2013-06-03T07:57:14-05:00 2012-09-30 621199757 LATTIMORE BLACK MORGAN & CAIN PC 10024 INVESTMENT DRIVE STE 200 KNOXVILLE TN 37932 990 2011-10-01 620476816 OAK RIDGE ASSOCIATED UNIVERSITIES INC OAKR 8652411286 PO BOX 117 OAK RIDGE TN 378310117 IVAN A BOATNER 8652411286 2013-05-23 1 LEIGH ANNE JOSEPH CPA P00497850 8656919000 2011 2016-03-07 17:11:31Z WAYNE HAMILTON PO BOX 117 KNOXVILLE TN 378310117 76774716 0 X WWW.ORAU.ORG X 1946 TN OAK RIDGE ASSOCIATED UNIVERSITIES, INC. (ORAU) IS A PRIVATE, NOT-FOR-PROFIT CORPORATION AND CONSORTIUM OF 130 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. 22 19 1514 0 0 0 107500 145000 69654098 76628456 2281 -1323079 0 0 69763879 75450377 100000 50000 0 0 14850969 17115605 0 0 0 52817562 57694474 67768531 74860079 1995348 590298 43236398 41740036 32752551 30930879 10483847 10809157 X ORAU FOCUSES ON THE ADVANCEMENT OF SCIENTIFIC RESEARCH AND EDUCATION WHILE PROVIDING INNOVATIVE SOLUTIONS TO STRENGTHEN AND SECURE AMERICA. 0 0 41129505 41956393 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. 24503087 50000 24938125 SCIENCE AND EDUCATION PROGRAMS: SCIENCE AND EDUCATION PROGRAMS ARE THOSE THAT PRIMARILY SUPPORT FELLOWSHIP, INTERNSHIP, MENTOR OR OTHER MEANS TO PLACE UNDERGRADUATES AND POST GRADUATES INTO RESEARCH POSITIONS AT NATIONAL LABORATORIES AND OTHER PLACES THROUGHOUT THE WORLD, TO CONDUCT OR PARTICIPATE IN THE CONDUCT OR RESEARCH WITH THEIR OWN EDUCATION BEING ONE OF THE BENEFICIARIES. 502611 586260 NATIONAL SECURITY AND EMERGENCY MANAGEMENT: OUR NATIONAL SECURITY ACTIVITIES IS ENGAGED IN MEETING THE OPERATIONAL, TRAINING, AND READINESS REQUIREMENTS OF THE PROTECTIVE SECURITY DIVISION OF THE DEPARTMENT OF HOMELAND SECURITY BY IDENTIFYING VULNERABILITIES, DEVELOPING PLANS TO IMPROVE PHYSICAL AND OPERATIONAL SECURITY, AND APPLYING PROTECTIVE MEASURES TO PREVENT TERRORIST ATTACKS ON U.S. CRITICAL ASSETS. THESE PROGRAMS ARE ALSO TASKED WITH THE DEVELOPMENT OF TRAINING EXERCISES AND THE DELIVERY OF SUCH. 1628493 1796237 ENVIRONMENTAL ASSESSMENT & VERIFICATION (TRAINING PROGRAMS): THESE PROGRAMS UTILIZE THE EXPERTISE OF ORAU IN THE DEVELOPMENT AND DELIVERY OF PROGRAMS TO TEACH GOVERNMENT EMPLOYEES, OTHER GOVERNMENT CONTRACTORS' EMPLOYEES AND TO A SMALLER EXTENT THE PRIVATE SECTOR, 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. 2034257 2211512 SCIENTIFIC & TECHNICAL RESOURCE INTEGRATION (PEER REVIEW): THESE PROGRAMS USE PANELS OF REVIEWERS TO AUDIT OTHER PROGRAMS TO ENSURE THAT THE AWARDEES HAVE PROPERLY FOLLOWED THE TERMS AND CONDITIONS OF THEIR AWARD. THE MAJOR EMPHASIS IN THIS PROGRAM IS MORE OF A REVIEW OF THE SCOPE AND RESULTS OF THE WORK RATHER THAN BEING FINANCIAL IN NATURE. 614139 807810 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. 23837 32850 OTHER SPONSORED PROGRAMS: VARIOUS OTHER TRAINING AND EDUCATION PROGRAMS OPERATED AND MANAGED BY ORAU. 4300726 4848409 70435929 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 0 1 2269 0 1 1514 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 X 22 19 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 DALE E KLEIN 5.00 X 0 0 0 DR JOHN M MASON 5.00 X 0 0 0 DR CHRISTINE M MAZIAR 5.00 X 0 0 0 DR BERNDT O MUELLER 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 FELIX A OKOJIE 5.00 X 0 0 0 DR DIANE GROB SCHMIDT 5.00 X 0 0 0 MR THEODORE D SHERRY 5.00 X 0 0 0 DR PAUL E SOKOL 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 J PHIL ANDREWS 40.00 X 210750 8000 29866 MONNIE E CHAMPION 40.00 X 123649 0 18786 HARRY ANDERSON PAGE 40.00 X 322368 0 35255 DAVID LEE HACKEMEYER 40.00 X 193293 0 28257 DONNA CRAGLE 40.00 X 200925 0 23726 DAN WAYNE STANDLEY 40.00 X 199181 0 29294 ERIC W ABELQUIST 40.00 X 190012 0 24975 CHESTER KEITH MAZE 40.00 X 236797 0 19879 1676975 8000 210038 165 0 1 0 BLUE CROSS-BLUE SHIELD OF TENNESSEE PO BOX 182277 CHATTANOOGA TN 374227277 HEALTH INSURANCE 14293695 MJW TECHNICAL SERVICES INC 243 ROOT STREET SUITE 100 OLEAN NY 14760 PROFESSIONAL SERVICES 13384363 DADE MOELLER & ASSOCIATES INC 1835 TERMINAL DRIVE SUITE 200 RICHLAND WV 99354 PROFESSIONAL SERVICES 10970554 TEACHERS INSURANCE AND ANNUITY ASSOCIATI 211 NORTH BROADWAY SUITE 100 ST LOUIS MO 63102 RETIREMENT 10886313 SUNTRUST BANK INC 9950 KINGSTON PIKE KNOXVILLE TN 37922 PURCHASE CARD PROGRAM 1560536 153 145000 145000 TRAINING PROGRAMS 541900 1796237 1796237 UNIRIB 541700 807810 807810 74024409 74024409 76628456 1260 1260 1324339 -1324339 -1324339 -1324339 75450377 75304117 0 1260 50000 50000 1887011 1775416 111595 12056855 11343831 713024 516000 485485 30515 1597690 1503205 94485 1058049 995478 62571 176387 165956 10431 1060287 997583 62704 623511 586638 36873 2846032 2677722 168310 305486 287420 18066 808976 761135 47841 1992741 1874893 117848 PROFESSIONAL SERVICES 31411382 29553762 1857620 PARTICIPANT COSTS 16829746 15834461 995285 SUPPLIES 857955 807217 50738 SITE SERVICES 688118 647424 40694 93853 88303 5550 74860079 70435929 4424150 0 3576378 826225 779567 780346 4903902 7907220 800000 800000 190762 469469 42881420 12068172 32831221 30813248 154568 143528 43236398 41740036 5706752 4929592 616 616 25220000 24200000 1825183 1800671 32752551 30930879 X 10483847 10809157 10483847 10809157 43236398 41740036 X 590298 -264988 X X 0 1 1 X 1 1 X 104500 115500 108150 107500 145000 580650 67399836 75945467 78487149 69654098 76628456 368115006 67504336 76060967 78595299 69761598 76773456 368695656 0 0 0 368695656 61664 515614 2279 2281 1260 583098 61664 515614 2279 2281 1260 583098 67566000 76576581 78597578 69763879 76774716 369278754 0.99840 0.99820 0.00160 0.00180 X 205313 205313 74654766 74860079 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 53292 92823 162549 205313 513977 250000 250000 250000 250000 1000000 1500000 173311 173311 37184049 10586712 26597337 5414581 1481460 3933121 109479 109479 30813248 POSTRETIREMENT BENEFITS FUTURE 504100 INTEREST RATE SWAP 1296571 1800671 75450377 74860079 590298 -264988 -264988 325310 76774716 0 76774716 -1324339 -1324339 75450377 76149406 1289327 1289327 74860079 0 74860079 DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: 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, 2012, 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, 2009 THROUGH 2012. PART XI, LINE 8 - OTHER ADJUSTMENTS: UNREALIZED LOSS ON INTEREST RATE SWAP -45,488. CHANGE IN POSTRETIREMENT BENEFIT OBLIGATION 80,500. TRANSFER TO THE ORAU FOUNDATION -300,000. TOTAL TO SCHEDULE D, PART XI, LINE 8: -264,988. PART XII, LINE 4B - OTHER ADJUSTMENTS: LOSS ON DISPOSAL OF EQUIPMENT -1,324,339. PART XIII, LINE 2D - OTHER ADJUSTMENTS: CHANGE IN POSTRETIREMENT BENEFIT OBLIGATION -80,500. UNREALIZED LOSS ON INTEREST RATE SWAP 45,488. LOSS ON DISPOSAL OF EQUIPMENT 1,324,339. 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 130 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 183306 8000 27444 0 0 0 0 0 29866 0 240616 8000 0 0 HARRY ANDERSON PAGE 262368 0 60000 0 0 0 0 0 35255 0 357623 0 0 0 DAVID LEE HACKEMEYER 168140 0 25153 0 0 0 0 0 28257 0 221550 0 0 0 DONNA CRAGLE 174776 0 26149 0 0 0 0 0 23726 0 224651 0 0 0 DAN WAYNE STANDLEY 177878 0 21303 0 0 0 0 0 29294 0 228475 0 0 0 ERIC W ABELQUIST 165273 0 24739 0 0 0 0 0 24975 0 214987 0 0 0 CHESTER KEITH MAZE 210530 0 26267 0 0 0 0 0 19879 0 256676 0 0 0 IDB OF THE CITY OF OAK RIDGETN 621786717 2010-06-01 27700000 REFINANCE REFUNDED BONDS AND PAY ISSUANCE COSTS 0 0 0 3500000 27700000 155000 27545000 1 0 1 1 0 0 0 0 1 0 1 1 WELLS FARGO 7.300000000000 0 0 0 NA 1 0 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 5: UNREALIZED LOSS ON INTEREST RATE SWAP -45,488. CHANGE IN POSTRETIREMENT BENEFIT OBLIGATION 80,500. TRANSFER TO THE ORAU FOUNDATION -300,000. TOTAL TO FORM 990, PART XI, LINE 5: -264,988. 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 1 0 1 1 0 0 0 0 THE ORAU FOUNDATION B 300000 FAIR MARKET VALUE