2017-08-14T12:50:01-05:00 2016-09-30 BDO USA LLP 8401 GREENSBORO DRIVE 8TH FLOOR MCLEAN VA 22102 990 2015-10-01 111630900 Associated Universities Inc % JACK TADE AUI CONTROLLER ASSO 2024621676 1400 16th Street NW Suite 730 Washington DC 200362252 LUTHER LAU CFO 2024621676 2017-08-14 true Joyce Underwood P00022361 7038930600 2017-08-14 2015 2021-01-29 14:40:06Z ETHAN SCHREIER 1400 16th Street NW Suite 730 Washington DC 200362252 93600736 false X www.aui.edu X 1946 NY COLLABORATES WITH SCIENTIFIC COMMUNITY & RESEARCH SPONSORS TO PLAN, BUILD & OPERATE CUTTING-EDGE FACILITIES. WE CULTIVATE EXCELLENCE, DELIVER VALUE,ENHANCE EDUCATION & ENGAGE PUBLIC. 21 20 606 121 0 92399404 88475930 2718638 4297019 690615 453716 0 0 95808657 93226665 1833445 1870922 0 0 60302971 62635260 0 0 0 33182750 28523062 95319166 93029244 489491 197421 15453451 14963941 4189577 3364571 11263874 11599370 AUI COLLABORATES WITH THE SCIENTIFIC COMMUNITY AND RESEARCH SPONSORS TO PLAN, BUILD, AND OPERATE CUTTING-EDGE FACILITIES. WE CULTIVATE EXCELLENCE, DELIVER VALUE, ENHANCE EDUCATION, AND ENGAGE THE PUBLIC. false false 84788925 1870922 4297019 ASTRONOMY AND ASTROPHYSICS RESEARCH PROGRAMS: THE ORGANIZATION OPERATES A COMPLEMENTARY SUITE OF POWERFUL, STATE OF THE ART RADIO TELESCOPES FOR RESEARCH CONDUCTED BY THE INTERNATIONAL SCIENTIFIC COMMUNITY. THE SUITE OF TELESCOPES INCLUDE: THE ATACAMA LARGE MILLIMETER/SUBMILLIMETER ARRAY, THE ROBERT C. BYRD GREEN BANK TELESCOPE, EXPANDED VERY LARGE ARRAY, AND THE VERY LARGE BASELINE ARRAY. THE ORGANIZATION ALSO PROVIDES FORMAL AND INFORMAL PROGRAMS IN EDUCATION AND PUBLIC OUTREACH FOR TEACHERS, STUDENTS, THE GENERAL PUBLIC AND THE MEDIA. 2513765 0 0 THESE PROGRAMS INCLUDE EFFORTS ON THE CREATION OF NEW SCIENTIFIC CAPABILITIES AND TO BROADEN PARTICIPATION IN STEM CAREERS AND EDUCATION. 87302690 true true false true false false false false false false true true false false true true true false false true true false false false false false false false true true false false false false false false false false false false false false false true true false false false true 124 0 true 606 true false true CI false false false false false false false false X 21 20 false false false false false false false true true false false true true true true true true true true false AZ CA NH NM NY WV X JACK TADE AUI CONTROLLER 2024621676 1400 16TH STREET NW STE 730 Washington DC 200362252 X Malcolm R Beasley Trustee 4.0 0.0 X 0 0 0 CLAUDIA BOBADILLA Trustee 2.0 0.0 X 0 0 0 DEAN W CURRIE Trustee 3.0 0.0 X 0 0 0 Roscoe C Giles Trustee/Chairman 6.0 0.0 X X 0 0 0 Martha P Haynes Trustee 4.0 0.0 X 0 0 0 ANTHONY J G HEY Trustee 0.0 0.0 X 0 0 0 E Scott Kirkpatrick Trustee 3.0 0.0 X 0 0 0 Eugene H Levy Trustee 3.0 0.0 X 0 0 0 John J Lively Trustee 5.0 0.0 X 0 0 0 GEORGE K MILEY Trustee 3.0 0.0 X 0 0 0 H Warren Moos Trustee 4.0 0.0 X 0 0 0 James M Moran Trustee 4.0 0.0 X 0 0 0 Lyman A Page Jr Trustee 2.0 0.0 X 0 0 0 Annelia I Sargent Trustee 2.0 0.0 X 0 0 0 MARIA TERESA RUIZ Trustee 0.0 0.0 X 0 0 0 Eric M Wilcots Trustee 3.0 0.0 X 0 0 0 Robert E Williams Trustee 3.0 0.0 X 0 0 0 Christine D Wilson Trustee 3.0 0.0 X 0 0 0 Ethan J Schreier President, Trustee 40.0 0.0 X X 369086 0 46159 SUZANNA T STAGGS TRUSTEE 0.0 0.0 X 0 0 0 LAURENT VIGROUX TRUSTEE 2.0 0.0 X 0 0 0 Kim O'Farrell Chief Financial Officer 40.0 0.0 X 185162 0 27250 Peter Mcevoy Vice President Admin/Treasurer 40.0 0.0 X 182377 0 34144 WESLEY H HILLS SECRETARY/ASSISTANT TREASURER 40.0 0.0 X 97788 0 16420 Anthony Beasley Director 40.0 0.0 X 277508 0 43974 PHILLIP JEWELL DEPUTY DIRECTOR 40.0 0.0 X 190214 0 38605 MARK MCKINNON ASSISTANT DIRE/NM OPSI 40.0 0.0 X 188837 0 32075 STEVEN GEIGER ASSOCIATE DIRECTOR ADMIN 40.0 0.0 X 172266 0 32560 DALE FRAIL ASSISTANT DIRECTOR NM OPSI 40.0 0.0 X 157007 0 32455 KWOK YUNG LO DISTINGUISHED ASTRONOMER 40.0 0.0 X 173160 0 36623 JOHN MESTER VICE PRESIDENT SCI/PROGRAMS 40.0 0.0 X 206896 0 34181 Stuartt Corder ASSOC. SCIENTIST/A-DEP DIR JAO 40.0 0.0 X 189028 0 23413 LORY WINGATE ASSISTANT DIRECTOR 40.0 0.0 X 172730 0 30076 ROBERT DICKMAN SCIENTIST 40.0 0.0 X 167702 0 28283 Patrick W Donahoe Secretary/Treasurer 40.0 0.0 X 108268 0 19465 2838029 0 475683 109 true true false MODJESKI MASTERS 4510 E PENNSYLVANIA AVENUE CHARLESTON WV 25302 STRUCTURAL INSPECT. 413540 KEYSIGHT TECHNOLOGIES INC 1400 FOUNTAINGROVE PARKWAY SANTA ROSA CA 954031738 CALIBRATION 274876 BDO USA LLP 8401 Greensboro Drive MCLEAN VA 22102 AUDITING/CONSULTING 259213 VIRGINIA DIODES INC 979 2DN STREET SE SUITE 309 CHARLOTTESVILLE VA 229029172 VAR. BAND ASSEMBLY 251350 MBV INGENIERIA Y CONSTRUCCION LTD PLAZA DE NEGOCIOS LA NEGRA SITIO 1 CIUDAD ANTOFAGASTA 0 CI 1240000 MAINTENANCE &REPAIRS 196443 10 87616094 859836 88475930 CAFE, GUESTHOUSE, GIFTSHOP 900099 4297019 4297019 4297019 82200 82200 0 0 0 0 0 745587 374071 371516 371516 371516 0 0 0 0 93226665 4297019 453716 0 1870922 1870922 0 0 2837790 1409085 1428705 0 0 43551295 42159469 1391826 3645721 3506538 139183 9808494 9586474 222020 2791960 2604884 187076 0 255424 169163 86261 251411 251411 76402 76402 0 0 3506108 3151138 354970 18302 18302 356737 250689 106048 2476981 2464101 12880 22427 22427 2309384 1979637 329747 4530036 3999674 530362 0 970996 935506 35490 0 0 47538 47538 263283 127976 135307 EQUIP/BLDG/LEASEHOLD 7187150 7180480 6670 UTIL/FUEL CONSUM/COMMUNICATIO 4930479 4911085 19394 FREIGHT/POSTAGE 406270 403026 3244 MEMBERSHIP/PUBLICATIONS 218651 207992 10659 695483 362424 333059 93029244 87302690 5726554 0 0 0 3754742 2547129 0 0 1028762 1258088 0 0 0 0 0 0 0 0 89671 92691 613836 221774 140897 392062 0 0 10439379 10673971 0 0 0 0 0 0 15453451 14963941 901408 832743 0 0 3074524 1873038 0 0 0 0 0 0 0 0 0 0 213645 658790 4189577 3364571 X 11263874 11599370 0 0 0 0 11263874 11599370 15453451 14963941 X 197421 176237 -38162 X X false true X true true true X 121234232 99448552 96551934 92399404 88475930 498110052 0 0 121234232 99448552 96551934 92399404 88475930 498110052 0 498110052 96100 125495 155190 136271 82200 595256 0 0 498705308 13214697 0.99881 0.99824 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 76402 76402 92952842 93029244 1000000 250000 1000000 1000000 1000000 1000000 4000000 6000000 26058 26832 89887 76402 219179 250000 250000 250000 250000 1000000 1500000 0 0 0 0 444213 145774 298439 44845 15306 29539 124778 60694 64084 392062 TIFF MULTI-ASSET FUND 10673971 F 10673971 0 TRUSTEES' SCHOLARSHIPS PAYABLE 101500 FUNDS HELD FOR OTHERS 17988 CAPITAL LEASES 7292 POSTRETIREMENT BENEFITS 116991 DEFERRED LEASED LIABILITIES 415019 658790 X 93364740 176237 -38162 138075 93226665 93226665 93029244 93029244 93029244 PART X, LINE 2: UNDER ASC 740-10, ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, AUI MUST RECOGNIZE THE TAX BENEFIT ASSOCIATED WITH TAX POSITIONS TAKEN FOR TAX RETURN PURPOSES WHEN IT IS MORE-LIKELY-THAN-NOT THAT THE POSITION WILL BE SUSTAINED ON EXAMINATION. AUI DOES NOT BELIEVE THERE ARE ANY UNRECOGNIZED TAX BENEFITS THAT SHOULD BE RECORDED. FOR THE YEARS ENDED SEPTEMBER 30, 2016 AND 2015, THERE WERE NO INTEREST OR PENALTIES RECORDED OR INCLUDED IN THE STATEMENTS OF ACTIVITIES. HOWEVER, TAX YEARS ENDED SEPTEMBER 30, 2013 - 2015 REMAIN OPEN TO EXAMINATION BY THE TAXING JURISDICTIONS TO WHICH AUI IS SUBJECT, AND THEY HAVE NOT BEEN EXTENDED BEYOND THE APPLICABLE STATUTE OF LIMITATIONS. PART XI, LINE 2D - OTHER ADJUSTMENTS: PENSION-RELATED CHANGES OTHER THAN NET PERIODIC PENSION COSTS $ -38,162. South America 3 252 Program Services Telescope operations 13554843 3 252 3 252 13554843 13554843 false false false false false false true Summer Student Research Assistance Program 40 269585 AUI Trustee Scholarship 18 67743 SUMMER EDUCATIONAL PROGRAMS 39 22810 STUDENT OBSERVING SUPPORT 96 788751 JANSKY FELLOWSHIPS 8 707493 ASTRONOMY IN CHILE EDUCATOR AMBASSADOR 9 4500 STEM PROGRAM 12 10040 SCHEDULE I, PART I, LINE 2: NRAO ENGAGES STUDENTS IN SCIENTIFIC RESEARCH THROUGH THE SUMMER STUDENT RESEARCH ASSISTANTSHIP PROGRAM AND HAS CONDUCTED THE PROGRAM SINCE 1959. EACH SUMMER STUDENT CONDUCTS RESEARCH UNDER THE SUPERVISION OF AN NRAO STAFF MEMBER AT ONE OF THE THREE NRAO SITES. SUPERVISORS CHOOSE THE CANDIDATES FROM APPLICATIONS RECEIVED AND MONITOR THE RESEARCH CONDUCTED OVER THE 10-12 WEEK PERIOD EACH SUMMER. QUALIFYING STUDENTS ARE PAID A FIXED STIPEND PER WEEK. THE FISCAL DEPARTMENT PROCESSES STIPEND PAYMENTS BASED ON SUPERVISOR APPROVED PAY ORDERS. THE AUI TRUSTEE SCHOLARSHIPS ARE AVAILABLE ON A COMPETITIVE BASIS TO THE CHILDREN OF REGULAR FULL-TIME AND ELIGIBLE PART-TIME AUI EMPLOYEES. THREE PRIMARY SCHOLARSHIPS ARE AWARDED ANNUALLY BASED ON A CRITERIA OF HIGH SCHOOL ACADEMIC ACHIEVEMENT, STANDARDIZED COLLEGE TEST SCORES, AND RECOMMENDATIONS OF THE HIGH SCHOOL. IN ADDITION, UP TO TWO ADDITIONAL SCHOLARSHIPS MAY BE AWARDED TO AUI EMPLOYEES' CHILDREN WHO ARE AFRICAN AMERICAN, HISPANIC, OR NATIVE AMERICAN, AN INDEPENDENT SCHOLARSHIP COMMITTEE, REPORTING TO INTERNATIONAL SCHOLARSHIP AND TUITION SERVICES IN. (ISTS), WILL SELECT THE WINNERS OF THE AUI TRUSTEE SCHOLARSHIPS. X X X true true X X X X false false false false false false false false false Ethan J Schreier President, Trustee 363784 0 0 0 5302 0 26500 0 19659 0 415245 0 0 0 Kim O'Farrell Chief Financial Officer 184785 0 0 0 377 0 18660 0 8590 0 212412 0 0 0 Peter Mcevoy Vice President Admin/Treasurer 176457 0 5000 0 920 0 18458 0 15686 0 216521 0 0 0 Patrick W Donahoe Secretary/Treasurer 107785 0 0 0 483 0 11100 0 8365 0 127733 0 0 0 Anthony Beasley Director 277094 0 0 0 414 0 26500 0 17474 0 321482 0 0 0 PHILLIP JEWELL DEPUTY DIRECTOR 189029 0 0 0 1185 0 19889 0 18716 0 228819 0 0 0 KWOK YUNG LO DISTINGUISHED ASTRONOMER 172067 0 0 0 1093 0 18183 0 18440 0 209783 0 0 0 MARK MCKINNON ASSISTANT DIRE/NM OPSI 175959 0 0 0 12878 0 18162 0 13913 0 220912 0 0 0 STEVEN GEIGER ASSOCIATE DIRECTOR ADMIN 171255 0 0 0 1011 0 17739 0 14821 0 204826 0 0 0 DALE FRAIL ASSISTANT DIRECTOR NM OPSI 156682 0 0 0 325 0 16680 0 15775 0 189462 0 0 0 JOHN MESTER VICE PRESIDENT SCI/PROGRAMS 191486 0 15000 0 410 0 19917 0 14264 0 241077 0 0 0 Stuartt Corder ASSOC. SCIENTIST/A-DEP DIR JAO 133700 0 0 0 55328 0 13922 0 9491 0 212441 0 0 0 LORY WINGATE ASSISTANT DIRECTOR 172072 0 0 658 0 17718 0 12358 0 202806 0 0 0 ROBERT DICKMAN SCIENTIST 166715 0 0 0 987 0 16980 0 11303 0 195985 0 0 0 PART I, LINE 1A: HOUSING ALLOWANCE - AUI FOLLOWS ESTABLISHED POLICY PERTAINING TO TEMPORARY HOUSING ALLOWANCES PROVIDED TO EMPLOYEES WHO HAVE ACCEPTED A CHANGE OF DUTY STATION IF THE EMPLOYEE HAS RENTED OR PURCHASED LIVING QUARTERS AND IS MAKING A GOOD FAITH EFFORT TO SELL HIS/HER PRIMARY RESIDENCE. TRAVEL FOR COMPANIONS - GUESTS OF THE AUI BOARD OF TRUSTEES ARE INVITED TO ATTEND ONE AUI BOARD OF DIRECTORS MEETING DURING THE FISCAL YEAR. HEALTH OR SOCIAL CLUB DUES - AUI PAID THE ANNUAL DUES FOR MEMBERSHIP TO AN ACADEMICALLY-ORIENTED SOCIAL CLUB, WHICH IS USED FOR BUSINESS PURPOSES. PART I, LINE 3: THE CHAIR OF THE AUI BOARD OF TRUSTEES, IN CONSULTATION WITH THE AUI EXECUTIVE COMMITTEE AND AUI COMPENSATION SUBCOMMITTEE, ANNUALLY REVIEWS THE PRESIDENT'S WRITTEN SELF-EVALUATION AND MAKES A RECOMMENDATION FOR A SALARY ADJUSTMENT FOR THE AUI PRESIDENT, WHICH IS RECORDED IN THE MINUTES. IN ADDITION, AFTER REVIEWING THE COMPENSATION DECISIONS, THE AUI BOARD OF TRUSTEES DETERMINES THAT THE SALARY AND BENEFITS TO BE RECEIVED BY THE AUI PRESIDENT ARE REASONABLE AND DO NOT CONSTITUTE EXCESSIVE BENEFIT TRANSACTIONS AS DEFINED BY SECTION 4958 OF THE INTERNAL REVENUE CODE (IRC). FORM 990, PART VI, SECTION B, LINE 11: ASSOCIATED UNIVERSITIES, INC. HAS ITS EXTERNAL AUDIT FIRM REVIEW THE DRAFT FORM 990 PRIOR TO SUBMITTING IT TO THE AUI AUDIT COMMITTEE FOR REVIEW. ON BEHALF OF THE AUI BOARD OF TRUSTEES, THE AUDIT COMMITTEE REVIEWS THE FORM 990 AND REPORTS THE FINDINGS OF ITS REVIEW TO THE FULL BOARD. THE FINAL DRAFT OF THE FORM 990 IS MADE AVAILABLE TO THE AUI BOARD OF TRUSTEES PRIOR TO SUBMISSION TO THE INTERNAL REVENUE SERVICE (IRS). FORM 990, PART VI, SECTION B, LINE 12C: ASSOCIATED UNIVERSITIES, INC. HAS A CONFLICT OF INTEREST POLICY WHICH ADDRESSES FINANCIAL, RESEARCH, AND ORGANIZATIONAL DISCLOSURES DESIGNED TO ENSURE THAT TRUSTEES, OFFICERS, AND EMPLOYEES IDENTIFY SITUATIONS WHICH COMPROMISE, OR COULD GIVE THE APPEARANCE OF COMPROMISING, THEIR JUDGEMENT IN PERFORMING THEIR DUTIES. THE CONFLICT OF INTEREST POLICY REQUIRES TRUSTEES, OFFICERS AND KEY MANAGEMENT TO EXECUTE ANNUAL WRITTEN CONFLICT OF INTEREST CERTIFICATIONS FOR THEMSELVES AND CLOSE FAMILY MEMBERS. THESE WRITTEN CERTIFICATIONS ARE REVIEWED BY THE CORPORATE SECRETARY, AND IF REQUIRED, ADJUDICATED ACCORDING TO A WRITTEN PROCEDURE. CONFLICTS OF INTEREST PERTAINING TO NON-KEY EMPLOYEES ARE SUBJECT TO A SEPARATE IDENTIFICATION AND ADJUDICATION PROCESS. FORM 990, PART VI, SECTION B, LINE 15: COMPENSATION LEVELS INVOLVING THE HIRING, PROMOTION, AND SALARY ADJUSTMENTS FOR THE AUI PRESIDENT, OFFICERS, AND RESEARCH CENTER DIRECTORS ARE APPROVED BY AUI'S BOARD OF TRUSTEES BASED ON RECOMMENDATIONS FROM THE AUI PRESIDENT AND AUI COMPENSATION SUBCOMMITTEE. IN ALL CASES THE SALARY RECOMMENDATIONS ARE BASED ON ANNUAL PERFORMANCE EVALUATIONS OF THE EMPLOYEE BY THEIR SUPERVISOR. THE AUI PRESIDENT AND AUI COMPENSATION SUBCOMMITTEE REVIEW THIRD-PARTY COMPARABILITY DATA ON SALARIES AND BENEFITS PROVIDED BY SIMILAR NONPROFIT SCIENTIFIC RESEARCH ORGANIZATIONS. IN THE CASE OF THE AUI PRESIDENT (CEO), THE CHAIR OF THE AUI BOARD OF TRUSTEES, IN CONSULTATION WITH THE AUI EXECUTIVE COMMITTEE AND AUI COMPENSATION SUBCOMMITTEE, ANNUALLY REVIEWS THE PRESIDENT'S WRITTEN SELF-EVALUATION AND MAKES A RECOMMENDATION FOR A SALARY ADJUSTMENT TO THE BOARD FOR APPROVAL. IN THE CASE OF THE OFFICERS AND RESEARCH CENTER DIRECTORS, THE AUI PRESIDENT ANNUALLY REVIEWS THE PERFORMANCE OF EACH OFFICER AND RESEARCH CENTER DIRECTOR, WHICH IS BASED ON THE INDIVIDUAL'S SELF-EVALUATION. BASED ON THE PERFORMANCE APPRAISAL, THE AUI PRESIDENT, IN CONSULTATION WITH THE AUI COMPENSATION SUBCOMMITTEE, MAKES A RECOMMENDATION FOR SALARY ADJUSTMENTS TO THE AUI BOARD OF TRUSTEES. AFTER REVIEWING THE RECOMMENDATIONS, THE AUI BOARD OF TRUSTEES APPROVES SALARY ADJUSTMENTS FOR THE AUI PRESIDENT, OFFICERS, AND RESEARCH CENTER DIRECTORS, WHICH ARE RECORDED IN THE MINUTES. IN ADDITION, AFTER REVIEWING ALL COMPENSATION DECISIONS, THE AUI BOARD OF TRUSTEES DETERMINES THAT THE SALARIES AND BENEFITS TO BE RECEIVED BY THE PERSONS CURRENTLY HOLDING THESE POSITIONS ARE REASONABLE AND DO NOT CONSTITUTE EXCESSIVE BENEFIT TRANSACTIONS AS DEFINED BY SECTION 4958 OF THE INTERNAL REVENUE CODE (IRC). FORM 990, PART VI, SECTION C, LINE 19: ASSOCIATED UNIVERSITIES, INC. RESPONDS TO WRITTEN REQUESTS FOR THESE DOCUMENTS ON A CASE-BY-CASE BASIS. FORM 990, PART XI, line 9: CHANGES IN NET ASSETS: PENSION-RELATED CHANGES OTHER THAN NET PERIODIC PENSION COSTS $ -38,162. FORM 990, PART XI, LINE 2C: OVERSIGHT OF AUDIT THERE WERE NO CHANGES TO THE PROCESS FOR OVERSIGHT OF THE FINANCIAL STATEMENTS AUDIT. ASSOC UNIV INC RETIREE HEALTH BENEFIT TR 1400 16TH STREET NW WASHINGTON DC 20036 526748287 SEE PART VII DC 501(c)(3) LINE 11A SEE PART VII true false false false false false false false false false false false false false false false false false false false SCHEDULE R, PART II, LINE (1): COLUMN (a) - FULL NAME: ASSOCIATED UNIVERSITIES INC RETIREE HEALTH BENEFIT TRUST COLUMN (b) - PRIMARY ACTIVITY: RETIREE BENEFITS COLUMN (f) - DIRECT CONTROLLING ENTITY: Associated Universities, Inc.