2012-10-24T11:56:38-07:00 2011-12-31 990 2011-01-01 530259696 OPTICAL SOCIETY OF AMERICA INC OPTI 2022238130 2010 Massachusetts Ave NW Washington DC 20036 Elizabeth Rogan 2024161484 2012-10-24 2011 2016-02-24 21:20:13Z Elizabeth A Rogan 2010 Massachusetts Ave NW Washington DC 20036 42046309 0 X www.osa.org X 1916 NY To promote the generation, application and archiving of knowledge of optics and photonics and to disseminate the knowledge worldwide. 22 22 202 8350 307837 -23823 359964 273382 28971242 30833452 934212 1982129 425705 516116 30691123 33605079 508760 769920 0 0 13716044 14017075 0 0 0 15045261 15318248 29270065 30105243 1421058 3499836 70766298 73306376 16290434 17300493 54475864 56005883 To promote the generation, application and archiving of knowledge in optics and photonics and to disseminate this knowledge worldwide. 0 0 10203233 0 9956470 Sponsorship of conventions and technical meetings for members and others interested in the technological and market changes in the industry. 11112369 0 19490120 Publication of journals and scientific materials related to optics and photonics. 5344161 245556 1386862 Member and outreach services for those interested in the field of optics and photonics. 958840 524364 0 Contributions to The OSA Foundation, Inc. which is dedicated to supporting the philanthropic work of the Optical Society of America in promoting the generation, application, archiving and worldwide dissemination of knowledge in optics and photonics. 958840 524364 0 27618603 1 1 0 1 0 0 0 0 0 0 1 0 0 0 1 1 0 1 0 0 1 1 1 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 158 0 1 202 1 1 1 0 0 0 0 0 X 22 22 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA DC MI NY X Elizabeth A Rogan 2022238130 2010 Massachusetts Ave NW Washington DC 20036 X Christopher Dainty 10 X X 0 0 0 Tony F Heinz 10 X X 0 0 0 James C Wyant 10 X X 0 0 0 Donna T Strickland 10 X X 0 0 0 Stephen D Fantone 10 X X 0 0 0 Anderson S L Gomes 2 X 0 0 0 Naomi J Halas 2 X 0 0 0 Eric Mazur 2 X 0 0 0 Jannick P Rolland 2 X 0 0 0 Laura Ann Weller-Brophy 2 X 0 0 0 Stephen A Burns 2 X 0 0 0 Neal S Bergano 2 X 0 0 0 Michael Duncan 2 X 0 0 0 David N Fittinghoff 2 X 0 0 0 Wilhelm Kaenders 2 X 0 0 0 Bishnu P Pal 2 X 0 0 0 Ian Walmsley 2 X 0 0 0 Ursula Keller 2 X 0 0 0 Michael Raymer 2 X 0 0 0 Thomas Koch 2 X 0 0 0 Christoph S Harder 2 X 0 0 0 Charles Synborski 2 X 0 0 0 Elizabeth A Rogan 37.5 X 425124 0 122687 Michael A Stokes 37.5 X 90012 0 26388 Gerard M Zack 37.5 X 271590 0 11742 Sean Bagshaw 37.5 X 258582 0 33741 Grace Klonoski 37.5 X 288712 0 40000 Beth Hampton 37.5 X 206434 0 44307 Elizabeth Nolan 37.5 X 219436 0 23320 1759890 0 302185 25 0 1 0 Hargrove Inc Number One Hargrove Dr Lanham MD 20706 Exhibitor Services 492485 The Sheridan Press 450 Fame Ave Hanover PA 17331 Publication services 451087 PreMedia Global USA Inc 1797 Seddon Ct Ashland OH 448054502 Publication services 432888 Production Resources Group LLC PO Box 731516 Dallas TX 753731516 Convention services 426430 Mark Logic Corporation 999 Skyway Rd Ste 200 San Carlos CA 94070 Database Content Management 372490 26 0 0 0 0 108764 164618 0 273382 Publications 541800 19490120 19231890 258230 0 Meetings 541800 9956470 4732449 49607 5174414 Membership Dues 561000 1386862 1386862 0 0 0 0 0 0 30833452 1304746 0 0 1304746 0 0 0 0 290632 0 0 290632 314801 0 126313 0 188488 0 188488 0 0 188488 8992300 0 8314917 0 677383 0 677383 0 0 677383 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 Journal publishing fees 900099 36996 36996 0 0 0 0 0 0 36996 33605079 25388197 307837 7635663 557849 557849 35607 35607 176464 176464 0 0 664211 583187 81024 0 0 0 0 0 10646438 9347724 1298714 0 833470 731799 101671 0 1096804 963390 133414 0 776152 681473 94679 0 736013 686371 49642 0 26671 23882 2789 0 100495 88236 12259 0 42000 42000 0 0 0 0 144907 0 144907 0 0 0 0 0 384249 352991 31258 0 624633 556165 68468 0 241062 211656 29406 0 0 0 0 0 964511 846854 117657 0 1074266 978868 95398 0 0 0 0 0 6227476 6214114 13362 0 0 0 0 0 0 0 0 0 1537706 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36996 520552 29342193 30340788 29096738 30912730 33731392 153423841 0.92660 0.9248 0.06942 0.0712 X Part III Line 12 Journal Publishing Fees RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 57044 57044 30048199 30105243 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 140273 92884 85565 57044 375766 250000 250000 250000 250000 1000000 1500000 0 0 0 0 0 0 3789466 3789466 0 16373899 9413577 6960322 0 0 0 0 0 8336728 5537781 2798947 0 0 0 0 13548735 0 Deposits 15939 Deferred Compensation 694256 710195 33605079 30105243 3499836 0 0 0 0 0 0 3499836 31761575 -1969817 0 0 126313 -1843504 33605079 0 0 0 33605079 30231556 0 0 0 126313 126313 30105243 0 0 0 30105243 SchD_P10_S00_L01 Schedule D, Part X, Line 1 Income Taxes On January 1, 2009 under ASC 740-10, an organization must recognize the tax benefit associated with tax positions taken for tax return purposes when it is more-likely than not that the position will be sustained. the implementation of ASC 740-10 had no impact of OSA's financial statements. OSA does not believe there are any material uncertain tax positions and accordingly will not recognize any liability for unrecognized tax benefits. OSA has filed for and received income tax exemptions in the jurisdictions where it is required to do so. Additionally, OSA has filed Internal Revenue From 990 tax returns as required and all applicable returns in those jurisdictions where it is required. OSA believes that it is not longer subject to US, Federal, State, Local, or Non-US income tax examinations by tax authorities for years before 2007. However, OSA is still open to examinations by tax authorities for fiscal year 2007 forward. No interest or penalties were accrued as of January 1, 2009 as a result of adoption of ASC 740-10. For the year ended December 31, 2011, there were no interest or penalties recorded in the consilidating statements of activities. SchD_P10_S00_L02 Schedule D, Part X, Line 2 Income taxes on January 1, 2009 under ASC 740-10, and organization must recognize the tax benefil associated with tax positions taken for tax return purposes when it is more-likely than not that the position will be sustained. The implementation of ASC 740-10 had no impact on OSA's financial statements. OSA does not believe there are any material uncertain tax positions and accordingly, will not recognize any liability for unrecognized tax benefits. OSA has filed for and received tax exemptions in the jurisdictions where it is required to do so. Additionally, OSA has filled Internal Revenue Form 990 tax returns as required and all applicable returns in those jurisdictions where it is required. OSA believes that it is no longer subject to US, Federal, State and Local or Non-US income tax examinations by tax authorities for years before 2007. However, OSA is still open to examinations by tax authorities for fiscal year 2007 forward. No interest or penalties were accrued as of January 1, 2009 as a result of adoption of ASC 740-10. For the year ended December 31, 2011, there were no interest or penalties recorded in the consolidating statements of activities. SchD_P12_S00_L02d Schedule D, Part XII, Line 2d Rental Expenses 126,313 SchD_P13_S00_L02d Schedule D, Part XIII, Line 2d Rent Expense 126,313 1 East Asia and the Pacific 0 0 Grantmaking Individual and Meeting support 33703 East Asia and the Pacific 0 3 Program Services Scientific meetings 70993 Europe (including Iceland and Greenland) 0 0 Grantmaking Individual and Meeting support 55945 Europe (including Iceland and Greenland) 0 3 Program Services Scientific meetings 450744 Middle East and North Africa 0 0 Grantmaking Individual support 3540 North America (including Canada and Mexico, but not the United States) 0 9 Program Services Scientific meetings 493311 Russia and the newly independent States 0 0 Grantmaking Individual and meeting support 28400 South America 0 0 Grantmaking Individual and meetings support 27925 South Asia 0 0 Grantmaking Individual and meeting support 18089 Sub-Saharan Africa 0 0 Grantmaking Individual support 4323 North America (including Canada and Mexico, but not the United States) 0 0 Grantmaking Individual support 4539 0 15 1191512 X Activity Grant East Asia and the Pacific 11 10297 wire 0 International Fellow Grant East Asia and the Pacific 1 850 wire 0 Meeting registration East Asia and the Pacific 1 293 wire 0 Student section grants East Asia and the Pacific 6 1500 0 Summer school grants East Asia and the Pacific 14 5473 wire 0 Activity grant Europe (including Iceland and Greenland) 11 12300 wire 0 Awards Europe (including Iceland and Greenland) 5 6500 wire 0 Meeting support Europe (including Iceland and Greenland) 2 8000 wire 0 Meeting registration Europe (including Iceland and Greenland) 5 2048 wire 0 Presentation at a meeting Europe (including Iceland and Greenland) 3 2000 wire 0 Student section grants Europe (including Iceland and Greenland) 3 1500 wire 0 Summer school grants Europe (including Iceland and Greenland) 3 7208 wire 0 Activity grants Middle East and North Africa 3 2250 wire 0 Activity grants Russia and the newly independent States 18 14450 wire 0 Meeting support Russia and the newly independent States 2 4500 Student section grants Russia and the newly independent States 2 450 wire 0 Travel support Russia and the newly independent States 1 2000 wire 0 Activity grants South America 12 11388 wire 0 Collaborative grant South America 1 250 wire 0 Student section grants South America 3 750 wire 0 Summer school grants South America 2 4577 wire 0 Summer school grants South Asia 2 2379 wire 0 Student section grants Sub-Saharan Africa 2 2543 wire 0 0 0 0 0 0 0 SchF_P01_S00_L02 Schedule F, Part I, Line 2 All financial awards, whether disbursed within the USA or internationally, are disbursed based on established policies. All US and international financial award recipents are required to file a final report with the society. 1 The OSA Foundation Inc 2010 Massachusetts Ave NW Washington DC 20036 710913500 501(c)(3) 524364 0 Matching funds 1 45 Award 1 1879 0 Meeting registrations 14 7713 0 International Fellow Grant 5 8722 0 Student awards 1 1000 0 Summer school grants 8 15165 0 Travel grants 2 1128 0 SchI_P01_S00_L02 Schedule I, Part I, Line 2 All financial award, whether disbursed within the USA or internationally, are disbursed on established policies. All US and international financial award recipients are required to file a final report with the Society. X 0 1 X X X X X 0 1 0 0 0 0 0 0 0 Elizabeth A Rogan 333124 0 70000 0 22000 0 111000 0 11687 0 547811 0 0 0 Gerard M Zack 236990 0 25000 0 9600 0 2625 0 9117 0 283332 0 0 0 Sean Bagshaw 218852 0 23500 0 16500 0 24500 0 8971 0 292323 0 0 0 Grace Klonoski 232212 0 40000 0 16500 0 40000 0 0 0 328712 0 0 0 Beth Hampton 175802 0 15000 0 15631 0 37320 0 6987 0 250740 0 0 0 Elizabeth Nolan 182936 0 20000 0 16500 0 17833 0 5487 0 242756 0 0 0 SchJ_P01_S00_L01a Schedule J, Part I, Line 1a OSA CEO is a member of the private Cosmos Club in Washington, DC. The initiation fee for the club membership was paid by the CEO's personal funds. Annual dues for the club membership are reimbursed by the Society, which in return received discounted hotel, meeting space, and catering for events hosted by the Society for it's members. SchJ_P01_S00_L01b Schedule J, Part I, Line 1b All expenses of the organization are approved by standard procedures SchJ_P01_S00_L04 Schedule J, Part I, Line 4 OSA's CEO participates in a 457(f) plan, which is intended to be an unfunded and nonqualified deferred compensation plan as defined by section 457(f) (and 409A as maybe applicable) of the Internal Revenue Code of 1986, as amended, the terms and conditions. The fund is designed to provide the Society's highly compensated employees, with an annual amount of deferred compensation, the general terms and condition are as follows: 1. The plan is effective as of January 1, 2007 and the vesting starts on the date of the employment agreement, February 10, 2007. 2. The Society maintain a separate account for the plan participant. 3. Annual award, if any, is no less than the year-end bonus, which shall credited by March 31. 4. The Society may reserve assets in its general assets to recognize future payment obligation to the CEO and they are generally invested following the Society's long-term investment portfolio startegy. 5. The plan administrator is the Committee and has the complete discretion to supervise the administration of the plan. The Committee has the final authority in decisions arising on the interpretation and the implementation of the plan. 6. No right or interest in the plan in assignable or transferrable in any manner. 7. The provisions of this plan are constructed and interpreted according to the laws of the District of Columbia to the extent applicable and not preempted by federal law. The total paid for 2011 is $72,000. F990_P06_S0B_L11b Form 990, Part VI, Section B, Line 11b After the return has been prepared and reviewed by OSA Staff, the Audit Committee of the Board of Directors reviews and approves the form. Once approved the form is provided to the Board of Directors. F990_P06_S0B_L12c Form 990, Part VI, Section B, Line 12c Conflict of interest statements are required each year. They are reviewed and approved by the Audit Committee. F990_P06_S0B_L15 Form 990, Part VI, Section B, Line 15 CEO Compenations: The CEO Compensation Committee is comprised fo the President, President Elect, Past President and the Treasurer of the Board of Directors. In Feburary of each year, The CEO Compensation Committee meets to determine the compensation for the CEO based on the approved performance metrics for the year taking the following steps: 1. The Commitee reviews a specialized report prepared by an independent source. 2. Additional compensation data is provided by the Human Resources Department using multiple salary surveys prepared by independent sources and compensation information disclosed in the 990's of similar not for profit organizations. 3. The Committee uses high-level data provided by the Human Resources Department to determine if a increase is warrented. 4. The Committee approved compensation is documented and communicated to the CEO by the President of the Board of Directors. In addition, the Committee approved CEO compensation is documented and communicated to the Society's Human Resources Department by the Treasurer of the Board. 5. Compensation decisions are documented and kept in the CEO's personnel files in the Human Resources Department. F990_P06_S0C_L19 Form 990, Part VI, Section C, Line 19 The governing documents, conflict of interest policy, and financial statements are not made available to the public. F990_P07_S0A_L01a Form 990, Part VII, Section A, Line 1a Hours devoted to related organization: The OSA Foundation Inc.: Elizabeth A Rogan 5 hours Stephen D Fantone 5 hours Christopher Dainty 5 hours Donna Strickland 5 hours F990_P11_S00_L05 Form 990, Part XI, Line 5 Net Unrealized Losses on Investments -1,969,817 The OSA Foundation Inc 2010 Massachusetts Ave NW Washington DC 20036 710913500 To support Philanthropic Activities the forward OSA's mission DC 501(C)(3) 509(A)(3) N/A 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 The OSA Foundation Inc b 314787 Matching of contributions to the OSA Foundation