2018-08-27T14:00:41-05:00 2017-12-31 GRANT THORNTON LLP 171 N CLARK ST SUITE 200 CHICAGO IL 60601 990 2017-01-01 800926174 UI LABS % CARALYNN COLLENS MD UILA 3122816900 1415 N Cherry Avenue Chicago IL 60642 CARALYNN COLLENS MD CEO & Secretary 3122816900 2018-08-24 true Bridget T Roche P00666837 3128560200 2017 2022-09-23 18:48:47Z Caralynn Collens MD 1415 N Cherry Avenue Chicago IL 60642 121230135 false X WWW.UILABS.ORG X 2013 IL TO SOLVE LARGE-SCALE TECHNOLOGICAL AND SOCIETAL ISSUES BY FORMING INDUSTRY-DRIVEN CONSORTIA TO CLOSE THE GAP BETWEEN INNOVATION AND COMMERCIALIZATION. 14 13 98 0 24730 17616 21953123 115663035 4845073 5386606 14925 33894 51831 133147 26864952 121216682 0 0 0 0 7162393 7397059 0 0 0 18436814 37911536 25599207 45308595 1265745 75908087 37394157 116772666 17066071 20536493 20328086 96236173 X UI LABS PRINCIPAL PURPOSES INCLUDE THE FOLLOWING: (MISSION CONTINUED IN SCHEDULE O). false false 40335708 0 4498341 THE DIGITAL MANUFACTURING AND DESIGN INNOVATION INSTITUTE (DMDII) IS WHERE INNOVATIVE MANUFACTURERS GO TO FORGE THEIR FUTURES. IN PARTNERSHIP WITH UI LABS AND THE DEPARTMENT OF DEFENSE, DMDII EQUIPS U.S. FACTORIES WITH THE DIGITAL TOOLS AND EXPERTISE THEY NEED TO BEGIN BUILDING EVERY PART BETTER THAN THE LAST. AS A RESULT, OUR MORE THAN 300 PARTNERS INCREASE THEIR PRODUCTIVITY AND WIN MORE BUSINESS. 1997435 0 889267 CITY TECH TRANSFORMS CITIES INTO TESTBEDS FOR NEW IDEAS. WE REMAKE ESSENTIAL CITY SERVICES AND INFRASTRUCTURE USING ADVANCED TECHNOLOGY, AND THEN EXPAND THESE SOLUTIONS TO OTHER CITIES. WITH OUR PARTNERS, WE ARE DIVERTING RAINWATER FROM OVERLOADED SEWER SYSTEMS, EASING SUBWAY CONGESTION DURING LARGE EVENTS, AND LAUNCHING A DIGITAL DIRECTORY OF PUBLIC HEALTH SERVICES IN CHICAGO. 42333143 true true false true false false false false false false true false false false true true true false false false false false false false false false false false false true false false false false false false false false true false false false false false false false false true 40 0 true 98 true true true false false false false false false false false false X 14 13 false false false false false false false true true false false true true true true true true true true false IL X X CARALYNN COLLENS MD 3122816900 1415 N CHERRY AVENUE CHICAGO IL 60642 Warren Holtsberg Director & Chairman 4.0 0.0 X X 0 0 0 Mike Zafirovski Director & Vice Chair 2.0 0.0 X X 0 0 0 Vic Abate Director 2.0 0.0 X 0 0 0 Henry Bienen Director 2.0 0.0 X 0 0 0 Ivo Daalder Director 2.0 0.0 X 0 0 0 Eric Isaacs Director 2.0 0.0 X 0 0 0 Dan'l Lewin Director 2.0 0.0 X 0 0 0 Roger Plummer Director 2.0 0.0 X 0 0 0 Anne Pramaggiore Director 2.0 0.0 X 0 0 0 Girish Rishi Director 2.0 0.0 X 0 0 0 Lawrence Schook Director 2.0 0.0 X 0 0 0 Pedro Suarez Director 2.0 0.0 X 0 0 0 Mark Tebbe Director 2.0 0.0 X 0 0 0 Caralynn Collens MD CEO & Secretary 60.0 0.0 X X 407740 0 19127 Paul Seeman Chief Business Officer 60.0 0.0 X 283808 0 180 Thomas McDermott Chief Program Officer 60.0 0.0 X 269702 0 14866 Kevin McDunn Chief Tech. Officer (Beg 4/17) 60.0 0.0 X 182121 0 6084 Brenna Berman Exec Dir City Tech (Beg 4/17) 60.0 0.0 X 172495 0 7309 Steven Fifita Exec Dir City Tech (Thru 4/17) 60.0 0.0 X 222597 0 7037 Antonio Delsesto Dir., Mfg R&D 60.0 0.0 X 177113 0 4835 Colette Buscemi Dir Str Pro & Par (Thru 10/17) 60.0 0.0 X 162463 0 6715 David Leopold Dir., Program Management 60.0 0.0 X 161097 0 12518 Amanda Quick Dir., Program Design 60.0 0.0 X 143445 0 5526 Khai Waterman Dir., DMC Cyber (Thru 10/17) 60.0 0.0 X 135951 0 1169 2318532 0 85366 24 false true false Baker Tilly Beers Cutler LLC 8219 Leesburg Pike Suite 800 TYSONS CORNER VA 22182 SYSTEM INTEGRATION 296392 Integris Group 3880 N Main Street Suite C EAST PEORIA IL 61611 PROGRAM CONSULTING 193566 Securitas Security Services 150 S Wacker Drive CHICAGO IL 60606 Security 160477 Diverse Facility Solutions 12838 S Cicero Avenue ALSIP IL 60803 Janitorial 148225 Lewis-Burke Associates LLC 440 1st Street NW Suite 700 WASHINGTON DC 20001 Legal 132412 6 29942920 85720115 85140863 115663035 MEMBERSHIP REVENUE 900099 5362000 5362000 DMDII PROGRAM SERVICE REVENUE 900099 24606 24606 5386606 47347 47347 0 0 107415 107415 0 107415 107415 13453 -13453 -13453 -13453 0 0 0 0 0 0 0 0 0 COMMISSIONS 900099 24730 24730 MISCELLANEOUS REVENUE 900099 1002 1002 25732 121216682 5386606 24730 142311 0 0 0 0 1597399 917132 680267 0 4735207 3913948 821259 119892 83957 35935 535520 501435 34085 409041 312944 96097 0 59348 32249 27099 263216 116916 146300 21086 15487 5599 0 0 1124075 894768 229307 0 89430 52473 36957 246494 175619 70875 0 2481460 2029769 451691 164080 145598 18482 0 30614 15382 15232 784 784 0 12762274 12697574 64700 145760 145760 PASS-THROUGH PROGRAM COSTS 20167596 20167596 NON-GRANT REIMBURSABLES 171108 159394 11714 COMMUNICATION & OUTREACH 115183 88577 26606 MEMBERSHIP DUES 45754 3617 42137 23274 7924 15350 45308595 42333143 2975452 0 0 201 16988432 12932901 6004028 16640751 0 0 0 0 0 0 0 0 0 0 253300 207874 103461653 16470714 14148397 86990939 0 0 0 0 0 0 0 0 0 0 37394157 116772666 4595638 11168653 0 0 12470433 9306798 0 0 0 0 0 0 0 0 0 0 0 61042 17066071 20536493 X 20328086 96236173 0 0 0 0 20328086 96236173 37394157 116772666 75908087 X false true X true true true X 179691 8896970 29059198 21953123 30609615 90698597 0 0 179691 8896970 29059198 21953123 30609615 90698597 0 90698597 66140 154762 220902 24730 24730 0 0 40910 3783 1002 45695 90989924 13453471 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false true false false false false false false true 21086 21086 false SCHEDULE C, PART II-B, LINE 1B PAID STAFF OR MANAGEMENT MEETINGS AND CONVERSATIONS WITH VARIOUS LEGISLATORS: BOTH STATE AND FEDERAL. SCHEDULE C, PART II-B, LINE 1I DIRECT CONTACT UI LABS ENGAGED THE SERVICES OF A THIRD-PARTY CONSULTANT TO LOBBY ON ITS BEHALF ON VARIOUS MATTERS RELEVANT TO ITS TAX-EXEMPT MISSION. 15329077 4202878 11126199 88132576 12267836 75864740 86990939 8305 CAPITAL LEASE OBLIGATION 52737 61042 X 121310658 80523 80523 121230135 -13453 -13453 121216682 45402571 80523 13453 93976 45308595 45308595 SCHEDULE D, PART X, LINE 2 FIN 48 FOOTNOTE UI LABS FOLLOWS ACCOUNTING STANDARDS CODIFICATION (ASC) 740-10, WHICH CLARIFIES THE ACCOUNTING FOR UNCERTAINTY IN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN, INCLUDING ISSUES RELATING TO FINANCIAL STATEMENT RECOGNITION AND MEASUREMENT. THIS SECTION PROVIDES THAT THE TAX EFFECTS FROM AN UNCERTAIN TAX POSITION CAN BE RECOGNIZED IN THE FINANCIAL STATEMENTS ONLY IF THE POSITION IS MORE LIKELY THAN NOT TO BE SUSTAINED IF THE POSITION WERE TO BE CHALLENGED BY A TAXING AUTHORITY. THE ASSESSMENT OF THE TAX POSITION IS BASED SOLELY ON THE TECHNICAL MERITS OF THE POSITION, WITHOUT REGARD TO THE LIKELIHOOD THAT THE TAX POSITION MAY BE CHALLENGED. UI LABS IS EXEMPT FROM INCOME TAX UNDER INTERNAL REVENUE CODE (IRC) SECTION 501(C)(3) AND IS ONLY SUBJECT TO TAX ON INCOME UNRELATED TO ITS EXEMPT PURPOSES, UNLESS THAT INCOME IS OTHERWISE EXCLUDED BY THE IRC. A PROVISION OF $8,305 AT DECEMBER 31, 2017, HAS BEEN MADE FOR INCOME TAXES IN THE ACCOMPANYING FINANCIAL STATEMENTS WITH RESPECT TO UNRELATED BUSINESS INCOME, WHICH IS INCLUDED IN ACCRUED EXPENSES. NO PROVISION WAS RECORDED AT DECEMBER 31, 2016. SCHEDULE D, PART XI, LINE 4B LOSS ON THE DISPOSAL OF FIXED ASSET RECLASSED TO REVENUE $(13,453) SCHEDULE D, PART XII, LINE 2D LOSS ON THE DISPOSAL OF FIXED ASSET RECLASSED TO REVENUE $13,453 X X X X X true false false false false false false true false Caralynn Collens MD CEO & Secretary 351912 0 54426 0 1402 0 10800 0 9327 0 427867 0 0 0 Paul Seeman Chief Business Officer 268570 0 14324 0 914 0 0 0 180 0 283988 0 0 0 Thomas McDermott Chief Program Officer 260282 0 7518 0 1902 0 7397 0 7469 0 284568 0 0 0 Kevin McDunn Chief Tech. Officer (Beg 4/17) 180916 0 0 0 1205 0 0 0 6084 0 188205 0 0 0 Brenna Berman Exec Dir City Tech (Beg 4/17) 171391 0 0 0 1104 0 0 0 10643 0 183138 0 0 0 Steven Fifita Exec Dir City Tech (Thru 4/17) 102151 0 28406 0 92040 0 3980 0 3057 0 229634 0 0 0 Antonio Delsesto Dir., Mfg R&D 176225 0 0 0 888 0 0 0 4835 0 181948 0 0 0 Colette Buscemi Dir Str Pro & Par (Thru 10/17) 133750 0 11362 0 17351 0 4773 0 1942 0 169178 0 0 0 David Leopold Dir., Program Management 149095 0 11100 0 902 0 6880 0 10638 0 178615 0 0 0 SCHEDULE J, PART I, LINE 4A SEVERANCE PAYMENT OR CHANGE OF CONTROL PAYMENT THE FOLLOWING INDIVIDUALS RECEIVED SEVERANCE PAYMENTS FROM THE ORGANIZATION IN 2017: STEVEN FIFITA, DIR, CITY TECH $91,667 COLETTE BUSCEMI $16,615 KHAI WATERMAN $10,962 SCHEDULE J, PART I, LINE 7 NON-FIXED PAYMENTS EMPLOYEES AT UI LABS HAVE THE OPPORTUNITY TO EARN AN ANNUAL PERFORMANCE BONUS. AT THE END OF EACH YEAR, UI LABS LEADERSHIP TEAM REVIEWS ORGANIZATIONAL AND EMPLOYEE PERFORMANCE GOALS AND PUTS FORTH A RECOMMENDATION FOR PERFORMANCE BONUSES. RECOMMENDATIONS ARE REVIEWED BY THE COMPENSATION COMMITTEE AND ALL BONUSES FOR KEY EMPLOYEES ARE APPROVED BY THE COMPENSATION COMMITTEE AND THE BOARD OF DIRECTORS. APPROVAL FOR PERFORMANCE BONUSES ARE GRANTED DURING THE FIRST QUARTER OF THE SUBSEQUENT YEAR. IN ADDITION TO THE PERFORMANCE BONUSES PAID ABOVE, UI LABS WILL PERIODICALLY RECOGNIZE EMPLOYEE PERFORMANCE WITH SPOT BONUSES THROUGHOUT THE YEAR. PERFORMANCE-BASED BONUSES EXCEEDING 5% OF BASE SALARY REQUIRE APPROVAL BY THE UI LABS CEO. X SOFTWARE COST SHARE DONAT. 1 85053420 FMV X DONATED EQUIPMENT 1 45443 FMV X MICROSOFT 365 LICENSE 1 42000 Book Value true true false SCHEDULE M, PART I, LINE 30A ARRANGEMENTS FOR CONTRIBUTED PROPERTY UI LABS RECEIVED A FOUR YEAR SOFTWARE ARRANGEMENT IN MARCH 2017 WITH 100 LICENSES VALUED AT $168,000 WHICH WILL BE DEPRECIATED OVER 4 YEARS. IN 2017, UI LABS PLACED A SOFTWARE BUNDLE FROM A SECOND ARRANGEMENT INTO SERVICE VALUED AT $85,053,420 AND DEPRECIATED OVER 3 YEARS. ALSO, UI LABS RECEIVED EQUIPMENT, TOOLS, AND MATERIALS IN A R&D ARRANGEMENT VALUED AT $45,443 THAT WILL BE DEPRECIATED OVER 3 YEARS. FORM 990, PART III, LINE 1 ORGANIZATION'S MISSION, CONTINUED. 1. PRINCIPALLY, TO ACTIVELY AND CONTINUOUSLY ENGAGE DIRECTLY IN THE CONDUCT OF SCIENTIFIC RESEARCH AND TECHNOLOGY RESEARCH AND TECHNOLOGY DEVELOPMENT IN CONJUNCTION WITH ONE OR MORE ACADEMIC RESEARCH INSTITUTIONS WITHIN THE MEANING OF 170(B)(1)(A)(III) OF THE CODE; 2. TO PROMOTE, CONDUCT AND ENHANCE INTERDISCIPLINARY RESEARCH AT THE INTERSECTION OF COMPUTING, INFORMATIONAL SCIENCES, ENGINEERING, LIFE SCIENCES, CREATIVITY AND INNOVATION AT AND IN CONJUNCTION WITH THE UNIVERSITY OF ILLINOIS AND OTHER ACADEMIC RESEARCH INSTITUTIONS; 3. TO PROVIDE TO THE CHICAGOLAND AND ILLINOIS COMMUNITY FACILITIES, RESOURCES AND EDUCATIONAL OPPORTUNITIES IN AREAS RELATED TO HIGH PERFORMANCE COMPUTING AND APPLICATIONS IN ADVANCED MANUFACTURING, TRANSPORTATION, ENERGY, HEALTH, ENVIRONMENTAL AND FOOD PRODUCTION, AND OTHER SCIENTIFIC APPLICATIONS AS DEEMED FIT BY THE BOARD OF DIRECTORS; 4. TO SERVE THE COMMUNITY BY FOSTERING WORK FOR DEVELOPMENT, ENTREPRENEURIAL ACTIVITIES, CIVIC ENGAGEMENT AND OUTREACH FOCUSED ON THE APPLICATIONS IN (3); 5. TO FACILITATE PRACTICAL APPLICATION OF DISCOVERIES ARISING OUT OF RESEARCH DONE BY UI LABS THROUGH PUBLIC-PRIVATE PARTNERSHIPS WITH FOR-PROFIT BUSINESS ENTITIES AND OTHER NON-PROFIT INSTITUTIONS; AND 6. TO ENGAGE IN ANY OTHER LAWFUL ACTIVITIES IN FURTHERANCE OF THE ABOVE PURPOSES. FORM 990, PART VI, LINE 1A BOARD COMMITTEES: THE BOARD SHALL ESTABLISH AN EXECUTIVE COMMITTEE AND AN AUDIT COMMITTEE, AND MAY BY RESOLUTION DESIGNATE ONE (1) OR MORE ADDITIONAL BOARD COMMITTEES (COLLECTIVELY, "BOARD COMMITTEES"). ALL BOARD COMMITTEES SHALL CONSIST OF THREE (3) OR MORE COMMITTEE MEMBERS. THE EXECUTIVE COMMITTEE SHALL CONSIST SOLELY OF DIRECTORS. A MAJORITY OF THE MEMBERS OF ANY OTHER BOARD COMMITTEE SHALL BE DIRECTORS. BOARD COMMITTEE MEMBERS SHALL BE APPOINTED BY, AND SHALL SERVE AT THE PLEASURE OF, THE BOARD OF DIRECTORS. HOWEVER, ALL BOARD COMMITTEE APPOINTMENTS SHALL BE RECONFIRMED AT LEAST ANNUALLY. EITHER ON ITS OWN INITIATIVE OR UPON RECOMMENDATION BY A BOARD COMMITTEE. THE BOARD BY RESOLUTION MAY ESTABLISH A STATEMENT OF PURPOSE, DUTIES AND RESPONSIBILITIES FOR ANY BOARD COMMITTEE NOT INCONSISTENT WITH THE BYLAWS. EXECUTIVE COMMITTEE: THE EXECUTIVE COMMITTEE SHALL CONSIST OF THE CHAIR AND VICE-CHAIR OF THE BOARD, ALONG WITH AT LEAST ONE (1) OTHER DIRECTOR. THE EXECUTIVE COMMITTEE HAS THE AUTHORITY TO ACT ON BEHALF OF THE BOARD IN CONDUCTING THE AFFAIRS OF THE CORPORATION BETWEEN MEETINGS OF THE BOARD OF DIRECTORS. THE EXECUTIVE COMMITTEE PROVIDES DIRECTION, COUNSEL AND OVERSIGHT TO THE CEO IN THE CONDUCT OF THE CORPORATION'S DAY TO DAY ACTIVITIES. THE EXECUTIVE COMMITTEE SHALL ALSO DEVELOP THE CORPORATION'S ANNUAL BUDGET (INCLUDING PLANS FOR THE FUNDING THEREOF), WHICH SHALL BE PRESENTED TO THE FULL BOARD FOR APPROVAL, AND SHALL MONITOR THE CORPORATION'S FINANCIAL PERFORMANCE RELATIVE TO ANY SUCH BUDGETS SO APPROVED. FORM 990, PART VI, LINE 11B FORM 990 REVIEW PROCESS THE IRS FORM 990 IS PREPARED BY AN EXTERNAL PUBLIC ACCOUNTING FIRM. INTERNAL MEMBERS OF FINANCE PROVIDE THE FIRM ALL INFORMATION AND THEN REVIEW THE DRAFT PRIOR TO DISSEMINATION TO THE AUDIT COMMITTEE. THE AUDIT COMMITTEE THEN REVIEWS THE DRAFT, AND PRIOR TO FILING, IT IS DISTRIBUTED TO THE FULL BOARD OF DIRECTORS FOR APPROVAL. FORM 990, PART VI, LINE 12 CONFLICT OF INTEREST POLICY MONITORING & ENFORCEMENT UI LABS ISSUES TO ITS BOARD MEMBERS, OFFICERS, MANAGEMENT, AND STAFF THE CORPORATION'S CONFLICT OF INTEREST POLICY ON AN ANNUAL BASIS. ALL BOARD MEMBERS, OFFICERS, MANAGEMENT, AND STAFF MUST ACKNOWLEDGE THEIR AGREEMENT TO COMPLY WITH THE CONFLICT OF INTEREST POLICY THROUGH SIGNATURE. ALL CONFLICTS OF INTEREST DISCLOSED WILL BE REVIEWED BY THE CHAIRMAN. IF FURTHER ACTION NEEDS TO BE TAKEN, THE ISSUE IS BROUGHT BEFORE THE BOARD OF DIRECTORS. IF A POTENTIAL CONFLICT WITH A SPECIFIC POTENTIAL TRANSACTION APPEARS, UI LABS WILL CALL A SPECIAL MEETING OF THE BOARD OF DIRECTORS WHERE A DETERMINATION WILL BE MADE WHETHER TO PROCEED WITH THE TRANSACTION. ANY RELATED PERSON WILL NOT BE PRESENT OR PARTICIPATE IN DELIBERATIONS, DISCUSSIONS OR VOTE IN CONNECTION WITH THE TRANSACTION. FORM 990, PART VI, LINES 15A AND 15B PROCESS FOR DETERMINING COMPENSATION UI LABS WORKED IN CONJUNCTION WITH THE BOARD CHAIRMAN AND OUTSIDE CONSULTANTS TO SET LABOR RATES FOR KEY EMPLOYEES. THE LABOR RATES WERE SUBSEQUENTLY REPORTED TO THE DEPARTMENT OF DEFENSE. ANNUAL INCREASES FOR KEY EMPLOYEES WERE BROUGHT TO THE ATTENTION OF THE CHAIRMAN OF THE BOARD AND THE BOARD COMPENSATION COMMITTEE BY THE CEO. FOR OTHER KEY POSITIONS WITHIN THE ORGANIZATION, SALARIES ARE APPROVED AS PART OF THE ANNUAL BUDGET APPROVAL PROCESS. EVERY YEAR, OR AS NEED ARISES, SURVEYS ARE DONE SO THAT SALARY BENCHMARKS CAN BE DETERMINED. WHEN MAJOR CHANGES ARE GOING TO BE MADE, THIS INFORMATION MAY BE BROUGHT TO THE APPROPRIATE BOARD COMMITTEES FOR THEIR REVIEW/APPROVAL. FORM 990, PART VI, LINE 19 HOW DOCUMENTS ARE MADE AVAILABLE TO THE PUBLIC THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS MAY BE MADE AVAILABLE ONLY UPON REQUEST AND WITH THE APPROVAL OF THE ORGANIZATION.