2017-08-14T13:03:35-05:00 2016-09-30 521855942 TATE & TRYON 2021 L ST NW Washington DC 20036 990 2015-10-01 521947112 ASSOCIATION OF AMERICAN UNIVERSITIES INC ASSO 2024087500 1200 New York Avenue No 550 Washington DC 20005 MARY SUE COLEMAN PRESIDENT 2024087500 2017-08-14 Deborah G Kosnett P00290720 2022932200 2017-08-14 2015 2021-01-29 14:40:06Z MARY SUE COLEMAN 1200 New York Avenue No 550 Washington DC 20005 10562743 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 34 10 0 0 1884914 527040 6229652 6503833 175523 79247 0 0 8290089 7110120 1788170 0 0 0 4021896 4753806 0 0 52012 2220308 2547443 8030374 7301249 259715 -191129 10815784 6651784 5995061 1739718 4820723 4912066 X Founded in 1900, AAU comprises 62 distinguished institutions in the United States and Canada that continually advance society through education, research, and discovery. 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 5233668 6231500 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 institution changes as well as government action. Maintaining the productive partnership between the nation's research universities and the Federal Government is a key area of focus. 723355 stem initiative: AAU's undergraduate STEM Education Initiative works to improve the quality of undergraduate teaching and learning in STEM disciplines. The initiative made significant advances in 2016 and will continue past its original five-year duration. AAU staff collected final data from the eight project sites to assess their educational progress and institutional changes, with an analysis expected by September 2017. Staff also began developing resources to help member campuses track their reform efforts. We are continuing an NSF-funded project to examine how a national higher education association, such as AAU, can help promote and scale up systemic reforms in undergraduate teaching and learning. AAU continued its partnership with the Cottrell Scholars. The two groups co-hosted a workshop in May 2016 to develop guidance for departments and institutions on implementing new methods for evaluating, recognizing, and rewarding teaching at R1 institutions, particularly for purposes of promotion, tenure, and annual reviews. AAU has received two major awards for activities that will launch in 2017. A grant of about $1 million over four years from the Northrop Grumman Foundation will support institutional mini-grants to further advance undergraduate teaching and learning improvements. AAU will use a $700,000, three-year grant from NSF to examine how universities align their various undergraduate education improvement projects to promote long-lasting reforms. 144029 272333 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 SCHOOL DEANS Golden Goose Award: The Association played a leadership role in the fifth 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. 6101052 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 0 0 1 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 1 15 0 1 34 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 Lou Anna K Simon Chair 1.00 X X 0 0 0 david leebron Vice Chair 1.00 X X 0 0 0 AMY Gutmann Past Chair 1.00 X X 0 0 0 L Rafael Reif member 1.00 X 0 0 0 Michael V Drake member 1.00 X 0 0 0 Barbara R Snyder member 1.00 X 0 0 0 John Hennessy member 1.00 X 0 0 0 GP Bud Peterson member 1.00 X 0 0 0 Teresa A Sullivan member 1.00 X 0 0 0 Satish K Tripathi member 1.00 X 0 0 0 Mary Sue Coleman President (beg June 2016) 40.00 X X 0 0 0 Hunter R Rawlings III President (thru March 2016) 40.00 X 893352 0 44460 John C Vaughn Executive Vice President 40.00 X 220877 0 38460 Susan Staton Director of Finance (thru April 2016) 40.00 X 117149 0 43707 Barry C Toiv Vice President 40.00 X 225502 0 24000 Tobin Smith Vice President 40.00 X 203710 0 27926 Michael M Owens Vice President 40.00 X 205069 0 45866 Ann L Speicher Associate Vice President 40.00 X 126648 0 20460 Joshua A Trapani Public Analyst 40.00 X 130503 0 20460 2122810 0 265339 8 0 1 0 westat inc 1600 research blvd rockville MD 20850 data analysis 1076452 widmeyer communications inc 1129 20th St NW 200 washington DC 20036 PUBLIC RELATIONS 241962 THE GLOVER PARK GROUP LLC 1025 F St NW 9th Floor washington DC 20005 consulting 109737 3 217872 309168 527040 membership dues 900099 6231500 6231500 Meeting Fees 900099 272333 272333 6503833 131870 131870 3400000 3452623 -52623 -52623 -52623 7110120 6503833 0 79247 1144963 930695 202501 11767 2629715 2129610 471964 28141 249746 208688 39285 1773 548807 458584 86327 3896 180575 150888 28405 1282 45697 45697 21684 21684 17645 17645 139137 139137 179585 146726 32299 560 252717 211202 41515 630115 526524 99117 4474 195225 177921 17304 558419 558419 169157 141348 27809 16755 14000 2636 119 Indirect grant expense 230831 230831 memberships/coalitions 70891 70891 organizational dues 9198 9198 staff development 8517 4295 4222 1870 1293 577 7301249 6101052 1148185 52012 1350252 144560 561872 609568 84261 202887 1432928 755431 705489 677497 8113910 5017272 10815784 6651784 453607 522346 5541454 1217372 5995061 1739718 X 4666038 4782231 154685 129835 4820723 4912066 10815784 6651784 -191129 282472 0 X X 0 1 X 1 0 X 275375 2587522 1567156 1884914 527040 6842007 4329286 5510312 5552619 6229652 6503833 28125702 4604661 8097834 7119775 8114566 7030873 34967709 0 0 0 34967709 86252 86547 81641 38796 131870 425106 86252 86547 81641 38796 131870 425106 4690913 8184381 7201416 8153362 7162743 35392815 0.98800 0.98940 0.01200 0.01060 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 219037 219037 7082212 7301249 515062 128766 0 0 563824 535453 551519 515062 2165858 3248787 99680 238311 229132 219037 786160 140956 133863 137880 128766 541465 812198 669182 261326 407856 763746 494105 269641 677497 7392592 282472 282472 7110120 0 7110120 7301249 0 7301249 0 7301249 X X 1 1 X X X X 1 0 0 0 0 0 0 0 0 Hunter R Rawlings III President (thru March 2016) 576800 0 0 0 316552 0 24000 0 24212 0 941564 0 87138 0 John C Vaughn Executive Vice President 220504 0 0 0 373 0 18000 0 23132 0 262009 0 0 0 Susan Staton Director of Finance (thru April 2016 115320 0 0 0 1829 0 14400 0 31256 0 162805 0 0 0 Barry C Toiv Vice President 222387 0 0 0 3115 0 24000 0 2280 0 251782 0 0 0 Tobin Smith Vice President 203060 0 0 0 650 0 0 0 31345 0 235055 0 0 0 Michael M Owens Vice President 204630 0 0 0 439 0 18000 0 30479 0 253548 0 0 0 Joshua A Trapani Public Analyst 130238 0 0 0 265 0 0 0 21865 0 152368 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 business or first class per terms of the employment contract (president Rawlins is 6 foot 7 inches tall). Part I, Line 4a HUNTER RAWLINGS RECEIVED SEVERANCE AND WITHDREW FUNDS FROM THE 457(F) RETIREMENT PLAN: sEVERANCE - $221,400 457(F) - $87,138 Elizabeth T Rawlings Spouse of Hunter T. Rawlings III (president thru March 2016) 25000 employee compensation: Elizabeth Rawlings is a part-time employee; responsibilities include (but not limited to) the semi-annual partners' meetings held in conjunction with the membership meeting, program, agenda, and function location(s). 0 ken coleman spouse of mary sue coleman (president beg June 2016) 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 11 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 XII, Line 2c: the process has not changed from the prior year.