2024-05-09T09:00:25-05:00 2023-06-30 366055558 GRANT THORNTON LLP 1000 WILSON BLVD SUITE 1500 ARLINGTON VA 22209 990 2022-07-01 530196549 AMERICAN UNIVERSITY AMER 2028852822 4400 MASSACHUSETTS AVE NW WASHINGTON DC 200168020 BRONTE BURLEIGH-JONES CFO, VP & TREAS 2028852822 2024-05-09 1 BRONTE BURLEIGH-JONES XXX-XX-XXXX 0 MARY TORRETTA P00847851 7038477500 0 AAL1 IAL1 2022 2023-04-26 12:10:37Z BRONTE BURLEIGH-JONES 4400 MASSACHUSETTS AVE NW WASHINGTON DC 200168020 1841056493 0 X WWW.AMERICAN.EDU X 1893 DC TO ADVANCE KNOWLEDGE, FOSTER INTELLECTUAL CURIOSITY, BUILD COMMUNITY, AND EMPOWER LIVES OF PURPOSE, SERVICE, AND LEADERSHIP. 26 26 9051 785 720486 0 76645324 57284971 792861976 793262985 128304859 83318648 -3716 -4594 997808443 933862010 204828525 205006105 0 0 370571735 393114044 441438 418651 18034921 288387358 313950379 864229056 912489179 133579387 21372831 2349689128 2414730149 869647088 879924283 1480042040 1534805866 X TO ADVANCE KNOWLEDGE, FOSTER INTELLECTUAL CURIOSITY, BUILD COMMUNITY, AND EMPOWER LIVES OF PURPOSE, SERVICE, AND LEADERSHIP. 0 0 234056402 650369087 INSTRUCTION: THE UNIVERSITY'S MISSION IS CARRIED OUT BY ALMOST 956 FULL-TIME TEACHING AND RESEARCH FACULTY IN SIX ACADEMIC DIVISIONS OFFERING 81 BACHELOR'S PROGRAMS, 99 MASTER'S PROGRAMS, 24 DOCTORAL PROGRAMS, J.D., S.J.D, M.L.S. AND L.L.M. PROGRAMS. CERTIFICATE PROGRAMS AND AN ASSOCIATE DEGREE PROGRAM ARE OFFERED AS WELL. STUDENT-FACULTY RATIO = 11:1. AVERAGE CLASS SIZE = 20.8 STUDENTS. 200442507 200442507 0 SCHOLARSHIPS AND FELLOWSHIPS: AMERICAN UNIVERSITY AWARDS FINANCIAL AID TO STUDENTS BASED ON A COMBINATION OF DEMONSTRATED FINANCIAL NEED, ACADEMIC ACHIEVEMENT, AND THE AVAILABILITY OF FUNDS. ONCE A STUDENT IS ADMITTED, THE FINANCIAL AID OFFICE WILL DETERMINE NEED AND DEVELOP A FINANCIAL AID AWARD THAT INCLUDES FUNDS FROM THE PROGRAMS FOR WHICH THE STUDENT QUALIFIES. TO RECEIVE CONSIDERATION FOR FINANCIAL AID, A STUDENT MUST BE A UNITED STATES CITIZEN OR ELIGIBLE NON-CITIZEN IN A DEGREE PROGRAM. 94599511 82630668 AUXILIARY ENTERPRISES: UNIVERSITY DORMITORIES, CONSISTING OF ELEVEN RESIDENCE HALLS, PROVIDE LIVING QUARTERS FOR ALMOST 4,120 STUDENTS. ALSO PROVIDED ARE RECREATIONAL FACILITIES, DINING SERVICES, PARKING, AND OTHER SELF-SUPPORTING FACULTY, STAFF, AND STUDENT SERVICES. 312195533 4563598 59792453 ACADEMIC SUPPORT - THE UNIVERSITY LIBRARIES, ACADEMIC COMPUTER SERVICES, ADMINISTRATIVE OFFICES AND SUPPORT FOR THE SIX ACADEMIC DIVISIONS. STUDENT SERVICES - HEALTH AND COUNSELING, CAREER CENTER, UNIVERSITY REGISTRAR, FINANCIAL AID AND ENROLLMENT SERVICES, SPORTS AND RECREATION. INSTITUTIONAL SUPPORT - INFORMATION TECHNOLOGY, TELECOMMUNICATIONS, SPACE MANAGEMENT, SECURITY, MAIL AND TRANSPORTATION SERVICES. RESEARCH- RESEARCH AND TECHNICAL ASSISTANCE PROJECTS FUNDED BY FEDERAL AND PRIVATE AGENCIES. PUBLIC SERVICE - THE OPERATION OF WAMU 88.5 FM, A 24-HOUR, 50,000 WATT PUBLIC RADIO STATION LICENSED TO THE UNIVERSITY SINCE 1961. AMERICAN UNIVERSITY STRATEGIC PLAN IN JANUARY 2019, AMERICAN UNIVERSITY UNVEILED A NEW STRATEGIC PLAN, CHANGEMAKERS FOR A CHANGING WORLD. THE PLAN REPRESENTS AU'S COMMITMENT TO ITS MISSION "TO ADVANCE KNOWLEDGE, FOSTER INTELLECTUAL CURIOSITY, BUILD COMMUNITY, AND EMPOWER LIVES OF PURPOSE, SERVICE, AND LEADERSHIP." AS COVID-19 HAS ACCELERATED THE IMPORTANCE OF MANY ELEMENTS OF OUR STRATEGY AND TAKING A HOLISTIC VIEW OF WHAT WE STILL SEEK TO ACHIEVE UNDER THE CHANGEMAKERS FRAMEWORK, THE STRATEGY HAS BEEN EXTENDED FOR TWO ADDITIONAL YEARS. OUR NEW DECEMBER 2025 COMPLETION DATE WILL PROVIDE OPPORTUNITIES TO BUILD ON OUR FOUNDATIONAL WORK AND LESSONS LEARNED. THE UNIVERSITY'S SEVEN-YEAR PLAN BUILDS ON OUR LEGACY OF LEADERSHIP, SCHOLARSHIP, AND SERVICE AND FOCUSES ON THE CHALLENGES FACING OUR COMMUNITY AND HIGHER EDUCATION, AS IT BOLDLY EMBRACES OPPORTUNITIES FOR GREATER IMPACT. OUR PLAN IS ORGANIZED INTO THREE STRATEGIC THEMES - SCHOLARSHIP, LEARNING, AND COMMUNITY - WITH KEY IMPERATIVES TO GUIDE OUR FOCUSED EFFORTS. SCHOLARSHIP: SCHOLARSHIP IS CENTRAL TO AU'S FUTURE. WE WILL DEVELOP AREAS OF STRATEGIC FOCUS THAT DRAW ON FIELDS WHERE AU ALREADY EXCELS, WHERE OUR EXPERTISE CROSSES SCHOOLS AND DISCIPLINARY BOUNDARIES, AND THAT HOLD PROMISE FOR THE FUTURE. WE WILL ESTABLISH NEW WAYS TO SUPPORT THE WORK OF FACULTY ACROSS A RANGE OF DISCIPLINES. LEARNING: LEARNING IS AT THE CORE OF AU. AS WE PREPARE FOR TOMORROW'S OPPORTUNITIES, WE CONTINUE TO EMBRACE THE HIGHEST-QUALITY TEACHING, WHILE EXPLORING NEW FRONTIERS OF LEARNING AND SCHOLARSHIP. WE WILL EXPAND OPPORTUNITIES FOR LIFELONG LEARNING EXPERIENCES THAT ARE MORE FLEXIBLE, PERSONALIZED, AND ACCESSIBLE. COMMUNITY: AU IS AN INSTITUTION DEEPLY ROOTED IN COMMUNITY - LOCALLY, NATIONALLY, AND GLOBALLY - AND WHEN OUR COMMUNITY GROWS STRONGER, SO DO WE. OVER THE NEXT SEVEN YEARS, OUR STRATEGIC EFFORTS WILL EXPAND AND STRENGTHEN OUR TIES TO COMMUNITIES, BOTH INTERNAL AND EXTERNAL. AMERICAN UNIVERSITY: PARTNER IN OUR COMMUNITY COMMUNITY SERVICE MANY OF AU'S PARTNERSHIPS WITH LOCAL GOVERNMENTS, BUSINESSES, AND INDIVIDUALS EXEMPLIFY THE UNIVERSITY'S COMMITMENT TO PUBLIC SERVICE. AU VIEWS ITSELF AS A PRIVATE UNIVERSITY WITH A PUBLIC RESPONSIBILITY. THE UNIVERSITY WORKS WITH NUMEROUS LOCAL ORGANIZATIONS AND PARTICIPATES IN A MYRIAD OF COMMUNITY SERVICE ACTIVITIES INCLUDING: COMMUNITY-BASED LEARNING AND RESEARCH, DC READS, ONE-DAY SERVICE EVENTS, AND EAGLE ENDOWMENT. WORKING WITH DC SCHOOLS AND STUDENTS AU'S SCHOOL OF EDUCATION PREPARES EDUCATION STUDENTS TO BECOME EARLY CHILDHOOD, ELEMENTARY, BILINGUAL, SPECIAL EDUCATION, AND SECONDARY SCHOOL TEACHERS THROUGH INSTRUCTIONAL WORK IN AREA SCHOOLS. EACH YEAR, A GROUP OF EDUCATION MAJORS EACH YEAR ARE PLACED AS STUDENT TEACHERS TO TEACH ALL ASPECTS OF THE SCHOOL CURRICULUM FROM THE ARTS TO THE SCIENCES AND IN THE AREAS OF EARLY CHILDHOOD AND SPECIAL EDUCATION. WASHINGTON COLLEGE OF LAW WASHINGTON COLLEGE OF LAW (WCL), LOCATED ONE BLOCK FROM THE AU-TENLEYTOWN METRO, CONSISTENTLY PROVIDES FREE LEGAL SERVICES TO LOW-INCOME AND OTHERWISE UNDERREPRESENTED AREA RESIDENTS THROUGH ITS HIGHLY-RANKED CLINICAL PROGRAMS. IN ADDITION, A SELECTED GROUP OF WCL STUDENTS EACH YEAR REPRESENTS LOW-INCOME CLIENTS FACING EVICTION IN DC LANDLORD AND TENANT COURT, AS PARTICIPANTS IN THE DC LAW STUDENTS IN COURT PROGRAM, AN INDEPENDENT LEGAL SERVICE PROVIDER IN THE DISTRICT. AN OPEN DOOR POLICY AU MAINTAINS A GOOD NEIGHBOR POLICY BY WORKING WITH NEIGHBORS, LOCAL COMMUNITY ORGANIZATIONS, AND THE ADVISORY NEIGHBORHOOD COMMISSIONS IN THE CAMPUS AREA. LED BY THE DIRECTOR OF COMMUNITY RELATIONS, THE UNIVERSITY'S OUTREACH EFFORTS ALSO INCLUDE MAINTAINING ONGOING CONTACT WITH SEVERAL DISTRICT OF COLUMBIA OFFICES AND AGENCIES. ON A MORE INFORMAL LEVEL, REPRESENTATIVES OF AMERICAN UNIVERSITY ALSO MEET AND INTERACT WITH MEMBERS OF THE NEIGHBORING COMMUNITIES ON A REGULAR BASIS. CONTINUED EDUCATION DC RESIDENTS ARE WELCOME AT AU'S BENDER LIBRARY TO STUDY AND ACCESS PRINT MATERIALS, LIBRARY CATALOG, AND DATABASES. THE OSHER LIFELONG LEARNING INSTITUTE (OLLI) OFFERS CLASSES IN THE FALL AND SPRING FOR INTELLECTUALLY CURIOUS "SEASONED LEARNERS" WITH A GENUINE INTEREST IN CONTINUING THEIR LEARNING WITH LIKE-MINDED PEOPLE. THE ARTS THE KATZEN ARTS CENTER AND AMERICAN UNIVERSITY MUSEUM SERVES AS AN IMPORTANT VENUE FOR THE DC ARTS COMMUNITY. IT HOSTS A VARIETY OF PROGRAMS RANGING FROM STUDENT PERFORMANCES TO LECTURES ON ENVIRONMENTALLY SOUND BUSINESS PRACTICES AND FILM SCREENINGS. DC RESIDENTS ARE INVITED TO ATTEND OPEN REHEARSALS OR TAKE TOURS OF THE GALLERIES. MANY OF THE EXHIBITS SHOWN AT THE MUSEUM HAVE EARNED REGIONAL, NATIONAL, AND INTERNATIONAL ACCOLADES. DISTRICT CHILDREN ARE THE FOCUS OF KIDS AT THE KATZEN, WHICH PRESENTS CREATIVE ACTIVITIES AND SUMMER SPORTS CAMPS. 312195533 4563598 59792453 841293953 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 1 1 1 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 1 1 0 0 1 1 1 0 0 0 1 20927 0 1 9051 1 1 1 1 SP BE KE 0 0 0 1 1 1 17 0 0 0 1 0 X 26 26 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 DC FL IL KY MD MI MN NH NY OR PA SC UT WI WV X NICOLE BRESNAHAN 2028852822 4400 MASSACHUSETTS AVE NW WASHINGTON DC 20016 MARC N DUBER CHAIR - THRU 5/23, TRUSTEE 5/23 10.00 0.00 X 0 0 0 GINA F ADAMS VICE CHAIR THRU 5/23, CHAIR 5/23 10.00 0.00 X 0 0 0 CHARLES H LYDECKER TRUSTEE - THRU 5/23, VICE CHAIR 5/23 - PRESENT 2.00 0.00 X 0 0 0 JANICE M ABRAHAM TRUSTEE 2.00 0.00 X 0 0 0 SALLY AMORUSO TRUSTEE, AS OF 5/23 2.00 0.00 X 0 0 0 MICHAEL BALMUTH TRUSTEE 2.00 0.00 X 0 0 0 GAURDIE BANISTER JR TRUSTEE 2.00 0.00 X 0 0 0 STEPHANIE M BENNETT-SMITH TRUSTEE 2.00 0.00 X 0 0 0 GREG BERGQUIST TRUSTEE 2.00 0.00 X 0 0 0 WESLEY G BUSH TRUSTEE 2.00 0.00 X 0 0 0 PAMELA M DEESE TRUSTEE 2.00 0.00 X 0 0 0 JACK C CASSELL TRUSTEE 2.00 0.00 X 0 0 0 LATRELLE EASTERLING TRUSTEE 2.00 0.00 X 0 0 0 HANI MS FARSI TRUSTEE 2.00 0.00 X 0 0 0 MEHDI HERAVI TRUSTEE 2.00 0.00 X 0 0 0 MICHAEL W KEMPNER TRUSTEE 2.00 0.00 X 0 0 0 MARGERY KRAUS TRUSTEE 2.00 0.00 X 0 0 0 GERALD BRUCE LEE TRUSTEE 2.00 0.00 X 0 0 0 FERNANDO LEWIS NAVARRO TRUSTEE 2.00 0.00 X 0 0 0 MARIL GAGEN MACDONALD TRUSTEE, THRU 5/23 2.00 0.00 X 0 0 0 BETSY A MANGONE TRUSTEE 2.00 0.00 X 0 0 0 ALAN L MELTZER TRUSTEE 2.00 0.00 X 0 0 0 KOREY NEAL SR TRUSTEE 2.00 0.00 X 0 0 0 MARIA OTERO TRUSTEE 2.00 0.00 X 0 0 0 MATTHEW S PITTINSKY TRUSTEE 2.00 0.00 X 0 0 0 JEFFREY A SINE TRUSTEE 2.00 0.00 X 0 0 0 DAVID TRONE TRUSTEE 2.00 0.00 X 0 0 0 SYLVIA M BURWELL PRESIDENT 50.00 0.00 X 1986581 0 150018 BRONTE BURLEIGH-JONES CFO, VP & TREASURER 50.00 0.00 X 496572 0 102597 COURTNEY SURLS VP DEVELOPMENT & ALUMNI REL 50.00 0.00 X 740432 0 39126 PETER STARR PROVOST & CHIEF ACADEMIC OFFICER 50.00 0.00 X 589579 0 42530 TRAEVENA BYRD VP, UNI. COUNSEL & BOT SEC. 50.00 0.00 X 471407 0 117231 SETH GROSSMAN VP OF PEOPLE & EXTERNAL AFFAIRS 50.00 0.00 X 416796 0 72062 ANDREA FELDER INT. VP, UG ENROLLMENT, AS OF 3/23 50.00 0.00 X 160207 0 19493 FANTA AW VP UG ENROLLMENT THRU 3/23 50.00 0.00 X 547553 0 50108 STEVE MUNSON VP & CIO 50.00 0.00 X 352682 0 98694 MATTHEW BENNETT VP & CHIEF COMMUNICATIONS OFFICER 50.00 0.00 X 319306 0 94044 SARAH BALDASSARO INT. VP, SA & IE, AS OF 3/23 50.00 0.00 X 294760 0 69837 ROGER A FAIRFAX JR DEAN & PROFESSOR 50.00 0.00 X 487374 0 39248 PARTHIBAN DAVID SR ASSOCIATE DEAN, KSB 50.00 0.00 X 380169 0 25369 HENG XU PROFESSOR 50.00 0.00 X 382687 0 46591 CLAUDIO GROSSMAN PROFESSOR 50.00 0.00 X 469542 0 52317 CHERYL HOLCOMB-MCCOY DEAN, SOE 50.00 0.00 X 378414 0 68627 WENDY BOLAND DEAN GRAD & PROFESS. STUDIES 50.00 0.00 X 380748 0 68662 SCOTT A BASS PROF. & FORMER PROVOST 50.00 0.00 X 292849 0 51930 DOUGLAS KUDRAVETZ FORMER CFO, VP & TREASURER 50.00 0.00 X 189580 0 0 CORNELIUS M KERWIN PROF & PRESIDENT EMERITUS 50.00 0.00 X 268043 0 59174 ROBERT DINERSTEIN PROFESSOR & FORMER DEAN 50.00 0.00 X 285229 0 55104 9890510 0 1322762 828 1 1 0 COMPASS GROUP USA INC 2400 YORKMONT ROAD CHARLOTTE NC 28217 MANAGEMENT SERVICE 20923963 2U INC 7900 HARKINS ROAD LANHAM MD 20706 ONLINE EDUCATION 15202694 ARAMARK SERVICES INC 1101 MARKET STREET PHILADELPHIA PA 19107 MANAGEMENT SERVICE 9651379 WILEYEDU LLC 111 RIVER STREET HOBOKEN NJ 07030 MANAGEMENT SERVICE 7658575 NEXTSOURCE INC 1040 AVENUE OF THE AMERICAS 24TH FL NEW YORK NY 10018 MANAGEMENT SERVICE 5658221 186 10444860 3084 10248142 36588885 3180369 57284971 STUDENT TUITION & FEES 611710 641521319 641521319 AUXILIARY SERVICES 713940 82630668 82630668 RESEARCH/TRAINING 611430 41703903 41703903 PUBLIC RADIO STATION 611710 15041738 15041738 EXECUTIVE EDUCATION 611710 8847768 8847768 3517589 3046812 470777 793262985 50093408 249709 49843699 940415129 907189889 33225240 33225240 33225240 0 3084 4594 -4594 -4594 933862010 792792208 720486 83064345 X 4249051 4249051 200442507 200442507 314547 314547 9516453 8725248 522498 268707 1040164 953684 57110 29370 310229565 284436841 17033059 8759665 20147859 18472751 1106212 568896 29947914 21372446 5799598 2775870 22232089 20383696 1220646 627747 7610675 7610675 809622 809622 1125 937 102 86 418651 418651 13162270 13162270 116831019 112703654 2438593 1688772 6169948 6018383 53590 97975 15336801 12632362 1001499 1702940 17796893 17703783 58613 34497 36112386 34187931 1921521 2934 9350437 8861048 82672 406717 27439813 27439813 39253835 39253835 14070256 14070256 BAD DEBT 5439289 5414289 25000 0 FOOD SERVICES 4169917 3337329 257025 575563 OTHER 396093 319562 0 76531 912489179 841293953 53160305 18034921 1666 1416 124556166 138546576 20405967 27724012 33405569 34497581 26416 23507 17919532 33040738 1511453375 676250930 855048293 835202445 807846939 851345753 445508416 456212858 5480547 678298 0 0 39489617 37456965 2349689128 2414730149 68818036 83672522 37007995 37919072 749069192 748759349 14751865 9573340 869647088 879924283 X 1180160857 1205951630 299881183 328854236 1480042040 1534805866 2349689128 2414730149 21372831 33218158 172837 0 X 0 1 X 1 1 1 X 73970105 66457008 57984095 76645324 57284971 332341503 73970105 66457008 57984095 76645324 57284971 332341503 2738739 329602764 30248004 30035212 39100630 59519040 49843699 208746585 541088088 3672632024 0.60910 0.62330 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 1 1125 0 0 1125 0 PART II-B, LINE 1 THESE LOBBYING EXPENSES REPRESENT THE PORTION OF VARIOUS CONSORTIUM AND ASSOCIATION MEMBERSHIP DUES WHICH WERE ALLOCATED TOWARDS FUNDING LOBBYING ACTIVITIES. 20670 45387141 X X X 1 895568000 18367000 78016000 4571049 19282990 13963961 954133000 870570000 104097000 -47309000 3915578 15629214 12245208 895568000 697444000 4547000 200443000 3025798 24411218 4426984 870570000 700926000 18450000 -1088000 2698022 16320257 1825771 697443950 681810000 9827000 29360000 2368843 16791808 910349 700926000 0.69888 0.17655 0.12457 0 0 38753128 38753128 1174477080 467420780 707056300 264484878 198346877 66138001 33738289 10483273 23255016 835202445 EQUITY MUTUAL FUNDS 4975396 F HEDGE FUNDS 176228905 F PRIVATE EQUITY FUNDS 202006961 F ALTERNATIVE ASSETS 72444035 F FIXED INCOME FUNDS 477561 F REAL ESTATE 80000 F 456212858 ASSET RETIREMENT OBLIGATION 2075688 LEASE OBLIGATION 4748059 REFUNDABLE ADVANCE FROM US GOVERNMENT 2749593 9573340 X PART III, LINE 4: DESCRIPTION OF ORGANIZATION'S COLLECTIONS: THE MAJOR COMPONENTS OF THE UNIVERSITY'S ART COLLECTION ARE THE WATKINS COLLECTION, THE KATZEN COLLECTION, THE CORCORAN COLLECTION, AND A SCULPTURE INSTALLATION. THE COLLECTIONS SERVE AS A TEACHING RESOURCE FOR THE ART DEPARTMENT AT AMERICAN UNIVERSITY, AS WELL AS TELLING THE STORY OF MODERN ART AND ITS OFFSHOOTS IN WASHINGTON DC, WITH SIDE STORIES RELATED TO WHAT WAS HAPPENING IN THE LARGER CONTEMPORARY WORLD. THE MUSEUM FEATURES OVER 30,000 SQUARE FEET OF EXHIBITION SPACE FOR THESE THREE COLLECTIONS. THE PUBLIC IS WELCOME TO VISIT THE MUSEUM AND EXHIBITIONS FREE OF CHARGE. INDEED, THE KATZEN ARTS CENTER IS NOW A DESTINATION FOR CERTAIN TOUR GROUPS IN WASHINGTON DC. PART V, LINE 4: INTENDED USE OF ENDOWMENT FUNDS: THE UNIVERSITY'S ENDOWMENT CONSISTS OF APPROXIMATELY 643 INDIVIDUAL FUNDS ESTABLISHED FOR SCHOLARSHIPS AND RELATED ACADEMIC ACTIVITIES. ITS ENDOWMENT INCLUDES BOTH DONOR RESTRICTED ENDOWMENT FUNDS AND FUNDS DESIGNATED BY THE BOARD OF TRUSTEES TO FUNCTION AS ENDOWMENTS. AS REQUIRED BY GAAP, NET ASSETS ASSOCIATED WITH ENDOWMENT FUNDS, INCLUDING FUNDS DESIGNATED BY THE BOARD OF TRUSTEES TO FUNCTION AS ENDOWMENTS, ARE CLASSIFIED AND REPORTED BASED ON THE EXISTENCE OR ABSENCE OF DONOR-IMPOSED RESTRICTIONS. PART X, LINE 2: FIN 48 (ASC 740) FOOTNOTE: THE UNIVERSITY CONSIDERS UNCERTAIN TAX POSITIONS IN ACCORDANCE WITH ASC 740 ON THE BASIS OF A TWO-STEP PROCESS IN WHICH (1) MANAGEMENT EVALUATES WHETHER IT IS MORE LIKELY THAN NOT THAT THE TAX POSITIONS WILL BE SUSTAINED ON THE BASIS OF THE TECHNICAL MERITS OF THE POSITION AND (2) FOR THOSE TAX POSITIONS THAT MEET THE MORE-LIKELY-THAN-NOT RECOGNITION THRESHOLD, THE UNIVERSITY RECOGNIZES THE LARGEST AMOUNT OF TAX BENEFIT THAT IS MORE THAN 50 PERCENT LIKELY TO BE REALIZED UPON SETTLEMENT WITHIN THE RELATED TAX AUTHORITY. THE UNIVERSITY HAS CONCLUDED THAT THERE ARE NO MATERIAL UNCERTAIN TAX POSITIONS AS OF JUNE 30, 2023 AND 2022. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 PUBLICATION OF RACIALLY NONDISCRIMINATORY POLICY IS NOTED IN THE INTERNET HOMEPAGE AND ALL ADMISSION PUBLICATIONS. UNIVERSITY'S NONDISCRIMINATORY POLICY TOWARDS RACE, CREED, COLOR, NATIONAL ORIGIN, AGE, HANDICAP, OR SEX IS NOTED IN ALL ADMISSION PUBLICATIONS, APPLICATION FORMS, TRANSFER GUIDES, MEDIA SOLICITATIONS FOR STUDENTS AND ALL OFFICIAL UNIVERSITY PUBLICATIONS. AMERICAN UNIVERSITY IS AN EQUAL OPPORTUNITY, AFFIRMATIVE ACTION INSTITUTION THAT OPERATES IN COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS. MORE IMPORTANTLY, SUCH COMPLIANCE STEMS FROM THE HISTORY AND TRADITION OF THE UNIVERSITY THAT EMBRACES AND EXPRESSES THE DEEPEST VALUES OF THE HUMAN COMMUNITY-EQUALITY, OPENNESS, AND THE DIGNITY OF EVERY INDIVIDUAL. THE FACT THAT THE UNIVERSITY DOES NOT DISCRIMINATE ON THE BASIS OF COLOR, RELIGION, NATIONAL ORIGIN, GENDER, SEXUAL ORIENTATION, GENDER IDENTITY AND EXPRESSION, AGE, OR DISABILITY IS, IN FACT, CONSISTENT WITH AND A REFLECTION OF ITS SPECIAL TRADITION OF SOCIAL JUSTICE. EXTENDING THAT TRADITION INTO THE PRESENT, EQUAL OPPORTUNITY, AFFIRMATIVE ACTION, AND NONDISCRIMINATION APPLY TO EVERY ASPECT OF THE UNIVERSITY'S OPERATIONS AND ACTIVITIES, INCLUDING ADMISSION, EMPLOYMENT, AND ACCESS TO UNIVERSITY PROGRAMS AND SERVICES. SCHEDULE E, PART I, LINE 6A GOVERNMENT ASSISTANCE: THE UNIVERSITY RECEIVES US DEPARTMENT OF EDUCATION STUDENT AID FUNDS- USE OF SUCH FUNDS IS AUDITED BY INDEPENDENT AUDITORS IN ACCORDANCE WITH THE REGULATIONS AND PROCEDURES ISSUED BY THE FEDERAL GOVERNMENT. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 67761 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY ABROAD 393907 EUROPE (INCLUDING ICELAND & GREENLAND) 1 4 PROGRAM SERVICES STUDY ABROAD 9281964 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES STUDY ABROAD 419899 RUSSIA AND NEIGHBORING STATES 0 0 PROGRAM SERVICES STUDY ABROAD 85570 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 303864 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD 15808 SUB-SAHARAN AFRICA 1 15 PROGRAM SERVICES STUDY ABROAD 762658 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 257892390 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 37186161 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING RESEARCH 101321 SOUTH AMERICA 0 0 GRANTMAKING RESEARCH 213226 2 19 0 0 2 19 11331431 295393098 306724529 EUROPE (INCLUDING ICELAND & GREENLAND) RESEARCH 101321 WIRE TRANSFER 0 SOUTH AMERICA - ARGENTINA, BOLIVIA, BRAZIL, CHILE, COLUMBIA, ECUADOR, RESEARCH 113606 WIRE TRANSFER 0 SOUTH AMERICA RESEARCH 99620 WIRE TRANSFER 0 3 0 1 0 1 0 1 0 PART III ACCOUNTING METHOD: PART I, LINE 2 ANNUALLY, MORE THAN 750 STUDENTS PARTICIPATE IN THE ABROAD PROGRAM. THESE UNDERGRADUATES SELECT FROM HUNDREDS OF PROGRAMS, WHICH SPAN DIVERSE CULTURES AND LANGUAGES ON ALL CONTINENTS. THE UNIVERSITY IS THE RECIPIENT OF SEVERAL CONTRACTS TO CONDUCT RESEARCH FOR THE US DEPARTMENT OF STATE AND OTHER AGENCIES, AS WELL AS TO PROVIDE EDUCATIONAL MANAGEMENT SUPPORT TO FOREIGN INSTITUTIONS OF HIGHER EDUCATION. AU WORKS TO MONITOR GRANTS AND SCHOLARSHIPS EXPENDED USING ITS PROCESSES AND CONTROLS INHERENT IN AU'S SYSTEM. BEFORE SELECTING THE RECIPIENT AND PERIODICALLY AS REQUIRED DURING THE GRANT OR SCHOLARSHIP TERM, AU IMPOSES ITS INSTITUTIONAL CRITERIA AND THE DONOR'S (WHEN APPLICABLE) TO MAKE SURE THAT THE FUNDS ARE USED FOR THE INTENDED PURPOSES. THIS MONITORING IS DONE THROUGH A COLLABORATION OF VARIOUS DEPARTMENTS OF THE UNIVERSITY. PERIODIC SPENDING REPORTS ARE PULLED TO PROVIDE ADDITIONAL OVERSIGHT OF SCHOLARSHIPS AS NECESSARY TO REPORT BACK TO DONOR ON THE STATUS OF THEIR GIFTS. PART I, LINE 3 ACCOUNTING METHOD: THE EXPENDITURES, PER REGION, ARE PRESENTED ON THE ACCRUAL BASIS OF ACCOUNTING. X X X X X X X 1 ACD DIRECT 520 N MARKETPLACE DRIVE SUITE 200 CENTERVILLE UT 84014 CALL CENTER 0 310348 25308 285040 LEAD PHILANTHROPY 635 CASTLE RIDGE ROAD WENTZVILLE MO 63385 CONSULTING 0 87255 20000 67255 CREATIVE DIRECT RESPONSE INC 16900 SCIENCE DRIVE SUITE 210 BOWIE MD 20715 CONSULTING 0 0 249800 -249800 8 BRIDGES WORKSHOP 1161 SELBY AVENUE SUITE 1 ST PAUL MN 55104 CONSULTING 0 0 40000 -40000 VERITUS CONSULTANTS 1001 G STREET NW SUITE 800 WASHINGTON DC 20001 CONSULTING 0 0 83543 -83543 397603 418651 -21048 AL AK AR CA CO CT DC FL GA HI IL KS KY LA ME MD MA MI MN MS MO NV NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI SCHEDULE G, PART I, LINE 2B, COLUMN (V) WAMU IS THE NATIONAL PUBLIC RADIO MEMBER STATION FOR WASHINGTON, DC AND IS WHOLLY OWNED BY AMERICAN UNIVERSITY. WAMU WORKS WITH SEVERAL CONSULTING FIRMS WHO MEET THE DEFINITION OF "FUNDRAISER" PER THE IRS GUIDELINES, BUT DO NOT ACTIVELY SOLICIT FUNDS FOR WAMU. THE CONSULTING ARRANGEMENTS INCLUDE DIRECT MAIL AND DIGITAL FUNDRAISING CAMPAIGN MANAGEMENT SERVICES, LIST MANAGEMENT AND BROKERAGE SERVICES, REPORTING AND STEWARDSHIP SERVICES, CREATING REVENUE FORECASTS AND OTHER REGULAR REPORTS, AND COACHING AND SUPPORTING GIVING OFFICERS. 1 BOSTON UNIVERSITY 85 EAST NEWTON ST BOSTON MA 021183555 042103547 501(C)(3) 111124 0 SUBAWARD BROWN UNIVERSITY 1 PROSPECT ST PROVIDENCE RI 029129127 050258809 501(C)(3) 19211 0 SUBAWARD CHILDREN'S RESEARCH INSTITUTE 111 MICHIGAN AVENUE NW WASHINGTON DC 20010 521654453 501(C)(3) 9370 0 SUBAWARD DUKE UNIVERSITY 2200 W MAIN ST DURHAM NC 277084677 560532129 501(C)(3) 43022 0 SUBAWARD ENVIRONMENTAL PROTECTION NETWORK PO BOX 42022 WASHINGTON DC 20015 821378870 501(C)(3) 30000 0 SUBAWARD GALLAUDET UNIVERSITY 800 FLORIDA AVE NE WASHINGTON DC 200023600 530199507 501(C)(3) 58071 0 SUBAWARD GEORGE WASHINGTON UNIVERSITY 2121 I ST NW WASHINGTON DC 20052 530196584 501(C)(3) 46390 0 SUBAWARD GEORGETOWN UNIVERSITY 1421 37TH ST NW WASHINGTON DC 20057 530196603 501(C)(3) 213071 0 SUBAWARD GEORGIA STATE UNIVERSITY RESEARCH FOUNDATION INC 58 EDGEWOOD AVENUE NE ATLANTA GA 30303 581845423 501(C)(3) 41374 0 SUBAWARD HOWARD UNIVERSITY 2244 10TH ST NW WASHINGTON DC 20001 530204707 501(C)(3) 85060 0 SUBAWARD IEARN INC 475 RIVERSIDE DRIVE NEW YORK NY 10115 133782233 501(C)(3) 159258 0 SUBAWARD ILLINOIS INSTITUTE OF TECHNOLOGY 10 W 35TH ST CHICAGO IL 606163717 362170136 501(C)(3) 63670 0 SUBAWARD INSIGHT CRIME INCORPORATED 4410 MASSACHUSETTS AVE NW WASHINGTON DC 200165561 823793490 501(C)(3) 30656 0 SUBAWARD INSPIRE PROJECT INC 107 S WEST STREET ALEXANDRIA VA 223142009 954418628 501(C)(3) 21930 0 SUBAWARD JOHNS HOPKINS UNIVERSITY 3400 N CHARLES ST BALTIMORE MD 21218 520595110 501(C)(3) 358395 0 SUBAWARD KNOWLEDGE ECOLOGY INTERNATIONAL 1621 CONNECTICUT AVENUE WASHINGTON DC 20009 830461554 501(C)(3) 39174 0 SUBAWARD LOUISIANA STATE UNIVERSITY AND A&M COLLEGE 202 HIMES HALL BATON ROUGE LA 70808 726000848 501(C)(3) 201456 0 SUBAWARD MARYLAND INSTITUTE COLLEGE OF ART 1300 W MOUNT ROYAL AVE BALTIMORE MD 21217 520591661 501(C)(3) 122927 0 SUBAWARD MASSACHUSETTS ASSOCIATION OF HEALTH BOARDS 20 WALNUT STREET WELLESLEY HILLS MA 024812104 042774252 501(C)(3) 66623 0 SUBAWARD MASSACHUSETTS GENERAL HOSPITAL THE 100 CAMBRIDGE ST BOSTON MA 021142509 041564655 501(C)(3) 88608 0 SUBAWARD NOVA SOUTHERN UNIVERSIY 3300 S UNIVERSITY DR FORT LAUDERDALE FL 33328 591083502 501(C)(3) 157490 0 SUBAWARD OHIO STATE UNIVERSITY THE 338 W 10TH AVE COLUMBUS OH 432101280 316025986 501(C)(3) 400995 0 SUBAWARD PARTNERSHIP FOR A SECURE AMERICA 1129 20TH ST NW WASHINGTON DC 20036 300145807 501(C)(3) 53820 0 SUBAWARD PURDUE UNIVERSITY 2550 NORTHWESTERN AVE WEST LAFAYETTE IN 47906 356002041 501(C)(3) 49428 0 SUBAWARD ROCHESTER INSTITUTE OF TECHNOLOGY 7 LOMB MEMORIAL DR ROCHESTER NY 146235603 160743140 501(C)(3) 491122 0 SUBAWARD TEMPLE UNIVERSITY 1852 N 10TH STREET PHILADELPHIA PA 19122 231365971 501(C)(3) 30575 0 SUBAWARD TEXAS A&M UNIVERSITY 400 HARVEY MITCHELL PKY S COLLEGE STATION TX 778454375 746000089 501(C)(3) 16421 0 SUBAWARD TEXAS TECH UNIVERSITY 2625 MEMORIAL CIRCLE LUBBOCK TX 794091035 756002622 501(C)(3) 109577 0 SUBAWARD THE RESEARCH FOUNDATION FOR STATE UNIVERSITY OF NEW YORK UNIVERSITY AT ALB 35 STATE ST ALBANY NY 122072826 141368361 501(C)(3) 31181 0 SUBAWARD TRINITY WASHINGTON UNIVERSITY 125 MICHIGAN AVE NW WASHINGTON DC 20017 530196640 501(C)(3) 46000 0 SUBAWARD UNION OF CONCERNED SCIENTISTS 2 BRATTLE SQUARE CAMBRIDGE MA 021383780 042535767 501(C)(3) 12500 0 SUBAWARD UNIVERSITY AT ALBANY 1400 WASHINGTON AVE ALBANY NY 12222 161514621 501(C)(3) 82624 0 SUBAWARD UNIVERSITY OF ALABAMA 3011 SPARKMAN DRIVE HUNTSVILLE AL 35899 630520830 501(C)(3) 36589 0 SUBAWARD UNIVERSITY OF ARIZONA PO BOX 876011 TEMPE AZ 852876011 860196696 501(C)(3) 80943 0 SUBAWARD UNIVERSITY OF ARKANSAS 2404 N UNIVERSITY AVE LITTLE ROCK AK 722073608 710236904 501(C)(3) 121129 0 SUBAWARD UNIVERSITY OF CALIFORNIA AT DAVIS 1850 RESEARCH PARK DRIVE OAKLAND CA 95616 943067788 501(C)(3) 148339 0 SUBAWARD UNIVERSITY OF CALIFORNIA SAN DIEGO 291 ROSECRANS ST SAN DIEGO CA 921063505 956006144 501(C)(3) 10105 0 SUBAWARD UNIVERSITY OF CONNECTICUT 501 CRESCENT ST NEW HAVEN CT 065151330 060772160 501(C)(3) 23754 0 SUBAWARD UNIVERSITY OF FLORIDA 1250 EAST CAMPUS GAINESVILLE FL 32611 596002052 501(C)(3) 63918 0 SUBAWARD UNIVERSITY OF ILLINOIS URBANA-CHAMPAIGN 1901 S FIRST ST CHAMPAIGN IL 61820 376000511 501(C)(3) 159514 0 SUBAWARD UNIVERSITY OF MARYLAND 1296 SYMONS HALL COLLEGE PARK MD 207425505 526002033 501(C)(3) 48361 0 SUBAWARD UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL 104 AIRPORT DRIVE CHAPEL HILL NC 275995023 566001393 501(C)(3) 16840 0 SUBAWARD UNIVERSITY OF SOUTH CAROLINA 1600 HAMPTON STREET COLUMBIA SC 29208 576001153 501(C)(3) 70035 0 SUBAWARD UNIVERSITY OF THE DISTRICT OF COLUMBIA 4200 CONNECTICUT AVE NW WASHINGTON DC 20008 536001131 501(C)(3) 87025 0 SUBAWARD WASHINGTON UNIVERSITY IN ST LOUIS 1 BROOKINGS DRIVE ST LOUIS MO 63130 430653611 501(C)(3) 27771 0 SUBAWARD WESLEY THEOLOGICAL SEMINARY 4500 MASSACHUSETTS AVE NW WASHINGTON DC 200165632 530245887 501(C)(3) 12000 0 SUBAWARD WORLD WILDLIFE FUND INC 1250 24TH ST NW WASHINGTON DC 200371124 521693387 501(C)(3) 49785 0 SUBAWARD 47 0 STUDENT SCHOLARSHIPS 11031 200442507 PART I, LINE 2 PROCEDURE FOR MONITORING USE OF GRANT FUNDS IN THE US AU PARTNERS WITH OTHER UNIVERSITIES AS NECESSARY TO PERFORM THE SCOPE OF THE WORK OUTLINED IN THE GRANT'S AGREEMENTS. PRIOR TO ENGAGING WITH THESE SUB-AWARDEES, AU PERFORMS A RISK ASSESSMENT, INCLUDING A REVIEW OF THE MOST RECENT FINANCIAL STATEMENTS AS WELL AS ENSURING THEY ARE NOT LISTED AS A DEBARRED ENTITY WITH ANY FEDERAL AGENCY. AU WORKS TO MONITOR GRANTS AND SCHOLARSHIPS EXPENDED USING ITS PROCESSES AND CONTROLS INHERENT IN AU'S SYSTEM BEFORE SELECTING THE RECIPIENT AND PERIODICALLY AS REQUIRED DURING THE GRANT OR SCHOLARSHIP TERM. AU IMPOSES ITS INSTITUTIONAL CRITERIA AND THE DONOR'S (WHEN APPLICABLE) TO MAKE SURE THE FUNDS ARE USED FOR THE INTENDED PURPOSES. THIS MONITORING IS DONE THROUGH A COLLABORATION OF VARIOUS DEPARTMENTS OF THE UNIVERSITY. PERIODIC SPENDING REPORTS ARE PULLED TO PROVIDE ADDITIONAL OVERSIGHT OF SCHOLARSHIPS AS NECESSARY TO REPORT BACK TO DONORS ON THE STATUS OF THEIR GIFTS. SCHEDULE I, PART III GRANTS TO INDIVIDUALS IN THE US: ALL STUDENTS RECEIVING SCHOLARSHIPS AND FELLOWSHIPS ARE JUDGED WORTHY BY THE UNIVERSITY'S ASSESSMENT BASED ON ACADEMIC ACHIEVEMENT, FINANCIAL NEED, AND SIMILAR STANDARDS. APPROXIMATELY 75% OF FULL-TIME FRESHMEN APPLIED FOR NEED BASED FINANCIAL AID. X X 1 1 X X X X X 0 1 0 0 0 0 0 1 0 SYLVIA M BURWELL PRESIDENT 980297 0 243750 0 762534 0 30446 0 119572 0 2136599 0 543682 0 COURTNEY SURLS VP DEVELOPMENT & ALUMNI REL 417734 0 41103 0 281595 0 36650 0 2476 0 779558 0 234696 0 PETER STARR PROVOST & CHIEF ACADEMIC OFFICER 526109 0 51800 0 11670 0 39130 0 3400 0 632109 0 0 0 BRONTE BURLEIGH-JONES CFO, VP & TREASURER 461747 0 34238 0 587 0 90006 0 12591 0 599169 0 0 0 FANTA AW VP UG ENROLLMENT THRU 3/23 372519 0 37100 0 137934 0 34543 0 15565 0 597661 0 99260 0 TRAEVENA BYRD VP, UNI. COUNSEL & BOT SEC. 421304 0 42845 0 7258 0 79835 0 37396 0 588638 0 0 0 ROGER A FAIRFAX JR DEAN & PROFESSOR 486755 0 0 0 619 0 36837 0 2411 0 526622 0 0 0 CLAUDIO GROSSMAN PROFESSOR 462847 0 0 0 6695 0 36717 0 15600 0 521859 0 0 0 SETH GROSSMAN VP OF PEOPLE & EXTERNAL AFFAIRS 382533 0 33825 0 438 0 69386 0 2676 0 488858 0 0 0 STEVE MUNSON VP & CIO 320510 0 31775 0 397 0 65163 0 33531 0 451376 0 0 0 WENDY BOLAND DEAN GRAD & PROFESS. STUDIES 380319 0 0 0 429 0 35617 0 33045 0 449410 0 0 0 CHERYL HOLCOMB-MCCOY DEAN, SOE 342986 0 35000 0 428 0 35583 0 33044 0 447041 0 0 0 HENG XU PROFESSOR 382404 0 0 0 283 0 25503 0 21088 0 429278 0 0 0 MATTHEW BENNETT VP & CHIEF COMMUNICATIONS OFFICER 290148 0 28803 0 355 0 59254 0 34790 0 413350 0 0 0 PARTHIBAN DAVID SR ASSOCIATE DEAN, KSB 379910 0 0 0 259 0 23836 0 1533 0 405538 0 0 0 SARAH BALDASSARO INT. VP, SA & IE, AS OF 3/23 275085 0 19333 0 342 0 29580 0 40257 0 364597 0 0 0 SCOTT A BASS PROF. & FORMER PROVOST 292500 0 0 0 349 0 30032 0 21898 0 344779 0 0 0 ROBERT DINERSTEIN PROFESSOR & FORMER DEAN 284897 0 0 0 332 0 28835 0 26269 0 340333 0 0 0 CORNELIUS M KERWIN PROF & PRESIDENT EMERITUS 267724 0 0 0 319 0 27972 0 31202 0 327217 0 0 0 DOUGLAS KUDRAVETZ FORMER CFO, VP & TREASURER 0 0 0 0 189580 0 0 0 0 0 189580 0 172680 0 ANDREA FELDER INT. VP, UG ENROLLMENT, AS OF 3/23 160071 0 0 0 136 0 12200 0 7293 0 179700 0 0 0 PART I, LINE 1A HOUSING ALLOWANCES OR RESIDENCE FOR PERSONAL USE THE UNIVERSITY PROVIDES HOUSING FOR THE PRESIDENT AND HER FAMILY AS A CONDITION OF HER EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. THE RESIDENCE IS USED FOR UNIVERSITY-RELATED BUSINESS AND ENTERTAINMENT PURPOSES ON A CONTINUAL BASIS. PER THE PRESIDENT'S EMPLOYMENT CONTRACT, SHE IS RESPONSIBLE FOR PAYING FOR SERVICES RELATED TO HER, OR HER FAMILY'S SOLELY PRIVATE USE OF THE PROPERTY. HEALTH CLUB AMERICAN UNIVERSITY PROVIDES MEMBERSHIPS TO VARIOUS BUSINESS CLUBS IN WASHINGTON DC FOR THE PRESIDENT AND OTHER OFFICERS. THE USE OF THE CLUBS IS LIMITED TO AMERICAN UNIVERSITY BUSINESS PURPOSES AND THE EXPENSES ARE REVIEWED ACCORDING TO EXPENSE REIMBURSEMENT POLICIES OF THE UNIVERSITY. PART I, LINE 4B SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN THE FOLLOWING PERSONS PARTICIPATE IN SUPPLEMENTAL NONQUALIFIED RETIREMENT PLANS WHICH ARE INCLUDED IN THE RETIREMENT AND OTHER DEFERRED COMPENSATION TOTALS ABOVE: MATTHEW BENNETT - $28,803 BRONTE BURLEIGH-JONES - $51,356 TRAEVENA BYRD - $42,845 SETH GROSSMAN - $33,825 STEVE MUNSON - $31,775 INCLUDED IN OTHER REPORTABLE COMPENSATION TOTALS ARE PAYMENTS OF VESTED AMOUNTS FOR SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN AS FOLLOWS: FANTA AW $136,360 SYLIVA BURWELL $709,432 DOUGLAS KUDRAVETZ, $189,580 COURTNEY SURLS $275,780 PART I, LINE 7 NON-FIXED PAYMENTS OFFICERS OF THE UNIVERSITY PARTICIPATE IN A BOARD OF TRUSTEES APPROVED EXECUTIVE COMPENSATION PROGRAM WHICH INCLUDES AN INCENTIVE COMPENSATION PLAN. THE ANNUAL AMOUNT IS CAPPED AT A PERCENTAGE OF THEIR SALARY. THE PLAN IS BASED ON THE ACHIEVEMENT OF CERTAIN PROGRAMMATIC GOALS AND OBJECTIVES FOR THE OFFICERS' UNITS AND THE UNIVERSITY. THE GOALS ARE NON-REVENUE RELATED GOALS. THE PLAN IS APPROVED BY THE COMPENSATION COMMITTEE AND THE COMMITTEE REVIEWS AND APPROVES THE ANNUAL REWARDS BASED ON THE PERFORMANCE ACHIEVED ON THE AGREED-UPON GOALS. X 2 20670 EXPERT OPINION X 318217 EXPERT OPINION X 4200 MARKET VALUE X 892 1539380 MARKET VALUE X 86 1265512 MARKET VALUE X MEALS AND GIFT CARDS 57 16536 MARKET VALUE X COMPUTER SOFTWARE 1 13440 MARKET VALUE X AUCTION ITEMS 30 2414 MARKET VALUE 22 0 1 1 PART I, COLUMN (B) THE ORGANIZATION IS REPORTING THE NUMBER OF CONTRIBUTIONS IN COLUMN (B). PART I, LINE 32B THE UNIVERSITY USES A THIRD PARTY TO MANAGE THEIR VEHICLE DONATION PROGRAM. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 REVIEW PROCESS FORM 990 IS PREPARED BY THE FINANCE OFFICE AND REVIEWD BY INDEPENDENT TAX ADVISORS. FORM 990 IS REVIEWED AND SIGNED BY THE CHIEF FINANCIAL OFFICER. FORM 990 IS REVIEWED AND APPROVED BY THE AUDIT COMMITTEE PRIOR TO FILING. ACCESS TO THE FORM 990 IS PROVIDED TO ALL BOARD MEMBERS BEFORE THE RETURN IS FILED WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY MONITORING & ENFORCEMENT BOARD OF TRUSTEES MEMBERS ARE REQUIRED TO COMPLETE AN ANNUAL CONFLICT OF INTEREST STATEMENT AND SUBMIT SUCH STATEMENT TO THE SECRETARY OF THE BOARD WHO IS ALSO THE GENERAL COUNSEL FOR THE UNIVERSTY. THE SECRETARY REVIEWS THOSE STATEMENTS FOR POTENTIAL CONFLICTS AND REPORTS SUCH CONFLICTS TO THE BOARD CHAIR. THE DISCLOSURE STATEMENT ALSO REQUIRES ALL MEMBERS TO NOTIFY THE BOARD PROMPTLY OF AN ACTUAL, APPARENT, OR POTENTIAL CONFLICT OF INTEREST AS IT ARISES, SO THAT IT CAN BE ADDRESSED IMMEDIATELY AND NOT JUST ONCE PER YEAR. FORM 990, PART VI, SECTION B, LINE 15 PROCESS FOR DETERMINING COMPENSATION THE COMPENSATION OF ALL OFFICERS OF THE UNIVERSITY IS REVIEWED AND APPROVED ANNUALLY BY THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES, AND IS SUBSEQUENTLY APPROVED BY THE FULL BOARD. THE COMMITTEE ENGAGES THIRD PARTY EXPERTS TO BENCHMARK COMPENSATION FOR THESE POSITIONS ON AN ANNUAL BASIS. THE COMPENSATION OF KEY EMPLOYEES IS SET BY THEIR SUPERVISING OFFICER WITHIN THE CONSTRAINTS OF THE BOARD OF TRUSTEES' APPROVED UNIVERSITY OPERATING BUDGET. THE INDIVIDUALS WHO DETERMINE COMPENSATION OF THE OFFICERS ARE INDEPENDENT PERSONS SERVING ON THE BOARD. DURING THE COURSE OF DELIBERATIONS, THESE PERSONS REVIEW THIRD-PARTY COMPARABILITY DATA TO HELP THEM DECIDE WHAT COMPENSATION IS REASONABLE. THE COMMITTEE CONTEMPORANEOUSLY DOCUMENTS ITS DECISION WITHIN THE MINUTES. FORM 990, PART VI, SECTION C, LINE 19 DOCUMENT DISCLOSURE GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE AS PUBLIC INFORMATION ON THE UNIVERSITY'S WEBSITE. FORM 990, PART IX, LINE 11G SUBCONTRACTS/CONTRACTUAL EXPENSES: PROGRAM SERVICE EXPENSES 109,163,815. MANAGEMENT AND GENERAL EXPENSES 2,428,593. FUNDRAISING EXPENSES 1,673,424. TOTAL EXPENSES 113,265,832. CONSULTANT PROFESSIONAL SERVICES: PROGRAM SERVICE EXPENSES 3,539,839. MANAGEMENT AND GENERAL EXPENSES 10,000. FUNDRAISING EXPENSES 15,348. TOTAL EXPENSES 3,565,187. AMERICAN UNIVERSITY AT CONNECTICUT AVE LLC 4400 MASSACHUSETTS AVENUE NW WASHINGTON DC 20016 455294959 REAL ESTATE DC 0 0 AMERICAN UNIVERSITY WASHINGTON RESEARCH LIBRARY CONSORTIUM 901 COMMERCE DRIVE UPPER MARLBORO MD 20774 521559828 LIBRARY SERVICES MD 501(C)(3) LINE 12B, II N/A 0 THE AIRLIE FOUNDATION 6809 AIRLIE ROAD WARRENTON VA 20187 540715531 CONFERENCE FACILITY VA AMERICAN UNIVERSITY C 9804057 17080897 1.00000 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 THE AIRLIE FOUNDATION R 2307859 CASH THE AIRLIE FOUNDATION M 175633 CASH