2021-07-30T13:47:24-05:00 2020-09-30 BDO USA LLP 8401 GREENSBORO DRIVE 800 MCLEAN VA 22102 990 2019-10-01 111630900 Associated Universities Inc % JACK TADE AUI CONTROLLER ASSO 2024621676 1400 16th Street NW Suite 730 Washington DC 200362252 LUTHER LAU CFO 2024621676 2021-07-29 true Marc Berger P01871563 7038930600 2019 2022-09-23 18:48:47Z ADAM COHEN 1400 16th Street NW Suite 730 Washington DC 20036 123519423 false X www.aui.edu X 1946 NY COLLABORATES WITH SCIENTIFIC COMMUNITY & RESEARCH SPONSORS TO PLAN, BUILD & OPERATE CUTTING-EDGE FACILITIES. 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THE ORGANIZATION ALSO PROVIDES FORMAL AND INFORMAL PROGRAMS IN EDUCATION AND PUBLIC OUTREACH FOR TEACHERS, STUDENTS, THE GENERAL PUBLIC AND THE MEDIA. 92389707 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 198 0 true 657 true false true CI false false false false false false false false false false X 22 21 false false false false false false false true true false false true true true true true true true true false AZ CA NH NM NY WV X JACK TADE AUI CONTROLLER 2024621676 1400 16TH STREET NW STE 730 Washington DC 200362252 X ADAM COHEN PRESIDENT, COO, VP, TRUSTEE 40.0 0.0 X X 425952 0 76315 Anthony Beasley Director 40.0 0.0 X 347023 0 49558 Luther Lau CFO/Treasurer 40.0 0.0 X 296640 0 48228 Sean Dougherty ALMA Director 40.0 0.0 X 293804 0 29312 Phillip Jewell Deputy Director 40.0 0.0 X 207350 0 42049 Peter McEvoy Vice President Administration 40.0 0.0 X 201659 0 40776 Stuartt Corder Assoc Scientist/A-Dpty Dir JAO 40.0 0.0 X 209279 0 26654 Jack Tade Corporate Controller 40.0 0.0 X 193276 0 39222 DAVID CATARIOUS DIRECTOR CYBERSECURITY 40.0 0.0 X 207142 0 23086 Mark McKinnon Assistant Director NM OPSI 40.0 0.0 X 188493 0 39336 Steven Geiger Associate Director Admin 40.0 0.0 X 181801 0 41444 Bert Hawkins Assistant Director 40.0 0.0 X 182457 0 26429 SEAN MAYBEE DEPUTY DIRECTOR CYBERSECURITY 40.0 0.0 X 186134 0 14420 Wesley H Hillis Secretary/Assistant Treasurer 40.0 0.0 X 112337 0 19525 GILDA BARABINO TRUSTEE 1.0 0.0 X 0 0 0 CLAUDIA BOBADILLA Trustee 1.0 0.0 X 0 0 0 DEAN W CURRIE Trustee 3.0 0.0 X 0 0 0 KATHRYN FLANAGAN Trustee 2.0 0.0 X 0 0 0 ROSCOE C GILES Trustee 2.0 0.0 X 0 0 0 GABRIELA GONZALEZ Trustee 1.0 0.0 X 0 0 0 ANTHONY JG HEY Trustee 1.0 0.0 X 0 0 0 FRANK KLOTZ Trustee 1.0 0.0 X 0 0 0 MARK KONTOS Trustee 2.0 0.0 X 0 0 0 George K Miley Trustee 1.0 0.0 X 0 0 0 KARIN OBERG Trustee 1.0 0.0 X 0 0 0 Derrick H Pitts Trustee 1.0 0.0 X 0 0 0 GLEN SHOR Trustee 1.0 0.0 X 0 0 0 SUZANNE T STAGGS Trustee 1.0 0.0 X 0 0 0 David S Tatel Trustee 1.0 0.0 X 0 0 0 Meg Urry Trustee 1.0 0.0 X 0 0 0 Laurent Vigroux Trustee 1.0 0.0 X 0 0 0 Eric M Wilcots Trustee 3.0 0.0 X 0 0 0 Robert E Williams Trustee 1.0 0.0 X 0 0 0 Christine D Wilson Trustee 1.0 0.0 X 0 0 0 Michael Witherell Trustee 1.0 0.0 X 0 0 0 3233347 0 516354 130 false true false TOPTENT INGENIERIA Y CONSTRUCCION S CUARTO CENTENARIO NO 548 LAS COND SANTIAGO 0 CI 7550000 CONTRACTORS 1136286 KEYSIGHT TECHNOLOGIES INC 1400 FOUNTAINGROVE PARKWAY SANTA ROSA CA 950431738 CALIBRATION 809244 PHOENIX TECH INTERNATIONAL INC 825 E TALLMADGE AVENUE AKRON OH 44310 CONTRACTORS/PAINTING 457550 VENABLE LLP 750 EPRATT STREET SUITE 900 BALTIMORE MD 21202 LEGAL SERVICES 303537 STRATEGIC IP LICENSING INC 2503 ROBINHOOD STREET SUITE 200 HOUSTON TX 77005 SERVICES/E-LEARNING 292140 20 100354419 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109895197 46218 46218 109941415 PART X, LINE 2: UNDER ASC 740-10, ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES, AUI MUST RECOGNIZE THE TAX BENEFIT ASSOCIATED WITH TAX POSITIONS TAKEN FOR TAX RETURN PURPOSES WHEN IT IS MORE-LIKELY-THAN-NOT THAT THE POSITION WILL BE SUSTAINED ON EXAMINATION. AUI DOES NOT BELIEVE THERE ARE ANY UNRECOGNIZED TAX BENEFITS THAT SHOULD BE RECORDED. AUI RECOGNIZES INTEREST AND PENALTIES AS INCURRED, IF ANY, WITHIN INCOME TAX EXPENSE IN THE STATEMENT OF ACTIVITIES AND UNRESTRICTED NET ASSETS. HOWEVER, TAX YEARS ENDED SEPTEMBER 20, 2017-2019 REMAIN OPEN TO EXAMINATION BY THE TAXING JURISDICTIONS TO WHICH AUI IS SUBJECT, AND THEY HAVE NOT BEEN EXTENDED BEYOND THE APPLICABLE STATUTE OF LIMITATIONS. PART XI, LINE 2D - OTHER ADJUSTMENTS: PENSION-RELATED CHANGES OTHER THAN NET PERIODIC PENSION COSTS $ 61,753. true Summer Student Research Assistance Program 114 622689 AUI Trustee Scholarship 22 133653 STUDENT OBSERVING SUPPORT 76 955415 JANSKY FELLOWSHIPS 10 844676 STEM PROGRAM 48 166096 NATIONAL ASTRONOMY CONSORTIUM (NAC) 30 45291 NATIONAL/INTERNATIONAL EXCHANGE (NINE) 8 19896 NETWORK EARTH-SPACE RESEARCH (NEREID) 10 10321 BIG ASTRONOMY CHILE THROUGH DOME 5 7595 INNOVATORS DEVELOPING ACCESSIBLE (IDATA) 2 5752 ASTRONOMY IN CHILE EDUCATOR AMBASSADOR 11 5738 WV SCIENCE PUBLIC OUTREACH TEAM (SPOT) 5 1209 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 EMPLOYEES 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 X true true X X X X false true false false false false false false false ADAM COHEN PRESIDENT, COO, VP, TRUSTEE 401729 0 10000 0 14223 0 28000 0 48315 0 502267 0 0 0 Peter McEvoy Vice President Administration 200885 0 0 0 774 0 21217 0 19559 0 242435 0 0 0 Luther Lau CFO/Treasurer 283824 0 10000 0 2816 0 28000 0 20228 0 344868 0 0 0 Anthony Beasley Director 339354 0 0 0 7669 0 28000 0 21558 0 396581 0 0 0 Mark McKinnon Assistant Director NM OPSI 186865 0 458 0 1170 0 19755 0 19581 0 227829 0 0 0 Phillip Jewell Deputy Director 206012 0 0 0 1338 0 21641 0 20408 0 249399 0 0 0 Steven Geiger Associate Director Admin 179801 0 0 0 2000 0 19165 0 22279 0 223245 0 0 0 Sean Dougherty ALMA Director 196671 0 0 0 97133 0 17000 0 12312 0 323116 0 0 0 Stuartt Corder Assoc Scientist/A-Dpty Dir JAO 147066 0 131 0 62082 0 15406 0 11248 0 235933 0 0 0 DAVID CATARIOUS DIRECTOR CYBERSECURITY 204312 0 2500 0 330 0 13738 0 9348 0 230228 0 0 0 Jack Tade Corporate Controller 187505 0 5000 0 771 0 19958 0 19264 0 232498 0 0 0 SEAN MAYBEE DEPUTY DIRECTOR CYBERSECURITY 184609 0 1000 0 525 0 7737 0 6683 0 200554 0 0 0 Bert Hawkins Assistant Director 181773 0 0 0 684 0 18177 0 8252 0 208886 0 0 0 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 IRC 401 (A) 17. THE AMOUNT OF THE SPECIAL PAYMENT IS EQUIVALENT TO 10% OF THIER BASE SALARY IN EXCESS OF THE OBRA LIMIT PLUS AN ALLOWANCE FOR INCOME TAXES. DURING 2019 THE PERSONS RECEIVING THESE SPECIAL PAYMENTS WERE TONY BEASELY, ADAM COHEN AND LUTHER LAU. 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). PART 1, LINE 4B: AUI ESTABLISHED A 457 (B) SUPPLEMENTAL RETIREENT PLAN FOR A SELECT GROUP OF KEY EMPLOYEES. DURING CALENDAR YEAR END DECEMBER 31, 2019, ONE EMPLOYEE PARTICIPATED - ADAM COHEN $19,000. 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 $ 61,753. 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.