2023-08-10T16:44:04-05:00 2022-09-30 BDO USA PA 8401 GREENSBORO DRIVE 800 MCLEAN VA 22102 990 2021-10-01 111630900 Associated Universities Inc % MARK MACKEYAUI CFO/CONTROLL ASSO 2024621676 1400 16th Street NW Suite 730 Washington DC 200362252 MARK MACKEY CFO 2024621676 2023-08-09 true MARK MACKEY 999009999 Marc Berger P01871563 7038930600 2 2021 2023-04-26 12:10:37Z ADAM COHEN 1400 16TH STREET NW SUITE 730 WASHINGTON DC 20036 137730893 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 20 675 44 0 0 106777002 116039812 4312986 4977677 3207361 522830 429463 613326 114726812 122153645 3439391 2846770 0 0 80362993 82240591 0 0 0 32311018 40118120 116113402 125205481 -1386590 -3051836 65127903 50906569 54809641 46514720 10318262 4391849 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 105961696 2846770 4977677 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. 105961696 true true false true false false false false false false true false false false true true true false false true false 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 270 0 true 675 true false true CI false false 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 AL AZ CA CT FL HI IL KY MD MA MN NH NJ NM NY OR PA TN WV X MARK MACKEYAUI CFOCONTROLL 5713786878 1400 16TH STNWSTE730 Washington DC 20036 X ADAM COHEN PRESIDENT, COO, VP, TRUSTEE 40.0 0.0 X X 456681 0 61297 ANTHON Y BEASLEY DIRECTOR 40.0 0.0 X 375657 0 64059 LUTHER LAU CFO/TREASURER 40.0 0.0 X 316731 0 57628 SEAN DOUGHERTY ALMA DIRECTOR 40.0 0.0 X 287563 0 37773 PHILLIP JEWELL DEPUTY DIRECTOR 40.0 0.0 X 221348 0 45365 DAVID CATARIOUS DIRECTOR CYBERSECURITY 40.0 0.0 X 222382 0 33668 STUARTT CORDER ASSOC SCIENTIST/A-DPTY DIR JAO 40.0 0.0 X 224399 0 31176 JACK TADE CORPORATE CONTROLLER 40.0 0.0 X 203332 0 45469 MARK MCKINNON ASSISTANT DIRECTOR NM OPSI 40.0 0.0 X 204174 0 43791 KEVIN DORAN DIRECTOR EDU POL & SOCIAL SCI. 40.0 0.0 X 214065 0 31512 STEVEN GEIGER ASSOCIATE DIRECTOR ADMIN 40.0 0.0 X 198183 0 34442 SEAN MAYBEE DEPUTY DIRECTOR CYBERSECURITY 40.0 0.0 X 199122 0 29684 PATRICIA HENNING ASSISTANT DIRECTOR NM OPSI 40.0 0.0 X 192408 0 22878 WESLEY HILLIS SECRETARY/ASSISTANT TREASURER 40.0 0.0 X 123160 0 20068 RACHEL AKESON TRUSTEE 1.0 0.0 X 0 0 0 GILDA BARABINO TRUSTEE 2.0 0.0 X 0 0 0 DEAN W CURRIE TRUSTEE 3.0 0.0 X 0 0 0 PATRICIA MORALES ERRAZURIZ TRUSTEE 1.0 0.0 X 0 0 0 KATHRYN FLANAGAN TRUSTEE 3.0 0.0 X 0 0 0 ROSCOE C GILES TRUSTEE 3.0 0.0 X 0 0 0 GABRIELA GONZALEZ TRUSTEE 2.0 0.0 X 0 0 0 WILLIAM C HARRIS TRUSTEE 1.0 0.0 X 0 0 0 DAVID HELFAND TRUSTEE 1.0 0.0 X 0 0 0 ANTHONY J G HEY TRUSTEE 2.0 0.0 X 0 0 0 FRANK KLOTZ TRUSTEE 3.0 0.0 X 0 0 0 MARK KONTOS TRUSTEE 3.0 0.0 X 0 0 0 ROB NABORS TRUSTEE 1.0 0.0 X 0 0 0 KARIN OBERG TRUSTEE 2.0 0.0 X 0 0 0 DERRECK H PITTS TRUSTEE 2.0 0.0 X 0 0 0 KATHRYN SCHMOLL TRUSTEE 1.0 0.0 X 0 0 0 MEG URRY TRUSTEE 3.0 0.0 X 0 0 0 ERIC M WILCOTS TRUSTEE 4.0 0.0 X 0 0 0 CHRISTINE D WILSON TRUSTEE 3.0 0.0 X 0 0 0 MICHAEL WISE TRUSTEE 1.0 0.0 X 0 0 0 3439205 0 558810 175 false true false MTEX ANTENNA TACHNOLOGY BERTA-CRAMER-RING 32A WIESBADEN 0 GM 65205 CONTRACTORs 1287558 RAYTHEON TECHNOLOGIES INC 2000 EAST EL SEGUNDO BLVD EL SEGUNDO CA 90245 CONTRACTORs 860000 KEYSIGHT TECHNOLOGIES INC 1900 GARDEN OF THE GODS ROAD COLORADO SPRINGS CO 089073423 CONTRACTORs 461350 VENABLE LLP 750 E PRATT STREET SUITE 900 BALTIMORE MD 21202 LEGAL SERVICES 450832 MODJESKI MASTERS INC 4510 PENSYLVANIA AVENUE CHARLESTON WV 25302 INSPECTION SERVICE 351000 28 115564192 475620 116039812 CAFE, GUESTHOUSE, GIFTSHOP, TELESCOPES 900099 4977677 4977677 4977677 266333 266333 0 613326 613326 0 0 0 15833745 15577248 256497 256497 256497 0 0 0 0 0 0 0 0 0 0 122153645 4977677 1136156 0 2846770 2846770 0 0 3540732 2211185 1329547 0 61662585 49892045 11770540 4747157 3866820 880337 8658440 7244153 1414287 3631677 2656444 975233 0 955873 362413 593460 235865 235865 0 0 58563 58563 9666893 8530928 1135965 11602 100 11502 294636 246957 47679 3584445 3457657 126788 306559 306559 2430390 2028701 401689 2942766 2885394 57372 0 673545 619862 53683 0 0 387010 351635 35375 767796 89648 678148 EQUIP/BLDG/LEASEHOLD 12302323 12292069 10254 UTIL/FUEL CONSUM/COMMUN. 234773 228821 5952 MEMBERSHIP/PUBLICATIONS 5611104 5588785 22319 FREIGHT/POSTAGE 330259 320787 9472 -676282 -66037 -610245 125205481 105961696 19243785 0 0 0 5472573 1673604 0 0 39462219 32721148 0 0 0 0 0 0 774738 790730 1273440 1499142 3072897 1697870 1579183 1375027 16565750 12846918 0 0 0 0 0 0 0 0 65127903 50906569 21473699 19645741 0 0 3589107 4605229 0 0 0 0 0 0 5221917 3574171 0 0 24524918 18689579 54809641 46514720 X 10307797 4378420 10465 13429 10318262 4391849 65127903 50906569 X -3051836 -2783005 -91572 X X false true X true true true X 104407803 104073596 101074381 106777002 116039812 532372594 0 0 104407803 104073596 101074381 106777002 116039812 532372594 0 532372594 381928 659321 671228 691695 879659 3283831 0 0 535656425 23342409 0.99387 0.99516 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 450000 450000 124755481 125205481 1000000 250000 false 1000000 1000000 1000000 1000000 4000000 6000000 70051 128113 354000 450000 1002164 250000 250000 250000 250000 1000000 1500000 1501503 709272 792231 1062215 688577 373638 509179 300021 209158 1375027 0 POSTRETIREMENT BENEFITS 17708036 DEFERRED LEASE LIABILITIES 778543 TRUSTEES' SCHOLARSHIPS PAYABLE 203000 18689579 X 119220505 -2783005 -91572 -2874577 122095082 58563 58563 122153645 125146918 125146918 58563 58563 125205481 SCHEDULE D, PART X, LINE 2: AUI IS RECOGNIZED BY THE INTERNAL REVENUE SERVICE (THE IRS) AS A NOT-FOR PROFIT ORGANIZATION AND IS EXEMPT FROM FEDERAL INCOME TAXES UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE (THE IRC), EXCEPT ON NET INCOME DERIVED FROM UNRELATED BUSINESS ACTIVITIES. AUI HAD NO UNRELATED BUSINESS ACTIVITIES DURING THE YEARS ENDED SEPTEMBER 30, 2022 AND 2021. SCHEDULE D, PART XI, LINE 2D - OTHER ADJUSTMENTS: PENSION-RELATED CHANGES OTHER THAN NET PERIODIC PENSION COSTS ($91,572). true AUI NAC Scholarship 6 30000 AUI Trustee Scholarship 33 80220 Innovators Dev. Accessible Tools for Astronomy 22 23637 Jansky Fellows 11 984100 National and International Exchange Program (NINE) 3 8639 National Astronomy Consortium (NAC) 12 35150 STEM Attitude 28 14500 STEM Programs 85 158365 Student Observing Support 83 966712 Summer Student Reseach Assistant Program 117 526777 WV Science Public Outreach Team (SPOT) 35 18670 SCHEDULE I, PART I, LINE 2: AUI STAFF 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 AUI STAFF MEMBER AT ONE OF THE THREE AUI NORTH AMERICAN RESEARCH CENTERS. SUPERVISORS CHOOSE THE CANDIDATES FROM APPLICATIONS RECEIVED AND MONITOR THE RESEARCH CONDUCTED OVER THE 10-12 WEEKS 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 TO DEPENDENTS OF AUI EMPLOYEE WHO ARE FULL-TIME OR ELIGIBLE PART-TIME EMPLOYED NO LATER THAN OCTOBER 1 OF THE APPLICATION YEAR, RETIRED AUI EMPLOYEES OR DECEASED AUI EMPLOYEES WHO PASSED WHILE IN REGULAR SERVICE TO THE ORGANIZATION. AUI TRUSTEE SCHOLARSHIPS ARE AWARDED TO THE HIGH SCHOOL SENIORS WITH A MINIMUM 2.5 GPA. X true true X X X X false false false false false false false false false ADAM COHEN PRESIDENT, COO, VP, TRUSTEE 426955 0 12938 0 16788 0 29000 0 32297 0 517978 0 0 0 ANTHON Y BEASLEY DIRECTOR 360538 0 5100 0 10019 0 29000 0 35059 0 439716 0 0 0 LUTHER LAU CFO/TREASURER 303944 0 8100 0 4687 0 29000 0 28628 0 374359 0 0 0 SEAN DOUGHERTY ALMA DIRECTOR 208950 0 100 0 78513 0 21646 0 16127 0 325336 0 0 0 STUARTT CORDER ASSOC SCIENTIST/A-DPTY DIR JAO 157299 0 100 0 67000 0 16481 0 14695 0 255575 0 0 0 DAVID CATARIOUS DIRECTOR CYBERSECURITY 210020 0 3600 0 8762 0 21943 0 11725 0 256050 0 0 0 PHILLIP JEWELL DEPUTY DIRECTOR 219554 0 100 0 1694 0 22945 0 22420 0 266713 0 0 0 KEVIN DORAN DIRECTOR EDU POL & SOCIAL SCI. 210677 0 3100 0 288 0 21068 0 10444 0 245577 0 0 0 MARK MCKINNON ASSISTANT DIRECTOR NM OPSI 199669 0 3100 0 1405 0 20946 0 22845 0 247965 0 0 0 JACK TADE CORPORATE CONTROLLER 198899 0 3600 0 833 0 21186 0 24283 0 248801 0 0 0 SEAN MAYBEE DEPUTY DIRECTOR CYBERSECURITY 195615 0 3100 0 407 0 19657 0 10027 0 228806 0 0 0 STEVEN GEIGER ASSOCIATE DIRECTOR ADMIN 196762 0 100 0 1321 0 20320 0 14122 0 232625 0 0 0 PATRICIA HENNING ASSISTANT DIRECTOR NM OPSI 187412 0 100 0 4896 0 14596 0 8282 0 215286 0 0 0 SCHEDULE J, PART I, LINE 1A: TAX INDEMNIFICATION AND GROSS-UP PAYMENTS - AUI PROVIDES SPECIAL TAXABLE PAYMENTS TO EMPLOYEES WHO DO NOT RECEIVE A 10% EMPLOYER RETIREMENT PLAN CONTRIBUTIONS, BECAUSE THEIR PLAN COMPENSATION EXCEEDS THE OBRA LIMIT AS SPECIFIED IN THE INTERNAL REVENUE CODE (IRC) 401 (A) 17. THE AMOUNT OF THE SPECIAL PAYMENT IS EQUIVALENT TO 10% OF THEIR BASE SALARY IN EXCESS OF THE OBRA LIMIT PLUS AN ALLOWANCE FOR INCOME TAXES. DURING 2021 THE PERSONS RECEIVING THESE SPECIAL PAYMENTS WERE TONY BEASLEY, ADAM COHEN AND LUTHER LAU. SCHEDULE J, 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 ($91,572). FORM 990, PART XII, 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 12A SEE PART VII true AUI LABS 1400 16TH STREET NW WASHINGTON DC 20036 371904234 SEE PART VII DC 501(C)(3) LINE 7 SEE PART VII true false false false false false false false false false false false false false false true true 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. SCHEDULE R, PART II, LINE (2): COLUMN (A) - FULL NAME: ASSOCIATED UNIVERSITIES, INC. LABS COLUMN (B) - PRIMARY ACTIVITY: CYBERSECURITY - MANAGE RESEARCH, ANALYSIS AND ENGINEERING CENTERS AND PROMOTE ASSURANCE OF INFORMATION, COMPUTING AND COMMUNICATIONS SYSTEMS TO FURTHER OTHER EDUCATIONAL, SCIENTIFIC AND CHARITABLE PURPOSES. COLUMN (F) - DIRECT CONTROLLING ENTITY: ASSOCIATED UNIVERSITIES, INC.