2020-11-09T07:25:52-06:00 2019-12-31 420714325 RSM US LLP 2021 L STREET NW 400 WASHINGTON DC 20036 990 2019-01-01 530183246 ASSOCIATION OF PUBLIC AND LAND-GRANT UNIVERSITIES ASSO 2024786040 1307 NEW YORK AVENUE NW NO 400 WASHINGTON DC 200054722 SCOTT POWELL CHIEF FINANCIAL OFFICER 2024786040 2020-11-09 1 SARA SMITH P01332734 2022932200 138.88.173.105 2020-11-09 07:25:15 ES P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 C7C937CA623DFB7884503BA84EC9B5C24C7C8E34 2019 2021-01-29 14:40:06Z APLU PETER MCPHERSON 1307 NEW YORK AVENUE NW NO 400 WASHINGTON DC 200054722 23654448 0 X WWW.APLU.ORG X 1887 DC A.P.L.U.'S OVERRIDING MISSION IS TO SUPPORT HIGH-QUALITY PUBLIC HIGHER EDUCATION. 26 26 87 325 0 0 7163377 8895881 11570163 11399398 -246276 713953 137 700 18487401 21009932 3170458 3651320 0 0 8553047 9637854 0 0 0 6963857 7004462 18687362 20293636 -199961 716296 17413219 22982514 5193723 9666629 12219496 13315885 X A.P.L.U. IS DEDICATED TO ADVANCING RESEARCH, LEARNING AND ENGAGEMENT. THE ASSOCIATION'S OVERRIDING MISSION IS TO SUPPORT HIGH-QUALITY PUBLIC HIGHER EDUCATION AND ITS MEMBER INSTITUTIONS AS THEY PERFORM THEIR TEACHING, RESEARCH, AND PUBLIC SERVICE ROLES. A.P.L.U. PROVIDES A FORUM FOR THE DISCUSSION AND DEVELOPMENT OF POLICIES AFFECTING HIGHER EDUCATION AND THE PUBLIC INTEREST. 0 0 4057565 1126100 65939 ACADEMIC AFFAIRS CONDUCTS STUDIES, ISSUES REPORTS, AND MAKES PRESENTATIONS INTENDED TO IMPROVE THE UNDERSTANDING OF THE ACADEMIC UNDERTAKINGS OF OUR MEMBERS. IN RECENT TIMES IT HAS DEVOTED SPECIAL ATTENTION TO UNDERGRADUATE EDUCATION, INCLUDING ACCESS, COST, FINANCIAL AID, QUALITY, TIME TO DEGREE, AND ACCOUNTABILITY. THE STRATEGIC ANALYSIS AND PROJECTS GROUP HAS CARRIED OUT A NUMBER OF PROJECTS RELATED TO PROVIDING GREATER ACCOUNTABILITY AND CAPTURING MORE ACCURATE DATA (E.G., VOLUNTARY SYSTEM OF ACCOUNTABILITY, STUDENT ACHIEVEMENT MEASURE). OTHER PROJECTS HAVE WORKED TO IMPROVE AND EXPAND THE USE OF LEARNING TECHNOLOGIES TO ACHIEVE HIGHER QUALITY LEARNING WHILE CONTAINING COSTS (PERSONALIZED LEARNING CONSORTIUM). 3358243 238012 3011514 THE COMMISSION ON FOOD, ENVIRONMENT, AND RENEWABLE RESOURCES (CFERR) FOCUSES ON CROSS-CUTTING ISSUES RELATED TO AGRICULTURE, FORESTRY, HUMAN SCIENCES, NATURAL RESOURCES, ECOLOGICAL SCIENCES, OCEANS AND ATMOSPHERE, AND VETERINARY MEDICINE IN THE FUNCTIONAL AREAS OF RESEARCH, EXTENSION, AND ACADEMIC PROGRAMS. THE COMMISSION SEEKS TO FORMULATE AND IMPLEMENT AN INTEGRATED FEDERAL RELATIONS PROGRAM AND FORMULATE CONGRESSIONAL BUDGET RECOMMENDATIONS IN HIGH-PRIORITY AREAS OF NATIONAL CONCERN. 2903507 1542643 13575 OFFICE OF URBAN INITIATIVES - THE OFFICE OF URBAN INITIATIVES' MAJOR FOCUS IS PUBLIC RESEARCH UNIVERSITIES LOCATED IN URBAN CENTERS WHICH PLAY A CRUCIAL ROLE IN ANCHORING THE COMMUNITY, FOSTERING NEIGHBORHOOD AND ECONOMIC DEVELOPMENT OF THEIR CITIES, AND ADVANCING THE HEALTH, EDUCATION, AND WELL-BEING OF CITY RESIDENTS. 2413026 591964 158308 RESEARCH, INNOVATION, AND STEM POLICY: THE OFFICE OF RESEARCH, INNOVATION, AND STEM POLICY'S MAJOR FOCUS IS THE SCIENCE AND MATH TEACHER IMPERATIVE, A LONG-TERM EFFORT TO ADDRESS THE SHORTAGE OF WELL-QUALIFIED SCIENCE AND MATH TEACHERS. 4606627 152601 8150062 ALL OTHER PROGRAMS INCLUDING: INTERNATIONAL PROGRAMS, CONGRESSIONAL AFFAIRS, PUBLIC AFFAIRS, DATA & ANALYTICS, ACCESS & SUCCESS, ECONOMIC DEVELOPMENT, AND INFORMATION TECHNOLOGY 7019653 744565 8308370 17338968 1 1 0 1 0 0 0 0 0 1 1 1 0 0 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 0 0 1 155 0 1 87 1 0 0 0 0 0 0 0 0 0 0 0 0 X 26 26 1 0 0 0 1 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 NY X THE ASSOCIATION 2024786040 1307 NEW YORK AVENUE NW STE 400 WASHINGTON DC 20005 ROBERT JONES CHAIR 1.00 X X 0 0 0 WADED CRUZADO CHAIR-ELECT 1.00 X X 0 0 0 MICHAEL DRAKE PAST-CHAIR 1.00 X X 0 0 0 REBECCA BLANK CHAIR, COUNCIL OF PRESIDEN 1.00 X X 0 0 0 GARY MAY SEC, CNCL OF PRES (FROM 11/19) 1.00 X X 0 0 0 MAKOLA ABDULLAH AT-LARGE MEMBER 1.00 X 0 0 0 MONICA RAO DIRECTOR 1.00 X 0 0 0 JOSEPH GLOVER DIRECTOR 1.00 X 0 0 0 GINA DALY DIRECTOR 1.00 X 0 0 0 SARAH NUSSER DIRECTOR 1.00 X 0 0 0 DANA TOPOUSIS DIRECTOR 1.00 X 0 0 0 DENISE MAYBANK DIRECTOR 1.00 X 0 0 0 MICHAEL RAO DIRECTOR 1.00 X 0 0 0 HAVIDAN RODRIGUEZ DIRECTOR 1.00 X 0 0 0 PATRICK GALLAGHER DIRECTOR 1.00 X 0 0 0 CHAD WOOTTON DIRECTOR 1.00 X 0 0 0 NOELLE CROCKETT DIRECTOR 1.00 X 0 0 0 ORLANDO MCMEANS DIRECTOR 1.00 X 0 0 0 TIM SANDS DIRECTOR 1.00 X 0 0 0 JOHNATHAN PRUITT DIRECTOR 1.00 X 0 0 0 MUN CHOI AT-LARGE MEMBER 1.00 X 0 0 0 SUSAN COLE AT-LARGE MEMBER 1.00 X 0 0 0 MARTIN MEEHAN AT-LARGE MEMBER 1.00 X 0 0 0 SAMUEL STANLEY AT-LARGE MEMBER 1.00 X 0 0 0 JOSEPH STEINMETZ AT-LARGE MEMBER 1.00 X 0 0 0 ROBERT NELSEN AT-LARGE MEMBER 1.00 X 0 0 0 ROBERT CARET PAST-CHAIR (TO 11/19) 1.00 X X 0 0 0 STEVEN LEATH SEC, CNCL OF PRES (TO 11/19) 1.00 X X 0 0 0 KENT SMITH JR DIRECTOR (TO 11/19) 1.00 X 0 0 0 JOHN LATINI DIRECTOR (TO 11/19) 1.00 X 0 0 0 TERI LUCIE THOMPSON DIRECTOR (TO 11/19) 1.00 X 0 0 0 JAVAUNE ADAMS-GASTON DIRECTOR (TO 11/19) 1.00 X 0 0 0 SANDRA BROWN DIRECTOR (TO 11/19) 1.00 X 0 0 0 MARK ROSENBERG DIRECTOR (TO 11/19) 1.00 X 0 0 0 ERIC BARRON DIRECTOR (TO 11/19) 1.00 X 0 0 0 HARRIS PASTIDES DIRECTOR (TO 11/19) 1.00 X 0 0 0 MARK BECKER DIRECTOR (TO 7/19) 1.00 X 0 0 0 RITA CHENG AT-LARGE MEMBER (TO 11/19) 1.00 X 0 0 0 JUDY GENSHAFT AT-LARGE MEMBER (TO 11/19) 1.00 X 0 0 0 HAROLD MARTIN AT-LARGE MEMBER (TO 11/19) 1.00 X 0 0 0 KIRK SCHULZ AT-LARGE MEMBER (TO 11/19) 1.00 X 0 0 0 VISTASP KARBHARI AT-LARGE MEMBER (TO 11/19) 1.00 X 0 0 0 M PETER MCPHERSON PRESIDENT 37.50 X 558916 0 50766 HOWARD GOBSTEIN EXECUTIVE VP 37.50 X 183376 0 43093 EMILY VAN LOON CFO, TREASURER 37.50 X 172420 0 42766 JEAN MIDDLETON VP, CHIEF OF STAFF 37.50 X 156416 0 27377 DOUGLAS L STEELE VP FOOD AG NATURAL RESOURC 37.50 X 301465 0 48344 BERNARD ANTHONY MAIR SVP CAO 37.50 X 212058 0 46636 SHARI GARMISE VP URBAN INITIATIVES & ED USU 37.50 X 200351 0 39899 JEFFREY LIEBERSON SVP OF PUBLIC AFFAIRS & CHIEF STRATEGY OFFICER 37.50 X 188476 0 50158 CRAIG LINDWARM VICE PRESIDENT OGA 37.50 X 165447 0 26701 EUGENE L ANDERSON VP OF OAS 37.50 X 165424 0 42207 MONTAGUE DEMMENT VP OF INTERNATIONAL PROGRAMS 37.50 X 152088 0 22453 BRYAN J COOK VP DATA POLICY ANALYSIS 37.50 X 152044 0 44908 KAREN K VIGNARE PLC EXECUTIVE DIRECTOR 37.50 X 156767 0 38948 SHEILA A MARTIN VP ECON DEV COM ENGAGEMENT 37.50 X 136352 0 33449 EDDIE GOUGE EXECUTIVE DIRECTOR CARET 37.50 X 124795 0 28659 ANNE-CLAIRE HERVY ASSOCIATE VP IP 37.50 X 122035 0 34062 WENDY FINK DIRECTOR AG ED BAA 37.50 X 117805 0 34687 3266235 0 655113 23 0 1 0 CORNERSTONE LLC 800 MAINE AVENUE SW 7TH FLOOR WASHINGTON DC 20024 ADVOCACY SERVICES 1228412 INTERNATIONAL FOOD POLICY RESEARCH INSTI 1201 I STREET NW WASHINGTON DC 20005 RESEARCH STUDY 299468 KGLOBAL 13800 COPPERMINE ROAD SUITE 307 HERNDON VA 20171 ADVOCACY SERVICES 278330 RICHARD KLEMME 142 LARKIN STREET MADISON WI 53705 CONSULTING 211204 HCM STRATEGISTS 1156 15TH STREET NW SUITE 850 WASHINGTON DC 20005 BUSINESS MANAGEMENT CONSULTING 158680 8 2822918 6072963 8895881 MEMBER DUES & ASSESSMENTS 900099 9524808 9524808 MEETINGS & SEMINARS 900099 1874590 1874590 11399398 184911 184911 3173558 2644516 529042 529042 529042 MISCELLANEOUS 900099 700 700 700 21009932 11399398 0 714653 X 3626955 3626955 24365 24365 3166385 2521682 644703 5009852 3979357 1030495 433557 351957 81600 500545 401236 99309 527515 438151 89364 65419 31564 33855 81832 81832 2497908 2341263 156645 14842 11252 3590 493069 158944 334125 398385 220685 177700 398176 17324 380852 1113707 1032863 80844 1633551 927683 705868 26534 26534 98806 78861 19945 BAD DEBT EXPENSE 94672 94672 SUBSCRIPTIONS, REFERENC 84959 63731 21228 MISCELLANEOUS 1917 1917 CONTRIBUTIONS & PRIZES 685 685 1108493 -1108493 20293636 17338968 2954668 0 571903 1073105 6482803 10645276 1246407 1297787 114854 132994 5260898 2405936 2953768 2854962 5711229 6539391 332255 438999 17413219 22982514 612189 1134905 2966159 7061276 1315532 1063861 299843 406587 5193723 9666629 X 10538987 11532555 1680509 1783330 12219496 13315885 17413219 22982514 X 716296 329556 50537 X X 0 1 X 1 1 1 X 3292191 5488265 5868111 7163377 8895881 30707825 3292191 5488265 5868111 7163377 8895881 30707825 13892896 16814929 45943 60776 69221 88077 184911 448928 752 3124 20011 137 700 24724 31181477 57583655 0.53930 0.49240 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: INCOME FROM ACTIVITIES THAT ARE NOT REGULARLY CARRIED ON RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 584170 584170 19709466 20293636 1000000 250000 0 0 991451 1000000 1000000 1000000 3991451 5987177 597116 702500 662516 584170 2546302 247863 250000 250000 250000 997863 1496795 1680509 166146 63325 1783330 1681872 22135 23498 1680509 1612140 118024 48292 1681872 1617770 60338 65968 1612140 1650063 28705 60998 1617770 0.00000 0.81840 0.18160 0 0 1331256 1331256 3115485 1647828 1467657 60699 53043 7656 753458 705065 48393 2854962 POOLED INVESTMENTS 6539391 F 6539391 DEFERRED COMPENSATION 406587 406587 21339488 329556 329556 21009932 0 21009932 20243099 0 20243099 50537 50537 20293636 PART V, LINE 4: THE ASSOCIATION'S ENDOWMENT CONSISTS PRIMARILY OF FUNDS GRANTED BY THE W.K. KELLOGG ASSOCIATION FOR RECOGNIZING AND REWARDING PUBLIC UNIVERSITY FACULTY AND EXTERNAL PARTNERS FOR OUTSTANDING PARTNERSHIPS THAT EMBRACE PUBLIC UNIVERSITY ENGAGEMENT WITH THEIR CONSTITUENTS. THE ENDOWMENT IS DONOR-RESTRICTED TO BE HELD IN PERPETUITY TO GENERATE RETURNS TO PROVIDE FOR TWO ANNUAL SETS OF AWARDS. A SMALL AMOUNT OF ENDOWMENT FUNDS ARE HELD IN TEMPORARILY RESTRICTED FUNDS. PART XII, LINE 4B - OTHER ADJUSTMENTS: GRANT REFUNDS 50,537. 1 AMERICAN ASSOCIATION OF STATE COLLEGES AND UNIVERSITIES 1307 NEW YORK AVE NW FLOOR 5 WASHINGTON DC 20005 520747578 501(C)3 7500 PROGRAM SUPPORT ARIZONA STATE UNIVERSITY 1511 S FOREST AVE SUITE 246 TEMPE AZ 85281 860196696 115 133000 PROGRAM SUPPORT BOSTON UNIVERSITY PO BOX 28763 NEW YORK NY 100878763 042103547 115 16642 PROGRAM SUPPORT CALIFORNIA STATE UNIVERSITY EAST BAY 25800 CARLOS BEE BLVD HAYWARD CA 94542 946390556 115 36156 PROGRAM SUPPORT CALIFORNIA STATE UNIVERSITY FULLERTON 1121 N STATE COLLEGE BLVD FULLERTON CA 92831 330632102 115 48464 PROGRAM SUPPORT CLEVELAND STATE UNIVERSITY 2121 EUCLID AVE CLEVELAND OH 44115 340966056 115 25000 PROGRAM SUPPORT COLORADO STATE UNIVERSITY 801 OVAL DRIVE FORT COLLINS CO 805231052 846000545 115 225500 PROGRAM SUPPORT CORNELL UNIVERSITY 341 PINE TREE ROAD ITHACA NY 14850 150532082 501(C)3 24500 PROGRAM SUPPORT FLORIDA INTERNATIONAL UNIVERSITY 11199 SW 8TH ST MIAMI FL 33198 650177615 115 257324 PROGRAM SUPPORT FLORIDA STATE UNIVERSITY 874 TRADITIONS WAY TALLAHASSEE FL 323064166 591961248 115 20000 PROGRAM SUPPORT GEORGIA STATE UNIVERSITY PO BOX 3961 ATLANTA GA 30303 586002050 115 318000 PROGRAM SUPPORT INTERNATIONAL FOOD POLICY RESEARCH INSTITUTE 1201 I ST NW SUITE 1200 WASHINGTON DC 20005 521041632 501(C)3 99823 PROGRAM SUPPORT IOWA STATE UNIVERSITY 515 MORRILL RD AMES IA 50011 426004224 115 12000 PROGRAM SUPPORT KENNESAW STATE UNIVERSITY 585 COBB AVE KENNESAW GA 30144 580965786 115 31386 PROGRAM SUPPORT LOYOLA UNIVERSITY CHICAGO 820 N MICHIGAN AVE CHICAGO IL 60611 361408475 115 45375 PROGRAM SUPPORT MISSISSIPPI STATE UNIVERSITY PO BOX 5227 MISSISSIPPI STATE MS 397625227 646000819 115 20000 PROGRAM SUPPORT MORGAN STATE UNIVERSITY 1700 E COLDSPRING LANE BALTIMORE MD 21251 526002033 115 31100 PROGRAM SUPPORT NORTHERN ARIZONA UNIVERSITY S SAN FRANCISCO ST FLAGSTAFF AZ 86011 742579628 115 103000 PROGRAM SUPPORT NORTHWESTERN UNIVERSITY 633 CLARK STREET EVANSTON IL 602081112 362167817 115 61189 PROGRAM SUPPORT OREGON STATE UNIVERSITY 1500 SW JEFFERSON STREET CORVALLIS OR 97331 936022772 115 103000 PROGRAM SUPPORT PORTLAND STATE UNIVERSITY PO BOX 751 PORTLAND OR 972070751 936001786 115 418179 PROGRAM SUPPORT PURDUE UNIVERSITY 403 WEST WOOD STREET WEST LAFAYETTE IN 47907 356002041 115 12500 PROGRAM SUPPORT RESULTED LLC 6255 COLLEGIATE DR HIGHLANDS RANCH CO 80130 824505456 115 47462 PROGRAM SUPPORT SOUTH DAKOTA STATE UNIVERSITY DEPARTMENT OF FINANCE AND BUSINESS BROOKINGS SD 57007 466000364 115 152333 PROGRAM SUPPORT THE OHIO STATE UNIVERSITY 901 WOODY HAYES DR SUITE 400 COLUMBUS OH 43201 316025986 115 55250 PROGRAM SUPPORT UNIVERSITY AT ALBANY 1400 WASHINGTON AVE ALBANY NY 12222 161514621 115 50000 PROGRAM SUPPORT UNIVERSITY OF CENTRAL FLORIDA PO BOX 160002 ORLANDO FL 328160002 592924021 115 50000 PROGRAM SUPPORT UNIVERSITY OF COLORADO - BOULDER PO BOX 910220 DENVER CO 802910220 846000555 115 7711 PROGRAM SUPPORT UNIVERSITY OF COLORADO DENVER PO BOX 910238 DENVER CO 802910238 846000555 115 120000 PROGRAM SUPPORT UNIVERSITY OF ILLINOIS 28395 NETWORK PLACE CHICAGO IL 606731283 376000511 115 20000 PROGRAM SUPPORT UNIVERSITY OF LOUISVILLE 6250 RELIABLE PARKWAY CHICAGO IL 606860062 611029626 115 160500 PROGRAM SUPPORT UNIVERSITY OF MARYLAND 1101 MAIN ADMINISTRATION BUILDING COLLEGE PARK MD 20742 526002033 115 31206 PROGRAM SUPPORT UNIVERSITY OF MASSACHUSETTS AMHERST 70 BUTTERFIELD TERRACE AMHERST MA 01003 542084125 115 116219 PROGRAM SUPPORT UNIVERSITY OF MEMPHIS 3720 ALUMNI AVE MEMPHIS TN 38152 626048540 115 49521 PROGRAM SUPPORT UNIVERSITY OF MISSISSIPPI PO BOX 1848 UNIVERSITY MS 38677 646001159 115 118000 PROGRAM SUPPORT UNIVERSITY OF NEW MEXICO 1 UNIVERSITY OF NEW MEXICO ALBUQUERQUE NM 87131 856000642 115 100000 PROGRAM SUPPORT UNIVERSITY OF NORTH CAROLINA CHARLOTTE 9201 UNIVERSITY CITY BLVD CHARLOTTE NC 282230001 560791228 115 130000 PROGRAM SUPPORT UNIVERSITY OF OKLAHOMA 201 DAVID L BOREN BLVD SUITE 100 NORMAN OK 73019 736017987 115 14785 PROGRAM SUPPORT UNIVERSITY OF TEXAS AT EL PASO 500 W UNIVERSITY AVE EL PASO TX 79968 746000813 115 25000 PROGRAM SUPPORT UNIVERSITY OF TEXAS RIO GRANDE VALLEY 1201 W UNIVERSITY DRIVE EDINBURG TX 78539 465292740 115 71650 PROGRAM SUPPORT UNIVERSITY OF TOLEDO UNIVERSITY HALL ROOM 3501 TOLEDO OH 436063391 346401484 115 175000 PROGRAM SUPPORT UNIVERSITY OF WASHINGTON TACOMA 1900 COMMERCE STREET TACOMA WA 98402 916001537 115 50000 PROGRAM SUPPORT VIRGINIA COMMONWEALTH UNIVERSITY PO BOX 980568 RICHMOND VA 23298 546001758 115 7519 PROGRAM SUPPORT 43 0 CAA MEETING HONORARIUM 1 200 COR 2019 FELLOW AWARDS 1 370 EXPERIMENT STATION SECTION-DIVERSITY CATALYST AWARD 1 1000 ACADEMIC PROGRAMS SECTION 1 1517 NSF CLINICAL 2 2000 BOARD ON HUMAN SCIENCES 4 4000 ECOP NATIONAL LEADERSHIP- EIE/DIVERSITY AWARD 7 15000 SPEAKER GIFTS 1 278 PART I, LINE 2: THE RECIPIENT INSTITUTIONS ARE SELECTED THROUGH A COMPETITIVE GRANT PROCESS. APLU MONITORS SUB-AWARDS ON AN ONGOING BASIS BUT AT A MINIMUM ANNUALLY. ALL INSTITUTIONAL CONTRACTS INCLUDE A REPORTING SCHEDULE (WHEN A NARRATIVE AND BUDGET UPDATE ARE REQUIRED). ADDITIONALLY, ANY TIME AN INSTITUTION NEEDS TO MOVE FUNDS ACROSS LINE ITEMS, THEY ARE REQUIRED TO REQUEST APPROVAL FROM APLU, SPECIFICALLY IF THIS MOVE EXCEEDS 10 PERCENT. X X 1 0 X X X 0 0 0 0 0 0 0 1 0 M PETER MCPHERSON PRESIDENT 476316 0 0 0 82600 0 28000 0 33845 0 620761 0 0 0 HOWARD GOBSTEIN EXECUTIVE VP 181354 0 2022 0 0 0 21477 0 26965 0 231818 0 0 0 EMILY VAN LOON CFO, TREASURER 165405 0 7015 0 0 0 20000 0 26095 0 218515 0 0 0 JEAN MIDDLETON VP, CHIEF OF STAFF 153613 0 2058 0 745 0 16000 0 16565 0 188981 0 0 0 DOUGLAS L STEELE VP FOOD AG NATURAL RESOURC 297089 0 2000 0 2376 0 28000 0 24343 0 353808 0 0 0 BERNARD ANTHONY MAIR SVP CAO 205486 0 2000 0 4572 0 24000 0 27066 0 263124 0 0 0 SHARI GARMISE VP URBAN INITIATIVES & ED USU 196788 0 2015 0 1548 0 20800 0 24359 0 245510 0 0 0 JEFFREY LIEBERSON SVP OF PUBLIC AFFAIRS & CHIEF STRATE 186101 0 2015 0 360 0 20300 0 38879 0 247655 0 0 0 CRAIG LINDWARM VICE PRESIDENT OGA 162615 0 2038 0 794 0 16573 0 14987 0 197007 0 0 0 EUGENE L ANDERSON VP OF OAS 162877 0 2007 0 540 0 17700 0 31864 0 214988 0 0 0 MONTAGUE DEMMENT VP OF INTERNATIONAL PROGRAMS 147433 0 15 0 4640 0 18130 0 12051 0 182269 0 0 0 BRYAN J COOK VP DATA POLICY ANALYSIS 149511 0 2033 0 500 0 17651 0 32256 0 201951 0 0 0 KAREN K VIGNARE PLC EXECUTIVE DIRECTOR 153271 0 2000 0 1496 0 17000 0 26934 0 200701 0 0 0 SHEILA A MARTIN VP ECON DEV COM ENGAGEMENT 134352 0 2000 0 0 0 16500 0 19861 0 172713 0 0 0 EDDIE GOUGE EXECUTIVE DIRECTOR CARET 118912 0 2073 0 3810 0 14987 0 19808 0 159590 0 0 0 ANNE-CLAIRE HERVY ASSOCIATE VP IP 118727 0 3022 0 286 0 13064 0 27410 0 162509 0 0 0 WENDY FINK DIRECTOR AG ED BAA 115323 0 2080 0 402 0 13612 0 27091 0 158508 0 0 0 PART I, LINE 1A PER THE EMPLOYMENT AGREEMENT OF PETER MCPHERSON, A HOUSING ALLOWANCE OF $5,000 A MONTH IS PROVIDED TO HELP COVER HOUSING COSTS EXPENDED TO LIVE IN THE WASHINGTON, DC METROPOLITAN AREA. SOCIAL CLUB DUES REQUIRE AN INVOICE. PART I, LINE 1B REIMBURSEMENT AND PROVISION OF THE EXPENSES LISTED IN SCHEDULE J, PART 1, LINE 1A IS DETERMINED BY THE BOARD OF DIRECTORS' COMPENSATION COMMITTEE AS A PART OF THEIR DELIBERATIONS ON AN OVERALL PACKAGE FOR THE ASSOCIATION'S PRESIDENT. AS SUCH, NO FORMAL POLICY EXISTS THAT MANDATES WHICH, IF ANY, OF THESE EXPENSES ARE REQUIRED TO BE INCLUDED. THE COMMITTEE DOES CONSIDER THE COMPENSATION PACKAGES PROVIDED TO THE OTHER ASSOCIATIONS THAT COMPRISE THE "SIX," A GROUPING OF THE SIX MOST SIGNIFICANT ASSOCIATIONS FOR HIGHER EDUCATION OF WHICH APLU IS ONE. PART I, LINE 7 BONUSES ARE PROVIDED TO CERTAIN EMPLOYEES, AND ARE MERIT BASED TO RECOGNIZE STELLAR PERFORMANCE. THE BONUSES ARE DETERMINED USING THE FEEDBACK OF THE SUPERVISOR. FOR MANAGEMENT POSITIONS, THE BONUS IS DETERMINED BY THE PRESIDENT USING PERFORMANCE REVIEWS, PORTFOLIO, AND SCOPE OF ACCOUNTABILITY AS METRICS. FORM 990, PART VI, SECTION A, LINE 1 THERE SHALL BE AN EXECUTIVE COMMITTEE OF THE BOARD OF DIRECTORS OF THE ASSOCIATION. THE EXECUTIVE COMMITTEE WILL MEET FROM TIME TO TIME TO PROVIDE ADVICE TO THE PRESIDENT OF THE ASSOCIATION BETWEEN BOARD MEETINGS OF THE ASSOCIATION, ACT ON BEHALF OF THE BOARD AS REQUIRED BETWEEN FULL BOARD MEETINGS, PROVIDE OVERSIGHT AS APPROPRIATE TO THE PRESIDENT, AND PROVIDE LEADERSHIP TO THE PERIODIC REVIEWS OF THE PRESIDENT. FORM 990, PART VI, SECTION A, LINE 2 MICHAEL RAO, MONICA RAO - FAMILY RELATIONSHIP FORM 990, PART VI, SECTION A, LINE 6 THE ASSOCIATION SHALL HAVE ONE CLASS OF MEMBERS, UNLESS OTHERWISE DETERMINED BY THE BOARD OF DIRECTORS. MEMBERS SHALL NOT HAVE THE RIGHT TO VOTE, EXCEPT AS PART OF THEIR MEMBERSHIP ON ASSOCIATION BOARDS, COMMISSIONS, COMMITTEES AND COUNCILS DESCRIBED BELOW. ALL MEMBERS OF THE ASSOCIATION SHALL CONSIST OF INSTITUTIONS OF HIGHER EDUCATION, EACH OF WHICH QUALIFIES UNDER SECTION 115(A) OF THE INTERNAL REVENUE CODE OF 1986, OR IS EXEMPT FROM FEDERAL INCOME TAXATION UNDER SECTION 501(A) OF SUCH CODES AS AN ORGANIZATION DESCRIBED IN SECTION 501(C)(3) OF SUCH CODE, AND IS AN ORGANIZATION DESCRIBED IN SECTION 509(A)(1), (2), OR (3) OF SUCH CODES (OR THE CORRESPONDING PROVISIONS OF ANY FUTURE UNITED STATES INTERNAL REVENUE LAW), AND WHICH MEET THE FOLLOWING ADDITIONAL CRITERIA: INSTITUTIONAL MEMBERS: UNITED STATES AND ITS TERRITORIES 1. AUTOMATIC MEMBERSHIP ACCREDITED UNIVERSITIES THAT MEET AT LEAST ONE OF THE FOLLOWING THREE CRITERIA ARE QUALIFIED FOR A.P.L.U. MEMBERSHIP WITHOUT FORMAL ACTION BY THE BOARD OF DIRECTORS (A) INSTITUTION IS A LAND GRANT INSTITUTION (1862, 1890, 1994) (B) A PUBLIC INSTITUTION CLASSIFIED BY THE MOST RECENT EDITION OF THE CARNEGIE CLASSIFICATION OF INSTRUCTIONAL PROGRAMS IN ONE OF THE TWO BASIC CLASSIFICATIONS FOR DOCTORAL UNIVERSITIES THAT REPRESENT THE TWO HIGHEST LEVELS OF RESEARCH ACTIVITY (C) INSTITUTION IS A CURRENT A.P.L.U. MEMBER IN GOOD STANDING. 2. DISCRETIONARY MEMBERSHIP ACCREDITED PUBLIC INSTITUTIONS THAT DO NOT QUALIFY FOR AUTOMATIC MEMBERSHIP AS OUTLINED ABOVE MAY QUALIFY FOR MEMBERSHIP UNDER THE DISCRETIONARY MEMBERSHIP CRITERIA. INSTITUTIONS THAT SATISFY THE THRESHOLDS FOR THE FOUR DISCRETIONARY CRITERIA IN THIS SECTION MAY BE CONSIDERED FOR MEMBERSHIP AND MUST BE APPROVED BY THE BOARD OF DIRECTORS. THE BOARD OF DIRECTORS MAINTAINS THE RIGHT TO ADMIT A UNIVERSITY THAT DOES NOT MEET THE THRESHOLDS FOR THE DISCRETIONARY CRITERIA IN ORDER TO SUSTAIN AND ADVANCE MEMBERSHIP OF PUBLIC RESEARCH AND LAND-GRANT UNIVERSITIES. (A) RESEARCH ACTIVITY: TO SATISFY THE RESEARCH ACTIVITY CRITERION, INSTITUTIONS MUST EXCEED EITHER THE THRESHOLD FOR TOTAL RESEARCH EXPENDITURES OR THE THRESHOLD FOR RESEARCH INTENSITY. I. TOTAL RESEARCH EXPENDITURES GREATER THAN $35 MILLION IN TOTAL R&D EXPENDITURES RESEARCH INTENSITY II. RESEARCH INTENSITY GREATER THAN $25 THOUSAND IN TOTAL R&D EXPENDITURES PER FACULTY FTE (B) BREADTH OF DOCTORAL PROGRAMS AND RESEARCH FOCUS: TO SATISFY THE CRITERIA, AN INSTITUTION MUST BE INCLUDED WITHIN THE SELECTED CARNEGIE BASIC CLASSIFICATIONS AND GRADUATE INSTRUCTIONAL PROGRAM CLASSIFICATIONS SPECIFIED BELOW. THE SELECTED CLASSIFICATIONS REPRESENT AN INSTITUTION WITH SIGNIFICANT RESEARCH FOCUS AND A RANGE OF DOCTORAL PROGRAMS. I. BASIC CARNEGIE CLASSIFICATIONS --RESEARCH/DOCTORAL INSTITUTIONS --SPECIAL FOCUS INSTITUTIONS WITHIN THE FOLLOWING SUB-CATEGORIES: --MEDICAL SCHOOLS & CENTERS --OTHER HEALTH PROFESSIONS SCHOOLS --ENGINEERING SCHOOLS --OTHER TECHNOLOGY-RELATED SCHOOLS --BUSINESS & MANAGEMENT SCHOOLS II. GRADUATE INSTRUCTIONAL PROGRAM CLASSIFICATIONS --RESEARCH DOCTORAL: COMPREHENSIVE PROGRAMS, WITH MEDICAL/VETERINARY SCHOOL --RESEARCH DOCTORAL: COMPREHENSIVE PROGRAMS, NO MEDICAL/VETERINARY SCHOOL --RESEARCH DOCTORAL: HUMANITIES/SOCIAL SCIENCES-DOMINANT --RESEARCH DOCTORAL: STEM-DOMINANT --RESEARCH DOCTORAL: PROFESSIONAL-DOMINANT (C) STUDENT ENROLLMENT (IPEDS UNDUPLICATED STUDENT HEADCOUNT, 3 YEAR AVERAGE, ALL LEVELS) TO SATISFY THE STUDENT ENROLLMENT CRITERION, INSTITUTIONS MUST HAVE AN AVERAGE ANNUAL, UNDUPLICATED STUDENT HEADCOUNT OF 10,000 STUDENTS. (D) COMMUNITY ENGAGEMENT TO MEET THE COMMUNITY ENGAGEMENT CRITERION, INSTITUTIONS MUST DEMONSTRATE A SUBSTANTIAL AND SUSTAINED ENGAGEMENT AS OUTLINED BY THE 2000 KELLOGG COMMISSION REPORT RETURNING TO OUR ROOTS. INSTITUTION MEMBERSHIP: CANADA AND MEXICO APPLICATIONS BY UNIVERSITIES WITHIN CANADA AND MEXICO WILL BE REVIEWED ON AN INDIVIDUAL BASIS BY THE BOARD OF DIRECTORS CONSIDERING COMPARABILITY WITH THE CRITERIA FOR U.S. INSTITUTIONS OUTLINED IN SECTION B WITHIN THEIR NATIONAL CONTEXTS. SYSTEM MEMBERSHIP: UNITED STATES AND ITS TERRITORIES STATE UNIVERSITY SYSTEMS WITHIN THE U.S. OR ITS TERRITORIES WITH ONE OR MORE OF THEIR INSTITUTION MEMBERS IN GOOD STANDING AS A MEMBER OF APLU AUTOMATICALLY ARE ELIGIBLE FOR MEMBERSHIP IN APLU AS SYSTEM MEMBERS. APLU SYSTEM MEMBERSHIP ALLOWS SYSTEM STAFF TO PARTICIPATE IN APPROPRIATE APLU ACTIVITIES. SYSTEM MEMBERSHIP DOES NOT CONVEY APLU MEMBERSHIP TO EACH INSTITUTION MEMBER WITHIN THE SYSTEM. INSTITUTIONS THAT ARE PART OF A SYSTEM MUST MEET THE INDIVIDUAL INSTITUTION CRITERIA FOR APLU MEMBERSHIP. ORGANIZATION AFFILIATE MEMBERSHIP: CANADA, MEXICO, AND THE UNITED STATES AND ITS TERRITORIES TAX EXEMPT ORGANIZATION WITH SUBSTANTIAL RESPONSIBILITY IN LEARNING, DISCOVERY, AND ENGAGEMENT MAY BE CONSIDERED FOR MEMBERSHIP IN APLU AS ORGANIZATIONS WITH PARTICIPATION IN SELECTED APLU COUNCILS AND COMMISSIONS. THESE APPLICATIONS WILL BE REVIEWED INDIVIDUALLY BY THE BOARD OF DIRECTORS WITH THE MEMBERSHIP AND PARTICIPATION DECISIONS BASED ON THE BOARD'S JUDGMENT OF THE EXTENT TO WHICH THE ORGANIZATION HAS SUBSTANTIAL, CONSTRUCTIVE IMPACT NATIONALLY AND INTERNATIONALLY ON LEARNING, DISCOVERY, AND ENGAGEMENT AT APLU MEMBER UNIVERSITIES AND SYSTEMS. FORM 990, PART VI, SECTION B, LINE 11B BOTH THE FORM 990 AND AUDITED FINANCIAL STATEMENTS ARE DISTRIBUTED ELECTRONICALLY TO THE APLU AUDIT COMMITTEE MEMBERSHIP FOR REVIEW AND APPROVAL. DURING THE DISTRIBUTION PROCESS, THE BOARD OF DIRECTORS ARE COPIED ON THE CORRESPONDENCE. AS REQUIRED, CONFERENCE CALLS ARE MADE WITH THE AUDIT COMMITTEE TO DISCUSS ANY QUESTIONS ON THE FORM 990. FORM 990, PART VI, SECTION B, LINE 12C THE CHIEF FINANCIAL OFFICER IS THE PRIMARY OFFICER RESPONSIBLE FOR MONITORING FOR POTENTIAL CONFLICT OF INTEREST TRANSACTIONS. MONITORING INCLUDES RELIANCE ON APLU EMPLOYEES FOR REPORTING MATTERS OF CONCERN. ALL APLU STAFF, REGARDLESS OF POSITION, ARE COVERED UNDER THE POLICY. IN THE CASE OF THE PRESIDENT, IF SATISFACTORY CONCLUSION CANNOT BE REACHED BY THE CFO, THEN THE CFO IS EMPOWERED TO REFER THE MATTER TO THE CHAIR OF THE BOARD OF DIRECTORS. IN ALL OTHER CASES, THE PRESIDENT IS THE ULTIMATE AUTHORITY FOR DETERMINING DISCIPLINARY AND CORRECTIVE ACTIONS FOR CONFLICT OF INTERESTS NOT RESOLVED BY THE CFO. FORM 990, PART VI, SECTION B, LINE 15A THE APLU BOARD OF DIRECTORS SETS THE CEO COMPENSATION DURING ITS NOVEMBER MEETING. PRIOR TO THE MEETING, COMPARABILITY DATA IS PROVIDED TO THEM BY THE APLU CHIEF FINANCIAL OFFICER. THE COMPARABILITY DATA IS AT THE DETAIL LEVEL AND ENCOMPASSES THE COMPENSATION PROVIDED TO THE CEOS OF THE SIX LEADING ASSOCIATIONS FOR HIGHER EDUCATION. ALSO MADE AVAILABLE ARE THE RESULTS FROM VARIOUS SURVEYS ON CEO SALARIES SUCH AS WASHINGTON AREA EXECUTIVE SECRETARIAT AND THE HUMAN RESOURCE ASSOCIATION OF THE NATIONAL CAPITAL AREA'S ANNUAL "COMPENSATION SURVEY REPORT." FORM 990, PART VI, SECTION C, LINE 19 THE GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART IX, LINE 11G TEMPORARY HELP: PROGRAM SERVICE EXPENSES 23,057. MANAGEMENT AND GENERAL EXPENSES 27,321. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 50,378. CONSULTANTS: PROGRAM SERVICE EXPENSES 2,182,178. MANAGEMENT AND GENERAL EXPENSES 111,397. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,293,575. PARTICIPANT SUPPORT COSTS: PROGRAM SERVICE EXPENSES 43,041. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 43,041. OTHER PROFESSIONAL FEES: PROGRAM SERVICE EXPENSES 92,987. MANAGEMENT AND GENERAL EXPENSES 17,927. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 110,914. FORM 990, PART XI, LINE 9: GRANT REFUNDS 50,537. FORM 990, PART XII, LINE 2C THE AUDIT OVERSIGHT PROCESS HAS REMAINED UNCHANGED FROM THE PREVIOUS YEAR.