2022-07-21T13:42:19-05:00 2020-12-31 420714325 RSM US LLP 7351 OFFICE PARK PLACE MELBOURNE FL 329408229 990 2020-01-01 520794368 AAA FOUNDATION FOR TRAFFIC SAFETY AAAF 2026385944 607 14TH STREET NW NO 201 WASHINGTON DC 20005 CHEN-YE DAVID YANG PHD EXECUTIVE DIRECTOR 2026385944 2022-07-21 1 CHEN-YE DAVID YANG PHD 999009999 JULIANA KREUL P01204534 3217516200 2022-07-21 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z X CHEN-YE DAVID YANG PHD 607 14TH STREET NW NO 201 WASHINGTON DC 20005 6197871 0 X WWW.AAAFOUNDATION.ORG X 1947 DC THE FOUNDATION CONDUCTS OR FUNDS RESEARCH AND DEVELOPS EDUCATIONAL MATERIALS TO ENHANCE TRAFFIC STUDY 12 12 11 70 0 0 6762683 3625907 0 0 763564 324277 11271 10025 7537518 3960209 41920 26000 0 0 1589399 1299645 0 0 29839 4196518 2610321 5827837 3935966 1709681 24243 26154905 28249789 1475574 1152531 24679331 27097258 X THE AAA FOUNDATION FOR TRAFFIC SAFETY'S MISSION IS TO SAVE LIVES AND REDUCE INJURIES THROUGH RESEARCH INTO THE CAUSES OF TRAFFIC CRASHES, AND EDUCATION ABOUT PROVEN STRATEGIES FOR MITIGATING RISKS ON THE ROAD. 0 0 3264830 5250 RESEARCH: IN 2020, THE FOUNDATION PUBLISHED 13 NEW TRAFFIC SAFETY REPORTS, AND INITIATED 7 NEW RESEARCH PROJECTS. THE FOUNDATION FUNDED, MANAGED, AND/OR PERFORMED RESEARCH IN 2020 DETAILED IN THE FOLLOWING REPORTS (IN CHRONOLOGICAL ORDER BY DATE OF PUBLICATION): CANNABIS USE AMONG DRIVERS IN FATAL CRASHES IN WASHINGTON STATE BEFORE AND AFTER LEGALIZATION; PERCEIVED SOCIAL SUPPORT DIFFERENCES BETWEEN MALE AND FEMALE OLDER ADULTS WHO HAVE REDUCED DRIVING: AAA LONGROAD STUDY; PREDICTORS OF RAPID DECELERATION EVENTS AMONG OLDER DRIVERS: AAA LONGROAD STUDY; OLDER DRIVER LICENSING POLICIES AND PRACTICES DATABASE UPDATE; EVIDENCE-BASED BEHAVIOR CHANGE CAMPAIGNS TO IMPROVE TRAFFIC SAFETY TOOLKIT; 2019 FORUM ON THE IMPACT OF VEHICLE TECHNOLOGIES AND AUTOMATION ON USERS - DESIGN AND SAFETY IMPLICATIONS: A SUMMARY REPORT; THE IMPACT OF DRIVER'S MENTAL MODELS OF ADVANCED VEHICLE TECHNOLOGIES ON SAFETY AND PERFORMANCE; 2019 TRAFFIC SAFETY CULTURE INDEX; IMPACT OF INFORMATION ON CONSUMER UNDERSTANDING OF PARTIALLY AUTOMATED DRIVING SYSTEM; DRIVER'S AROUSAL AND WORKLOAD UNDER PARTIAL VEHICLE AUTOMATION; A SIMULATOR-BASED EVALUATION OF TWO HAZARD ANTICIPATION TRAINING PROGRAMS FOR NOVICE DRIVERS; OLDER DRIVERS AND ADVANCED DRIVER ASSISTANCE SYSTEMS; AND EFFECTS OF HEARING IMPAIRMENT ON DRIVING EXPOSURE AND PATTERNS AMONG A LARGE COHORT OF OLDER DRIVERS: AAA LONGROAD STUDY.FOUNDATION RESEARCH FINDINGS ARE USED TO SUPPORT NATIONAL PUBLIC AWARENESS CAMPAIGNS, SUCH AS NATIONAL TEEN DRIVER SAFETY WEEK AND DROWSY DRIVING PREVENTION WEEK. THEY ARE ALSO USED TO DEVELOP EDUCATIONAL MATERIALS, AND SUPPORT ADVOCACY EFFORTS OF AAA AND OTHER TRAFFIC SAFETY ADVOCACY ORGANIZATIONS. ALL OF THESE EFFORTS ARE ULTIMATELY DESIGNED TO INFLUENCE AND AFFECT REAL WORLD IMPROVEMENTS IN TRAFFIC SAFETY. FOUNDATION RESEARCH HAS ALSO SUPPORTED OUR NUMEROUS PARTNERSHIPS IN THE TRANSPORTATION AND SAFETY COMMUNITIES. FOUNDATION RESEARCH STAFF PRESENTED THE RESULTS OF THE FOUNDATION'S RESEARCH AT SEVERAL SCIENTIFIC MEETINGS AND CONFERENCES SUCH AS THE HUMAN FACTORS AND ERGONOMICS SOCIETY ANNUAL MEETING, THE NATIONAL SUMMIT ON RURAL ROAD SAFETY, RESEARCH SOCIETY ON ALCOHOL, AND THE AMERICAN PUBLIC HEALTH ASSOCIATION. FINALLY IN 2020, WE INITIATED RESEARCH PROJECTS DESIGNED TO ADDRESS EVALUATING COUNTERMEASURES TO REDUCE DROWSY DRIVING; PREDICTING AUTOMATED VEHICLE SAFETY IN AN UNCERTAIN FUTURE; MEASURING AND PREDICTING DRIVER'S TAKEOVER READINESS IN AUTOMATED DRIVING; WHAT ARE THE MOST PROMINENT CONTRIBUTING FACTORS RELATIVE TO THE NATIONAL INCREASE IN PEDESTRIAN FATALITIES; IDENTIFYING COUNTERMEASURES TO PROTECT ROADSIDE SERVICE AND INCIDENT RESPONSE PERSONNEL; AND WRONG WAY CRASHES ON HIGH-SPEED DIVIDED HIGHWAYS. 265667 20750 793 EDUCATION AND OUTREACH: ALL RESEARCH REPORTS AND FINDINGS PRODUCED BY THE AAA FOUNDATION ARE AVAILABLE ONLINE TO THE GENERAL PUBLIC, FREE OF CHARGE. ADDITIONALLY, THE FOUNDATION PRODUCES COMPLEMENTARY MATERIALS FOR EACH PROJECT SO THAT VISITORS TO THE WEBSITE CAN FIND KEY TAKEAWAYS FROM EACH STUDY. THESE MAY INCLUDE FACT SHEETS, RESEARCH BRIEFS, INFOGRAPHICS, ETC. ALTHOUGH AAA FOUNDATION'S ONLINE STORE PERMANENTLY CLOSED IN 2016, FEW REMAINING TRAFFIC SAFETY EDUCATIONAL MATERIALS ARE STILL AVAILABLE TO THE GENERAL PUBLIC UPON REQUEST, AT NO COST. ADDITIONALLY, THE AAA FOUNDATION DISSEMINATES ITS RESEARCH FINDINGS AND SAFETY MESSAGING TO KEY STAKEHOLDERS AND THE GENERAL PUBLIC, WITH THE GOAL OF EFFECTING REAL-WORLD CHANGE. IN 2020, FOUNDATION RESEARCH FINDINGS WERE PRESENTED AT NUMEROUS CONFERENCES AND EVENTS, SUCH AS THE ANNUAL MEETINGS OF TRANSPORTATION RESEARCH BOARD, LIFESAVERS CONFERENCE, AND INSTITUTE OF TRANSPORTATION ENGINEERS ANNUAL MEETING. THROUGHOUT THE PANDEMIC, THE AAA FOUNDATION REMAINED A RELEVANT RESOURCE TO MEDIA AND CONSUMERS ALIKE - ESPECIALLY AS AMERICANS RETURNED TO THE ROAD AFTER WEEKS, EVEN MONTHS, OF NOT DRIVING ROUTINELY. DISTRACTED, TEEN AND IMPAIRED DRIVING GARNERED HIGH-PROFILE MEDIA COVERAGE ALONGSIDE SUSTAINED COVERAGE FROM PRIOR YEARS' RESEARCH INCLUDING DROWSY DRIVING AND SENIORS.THE AAA FOUNDATION HAS PROVIDED OUTREACH TO A RANGE OF AUDIENCES, CONDUCTED THROUGH MANY EVENTS INCLUDING CONFERENCES, FORUMS AND WORKSHOPS. THE AAA FOUNDATION PARTICIPATED IN MANY CONFERENCES THROUGHOUT 2020, INCLUDING THE TRANSPORTATION RESEARCH BOARD ANNUAL MEETING, JOINT ITE INTERNATIONAL ANNUAL MEETING AND THE MINNESOTA SAFETY AND HEALTH CONFERENCE. AAA FOUNDATION'S PRESENCE AT THESE CONFERENCES HELPED SPREAD AAA FOUNDATION'S RESEARCH AND MISSION TO DIVERSE AUDIENCES.ON SEPTEMBER 21-22, 2020, THE AAA FOUNDATION HOSTED THE 12TH INTERNATIONAL ACM CONFERENCE ON AUTOMOTIVE USER INTERFACES, VIRTUALLY FOR THE FIRST TIME. THE CONFERENCE BROUGHT TOGETHER A DELEGATION OF INTERNATIONAL RESEARCHERS AND PRACTITIONERS INTERESTED IN BOTH THE TECHNICAL AND THE HUMAN ASPECTS OF IN-VEHICLE USER INTERFACES AND APPLICATIONS, TO EXCHANGE TECHNICAL INFORMATION CONCERNING RESEARCH (AND PRACTICE) AND EDUCATIONAL ACTIVITIES FOR MOTOR VEHICLE USER INTERFACE DEVELOPMENT. THE EVENT WAS ATTENDED BY ACADEMICS, AUTOMOBILE MANUFACTURERS AND INDUSTRY REPRESENTATIVES, GOVERNMENT AGENCIES, ADVOCACY GROUPS AND OTHER RESEARCH ORGANIZATIONS. 3530497 1 1 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 0 0 0 1 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 3 0 1 11 1 0 0 0 0 0 0 0 0 0 0 0 0 X 12 12 1 0 0 0 0 1 0 1 1 1 0 1 1 1 1 1 1 1 1 0 AL CA FL GA IL KS MD MA MI MN MS MO NH NJ NY NC OR PA RI SC TN UT VA WV WI AR KY X JASON HOSAFLOOK 4074447669 1000 AAA DR HEATHROW FL 32746 MARK A SHAW PARTIAL YEAR CHAIRMAN 2.00 X X 0 0 0 MARK H SHAW CHAIRMAN 2.00 X X 0 0 0 TOM MCKERNAN VICE CHAIRMAN 2.00 X X 0 0 0 JAMES PHELPS TREASURER 2.00 X X 0 0 0 DONALD R GAGNON PARTIAL YEAR SECRETARY 2.00 X X 0 0 0 TOM WIEDEMANN SECRETARY 2.00 X X 0 0 0 PAUL PETRILLO CHAIR EMERITUS 1.00 X 0 0 0 JOE RICHARDSON PARTIAL YEAR TRUSTEE 1.00 X 0 0 0 BOB DARBELNET PARTIAL YEAR TRUSTEE 1.00 X 0 0 0 LINDA CAVANAGH PARTIAL YEAR TRUSTEE 1.00 X 0 0 0 KIRK NELSON PARTIAL YEAR TRUSTEE 1.00 X 0 0 0 BILL MEKRUT TRUSTEE 1.00 X 0 0 0 TONY BUZZELLI TRUSTEE 1.00 X 0 0 0 SHOHREH ABEDI TRUSTEE 1.00 X 0 0 0 LLOYD ALBERT TRUSTEE 1.00 X 0 0 0 HEATHER DRAKE TRUSTEE 1.00 X 0 0 0 KATHY SIECK TRUSTEE 1.00 X 0 0 0 TONY SPADA TRUSTEE 1.00 X 0 0 0 KATHLEEN BOWER ASST SECRETARY 3.00 X 0 0 0 JASON HOSAFLOOK ASST TREASURER 2.00 X 0 0 0 CHEN-YE DAVID YANG PHD EXECUTIVE DIRECTOR 40.00 X 239955 0 47142 TARA KELLEY-BAKER DATA & INFORMATION GROUP LEADER 40.00 X 134610 0 39328 WILLIAM HORREY TRAFFIC SAFETY GROUP LEADER 40.00 X 132654 0 35249 BRIAN TEFFT SENIOR RESEARCHER 40.00 X 114448 0 22863 621667 0 144582 4 0 1 0 THE REGENTS OF THE UNIVERISTY OF MICHIGA BOX 223131 PITTSBURGH PA 15251 RESEARCH 455374 UNIVERSITY OF UTAH 201 S PRESIDENTS CIR RM 406 SALT LAKE CITY UT 84112 RESEARCH 327320 COLUMBIA UNIVERSITY PO BOX 29789 GENERAL POST OFFICE NEW YORK NY 10087 RESEARCH 318884 JOHNS HOPKINS UNIVERSITY 12529 COLLECTIONS CENTER DRIVE CHICAGO IL 60693 RESEARCH 203102 UNIVERSITY OF COLORADO DENVER PO BOX 910238 DENVER CO 80291 RESEARCH 202386 11 3625907 3625907 598683 598683 9232 9232 1963256 2237662 -274406 -274406 -274406 OTHER INCOME 900099 793 793 793 3960209 793 0 333509 X 26000 26000 295387 96168 185923 13296 954063 714677 239329 57 -137293 -137293 94817 73816 21001 92671 61986 29749 936 1050 1050 10055 10055 10000 10000 14100 14100 6653 4450 2136 67 1581 1057 508 16 7451 7451 10348 10348 6080 6080 10392 6951 3336 105 RESEARCH PROJECTS 2453651 2453651 OUTREACH 31185 31185 DUES AND SUBSCRIPTIONS 25376 25376 FUNDRAISING 15281 15281 7118 4652 2385 81 3935966 3530497 375630 29839 855732 488745 764780 842642 5619 12383 189485 135623 40284 53862 24488490 26852157 26154905 28249789 1153076 1052559 322498 99972 1475574 1152531 X 18122204 20545210 6557127 6552048 24679331 27097258 26154905 28249789 24243 2393684 0 X X 0 1 X 1 0 X 6710207 6369184 6670819 6762683 3625907 30138800 6710207 6369184 6670819 6762683 3625907 30138800 18341882 11796918 373673 531579 655809 688075 607915 2857051 9989 11448 3800 2988 793 29018 33024869 20293 0.35720 0.37630 X SCHEDULE A, PART II, LINE 10, EXPLANATION OF OTHER INCOME: OTHER INCOME - 2016 AMOUNT: $ 9,989. 2017 AMOUNT: $ 11,448. 2018 AMOUNT: $ 3,800. 2019 AMOUNT: $ 2,988. 2020 AMOUNT: $ 793. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 13738647 637488 637488 13738647 13738647 1197537 1197537 13738647 13738647 -447905 -447905 13738647 13738647 876692 876692 13738647 13738647 396478 396478 13738647 0.52410 0.47590 0.00000 0 0 189485 135623 53862 53862 ACCRUED PENSIONS & POST RETIREMENT LIABILITY 99972 99972 X 6966937 2393684 713044 3106728 3860209 100000 100000 3960209 4549010 713044 713044 3835966 100000 100000 3935966 PART V, LINE 4: CONTRIBUTIONS TO THE ENDOWMENT FUND ARE SUBJECT TO DONOR RESTRICTIONS THAT STIPULATE THE ORIGINAL PRINCIPAL OF THE GIFT IS TO BE HELD AND INVESTED BY THE FOUNDATION INDEFINITELY. INCOME FROM THE FUND MAY BE EXPENDED TO FUND THE FOUNDATION'S GENERAL OPERATIONS AND VARIOUS PROGRAMS. THE FOUNDATION BOARD SPECIFIES A SPENDING RATE POLICY THAT AUTHORIZES SPENDING A PORTION OF THE INVESTMENT INCOME GENERATED BY THE ENDOWMENT FUND EACH YEAR FOR RESEARCH PROJECTS, PUBLIC OUTREACH, AND EDUCATIONAL EFFORTS. PART X, LINE 2: THE FOUNDATION FOLLOWS ACCOUNTING STANDARDS RELATING TO ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES. MANAGEMENT ASSESSED WHETHER THERE WERE ANY UNCERTAIN TAX POSITIONS, WHICH MAY GIVE RISE TO INCOME TAX LIABILITIES AND DETERMINED THAT THERE WERE NO SUCH MATTERS REQUIRING RECOGNITION IN THE ACCOMPANYING FINANCIAL STATEMENTS. THE FOUNDATION FILES INCOME TAX RETURNS IN THE U.S. FEDERAL JURISDICTION. GENERALLY, THE FOUNDATION IS NO LONGER SUBJECT TO U.S. FEDERAL INCOME TAX EXAMINATIONS BY TAX AUTHORITIES FOR YEARS BEFORE DECEMBER 31, 2017. CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENT IN DRAKE CAPITAL OFFSHORE PARTNERS II, L.P. 2625834 0 0 0 0 0 0 2625834 0 2625834 0 0 1 0 0 0 PART III ACCOUNTING METHOD: 1 ASSOCIATION FOR COMPUTING MACHINERY PO BOX 30777 NEW YORK NY 10087 131921358 501(C)(3) 10000 SPONSORSHIP FOR THE AUTOMOTIVE UI 2020 VIRTUAL CONFERENCE NATIONAL ACADEMY OF SCIENCES PO BOX 936806 ATLANTA GA 31193 530196932 501(C)(3) 8000 TRANSPORTATION RESEARCH BOARD SPONSORSHIP 2 0 PART I, LINE 2: ORGANIZATIONS SEEKING ASSISTANCE FROM AAA FOUNDATION FOR TRAFFIC SAFETY ARE DIRECTED TO COMPLETE A REQUEST FORM. UPON RECEIPT OF A REQUEST FOR FUNDS, THE EXECUTIVE DIRECTOR REVIEWS THE REQUEST TO DETERMINE IF THE PURPOSE IS TO BE USED TO IMPROVE TRAFFIC SAFETY AND IS CONSISTENT WITH THE MISSION OF THE FOUNDATION. THE REQUESTER IS NOTIFIED OF THE DECISION, AMOUNT OF FUNDS TO BE AWARDED, OR THE REASON FOR DENIAL INCLUDING A BRIEF DESCRIPTION OF THE FOUNDATION'S WORK AND FOCUS. X X X 0 0 0 0 0 1 0 0 0 CHEN-YE DAVID YANG PHD EXECUTIVE DIRECTOR 202728 0 25585 0 11642 0 20621 0 34811 0 295387 0 0 0 TARA KELLEY-BAKER DATA & INFORMATION GROUP LEADER 123574 0 7744 0 3292 0 12598 0 33882 0 181090 0 0 0 WILLIAM HORREY TRAFFIC SAFETY GROUP LEADER 123106 0 7705 0 1843 0 12464 0 27658 0 172776 0 0 0 PART I, LINE 6 THE ORGANIZATION HAS AN ASSOCIATE INCENTIVE PLAN AND A CEO INCENTIVE PLAN. THERE IS NO INCENTIVE PLAN PAYOUT UNLESS THE ANNUAL BUDGET IS MET. BOTH PLANS HAVE BOTH A TEAM COMPONENT AND AN INDIVIDUAL COMPONENT. THE TEAM COMPONENT IS COMPRISED OF THE OVERALL FINANCIAL PERFORMANCE OF THE FOUNDATION AS A WHOLE. THE INDIVIDUAL COMPONENT IS BASED ON SHORT-TERM GOALS DETERMINED ANNUALLY. ALL MONETARY CALCULATIONS ARE BASED ON THE INDIVIDUAL'S BASE SALARY FOR THE PLAN YEAR. FORM 990, HEADER BOX B - AMENDED RETURN THE RETURN IS BEING AMENDED TO ADD FORM 5471 INFORMATION RETURN OF U.S. PERSONS WITH RESPECT TO CERTAIN FOREIGN CORPORATIONS AND FORM 8992 U.S. SHAREHOLDER CALCULATION OF GLOBAL INTANGIBLE LOW-TAXED INCOME (GILTI). FORM 990 AND FORM 5471 - STATEMENT OF REASONABLE CAUSE AAA FOUNDATION FOR TRAFFIC SAFETY EIN: 52-0794368 STATEMENT SUPPORTING REASONABLE CAUSE FOR FAILURE TO TIMELY FILE: FORM 5471, INFORMATION RETURN OF U.S. PERSONS WITH RESPECT TO CERTAIN FOREIGN CORPORATIONS, AND FORM 8992, U.S. SHAREHOLDER CALCULATION OF GLOBAL INTANGIBLE LOW-TAXED INCOME (GILTI) STATEMENT OF REASONABLE CAUSE IRC SEC. 6038 UNDER TREAS. REG. SEC. 1.6038-2(K)(3) AAA FOUNDATION FOR TRAFFIC SAFETY (THE "TAXPAYER") REQUESTS RELIEF FROM THE PENALTIES IMPOSED BY INTERNAL REVENUE CODE (THE "IRC") SEC. 6038 FOR FAILURE TO FILE FORMS 5471, INFORMATION RETURN OF U.S. PERSONS WITH RESPECT TO CERTAIN FOREIGN CORPORATIONS. SUCH FORMS WERE NOT ATTACHED TO THE TAXPAYER'S FORM 990, RETURN OF ORGANIZATION EXEMPT FROM INCOME TAX, FOR THE TAX YEAR ENDED ON DECEMBER 31, 2020, WHICH WERE ORIGINALLY DUE ON MAY 15, 2021, AND EXTENDED TO NOVEMBER 15, 2021. TREAS. REG. SEC. 1.6038-2(K)(3) PROVIDES FOR PENALTY ABATEMENT IF REASONABLE CAUSE EXISTS FOR FAILURE TO FURNISH THE INFORMATION REQUIRED UNDER IRC SEC. 6038 WITH REGARDS TO FAILURE TO FILE FORM 5471 AND FORM 8992. DELINQUENT INTERNATIONAL INFORMATION RETURN SUBMISSION PROCEDURES ARE FOR TAXPAYERS WHO DO NOT NEED TO USE THE STREAMLINED FILING COMPLIANCE PROCEDURES TO FILE DELINQUENT INTERNATIONAL TAX RETURNS TO REPORT AND PAY ADDITIONAL TAX, BUT WHO HAVE IDENTIFIED THE NEED TO FILE DELINQUENT INTERNATIONAL INFORMATION RETURNS WHO ARE NOT UNDER A CIVIL EXAMINATION OR A CRIMINAL INVESTIGATION BY THE INTERNAL REVENUE SERVICE ("IRS") AND HAVE NOT ALREADY BEEN CONTACTED BY THE IRS ABOUT THE DELINQUENT INFORMATION RETURNS. THE PROCEDURES ALLOW THE TAXPAYER TO FILE DELINQUENT INFORMATION RETURN WITH A STATEMENT OF ALL FACTS ESTABLISHING REASONABLE CAUSE FOR THE FAILURE TO FILE. THE TAXPAYER MEETS ALL THE ABOVE REQUIREMENTS WITH RESPECT TO THE DELINQUENT FILING OF THE FORMS AND STATEMENTS DESCRIBED HEREIN. THE FACTS SUPPORTING REASONABLE CAUSE FOR THE LATE FILING FOLLOW. FAILURE TO FILE FORMS 5471 AND 8992 THE TAXPAYER FAILED TO FILE FORMS 5471 WITH ITS 2020 RETURN TO REPORT ITS INTEREST IN DRAKE CAPITAL OFFSHORE PARTNERS II, L.P. THE TAXPAYER ALSO FAILED TO FILE FORM 8992 WITH ITS 2020 RETURN, DUE TO ITS FAILURE TO FILE THE ABOVE- MENTIONED FORM 5471, AS THE TAXPAYER HAS NO OTHER OWNERSHIP INTEREST IN WHICH THERE IS A FORM 5471 FILING OBLIGATION. THE TAXPAYER IS FILING AN AMENDED FORM 990, AND ATTACHING FORMS 5471 AND 8992, PURSUANT TO THE DELINQUENT INTERNATIONAL INFORMATION RETURN SUBMISSION PROCEDURES FOR THE PERIOD ENDED DECEMBER 31, 2020. FACTS THE TAXPAYER IS AN IRC SEC. 501(C)(3) CORPORATION THAT CONDUCTS OR FUNDS RESEARCH AND DEVELOPS EDUCATIONAL MATERIALS TO ENHANCE TRAFFIC SAFETY. THE TAXPAYER HAS OPERATED SINCE 1947. ON JANUARY 1, 2015, THE TAXPAYER INVESTED IN DRAKE CAPITAL OFFSHORE PARTNERS II, L.P. (THE "FOREIGN CORPORATION") (EIN: XXX-XX-XXXX) AND OBTAINED AN OWNERSHIP INTEREST OF LESS THAN 10% OF THE VOTE OR VALUE. THE FOREIGN CORPORATION IS A CONTROLLED FOREIGN CORPORATION ("CFC"), AS DEFINED UNDER IRC SEC. 957. THIS INVESTMENT WAS NOT DEBT-FINANCED, WITHIN THE MEANING OF IRC SEC. 512. THIS ENTITY WAS ORGANIZED IN THE CAYMAN ISLANDS AND ELECTED TO BE TREATED AS A CORPORATION FOR U.S. TAX PURPOSES. ON JANUARY 1, 2020, THE TAXPAYER'S INTEREST IN THE FOREIGN CORPORATION WAS 9.49%. ON DECEMBER 31, 2020, THE FOREIGN CORPORATION REDEEMED THE SHARES OF FOUR INVESTORS FOR $3.1 MILLION USD. AS A RESULT, THE TAXPAYER'S OWNERSHIP INTEREST IN THE FOREIGN CORPORATION INCREASED AND EXCEEDED 10% MAKING THE TAXPAYER BECOME A US SHAREHOLDER IN THE CFC, AS DEFINED IN IRC SEC. 958. THE TAXPAYER DID NOT TAKE ANY ACTION OR ACQUIRE ANY ADDITIONAL SHARES IN THE PROCESS OF INCREASING ITS OWNERSHIP INTEREST. ADDITIONALLY, THE TAXPAYER WAS NOT INFORMED OF THIS CHANGE IN OWNERSHIP PRIOR TO THE EXTENDED 2020 TAX FILING DEADLINE OF NOVEMBER 15, 2021. THE TAXPAYER WAS INFORMED OF ITS INCREASE IN PERCENTAGE OF OWNERSHIP IN FEBRUARY OF 2022. THE TAXPAYER'S INTERNAL FINANCE TEAM DO NOT HAVE PRIOR EXPERIENCE, OR THE NECESSARY EXPERTISE REQUIRED TO UNDERSTAND AND PREPARE US INTERNATIONAL TAX FILINGS. DUE TO A LATE NOTIFICATION OF THIS CHANGE, THE TAXPAYER FAILED TO FILE A FORM 5471 WITH RESPECT TO ITS INTEREST IN THE FOREIGN CORPORATION AS A CATEGORY 3 AND 5A FILER. ADDITIONALLY, AS A US SHAREHOLDER OF A CFC, THE TAXPAYER WAS ALSO REQUIRED TO FILE A FORM 8992, WHICH WAS NOT ATTACHED TO ITS RETURN. AS NOTED ABOVE, THE TAXPAYER'S INVESTMENT IN THE CFC WAS NOT DEBT-FINANCED, THUS THERE WAS NO UNRELATED BUSINESS INCOME GENERATED BY THE CFC (EITHER AS SUBPART F INCOME OR IRC SEC. 951A GLOBAL INTANGIBLE LOW TAXED INCOME INCLUSIONS). THEREFORE, THE FAILURE TO FILE THE REQUIRED FORMS 5471 AND 8992 DID NOT RESULT IN A FAILURE TO INCLUDE INCOME OR PAY TAX ON INCOME GENERATED BY THE FOREIGN CORPORATION. ONCE THE TAXPAYER BECAME AWARE OF THE FAILURE TO FILE, IN CONJUNCTION WITH RSM US LLP AS THEIR TAX ADVISORS, DETERMINED THE CORRECT COURSE OF ACTION. THE TAXPAYER IMMEDIATELY AUTHORIZED RSM TO PREPARE ALL REQUIRED INTERNATIONAL INFORMATION RETURNS AND SUBMIT TO THE IRS UNDER THE DELINQUENT INTERNATIONAL INFORMATION RETURN SUBMISSION PROCEDURES. THE TAXPAYER ACTED PRUDENTLY UNDER THE CIRCUMSTANCES AND EXERCISED REASONABLE CARE WHEN THEY LEARNED THEY FAILED TO FILE THE MISSING FORMS 5471 AN 8992. THE TAXPAYER TAKES ITS TAX FILING OBLIGATIONS SERIOUSLY. THE CORRECTIVE ACTION WAS TAKEN BY THE TAXPAYER WITHOUT ANY PROMPTING FROM THE IRS AND AS SOON AS THE TAXPAYER LEARNED ABOUT THE INTERNATIONAL INFORMATION RETURN FILING RESPONSIBILITIES. SUCH CORRECTIVE ACTION INCLUDED CONTACTING THE IRS ON ITS OWN INITIATIVE, AND PROMPTLY FILING FORM 990 FOR THE 2020 TAX YEAR TO PROPERLY REPORT THE FORMS 5471 AND 8992. THESE MEASURES DEMONSTRATE AN OUTSTANDING EFFORT TO COMPLY AND TO ACT WITH REASONABLE BUSINESS CARE. ADDITIONALLY, THEY FURTHER DEMONSTRATE THAT THE TAXPAYER'S ACTIONS ARE NOT INDICATIVE OF WILLFUL NEGLECT. AS SUCH, TAXPAYER HAS SHOWN REASONABLE CAUSE FOR NOT TIMELY FILING FORMS 5471 AND 8992 PURSUANT TO TREAS. REG. SEC. 1.6038-2(K)(3). REQUEST FOR WAIVER OF PENALTY WE HEREBY RESPECTFULLY REQUEST THAT THE IRS NOT IMPOSE ANY PENALTIES FOR THE DELINQUENT FILING OF THE FORMS 5471 AND 8992 FOR THE TAX YEAR ENDED DECEMBER 31, 2020. THE WAIVER OF PENALTIES IS CONSISTENT WITH THE IRS' POLICY FOR ADMINISTERING PENALTIES IMPOSABLE UNDER THE INTERNAL REVENUE CODE. IRM 20.1.1.2.1. STATES THAT "PENALTIES EXIST TO ENCOURAGE VOLUNTARY COMPLIANCE BY SUPPORTING STANDARDS OF BEHAVIOR REQUIRED BY THE INTERNAL REVENUE CODE." HERE IT IS EVIDENT THAT THE TAXPAYER TAKES ITS RESPONSIBILITIES SERIOUSLY AND HAS TAKEN AFFIRMATIVE STEPS TO MEET THEIR FILING RESPONSIBILITIES UNDER THE IRC. WE BELIEVE THAT IMPOSITION OF ANY PENALTIES WOULD BE INCONSISTENT WITH THE IRS' POLICY FOR ENCOURAGING VOLUNTARY COMPLIANCE. THEREFORE, CONSIDERING ALL THE FACTS AND CIRCUMSTANCES, THE TAXPAYER'S FAILURE TO TIMELY FILE FORMS 5471 AND 8992 FOR THE 2020 TAX YEAR WAS DUE TO REASONABLE CAUSE AND NOT WILLFUL NEGLECT. THE TAXPAYER IS NOT UNDER CIVIL EXAMINATION OR CRIMINAL INVESTIGATION BY THE IRS AND HAS NOT BEEN CONTACTED BY THE IRS ABOUT DELINQUENT INTERNATIONAL INFORMATION RETURNS. UNDER PENALTIES OF PERJURY, I AFFIRM THAT THE INFORMATION PROVIDED ABOVE IS TRUE, CORRECT, AND COMPLETE TO THE BEST OF MY KNOWLEDGE AND BELIEF. _________________________________________________ AAA FOUNDATION FOR TRAFFIC SAFETY FORM 990, PART VI, SECTION A, LINE 2 MARK A. SHAW AND DONALD R. GAGNON ARE DIRECTORS OF THE AMERICAN AUTOMOBILE ASSOCIATION, INC. FORM 990, PART VI, SECTION A, LINE 7A THE AMERICAN AUTOMOBILE ASSOCIATION, INC. SELECTS SIX OF THE 12 TRUSTEES ON THE BOARD OF TRUSTEES. FORM 990, PART VI, SECTION B, LINE 11B FORM 990 IS REVIEWED BY THE FOUNDATION'S AUDIT COMMITTEE AND BOARD OF TRUSTEES PRIOR TO SUBMISSION. FORM 990, PART VI, SECTION B, LINE 12C THE BOARD OF TRUSTEES, COMMITTEES, AND THE AAA FOUNDATION FOR TRAFFIC SAFETY ASSOCIATES ARE ASKED TO READ THE FOUNDATION'S POLICY ON POTENTIAL CONFLICTS OF INTEREST AND EXECUTE A FORM IDENTIFYING ANY POSSIBLE CONFLICT OF INTEREST ON AN ANNUAL BASIS. THE FOUNDATION'S EXECUTIVE DIRECTOR AND SENIOR MANAGERS KEEP THIS POLICY IN MIND WHEN ALL POTENTIAL CONTRACTS ARE BEING NEGOTIATED. FORM 990, PART VI, SECTION B, LINE 15 A COMPREHENSIVE STUDY OF COMPENSATION AND BENEFITS, WHICH WAS CONDUCTED BY THE MERCER COMPANY IN 2014, WAS USED TO BENCHMARK THE EXECUTIVE DIRECTOR'S COMPENSATION, ALONG WITH ALL ASSOCIATES. THE FOUNDATION'S ADMINISTRATIVE COMMITTEE HAS FORMALIZED THE PROCESS BY WHICH EXECUTIVE DIRECTOR'S PERFORMANCE IS MEASURED AND COMPENSATION ESTABLISHED. THAT NEW PROCESS WAS INSTITUTED IN APRIL OF 2015. THE AAA'S HUMAN RESOURCES DEPARTMENT WORKED WITH THE AAA FOUNDATION FOR TRAFFIC SAFETY TO IDENTIFY KEY PERFORMANCE INDICATORS AND DEVELOP NEW COMPETENCIES TO EVALUATE STAFF PERFORMANCE AND UTILIZE AAA HR PROCEDURES FOR COMPARABILITY DATA. FORM 990, PART VI, SECTION C, LINE 18 COPIES OF FORM 990 AND FORM 1023 ARE AVAILABLE UPON REQUEST. FORM 990, PART VI, SECTION C, LINE 19 GOVERNANCE DOCUMENTS AVAILABILITY IS NOTED ON THE AAA FOUNDATION FOR TRAFFIC SAFETY'S WEB-PAGE FOR THE SAME PERIOD OF DISCLOSURE AS SET FORTH IN IRC SECTION 6104(D). FORM 990, PART VII CONTACT ADDRESSES FOR OFFICERS, DIRECTORS, ETC MARK A. SHAW (PARTIAL YEAR) - 110 ROYAL LITTLE DRIVE, PROVIDENCE, RI 02904. TOM MCKERNAN - 3333 FAIRVIEW ROAD, COSTA MESA, CA 92626. DONALD R. GAGNON (PARTIAL YEAR) - 1 RIVER PLACE, WILMINGTON, DE 19801. PAUL PETRILLO - 5407 PARKWOOD SCHOOL ROAD, WAXHAW, NC 28173. JOE RICHARDSON (PARTIAL YEAR) - 1 AUTO CLUB DRIVE, DEARBORN, MI 48126. BOB DARBELNET (PARTIAL YEAR) - 1593 ROCKDALE LOOP, HEATHROW, FL 32746. LINDA CAVANAGH (PARTIAL YEAR) - 6061 SOUTH WILLOW DRIVE, GREENWOOD VILLAGE,, CO 80111. BILL MEKRUT - 270 CENTRAL AVENUE, JOHNSTON, RI 02919. TONY BUZZELLI - 6402 SCUFFLETOWN ROAD, SOMERSET, VA 22972. KATHLEEN BOWER - 1000 AAA DRIVE MS 90, HEATHROW, FL 32746. FORM 990, PT. IX, LINE 24A RESEARCH PROJECTS: FORM 990 PT. IX, LINE 24A RESEARCH PROJECTS CONSISTS OF THE FOLLOWING EXPENDITURES: $1,311,094 LONGROAD EXPENSES $315,869 ADS TECH & DRIVER WL-UTAH $10,896 CONSUMER EDUCATION ADAS $154,500 AMERICAN DRIVING SURVEY $(1,897) CELL PHONES & CRASH RISK $139,390 TSCI/EMERGING TECH PERCEPTION $80,092 SENIOR POLICY APPROACHES $(1,501) POSTED SPEED LIMITS PROJECT $93,625 IMPACT ADAS MENTAL MODELS $85,798 SURVEILLANCE FOR DRUG DRIVING $300 GENERAL RESEARCH $100,008 COUNTERMEASURES DROWSY DRIVING $22,329 PREDICTING AV SAFETY IN FUTURE $57,422 DRIVER TAKEOVER READINESS $85,726 PROTECT ROADSIDE SERVICE FORM 990, PART XII, LINE 2C: THERE HAS BEEN NO CHANGE FROM PRIOR YEAR TO THE OVERSIGHT PROCESS OR TO THE PROCESS OF SELECTING AN INDEPENDENT ACCOUNTANT.