2022-08-15T15:24:17-05:00 2021-09-30 410746749 CLIFTONLARSONALLEN LLP 901 NORTH GLEBE ROAD SUITE 200 ARLINGTON VA 22203 990 2020-10-01 520816670 UNIVERSITIES RESEARCH ASSOCIATION INC UNIV 2022931382 1140 19TH STREET NW NO 900 WASHINGTON DC 20036 JOHN MESTER PRESIDENT 2022931382 2022-08-15 1 JOHN MESTER 999009999 J ANDREW SMITH P00635175 5712279500 2022-08-15 3 AAL1 IAL1 2020 2022-09-23 18:48:47Z JOHN MESTER 1140 19TH STREET NW NO 900 WASHINGTON DC 20036 7738596 0 X WWW.URA-HQ.ORG X 1965 DC TO FACILITATE AND MANAGE LABORATORIES FOR RESEARCH AND EDUCATION IN SCIENCE. 14 14 11 15 0 0 540096 74218 5035292 5273819 293083 632887 0 1887 5868471 5982811 430111 351254 0 0 2225902 2482584 0 0 0 1107054 1083887 3763067 3917725 2105404 2065086 16112676 19819998 1216337 1165568 14896339 18654430 X UNIVERSITIES RESEARCH ASSOCIATION INC. (URA) IS A NONPROFIT MEMBERSHIP CORPORATION ORGANIZED TO ENGAGE IN RESEARCH, DEVELOPMENT AND EDUCATION IN THE PHYSICAL AND BIOLOGICAL SCIENCES. THE MISSION OF URA IS TO ESTABLISH AND OPERATE IN THE NATIONAL INTEREST LABORATORIES AND FACILITIES FOR RESEARCH, DEVELOPMENT, AND EDUCATION IN THE PHYSICAL AND BIOLOGICAL SCIENCES TO EXPAND THE FRONTIERS OF KNOWLEDGE, FOSTER INNOVATION, AND PROMOTE THE EDUCATION OF FUTURE GENERATIONS OF SCIENTISTS. 0 0 1112325 16777 3936525 NTESS/SNL: URA WAS PART OF THE HONEYWELL PROPOSAL SUBMITTED BY ITS WHOLLY OWNED AFFILIATE, THE NATIONAL TECHNOLOGY & ENGINEERING SOLUTIONS OF SANDIA LLC (NTESS), THAT LED TO THE CONTRACT AWARDED IN DECEMBER 2016 BY DOE/NNSA TO MANAGE AND OPERATE SANDIA NATIONAL LABORATORIES. A NTESS-URA SUBCONTRACT FOR ASSURING SCIENTIFIC EXCELLENCE, PROMOTING THE TALENT PIPELINE AND FACILITATING STRATEGIC ENGAGEMENT WITH ACADEMIA BECAME EFFECTIVE OCTOBER 31, 2018 AND WAS VALID THROUGH APRIL 30, 2022. THE SUBCONTRACT WAS EXTENDED FOR FIVE YEARS, OR THROUGH APRIL 30, 2027. THE NTESS-URA SUBCONTRACT IS A SIGNIFICANT EXPANSION OF URA'S PROGRAM, WHICH INCLUDES URA EMPLOYEES ONSITE AT SANDIA. 321835 239051 URA VISITING SCHOLARS PROGRAM AWARDS: EFFECTIVE JANUARY 1, 2007, URA COMMITTED TO PROVIDE A MINIMUM OF $400,000 PER YEAR OVER FIVE YEARS TO SUPPORT MEMBER UNIVERSITY FACULTY AND STUDENTS TO PERFORM RESEARCH AT FERMILAB. IN 2012, 2016 AND AGAIN IN 2021, THE MEMBER INSTITUTIONS VOTED UNANIMOUSLY TO CONTINUE SUPPORT TO FERMILAB IN THE FORM OF THE VISITING SCHOLARS PROGRAM. THIS COMMITMENT IS FUNDED THROUGH A SERIES OF ANNUAL ASSESSMENTS OF $5,000 FROM EACH EXISTING URA MEMBER INSTITUTION, AND A ONE-TIME ASSESSMENT OF $10,000 FOR NEW MEMBERS. 225262 1337294 FRA/FERMILAB: FROM THE LABORATORY'S ESTABLISHMENT THROUGH DECEMBER 31, 2006, URA WAS RESPONSIBLE FOR ORGANIZING, DESIGNING, CONSTRUCTING, AND OPERATING FERMI NATIONAL ACCELERATOR LABORATORY (FERMILAB) UNDER CONTRACTS WITH THE U.S DEPARTMENT OF ENERGY AND ITS PREDECESSOR AGENCIES. AS OF JANUARY 1, 2007 A NEW CONTRACT TO MANAGE AND OPERATE FERMILAB WAS AWARDED TO THE FERMI RESEARCH ALLIANCE, LLC, AN ILLINOIS 501(C)(3) LIMITED LIABILITY COMPANY. URA HAS A 50% OWNERSHIP IN THE FERMI RESEARCH ALLIANCE, LLC, THE PRIME CONTRACTOR FOR THE OPERATION OF FERMI NATIONAL ACCELERATOR LABORATORY (UNIVERSITY OF CHICAGO OWNS THE REMAINING 50%). URA RECEIVES 50% OF EARNINGS (AS NOTED IN THE PROGRAM REVENUE). AS SUCH, URA EMPLOYEES SPEND TIME MANAGING THIS RELATIONSHIP. AFTER AN INITIAL FIVE-YEAR BASE TERM, THE FERMILAB CONTRACT HAS BEEN EXTENDED BASED ON PERFORMANCE THROUGH DECEMBER 31, 2023. 70996 62926 PIERRE AUGER: URA PROVIDED DIRECT FINANCIAL SUPPORT TO THE PIERRE AUGER PROJECT THROUGH A GRANT FROM THE NATIONAL SCIENCE FOUNDATION. 29138 URA SPONSORED A ROUNDTABLE IN OCTOBER 2020 AMONG A GROUP OF URA MEMBER UNIVERSITIES ON HOW TO STRENGTHEN THE ENGAGEMENT OF THE UNIVERSITY COMMUNITY WITH THE DOE NATIONAL LABORATORIES. THE ROUNDTABLE RESULTED IN A FORMAL REPORT THAT WAS ISSUED FEBRUARY 1, 2021, TO URA'S COUNCIL OF PRESIDENTS. 30000 30000 URA AWARDS: URA ANNUALLY FUNDS THREE HONORARY COMPETITIVE AWARDS FOR WORK CONDUCTED AT FERMILAB OR IN COLLABORATION WITH FERMILAB SCIENTISTS BY OUTSTANDING YOUNG SCIENTISTS: ONE THAT HONORS THE MOST OUTSTANDING DOCTORAL THESIS, ONE FOR OUTSTANDING WORK CONDUCTED BY A POSTDOCTORAL RESEARCHER, AND ONE FOR OUTSTANDING WORK CONDUCTED BY AN EARLY CAREER RESEARCHER AT FERMILAB OR BENEFITING THE FERMILAB SCIENTIFIC PROGRAM. 2500 2500 AMERICAN PHYSICAL SOCIETY: FUNDS PROVIDED TO APS TO RECOGNIZE THE DOCTORAL THESIS RESEARCH OF OUTSTANDING QUALITY AND ACHIEVEMENT IN BEAM PHYSICS AND ENGINEERING. 132634 95426 1792056 1 1 0 0 0 0 0 0 0 0 1 1 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 58 0 11 1 0 0 0 0 0 0 0 0 0 0 0 0 X 14 14 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 NM X MARTHA A RUBENSTEIN 2022931382 1140 19TH STREET NW SUITE 900 WASHINGTON DC 20036 ERIC BARRON EXECUTIVE CHAIR, BOARD OF TRUSTEES 2.00 0.00 X 0 0 0 NORMAN R AUGUSTINE BOARD OF TRUSTEES MEMBER 1.00 0.00 X 0 0 0 GENE BLOCK BOARD OF TRUSTEES MEMBER 1.00 0.00 X 0 0 0 GREGORY FENVES BOARD OF TRUSTEES MEMBER 1.00 0.00 X 0 0 0 WILLIAM H JOYCE VICE CHAIR, BOARD OF TRUSTEES 2.00 1.00 X 0 0 0 HARRIS PASTIDES BOARD OF TRUSTEES MEMBER 1.00 0.00 X 0 0 0 MARK SCHLISSEL BOARD OF TRUSTEES MEMBER 1.00 0.00 X 0 0 0 RICHARD J SWIFT BOARD OF TRUSTEES MEMBER 1.00 0.00 X 0 0 0 JOE B WYATT BOARD OF TRUSTEES MEMBER 1.00 0.00 X 0 0 0 DAVID LEEBRON BOARD OF TRUSTEES MEMBER 1.00 0.00 X 0 0 0 TIMOTHY SANDS BOARD OF TRUSTEES MEMBER 1.00 0.00 X 0 0 0 JONATHAN HOLLOWAY BOARD OF TRUSTEES MEMBER 1.00 0.00 X 0 0 0 BARRY BARISH BOARD OF TRUSTEES MEMBER 1.00 0.00 X 0 0 0 MARY SUE COLEMAN BOARD OF TRUSTEES MEMBER 1.00 0.00 X 0 0 0 MARTA CEHELSKY EXECUTIVE DIRECTOR 38.00 2.00 X 510179 0 31328 TED WACKLER DEPUTY EXECUTIVE DIRECTOR 38.00 2.00 X 298389 0 67410 MARTHA RUBENSTEIN CFO/TREASURER 32.00 0.00 X 167982 0 20122 MARY EGGER CHIEF COUNSEL 24.00 0.00 X 141561 0 17352 IAN ANDERSON DIRECTOR, USSO 40.00 0.00 X 299778 0 29698 DAVETTA TRUJILLO USSO BUSINESS AND FINANCE MANAGER 40.00 0.00 X 113798 0 31922 1531687 0 197832 6 0 1 0 SMITH SCIENCE STRATEGIES LLC 2840 HURST TER NW WASHINGTON DC 20016 PROGRAM CONSULTING SERVICES 154093 MARCUM LLP 1899 L STREET NW SUITE 80 WASHINGTON DC 20036 FINANCIAL & HR CONSULTING SERVICES 130194 2 69218 5000 74218 NTESS 900099 3936525 3936525 DISTRIBUTION FROM FRA 900099 1337294 1337294 5273819 356432 356432 2032240 1755785 276455 276455 276455 OTHER INCOME 900099 1887 1887 1887 5982811 5273819 0 634774 X 319085 319085 30000 30000 2169 2169 1697681 603478 1094203 509464 248379 261085 52259 31116 21143 99273 61212 38061 123907 52631 71276 829 829 142023 142023 19168 19168 501771 283297 218474 27894 11283 16611 60273 33690 26583 241690 79515 162175 10682 2734 7948 1040 1040 43662 20780 22882 8864 4219 4645 NON CAPITAL EQUIPMENT 11728 5582 6146 COPIER LEASE 6846 2252 4594 GIFTS AND CONTRIBUTIONS 3070 3070 JOURNALS, PUBLICATIONS 1656 1656 2691 634 2057 3917725 1792056 2125669 0 100 100 4183132 2014374 1059996 994113 50199 41996 517650 345598 199164 172052 9186777 15186618 1082635 1037294 350673 373451 16112676 19819998 435450 456691 99318 56201 681569 652676 1216337 1165568 X 14038537 18054584 857802 599846 14896339 18654430 16112676 19819998 2065086 1693005 0 X 0 1 X 1 0 X 1405304 3000622 4305006 540096 74218 9325246 1405304 3000622 4305006 540096 74218 9325246 9325246 211189 298137 313232 375011 356432 1554001 221 40 70 1887 2218 10881465 13978014 0.85700 0.90320 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 446177 290177 156000 71473 55421 16052 172052 INVESTMENT IN FERMI RESEARCH ALLIANCE, LLC 1037294 F 1037294 403(B) LIABILITY 14402 457(B) LIABILITY 307327 DEFERRED RENT 314832 FSA WITHHOLDING LIABILITY 355 CAPITAL LEASE OBLIGATION 15760 652676 X 7713463 1693005 56815 1749820 5963643 19168 19168 5982811 3955372 56815 56815 3898557 19168 19168 3917725 PART X, LINE 2: UNIVERSITIES RESEARCH ASSOCIATION, INC. (URA) HAS RECEIVED A LETTER FROM THE INTERNAL REVENUE SERVICE (IRS) INDICATING THAT IT HAS BEEN RECOGNIZED BY THE IRS AT TAX-EXEMPT UNDER SECTION501(C)(3) OF THE INTERNAL REVENUE CODE (IRC) AND, AS SUCH, EXCEPT FOR TAXES PERTINENT TO UNRELATED BUSINESS INCOME, IS EXEMPT FROM FEDERAL AND STATE INCOME TAXES. URA HAS NO UNRELATED BUSINESS INCOME IN 2021 AND 2020. URA HAS ANALYZED ITS TAX POSITIONS TAKEN FOR FILINGS WITH THE INTERNAL REVENUE TAXING AUTHORITIES. AS OF SEPTEMBER 30, 2021, IT BELIEVES THAT THE TAX FILING POSITIONS WILL BE SUSTAINED UPON EXAMINATION AND DOES NOT ANTICIPATE ANY ADJUSTMENTS THAT WOULD RESULT IN A MATERIAL ADVERSE EFFECT ON ITS FINANCIAL POSITION, CHANGES IN NET ASSETS, OR CASH FLOWS. GENERALLY, URA'S TAX RETURNS REMAIN OPEN FOR FEDERAL AND STATE INCOME TAX EXAMINATION FOR THREE YEARS FROM THE DATE OF FILING. 1 GEORGIA TECH RESEARCH CORPORATION P O BOX 100117 ATLANTA GA 30384 580603146 501(C)(3) 16777 RESEARCH ILLINOIS INSTITUTE OF TECHNOLOGY 3424 SOUTH STATE STREE TC-4TH FLOOR FLOOR CHICAGO IL 60616 362170136 501(C)(3) 8220 RESEARCH IOWA STATE UNIVERSITY 2221 WANDA DALEY DRIVE ADMINISTRATI E SERVICES BLDG AMES IA 50011 426004224 501(C)(3) 7483 RESEARCH NORTHERN ILLINOIS UNIVERSITY 1425 W LINCOLN HWY DEKALB IL 60115 366086819 501(C)(3) 15000 RESEARCH SYRACUSE UNIVERSITY 119 BOWNE HALL SYRACUSE NY 13244 150532081 501(C)(3) 31447 RESEARCH THE UNIVERSITY OF TENNESSEE BLOUNT HALL 1534 WHITE AVENUE KNOXVILLE TN 37996 626001636 501(C)(3) 39822 RESEARCH TUFTS UNIVERSITY 136 HARRISON AVENUE BOSTON MA 02111 042103634 501(C)(3) 15000 RESEARCH UNIVERSITY OF CALIFORNIA IRVINE PO BOX 6050 IRVINE CA 92616 952226406 501(C)(3) 12558 RESEARCH UNIVERSITY OF ILLINOIS GRANTS CONTRACTS 28392 NETWORK PLACE CHICAGO IL 606731283 376000511 501(C)(3) 7470 RESEARCH UNIVERSITY OF KENTUCKY 301 PETERSON SERVICE BUILDING LEXINGTON KY 40506 311030245 501(C)(3) 16467 RESEARCH UNIVERSITY OF MICHIGAN 500 S STATE ST ANN ARBOR MI 48109 386006309 501(C)(3) 7530 RESEARCH UNIVERSITY OF NOTRE DAME SPA 836A GRACE HALL NOTRE DAME IN 465565612 350868188 501(C)(3) 12695 RESEARCH THE TRUSTEES OF THE UNIVERSITY OF PENNSYLVANIA PO BOX 785541 PHILADELPHIA PA 191785541 231352685 501(C)(3) 9999 RESEARCH 13 RESEARCH AWARD 3 30000 PART I, LINE 2: URA HAS COMPLETE MANAGERIAL CONTROL OVER THE COLLECTION OF VSP FUNDS AND THE DISPOSITION OF AWARDS FROM THOSE FUNDS. IN ORDER TO ACCOMPLISH THE AWARD PROCESS THE EXECUTIVE DIRECTOR SOLICITS SCIENTISTS FROM THE MEMBERSHIP TO SERVE ON THE PEER REVIEW COMMITTEE TO REVIEW RESEARCH PROPOSALS AND RECOMMEND AWARDS. DURING THOSE MEETINGS THE EXECUTIVE DIRECTOR IS AN ACTIVE PARTICIPANT, PROVIDES COMMENTARY AND ENFORCEMENT OF URA GUIDELINES, AND CAN INDICATE WHEN A POTENTIAL AWARD IS NOT IN KEEPING WITH THOSE GUIDELINES (INCLUDING MEMBERS IN QUESTIONABLE STANDING WHO MAY BE BEHIND ON ASSESSMENTS). IN PROVIDING PROGRESS PAYMENTS FOR THE VSP AWARDS, URA PROVIDES THE AWARDED INSTITUTIONS WITH A COPY OF THE AWARD DOCUMENT (INDICATING THE APPROVED AMOUNT BY LINE ITEM CATEGORY AND THE AWARD PERIOD). PROGRESS PAYMENTS ARE MADE TO THE INSTITUTION, NOT THE PRINCIPAL INVESTIGATOR. THE INSTITUTIONAL BILLING COMES THROUGH THEIR OFFICE OF GRANTS AND CONTRACTS AND IS CERTIFIED, BY SIGNATURE, THAT THE BILLING IS APPROPRIATE, WITHIN THE SCOPE OF THE AWARD AND ITS BUDGETED PURPOSES, AND HAS BEEN DULY EXPENDED). X X X X 0 0 0 0 0 0 0 0 0 MARTA CEHELSKY EXECUTIVE DIRECTOR 510179 0 0 0 0 0 28500 0 2828 0 541507 0 0 0 TED WACKLER DEPUTY EXECUTIVE DIRECTOR 298389 0 0 0 0 0 28500 0 38910 0 365799 0 0 0 IAN ANDERSON DIRECTOR, USSO 299778 0 0 0 0 0 28500 0 1198 0 329476 0 0 0 MARTHA RUBENSTEIN CFO/TREASURER 167982 0 0 0 0 0 16793 0 3329 0 188104 0 0 0 MARY EGGER CHIEF COUNSEL 141561 0 0 0 0 0 14151 0 3201 0 158913 0 0 0 FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS 90 INSTITUTIONAL UNIVERSITY MEMBERS, EACH REPRESENTED IN THE COUNCIL OF PRESIDENTS (COP) BY THE UNIVERSITY PRESIDENT OR CHANCELLOR. FORM 990, PART VI, SECTION A, LINE 7A EACH MEMBER OF THE COP HAS ONE VOTE. THE COP ELECTS MEMBERS OF THE BOARD OF TRUSTEES BY THE MAJORITY OF VOTES CAST. FORM 990, PART VI, SECTION A, LINE 7B THE COP MAY DISAPPROVE ANY ASSESSMENTS FIXED BY THE BOARD OF TRUSTEES; ELECT NEW MEMBER UNIVERSITIES NOMINATED BY THE BOARD; AND APPROVE ANY AMENDMENTS TO THE BYLAWS PROPOSED BY THE BOARD. FORM 990, PART VI, SECTION B, LINE 11B MANAGEMENT AND ITS EXTERNAL ACCOUNTANTS REVIEW THE 990. THEN THE AUDIT COMMITTEE ASSUMES THE PRINCIPAL RESPONSIBILITY FOR REVIEWING THE 990 ON BEHALF OF THE BOARD OF TRUSTEES. THE BOARD RECEIVES A COPY PRIOR TO ITS FILING. FORM 990, PART VI, SECTION B, LINE 12C IN ADDITION TO THE ANNUAL ACKNOWLEDGEMENT OF THE CONFLICT OF INTEREST POLICY AND DISCLOSURE OF ANY CONFLICTS, ALL OFFICERS AND TRUSTEES ARE UNDER A CONTINUING AND AFFIRMATIVE OBLIGATION TO DISCLOSE ANY CONFLICTS THAT MAY COME UP DURING THE YEAR. TRUSTEES AND MEMBERS OF COMMITTEES REPORT ANY CONFLICTS TO THE BOARD AND GENERAL COUNSEL, AND OTHER OFFICERS REPORT ANY CONFLICTS TO THE EXECUTIVE DIRECTOR AND GENERAL COUNSEL. THE BOARD RESOLVES ISSUES AMONG BOARD AND COMMITTEE MEMBERS IN CONSULTATION WITH THE GENERAL COUNSEL AND EXECUTIVE DIRECTOR, AND THE EXECUTIVE DIRECTOR RESOLVES ISSUES INVOLVING OTHER OFFICERS IN CONSULTATION WITH THE GENERAL COUNSEL. RECUSAL FROM ANY CONFLICTED MATTER IS THE PRACTICE. THE URA EMPLOYEE MANUAL ALSO CONTAINS A CONFLICT OF INTEREST POLICY COVERING ALL EMPLOYEES, AND IT DESCRIBES THE PROCESS FOR DISCLOSURE TO THE EXECUTIVE DIRECTOR AND RESOLUTION OF ANY CONFLICTS. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION SURVEYS PUBLISHED BY INDEPENDENT THIRD-PARTY ORGANIZATIONS AND SALARY INFORMATION FROM FILED 990 REPORTS OF COMPARABLE ORGANIZATIONS' EXECUTIVE OFFICER ARE COLLECTED EACH YEAR BY THE GENERAL COUNSEL AND PRESENTED TO THE EXECUTIVE COMMITTEE OF THE BOARD WHICH MAKES A RECOMMENDATION TO THE FULL BOARD FOR ITS APPROVAL. PERIODICALLY, MOST RECENTLY IN 2016, URA CONTRACTS WITH AN INDEPENDENT ENTITY TO COLLECT AND PROVIDE COMPARABLE COMPENSATION DATA. THE EXECUTIVE COMMITTEE AND BOARD CONDUCT THEIR DISCUSSION AND DECISION-MAKING WITH MEMBERS ONLY. COMMITTEE AND BOARD MINUTES AND A MEMORANDUM FROM THE EXECUTIVE CHAIR DOCUMENT THIS PROCESS AND DECISION. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE UPON REQUEST. FORM 990, PART IX, LINE 11G HUMAN RESOURCE FEES: PROGRAM SERVICE EXPENSES 0. MANAGEMENT AND GENERAL EXPENSES 28,947. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 28,947. OTHER CONSULTING FEES: PROGRAM SERVICE EXPENSES 283,297. MANAGEMENT AND GENERAL EXPENSES 189,527. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 472,824. FERMI RESEARCH ALLIANCE LLC PO BOX 500 BATAVIA IL 60510 571239010 RESEARCH IL 501(C)(3) LINE 7 N/A 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 1 FERMI RESEARCH ALLIANCE S 1337294 NET REALIZABLE VALUE