2023-11-10T14:06:51-06:00 2022-12-31 420714325 RSM US LLP 1250 H STREET SUITE 700 WASHINGTON DC 20005 990 2022-01-01 530183246 ASSOCIATION OF PUBLIC AND LAND-GRANT UNIVERSITIES ASSO 2024786040 1220 L ST NW 1000 WASHINGTON DC 20005 VARUN DHAWAN CFO & TREASURER 2024786040 2023-11-10 1 VARUN DHAWAN 999009999 1 ELIZABETH W HELLER P00397829 2022932200 2023-11-10 2 AAL1 IAL1 2022 2023-04-26 12:10:37Z APLU MARK BECKER 1220 L ST NW 1000 WASHINGTON DC 20005 19408713 0 X WWW.APLU.ORG X 1887 DC APLU'S OVERRIDING MISSION IS TO SUPPORT HIGH-QUALITY PUBLIC HIGHER EDUCATION. 25 25 89 500 0 0 9311386 6619095 10724609 12458527 2068499 331091 0 0 22104494 19408713 3290144 1937125 0 0 10534056 10210467 0 0 0 5332162 6748123 19156362 18895715 2948132 512998 44260531 40931777 21603624 20121736 22656907 20810041 X APLU 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. APLU PROVIDES A FORUM FOR THE DISCUSSION AND DEVELOPMENT OF POLICIES AFFECTING HIGHER EDUCATION AND THE PUBLIC INTEREST. 0 0 3898170 482369 3556188 FOOD, AGRICULTURE, AND NATURAL RESOURCES: 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. 3034729 499357 94227 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). 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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 X, LINE 2: THE ASSOCIATION IS SUBJECT TO INCOME TAX ON NET INCOME DERIVED FROM BUSINESS ACTIVITIES THAT ARE UNRELATED TO ITS EXEMPT PURPOSE. HOWEVER, MANAGEMENT HAS DETERMINED THAT THE ASSOCIATION IS NOT SUBJECT TO UNRELATED BUSINESS INCOME TAX. THEREFORE, THE ASSOCIATION HAS NOT FILED AN EXEMPT ORGANIZATION BUSINESS INCOME TAX RETURN (FORM 990-T) WITH THE IRS. 1 SOUTH DAKOTA STATE UNIVERSITY GRANTS AND CONTRACTS ADMINISTRATION DEPARTMENR OF FINANCE AND BUSINESS BROOKINGS SD 57007 466000364 501(C)(3) 150000 0 PROGRAM SUPPORT ASSOCIATION FOR INSTITUTIONAL RESEARCH 1435 PIEDMONT DR E STE 211 TALLAHASSEE FL 32308 366149972 501(C)(3) 136000 0 PROGRAM SUPPORT EXTENSION FOUNDATION 1200 MAIN ST STE 3800 KANSAS CITY MO 64105 204781422 501(C)(3) 112000 0 PROGRAM SUPPORT NATIONAL 4-H COUNCIL 5425 WISCONSIN AVE SUITE 600 CHEVY CHASE MD 20815 362862206 501(C)(3) 100000 0 PROGRAM SUPPORT NATIONAL ASSOCIATION OF STUDENT PERSONNEL ADMINISTRATORS 111 K STREET NE 10TH FLOOR WASHINGTON DC 20002 134148824 501(C)(3) 96410 0 PROGRAM SUPPORT NORTHWESTERN UNIVERSITY 633 CLARK STREET EVANSTON IL 602081112 362167817 501(C)(3) 94626 0 PROGRAM SUPPORT WESTERN INTERSTATE COMMISSION FOR HIGHER EDUCATION 3035 CENTER GREEN DRIVE SUITE 200 BOULDER CO 80301 846008945 501(C)(3) 70174 0 PROGRAM SUPPORT REGENTS OF THE UNIVERSITY OF MICHIGAN BOX 223131 PITTSBURGH PA 15251 386006309 501(C)(3) 65000 0 PROGRAM SUPPORT UNIVERSITY OF WASHINGTON - 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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 X 1 1 X X 1 0 0 0 0 0 0 1 0 M PETER MCPHERSON PRESIDENT (TO 08/22) 348890 0 204202 0 108852 0 30500 0 16379 0 708823 0 0 0 DOUG STEELE VP, FOOD AG NATURAL RESOURCE 333402 0 2000 0 3618 0 30500 0 25767 0 395287 0 0 0 MARK BECKER PRESIDENT (FROM 08/22) 207639 0 23329 0 58341 0 18958 0 2155 0 310422 0 0 0 BERNARD MAIR SVP, CHIEF ACADEMIC OFFICER 242424 0 2000 0 6825 0 25124 0 27575 0 303948 0 0 0 JEFFREY LIEBERSON EVP & SVP, PUBLIC AFFAIRS 212950 0 2000 0 615 0 22783 0 38336 0 276684 0 0 0 HOWARD GOBSTEIN SVP, STEM ED & RESEARCH POLICY; SR. 212476 0 2000 0 33 0 22159 0 26289 0 262957 0 0 0 VARUN DHAWAN CFO, TREASURER 217453 0 2000 0 33 0 22397 0 16869 0 258752 0 0 0 CRAIG LINDWARM VP, GOVERNMENTAL AFFAIRS 200185 0 2000 0 555 0 20390 0 16692 0 239822 0 0 0 KAREN VIGNARE VP, DIGITAL TRANSFORMATION, EXEC DIR 173706 0 2000 0 2550 0 18066 0 23164 0 219486 0 0 0 JEAN MIDDLETON CHIEF OF STAFF & SVP 174973 0 2000 0 1213 0 17954 0 17596 0 213736 0 0 0 DEBBIE ALTENBURG ASSOC VP, RESEARCH POLICY & GOV AFFA 184914 0 2000 0 637 0 18491 0 5248 0 211290 0 0 0 BERNARD BURROLA VP, INT'L, COMMUNITY & ECON DEV 170897 0 2000 0 573 0 17514 0 12466 0 203450 0 0 0 CAROLINE HENNEY ECOP EXECUTIVE DIRECTOR (TO 09/22) 162859 0 0 0 1920 0 16286 0 3134 0 184199 0 0 0 ASHLIE PRIOLEAU VP, URBAN INITIATIVES (TO 09/22) 127657 0 0 0 35754 0 13042 0 5426 0 181879 0 0 0 PART I, LINE 1A TAX GROSS-UPS (TAXABLE): HOWARD GOBSTEIN, JEAN MIDDLETON, VARUN DHAWAN, DOUGLAS STEELE, BERNARD MAIR, JEFFREY LIEBERSON, CRAIG LINDWARM, DEBORAH ALTENBURG, KAREN VIGNARE AND BERNARD BURROLA. HOUSING ALLOWANCE (TAXABLE): M. PETER MCPHERSON AND MARK BECKER CLUB DUES (TAXABLE): M. PETER MCPHERSON EMPLOYEES WERE GIVEN GROSS-UP FOR GIFT CARDS AT YEAR-END 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 4A ASHLIE PRIOLEAU - SEVERANCE PAYMENT $28,388 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. PETER MCPHERSON, APLU'S PRESIDENT WHO RETIRED IN AUGUST 2022, WAS PAID $204,202 OF BONUS DEFERRED FROM PREVIOUS YEARS. FORM 990, PART VI, SECTION A, LINE 1A 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 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 APLU 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 APLU 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 THE 990 FORM IS DISTRIBUTED TO THE FULL BOARD FOR REVIEW AND COMMENTS AND GIVEN AN OPPORTUNITY TO ASK QUESTIONS. 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 CONSULTANTS: PROGRAM SERVICE EXPENSES 2,030,361. MANAGEMENT AND GENERAL EXPENSES 5,102. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,035,463. OTHER PROFESSIONAL FEES: PROGRAM SERVICE EXPENSES 331,232. MANAGEMENT AND GENERAL EXPENSES 24,129. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 355,361. PARTICIPANT SUPPORT: PROGRAM SERVICE EXPENSES 4,131. MANAGEMENT AND GENERAL EXPENSES 0. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 4,131. FORM 990, PART XII, LINE 2C THE AUDIT OVERSIGHT PROCESS HAS REMAINED UNCHANGED FROM THE PREVIOUS YEAR.