2020-10-30T08:08:37-05:00 2019-12-31 221478099 COHNREZNICK LLP 1301 AVENUE OF THE AMERICAS NEW YORK NY 10019 990 2019-01-01 130429745 AMERICAN ARBITRATION ASSOCIATION INC AMER 2127165800 120 BROADWAY NO FL 21 NEW YORK NY 10271 FRANCESCO ROSSI SVP, CFO & TREASURER 2127165810 2020-10-28 0 LORI ROTHE YOKOBOSKY CPA P01273422 2122970400 2020-08-19 209.59.243.22 2020-10-28 08:02:50 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 6C9B1A35775087DBDB8A6D25ECA509C7F6C27838 2019 2021-01-29 14:40:06Z INDIA JOHNSON 120 BROADWAY NO FL 21 NEW YORK NY 10271 134212092 0 X WWW.ADR.ORG X 1926 NY THE AMERICAN ARBITRATION ASSOCIATION ("AAA") IS DEDICATED TO EFFECTIVE, EFFICIENT AND ECONOMICAL METHODS OF DISPUTE RESOLUTION THROUGH EDUCATION, TECHNOLOGY AND SOLUTIONS-ORIENTED SERVICE. AS A NOT-FOR-PROFIT ORGANIZATION, OUR MISSION IS ONE OF SERVICE AND EDUCATION.WE ARE COMMITTED TO PROVIDING EXCEPTIONAL ARBITRATORS AND MEDIATORS, PROFICIENT CASE MANAGEMENT, DEDICATED PERSONNEL, ADVANCED EDUCATION AND TRAINING, AND INNOVATIVE PROCESS KNOWLEDGE TO MEET THE CONFLICT MANAGEMENT AND DISPUTE RESOLUTION NEEDS OF THE PUBLIC NOW AND IN THE FUTURE.THE CORPORATE PURPOSE OF THE AAA, AS DESCRIBED IN ITS BYLAWS, IS "FOR THE BENEFIT AND EDUCATION OF THE GENERAL PUBLIC AND INTERESTED PARTIES, TO STUDY, RESEARCH, PROMOTE, ESTABLISH AND ADMINISTER PROCEDURES FOR THE RESOLUTION OF DISPUTES OF ALL KINDS THROUGH THE USE OF ARBITRATION, MEDIATION, CONCILIATION, NEGOTIATION, DEMOCRATIC ELECTIONS AND OTHER VOLUNTARY PROCEDURES." 18 17 681 83 0 0 0 0 102213938 112350274 5153621 4974735 736630 534576 108104189 117859585 950516 1311605 0 0 59122957 66615452 0 0 0 37258540 40553824 97332013 108480881 10772176 9378704 208558266 245517590 123132430 170432786 85425836 75084804 X SEE SCHEDULE O. 0 0 99654770 21918 111080054 CASE ADMINISTRATION:THE AAA ADMINISTERS TENS OF THOUSANDS OF ARBITRATIONS, MEDIATIONS AND OTHER FORMS OF DISPUTE RESOLUTION IN A GIVEN YEAR. THE AAA'S ADMINISTRATIVE ROLE IN THESE PROCESSES IS TO PROVIDE A FORUM WHERE DISPUTES CAN BE RESOLVED, TO PROVIDE ROSTERS OF QUALIFIED ARBITRATORS, MEDIATORS AND OTHER DISPUTE RESOLUTION PROFESSIONALS, AND TO APPLY OUR RULES THAT GOVERN THE CONDUCT OF THOSE PROCEEDINGS. OUR ADMINISTRATIVE SERVICES ARE ALSO PROVIDED WITH A VIEW TO OUR CORE VALUES OF INTEGRITY AND SERVICE. THE RESULT OF THE AAA'S COLLECTIVE PROGRAMS HAS RESULTED IN A LESSENING OF THE BURDENS OF OUR COURTS AND GOVERNMENT.AT YEAR END 2019 THE AAA, HAD 27 DOMESTIC OFFICES AND 4 INTERNATIONAL OFFICES LOCATED IN BAHRAIN, MEXICO, SINGAPORE AND KOREA AND 87 COOPERATIVE AGREEMENTS WITH ARBITRAL INSTITUTIONS, UNIVERSITIES AND CHAMBERS OF COMMERCE IN 54 NATIONS. THE AAA'S WEBSITE WWW.ADR.ORG HAD OVER 1.4 MILLION VISITS IN 2019, WITH NEARLY 5.2 MILLION PAGES VIEWED. BY THE END OF 2019, AAA HAD EXPANDED ITS INTERNATIONAL PRESENCE TO SUPPORT THE GROWING DEMAND FOR ADR SERVICES. THE AAA HAS ALWAYS BEEN A FORCE FOR INNOVATION AND TAKE INITIATIVE TO MAKE THINGS BETTER. IN 2019, THE ASSOCIATION HAD GROWTH IN CASELOAD OF OVER 58,000 CASES.ADDITIONALLY, THE ADMINISTRATION OF ELECTION SERVICES IS A SPECIALIZED AND UNIQUE CAPABILITY OF THE AAA, AND IS PROVIDED TO VARIOUS ORGANIZATIONS, ASSOCIATIONS AND UNIONS. PROCEDURES SEEK TO ASSURE THE EQUITY OF RESULTS AND GIVE THE PARTICIPANTS THE SECURITY OF KNOWING THAT THEIR DEMOCRATIC RIGHTS HAVE BEEN FULLY AND FAIRLY PRESERVED. 2491477 1289687 1249683 EDUCATION AND PUBLICATIONS: THE AAA EDUCATION SERVICES DIVISION PROVIDES COMPREHENSIVE EDUCATION AND TRAINING FOR THE AMERICAN ARBITRATION ASSOCIATION. ITS FOCUS IS THE PROVISION OF EDUCATION AND TRAINING PROGRAMS BOTH IN DOMESTIC AND INTERNATIONAL SETTINGS AS WELL AS ONLINE FORMATS TO ARBITRATORS AND MEDIATORS SERVING THE AAA AND ICDR AS WELL AS ADVOCATES, BUSINESS PROFESSIONALS, AND THE GENERAL PUBLIC. AAA EDUCATION SERVICES DESIGNS AND DELIVERS PROGRAMS FOR CORPORATIONS, LAW FIRMS, COURT SYSTEMS, UNIONS AND GOVERNMENT AGENCIES. THE GOAL OF THESE PROGRAMS IS TO EDUCATE AND ENCOURAGE THE RESPONSIBLE USE OF ALTERNATIVE DISPUTE RESOLUTION PROCESSES.MANDATORY TRAINING PROGRAMS ARE DEVELOPED AND DELIVERED TO ALL NEW ARBITRATORS AND MEDIATORS ON THE AAA'S ROSTER. ADVANCED COURSES ARE OFFERED THAT MEET THE AAA'S ONGOING ANNUAL TRAINING REQUIREMENTS FOR ARBITRATORS AND MEDIATORS. THE GOVERNMENT RELATIONS OFFICE SERVES AS THE LIAISON WITH FEDERAL GOVERNMENT AGENCIES AND CONGRESSIONAL OFFICES IN ORDER TO SERVE AS AN INFORMATION RESOURCE REGARDING THE ASSOCIATION AND DISPUTE RESOLUTION MECHANISMS. THE ONGOING ROLE OF THE AAA'S PUBLICATION DEPARTMENT IS TO PROMOTE UNDERSTANDING AND THE USE OF ALTERNATIVE DISPUTE RESOLUTION (ADR) IN THE FULFILLMENT OF THE AAA'S MISSION THROUGH THE PRODUCTION OF QUALITY PUBLICATIONS. ON THE BROADEST LEVEL, THE PUBLICATIONS DEPARTMENT HELPS TO FULFILL THE NOT-FOR-PROFIT EDUCATIONAL MISSION OF THE AAA. 102146247 1 0 0 1 0 0 0 0 1 0 1 0 0 0 1 1 0 1 0 1 1 1 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 1 3871 0 1 681 1 0 0 0 0 0 0 0 0 0 0 0 0 X 18 17 1 0 0 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA NY NJ OR PA X FRANCESCO ROSSI SVP CFO & TREAS 2127165810 120 BROADWAY FLOOR 21 NEW YORK NY 10271 X ALBERT BATES OUTGOING DIRECTOR 0.50 X 0 0 0 DAVID L EVANS ESQ DIRECTOR 1.00 X 0 0 0 DENIS J HAUPTLY DIRECTOR 1.00 X 0 0 0 DR PATRICIA D GALLOWAY DIRECTOR 0.50 X 0 0 0 EDNA SUSSMAN ESQ DIRECTOR 1.00 3.00 X 0 0 0 FRANCIS MCGOVERN OUTGOING DIRECTOR 0.50 3.00 X 0 0 0 HON DEBORAH G HANKINSON DIRECTOR 2.00 0.50 X 0 0 0 HON JAMES T GILES RET DIRECTOR 0.50 X 0 0 0 HON WILLIAM G BASSLER DIRECTOR 0.50 X 0 0 0 INDIA JOHNSON PRESIDENT AND CEO 50.00 3.00 X X 960188 0 290557 J MICHAEL KIRKLAND DIRECTOR 1.00 X 0 0 0 JAMES JENKINS OUTGOING DIRECTOR 1.00 2.00 X 0 0 0 JOSEPH D GARRISON ESQ DIRECTOR 0.50 X 0 0 0 KIMBERLY WIEHL DIRECTOR 1.00 X 0 0 0 MARK H DUESENBERG DIRECTOR 1.00 X 0 0 0 MARTIN F SCHEINMAN ESQ DIRECTOR 0.50 X 0 0 0 MELINDA REID HATTON DIRECTOR 1.00 X 0 0 0 PROFESSOR HAROLD HONGJU KOH DIRECTOR 0.50 X 0 0 0 RICHARD A ANDERSON DIRECTOR 1.00 X 0 0 0 TERESA E MCCASLIN CHAIRPERSON OF THE COUNCIL 1.00 X X 0 0 0 WOLF VON KUMBERG DIRECTOR 0.50 X 0 0 0 ERIC P TUCHMANN GEN COUN, CORP SEC, & SENIOR VP 50.00 3.00 X 535707 0 184256 FRANCESCO ROSSI CFO, TREASURER & SENIOR VP 50.00 3.00 X 586018 0 200949 CHRISTINE L NEWHALL SENIOR VICE PRESIDENT 50.00 X 449342 0 111730 DIANA N DIDIA SENIOR VICE PRESIDENT 50.00 X 452757 0 90734 DWIGHT D JAMES SENIOR VICE PRESIDENT 50.00 X 419378 0 102489 ERIC DILL SENIOR VICE PRESIDENT 50.00 X 356327 0 103237 HAROLD COLEMAN JR SENIOR VICE PRESIDENT 50.00 X 359447 0 95271 ROBERT MATLIN SENIOR VICE PRESIDENT 50.00 X 427431 0 110027 INTERNA KHUTORSKY VICE PRESIDENT 50.00 X 223299 0 49503 JAMES SKELTON VICE PRESIDENT 50.00 X 240319 0 18164 MAUREEN KURDZIEL VICE PRESIDENT 50.00 X 298836 0 64957 MICHAEL C CLARK VICE PRESIDENT 50.00 X 252074 0 23560 SASHA CARBONE VICE PRESIDENT 50.00 X 289586 0 91859 5850709 0 1537293 103 0 1 0 ZENSAR TECHNOLOGIES INC 120 WOOD AVE S ISELIN NJ 08830 IT SUPPORT & DEVELOPMENT 4480053 BIG IDEA 6 MAIDEN LANE SUITE 925 OAK BROOK IL 60523 MARKETING SERVICES 1923417 GRANT THORNTON LLP 33562 TREASURY CENTER CHICAGO IL 606943500 INTERNAL AUDIT & OTHER SERVICES 512368 IT CONVERGENCE PO BOX 56346 ATLANTA GA 30343 IT SUPPORT & DEVELOPMENT 345857 SCANDURRO & LAYRISSON LLC 607 ST CHARLES AVENUE SUITE 1000 NEW ORLEANS LA 70130 LEGAL SERVICES 267808 79 X DISPUTE RESOLUTION REV. 561000 111080054 111080054 SEMINAR REVENUE 611600 814666 814666 PUBLICATION REVENUE 611600 330554 330554 OTHER EDUCATION REVENUE 611600 125000 125000 112350274 5282425 5282425 534576 534576 283092 283092 0 15761725 16048878 20537 -287153 -20537 -307690 -20537 -287153 117859585 112329737 0 5529848 1289687 1289687 21918 21918 5863518 4137955 1725563 46528803 44680632 1848171 3137713 2964771 172942 6957144 6794754 162390 4128274 3963367 164907 5727457 5187971 539486 1004346 801548 202798 223935 196445 27490 47863 47863 2735144 2712980 22164 5491818 5400494 91324 2901419 2743485 157934 9260017 9027287 232730 1483154 1314926 168228 820048 625013 195035 4862379 4717125 145254 602212 582623 19589 DIRECT ELECTIONS EXP 3821480 3821480 DIRECT EDUCATION EXP 444423 444423 BAD DEBT 206875 206875 DIRECT PUBLICATION EXP 22214 22214 899040 488274 410766 108480881 102146247 6334634 0 3452 3450 12839714 25974103 20650881 23318999 2798473 2953622 42529120 21042657 21927674 21486463 149038904 170591067 1299168 1189886 208558266 245517590 91090822 110009646 9201030 37206176 4518551 6395621 18322027 16821343 123132430 170432786 X 85425836 75084804 85425836 75084804 208558266 245517590 X 9378704 9486296 -24524366 -4681666 X X 0 1 X 1 0 X 76072094 89989244 92132877 102213938 112350274 472758427 76072094 89989244 92132877 102213938 112350274 472758427 0 8239325 5872550 6016962 8611878 7830496 36571211 8239325 5872550 6016962 8611878 7830496 36571211 436187216 3759759 3498333 5149317 5933089 6100093 24440591 3759759 3498333 5149317 5933089 6100093 24440591 79831853 93487577 97282194 108147027 118450367 497199018 0.87730 0.87460 0.04920 0.05050 X 0 1 0 0 0 0 1 100000 0 0 100000 0 PART II-B, LINE 1: THE AAA GOVERNMENT RELATIONS DEPARTMENT MONITORS, ANALYZES, AND RESPONDS AS NEEDED TO LEGISLATIVE, REGULATORY, AND POLICY ISSUES THAT MAY IMPACT THE ASSOCIATION, AT THE FEDERAL, STATE AND LOCAL LEVELS. THE DEPARTMENT ALSO WORKS WITH GOVERNMENT AGENCIES AND DECISION-MAKERS TO ASSIST IN THE DESIGN AND IMPLEMENTATION OF ALTERNATIVE DISPUTE RESOLUTION PROGRAMS AND PROCEDURES. 0 4518551 2841250 964180 6395621 1 X 11801634 6104181 5697453 7199428 3720890 3478538 23528058 11217586 12310472 21486463 ACCRUED POST RETIREMENT MEDICAL COSTS 11610246 DEFERRED RENT 5211097 16821343 X 125922319 9568441 -1457844 8110597 117811722 47863 47863 117859585 105714090 -414907 -414907 106128997 47863 2304021 2351884 108480881 PART IV, LINE 2B: THE AAA IS A FOUNDING MEMBER AND SUPPORTER OF THE INTERNATIONAL MEDIATION INSTITUTE (IMI), A GLOBAL INSTITUTION HEADQUARTERED IN THE NETHERLANDS WHOSE VISION IS GENERATING ENHANCED CONFIDENCE IN MEDIATORS AND IMPROVED UNDERSTANDING OF MEDIATION. DURING 2019, THE ASSOCIATION AGREED TO ASSIST IMI IN THE COLLECTION OF IMI LISTING CONTRIBUTIONS FROM AAA ARBITRATORS AND MEDIATORS. THERE IS A SEPARATE BANK ACCOUNT WITH AN ASSOCIATED AND EQUAL SEPARATE LIABILITY ACCOUNT MAINTAINED. AAA AND IMI FUNDS ARE NOT CO-MINGLED. ALL SUPPORTING DOCUMENTATION FOR ACTIVITY IS MAINTAINED BY THE AAA, THE ACCOUNT IS RECONCILED MONTHLY AND PERIODIC TRANSFERS ARE MADE TO IMI. AT DECENEMBER 31, 2019, THE BALANCE OF IMI FUNDS HELD BY THE AAA WAS $0. THE ASSOCIATION ALSO HOLDS FUNDS PERTAINING TO ARBITRATION CASES. DURING 2019, THE TOTAL FUNDS IN ESCROW AT YEAR END WAS $1,535,500. THE ASSOCIATIONS' INTERNATIONAL CENTRE FOR DISPUTE RESOLUTION HAS A CUSTODIAL ARRANGEMENT WITH THE U.S. DEPARTMENT OF COMMERCE. THE EU-US PRIVACY SHIELD ANNEX I BINDING ARBITRATION MECHANISM IS A PROGRAM THAT REQUIRES PARTICIPATING ORGANIZATIONS OF THE EU-US PRIVACY SHIELD PROGRAMS TO PAY A PERIODIC CONTRIBUTION TO THE FUND TO BE USED FOR THE COSTS ASSOCIATED WITH THE ARBITRATIONS ARISING OUT OF THE PRIVACY SHIELD PROGRAM. THE ASSOCIATION RECORDS RESTRICTED CASH AND A CORRESPONDING LIABILITY FOR AMOUNTS RECEIVED FROM THESE PARTICIPATING ORGANIZATIONS. THE RESTRICTED CASH AND CORRESPONDING LIABILITY BALANCES AS OF DECEMBER 31, 2019 WAS $4,860,120. PART X, LINE 2: THE ASSOCIATION IS EXEMPT FROM FEDERAL INCOME TAX UNDER THE PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE; THEREFORE, NO PROVISION FOR INCOME TAXES IS INCLUDED IN THE ASSOCIATION'S CONSOLIDATED FINANCIAL STATEMENTS. THE ASSOCIATION HAS NO UNRECOGNIZED TAX BENEFITS AT DECEMBER 31, 2019. THE ASSOCIATION'S FEDERAL AND STATE INCOME TAX RETURNS PRIOR TO FISCAL YEAR 2016 ARE CLOSED AND MANAGEMENT CONTINUALLY EVALUATES EXPIRING STATUTES OF LIMITATIONS, AUDITS, PROPOSED SETTLEMENTS, CHANGES IN TAX LAW AND NEW AUTHORITATIVE RULINGS. IF APPLICABLE, THE ASSOCIATION WILL RECOGNIZE INTEREST AND PENALTIES ASSOCIATED WITH TAX MATTERS AS PART OF THE INCOME TAX PROVISION AND INCLUDE ACCRUED INTEREST AND PENALTIES WITH THE RELATED TAX LIABILITY IN THE STATEMENTS OF FINANCIAL POSITION. THERE WERE NO INTEREST OR PENALTIES PAID FOR THE YEAR ENDED DECEMBER 31, 2019. PART XI, LINE 2D - OTHER ADJUSTMENTS: BANK FEES -2,301,892. INTERCOMPANY ELMINATIONS -1,202,736. BANK FEES-FOUNDATION -1,981. RELATED PARTY INVESTMENT INCOME 52,475. RELATED PARTY REVENUES 1,996,290. PART XII, LINE 2D - OTHER ADJUSTMENTS: RELATED PARTY EXPENSES 787,829. INTERCOMPANY ELMINATIONS -1,202,736. PART XII, LINE 4B - OTHER ADJUSTMENTS: BANK FEES 2,301,892. BANK FEES-FOUNDATION 2,129. 0 EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 1 1 PROGRAM SERVICES ADR SERVICES 3050 EUROPE (INCLUDING ICELAND & GREENLAND) - ALBANIA, ANDORRA, AUSTRIA, BELGIUM 0 0 GRANTS TO RECIPIENTS 16918 1 1 0 0 1 1 19968 0 19968 EUROPE (INCLUDING ICELAND & GREENLAND) - GENERAL SUPPORT 16918 LOAN WRITE OFF FAIR MARKET VALUE 1 0 0 0 0 0 0 PART I, LINE 2: AN ANNUAL BUDGET IS DEVELOPED FOR THE AMERICAN ARBITRATION ASSOCIATION, AND INCLUDES FINANCIAL ASSISTANCE TO ORGANIZATIONS OUTSIDE THE UNITED STATES. INTERNAL FINANCIAL STATEMENTS ARE PRODUCED MONTHLY, AND VARIANCES TO BUDGET ARE REVIEWED AND INVESTIGATED TO THE SOURCE. PART I, SOUTH AMERICA: OFFICE LOCATION: N/A. STAFFING: ONE DOMESTICALLY BASED VICE PRESIDENT IS RESPONSIBLE FOR THIS GEOGRAPHIC REGION. THE EXPENSES NOTED INCLUDE THE COSTS ASSOCIATED WITH EDUCATION PROGRAMS IN SOUTH AMERICA (NON-US). PART II: THE AMERICAN ARBITRATION ASSOCIATION ("AAA") IS A FOUNDING MEMBER OF THE INTERNATIONAL MEDIATION INSTITUTE ("IMI"), LOCATED AT LAAN VAN MEERDERVOORT 70, 2517 AN THE HAGUE, THE NETHERLANDS. THE AAA WROTE OFF 10% OF AN EXISTING LOAN TO IMI, THUS PROVIDING NON-CASH SUPPORT TO THIS ENTITY WITH VALUE OF US $16,918. THE POTENTIAL FOR EXCHANGE RATE VARIANCES ON THE REMAINING LOAN IS PERIODICALLY REVIEWED BY MANAGEMENT. PART III ACCOUNTING METHOD: 1 AAA-ICDR FOUNDATION INC 120 BROADWAY 21ST FL NEW YORK NY 10271 134197286 501(C)(3) 1025000 CASH VALUE GENERAL SUPPORT. IN ADDITION, THE ORGANIZATION DONATED EMPLOYEE TIME VALUED AT APPROXIMATELY $178,000. ABA FREE LEGAL ANSWERS 321 N CLARK ST CHICAGO IL 60654 360723150 501(C)(3) 10000 CASH VALUE INCREASE ACCESS TO JUSTICE ABA FUND FOR JUSTICE & EDUCATION 321 N CLARK ST CHICAGO IL 60654 360723150 501(C)(3) 30000 CASH VALUE INCREASE ACCESS TO JUSTICE AMERICAN HEART ASSOCIATION 7272 GREENVILLE AVENUE DALLAS TX 75231 135613797 501(C)(3) 5500 CASH VALUE SPONSORSHIP CENTER FOR MEDIATION & COLLABORATION RHODE ISLAND 500 BROAD ST PROVIDENCE RI 02907 050489089 501(C)(3) 10000 CASH VALUE GENERAL SUPPORT CLEVELAND MEDIATION CENTER 1701 PAYNE AVE CLEVELAND OH 44114 341369412 501(C)(3) 30000 CASH VALUE GENERAL SUPPORT CONFLICT CENTER OF DENVER 4140 TEJON ST DENVER CO 802111813 841080552 501(C)(3) 15000 CASH VALUE IMPLEMENT A RESTORATIVE JUSTICE PROGRAM MIDLAND AREA COMMUNITY FOUNDATION 76 ASHMAN CIRCLE MIDLAND MI 48640 382023395 501(C)(3) 25000 CASH VALUE HONORARY DONATION NAMWOLF 150 N MICHIGAN AVE STE 800 CHICAGO IL 60601 131837418 501(C)(6) 6375 CASH VALUE SPONSORSHIP NAPABA 1612 K ST NW 510 WASHINGTON DC 20006 770233358 501(C)(6) 7500 CASH VALUE SPONSORSHIP RAND CORPORATION 1776 MAIN STREET SANTA MONICA CA 904013208 951958142 501(C)(3) 75000 CASH VALUE PROJECT SUPPORT SCMA EDUCATION FOUNDATION 21515 HAWTHORNE BLVD SUITE 200 TORRANCE CA 90503 208722577 501(C)(3) 25000 CASH VALUE RESTORATIVE JUSTICE & MEDIATION TRAINING ST JUDE CHILDREN'S RESEARCH HOSPITAL 262 DANNY THOMAS PL MEMPHIS TN 38105 620646012 501(C)(3) 5572 CASH VALUE GENERAL SUPPORT UNIVERSITY OF DUBLIN FUND EIGHTY PINE STREET NEW YORK NY 10005 136129707 501(C)(3) 10000 CASH VALUE MEMORIAL DONATION 12 2 PART I, LINE 2: THE AMERICAN ARBITRATION ASSOCIATION IS THE SOLE CORPORATE MEMBER OF THE AAA-ICDR FOUNDATION, PURSUANT TO THE AAA-ICDR FOUNDATION'S CERTIFICATE OF INCORPORATION AND BYLAWS. THE AAA RECEIVES PERIODIC, UNAUDITED FINANCIAL STATEMENTS FROM THE AAA-ICDR FOUNDATION. PURSUANT TO THE SEPTEMBER 10, 2015 AAA EXECUTIVE COMMITTEE RESOLUTION, THE AAA FORMED A STANDING FOUNDATION COMMITTEE FOR THE PURPOSE OF ASSISTING THE AAA IN EXERCISING ITS AUTHORITY AND CARRYING OUT ITS DUTIES WITH RESPECT TO ITS MEMBERSHIP IN THE FOUNDATION. THE APPOINTED MEMBERS OF THE FOUNDATION COMMITTEE ON AN EX OFFICIO BASIS ARE: CHAIR OF THE AAA'S BOARD OF DIRECTORS, CHAIR OF THE EXECUTIVE COMMITTEE OF THE AAA'S BOARD OF DIRECTORS, PRESIDENT AND CHIEF EXECUTIVE OFFICER OF THE AAA, TREASURER OF THE AAA, GENERAL COUNSEL AND CORPORATE SECRETARY OF THE AAA, CHAIR OF THE AAA'S AUDIT COMMITTEE. THE AAA'S FOUNDATION COMMITTEE HOLDS ANNUAL MEETINGS DURING WHICH IT VOTES ON THE FOUNDATION'S DIRECTORS, THE FOUNDATION'S TREASURER PRESENTS THE FOUNDATION'S AUDITED FINANCIALS STATEMENTS AND NOTES, STATEMENT OF FINANCIAL ACTIVITIES AND YEAR TO DATE FINANCIALS, AND CONDUCTS SUCH OTHER BUSINESS AS IS NEED. X 1 1 X X X X X 0 1 0 1 0 0 0 0 0 INDIA JOHNSON PRESIDENT AND CEO 671044 0 280000 0 9144 0 260400 0 37384 0 1257972 0 0 0 ERIC P TUCHMANN GEN COUN, CORP SEC, & SENIOR VP 375983 0 157102 0 2622 0 153659 0 31765 0 721131 0 0 0 FRANCESCO ROSSI CFO, TREASURER & SENIOR VP 409908 0 171975 0 4135 0 167892 0 35023 0 788933 0 0 0 CHRISTINE L NEWHALL SENIOR VICE PRESIDENT 318079 0 122428 0 8835 0 82573 0 30685 0 562600 0 0 0 DIANA N DIDIA SENIOR VICE PRESIDENT 329221 0 121826 0 1710 0 84455 0 7513 0 544725 0 0 0 DWIGHT D JAMES SENIOR VICE PRESIDENT 293687 0 116771 0 8920 0 76376 0 32593 0 528347 0 0 0 ERIC DILL SENIOR VICE PRESIDENT 245224 0 106336 0 4767 0 67250 0 36812 0 460389 0 0 0 HAROLD COLEMAN JR SENIOR VICE PRESIDENT 255620 0 96975 0 6852 0 66542 0 34450 0 460439 0 0 0 ROBERT MATLIN SENIOR VICE PRESIDENT 298067 0 121482 0 7882 0 78990 0 32564 0 538985 0 0 0 INTERNA KHUTORSKY VICE PRESIDENT 176741 0 41584 0 4974 0 17715 0 35268 0 276282 0 0 0 JAMES SKELTON VICE PRESIDENT 196800 0 40681 0 2838 0 15310 0 3461 0 259090 0 0 0 MAUREEN KURDZIEL VICE PRESIDENT 236843 0 58453 0 3540 0 57038 0 8491 0 364365 0 0 0 MICHAEL C CLARK VICE PRESIDENT 208416 0 42956 0 702 0 20706 0 3675 0 276455 0 0 0 SASHA CARBONE VICE PRESIDENT 229706 0 58651 0 1229 0 56814 0 35932 0 382332 0 0 0 PART I, LINE 4B AMOUNTS REPORTED IN COLUMN (C) OF PART II OF SCHEDULE J REFLECT THAT IN 2019, THE AAA'S BOARD OF DIRECTORS ADOPTED A SECTION 457(F) DEFERRED COMPENSATION PLAN COVERING CERTAIN KEY EMPLOYEES AND APPROVED THE PAYMENT OF CERTAIN AMOUNTS UNDER THE PLAN, SUBJECT TO VESTING REQUIREMENTS. THE PLAN WAS RECOMMENDED BY THE AAA'S INDEPENDENT COMPENSATION CONSULTANTS, A NATIONALLY RECOGNIZED COMPENSATION CONSULTING FIRM WITH EXPERTISE ADVISING NONPROFIT ORGANIZATIONS, IN ORDER TO REFLECT PREVAILING PRACTICES FOR SIMILAR EMPLOYERS AND HELP ATTRACT AND RETAIN THE TALENT NECESSARY TO CARRY OUT THE AAA'S CHARITABLE AND EDUCATIONAL MISSION AND MANAGE ITS OPERATIONS. THE PLAN WAS APPROVED FOLLOWING EVALUATION BY THE COMPENSATION COMMITTEE AND THE BOARD, AS WELL AS THE COMPENSATION CONSULTING FIRM'S ISSUANCE OF AN OPINION LETTER CERTIFYING TO THE REASONABLENESS OF THE COMPENSATION FOR KEY EMPLOYEES, INCLUDING THE AMOUNTS TO BE PAID UNDER THE PLAN, UNDER SECTION 4958 OF THE INTERNAL REVENUE CODE. THE REVIEW PROCESS FOLLOWED WAS DESIGNED TO QUALIFY FOR THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER TREASURY REGULATION SECTION 53.4958-6, INCLUDING REVIEW AND APPROVAL BY INDEPENDENT DIRECTORS BASED ON APPROPRIATE MARKET COMPARABILITY DATA AND WITH CONTEMPORANEOUS DOCUMENTATION OF THE PROCESS. THE FOLLOWING INDIVIDUALS PARTICIPATED IN, OR RECEIVED PAYMENT FROM, THE SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN: INDIA JOHNSON - $223,400 FRANCESCO ROSSI - $125,108 ERIC TUCHMANN - $109,555 DIANA DIDIA - $45,550 CHRISTINE NEWHALL - $44,600 ROBERT MATLIN - $42,800 DWIGHT JAMES - $41,350 HAROLD COLEMAN - $35,900 ERIC DILL - $36,500 MAUREEN KURDZIEL - $30,181 SASHA CARBONE - $30,067 PART I, LINE 5 SENIOR MANAGEMENT COMPENSATION INCLUDES THE POTENTIAL FOR ANNUAL INCENTIVE COMPENSATION AWARDS, WHICH MAY BE BASED, IN PART, UPON THE ACHIEVEMENT OF GOALS RELATED TO MISSIONS, INITIATIVES, PROJECTS, FINANCIAL PERFORMANCE TARGETS AND OTHER OUTCOMES. THESE AMOUNTS ARE INCLUDED ON SCHEDULE J, PART II, COLUMN B (II) AND INCLUDED IN THE 2019 W-2. FORM 990, PART III, LINE 1: THE AMERICAN ARBITRATION ASSOCIATION ("AAA") HAS, FOR OVER NINETY YEARS, PIONEERED THE EFFECTIVE USE OF ARBITRATION, MEDIATION AND OTHER FORMS OF ALTERNATIVE DISPUTE RESOLUTION. THE AAA DOES NOT DECIDE CASES. RATHER, IT PROVIDES A FORUM FOR THE HEARING OF DISPUTES, TESTED RULES AND PROCEDURES THAT HAVE BROAD ACCEPTANCE AND A ROSTER OF 5,476 IMPARTIAL ARBITRATORS AND MEDIATORS TO HEAR AND RESOLVE CASES. RECOGNIZED FOR THEIR STANDING, EXPERTISE IN THEIR FIELDS, AND THEIR DISPUTE RESOLUTION SKILLS, ARBITRATORS AND MEDIATORS ARE NOMINATED TO THE ASSOCIATION'S NATIONAL PANEL BY LEADERS IN THEIR INDUSTRY OR PROFESSION. THEIR CONDUCT IS GUIDED BY A CODE OF ETHICS, SUCH AS ONE DEVELOPED JOINTLY BY THE AAA AND THE AMERICAN BAR ASSOCIATION. AT YEAR END 2019 THE AAA HAD 27 DOMESTIC OFFICES AND 4 INTERNATIONAL OFFICES LOCATED IN BAHRAIN, MEXICO, SINGAPORE AND KOREA AND 87 COOPERATIVE AGREEMENTS WITH ARBITRAL INSTITUTIONS, UNIVERSITIES AND CHAMBERS OF COMMERCE IN 54 NATIONS. THE AAA'S WEBSITE WWW.ADR.ORG HAD OVER 1.4 MILLION VISITS IN 2019, WITH NEARLY 5.2 MILLION PAGES VIEWED. ADDITIONALLY, THE ADMINISTRATION OF ELECTION SERVICES IS A SPECIALIZED AND UNIQUE CAPABILITY OF THE AAA, AND IS PROVIDED TO VARIOUS ORGANIZATIONS, ASSOCIATIONS AND UNIONS. PROCEDURES SEEK TO ASSURE THE EQUITY OF RESULTS AND GIVE THE PARTICIPANTS THE SECURITY OF KNOWING THAT THEIR DEMOCRATIC RIGHTS HAVE BEEN FULLY AND FAIRLY PRESERVED. FORM 990, PART VI, SECTION A, LINE 2 WHILE THE AMERICAN ARBITRATION ASSOCIATION ("AAA") HAS NO ACTUAL KNOWLEDGE OF ANY FAMILY OR BUSINESS RELATIONSHIP BETWEEN OFFICERS, TRUSTEES OR KEY EMPLOYEES, WE WOULD ANTICIPATE THAT AMONG THE GOVERNING BODY, THAT IS COMPOSED OF A WIDE RANGE OF LEADERS FROM VARIOUS FIELDS, THAT SOME RELATIONSHIP MAY EXIST. HOWEVER, THE AAA HAS RELIED UPON THE RESPONSES OF OFFICERS, TRUSTEES AND KEY EMPLOYEES TO ANNUAL QUESTIONNAIRES DESIGNED TO ELICIT THE DISCLOSURE OF THESE RELATIONSHIPS, AND ALTHOUGH THESE ARE NOTED AS REASONABLE EFFORTS IN THE INSTRUCTIONS FOR THIS FORM, IT IS WITH AN ABUNDANCE OF CAUTION THAT WE HAVE RESPONDED AFFIRMATIVELY TO THIS QUESTION. FORM 990, PART VI, SECTION A, LINE 6 THE AMERICAN ARBITRATION ASSOCIATION IS A CORPORATION WITH MEMBERS WHO ARE COLLECTIVELY REFERRED TO AS THE COUNCIL OF THE AAA. THERE ARE NO SEPARATE OR DISTINCT MEMBERSHIP CLASSES WITHIN THE COUNCIL OF THE AAA. AS NOTED IN THE BYLAWS OF THE AAA, THE COUNCIL CONSISTS OF BETWEEN 80 AND 100 MEMBERS. THE BOARD OF DIRECTORS CONSISTS OF 15 TO 18 COUNCIL MEMBERS, PLUS THREE OFFICERS WHO ARE EX OFFICIO DIRECTORS. THE COUNCIL HAS THE POWER TO ELECT COUNCIL MEMBERS, DIRECTORS AND CERTAIN OFFICERS, INCLUDING THE PRESIDENT, CHAIR OF THE BOARD OF DIRECTORS AND THE CHAIR OF THE COUNCIL. COUNCIL MEMBERS ARE ELECTED AT THE ANNUAL MEETING OF THE COUNCIL TO A THREE-YEAR TERM AND ARE ELIGIBLE TO BE ELECTED FOR UP TO THREE SUCCESSIVE THREE-YEAR TERMS. ALSO, PER THE BYLAWS, "ANY VACANCIES ON THE COUNCIL MAY BE FILLED BY THE COUNCIL OR BY THE BOARD OF DIRECTORS. A MEMBER ELECTED BY THE COUNCIL TO FILL A VACANCY SHALL BE ELECTED FOR THE UNEXPIRED TERM OF THE MEMBER'S PREDECESSOR IN OFFICE AND UNTIL HIS OR HER SUCCESSOR IS DULY ELECTED AND QUALIFIED. A MEMBER ELECTED BY THE BOARD OF DIRECTORS TO FILL A VACANCY SHALL BE ELECTED FOR THE TERM OF OFFICE CONTINUING ONLY UNTIL THE NEXT ANNUAL MEETING OF THE COUNCIL, AND UNTIL HIS OR HER SUCCESSOR IS DULY ELECTED, APPOINTED AND QUALIFIED BY THE COUNCIL." FORM 990, PART VI, SECTION A, LINE 7A AS PER THE BYLAWS OF THE AMERICAN ARBITRATION ASSOCIATION (AAA), "THE MEMBERS OF THE CORPORATION SHALL BE COLLECTIVELY REFERRED TO AS THE COUNCIL OF THE AMERICAN ARBITRATION ASSOCIATION AND CONSISTS OF BETWEEN 80 TO 100 MEMBERS. THE COUNCIL HAS THE POWER TO ELECT COUNCIL MEMBERS, DIRECTORS AND CERTAIN OFFICERS, INCLUDING THE PRESIDENT, THE CHAIR OF THE BOARD OF DIRECTORS AND THE CHAIR OF THE COUNCIL. FORM 990, PART VI, SECTION B, LINE 11B PRIOR TO SUBMISSION TO THE AUDIT COMMITTEE, THE SUBSTANTIVE INPUT FOR THE FORM 990 IS GATHERED AND REVIEWED BY SENIOR MANAGEMENT BASED UPON RESPONSIBILITY FOR THEIR RESPECTIVE AREAS OF OPERATIONS. IT IS COMPILED AND REVIEWED BY THE FINANCE DEPARTMENT WITH THE ASSISTANCE OF THE AAA'S INDEPENDENT ACCOUNTING FIRM. IT IS THEN SUBMITTED FOR REVIEW TO EXECUTIVE MANAGEMENT AT THE OFFICER LEVEL (PRESIDENT AND CEO, CFO / TREASURER AND GENERAL COUNSEL / CORPORATE SECRETARY.) SUBSEQUENT TO THESE REVIEWS THE FORM 990 IS FORWARDED TO THE COMMITTEE, AND IS MADE AVAILABLE TO THE BOARD OF DIRECTORS. ONCE REVIEWED BY THE COMMITTEE, IT IS SIGNED BY THE CFO / TREASURER AS THE APPROPRIATE OFFICER OF THE AAA, AND TRANSMITTED TO THE INTERNAL REVENUE SERVICE (IRS) BY THE AAA'S INDEPENDENT ACCOUNTING FIRM. FORM 990, PART VI, SECTION B, LINE 12C PER THE AMERICAN ARBITRATION ASSOCIATION'S (AAA'S) BYLAWS: "THE BOARD OF DIRECTORS, THE AUDIT COMMITTEE OR A DULY AUTHORIZED COMMITTEE OF THE BOARD COMPRISED SOLELY OF DIRECTORS WHO SATISFY THE DEFINITION OF "INDEPENDENT DIRECTOR" WITHIN THE MEANING OF NPCC, SHALL OVERSEE THE ADOPTION AND IMPLEMENTATION OF AND COMPLIANCE WITH A CONFLICT OF INTEREST POLICY" DIRECTORS COMPLETE A CONFLICT OF INTEREST FORM ANNUALLY. A SEPARATE ANNUAL CONFLICT OF INTEREST STATEMENT IS REQUIRED BY THE AAA OF ITS OFFICERS AND KEY EMPLOYEES. IN BOTH INSTANCES, THE CORPORATE SECRETARY, ALSO THE AAA'S GENERAL COUNSEL, MANAGES THE RECEIPT AND REVIEW OF CONFLICT OF INTEREST SUBMISSIONS. THE AAA HAS RELIED UPON THE RESPONSES OF OFFICERS, DIRECTORS AND KEY EMPLOYEES TO ANNUAL QUESTIONNAIRES DESIGNED TO ELICIT THE DISCLOSURE OF THESE RELATIONSHIPS, AND REVIEW OF THESE FORMS IS NOTED AS REASONABLE EFFORT PER THE INSTRUCTIONS OF THIS FORM. FORM 990, PART VI, SECTION B, LINE 15 EACH YEAR, THE COMPENSATION COMMITTEE OF THE AAA'S BOARD OF DIRECTORS IS RESPONSIBLE FOR REVIEWING AND RECOMMENDING THE COMPENSATION OF THE AAA'S PRESIDENT AND CEO. THE FULL BOARD OF DIRECTORS THEN REVIEWS AND DETERMINES THE PRESIDENT AND CEO'S COMPENSATION. THE COMPENSATION COMMITTEE CONSISTS ENTIRELY OF INDEPENDENT BOARD MEMBERS WHO DID NOT HAVE A CONFLICT OF INTEREST. IN CONDUCTING THEIR REVIEW AND MAKING THEIR DETERMINATION, THE COMPENSATION COMMITTEE AND THE BOARD OF DIRECTORS RELY UPON MARKET COMPARABILITY DATA FOR SIMILARLY QUALIFIED INDIVIDUALS IN FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY SITUATED ORGANIZATIONS PROVIDED BY AN INDEPENDENT NATIONALLY RECOGNIZED COMPENSATION CONSULTING FIRM WITH EXPERTISE ADVISING NONPROFIT ORGANIZATIONS. IN ADDITION, THE COMPENSATION CONSULTING FIRM ALSO ISSUED AN OPINION LETTER CERTIFYING TO THE REASONABLENESS OF THE PRESIDENT AND CEO'S TOTAL COMPENSATION UNDER SECTION 4958 OF THE INTERNAL REVENUE CODE. PERFORMANCE REVIEWS ARE TAKEN INTO ACCOUNT, INCLUDING ACHIEVEMENT TOWARDS OBJECTIVES ALIGNED WITH PROMOTING THE AAA'S MISSION AND SUPPORTING ITS OPERATIONS. THE COMPENSATION COMMITTEE AND BOARD'S DELIBERATIONS AND VOTE ARE DOCUMENTED CONTEMPORANEOUSLY. THE COMPENSATION DETERMINATION PROCESS IS INTENDED TO QUALIFY FOR THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER TREASURY REGULATION 53.4958-6. PART VI, SECTION B, LINE 15B: THE COMPENSATION COMMITTEE OF THE AAA'S BOARD OF DIRECTORS IS RESPONSIBLE FOR REVIEWING AND APPROVING THE OVERALL COMPENSATION STRATEGY OF OTHER OFFICERS AND KEY EMPLOYEES, AND THE PRESIDENT'S RECOMMENDATIONS FOR BASE SALARY AND INCENTIVE COMPENSATION. THE COMPENSATION COMMITTEE CONSISTS ENTIRELY OF INDEPENDENT BOARD MEMBERS WHO DID NOT HAVE A CONFLICT OF INTEREST. IN CONDUCTING THEIR REVIEW AND MAKING THEIR DETERMINATION, THE COMPENSATION COMMITTEE AND THE BOARD OF DIRECTORS RELY UPON MARKET COMPARABILITY DATA FOR SIMILARLY QUALIFIED INDIVIDUALS IN FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY SITUATED ORGANIZATIONS PROVIDED BY AN INDEPENDENT NATIONALLY RECOGNIZED COMPENSATION CONSULTING FIRM WITH EXPERTISE ADVISING NONPROFIT ORGANIZATIONS. IN ADDITION, THE COMPENSATION CONSULTING FIRM ALSO ISSUED AN OPINION LETTER CERTIFYING TO THE REASONABLENESS OF THE TOTAL COMPENSATION OF THE AAA'S OFFICERS AND KEY EMPLOYEES UNDER SECTION 4958 OF THE INTERNAL REVENUE CODE. PERFORMANCE REVIEWS ARE TAKEN INTO ACCOUNT, INCLUDING ACHIEVEMENT TOWARDS OBJECTIVES ALIGNED WITH PROMOTING THE AAA'S MISSION AND SUPPORTING ITS OPERATIONS. THE COMPENSATION COMMITTEE'S DELIBERATIONS AND VOTE ARE DOCUMENTED CONTEMPORANEOUSLY. THE COMPENSATION DETERMINATION PROCESS IS INTENDED TO QUALIFY FOR THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER TREASURY REGULATION 53.4958-6. FORM 990, PART VI, SECTION C, LINE 19 THE AMERICAN ARBITRATION ASSOCIATION ("AAA") MAKES AVAILABLE ITS FORM 990 FOR PUBLIC INSPECTION UPON REQUEST, AND IT IS MADE AVAILABLE ON THE WWW.GUIDESTAR.ORG WEBSITE AS WELL. THE AAA DOES NOT PROVIDE FORM 1023 PER GUIDANCE ON THE IRS WEBSITE AS THE AAA DID NOT FILE THIS FORM AFTER JULY 15, 1987, NOR DID IT HAVE A COPY ON THAT DATE. TO DATE, GOVERNING DOCUMENTS AND POLICIES CONCERNING CONFLICT OF INTEREST HAVE NOT BEEN MADE AVAILABLE TO THE PUBLIC. FORM 990, PART VII, SECTION B, LINE 1: THE AMERICAN ARBITRATION ASSOCIATION ("AAA", "THE ASSOCIATION") MAINTAINS A ROSTER OF 5,476 IMPARTIAL ARBITRATORS AND MEDIATORS TO HEAR AND RESOLVE CASES. TO MAINTAIN NEUTRALITY AND INTEGRITY OF THE ALTERNATIVE DISPUTE RESOLUTION PROCESS, THE ASSOCIATION FACILITATES PAYMENT TO ARBITRATORS AND MEDIATORS ON MOST CASES ON BEHALF OF THE PARTIES TO AAA ADMINISTERED CASES BY ACTING AS A CONDUIT FOR SUCH PAYMENTS. IN OTHER WORDS, THE ASSOCIATION DELIVERS PARTY PAYMENTS TO ARBITRATORS AND MEDIATORS, AND ISSUES A 1099-MISCELLANEOUS FORM TO EACH ARBITRATOR AND MEDIATOR AT YEAR END CONSOLIDATING ALL PARTY PAYMENTS MADE THROUGH THE AAA IN THAT PERIOD. ANY RELATED EXPENSES INCURRED BY ARBITRATORS AND MEDIATORS ARE THE RESPONSIBILITY OF THE PARTIES, NOT THE ASSOCIATION. ARBITRATORS AND MEDIATORS ARE NOT CONSIDERED TO BE INDEPENDENT CONTRACTORS AS DEFINED BY THE IRS FOR THE PURPOSES OF THE FORM 990, AS THEY PROVIDE NO GOOD OR SERVICE DIRECTLY TO THE ASSOCIATION. THE 3,871 FORM 1099-MISCELLANEOUS SUBMISSIONS NOTED ON PART V, QUESTION 1A INCLUDE ACCOUNTS FOR PAYMENTS MADE BY PARTIES TO IMPARTIAL ARBITRATORS AND MEDIATORS THROUGH THE AAA. THE AAA RECORDS THESE FUNDS IN A CUSTODIAL CAPACITY AS A LIABILITY ON THE AAA'S BALANCE SHEET. THESE FUNDS ARE NOT RECORDED OR RECOGNIZED AS INCOME OR EXPENSE. THE AAA ENSURES THAT THE IRS RECEIVES A 1099-MISCELLANEOUS FOR THE ARBITRATORS AND MEDIATORS' CONSOLIDATED ANNUAL ACTIVITY. SOME ARBITRATORS AND MEDIATORS ARE MEMBERS OF THE ASSOCIATION'S BOARD OF DIRECTORS. HOWEVER, SUCH SERVICE IS PURELY VOLUNTARY AND NO MEMBER OF THE BOARD IS COMPENSATED FOR THEIR SERVICE AS A MEMBER OF THE BOARD, INCLUDING ANY MEMBER OF THE BOARD THAT IS ALSO AN ARBITRATOR AND MEDIATOR. OF THE AAA'S TOTAL ROSTER OF IMPARTIAL ARBITRATORS AND MEDIATORS, THERE WERE 506 ARBITRATORS AND MEDIATORS WHO RECEIVED COMPENSATION IN EXCESS OF $100,000 IN 2019. FORM 990, PART VIII, LINE 2A - 2D SINCE 1926, THE AMERICAN ARBITRATION ASSOCIATION ("AAA") HAS FAITHFULLY AND CONSISTENTLY ADHERED TO THESE GUIDELINES, AND THE REVENUE-PRODUCING ACTIVITIES LISTED IN PART VIII ARE ALL EXECUTED IN SUPPORT OF THE FOLLOWING: 2A - RELATES TO THE PURPOSE OF "ADMINISTERING PROCEDURES FOR THE RESOLUTION OF DISPUTES." THIS IS DONE BY FACILITATING PARTIES' USE OF VARIOUS SYSTEMS OF ARBITRATION, MEDIATION AND DEMOCRATIC ELECTIONS. 2B - RELATES TO THE PURPOSE OF EDUCATING THE GENERAL PUBLIC AND INTERESTED PARTIES BY WAY OF EDUCATIONAL SEMINARS RUN BY THE AAA IN VARIOUS COMMUNITIES IN FULL RANGE OF SUCH DISPUTE RESOLUTION PROCEDURES AS DESCRIBED IN OUR BYLAWS. 2C - RELATES TO THE PURPOSE OF TRAINING AND EDUCATING THE BAHRAIN CHAMBER FOR DISPUTE RESOLUTION IN A FULL RANGE OF DISPUTE RESOLUTION PROCEDURES AS DESCRIBED IN OUR BYLAWS. 2D - RELATES TO THE SALE OF EDUCATIONAL PUBLICATIONS ON THE SUBJECT OF CONFLICT MANAGEMENT AND VOLUNTARY DISPUTE RESOLUTION TO THE GENERAL PUBLIC AND INTERESTED PARTIES. THESE INCLUDE BOOKS, PAMPHLETS AND OTHER EDUCATIONAL MATERIALS, AS WELL AS DIGITALLY FORMATTED PUBLICATIONS AND ARBITRATION AWARDS THAT ARE PUBLICLY AVAILABLE ONLINE. FORM 990, PART XI, LINE 9: PENSION LIABILITY ADJUSTMENT -2,382,682. ACCRUED POST RETIREMENT ADJUSTMENT -2,298,984. FORM 990, PART XII, LINE 2C: NO CHANGE FROM PRIOR PERIOD PROCESS. FORM 990, PART XI, LINE 8: THE ASSOCIATION HAS ADOPTED FASB ASU 2014-09, REVENUE FROM CONTRACTS WITH CUSTOMERS (TOPIC 606). THE ASSOCIATION HAS ADOPTED ASU 2014-09 ON JANUARY 1, 2019 USING THE RETROSPECTIVE METHOD OF TRANSITION FOR ALL CONTRACTS THAT ARE NOT COMPLETE AS OF THE DATE OF INITIAL APPLICATION. THE ASSOCIATION'S REVENUE FOR REPORTING PERIODS ENDED AFTER DECEMBER 31, 2018 ARE PRESENTED UNDER THE NEW GUIDANCE, WHILE FINANCIAL RESULTS FOR PRIOR PERIODS WILL CONTINUE TO BE REPORTED IN ACCORDANCE WITH THE PRIOR GUIDANCE AND THE ASSOCIATION'S HISTORICAL ACCOUNTING POLICY. THE ADOPTION OF THIS PRONOUNCEMENT HAS RESULTED IN SOME REVENUE BEING RECOGNIZED UPON THE COMPLETION OF SERVICES DURING LATER STAGES OF CASES RATHER THAN BEING RECOGNIZED IMMEDIATELY UPON BILLING. AMERICAN ARBITRATION ASSOCIATION - ICDR LTD 1 MARINA BOULEVARD 28-00 SN 018989 980677444 DISPUTE RESOLUTION SN 0 471608 AMERICAN ARBITRATION ASSOCIATION INC AMERICAN ARBITRATION ASSOCIATION - INT'L CENTRE FOR DISPUTE RESOLUTION FNDN 120 BROADWAY FLOOR 21 NEW YORK NY 10271 134197286 DISPUTE RESOLUTION RESEARCH NY 501(C)(3) LINE 7 AMERICAN ARBITRATION ASSOCIATION INC 1 0 1 0 0 0 0 0 0 0 0 0 1 0 1 1 1 1 1 0 SCHEDULE R, PART II, COLUMN B: THE AAA-ICDR FOUNDATION, INC, SUPPORTS THE USE AND IMPROVEMENT OF DISPUTE RESOLUTION PROCESSES IN THE USA AND INTERNATIONALLY, INCLUDING: FOSTERING MEASURES THAT REDUCE POTENTIAL ESCALATION, MANAGE AND RESOLVE CONFLICTS; EXPANDING THE USE OF DISPUTE RESOLUTION GRANTMAKING: EXPENSES INCURRED DIRECTLY RELATED TO GRANT-MAKING. THE 2019 GRANT CYCLE FOCUSED ON INNOVATIVE AND REPLICABLE PROPOSALS THAT PROVIDE: ADR FOR VULNERABLE AND UNDERSERVED POPULATIONS AND ADR FOR COMMUNITY FOCUSED DISPUTE RESOLUTION. THE FOUNDATION REMAINED COMMITTED TO FUNDING HIGH QUALITY INNOVATIVE PROGRAMS IN FURTHERANCE OF ITS BROADER MISSION.