2014-08-06T16:52:03-05:00 2013-09-30 363990892 Capin Crouse LLP 2435 Research Parkway Suite 200 Colorado Springs CO 80920 990 2012-10-01 742338444 Society for Mining Metallurgy and Exploration Inc SOCI 3039484200 12999 E Adam Aircraft Circle Englewood CO 801124167 David Kanagy 3039484200 2014-08-06 1 David C Moja P00747006 7195286225 2012 2015-11-30 17:44:51Z David Kanagy 12999 E Adam Aircraft Circle Englewood CO 80012 17814785 0 X www.smenet.org X 1871 CO To assist in the dissemination of scientific, educational, and technical materials. 9 9 50 0 1488139 0 694334 1005825 5482451 7922719 802532 1337700 2356463 2375070 9335780 12641314 406500 366866 0 0 3418893 3861225 0 0 261771 4940271 6436902 8765664 10664993 570116 1976321 26123357 27801499 5480157 4378799 20643200 23422700 To assist in the dissemination of scientific, educational, and technical materials. 0 0 7424446 366866 8723579 Publication: Includes technical books, journals, reprints, and monographs. Meetings: Includes technical sessions, education and symposia. Member services: Includes services to members, mining industry and educational institutions. 7424446 1 1 0 0 0 0 0 0 0 1 1 0 0 1 0 1 0 1 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 20 0 1 50 1 1 1 0 0 0 0 0 0 0 0 0 X 9 9 0 0 0 0 0 0 0 1 1 0 0 1 1 0 1 1 1 1 0 0 X Michael Hedges 3039484200 12999 E Adam Aircraft Circle Englewood CO 801124167 Jessica Elzea Kogel 2.00 X X 0 0 0 John O Marsden 2.00 X X 0 0 0 Drew A Meyer 2.00 X X 0 0 0 Mary B Korpi 2.00 X 0 0 0 Steven C Holmes 2.00 X 0 0 0 Joseph M Driscoll 2.00 X 0 0 0 Jonathan G Price 2.00 X 0 0 0 Marc A Herpfer 2.00 X 0 0 0 Hugh B Miller 2.00 X 0 0 0 Thomas F Peyton 2.00 X 0 0 0 Barbara J Arnold 2.00 X 0 0 0 John N Murphey 2.00 X 0 0 0 David L Kanagy 40.00 X 395889 0 30624 Michael Hedges 40.00 X 178134 0 24357 John Hayden 40.00 X 154380 0 11248 Paul Hoiberg 40.00 X 104865 0 20967 833268 0 87196 4 0 1 0 Cummings Printing Co 4 Peters Brook Drive Hooksett NH 031066495 Commercial Printing 545310 Sheaton Seattle 1400 Sixth Avenue Seattle WA 98101 Convention Services 491960 Washington State Convention & Trade Cent 800 Convention Place Seattle WA 98101 Convention Services 388943 Freeman 6555 West Sunset Rd Las Vegas NV 89118 Convention Services 269474 David Bayard 200 Village Rd Green Village NJ 07935 Ad Sales Commissions 122790 12 X 14050 991775 1005825 Exhibits & Sales 900099 2902257 2902257 Registrations & Entran 900099 2238074 2238074 Membership Dues 900099 1461480 1461480 Section Revenue 900099 1094432 1094432 Misc. Program Revenue 900099 226476 226476 7922719 560000 560000 86071 86071 4890307 697493 4494429 315671 395878 381822 777700 777700 0 14050 0 0 1164231 363371 800860 800860 Advertising 541800 1488139 1488139 1488139 12641314 8723579 1488139 1423771 X 366866 366866 902791 618707 261136 22948 2287681 1567809 661721 58151 126180 86475 36498 3207 339344 232561 98157 8626 205229 140649 59363 5217 32367 22182 9362 823 21549 14768 6233 548 107266 73512 31027 2727 615083 421533 177915 15635 237725 162919 68763 6043 150429 103093 43512 3824 509410 349112 147349 12949 2120613 1453313 613396 53904 192895 132196 55796 4903 47619 32635 13774 1210 Publications, Printing, 1010869 692775 292398 25696 Section Expenses 978241 670415 282960 24866 Division Expenses 259532 177864 75071 6597 Misc. Expenses 153304 105062 44345 3897 10664993 7424446 2978776 261771 1236865 1832472 1261905 1112571 851299 830995 278812 304849 4791539 1274403 3928393 3517136 16745662 18256717 1820421 1946759 26123357 27801499 918294 770978 3167781 3312631 1394082 295190 5480157 4378799 X 10298924 12412092 7851408 8517740 2492868 2492868 20643200 23422700 26123357 27801499 1976321 813101 -9922 0 X X 0 1 X 1 0 X 1287864 4135287 3426674 1577929 1005825 11433579 4142414 4075380 4845583 5798212 9086950 27948539 5430278 8210667 8272257 7376141 10092775 39382118 202 202 0 202 202 39381916 278871 505011 555830 523490 646071 2509273 278871 505011 555830 523490 646071 2509273 1340231 285535 249012 1874778 7049380 9001213 9077099 7899631 10738846 43766169 0.89980 0.89960 0.05730 0.05180 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 2492868 366886 366886 2492868 2492868 406500 406500 2492868 1.00000 0 0 300000 300000 2200000 160417 2039583 918908 58880 860028 1343069 1031608 311461 29562 23498 6064 3517136 Local Chapter Assets 1946759 1946759 X Description of Uncertain Tax Positions Under FIN 48: Part X, Line 2: The consolidated financial statement effects of a tax position taken or expected to be taken are recognized in the financial statements when it is more likely than not, based on the technical merits, that the position will be sustained upon examination. Interest and penalties, if any, are included in expenses in the consolidated statements of activities. As of September 30, 2013, SME had no uncertain tax positions that qualify for recognition or disclosure in the financial statements. SME's federal returns of Organization Exempt from Income Tax Forms 990 and Exempt Organization Business Income Tax Return Forms 990T for the years ended September 30, 2010, 2011, and 2012, are subject to examination by the IRS, generally for three years after they were filed. 1 Scholarships 123 366866 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: The organization awards scholarships for tuition/room & board based on scholastic ability and financial need. Applicants are required to complete a formal application, which is then reviewed by SME personnel to determine if the individual meets documented grant requirements. Disbursal reports are completed when grant funds are sent either directly to the grant recipient or the recipients educational institution. X X X X X X 0 0 0 0 0 1 0 1 0 David L Kanagy 256281 0 139608 0 0 0 17500 0 13124 0 426513 0 0 0 Michael Hedges 164384 0 13750 0 0 0 11829 0 12528 0 202491 0 0 0 John Hayden 143130 0 11250 0 0 0 10000 0 1248 0 165628 0 0 0 Part I, Line 3 Compensation offered to the organization's Executive Director is established by an independent, third party compensation consultant. This consultant conducts a study of similar organizations, in similar industries, when determining appropriate salary and benefits for the position. Independent members of the board discuss and approve the compensation package, and a written employment contract is put in place. Part I, Line 5 Staff bonuses are paid based on a formula contingent on the organization having an operational surpus. Part I, Line 6 Staff bonuses are paid based on a formula contingent on the organization having an operational surpus. Part I, Line 7 Executive Director bonus is paid at the discretion of the Board of Directors. Form 990, Part VI, Section B, line 11 Form 990 is prepared by an independent CPA firm and reviewed by the organization's Director of Finance and Accounting Manager. The reviewed Form 990 is then reviewed by the organization's board of directors prior to filing. Form 990, Part VI, Section B, line 12c Board members receive a copy of the organizations a conflict of interest policy as part of their board introduction packet, and disclose potential conflicts of interest upon joining the board. Any conflicts thereafter are disclosed as they become known. Board members lacking independence on an issue withdraw themselves from the decision making process. Form 990, Part VI, Section B, line 15a Compensation offered to the organization's Executive Director is established by an independent, third party compensation consultant. This consultant conducts a study of similar organizations, in similar industries, when determining appropriate salary and benefits for the position. Independent members of the board discuss and approve the compensation package, and a written employment contract is put in place. This process takes place on an annual basis. The Board of Directors entrusts the Executive Director with determining compensation for other officers of the organization. Compensation of officers is based off of comparability studies of similar positions within the engineering industry. This process also takes place on an annual basis. Form 990, Part VI, Section C, line 18 The organization makes its Form 1023 and Form 990s available to the public upon request. Form 990, Part VI, Section C, line 19 The organization makes its governing documents, conflict of interest policy, and financial statements available to the public upon request. 990, Part VIII, Line 2d - Section Revenue Revenue and expenses associated with SME sections are being reported separately in the current year Form 990. These two items have historically have been netted in the organization's prior year filings. 990, Part IX, Line 24b - Section Expenses Revenue and expenses associated with SME sections are being reported separately in the current year Form 990. These two items have historically have been netted in the organization's prior year filings. Form 990, Part XII, Line 2c: The audit committee of the board of directors is responsible for overseeing the audit and selecting the independent accounting firm. This process has not changed from the previous year.