2016-08-15T13:49:58-05:00 2015-09-30 521855942 TATE & TRYON 2021 L ST NW WASHINGTON DC 20036 990 2014-10-01 521947112 ASSOCIATION OF AMERICAN UNIVERSITIES INC ASSO 2024087500 1200 NEW YORK AVENUE NO 550 WASHINGTON DC 20005 MARY SUE COLEMAN PRESIDENT 2024087500 2016-08-15 DEBORAH G KOSNETT P00290720 2022932200 2014 2016-12-15 16:53:06Z MARY SUE COLEMAN 1200 NEW YORK AVENUE NO 550 WASHINGTON DC 20005 16867724 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'S MEMBERS INCLUDE OVER 60 LEADING PUBLIC AND PRIVATE RESEARCH UNIVERSITIES IN THE UNITED STATES AND CANADA. 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. 11 10 32 10 0 0 6891156 1884914 228619 6229652 81641 175523 0 0 7201416 8290089 1223379 1788170 0 0 0 4021896 0 0 9365 0 2220308 1223379 8030374 5978037 259715 8542791 10815784 3815300 5995061 4727491 4820723 X THE ASSOCIATION'S MISSION IS TO (1) IDENTIFY EMERGING ISSUES OF IMPORTANCE TO ITS MEMBER INSTITUTIONS, (2) MONITOR FEDERAL DEVELOPMENTS THAT AFFECT ITS MEMBER INSTITUTIONS, (3) PROPOSE POLICY POSITIONS FOR CONSIDERATION BY MEMBER INSTITUTIONS, AND (4) DISSEMINATE TO THE PUBLIC, INCLUDING MEMBER OF CONGRESS, INFORMATION IMPORTANT TO ITS MEMBER INSTITUTIONS. 0 0 5525376 5989500 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. 1674908 1788170 STEM INITIATIVE: AAU UNDERGRADUATE STEM EDUCATION INITIATIVE WORKS TO IMPROVE THE QUALITY OF UNDERGRADUATE TEACHING AND LEARNING IN STEM DISCIPLINES. THE INITIATIVE MADE SIGNIFICANT ADVANCES IN THE PAST YEAR. AAU HOSTED ITS THIRD AAU STEM NETWORK CONFERENCE, WHICH ENGAGED 36 AAU MEMBER UNIVERSITIES. THE CONFERENCE WAS CO-HOSTED BY THE CENTER FOR INTEGRATIVE RESEARCH ON COGNITION, LEARNING, AND EDUCATION AT WASHINGTON UNIVERSITY IN ST. LOUIS. AAU ALSO CONVENED DEPARTMENT CHAIRS FROM ACROSS 34 AAU UNIVERSITIES FOR A WORKSHOP IN WASHINGTON, DC TO DISCUSS THEIR PROGRESS IN ADDRESSING THE CHALLENGES IN IMPROVING UNDERGRADUATE STEM EDUCATION. AAU CONTINUED TO SUPPORT AND WORK CLOSELY WITH THE EIGHT AAU STEM INITIATIVE PROJECT SITES. IN 2015, MEMBERS OF THE AAU PROJECT TEAM MADE SITE VISITS TO SIX OF THE EIGHT CAMPUSES. 113262 240152 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: AAU (THE ASSOCIATION) PLAYED A LEADERSHIP ROLE IN THE FOURTH ANNUAL FOUND OF GOLDEN GOOSE AWARDS, WHICH HONOR SEEMINGLY ODD OR OBSCURE FEDERALLY FUNDED RESEARCH THAT TURN OUT TO HAVE A MAJOR SOCIETAL BENEFIT. IN ADDITION TO HAVING MERIT FOR ITS OWN SAKE, THIS AWARD HONOR THE SCIENTIST INVOLVED AND HELPS THE SCIENCE COMMUNITY MAKE THE CASE THAT INDIVIDUAL RESEARCH GRANTS OR BROAD DISCIPLINES SHOULD NOT BE ATTACKED MERELY BECAUSE THEY SOUND ODD OR DO NOT SEEM CONNECTED TO A SPECIFIC OUTCOME. AAU BY THE NUMBERS: AS PART OF AAU'S EFFORTS TO DEMONSTRATE THE VALUE OF AAU UNIVERSITIES, AAU PRODUCED A FOUR-PAGE GRAPHIC DOCUMENT WITH AGGREGATE STATISTICS FOR AAU UNIVERSITIES ON ECONOMIC IMPACT, AVERAGE COLLEGE COSTS AND STUDENT FINANCIAL AID, RESEARCH INTENSITY, AND HORS AND AWARDS.AAU MADE THE CASE THAT CONGRESS AND THE PRESIDENT SHOULD END BUDGET SEQUESTRATION AND PURSE ENTITLEMENT AND TAX REFORMS THAT WILL PERMIT OUR NATION TO MAKE IMPORTANT INVESTMENTS IN ITS FUTURE, INCLUDING RESEARCH AND HIGHER EDUCATION. 7313546 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 15 0 1 32 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 AMY GUTMANN CHAIR 1.00 X X 0 0 0 LOU ANNA K SIMON VICE CHAIR 1.00 X X 0 0 0 WILLIAM C POWERS PAST CHAIR 1.00 X X 0 0 0 RICHARD H BRODHEAD MEMBER 1.00 X 0 0 0 MICHAEL V DRAKE MEMBER 1.00 X 0 0 0 BERNADETTE GRAY-LITTLE 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 MORTON O SCHAPIRO MEMBER 1.00 X 0 0 0 DAVID J SKORTON MEMBER 1.00 X 0 0 0 HUNTER R RAWLINGS III PRESIDENT 40.00 X 616527 0 23000 SUSAN STATON CHIEF FINANCIAL OFFICER 40.00 X 105080 0 9500 JOHN C VAUGHN EXECUTIVE VICE PRESIDENT 40.00 X 275889 0 40500 BARRY C TOIV VICE PRESIDENT 40.00 X 216769 0 23000 TOBIN SMITH VICE PRESIDENT 40.00 X 189825 0 206 MICHAEL M OWENS VICE PRESIDENT 40.00 X 188913 0 17646 CARRIE WOLINETZ ASSOCIATE VICE PRESIDENT 40.00 X 138685 0 0 JOSHUA TRAPANI POLICY ANALYST 40.00 X 128171 0 17646 1859859 0 131498 12 0 1 0 THE GLOVER PARK GROUP LLC 1025 F ST NW 9TH FLOOR WASHINGTON DC 20005 CONSULTING 316616 WESTAT INC 1600 RESEARCH BLVD ROCKVILLE MD 20850 DATA ANALYSIS 191291 WIDMEYER COMMUNICATIONS INC 1129 20TH ST NW 200 WASHINGTON DC 20036 PUBLIC RELATIONS 100077 3 366630 1518284 1884914 MEMBERSHIP DUES 900099 5989500 5989500 MEETING FEES 900099 240152 240152 6229652 38796 38796 8714362 8577635 136727 136727 136727 8290089 6229652 0 175523 1788170 1788170 1070496 935069 133279 2148 1926228 1683373 239003 3852 232738 201923 30326 489 620707 526340 93257 1110 171727 148990 22376 361 16422 16422 22670 22670 436953 436953 269891 236595 33194 102 623020 538861 82856 1303 81660 77763 3897 604944 596573 8371 146499 127103 19396 18249 15833 2416 8030374 7313546 707463 9365 1939258 1350252 12155 561872 37747 84261 1293247 587758 799373 705489 5754258 8113910 8542791 10815784 647018 453607 3168282 5541454 3815300 5995061 X 4659550 4666038 67941 154685 0 0 4727491 4820723 8542791 10815784 259715 -166483 0 X X 0 1 X 1 0 X 83631 275375 2587522 1567156 1884914 6398598 5171694 4329286 5510312 5552619 6229652 26793563 5255325 4604661 8097834 7119775 8114566 33192161 0 0 0 33192161 60756 86252 86547 81641 38796 353992 60756 86252 86547 81641 38796 353992 5316081 4690913 8184381 7201416 8153362 33546153 0.98940 0.98790 0.01060 0.01210 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 229132 229132 7801242 8030374 551519 137880 0 0 432866 563824 535453 551519 2083662 3125493 77942 99680 238311 229132 645065 108217 140956 133863 137880 520916 781374 664574 206037 458537 628673 381721 246952 705489 8123606 -166483 -166483 8290089 0 8290089 8030374 0 8030374 0 8030374 1 MICHIGAN STATE UNIVERSITY 220 TROWBRIDGE RD EAST LANSING MI 488242612 386005984 115 170351 STEM IN EDUCATION BROWN UNIVERSITY - OFFICE OF SPONSORED PROJECTS BOX 1929 164 ANGELL STREET PROVIDENCE RI 02912 050258809 501C3 125000 STEM IN EDUCATION THE REGENTS OF THE UNIVERSITY OF CALIFORNIA THE REGENTS OF THE UNIVERSITY OF CALIFORNIA WEST SACRAMENTO CA 957980962 946036494 115 125000 STEM IN EDUCATION THE TRUSTEES OF THE UNIVERSITY OF PENNSYLVANIA 1 COLLEGE HALL ROOM 211 PHILADELPHIA PA 191046205 231352685 501C3 125000 STEM IN EDUCATION THE UNIVERSITY OF ARIZONA THE UNIVERSITY OF ARIZONA TUCSON AZ 857190521 866050388 115 125000 STEM IN EDUCATION THE UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL THE UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL CHAPEL HILL NC 27599 566001393 115 125000 STEM IN EDUCATION REGENTS OF THE UNIVERSITY OF COLORADO 1800 GRANT ST 800 BOULDER CO 803031508 046000555 115 125000 STEM IN EDUCATION WASHINGTON UNIVERSITY WASHINGTON UNIVERSITY ST LOUIS MO 631304899 430653611 501C3 125000 STEM IN EDUCATION 8 0 PART I, LINE 2: AAU SELECTED AND SEED FUNDED A SUBSET OF AAU MEMBER UNIVERSITIES TO SERVE AS PROJECT SITES FOR ITS STEM INITIATIVE. THE EIGHT SITES SERVE AS LABORATORIES TO IMPLEMENT THE STEM FRAMEWORK, AND ARE ADVANCING PROJECTS DESIGNED TO ENCOURAGE STEM DEPARTMENTS TO ADOPT PROVEN, EVIDENCE-BASED TEACHING PRACTICES. AAU REQUIRES ANNUAL REPORTS FROM EACH FUNDED UNIVERSITY. X X 1 1 X X X X 0 0 0 0 0 0 0 0 0 HUNTER R RAWLINGS III PRESIDENT 506145 0 0 0 110382 0 23000 0 0 0 639527 0 0 0 JOHN C VAUGHN EXECUTIVE VICE PRESIDENT 271969 0 0 0 3920 0 40500 0 0 0 316389 0 0 0 BARRY C TOIV VICE PRESIDENT 214735 0 0 0 2034 0 23000 0 0 0 239769 0 0 0 TOBIN SMITH VICE PRESIDENT 189226 0 0 0 599 0 0 0 206 0 190031 0 0 0 MICHAEL M OWENS VICE PRESIDENT 188514 0 0 0 399 0 17500 0 146 0 206559 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). ELIZABETH T RAWLINGS SPOUSE OF HUNTER T. RAWLINGS III (PRESIDENT) 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 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, 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.