2011-02-15T16:23:26-06:00 2010-09-30 Lattimore Black Morgan & Cain PC 10024 Investment Drive Ste 200 Knoxville TN 37932 990 2009-10-01 620476816 Oak Ridge Associated Universities Inc OAKR 8652411286 PO Box 117 Oak Ridge TN 378310117 J Phil Andrews 8652411286 2011-02-14 1 Leigh Anne Joseph CPA 8656919000 2009 2016-02-24 21:20:13Z Luke Keith PO Box 117 Knoxville TN 378310117 78597578 0 X www.ORAU.org X 1946 TN Oak Ridge Associated Universities, Inc. (ORAU) is a private, not-for-profit corporation and consortium of 98 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 22 1509 0 0 0 115500 108150 75945467 78487149 515614 2279 0 76576581 78597578 50000 100000 0 15990137 16694816 0 0 58404713 60702567 74444850 77497383 2131731 1100195 44351591 43770373 33761433 34205843 10590158 9564530 ORAU focuses on the advancement of scientific research and education while providing innovative solutions to strengthen and secure America. 0 0 43360184 44129034 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. 24183816 100000 24654260 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. 299313 314056 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. 556548 583957 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. 3075853 2916844 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. 22112 22112 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. 1516293 670284 Other sponsored programs: various other training and education programs operated and managed by ORAU. 5170806 4193197 73014119 1 0 0 1 0 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 3153 0 1 1509 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 22 22 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 1 1 1 1 0 X Luke Keith 8652411286 100 ORAU Way Oak Ridge TN 37830 C Michael Cassidy 2.90 X 0 0 0 General Alice Astafan 2.90 X 0 0 0 Dr Sandra J Degen 2.90 X 0 0 0 Dr Karen A Holbrook 2.90 X 0 0 0 Dr Gerald D Holder 2.90 X 0 0 0 Dr Nancy C Martin 2.90 X 0 0 0 Dr Robert T McGrath 2.90 X 0 0 0 Dr Winfred M Phillips 2.90 X 0 0 0 Adm J Paul Reason 2.90 X 0 0 0 Dr David D Reed 2.90 X 0 0 0 Dr Richard D Rosen 2.90 X 0 0 0 Dr R Larry Dooley 2.90 X 0 0 0 Dr Terry L Herdman 2.90 X 0 0 0 Dr Orlando L Taylor 2.90 X 0 0 0 Dr Terri L Lomax 2.90 X 0 0 0 Dr Christine M Maziar 2.90 X 0 0 0 James H Turner Jr 2.90 X 0 0 0 Dr Kelvin K Droegemeier 2.90 X 0 0 0 Dr John M Horack 2.90 X 0 0 0 J Phil Andrews 40.00 X 204892 0 29249 Monnie E Champion 40.00 X 117060 0 17883 Harry Anderson Page 40.00 X 358529 0 35714 Wayne L Stevenson 40.00 X 191493 0 28118 Donna Cragle 40.00 X 195322 0 23373 Dan Wayne Standley 40.00 X 190256 0 28895 Eric W Abelquist 40.00 X 181159 0 24689 Perry Lester 40.00 X 183497 0 27121 1622208 0 215042 141 0 1 0 Dade Moeller & Associates Inc 147 River Island Rd New Bern NC 28562 Professional services 12097144 MJW Corporation Inc 1900 Sweet Home Road Amherst NY 14228 Professional services 9440208 MH Chew & Associates Inc 7275 National Dr Livermore CA 94550 Professional services 1931313 Shoffner Mechanical Industrial & Service PO Box 10048 Knoxville TN 37939 Professional services 1479783 Foxfire Scientific Inc 4621 S Cooper Street 131-332 Arlington TX 76017 Professional services 1116981 15 108150 108150 Training programs 541900 583957 583957 Unirib 541700 22112 22112 77881080 77881080 78487149 2279 2279 78597578 78487149 0 2279 100000 100000 1837247 1730824 106423 11959053 11266322 692731 694000 653800 40200 1161317 1094047 67270 1043199 982771 60428 103192 97215 5977 753672 710015 43657 899665 847552 52113 2675410 2520436 154974 290733 273892 16841 45848 43192 2656 1783834 1680505 103329 Professional services 34072522 32098862 1973660 Participant costs 16445332 15492732 952600 Supplies 1585395 1493561 91834 Other expense 1311482 1235513 75969 Site Services 701619 660978 40641 33863 31902 1961 77497383 73014119 4483264 0 583600 29677 1021813 779459 7313804 8466134 800000 800000 208038 121895 42943317 9524677 34084055 33418640 340281 154568 44351591 43770373 4943388 5239773 616 616 27545000 27220000 1272429 1745454 33761433 34205843 X 10590158 9564530 10590158 9564530 44351591 43770373 X 0 1 1 X 1 1 X 1022054 1039595 104500 115500 108150 2389799 90417480 77753678 67399836 75945467 78487149 390003610 91439534 78793273 67504336 76060967 78595299 392393409 0 0 0 392393409 85163 89474 61664 515614 2279 754194 85163 89474 61664 515614 2279 754194 3646 3646 91524697 78886393 67566000 76576581 78597578 393151249 0.99810 0.99790 0.00190 0.00210 X 92823 92823 77404560 77497383 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 94988 43362 53292 92823 284465 250000 250000 250000 250000 1000000 1500000 173311 173311 36274811 8165755 28109056 5889574 1358922 4530652 605621 605621 33418640 Postretirement benefits future 532000 Interest rate swap 1213454 1745454 78597578 77497383 1100195 -2125823 -2125823 -1025628 78597578 0 78597578 0 78597578 77973208 475825 475825 77497383 0 77497383 Part X: Description of Uncertain Tax Positions Under FIN 48: 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. The Organization changed its accounting for uncertainty in income taxes as of October 1, 2009 as a result of adopting new principles required by GAAP. Using the new accounting method, 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, 2010, 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, 2007 through 2010. Part XI, Line 8 - Other Adjustments: Unrealized loss on interest rate swap: -304323. Change in postretirement benefit obligation: -171500. Transfer to The ORAU Foundation: -1650000. Part XIII, Line 2d - Other Adjustments: Change in postretirement benefit obligation: 171500. Unrealized loss on interest rate swap: 304325. 1 Junior Faculty Awards 32 100000 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 98 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 178925 0 25967 0 0 0 0 0 29249 0 234141 0 212857 0 Harry Anderson Page 297557 0 60972 0 0 0 0 0 35714 0 394243 0 305868 0 Wayne L Stevenson 167057 0 24436 0 0 0 0 0 28118 0 219611 0 213970 0 Donna Cragle 170632 0 24690 0 0 0 0 0 23373 0 218695 0 201086 0 Dan Wayne Standley 173413 0 16843 0 0 0 0 0 28895 0 219151 0 208380 0 Eric W Abelquist 159254 0 21905 0 0 0 0 0 24689 0 205848 0 0 0 Perry Lester 160827 0 22670 0 0 0 0 0 27121 0 210618 0 0 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. 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 581513615 To promote higher scientific education TN 501(c)(3) 509(a)(3) Type II Oak Ridge Associated Universities Inc 0 1 0 0 0 0 0 0 0 0 1 0 1 1 0 0 0 0 The ORAU Foundation B 1650000