDER CO 80301 28266805 0 X WWW.NEONINC.ORG X 2005 DC PROVIDING INFRASTRUCTURE ENABLING RESEARCH, DISCOVERY, & EDUCATION ABOUT ECOLOGICAL CHANGE. 17 17 113 0 0 0 22073632 28209055 53500 57500 167 -52573 0 0 22127299 28213982 305801 384573 0 0 8581347 12810848 0 0 0 7046893 9460352 15934041 22655773 6193258 5558209 9376222 15447521 2412359 2925449 6963863 12522072 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. 0 0 12910923 384573 ORGANIZATIONAL AND PROJECT MANAGEMENT SUPPORT TO COMPLETE THE NEON CONSTRUCTION-READY DESIGN AND PROJECT EXECUTION PLAN. 1718803 ORGANIZATIONAL AND PROJECT MANAGEMENT SUPPORT FOR MAJOR RESEARCH EQUIPMENT AND FACILITIES CONSTRUCTION (MREFC) OF THE NATIONAL ECOLOGICAL OBSERVATORY. 327930 DEVELOPMENT OF AIRBORNE IMAGING SPECTROMETER, SPECTROMETER ALGORITHM DEVELOPMENT AND SPECTROMETER COMPONENTS. 156804 57500 COMPLETION OF THE NEON CYBER-INFRASTRUCTURE CONSTRUCTION READY DESIGN AND NEON PROJECT MANAGEMENT BUSINESS SERVICES. 156804 57500 15114460 1 1 0 1 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 0 1 63 0 1 113 1 0 0 0 0 0 0 0 0 0 0 X 17 17 0 0 0 0 1 1 0 1 0 0 0 1 1 1 1 1 1 1 1 0 X X DANA WHITE 7207464844 1685 38TH ST STE 100 BOULDER CO 80301 JIM MACMAHON 9.00 X X 5100 0 0 CAROL BREWER 3.00 X X 5100 0 0 JOHN BLAIR 2.00 X 3400 0 0 DAN CHILDERS 2.00 X 0 0 0 BERNARD DAVID 2.00 X 5100 0 0 DAVID DOUGLAS 2.00 X 3900 0 0 DEBORAH GOLDBERG 2.00 X 5100 0 0 JEFFREY GOLDMAN 2.00 X 3900 0 0 JAMES GOSZ 2.00 X 0 0 0 MARGARET LEINEN 2.00 X 4250 0 0 HILARY SWAIN 2.00 X 0 0 0 LARRY WINTER 2.00 X 0 0 0 JIM COLLINS 2.00 X 0 0 0 DEB PETERS 2.00 X 0 0 0 SCOTT OLLINGER 2.00 X 0 0 0 KATHERINE MCCARTER 2.00 X 0 0 0 MARGARET STRAND 2.00 X 0 0 0 TOM JORLING 40.00 X 500 0 0 DAVID SCHIMEL 40.00 X 251584 0 35857 THOMAS SHELDON 40.00 X 201208 0 25661 ANTHONY BEASLEY 40.00 X 229843 0 37934 ROBIN MARTIN 40.00 X 175417 0 33016 BRIAN WEE 40.00 X 157770 0 14388 BRIAN JOHNSON 40.00 X 151645 0 28527 THOMAS KAMPE 40.00 X 149615 0 28405 LAURA REYNOLDS 40.00 X 145640 0 20002 1499072 0 223790 22 0 1 0 GUARDIAN LIFE INSURANCE CO OF AMERICA 116 INVERNESS DR E STE 285 ENGLEWOOD CO 80112 INSURANCE COVERAGE 810229 GLOBAL TECHNOLOGY RESOURCES INC 990 SOUTH BROADWAY DENVER CO 80209 INFORMATION TECHNOLOGY SERVICES 450615 SCIENCE AND ENGINEERING ALLIANCE 1522 K ST NW STE 730 WASHINGTON DC 20005 DIVERSITY OUTREACH 346488 USDA FOREST SERVICE 101B SUN AVE NE - RACA ALBUQUERQUE NM 87109 CONTRACTED SCIENCE PERSONNEL 203905 PERFORMANCE INFORMATICS 11710 PLAZA AMERICA DR STE 2000 RESTON VA 20190 SOFTWARE DEVELOPMENT 156794 8 28209055 28209055 MEMBERSHIP DUES 900099 57500 57500 57500 250 250 52823 -52823 -52823 -52823 28213982 57500 0 -52573 384573 384573 899647 399096 500551 9691286 7428064 2263222 546730 414847 131883 900134 633115 267019 773051 572058 200993 40785 190 40595 27058 27058 120000 96911 23089 2053964 1560072 493892 2398185 2139091 259094 753389 468492 284897 1725269 81781 1643488 800483 682844 117639 195389 66099 129290 666128 666128 28584 1148 27436 RECRUITING EXPENSES 205923 103 205820 DUES & SUBSCRIPTIONS 142719 13494 129225 EMPLOYEE TRAINING 108406 95015 13391 RELOCATION EXPENSES 66229 1418 64811 EMPLOYEE WELFARE 33374 33374 94467 76049 18418 22655773 15114460 7541313 0 71832 281136 258487 1175246 1629438 8473 3851 1806688 851392 13810185 1157339 5984540 12652846 48307 51507 9376222 15447521 1970943 2603682 441416 321767 2412359 2925449 X 6963863 12522072 6963863 12522072 9376222 15447521 5558209 0 X 0 1 1 X 1 1 X 597946 5602590 14877360 22073632 28209055 71360583 597946 5602590 14877360 22073632 28209055 71360583 71360583 4864 400 167 250 5681 71366264 130500 0.99990 0.99990 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 1 0 0 1 0 1 120000 120000 0 EXPLANATION OF OTHER LOBBYING ACTIVITIES: PART II-B, LINE 1I: 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 774945 145073 629872 3355335 240665 3114670 9679905 771601 8908304 12652846 SECURITY DEPOSITS HELD 25000 DEFERRED RENT EXPENSE 296767 321767 28213982 22655773 5558209 0 5558209 28266805 0 28266805 -52823 -52823 28213982 22708596 52823 52823 22655773 0 22655773 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: NEON IS EXEMPT FROM FEDERAL INCOME TAX UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE, QUALIFIES FOR THE CHARITABLE CONTRIBUTION DEDUCTION UNDER SECTION 170(B)(1)(A)(VI), AND HAS BEEN CLASSIFIED AS AN ORGANIZATION OTHER THAN A PRIVATE FOUNDATION UNDER SECTION 509(A)(1). HOWEVER, INCOME NOT DIRECTLY RELATED TO NEON'S TAX-EXEMPT PURPOSE IS SUBJECT TO TAXATION AS UNRELATED BUSINESS INCOME. NEON HAD NO UNRELATED BUSINESS INCOME DURING THE YEAR ENDED SEPTEMBER 30, 2011. MANAGEMENT PERFORMS AN ANNUAL ANALYSIS OF THE NEON'S VARIOUS TAX POSITIONS, ASSESSING THE LIKELIHOOD OF THOSE POSITIONS BEING UPHELD UPON EXAMINATION BY RELEVANT TAX AUTHORITIES. MANAGEMENT BELIEVES THAT NEON HAS CONDUCTED ITS OPERATIONS IN ACCORDANCE WITH, AND HAS PROPERLY MAINTAINED, ITS TAX-EXEMPT STATUS. NEON'S TAX RETURNS FOR FISCAL YEARS 2008 THROUGH 2011 ARE SUBJECT TO EXAMINATION BY THE INTERNAL REVENUE SERVICE. PART XII, LINE 4B - OTHER ADJUSTMENTS: ($52,823) - LOSS ON ASSET IMPAIRMENT INCLUDED IN REVENUE ON FORM 990 PART XIII, LINE 2D - OTHER ADJUSTMENTS: $52,823 - 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) 384573 PROJECT MANAGEMENT SUPPORT TO COMPLETE NEON CONSTRUCTION-READY DESIGN & PROJECT EXECUTION PLAN. 1 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 DAVID SCHIMEL 250552 0 0 0 1032 0 15343 0 21385 0 288312 0 0 0 THOMAS SHELDON 200406 0 0 0 802 0 12329 0 15136 0 228673 0 0 0 ANTHONY BEASLEY 219802 0 0 0 10041 0 13720 0 25056 0 268619 0 0 0 ROBIN MARTIN 175258 0 0 0 159 0 10920 0 22874 0 209211 0 0 0 BRIAN WEE 157641 0 0 0 129 0 9484 0 5540 0 172794 0 0 0 BRIAN JOHNSON 151355 0 0 0 290 0 9313 0 19840 0 180798 0 0 0 THOMAS KAMPE 149330 0 0 0 285 0 9192 0 19857 0 178664 0 0 0 LAURA REYNOLDS 145484 0 0 0 156 0 7647 0 12831 0 166118 0 0 0 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 ELEIGIBLE 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 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. 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 INDUSTRY(S) AND REGION(S) IN WHICH WE COMPETE FOR QUALIFIED APPLICANTS, INCLUDING DATA FROM SIMILARLY SITUATED ORGANIZATIONS) TO DEVELOP COMPENSATION STRATEGIES, SALARY RANGES AND TO GUIDE INDIVIDUAL SALARY OFFERS. SUCH MARKET COMPENSATION DATA WAS UTILIZED WHEN FORMULATING COMPENSATION ARRANGEMENTS FOR THE DESCRIBED TOP OFFICERS PRIOR TO ACTUAL EMPLOYMENT OFFERS IN 2007 AND 2008. MARKET COMPENSATION DATA WAS ALSO REVIEWED IN 2011 TO ASSURE THAT COMPENSATION LEVELS WERE 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 2011. 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 FINANCIAL STATEMENTS OF THE ORGANIZATION ARE AVAILABLE TO THE PUBLIC UPON REQUEST.