2018-08-01T10:43:57-05:00 2017-09-30 521855942 TATE & TRYON 2021 L ST NW Washington DC 20036 990 2016-10-01 521947112 ASSOCIATION OF AMERICAN UNIVERSITIES INC ASSO 2024087500 1200 New York Avenue No 550 Washington DC 20005 MARY SUE COLEMAN PRESIDENT 2024087500 2018-08-01 Deborah G Kosnett P00290720 2022932200 2018-07-11 2016 2022-09-23 18:48:47Z MARY SUE COLEMAN 1200 New York Avenue No 550 Washington DC 20005 8966449 0 X www.aau.edu X 1995 DC The Association of American Universities, Inc. (AAU) is a non-profit organization which was incorporated on August 16, 1995 in the District of Columbia. AAU members include 62 leading comprehensive public and private research universities in the United States and Canada that are distinguished by the breadth and quality of their programs of research and graduate education. Founded in 1900 to advance the international standing of U.S. research universities, AAU today focuses on issues that are important to research-intensive universities, such as funding for research, research policy issues, and graduate and undergraduate education. U.S. member universities earn the majority of competitively awarded federal funding for academic research, are improving human life and wellbeing through research, and are educating tomorrow's visionary leaders and global citizens. 11 10 36 10 0 0 527040 490316 6503833 6778051 79247 145059 0 0 7110120 7413426 0 100000 0 0 4753806 5011597 0 0 39149 2547443 2624029 7301249 7735626 -191129 -322200 6651784 9118599 1739718 4489864 4912066 4628735 X Founded in 1900, AAU comprises 62 distinguished institutions in the United States and Canada that continually advance society through education, research, and discovery. Our U.S. member universities earn the majority of competitively awarded federal funding for academic research, are improving human life and wellbeing through research, and are educating tomorrow's visionary leaders and global citizens. AAU members collectively help shape policy for higher education, science, and innovation; promote best practices in undergraduate and graduate education; and strengthen the contributions of research universities to society. 0 0 5760471 6503750 Federal Relations, Policy and Public Affairs: The majority of the association's program services are concentrated in Federal Government Relations, Policy Studies, and Public Affairs & Communications. The Association's programs and projects address both federal and institutional policies and practices. Maintaining the productive partnership between the nation's research universities and the federal government is a key area of focus. 500262 100000 AAU Undergraduate STEM Education Initiative: In October 2017, AAU released a five-year status report, Progress Toward Achieving Systemic Change, documenting the approach, initial outcomes, and sustainability plans for the association's initiative to improve the quality and effectiveness of undergraduate introductory science, technology, engineering, and mathematics (STEM) courses. With the support provided by Northrop Grumman Foundation, AAU selected 12-member campuses to receive small grants or "mini-grants" to support existing efforts to further improve undergraduate STEM education. AAU convened the faculty members and insiutitonal leaders for its forth AAU STEM Network workshop in Washington, DC. Members of the AAU project team made site visits to over 10 member campuses and presented at a variety of national conferences. 5472 274301 Meetings: The Association conducts semi-annual meetings of the Chief Executive Officers of its member institutions, and multiple meetings of federal relations officers and other committees and groups as necessary. The Association conducts annual meetings of the following groups: Council of Federal Relations Public Affairs Network Chief Academic Officers Senior Research Officers Association of Graduate Schools Golden Goose Award The Association played a leadership role in the sixth annual Golden Goose Award program and ceremony. The award honors Federally funded researchers whose work sounds odd or obscure but turned out to have major societal benefits. AAU by the Numbers as part of the Association's efforts to demonstrate the value of research universities to the nation, AAU updated and produced print and digital infographics with aggregate statistics on the economic impact, student financial aid, research intensity, and other useful information about its member universities. 6266205 1 1 0 1 0 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 1 18 0 1 36 1 0 0 0 0 0 0 0 0 0 0 X 11 10 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 0 X The Association 2024087500 1200 New York Avenue NW 550 Washington DC 20005 David Leebron Chair 1.00 X X 0 0 0 Michael Drake Vice Chair 1.00 X X 0 0 0 Lou Anna Simon Past Chair 1.00 X X 0 0 0 Max Nikias member 1.00 X 0 0 0 GP Peterson member 1.00 X 0 0 0 Rafeal Reif member 1.00 X 0 0 0 Barbara Snyder member 1.00 X 0 0 0 Teresa Sullivan member 1.00 X 0 0 0 Satish Tripathi member 1.00 X 0 0 0 Nicholas Zeppos member 1.00 X 0 0 0 Mary Sue Coleman President, AAU 40.00 X X 375354 0 39278 Michael M Owens VP Federal Relations & Admin 40.00 X 243535 0 49393 Roxanne Murray Chief Operating Office 40.00 X 128598 0 40911 Eileen Fox Chief Financial Officer 40.00 X 55394 0 13910 Barry Toiv Vice President for Public Affairs 40.00 X 232699 0 35382 Tobin Smith Vice President for Policy 40.00 X 219324 0 48959 Jessica Sebeok Associate VP & Council for Policy 40.00 X 129719 0 38934 Ann Speicher Associate VP for Public Affairs 40.00 X 127051 0 39675 Mollie Flounlacker Associate VP for Federal Relations 40.00 X 123765 0 40843 Hunter Rawlings former President (to March 2016) 0.00 X 456295 0 7905 2091734 0 355190 14 1 1 0 Balance Technology Group Inc 8136 Old Keene Mill Road Suite B-3 Springfield VA 22152 Consulting 125967 1 100353 389963 490316 membership dues 900099 6503750 6503750 Meeting Fees 900099 274301 274301 6778051 98082 98082 1600000 1553023 46977 46977 46977 7413426 6778051 0 145059 100000 100000 1415608 1096483 312388 6737 2336404 1799321 525900 11183 317533 255455 60490 1588 708346 577319 128068 2959 233706 188016 44521 1169 41768 9419 32349 35935 35935 315373 293325 22048 388293 325504 62439 350 633332 509515 120650 3167 163990 126545 25558 11887 557656 557656 122100 98229 23871 21737 17487 4141 109 memberships/coalitions 107334 105311 2023 president's residence/a 89000 73425 15575 other expenses 72565 66940 5625 recruitment costs 39357 31663 7694 35589 34592 997 7735626 6266205 1430272 39149 144560 1879743 609568 252838 202887 119378 1548004 789824 677497 758180 5017272 6108460 6651784 9118599 522346 486330 1217372 4003534 1739718 4489864 X 4782231 4524939 129835 103796 4912066 4628735 6651784 9118599 X -322200 244467 -205598 X X 0 1 X 1 0 X 2587522 1567156 1884914 527040 490316 7056948 5510312 5552619 6229652 6503833 6778051 30574467 8097834 7119775 8114566 7030873 7268367 37631415 0 0 0 37631415 86547 81641 38796 131870 98082 436936 86547 81641 38796 131870 98082 436936 8184381 7201416 8153362 7162743 7366449 38068351 0.98850 0.98800 0.01150 0.01200 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 236710 236710 7498916 7735626 536781 134195 0 0 535453 551519 515062 536781 2138815 3208223 238311 229132 219037 236710 923190 133863 137880 128766 134195 534704 802056 669182 316265 352917 878822 473559 405263 758180 7657893 244467 244467 7413426 0 7413426 7735626 0 7735626 0 7735626 1 Regents of the University of California Irvine 231 Rowland Hall Irvine CA 92697 952226406 115 10000 Advance Undergraduate STEM education Massachusetts Institute of Technology 77 Massachusetts Ave NE 18-901 Cambridge MA 02139 042103594 115 10000 Advance Undergraduate STEM education University of Kansas 1450 Jayhawk Blvd Strong 223 Lawrence KS 66045 480680117 115 10000 Advance Undergraduate STEM education Cornell University 201 Warren Hall Ithaca NY 14853 150532082 115 10000 Advance Undergraduate STEM education University of Virginia 1001 North Emmet Street Charlottesvile VA 22904 546001796 115 10000 Advance Undergraduate STEM education California Institute of Technology 1200 E California Blvd NC104-31 Pasadena CA 91125 951643307 115 10000 Advance Undergraduate STEM education University of Missouri 115 Business Loop 70W Missou North Rm 501 Columbia MO 65211 436003859 115 10000 Advance Undergraduate STEM education University of Texas Austin 101 E 27th St Suite 5300 MC A9000 Austin TX 78712 746000203 115 10000 Advance Undergraduate STEM education Iowa State University 1138 Pearson Hall 505 Morrill Road Ames IA 50011 426004224 115 10000 Advance Undergraduate STEM education Yale University 25 Science Park 3rd Floor 150 Munbson St New Haven CT 06520 060646973 115 10000 Advance Undergraduate STEM education 10 0 Part I, Line 2: The University hosts AAU staff site visits to discuss the activities conducted. they must particate in workshops hosted by AAU and submit a final grant report no later than 60 days after the end of the grant period, including a financial report of expenses incurred during the entire grant period. The grant is paid in two installments; the second installment is distributed upon the successful site visit. X X 1 1 X X X X 1 0 0 0 0 0 0 0 0 Mary Sue Coleman President, AAU 322743 0 0 0 52611 0 29792 0 9871 0 415017 0 0 0 Michael M Owens VP Federal Relations & Admin 216798 0 25000 0 1737 0 22079 0 29284 0 294898 0 0 0 Roxanne Murray Chief Operating Office 126529 0 737 0 1332 0 12974 0 29602 0 171174 0 0 0 Barry Toiv Vice President for Public Affairs 229137 0 0 0 3562 0 23070 0 15362 0 271131 0 0 0 Tobin Smith Vice President for Policy 217252 0 0 0 2072 0 21981 0 28948 0 270253 0 0 0 Jessica Sebeok Associate VP & Council for Policy 127310 0 0 0 2409 0 13036 0 27596 0 170351 0 0 0 Ann Speicher Associate VP for Public Affairs 122942 0 0 0 4109 0 12783 0 28582 0 168416 0 0 0 Mollie Flounlacker Associate VP for Federal Relations 122315 0 0 0 1450 0 13151 0 34385 0 171301 0 0 0 Hunter Rawlings former President (to March 2016) 172969 0 0 0 283326 0 0 0 8226 0 464521 0 0 0 Part I, Line 1a The president of the association per the employment contract receives a housing allowance and an automobile allowance. The President travels via first class for domestic flights and business class for international flights. Part I, Line 4a Hunter Rawlings received $221,400 as a severance payment in 2016. This amount was erroneously reported in the organization's Form 990 for 9/30/16. The payment was actually included in the employee's 12/31/16 Form W-2, and so is properly reportable in this 9/30/17 Form 990. ken coleman spouse of mary sue coleman 25000 employee compensation: Ken Coleman is a part-time employee; serves as senior advisor to the president of AAU on a wide range of matters and helps represent the AAU to a broad array of external and internal constituents, either independently, or in concert with the AAU president. takes primary responibility for providing, planning, leadership, and staff support for the AAU partners council. 0 Form 990, Part VI, Section A, line 1 AAU HAS AN EXECUTIVE COMMITTEE THAT EXERCISES THE POWERS OF THE FULL BOARD OF DIRECTORS, DURING INTERVALS BETWEEN BOARD MEETINGS, AND WHEN EXIGENT CIRCUMSTANCES MAKE A MEETING OF THE FULL BOARD IMPRACTICAL. THE EXECUTIVE COMMITTEE IS COMPOSED OF THE FOUR PRIMARY OFFICERS OF AAU: THE CHAIR, THE VICE-CHAIR, THE IMMEDIATE PAST CHAIR, AND THE PRESIDENT. Form 990, Part VI, Section A, line 6 AAU'S MEMBERSHIP CONSISTS OF UNIVERSITIES OR MAJOR CAMPUSES OF MULTI-CAMPUS UNIVERSITIES. THE CRITERIA FOR ADMISSION ARE: HIGH QUALITY PROGRAMS OF ACADEMIC RESEARCH AND SCHOLARSHIP; UNDERGRADUATE, GRADUATE, AND PROFESSIONAL EDUCATION IN A SUBSTANTIAL NUMBER OF FIELDS; AND GENERAL RECOGNITION THAT SUCH MEMBER IS OUTSTANDING BY REASON OF THE EXCELLENCE OF ITS RESEARCH AND EDUCATION PROGRAMS. EACH MEMBER IS REPRESENTED BY ITS CHIEF EXECUTIVE OFFICER. Form 990, Part VI, Section A, line 7a aau's board of directors consists of a Chair, a Vice Chair, a Past Chair, the AAU President (nonvoting), and seven additional Directors, who are elected by AAu's membership from among the Member Representatives at large. the president is elected by the Board, while the vice chair is elected by the membership. Form 990, Part VI, Section A, line 7b AAU's Board does not have the power to alter or amend any actions of the membership taken in a meeting of the Members, nor does it have the authority to elect or remove any Member Representative, adopt a plan of merger, or authorize the voluntary dissolution of the Corporation. additionally, the board does not have the authority to nominate or remove members; that power is held by the membership. The Board keeps a record of its proceedings, which are then reported to the Members. Form 990, Part VI, Section B, line 11b the form 990 is prepared by AAU's auditors, and reviewed by the Chief Financial Officer. The 990 is then forwarded to the board of directors, who may make comments and/or ask questions prior to filing the return. Form 990, Part VI, Section B, line 12c all officers, directors, key employees, and other employees are required to file an annual "conflict of interest" form with their signature, stating any conflicts or lack thereof. All have been instructed to update the statement should anything occur that would hcange their status in regards to the conflict of interest policy. Form 990, Part VI, Section B, line 15a the organization participates annually in a survey (salary & benefits of CEO and Key Employees), conducted by an independent firm, of similar organizations. Additionally, information is gathered from 990s of similar organizations. THe board of directors sets the compensation of the CEO (President) and approves the salary pool for the president to use for all other employees. Form 990, Part VI, Section C, line 19 The organization provides copies to the public of its governing documents, conflict of interest policy, and financial statements upon request. Form 990, Part XI, line 9: transfer of golden goose net assets -188,298. allocation of AMHIC subscriber net loss -17,300. Form 990, Part XII, Line 2c: the process has not changed from the prior year.