2014-08-14T07:42:46-05:00 2013-09-30 621199757 LATTIMORE BLACK MORGAN & CAIN PC 10024 INVESTMENT DRIVE STE 200 KNOXVILLE TN 37932 990 2012-10-01 620476816 OAK RIDGE ASSOCIATED UNIVERSITIES INC OAKR 8652411286 PO BOX 117 OAK RIDGE TN 378310117 J PHIL ANDREWS 8652411286 2014-08-12 1 LEIGH ANNE JOSEPH CPA P00497850 8656919000 2014-08-12 2012 2015-11-30 17:44:51Z WAYNE HAMILTON PO BOX 117 KNOXVILLE TN 378310117 80975843 0 X WWW.ORAU.ORG X 1946 TN OAK RIDGE ASSOCIATED UNIVERSITIES, INC. (ORAU) IS A PRIVATE, NOT-FOR-PROFIT CORPORATION AND CONSORTIUM OF 109 COLLEGES AND UNIVERSITIES AND IS PRINCIPALLY A MANAGEMENT AND OPERATING CONTRACTOR FOR THE U.S. DEPARTMENT OF ENERGY (DOE). THROUGH THIS CONTRACT, ORAU MANAGES AND OPERATES THE OAK RIDGE INSTITUTE FOR SCIENCE AND EDUCATION (ORISE), WHICH CARRIES OUT RESEARCH AND DEVELOPMENT PROGRAMS IN SCIENCE/ENGINEERING EDUCATION, TRAINING MANAGEMENT SYSTEMS AND ENERGY/ENVIRONMENTAL SYSTEMS FOR DOE AND OTHER GOVERNMENTAL ORGANIZATIONS. IN ADDITION TO THE OPERATION OF ORISE, ORAU CORPORATE CONDUCTS PROGRAMS TO PROVIDE SERVICES TO ITS MEMBER INSTITUTIONS AND OTHER PRIVATE AND GOVERNMENT ORGANIZATIONS. 24 21 1541 0 0 0 145000 140000 76628456 80834266 -1323079 -35684 0 0 75450377 80938582 50000 50000 0 0 17115605 19046128 0 0 0 57694474 59654597 74860079 78750725 590298 2187857 41740036 42063046 30930879 28879392 10809157 13183654 X TO ADVANCE NATIONAL PRIORITIES AND SERVE THE PUBLIC INTEREST BY INTEGRATING ACADEMIC, GOVERNMENT, AND SCIENTIFIC RESOURCES GLOBALLY. 0 0 38192218 39208138 OCCUPATIONAL EXPOSURE & WORKER HEALTH: ORAU POSSESSES EXPERIENCE IN EPIDEMIOLOGY AND WORKER STUDIES. EXPERTISE LIES IN THE AREAS OF STUDYING EXPOSURE HISTORIES OF WORKER POPULATIONS TO DETERMINE POSSIBLE CORRELATION BETWEEN OCCUPATIONAL EXPOSURE AND ILLNESSES. CAPABILITIES ALSO INCLUDE SCREENINGS OF WORKERS OR THE PUBLIC TO IDENTIFY POTENTIAL HEALTH CONCERNS RESULTING FROM OCCUPATIONAL OR OTHER EXPOSURES, AND COLLECTING AND ANALYZING DATA RELATED TO WORKER HEALTH HISTORIES. ORAU HAS ALSO PARTNERED WITH GOVERNMENTAL AGENCIES, INDUSTRY, AND STATE HEALTH DEPARTMENTS TO DO QUALITY CONTROL SERVICES AND DATA ABSTRACTING AND PROVIDE ELECTRONIC MEDICAL RECORDKEEPING CAPABILITIES. 25176915 50000 25621331 SCIENCE AND EDUCATION PROGRAMS: SCIENCE AND EDUCATION PROGRAMS ARE THOSE THAT PRIMARILY SUPPORT FELLOWSHIPS, INTERNSHIPS, SCHOLARSHIPS OR OTHER MEANS TO PLACE STUDENTS, FACULTY, AND POSTDOCTORAL RESEARCHERS INTO RESEARCH POSITIONS AT NATIONAL LABORATORIES AND OTHER RESEARCH FACILITIES OR INSTITUTIONS THROUGHOUT THE WORLD. THE PURPOSE OF THESE PROGRAMS IS TO HAVE INDIVIDUALS CONDUCT OR PARTICIPATE IN THE CONDUCT OF RESEARCH WITH THEIR OWN EDUCATION BEING ONE OF THE BENEFICIARIES. IN ADDITION, ORAU'S CENTER FOR SCIENCE EDUCATION INCORPORATES AN INTERACTIVE, TECHNOLOGY-RICH CLASSROOM THAT BRIDGES THE GAP BETWEEN "IN-THE-FIELD" RESEARCH AND THE CONTENT CURRENTLY BEING USED IN TODAY'S CLASSROOM. 4935574 5168812 NATIONAL SECURITY AND EMERGENCY MANAGEMENT: ORAU HELPS GOVERNMENT AGENCIES WITH PREPARING PERSONNEL FOR ALL TYPES OF EMERGENCIES THROUGH THE USE OF ENACTING POSSSIBLE SCENARIOS AND PLANNING THE PROPER RESPONSE. EXPERTISE LIES IN THE AREA OF NATIONAL SECUTIRY READINESS AND EMERGENCY PREPAREDNESS. ORAU PLANS AND IMPLEMENTS FULL-FUNCTION EXERCISES, DRILLS, AND TABLETOP SCENARIOS. ORAU IS INVOLVED IN DEVELOPING POLICIES, PROCEDURES, RESPONSE PLANS, AND GUIDELINES THAT ENSURE A CONSISTENT EFFECTIVE RESPONSE EFFORT. TO FURTHER SUPPORT THE NATIONAL SECURITY AND COUNTERTERRORISM EFFORT, ORAU ALSO EMPLOYS FORENSIC SPECIALISTS AND OTHER SUBJECT MATTER EXPERTS TO PROVIDE FORENSIC EVIDENCE PROCESSING EXPERTISE, SUCH AS LATENT FINGERPRINT EXAMINATIONS, TOOLMARK EXAMINATIONS, ANALYSIS OF IMPROVISED EXPLOSIVE DEVICE MATERIALS, AND OTHER INVESTIGATIVE TESTING. 2786825 3363196 ENVIRONMENTAL ASSESSMENT & VERIFICATION (TRAINING PROGRAMS): THESE PROGRAMS ENCOMPASS THE CHARACTERIZATION OF SPECIFIC ENVIRONMENTAL HAZARDS TO BE CLEANED UP AND THEN THE INDEPENDENT VERIFICATION OF REMEDIATION EFFORTS TO ENSURE THE CLEANUP MEETS FEDERAL REGULATORY STANDARDS. ORAU PROVIDES HEALTH PHYSICS EXPERTISE AND SPECIAL TRAINING PROGRAMS TO TEACH GOVERNMENT EMPLOYEES, OTHER GOVERNMENT CONTRACTORS' EMPLOYEES AND, TO A SMALLER EXTENT, THE PRIVATE SECTOR THE APPROPRIATE AND PROPER METHODS TO HANDLE RADIOACTIVE MATERIALS, ACCIDENTS INVOLVING DANGEROUS OR HAZARDOUS MATERIALS, AND IN SOME CASES THE APPROPRIATE AND PROPER METHODS OF CLEANUP IN THE EVENT OF A SPILL. 1534471 1699266 SCIENTIFIC & TECHNICAL RESOURCE INTEGRATION (PEER REVIEW): THESE PROGRAMS USE PANELS OF INDEPENDENT REVIEWERS TO EVALUATE RESEARCH PROPOSALS, ONGOING PROBLEMS, OR SCIENTIFIC INFORMATION PRODUCED FROM RESEARCH ENDEAVORS TO ENSURE THAT THE INFORMATION IS SCIENTIFICALLY AND TECHNICALLY SOUND AND MERITS THE FEDERAL OR OTHER FUNDING THAT IS PROVIDED FOR RESEARCH PROPOSED OR CURRENTLY BEING DONE. 482620 481137 UNIRIB: ORAU ADMINISTERS THE UNIVERSITY RADIOACTIVE ION BEAM (UNIRIB) PROGRAM FOR APPROXIMATELY EIGHT MEMBER COLLEGES AND UNIVERSITIES. UNIRIB OPERATES A RECOIL MASS SPECTROMETER (RMS) FOR THE HOLIFIELD HEAVY ION RESEARCH FACILITY AT THE OAK RIDGE NATIONAL LABORATORY. UNIRIB WAS STARTED WITH CONTRIBUTIONS AND DONATIONS FROM THE STATE OF TENNESSEE, DOE, AND SEVERAL MEMBER COLLEGES AND UNIVERSITIES. THE ACTIVITIES OF UNIRIB ARE GOVERNED BY AN ADVISORY BOARD. THE NET ASSETS OF UNIRIB HAVE BEEN RECORDED AS A LIABILITY UNDER AN AGENCY ARRANGEMENT. 1400779 1028224 OTHER SPONSORED PROGRAMS: VARIOUS OTHER TRAINING AND EDUCATION PROGRAMS OPERATED AND MANAGED BY ORAU. 6204695 6571823 74509402 1 0 0 1 0 0 0 0 0 0 1 0 0 0 1 1 0 1 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 2574 0 1 1541 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 X 24 21 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 X WAYNE HAMILTON 8652416541 100 ORAU WAY OAK RIDGE TN 37830 MR ANTHONY P DECRAPPEO 5.00 X 0 0 0 GENERAL ALICE ASTAFAN 5.00 X 0 0 0 DR W ROSS ELLINGTON 5.00 X 0 0 0 DR KAREN A HOLBROOK 5.00 X 0 0 0 DR CHRISTINE M MAZIAR 5.00 X 0 0 0 ADM J PAUL REASON 5.00 X 0 0 0 DR DAVID C LEE 5.00 X 0 0 0 DR CHRISTOPHER D MCKINNEY 5.00 X 0 0 0 DR R LARRY DOOLEY 5.00 X 0 0 0 DR TERRY L HERDMAN 5.00 X 0 0 0 DR KELVIN K DROEGEMEIER 5.00 X 0 0 0 MR ZACH WAMP 5.00 X 0 0 0 DR GERALD D HOLDER 5.00 X 0 0 0 DR JOHN M HORACK 5.00 X 0 0 0 DR TERRI L LOMAX 5.00 X 0 0 0 DR NANCY C MARTIN 5.00 X 0 0 0 DR ROBERT T MCGRATH 5.00 X 0 0 0 DR CURT M PETERSON 5.00 X 0 0 0 DR WINFRED M PHILLIPS 5.00 X 0 0 0 DR ORLANDO L TAYLOR 5.00 X 0 0 0 MR JAMES H TURNER JR 5.00 X 0 0 0 J PHIL ANDREWS 40.00 X 211719 8000 29302 MONNIE E CHAMPION 40.00 X 122778 0 18802 HARRY ANDERSON PAGE 40.00 X 411382 0 35004 DEAN M EVASIUS 40.00 X 208807 0 12271 DONNA CRAGLE 40.00 X 202087 0 23175 DAN WAYNE STANDLEY 40.00 X 198855 0 28756 ERIC W ABELQUIST 40.00 X 198608 0 25339 CHESTER KEITH MAZE 40.00 X 200552 0 23235 1754788 8000 195884 147 0 1 0 MJW TECHNICAL SERVICES INC 243 ROOT STREET SUITE 100 OLEAN NY 14760 PROFESSIONAL SERVICES 14140410 DADE MOELLER & ASSOCIATES INC 1835 TERMINAL DRIVE SUITE 200 RICHLAND WV 99354 PROFESSIONAL SERVICES 10964381 SUNTRUST BANK INC 9950 KINGSTON PIKE KNOXVILLE TN 37922 PURCHASE CARD PROGRAM 3528396 US BANK NATIONAL ASSOCIATION 800 NICOLLET MALL MINNEAPOLIS MN 55402 PROFESSIONAL SERVICES 2843515 RADIATION SOLUTIONS INC 386 WATLINE MISSISSAUGA CA L4Z 1X2 PROFESSIONAL SERVICES 2601829 140 140000 140000 TRAINING PROGRAMS 541900 3363196 3363196 UNIRIB 541700 481137 481137 76989933 76989933 80834266 1577 1577 37261 -37261 -37261 -37261 80938582 80797005 0 1577 50000 50000 1950672 1845547 105125 13615870 12882086 733784 963000 911102 51898 1473973 1394538 79435 1042613 986425 56188 207187 196021 11166 1391387 1316403 74984 604940 572339 32601 2902654 2746225 156429 238843 225971 12872 760577 719588 40989 1760651 1665767 94884 PROFESSIONAL SERVICES 29710401 28109254 1601147 PARTICIPANT COSTS 19307787 18267256 1040531 SUPPLIES 935664 885239 50425 SITE SERVICES 781152 739054 42098 1053354 996587 56767 78750725 74509402 4241323 0 826225 3137515 780346 1079697 0 7907220 7060974 800000 800000 469469 335703 43251981 13740831 30813248 29511150 143528 138007 41740036 42063046 4929592 4843746 616 616 24200000 22575000 1800671 1460030 30930879 28879392 X 10809157 13183654 10809157 13183654 41740036 42063046 X 2187857 186640 X X 0 1 X 1 1 1 X 115500 108150 107500 145000 140000 616150 75945467 78487149 69654098 76628456 80834266 381549436 76060967 78595299 69761598 76773456 80974266 382165586 0 0 0 382165586 515614 2279 2281 1260 1577 523011 515614 2279 2281 1260 1577 523011 76576581 78597578 69763879 76774716 80975843 382688597 0.99860 0.99840 0.00140 0.00160 X 7819 7819 78742906 78750725 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 92823 162549 205313 7819 468504 250000 250000 250000 250000 1000000 1500000 173311 173311 37147404 11753194 25394210 5668555 1987637 3680918 262711 262711 29511150 POSTRETIREMENT BENEFITS FUTURE 499900 INTEREST RATE SWAP 960130 1460030 X 80975843 0 80975843 -37261 -37261 80938582 78451345 -299380 -299380 78750725 0 78750725 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: ORAU AND ITS SUBSIDIARY ARE EXEMPT FROM FEDERAL INCOME TAXES UNDER THE PROVISIONS OF INTERNAL REVENUE CODE SECTION 501(C)(3) AND ARE CLASSIFIED BY THE INTERNAL REVENUE SERVICE AS OTHER THAN PRIVATE FOUNDATIONS, AND, ACCORDINGLY, NO PROVISION FOR INCOME TAXES IS INCLUDED IN THE CONSOLIDATED FINANCIAL STATEMENTS. AN UNCERTAIN TAX POSITION IS RECOGNIZED AS A BENEFIT ONLY IF IT IS MORE LIKELY THAN NOT THAT THE TAX POSITION WOULD BE SUSTAINED IN A TAX EXAMINATION, WITH A TAX EXAMINATION BEING PRESUMED TO OCCUR. THE AMOUNT RECOGNIZED IS THE LARGEST AMOUNT OF TAX BENEFIT THAT IS GREATER THAN 50% LIKELY OF BEING REALIZED ON EXAMINATION. FOR TAX POSITIONS NOT MEETING THE MORE LIKELY THAN NOT TEST, NO TAX BENEFIT IS RECORDED. THE ORGANIZATION HAS NO MATERIAL UNCERTAIN TAX POSITIONS THAT QUALIFY FOR EITHER RECOGNITION OR DISCLOSURE IN THE CONSOLIDATED FINANCIAL STATEMENTS. AS OF SEPTEMBER 30, 2013, THE ORGANIZATION HAS ACCRUED NO INTEREST AND NO PENALTIES RELATED TO UNCERTAIN TAX POSITIONS. IT IS THE ORGANIZATION'S POLICY TO RECOGNIZE INTEREST AND/OR PENALTIES RELATED TO INCOME TAX MATTERS IN INCOME TAX EXPENSE. THE ORGANIZATION FILES A U.S. FEDERAL INFORMATIONAL TAX RETURN ANNUALLY. THE ORGANIZATION IS CURRENTLY OPEN TO AUDIT UNDER THE STATUTE OF LIMITATIONS BY THE INTERNAL REVENUE SERVICE FOR THE YEARS ENDED SEPTEMBER 30, 2010 THROUGH 2013. PART XI, LINE 4B - OTHER ADJUSTMENTS: LOSS ON DISPOSAL OF EQUIPMENT -37,261. PART XII, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN POSTRETIREMENT BENEFIT OBLIGATION -200. UNREALIZED GAIN ON INTEREST RATE SWAP -336,441. LOSS ON DISPOSAL OF EQUIPMENT 37,261. 1 JUNIOR FACULTY AWARDS 30 50000 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: OAK RIDGE ASSOCIATED UNIVERSITIES, INC. IS A PRIVATE, NOT-FOR-PROFIT ASSOCIATION OF 109 COLLEGES AND UNIVERSITIES. IT IS A CONTRACTOR FOR THE U.S. DEPARTMENT OF ENERGY, CONDUCTING RESEARCH AND EDUCATIONAL PROGRAMS IN THE AREAS OF ENERGY, HEALTH, AND THE ENVIRONMENT FOR THE DEPARTMENT OF ENERGY, MEMBER INSTITUTIONS, OTHER COLLEGES AND UNIVERSITIES, AND OTHER PRIVATE AND GOVERNMENT ORGANIZATIONS. ORGANIZATIONS RECEIVING AWARDS FROM ORAU MUST DEMONSTRATE THAT THEIR EDUCATIONAL AND SCIENTIFIC PROGRAMS WILL CONTINUE TO ENHANCE THE SPECIFIC AND OVERALL OBJECTIVES AS OUTLINED BY THE ORAU BOARD OF DIRECTORS AND MEMBERS. X X X 0 0 0 0 0 0 0 0 0 J PHIL ANDREWS 184173 8000 27546 0 0 0 0 0 29302 0 241021 8000 0 0 HARRY ANDERSON PAGE 291382 0 120000 0 0 0 0 0 35004 0 446386 0 0 0 DEAN M EVASIUS 200868 0 7939 0 0 0 0 0 12271 0 221078 0 0 0 DONNA CRAGLE 175848 0 26239 0 0 0 0 0 23175 0 225262 0 0 0 DAN WAYNE STANDLEY 178717 0 20138 0 0 0 0 0 28756 0 227611 0 0 0 ERIC W ABELQUIST 172008 0 26600 0 0 0 0 0 25339 0 223947 0 0 0 CHESTER KEITH MAZE 176292 0 24260 0 0 0 0 0 23235 0 223787 0 0 0 A IDB OF THE CITY OF OAK RIDGETN 621786717 2010-06-01 27700000 REFINANCE REFUNDED BONDS AND PAY ISSUANCE COSTS 0 0 0 A 3500000 27700000 155000 27545000 1 0 1 1 A 0 0 0 0 0 0 0 A 0 0 0 0 1 1 WELLS FARGO 7.300000000000 0 0 0 NA 0 0 0 A 1 FORM 990, PART VI, SECTION B, LINE 11 A COPY OF FORM 990 IS PROVIDED TO THE ORGANIZATION'S VICE PRESIDENT AND CFO FOR REVIEW BEFORE IT IS FILED. FORM 990, PART VI, SECTION B, LINE 12C ORAU MONITORS THE CONFLICT OF INTEREST POLICY. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION FOR THE PRESIDENT IS DETERMINED BY THE BOARD'S EXECUTIVE COMMITTEE BASED ON AN ANNUAL SALARY SURVEY. COMPENSATION FOR OTHER SENIOR STAFF IS RECOMMENDED BY THE PRESIDENT AND APPROVED BY THE BOARD'S COMPENSATION COMMITTEE BASED ON SALARY SURVEYS AND DOE GUIDANCE. FORM 990, PART VI, SECTION C, LINE 19 POLICIES ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: UNREALIZED GAIN ON INTEREST RATE SWAP 336,441. CHANGE IN POSTRETIREMENT BENEFIT OBLIGATION 200. TRANSFER TO THE ORAU FOUNDATION -150,000. ROUNDING -1. FORM 990, PART XI, LINE 2C: THE ORGANIZATION HAS A COMMITTEE FOR OVERSIGHT OF THE AUDIT AND SELECTION OF AN INDEPENDENT ACCOUNTANT. THE PROCESS HAS NOT CHANGED FROM PRIOR YEAR. THE ORAU FOUNDATION PO BOX 117 OAK RIDGE TN 378310117 581512615 TO PROMOTE HIGHER SCIENTIFIC EDUCATION TN 501(C)(3) 509(A)(3) TYPE II 0 0 1 0 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0 THE ORAU FOUNDATION B 150000 FAIR MARKET VALUE