2017-10-29T20:38:45-07:00 2016-12-31 990 2016-01-01 952142678 SOCIETY OF PHOTO OPTICAL INSTRUMENTATION ENGINEER SOCI 3606763290 PO Box 10 Bellingham WA 982270010 Brad Ferguson CFO 3606855454 2017-10-29 107.77.235.57 2016 2018-03-14 21:41:22Z SPIE Brad Ferguson PO Box 10 Bellingham WA 982270010 71593456 0 X www.spie.org X 1955 WA SPIE is an international, nonprofit technical society dedicated to advancing scientific research and engineering applications of optical, photonic, imaging and optoelectronic technologies through its meetings, education programs and publications. 20 19 199 5440 340252 -37608 73725 86584 36897212 37659117 3793808 2012450 502237 482007 41266982 40240158 1714125 1568005 0 0 15790399 16355781 0 0 0 20076015 19734728 37580539 37658514 3686443 2581644 104213221 111960634 21716370 23175616 82496851 88785018 SPIE is an international, nonprofit technical society dedicated to advancing scientific research and engineering applications of optical, photonic, imaging and optoelectronic technologies through its meetings, education programs and publications. 0 0 12971023 74546 22833836 Technical Events - SPIE organized technical/scientific and engineering meetings with approximately 35,000 attendees at 15 locations in 3 countries. Included in the content of these Technical Events are basic research, research technology methods and applications. Many of our technical events also include Exhibits and a Career Center. There were 327 conferences held at the events in 2016 where scientists presented their research findings and collaborated on their work. In addition to the conferences offered at the 2016 Technical Events, there were 159 educational courses. Some of the names of the 2016 Technical Events were: Photonics West, Medical Imaging, Remote Sensing and Optics and Photonics. 5970948 21912 13300586 Publications - SPIE helps the scientist authors publish their work via Publications and Journals. The technical publications include: books, Journals, conference proceedings, CD-ROMs and website products. Proceedings of the conference are technical books that educate the engineering community about current technology, research and applications. Website links allow access to products and services used by scientists and engineers. Approximately, 13,000 books were shipped in 2016. SPIE is also the publisher of 10 technical journals: Optical Engineering, Journal of Biomedical Optics, Journal of Micro/Nano Lithography, MEMS and MOEMS, Journal of Nanophotonics, Journal of Applied Remote Sensing, Journal of Photonics for Energy, Journal of Astronomy Telescopes, Journal of Medical Imaging, Journal of Neurophotonics and SPIE Reviews. SPIE is also a Co-publisher of Journal of Electronic Imaging with Society for Imaging Science and Technology. Total circulation of journals during 2016 was 29,000 subscriptions, print and online. 2802129 789349 479060 Education - SPIE awarded 154 scholarships, 30 Education Outreach grants and supported 21 science fairs. More than 3,275 outreach posters were distributed and 4,000 copies of the Optics Education Directory were printed and distributed. We held the annual Optics Outreach Games, in addition to 3 Student Chapter Leadership Workshops and 8 Student Lunch with the Experts. 5,500 Women in Optics Planners were printed and distributed. SPIE also presented 159 short courses and issued 1034 Continuing Education Credits (CEU's) and supported 109 visiting lecture talks. SPIE also distributes educational videos each year. As of 2016, SPIE has distributed a total of 135 copies of our popular educational combo DVD which includes "A day without Photonics", "Light at Work" and "Light in Action". 1822071 682198 1307141 Membership - In 2016 SPIE provided $471,039 in student chapter travel support for 192 student chapters and $168,723 in activity grants for 186 student chapter groups. As part of our membership program, SPIE also provides reduced dues for students and members from developing nations. 1822071 682198 1307141 23566171 1 1 0 1 0 0 0 0 0 0 1 0 0 0 0 0 0 1 0 1 1 1 1 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 1 387 0 1 199 1 1 1 1 UK 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 CA MD OR WA X Brad Ferguson 3606763290 PO Box 10 Bellingham WA 982270010 Toyohiko Yatagai Immediate Past President 1 0.5 X X 0 0 0 Robert Lieberman President 4 1 X X 0 0 0 Glenn Boreman President Elect 4 1 X X 5074 0 0 Gary Spiegel Secretary/Treasurer 4 1 X X 0 0 0 Julie Bentley Director 1 0.5 X 6422 0 0 Michael Eismann Director 1 0.5 X 12000 0 0 James Fujimoto Director 1 0.5 X 1442 0 0 James Grote Director 1 0.5 X 63 0 0 Keith Lewis Director 1 0.5 X 0 0 0 Brian Lula Director 1 0.5 X 0 0 0 Anita Mahadevan-Jansen Director 1 0.5 X 0 0 0 Kristen Maitland Director 1 0.5 X 0 0 0 Wolfgang Osten Director 1 0.5 X 0 0 0 Demetri Psaltis Director 1 0.5 X 0 0 0 Akiyoshi Suzuki Director 1 0.5 X 0 0 0 Maryellen Giger Vice President 1 0.5 X X 4000 0 0 Joseph Howard Director 1 0.5 X 0 0 0 Jennifer Barton Director 1 0.5 X 0 0 0 Anna Grazia Mignani Director 1 0.5 X 0 0 0 David Andrews Director 1 0.5 X 0 0 0 Eugene Arthurs Executive Director/CEO 36 4 X 586303 0 63808 Brad Ferguson Finance Director/CFO 36 4 X 257012 0 63548 Andrew Brown Sr. Director, Global Business Development 36 4 X 187885 0 57189 Marybeth Manning Director, Digital Library Sales & Product 36 4 X 177757 0 47135 Eric Pepper Director, Publications 36 4 X 170310 0 49970 Scott Ritchey Director, Information Technology 36 4 X 159924 0 54604 Peter Hallett Director, Marketing & Industry Relations 36 4 X 144599 0 52276 Robert Hainsey Science & Technology Strategist 36 4 X 169974 0 33194 Marilyn Gorsuch Director, Technical Programs & Proceedings 36 4 X 146362 0 29294 Stephen Anderson Director, Industry Development 36 4 X 160167 0 45491 Brian Thomas Event Manager 36 4 X 154837 0 9584 2344131 0 506093 27 0 1 0 PSAV Presentation Services 925 Freeport Parkway Suite 100 Coppell TX 75019 Audio Visual 1601088 Freeman PO Box 650036 Dallas TX 752650036 On-Site Decorator 930139 Lumina Datametrics Dept CH 16508 Palatine IL 600556508 Publishing Services 610030 Silverchair Science and Communication 316 E Main St No 300 Charlottesville VA 22902 Software Licensing 518683 Nigel Frank International 110 William Street 21st Floor New York NY 10038 Outsourced Services 426320 25 0 0 0 0 30000 56584 0 86584 Membership 541900 1307141 1253900 53241 0 Technical Events 541900 22833836 11577535 264285 10992016 Education 541900 217554 204038 13516 0 Publications 541900 13300586 13291376 9210 0 0 0 0 0 37659117 2325903 0 0 2325903 0 0 0 0 187637 0 0 187637 20370 0 9745 0 10625 0 10625 0 0 10625 31028237 1863 31343553 0 -315316 1863 -313453 0 0 -313453 0 Subsidiary Management 561000 249632 249632 0 0 Misc Merchandise Sales 453220 22239 0 0 22239 Misc Revenue 900099 11874 11874 0 0 0 0 0 0 283745 40240158 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37668259 0 0 0 9745 9745 37658514 0 0 0 37658514 Schedule D, Part XI, Line 4b This is the rental expense that is reported as an offset to rental income on 990 Part VIII. Schedule D, Part XII, Line 2d Rental expense reported on 990 Part VIII 1 East Asia and the Pacific 0 0 Grantmaking 232485 East Asia and the Pacific 0 0 Program Services Contract Work 242661 Europe (including Iceland and Greenland) 0 0 Grantmaking 303759 Europe (including Iceland and Greenland) 0 0 Program Services Contract Work 816506 Middle East and North Africa 0 0 Grantmaking 22052 North America (including Canada and Mexico, but not the United States) 0 0 Grantmaking 127795 North America (including Canada and Mexico, but not the United States) 0 0 Program Services Contract Work 45937 Russia and the newly independent States 0 0 Grantmaking 99118 South America 0 0 Grantmaking 58528 South Asia 0 0 Grantmaking 128874 Sub-Saharan Africa 0 0 Grantmaking 27090 Sub-Saharan Africa 0 0 Program Services Contract Work 642 Europe (including Iceland and Greenland) 1 9 Program Services Investment in Subsidiaries 4128232 1 9 6233679 Europe (including Iceland and Greenland) General Support 55000 Wire 0 Europe (including Iceland and Greenland) General Support 7000 Wire 0 East Asia and the Pacific General Support 6000 Wire 0 South America General Support 5500 Wire 0 4 0 Awards East Asia and the Pacific 17 14150 Wire transfer Awards Europe (including Iceland and Greenland) 41 23105 Wire transfer Awards Middle East and North Africa 2 1500 Wire transfer Awards North America (including Canada and Mexico, but not the United States) 6 2250 Wire transfer Awards South America 2 1500 Wire transfer Awards Sub-Saharan Africa 1 400 Wire transfer Scholarships and Outreach Grants East Asia and the Pacific 12 33000 Wire transfer Scholarships and Outreach Grants Europe (including Iceland and Greenland) 22 54000 Wire transfer Scholarships and Outreach Grants Middle East and North Africa 2 4000 Wire transfer Scholarships and Outreach Grants North America (including Canada and Mexico, but not the United States) 22 51500 Wire transfer Scholarships and Outreach Grants Russia and the newly independent States 16 36000 Wire transfer Scholarships and Outreach Grants South America 3 6000 Wire transfer Scholarships and Outreach Grants South Asia 9 21000 Wire transfer Scholarships and Outreach Grants Sub-Saharan Africa 2 4000 Wire transfer Student Travel Grants East Asia and the Pacific 21 10725 Wire transfer Student Travel Grants Europe (including Iceland and Greenland) 20 8474 Wire transfer Student Travel Grants Middle East and North Africa 6 2459 Wire transfer Student Travel Grants North America (including Canada and Mexico, but not the United States) 10 4865 Wire transfer Student Travel Grants Russia and the newly independent States 8 4266 Wire transfer Student Travel Grants South America 15 9100 Wire transfer Student Travel Grants South Asia 19 9956 Wire transfer Student Travel Grants Sub-Saharan Africa 1 403 Wire transfer Chapter Travel Grants East Asia and the Pacific 53 116806 Wire transfer Chapter Travel Grants Europe (including Iceland and Greenland) 46 79335 Wire transfer Chapter Travel Grants Middle East and North Africa 5 11023 Wire transfer Chapter Travel Grants North America (including Canada and Mexico, but not the United States) 45 42977 Wire transfer Chapter Travel Grants Russia and the newly independent States 18 31340 Wire transfer Chapter Travel Grants South America 16 35387 Wire transfer Chapter Travel Grants South Asia 29 67188 Wire transfer Chapter Travel Grants Sub-Saharan Africa 3 7669 Wire transfer FOCUS Conference Grant Europe (including Iceland and Greenland) 4 12000 Wire transfer FOCUS Conference Grant Russia and the newly independent States 1 4000 Wire transfer 1 0 1 0 0 1 Schedule F, Part I, Line 2 Recipients of Travel Grants must submit receipts which are reviewed by SPIE staff prior to disbursement of funds. Recipients of Scholarships must apply and be selected after a thorough review by an independent selection committee. 1 University of AZ Foundation 111 N Cherry Ave Tucson AZ 85721 866050388 501(c)(3) 15000 Sponsorship Science Counts Inc 529 14th St NW Suite 1050 Washington DC 20045 464747662 501(c)(3) 10000 Sponsorship Double Helix LLC 1296 Mayette Ave San Jose CA 95125 237170474 10000 Award Ithaka PO Box 30959 New York NY 100870959 133857105 501(c)(3) 5460 General Support 3 1 Awards 122 70742 Scholarship and Outreach Grants 66 187000 Student Travel Grants 40 16244 Chapter Travel Grants 69 80834 Schedule I, Part I, Line 2 SPIE Staff asks how the funds will be spent on applications and provides examples of approved uses for scholarship funds. Also, the recipient is required to fill out an annual report disclosing how the funds were used. Recipients of SPIE Outreach Grants are required to submit a report to the Society on how the Outreach Grant was used within one year of receiving the funds. Recipients of SPIE Travel Grants must submit receipts which are reviewed by SPIE Staff prior to disbursement. The SPIE Awards Program honors the best individuals in optics and photonics for their significant achievements and contributions in advancing the science of light. X X 1 1 X X X X X X 1 0 0 0 0 0 0 1 0 Eugene Arthurs Executive Director/CEO 416443 0 145496 0 24364 0 32575 0 31233 0 650111 0 0 0 Brad Ferguson Finance Director/CFO 224660 0 23826 0 8525 0 32496 0 31051 0 320558 0 0 0 Andrew Brown Sr. Director, Global Business Development 176675 0 8862 0 2347 0 23262 0 33927 0 245073 0 0 0 Marybeth Manning Director, Digital Library Sales & Product 160473 0 9484 0 7800 0 21502 0 25633 0 224892 0 0 0 Eric Pepper Director, Publications 152908 0 8088 0 9313 0 19738 0 30233 0 220280 0 0 0 Scott Ritchey Director, Information Technology 145197 0 8166 0 6560 0 19553 0 35051 0 214527 0 0 0 Robert Hainsey Science & Technology Strategist 159687 0 8181 0 2105 0 19736 0 13458 0 203167 0 0 0 Stephen Anderson Director, Industry Development 149204 0 8708 0 2255 0 18969 0 26522 0 205658 0 0 0 Brian Thomas Event Manager 45633 0 4850 0 104354 0 5048 0 4536 0 164421 0 0 0 Marilyn Gorsuch Director, Technical Programs & Proceedings 130611 0 6580 0 9171 0 15251 0 14043 0 175656 0 0 0 Peter Hallett Director, Marketing & Industry Relations 135183 0 7719 0 1696 0 16944 0 35332 0 196874 0 0 0 Schedule J, Part I, Line 1a Travel for Companions: Up to a maximum $600 annually is allowed for director level and higher staff companion travel, which is added to W2 wages. Employees are responsible for all applicable taxes. In 2016, 7 directors took advantage of this program: Andrew Brown, Brad Ferguson, Robert Hainsey, Peter Hallett, Marybeth Manning, Eric Pepper and Scott Ritchey. Tax indemnification and Gross Up Payments: The cost of extensive business calls on employee personal cell phones is reimbursable when accompanied with approved substantiation and authorization. These reimbursement payments are added to W2 wages and grossed up to include the amount of tax due. Schedule J, Part I, Line 4 Severance Payments: Brian J. Thomas $60,972.80. Schedule J, Part I, Line 7 The bonuses are not set specific amounts. They are not directly tied formally to any metric, but instead are left to the Board's discretion. The Board approves the bonus percentage, but the supervisors decide how much each employee will get out of the department's allotment. Form 990, Part VI, Section A, Line 6 Membership - SPIE is a membership based society with 18,689 members. Membership Types/Rights: Voting Members include the following and may hold office, serve on a committee and vote on all matters that are required to be approved by the members: 1) Regular Member - Any person determined by the Board to be qualified through technical experience or training is eligible to become a regular member. 2) Fellow Member - A member who has become distinguished through outstanding contributions in the relevant technologies, service to the Society, and service to the general optics and photonics community who has been a voting member of the society in any grade for a cumulative period of a minimum of ten years may be elevated to the rank of Fellow. 3) Senior Member - A member who is a voting member of the Society for a cumulative period of a minimum of five years and has become distinguished through significant contributions in one or more of the following areas: active involvement with the Society, service to the general optics and photonics community, and contributions in relevant technologies. 4) Early Career Professional member - Designated for individuals just entering the workforce. Recent college and university graduates are eligible for up to three years of Early Career Professional Membership. Non-voting Members include Student Members - receive discounted membership and must be a full time student to qualify. Form 990, Part VI, Section A, Line 7a Annual elections are held by mail and email each year. SPIE members elect the Board of Directors with the results announced at the Annual General Meeting. Form 990, Part VI, Section A, Line 7b Any major changes such as name change, or a legal structure change would require a vote by the membership. Also the officers, directors and member directors are elected by the membership. Form 990, Part VI, Section B, Line 11b The 990 is made available to the Board of Directors via a shared web portal. Subsequently, the CFO reviews the 990 with the Executive Committee of Board of Directors in person at a Board meeting prior to filing. Form 990, Part VI, Section B, Line 12c Each January, the Board of Directors are asked to review and sign the Conflict of Interest Policy. At all meetings it is normal practice for a member to leave the room if there is a perceived conflict of interest. Accounting reviews transactions with any of our related parties and questions any transaction that may appear to be a conflict of interest. The CFO and the Board of Directors determine if it is a true conflict. If it were to occur, there would be a recusal from any related voting activity on the Board of Directors. SPIE also complies with all proper transparency requirements that are applicable. Form 990, Part VI, Section B, Line 15 Executive level staff:Annually 4-6 different salary surveys and Form 990 data is used to benchmark our Executive Director/CEO, Finance Director/CFO and Sr. Director, Event & Global Business Development positions. The salary surveys provide comparative data for Industrial, Not-for-Profit and the local job market. The Form 990 data provides comparative data for other similarly situated non profits. A compensation consultant is engaged at least once every three years to assist in developing compensation recommendations. The comparison data for the Executive Director, Sr. Finance Director/CFO, Sr. Director, Events & Global Business Development are provided to the SPIE's Compensation Committee who review it and makes the appropriate salary recommendation for the Executive Director. The comparison data for the Finance Director/CFO and Sr. Director, Events & Global Business Development is provided to the Executive Director, who makes recommendations to the Compensation Committee for compensation for both positions. Recommendations are reviewed and approved by the Compensation Committee and reported to the Executive Committee. Director level staff: Annually data from 6 different salary surveys (3 regional & 3 non-profit) are reviewed and the director staff positions are benchmarked to the market represented in these surveys. We then have our 3rd party compensation analyst run regression analysis on the market data in combination with our internal job evaluation system (Point Factor system). The analyst then makes recommendations regarding grade changes for specific jobs and changes to the pay grade structure. This information is then used in combination with performance evaluations to make pay decisions for director level staff. The Senior Directors suggest merit amounts, which are then reviewed by the Executive Director and brought to the salary review committee (SPIE's Executive Committee performs these duties) for final review and approval. Staff: Every year, we take data from 6 different salary surveys (3 regional & 3 non-profit) and benchmark 63% (73 of our 117 different positions) of our jobs to the market data. We then have our 3rd party compensation analyst run regression analysis on the market data in combination with our internal job evaluation system (Point Factor system). The analyst then makes recommendations regarding grade changes for specific jobs and changes to the pay grade structure. This information is then used in combination with performance evaluations to make pay decisions for staff. The managers suggest merit amounts, which are then reviewed and approved by executive staff. Form 990, Part VI, Section C, Line 19 SPIE Makes its governing documents, conflict of interest policy and financial statements available to the public upon request. SPIE Europe Ltd #5085639 2 Alexandra Gate Ffordd Pengam Cardiff UK CF242SA Scientific Conferences UK Society of Photo Optical Engineers 1 SPIE Events Europe #5099292 2 Alexandra Gate Ffordd Pengam Cardiff UK CF24 DSA Scientific Tradeshows UK N/A C 752977 320903 1 1 0 1 0 0 0 0 0 0 0 0 0 1 1 1 1 0 1 0 0 SPIE Europe Ltd #5085639 b 536930 Cash Value SPIE Events Europe #5099292 b 128454 Cash Value SPIE Europe Ltd #5085639 q 204390 Cost SPIE Events Europe #5099292 q 45242 Cost