2019-08-12T14:13:49-05:00 2018-09-30 621199757 LBMC PC 2095 LAKESIDE CENTRE WAY SUITE 220 KNOXVILLE TN 37922 990 2017-10-01 620476816 OAK RIDGE ASSOCIATED UNIVERSITIES INC OAKR 8655748141 PO BOX 117 OAK RIDGE TN 378310117 J PHIL ANDREWS VICE PRESIDENT & CFO 8655748141 2019-08-12 1 JILL HUDSON P00061190 8656919000 2019-08-07 8.42.53.250 2019-08-12 12:34:59 CD P 04104926966B4C4B22252BAAD6CA2A722C9A8CE4 348782984BF400604F14273A97FE8FF3602270C7 2017 2019-02-21 02:37:17Z ANDY PAGE PO BOX 117 OAK RIDGE TN 378310117 92887150 0 X WWW.ORAU.ORG X 1946 TN OAK RIDGE ASSOCIATED UNIVERSITIES, INC. (ORAU) IS A PRIVATE, NOT-FOR-PROFIT CORPORATION AND CONSORTIUM OF 122 COLLEGES AND UNIVERSITIES AND IS PRINCIPALLY A MANAGEMENT AND OPERATING CONTRACTOR FOR THE U.S. DEPARTMENT OF ENERGY (DOE). THROUGH THIS CONTRACT, ORAU MANAGES AND OPERATES THE OAK RIDGE INSTITUTE FOR SCIENCE AND EDUCATION (ORISE), WHICH CARRIES OUT RESEARCH AND DEVELOPMENT PROGRAMS IN SCIENCE/ENGINEERING EDUCATION, TRAINING MANAGEMENT SYSTEMS AND ENERGY/ENVIRONMENTAL SYSTEMS FOR DOE AND OTHER GOVERNMENTAL ORGANIZATIONS. IN ADDITION TO THE OPERATION OF ORISE, ORAU CORPORATE CONDUCTS PROGRAMS TO PROVIDE SERVICES TO ITS MEMBER INSTITUTIONS AND OTHER PRIVATE AND GOVERNMENT ORGANIZATIONS. 28 18 1336 256 0 0 160090 136500 91355823 92742287 69 2843 0 5520 91515982 92887150 50000 55000 0 0 37927904 37775532 0 0 0 51272253 54301964 89250157 92132496 2265825 754654 39546580 40857490 25790665 26734274 13755915 14123216 X TO ADVANCE NATIONAL PRIORITIES AND SERVE THE PUBLIC INTEREST BY INTEGRATING ACADEMIC, GOVERNMENT, AND SCIENTIFIC RESOURCES GLOBALLY. 0 0 56113500 57436852 HEALTH, ENERGY, AND ENVIRONMENT: ORAU POSSESSES EXPERIENCE IN EPIDEMIOLOGY AND WORKER PUBLIC HEALTH STUDIES. EXPERTISE LIES IN THE AREAS OF STUDYING EXPOSURE HISTORIES OF WORKER POPULATIONS TO DETERMINE POSSIBLE CORRELATION BETWEEN OCCUPATIONAL EXPOSURE AND ILLNESSES. CAPABILITIES ALSO INCLUDE SCREENINGS OF WORKERS OR THE PUBLIC TO IDENTIFY POTENTIAL HEALTH CONCERNS RESULTING FROM OCCUPATIONAL OR OTHER EXPOSURES, AND COLLECTING AND ANALYZING DATA RELATED TO WORKER HEALTH HISTORIES. ORAU HAS ALSO PARTNERED WITH GOVERNMENTAL AGENCIES, INDUSTRY, AND STATE HEALTH DEPARTMENTS TO DO QUALITY CONTROL SERVICES, DATA ABSTRACTING, AND PROVIDE ELECTRONIC MEDICAL RECORDKEEPING CAPABILITIES.ENVIRONMENTAL ASSESSMENT AND VERIFICATION PROGRAMS ENCOMPASS THE CHARACTERIZATION OF SPECIFIC ENVIRONMENTAL HAZARDS TO BE CLEANED UP AND THEN THE INDEPENDENT VERIFICATION OF REMEDIATION EFFORTS TO ENSURE THE CLEANUP MEETS FEDERAL REGULATORY STANDARDS. ORAU PROVIDES HEALTH PHYSICS EXPERTISE AND SPECIAL TRAINING PROGRAMS TO TEACH GOVERNMENT EMPLOYEES, OTHER GOVERNMENT CONTRACTORS' EMPLOYEES AND THE PRIVATE SECTOR THE APPROPRIATE AND PROPER METHODS TO HANDLE RADIOACTIVE MATERIALS, ACCIDENTS INVOLVING DANGEROUS OR HAZARDOUS MATERIALS, AND IN SOME CASES THE APPROPRIATE AND PROPER METHODS OF CLEANUP IN THE EVENT OF A SPILL. 28950954 55000 29598485 SCIENTIFIC ASSESSMENT & WORKFORCE DEVELOPMENT: SCIENCE AND EDUCATION PROGRAMS ARE THOSE THAT PRIMARILY SUPPORT FELLOWSHIPS, INTERNSHIPS, SCHOLARSHIPS OR OTHER MEANS TO PLACE STUDENTS, FACULTY, AND POSTDOCTORAL RESEARCHERS INTO RESEARCH POSITIONS AT NATIONAL LABORATORIES AND OTHER RESEARCH FACILITIES OR INSTITUTIONS THROUGHOUT THE WORLD. THE PURPOSE OF THESE PROGRAMS IS TO HAVE INDIVIDUALS CONDUCT OR PARTICIPATE IN THE CONDUCT OF RESEARCH WITH THEIR OWN EDUCATION BEING ONE OF THE BENEFICIARIES. IN ADDITION, ORAU'S CENTER FOR SCIENCE EDUCATION INCORPORATES AN INTERACTIVE, TECHNOLOGY-RICH CLASSROOM THAT BRIDGES THE GAP BETWEEN "IN-THE-FIELD" RESEARCH AND THE CONTENT CURRENTLY BEING USED IN TODAY'S CLASSROOMS. ORAU ALSO PLAYS A KEY ROLE IN EXPANDING THE DIVERSITY OF THE ENGINEERING AND SCIENTIFIC WORKFORCE THROUGH OUR EFFORTS TO RAISE THE LEVEL OF PARTICIPATION OF HISTORICALLY AFRICAN AMERICAN AND MINORITY EDUCATIONAL INSTITUTIONS IN OUR PROGRAMS.SCIENTIFIC AND TECHNICAL RESOURCE INTEGRATION PROGRAMS USE PANELS OF INDEPENDENT REVIEWERS TO EVALUATE RESEARCH PROPOSALS, ONGOING PROBLEMS, OR SCIENTIFIC INFORMATION PRODUCED FROM RESEARCH ENDEAVORS TO ENSURE THAT THE INFORMATION IS SCIENTIFICALLY AND TECHNICALLY SOUND AND MERITS THE FEDERAL OR OTHER FUNDING THAT IS PROVIDED FOR RESEARCH PROPOSED OR CURRENTLY BEING CONDUCTED. 179486 5712470 OTHER SPONSORED PROGRAMS: VARIOUS OTHER TRAINING AND EDUCATION PROGRAMS OPERATED AND MANAGED BY ORAU. 85243940 1 0 0 1 0 0 0 0 0 0 1 0 0 0 1 1 0 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 0 0 1 0 0 0 1 1122 0 1 1336 1 0 0 0 0 0 0 0 0 0 0 X 28 18 0 0 0 0 1 1 0 1 1 0 0 0 1 1 1 1 1 1 1 0 X PATSY PEHRSON 8652412846 100 ORAU WAY OAK RIDGE TN 37830 DR JOHN D BOICE DIRECTOR 1.00 X 0 0 0 DR BRUCE E GNADE DIRECTOR 1.00 X 0 0 0 DR MICHELLE V BUCHANAN DIRECTOR 1.00 X 0 0 0 MAJOR GENERAL DENNIS KENNEALLY DIRECTOR 1.00 X 0 0 0 MR JOHN ESCHENBERG DIRECTOR 1.00 X 0 0 0 GENERAL DENNIS J HEJLIK BOARD VICE-CHAIR 1.00 X X 0 0 0 DR DEBORAH L CRAWFORD DIRECTOR 1.00 X 0 0 0 DR ANN SAVOCA DIRECTOR 1.00 X 0 0 0 LIEUTENANT GENERAL KATHLEEN M GAINE DIRECTOR 1.00 X 0 0 0 DR MICHELE M MASUCCI DIRECTOR 1.00 X 0 0 0 DR KAREN E KERR DIRECTOR 1.00 X 0 0 0 DR CORDELL M OVERBY DIRECTOR 1.00 X 0 0 0 DR SETHURAMAN PANCHANATHAN DIRECTOR 1.00 X 0 0 0 DR DEBRA R REINHART DIRECTOR 1.00 X 0 0 0 DR DAVID D REED BOARD CHAIR 1.00 X X 0 0 0 DR DIANE GROB SCHMIDT DIRECTOR 1.00 X 0 0 0 MR KENNETH J RUETER DIRECTOR 1.00 X 0 0 0 DR CAROLINE C WHITACRE DIRECTOR 1.00 X 0 0 0 J PHIL ANDREWS VICE PRESIDENT 40.00 X 310151 0 35324 IVAN BOATNER EXECUTIVE VP 40.00 X 314760 0 36107 HARRY ANDERSON PAGE PRESIDENT & CEO 40.00 X 585855 0 36004 MEGHAN F MILLWOOD VP OF HR 40.00 X 224543 0 30865 ERIC W ABELQUIST EXECUTIVE VP 40.00 X 321050 0 32472 CHESTER KEITH MAZE VP & CIO 40.00 X 254837 0 26526 RACHEL A LOKITZ SECRETARY 40.00 X 121116 0 24822 WILLIAM J VOSBURG ORISE DIRECTOR 40.00 X 266965 0 20644 WANDA GAMBLE VICE PRESIDENT 40.00 X 0 0 0 NICHOLAS DAINIAK PROGRAM DIRECTOR 40.00 X 251390 0 29474 SARAH ROBERTS GIRDLESTONE VP & ASSOCIATE DIRECTOR 40.00 X 261194 0 31504 DAVID DUNCAN SR. VP & ASSOCIATE DIRECTOR 40.00 X 263092 0 31323 JAMEY KENNEDY VP OF BUSINESS DEVELOPMENT 40.00 X 281370 0 25934 CAROL IDDINS ASSOCIATE DIRECTOR 40.00 X 186324 0 18250 MARCUS WESEMAN VP & ASSOCIATE DIRECTOR 40.00 X 197724 0 28505 DAVID GRONEWOLD HIGHEST COMPENSATED EMPLOY 40.00 X 205483 0 11974 JOHN MCINERNEY JR HIGHEST COMPENSATED EMPLOY 40.00 X 203325 0 32439 JEFFREY MILLER HIGHEST COMPENSATED EMPLOY 40.00 X 191000 0 29237 DEAN EVASIUS HIGHEST COMPENSATED EMPLOY 40.00 X 200121 0 25548 DONNA L CRAGLE FORMER SR. VP & DIRECTOR 40.00 X 270169 0 26464 ARLENE GARRISON HIGHEST COMPENSATED EMPLOY 40.00 X 233611 0 24604 5144080 0 558020 149 1 1 0 DADE MOELLER & ASSOCIATES INC 1835 TERMINAL DRIVE SUITE 200 RICHLAND WV 99354 PROFESSIONAL SERVICES 10797514 MJW TECHNICAL SERVICES INC 243 ROOT STREET SUITE 100 OLEAN NY 14760 PROFESSIONAL SERVICES 10794339 ADP LLC 1111 N NORTHSHORE DRIVE KNOXVILLE TN 37919 PAYROLL SERVICES 2262667 WRIGHT CONTRACTING INC 116 FARRINGTON DRIVE KNOXVILLE TN 37923 CONSTRUCTION SERVICES 1066964 STORAGEHAWK 2373 N FILLMORE STREET ARLINGTON VA 22207 INFORMATION TECHNOLOGY SERVICES 674975 19 136500 136500 HEALTH, ENERGY AND ENVIRONMENT 541700 57436852 57436852 SCIENTIFIC ASSESSMENT AND WORKFOR 541700 29598485 29598485 DOE CONTRACT MANAGEMENT FEE 541700 4826372 4826372 FACILITIES CAPITAL COST 541700 695856 695856 184722 184722 92742287 2843 2843 MISCELLANEOUS REVENUE 541700 5520 5520 5520 92887150 92747807 0 2843 55000 55000 3840369 3553061 287308 26967598 24950082 2017516 2756000 2549817 206183 2169559 2007249 162310 2042006 1889238 152768 85598 79194 6404 2457286 2273450 183836 1052006 973303 78703 1812832 1677209 135623 236344 218662 17682 706356 653512 52844 1795821 1661471 134350 PROFESSIONAL SERVICES 28671727 26526721 2145006 PARTICIPANT COSTS 13932459 12890136 1042323 SUPPLIES 1267200 1172397 94803 SITE SERVICES 1149956 1063925 86031 1134379 1049513 84866 92132496 85243940 6888556 0 2048274 2771542 37388 37393 10177515 11493323 1500000 1500000 474481 349899 45847190 21527229 25308922 24319961 0 385372 39546580 40857490 4909383 6329364 616 616 19919074 19234594 961592 1169700 25790665 26734274 X 13755915 14123216 13755915 14123216 39546580 40857490 X 754654 -387353 X X 0 1 X 1 1 1 X 147000 132500 127500 160090 136500 703590 80778720 86926023 85654486 91355823 92742287 437457339 80925720 87058523 85781986 91515913 92878787 438160929 0 0 0 438160929 1016 -52 389 69 2843 4265 1016 -52 389 69 2843 4265 80926736 87058471 85782375 91515982 92881630 438165194 1.00000 1.00000 0.00000 X 120362 120362 92132134 92252496 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 174468 112500 519 120362 407849 250000 250000 250000 250000 1000000 1500000 173311 173311 37610228 17241081 20369147 7980798 4286148 3694650 82853 82853 24319961 POSTRETIREMENT BENEFITS FUTURE 1169700 1169700 X 92887150 0 92887150 0 92887150 91979732 -152764 -152764 92132496 0 92132496 PART X, LINE 2: ORAU AND ITS SUBSIDIARY ARE EXEMPT FROM FEDERAL INCOME TAXES UNDER THE PROVISIONS OF INTERNAL REVENUE CODE SECTION 501(C)(3) AND ARE CLASSIFIED BY THE INTERNAL REVENUE SERVICE AS OTHER THAN PRIVATE FOUNDATIONS, AND, ACCORDINGLY, NO PROVISION FOR INCOME TAXES IS INCLUDED IN THE CONSOLIDATED FINANCIAL STATEMENTS. AN UNCERTAIN TAX POSITION IS RECOGNIZED AS A BENEFIT ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WOULD BE SUSTAINED IN A TAX EXAMINATION, WITH A TAX EXAMINATION BEING PRESUMED TO OCCUR. THE AMOUNT RECOGNIZED IS THE LARGEST AMOUNT OF TAX BENEFIT THAT IS GREATER THAN 50% LIKELY OF BEING REALIZED ON EXAMINATION. FOR TAX POSITIONS NOT MEETING THE MORE LIKELY THAN NOT TEST, NO TAX BENEFIT IS RECORDED. THE ORGANIZATION HAS NO MATERIAL UNCERTAIN TAX POSITIONS THAT QUALIFY FOR EITHER RECOGNITION OR DISCLOSURE IN THE CONSOLIDATED FINANCIAL STATEMENTS. AS OF SEPTEMBER 30, 2018 AND 2017, THE ORGANIZATION HAS ACCRUED NO INTEREST AND NO PENALTIES RELATED TO UNCERTAIN TAX POSITIONS. IT IS THE ORGANIZATION'S POLICY TO RECOGNIZE INTEREST AND/OR PENALTIES RELATED TO INCOME TAX MATTERS IN INCOME TAX EXPENSE. OAK RIDGE ASSOCIATED UNIVERSITIES AND ITS SUBSIDIARY FILE SEPARATE U.S. FEDERAL INFORMATIONAL TAX RETURNS ANNUALLY. PART XII, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN POSTRETIREMENT BENEFIT OBLIGATION 241,200. UNREALIZED GAIN ON INTEREST RATE SWAP -393,964. 1 JUNIOR FACULTY AWARDS 11 55000 PART I, LINE 2: OAK RIDGE ASSOCIATED UNIVERSITIES, INC. IS A PRIVATE, NOT-FOR-PROFIT ASSOCIATION OF 122 COLLEGES AND UNIVERSITIES. IT IS A CONTRACTOR FOR THE U.S. DEPARTMENT OF ENERGY, CONDUCTING RESEARCH AND EDUCATIONAL PROGRAMS IN THE AREAS OF ENERGY, HEALTH, AND THE ENVIRONMENT FOR THE DEPARTMENT OF ENERGY, MEMBER INSTITUTIONS, OTHER COLLEGES AND UNIVERSITIES, AND OTHER PRIVATE AND GOVERNMENT ORGANIZATIONS. ORGANIZATIONS RECEIVING AWARDS FROM ORAU MUST DEMONSTRATE THAT THEIR EDUCATIONAL AND SCIENTIFIC PROGRAMS WILL CONTINUE TO ENHANCE THE SPECIFIC AND OVERALL OBJECTIVES AS OUTLINED BY THE ORAU BOARD OF DIRECTORS AND MEMBERS. X X X 0 0 0 0 0 0 0 0 0 J PHIL ANDREWS VICE PRESIDENT 242634 0 67517 0 0 0 23350 0 11974 0 345475 0 0 0 IVAN BOATNER EXECUTIVE VP 241154 0 73606 0 0 0 24133 0 11974 0 350867 0 0 0 HARRY ANDERSON PAGE PRESIDENT & CEO 473196 0 112659 0 0 0 24030 0 11974 0 621859 0 0 0 MEGHAN F MILLWOOD VP OF HR 189885 0 34658 0 0 0 18891 0 11974 0 255408 0 0 0 ERIC W ABELQUIST EXECUTIVE VP 241859 0 79191 0 0 0 20498 0 11974 0 353522 0 0 0 CHESTER KEITH MAZE VP & CIO 210393 0 44444 0 0 0 14552 0 11974 0 281363 0 0 0 WILLIAM J VOSBURG ORISE DIRECTOR 214186 0 52779 0 0 0 20644 0 0 0 287609 0 0 0 NICHOLAS DAINIAK PROGRAM DIRECTOR 251390 0 0 0 0 0 17500 0 11974 0 280864 0 0 0 SARAH ROBERTS GIRDLESTONE VP & ASSOCIATE DIRECTOR 198890 0 62304 0 0 0 19530 0 11974 0 292698 0 0 0 DAVID DUNCAN SR. VP & ASSOCIATE DIRECTOR 199341 0 63751 0 0 0 19349 0 11974 0 294415 0 0 0 JAMEY KENNEDY VP OF BUSINESS DEVELOPMENT 211002 0 70368 0 0 0 20986 0 4948 0 307304 0 0 0 CAROL IDDINS ASSOCIATE DIRECTOR 186324 0 0 0 0 0 18250 0 0 0 204574 0 0 0 MARCUS WESEMAN VP & ASSOCIATE DIRECTOR 163322 0 34402 0 0 0 16531 0 11974 0 226229 0 0 0 DAVID GRONEWOLD HIGHEST COMPENSATED EMPLOY 205483 0 0 0 0 0 0 0 11974 0 217457 0 0 0 JOHN MCINERNEY JR HIGHEST COMPENSATED EMPLOY 203325 0 0 0 0 0 20465 0 11974 0 235764 0 0 0 JEFFREY MILLER HIGHEST COMPENSATED EMPLOY 191000 0 0 0 0 0 17263 0 11974 0 220237 0 0 0 DEAN EVASIUS HIGHEST COMPENSATED EMPLOY 191753 0 8368 0 0 0 13574 0 11974 0 225669 0 0 0 DONNA L CRAGLE FORMER SR. VP & DIRECTOR 212194 0 57975 0 0 0 14490 0 11974 0 296633 0 0 0 ARLENE GARRISON HIGHEST COMPENSATED EMPLOY 197695 0 35916 0 0 0 19656 0 4948 0 258215 0 0 0 A IDB OF THE CITY OF OAK RIDGETN 621786717 2010-06-01 27700000 REFINANCE REFUNDED BONDS AND PAY ISSUANCE COSTS 0 0 0 A 8355000 27700000 155000 27545000 2007 1 0 1 1 A 0 0 0 0 0 0 0 A 0 0 0 0 1 1 SUNTRUST BANK 7.300000000000 0 0 0 NA 0 0 1 A 1 FORM 990, PART VI, SECTION A, LINE 6 OAK RIDGE ASSOCIATED UNIVERSITIES, INC. HAS TWO CLASSES OF MEMBERS - "SPONSORING INSTITUTIONS AND "ASSOCIATES." FORM 990, PART VI, SECTION A, LINE 7A THE ORGANIZATION'S BOARD OF DIRECTORS IS SELECTED BY THE COUNCIL OF SPONSORING INSTITUTIONS, WHICH IS COMPRISED OF A REPRESENTATIVE FROM EACH OF ORAU'S MEMBER ORGANIZATIONS. FORM 990, PART VI, SECTION B, LINE 11B A COPY OF FORM 990 IS PROVIDED TO THE ORGANIZATION'S CFO FOR REVIEW BEFORE IT IS FILED. FORM 990, PART VI, SECTION B, LINE 12C ORAU MONITORS THE CONFLICT OF INTEREST POLICY. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION FOR THE PRESIDENT IS DETERMINED BY THE BOARD'S EXECUTIVE COMMITTEE BASED ON AN ANNUAL SALARY SURVEY. COMPENSATION FOR OTHER SENIOR STAFF IS RECOMMENDED BY THE PRESIDENT AND APPROVED BY THE BOARD'S COMPENSATION COMMITTEE BASED ON SALARY SURVEYS AND DOE GUIDANCE. FORM 990, PART VI, SECTION C, LINE 19 POLICIES ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: UNREALIZED GAIN ON INTEREST RATE SWAP 393,962. CHANGE IN POSTRETIREMENT BENEFIT OBLIGATION -241,200. TRANSFER TO THE ORAU FOUNDATION -540,115. FORM 990, PART XII, LINE 2C: THE ORGANIZATION HAS A COMMITTEE FOR OVERSIGHT OF THE AUDIT AND SELECTION OF AN INDEPENDENT ACCOUNTANT. THE PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. THE ORAU FOUNDATION PO BOX 117 OAK RIDGE TN 378310117 581512615 TO PROMOTE HIGHER SCIENTIFIC EDUCATION TN 501(C)(3) LINE 12A, I 0 0 1 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0 THE ORAU FOUNDATION B 540115 FAIR MARKET VALUE THE ORAU FOUNDATION L 205999 DIRECT COSTS