2017-07-24T14:45:42-05:00 2016-12-31 521855942 Tate and Tryon 2021 L Street NW Suite 400 Washington DC 20036 990 2016-01-01 530183246 ASSOCIATION OF PUBLIC AND LAND-GRANT UNIVERSITIES ASSO 2024786040 1307 NEW YORK AVENUE No 400 Washington DC 200054722 Emily Van Loon Chief Financial Officer 2024786040 2017-07-24 1 R Michael Sorrells P00001737 2022932200 216.59.105.130 2017-07-24 14:45:40 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 5BC65B47B3A1F1CE2534BD8A8DAEFAC1BF945F16 2016 2021-01-29 14:40:06Z APLU Peter McPherson 1307 NEW YORK AVENUE No 400 Washington DC 200054722 20990847 0 X www.aplu.org X 1887 DC A.P.L.U.'S OVERRIDING MISSION IS TO SUPPORT HIGH-QUALITY PUBLIC HIGHER EDUCATION. 29 29 70 100 0 0 3292191 5488265 11952508 11246608 100997 60725 752 3124 15346448 16798722 1651249 2217258 0 0 7272744 7922361 0 0 0 5820676 6689410 14744669 16829029 601779 -30307 16420951 16751201 5223918 5321137 11197033 11430064 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 3670390 1236000 1389599 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). 3293767 165253 3293017 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. 1763414 579 996107 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. 2000514 57433 3684931 Government Affairs, Access & Advancement, and Public Affairs 1365949 300 691336 THE APLU INTERNATIONAL PROGRAMS (IP) SERVES TO ENSURE THAT INTERNATIONAL ACTIVITIES ARE EFFECTIVELY INTEGRATED INTO THE EDUCATION, RESEARCH, AND ENGAGEMENT OF OUR MEMBER INSTITUTIONS. WE WORK WITH OUR INSTITUTIONS TO DEVELOP OPPORTUNITIES FOR EFFECTIVE AND INCREASE ENGAGEMENT INTERNATIONALLY. WE FACILITATE OPPORTUNITIES FOR U.S. PUBLIC AND LAND-GRANT UNIVERSITIES, AMONG THE WORLD'S BEST, TO EXPAND THE VISION OF OUR STUDENTS TO MAKE THEM MORE GLOBALLY COMPETENT, TO CONDUCT INTERNATIONAL RESEARCH TO SOLVE GLOBAL PROBLEMS, AND TO BUILD THE CAPACITY OF PEOPLE AND INSTITUTIONS IN LOW INCOME COUNTRIES TO REDUCE POVERTY AND HUNGER. OUR AFRICA U.S. HIGHER EDUCATION INITIATIVE HAS A SPECIAL FOCUS TO DEVELOP HUMAN AND INSTITUTIONAL CAPACITY THROUGH PARTNERSHIPS BETWEEN U.S. AND AFRICAN INSTITUTIONS OF HIGHER EDUCATION. QUALITY HIGHER EDUCATION IS FUNDAMENTAL TO ECONOMIC AND SOCIAL DEVELOPMENT AND IN MANY PLACES CRITICAL FOR NATIONAL STABILITY. 1191768 45821 1191618 OFFICE OF THE PRESIDENT: THIS COUNCIL OF UNIVERSITY PRESIDENTS DIRECTS THE STRATEGIC FOCUS OF THE ASSOCIATION AND SELECTS FUTURE PROGRAMS AND AREAS OF FOCUS 1661682 711872 0 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. 6219913 815426 5567885 14947484 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 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 119 0 1 70 1 0 0 0 0 0 0 0 0 0 0 X 29 29 0 0 1 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 Teresa Sullivan Chair 1.00 X X 0 0 0 Mildred Garcia SECREtary 1.00 X X 0 0 0 Bernadette Gray-Little Past chair 1.00 X X 0 0 0 Jay T Akridge Director 1.00 X 0 0 0 Mark Becker Director 1.00 X 0 0 0 Angel Cabrera Director 1.00 X 0 0 0 Amit Chakma Director 1.00 X 0 0 0 Rita Cheng Director 1.00 X 0 0 0 Jack Cline Director 1.00 X 0 0 0 Waded Cruzado Director 1.00 X 0 0 0 Michael V Drake Director 1.00 X 0 0 0 Andrew Furco Director 1.00 X 0 0 0 Ronnie Green Director 1.00 X 0 0 0 David W Harris Director 1.00 X 0 0 0 Susan Herbst Director 1.00 X 0 0 0 Pradeep Khosla Director 1.00 X 0 0 0 Harold Martin Director 1.00 X 0 0 0 Jack Martin Director 1.00 X 0 0 0 April Mason Director 1.00 X 0 0 0 Sethuraman Panch Panchanathan Director 1.00 X 0 0 0 Edward Ray Director 1.00 X 0 0 0 Lori Reesor Director 1.00 X 0 0 0 robert caret Chair-Elect 1.00 X X 0 0 0 Kevin Rome Director 1.00 X 0 0 0 Mark Rosenberg Director 1.00 X 0 0 0 Kirk Schulz Director 1.00 X 0 0 0 Satish Tripathi Director 1.00 X 0 0 0 Laura Voisinet Director 1.00 X 0 0 0 M Roy Wilson Director 1.00 X 0 0 0 James P Clements Past Chair (thru 11/16) 1.00 X X 0 0 0 Jeffrey D Armstrong Director (thru 11/16) 1.00 X 0 0 0 Juliette Bell Director (thru 11/16) 1.00 X 0 0 0 Arnold B Combe Director (thru 11/16) 1.00 X 0 0 0 Juan Franco Director (thru 11/16) 1.00 X 0 0 0 Anthony Frank Director (thru 11/16) 1.00 X 0 0 0 Patrick Gallagher Director (thru 11/16) 1.00 X 0 0 0 Mark Huddleston Director (thru 11/16) 1.00 X 0 0 0 Karen Kaler Director (thru 11/16) 1.00 X 0 0 0 Renu Khator Director (thru 11/16) 1.00 X 0 0 0 Richard Marchase Director (thru 11/16) 1.00 X 0 0 0 Tom Milligan Director (thru 11/16) 1.00 X 0 0 0 Risa Palm Director (thru 11/16) 1.00 X 0 0 0 Stacy Rastauskas Director (thru 11/16) 1.00 X 0 0 0 Edward Ray Director (thru 11/16) 1.00 X 0 0 0 Wim Wiewel Director (thru 11/16) 1.00 X 0 0 0 Kim Wilcox Director (thru 11/16) 1.00 X 0 0 0 M Peter McPherson President 37.50 X 519423 0 149129 Howard Gobstein Vice President 37.50 X 178226 0 32926 Jean Middleton Secretary and Chief of Staff 37.50 X 133822 0 21295 Emily van Loon CFO and Treasurer 37.50 X 146539 0 29326 Shari Garmise VP of Urban Affiars 37.50 X 180516 0 30121 Jane Schuchardt Executive Director of Extension 37.50 X 169465 0 18304 Jeff Lieberson VP of Public Affairs 37.50 X 168071 0 34942 Montague Demment VP of In ternational Affairs 37.50 X 154135 0 35280 Ian Maw VP of Agriculture 37.50 X 374799 0 26750 Alan Mabe VP of Academic Affairs 37.50 X 209417 0 26747 Jennifer Poulakidas VP of CGA 37.50 X 183050 0 25036 Jane Schuchardt ED of ECOP 37.50 X 169464 0 18310 Jeffrey Lieberson VP of Public Affairs 37.50 X 168071 0 34959 2754998 0 483125 21 0 1 0 CORNERSTONE GOVERNMENT AFFAIRS LLC 300 INDEPENDENCE AVE SE WASHINGTON DC 20003 lobbying and advocacy 846429 kglobal LLC 13800 Coppermine Road 307 Herndon VA 20171 lobbying and advocacy 306163 MICHAEL KORF 7351 Kings Mountain Road Birmingham AL 35242 consulting 134085 3 1173666 4314599 5488265 MEMBERSHIP DUES 900099 9629668 9629668 MEETINGS & SEMINARS 900099 1616940 1616940 11246608 60776 60776 4181104 10970 4180565 11560 539 -590 -51 -51 MISCELLANEOUS 900099 3124 3124 3124 16798722 11246608 0 63849 X 2217258 2217258 2027971 1836850 191121 4682523 4270370 412153 289589 260574 29015 534732 444831 89901 387546 347060 40486 36828 24979 11849 72360 72360 2062242 1987422 74820 8691 8601 90 519264 214027 305237 386862 262033 124829 205975 205975 830398 817356 13042 1490157 1463309 26848 42926 42926 129229 129229 70845 70845 Subcontracts 655827 655827 DUES & SUBSCRIPTIONS 80770 73154 7616 Bad Debt 46951 13748 33203 research/evaluation 36158 36158 13927 13927 16829029 14947484 1881545 0 430050 313825 7064381 7101516 251638 261083 176979 245159 496 0 75714 202713 5415255 2212476 3259132 3202779 4892192 5137886 270369 286240 16420951 16751201 407905 797001 2576795 2480520 2037919 1802502 201299 241114 5223918 5321137 X 9579263 9817924 117770 112140 1500000 1500000 11197033 11430064 16420951 16751201 X -30307 284250 -20912 X X 0 1 X 1 0 X 3047561 2782681 3592203 3292191 5488265 18202901 3047561 2782681 3592203 3292191 5488265 18202901 6676907 11525994 75324 68040 59795 45943 60776 309878 4206 16020 47492 752 3124 71594 18584373 60910370 0.62020 0.96210 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 597116 597116 16231913 16829029 991451 247863 0 0 899074 1000000 887233 991451 3777758 5666637 454853 446184 652557 597116 2150710 224769 250000 221808 247863 944440 1416660 6823 6594 13417 1617770 60338 65968 1612140 1650063 28705 60998 1617770 1635986 77677 63600 1650063 1610542 90679 65235 1635986 1569899 110786 70143 1610542 0.00000 0.93040 0.06960 0 0 1331256 1331256 3115486 1433096 1682390 215745 192779 22966 752768 586601 166167 3202779 Pooled Investments 5137886 F 5137886 Deferred Compensation 241114 241114 17062060 284250 -20912 263338 16798722 0 16798722 16829029 0 16829029 0 16829029 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 XI, Line 2d - Other Adjustments: Loss on Investment in Association of Mutual Health Insurance company -20,912. 1 AASCU 1307 New York Ave Washington DC 20005 520747578 501c3 15000 Program Support American Association of Medical Colleges 655 K Street NW 100 Washington DC 20001 362169124 501c3 32200 Program Support Arizona State University PO Box 877705 Tempe AZ 85287 860196696 115 154500 Program Support Cleveland State University SC 140 Conference Srvcs 2121 Euclid Ave Cleveland OH 44115 340966056 115 66397 Program Support Colorado State University 1062 Campus Delivery Fort Collins CO 80523 846000545 115 154500 Program Support Delaware State University Office of International Affairs 1200 N Dupont Highway Dover DE 19901 510305893 115 25183 Program Support Florida International University 11200 SW 8th Street PC 526 Miami FL 33199 650177616 115 105000 Program Support Georgia State University Research Services PO Box 3999 Atlanta GA 30302 586002050 115 169500 Program Support Indiana University 210 South Tenth Street 129 Stright Hall Indiana PA 15705 356001673 115 15000 Program Support Jackson State University Division Research Federal Relations Po Box 17057 Jackson MS 39217 646000507 115 1000 Program Support Kent State University Office of the President PO Box 5190 Kent OH 44242 316402079 115 45000 Program Support Morgan State University 1700 E Coldspring Lane Baltimore MD 21251 237089143 115 5000 Program Support Northern Arizona University S San Francisco St Flagstaff AZ 86011 742579628 115 154500 Program Support Oklahoma State University Whitehurst Hall 3011 Stillwater OK 74078 731383996 115 5000 Program Support Oregon State University 422 Kerr Administration Bldg Corvallis OR 97331 611730890 115 154500 Program Support Portland State University PO Box 751 Portland OR 97207 936001786 115 259500 Program Support Purdue University 610 Purdue Mall West Lafayette IN 47907 356002041 115 2000 Program Support South Dakota State Univeristy Box 2275A Rotunda Lane Brookings SD 57007 466000364 115 136453 Program Support Southern University 801 Harding Blvd Baton Rouge LA 70813 237052911 115 2000 Program Support The Ohio State University PO Box 182646 Columbus OH 43210 316025986 115 54000 Program Support The Pennsylavania State University 312 Ag Admin Bldg University Park PA 16802 246000376 115 4000 Program Support UMES Concert Choir Ella Fitzgerald Perform Arts Ctr Princess Anne MD 21853 526002033 501c3 3000 Program Support University of Arizona Administration Room 601 PO Box 210066 Tuscon AZ 85721 742652689 115 1000 Program Support University of Arkansas 471 Garland Ave Fayetteville AR 72701 716003252 115 45000 Program Support University of California 1111 Franklin Street 12th Floor Oakland CA 94607 943067788 115 17000 Program Support University of Central Florida 4000 Central Florida Blvd Orlando FL 32816 592924021 115 45000 Program Support University of Cincinnati 2600 Clifton Ave Cincinnati OH 45221 316000989 115 17775 Program Support University of Florida PO Box 113225 Gainesville FL 32611 596002052 115 6400 Program Support University of Hawaii 050 Maile Way Gilmore 202 Honolulu HI 96822 996000354 115 2000 Program Support University of Houston 501 Ezekiel Cullen Bldg Houston TX 77204 746001399 115 45000 Program Support University of Illinois General A/R PO Box 19448 Springfield IL 62794 376000511 115 7500 Program Support University of Louisville Alice Wissel Grawemey Hall 203 Louisville KY 40292 611029626 115 154500 Program Support University of Memphis 3720 Alumni Avenue Memphis TN 38152 626048540 115 55000 Program Support University of Mississippi PO Box 1848 University MS 38677 646001159 115 154500 Program Support University of New Hampshire Cooperative ExtensionWhole Village 258 Highland St Plymouth NH 03264 026000937 115 1600 Program Support University of North Carolina Attn Barbara HemphillPO Box 26170 Greensboro NC 27402 566001393 115 45000 Program Support University of Wisconsin 212D Agriculture Hall1450 Linden Drive Madison WI 53706 396006492 115 1000 Program Support UOG Endowment Fund Dean Circle House 10 Mangilao GQ 96923 660457233 501c3 750 Program Support Utah State University 1455 Old Main Hill Logan UT 84322 876000528 115 2000 Program Support Virginia Commonwealth University Office of Provost VP for AA PO Box 842527 Richmond VA 23284 546001758 115 15000 Program Support 40 0 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 X X 0 0 0 0 0 0 0 1 0 M Peter McPherson President 511123 0 0 0 8300 0 136500 0 17023 0 672946 0 0 0 Howard Gobstein Vice President 171930 0 5000 0 1296 0 20239 0 17081 0 215546 0 0 0 Jean Middleton Secretary and Chief of Staff 127837 0 5000 0 985 0 13877 0 11812 0 159511 0 0 0 Emily van Loon CFO and Treasurer 143312 0 2000 0 1227 0 16670 0 14470 0 177679 0 0 0 Shari Garmise VP of Urban Affiars 174220 0 5000 0 1296 0 18499 0 14876 0 213891 0 0 0 Jane Schuchardt Executive Director of Extension 168169 0 0 0 1296 0 18012 0 1446 0 188923 0 0 0 Jeff Lieberson VP of Public Affairs 161775 0 5000 0 1296 0 17768 0 19828 0 205667 0 0 0 Montague Demment VP of In ternational Affairs 149368 0 4000 0 767 0 18130 0 21544 0 193809 0 0 0 Ian Maw VP of Agriculture 364799 0 10000 0 0 0 26500 0 4644 0 405943 0 0 0 Alan Mabe VP of Academic Affairs 204417 0 5000 0 0 0 26500 0 2061 0 237978 0 0 0 Jennifer Poulakidas VP of CGA 176754 0 5000 0 1296 0 19874 0 9556 0 212480 0 0 0 Jane Schuchardt ED of ECOP 168168 0 0 0 1296 0 18012 0 1752 0 189228 0 0 0 Jeffrey Lieberson VP of Public Affairs 161775 0 5000 0 1296 0 17768 0 20445 0 206284 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 4 The bylaws were updated in October 2016 to update the membership criteria, naming conventions for institutional classifications, and to remove outdated membership categories. 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 PROFESSIONAL FEES - OTHER: Program service expenses 65,809. Management and general expenses 62,196. Fundraising expenses 0. Total expenses 128,005. TEMPORARY HELP: Program service expenses 35,859. Management and general expenses 234. Fundraising expenses 0. Total expenses 36,093. CONSULTANTS: Program service expenses 1,885,754. Management and general expenses 12,390. Fundraising expenses 0. Total expenses 1,898,144. Form 990, Part XI, line 9: Loss on Investment in Association of Mutual Health Insurance company -20,912. Form 990, Part XII, Line 2c The audit oversight process has remained unchanged from the previous year.