2021-05-14T12:50:43-05:00 2020-06-30 560747981 DIXON HUGHES GOODMAN LLP 1410 SPRING HILL ROAD SUITE 500 TYSONS VA 221023056 990 2019-07-01 521125164 NATIONAL ASSOCIATION OF INDEPENDENT COLLEGES AND UNIVERSITIES NATI 2027858866 1025 CONNECTICUT AVENUE NW NO 700 WASHINGTON DC 200365420 BARBARA K MISTICK PRESIDENT 2027858866 2021-05-10 1 AMY BIBBY P00445891 7039700400 2021-05-10 2019 2022-09-23 18:48:47Z BARBARA K MISTICK 1025 CONNECTICUT AVENUE NW NO 700 WASHINGTON DC 200365420 9791370 0 X WWW.NAICU.EDU X 1976 DC THE NATIONAL ASSOCIATION OF INDEPENDENT COLLEGES & UNIVERSITIES (NAICU) SERVES AS THE UNIFIED NATIONAL VOICE OF INDEPENDENT HIGHER EDUCATION. SINCE 1976, THE ASSOCIATION HAS REPRESENTED PRIVATE COLLEGES AND UNIVERSITIES ON POLICY ISSUES WITH THE FEDERAL GOVERNMENT, SUCH AS THOSE AFFECTING STUDENT AID, TAXATION, AND GOVERNMENT REGULATION. THE NAICU STAFF MEETS WITH POLICY MAKERS, TRACKS CAMPUS TRENDS, CONDUCTS RESEARCH, ANALYZES HIGHER EDUCATION ISSUES, PUBLISHES INFORMATION, HELPS COORDINATE STATE-LEVEL ACTIVITIES, AND ADVISES MEMBERS OF LEGISLATIVE AND REGULATORY DEVELOPMENTS WITH POTENTIAL IMPACT ON THEIR INSTITUTIONS. PROVIDES SUPPORT TO MEMBER INSTITUTIONS THROUGH BOTH DIRECT FEDERAL ASSISTANCE AND BY ADVOCATING FOR THEIR SPECIFIC INSTITUTIONAL NEEDS. 43 43 22 0 0 0 0 0 6696815 6940748 237273 343118 0 0 6934088 7283866 0 0 0 0 4650113 4783702 0 0 0 2217292 1897004 6867405 6680706 66683 603160 9395676 11053551 1960584 3236719 7435092 7816832 X THE NATIONAL ASSOCIATION OF INDEPENDENT COLLEGES & UNIVERSITIES (NAICU) SERVES AS THE UNIFIED NATIONAL VOICE OF INDEPENDENT HIGHER EDUCATION. SINCE 1976, THE ASSOCIATION HAS REPRESENTED PRIVATE COLLEGES AND UNIVERSITIES ON POLICY ISSUES WITH THE FEDERAL GOVERNMENT, SUCH AS THOSE AFFECTING STUDENT AID, TAXATION, AND GOVERNMENT REGULATION. THE NAICU STAFF MEETS WITH POLICY MAKERS, TRACKS CAMPUS TRENDS, CONDUCTS RESEARCH, ANALYZES HIGHER EDUCATION ISSUES, PUBLISHES INFORMATION, HELPS COORDINATE STATE-LEVEL ACTIVITIES, AND ADVISES MEMBERS OF LEGISLATIVE AND REGULATORY DEVELOPMENTS WITH POTENTIAL IMPACT ON THEIR INSTITUTIONS. PROVIDES SUPPORT TO MEMBER INSTITUTIONS THROUGH BOTH DIRECT FEDERAL ASSISTANCE AND BY ADVOCATING FOR THEIR SPECIFIC INSTITUTIONAL NEEDS. 0 0 2382330 GOVERNMENT RELATION ACTIVITIES - REPRESENTING U.S. INDEPENDENT COLLEGES AND UNIVERSITIES ON PUBLIC POLICY ISSUES WITH GOVERNMENTAL INSTITUTIONS. 1450202 RESEARCH - GATHERING, ANALYZING, AND DISTRIBUTING INFORMATION IN SUPPORT OF ALL ASSOCIATION ACTIVITIES. 1132549 PUBLIC RELATION ACTIVITIES - IMPLEMENTS A COMPREHENSIVE PUBLIC AFFAIRS PROGRAM TO ENHANCE PUBLIC UNDERSTANDING OF INDEPENDENT HIGHER EDUCATION. 933538 6940748 MEMBERSHIP ACTIVITIES - MEMBERSHIP RECRUITMENT, RETENTION, ENGAGEMENT, ACTIVITIES, AND RESPONDING TO MEMBERSHIP INQUIRES, PRIORITIES, CONCERNS. 933538 6940748 5898619 1 0 0 1 0 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 20 0 22 1 0 0 0 0 0 0 0 0 0 0 0 0 X 43 43 0 0 0 0 1 1 1 1 1 0 0 0 1 1 1 1 1 1 1 0 X VONDA DICKSON 2027858866 1025 CONNECTICUT AVENUE NW NO 700 WASHINGTON DC 200365420 JO ALLEN CHAIR 1.00 X 0 0 0 ROGER CASEY VICE CHAIR 1.00 X 0 0 0 ANDREW BENTON PAST CHAIR 1.00 X 0 0 0 STEPHEN MINNIS AUDIT CHAIR 1.00 X 0 0 0 ROGER CASEY DIRECTOR 1.00 X 0 0 0 LEWIS THAYNE DIRECTOR 1.00 X 0 0 0 KENNETH GARREN DIRECTOR 1.00 X 0 0 0 SCOTT FLANAGAN DIRECTOR (LEFT 09/19/19) 1.00 X 0 0 0 J CAMERON WEST DIRECTOR 1.00 X 0 0 0 STEPHEN MINNIS DIRECTOR 1.00 X 0 0 0 ANDREA COOK DIRECTOR 1.00 X 0 0 0 TERESA AMOTT DIRECTOR 1.00 X 0 0 0 RONALD CRUTCHER DIRECTOR 1.00 X 0 0 0 PAMELA EIBECK DIRECTOR (LEFT 07/01/19) 1.00 X 0 0 0 SHIRLEY MULLEN DIRECTOR 1.00 X 0 0 0 MICHELE PERKINS DIRECTOR 1.00 X 0 0 0 ANNE PRISCO DIRECTOR (LEFT 06/16/20) 1.00 X 0 0 0 JOHN ROUSH DIRECTOR (LEFT 06/30/20) 1.00 X 0 0 0 W SCOTT COCHRAN DIRECTOR 1.00 X 0 0 0 A GABRIEL ESTEBAN DIRECTOR 1.00 X 0 0 0 BARBARA MCMILLIN DIRECTOR 1.00 X 0 0 0 BRIAN FRIEDRICH DIRECTOR (LEFT 01/01/20) 1.00 X 0 0 0 GAYLE BEEBE DIRECTOR 1.00 X 0 0 0 DANIEL ANDERSON DIRECTOR 1.00 X 0 0 0 GRANT CORNWELL DIRECTOR 1.00 X 0 0 0 ISIAAH CRAWFORD DIRECTOR 1.00 X 0 0 0 FAYNEESE MILLER DIRECTOR 1.00 X 0 0 0 CHRISTOPHER HOPEY DIRECTOR 1.00 X 0 0 0 CAROLYN STEFANCO DIRECTOR (LEFT 06/30/20) 1.00 X 0 0 0 LILLIAN SCHUMACHER DIRECTOR 1.00 X 0 0 0 STEPHEN BRIGGS DIRECTOR 1.00 X 0 0 0 SHERILYN EMBERTON DIRECTOR 1.00 X 0 0 0 ERIC BRUNTMYER DIRECTOR 1.00 X 0 0 0 DARREL COLSON DIRECTOR 1.00 X 0 0 0 ROY HEYNDERICKS DIRECTOR 1.00 X 0 0 0 COLETTE BURNETTE DIRECTOR 1.00 X 0 0 0 CHRISTOPHER KIMBALL DIRECTOR (LEFT 06/30/20) 1.00 X 0 0 0 ERICK SPINA DIRECTOR 1.00 X 0 0 0 HELEN STREUBERT DIRECTOR 1.00 X 0 0 0 JOHN STURN DIRECTOR 1.00 X 0 0 0 PAMELA LOKKEN DIRECTOR 1.00 X 0 0 0 STEVE HEUER DIRECTOR 1.00 X 0 0 0 DAVID TRETTER CHAIR - NAICUSE 1.00 X 0 0 0 SUSANNA BAXTER DIRECTOR - NAICUSE (LEFT 06/09/20) 1.00 X 0 0 0 RICHARD DOHERTY DIRECTOR - NAICUSE 1.00 X 0 0 0 DR BARBARA MISTICK PRESIDENT & EX-OFFICIO 40.00 X 690576 0 70428 SARAH FLANAGAN VP GOV RELATIONS 40.00 X 323428 0 62411 FRANK BALZ VP RESEARCH 40.00 X 296513 0 59239 PETE BOYLE VP PUB AFFAIRS 40.00 X 233988 0 60931 PAUL HASSEN DIRECTOR - COMM & MARKETIN 40.00 X 148448 0 42885 VONDA DICKSON DIRECTOR - FINANCE & ADMIN 40.00 X 158274 0 33395 1851227 0 329289 14 0 1 0 0 MEMBERSHIP DUES 900099 6518120 6518120 MEETING SPONSORSHIP 900099 206000 206000 ANNUAL MEETING REGISTRATION 900099 183813 183813 WORKSHOP REGISTRATION 900099 32815 32815 6940748 170251 170251 2680371 2507504 172867 172867 172867 7283866 6940748 0 343118 701358 490951 210407 3059667 2790741 268926 308812 284488 24324 477276 446315 30961 236589 204992 31597 7395 6803 592 35484 15524 19960 50834 50834 196668 162315 34353 127022 119374 7648 194239 187650 6589 495855 433873 61982 73429 65807 7622 465032 450946 14086 36386 31838 4548 36421 31868 4553 NAICUSE EXPENSES 131214 131214 SUBSCRIPTIONS & MEMBERS 45445 42514 2931 STAFF RECRUITMENT 1580 1406 174 6680706 5898619 782087 0 2544599 4250955 645 0 103441 63463 737527 715245 54756 22282 6669098 6693714 23137 23137 9395676 11053551 945406 1054619 870572 1620936 144606 561164 1960584 3236719 X 7408582 7790322 26510 26510 7435092 7816832 9395676 11053551 603160 -221420 0 X X 0 1 X 1 0 X 6207775 6486525 6524076 6696815 6940748 32855939 6207775 6486525 6524076 6696815 6940748 32855939 0 0 0 32855939 299007 109430 116276 187875 170251 882839 299007 109430 116276 187875 170251 882839 6506782 6595955 6640352 6884690 7110999 33738778 0.97380 0.96910 0.02620 0.03090 X 542269 542269 6138437 6680706 484035 121009 0 58234 1 462851 474849 493370 484035 1915105 2872658 370270 410557 420976 542269 1744072 115713 118712 123343 121009 478777 718166 361203 349653 11550 376324 365592 10732 22282 SBA PPP LOAN 561164 561164 X 7011612 -221420 -221420 7233032 50834 50834 7283866 6629872 0 6629872 50834 50834 6680706 PART X, LINE 2: NAICU IS EXEMPT FROM FEDERAL INCOME TAX UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE ON INCOME OTHER THAN UNRELATED BUSINESS INCOME; ACCORDINGLY THE ACCOMPANYING FINANCIAL STATEMENTS DO NOT REFLECT A PROVISION OR LIABILITY FOR FEDERAL OR STATE INCOME TAXES. THE ASSOCIATION HAS DETERMINED THAT IT DOES NOT HAVE ANY MATERIAL UNRECOGNIZED TAX BENEFITS OR OBLIGATIONS AS OF JUNE 30, 2020 AND 2019. 1 X X X X 0 0 0 0 0 0 0 0 0 DR BARBARA MISTICK PRESIDENT & EX-OFFICIO 500576 0 100000 0 90000 0 54667 0 15761 0 761004 0 0 0 SARAH FLANAGAN VP GOV RELATIONS 323428 0 0 0 0 0 28500 0 33911 0 385839 0 0 0 FRANK BALZ VP RESEARCH 296513 0 0 0 0 0 28500 0 30739 0 355752 0 0 0 PETE BOYLE VP PUB AFFAIRS 233988 0 0 0 0 0 26773 0 34158 0 294919 0 0 0 PAUL HASSEN DIRECTOR - COMM & MARKETIN 148448 0 0 0 0 0 16836 0 26049 0 191333 0 0 0 VONDA DICKSON DIRECTOR - FINANCE & ADMIN 158274 0 0 0 0 0 17778 0 15617 0 191669 0 0 0 FORM 990, PART VI, SECTION A, LINE 6 THE ORGANIZATION HAS MEMBERS. THERE SHALL BE THREE CATEGORIES OF VOTING MEMBERS OF THE ASSOCIATION, AND ONE CATEGORY OF NON-VOTING MEMBERS AS FOLLOWS: A) INDEPENDENT NONPROFIT INSTITUTIONS OF HIGHER EDUCATION THAT ARE LOCATED WITHIN THE TERRITORIAL JURISDICTION OF THE UNITED STATES, AND THAT ARE RECOGNIZED BY A NATIONAL OR REGIONAL ACCREDITING GROUP THAT IS RECOGNIZED BY THE COUNCIL ON HIGHER EDUCATION ACCREDITATION, OR ARE MEMBERS OF A STATE ASSOCIATION OF INDEPENDENT COLLEGES AND UNIVERSITIES (HEREAFTER REFERRED TO AS "MEMBER INSTITUTIONS"); B) STATE ASSOCIATIONS OF INDEPENDENT COLLEGES AND UNIVERSITIES (HEREAFTER REFERRED TO AS "MEMBER ASSOCIATIONS"). ONLY ONE STATE ASSOCIATION SHALL BE RECOGNIZED FROM EACH STATE FOR PURPOSES OF REGULAR NAICU MEMBERSHIP, WHICH SHALL BE THE PRIMARY STATE ASSOCIATION REPRESENTING INDEPENDENT COLLEGES AND UNIVERSITIES IN THAT STATE, AND; C) NATIONAL, REGIONAL, OR OTHER SPECIAL-PURPOSE ASSOCIATIONS OF INDEPENDENT NONPROFIT COLLEGES AND UNIVERSITIES (HEREAFTER REFERRED TO AS "MEMBER ASSOCIATIONS"). D) COLLEGES AND UNIVERSITIES THAT ARE LOCATED OUTSIDE THE TERRITORIAL JURISDICTION OF THE UNITED STATES AND MEET NAICU'S OTHER MEMBERSHIP REQUIREMENTS, I.E. THE INSTITUTIONS ARE INDEPENDENT, NONPROFIT, AND ACCREDITED BY A NATIONAL OR REGIONAL GROUP THAT IS RECOGNIZED BY THE COUNCIL ON HIGHER EDUCATION ACCREDITATION. THESE SHALL BE NON-VOTING MEMBERS. FORM 990, PART VI, SECTION A, LINE 7A THE BOARD OF DIRECTORS SHALL CONSIST OF FORTY-FOUR MEMBERS; THE PRESIDENT SHALL BE AN EX OFFICIO MEMBER OF THE BOARD WITHOUT VOTE. TWENTY-FOUR DIRECTORS, WHO SHALL BE CHIEF EXECUTIVE OFFICERS OF MEMBER INSTITUTIONS, SHALL BE ELECTED DIRECTLY BY THE MEMBERSHIP; TWELVE DIRECTORS, WHO SHALL BE CHIEF EXECUTIVE OFFICERS OF MEMBER INSTITUTIONS, SHALL BE ELECTED BY THE TWENTY-FOUR DIRECTLY ELECTED DIRECTORS; THE CHAIR OF THE SECRETARIAT SHALL BE EX OFFICIO MEMBER OF THE BOARD WITH VOTE; ONE ADDITIONAL MEMBER OF THE SECRETARIAT SHALL BE RECOMMENDED TO THE BOARD BY THE SECRETARIAT AND RATIFIED BY THE BOARD WITH VOTE; THREE MEMBERS OF THE NATIONAL ASSOCIATION OF INDEPENDENT COLLEGE AND UNIVERSITY STATE EXECUTIVES SHALL BE RECOMMENDED TO THE BOARD BY THE NATIONAL ASSOCIATION OF INDEPENDENT COLLEGE AND UNIVERSITY STATE EXECUTIVES AND RATIFIED BY THE BOARD WITH VOTE; THE CHAIR OF THE BOARD SHALL SERVE A FOURTH YEAR ON THE BOARD, AND THE PAST CHAIR SHALL SERVE A FIFTH YEAR. THREE NON-PRESIDENTS FROM MEMBER INSTITUTIONS ALSO PARTICIPATE IN BOARD DELIBERATIONS WITHOUT VOTE. FORM 990, PART VI, SECTION A, LINE 7B AT ANY DULY CONSTITUTED MEETING OF THE BOARD OF DIRECTORS, A TWO-THIRDS VOTE OF THE PRESENT DIRECTORS MAY AMEND THE BYLAWS. SUCH AMENDMENT IS SUBJECT TO RATIFICATION BY THE MEMBERS AT THE NEXT ANNUAL MEETING. THE BOARD ALSO HAS THE POWER TO PROPOSE MEMBERSHIP DUES WHICH ARE SUBJECT TO THE APPROVAL OF THE MEMBERS. FORM 990, PART VI, SECTION B, LINE 11B A COPY OF THE FORM 990 SHALL BE PROVIDED TO THE AUDIT COMMITTEE FOR REVIEW AND APPROVAL PRIOR TO FILING. WRITTEN REVIEW COMMENTS ARE FORWARD TO MANAGEMENT AND CONCERNS WERE SUBSEQUENTLY ADDRESSED BY THE CPA FIRM. AFTER FILING, A COPY IS PROVIDED TO ALL MEMBERS OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 12C AT OR AFTER THE NAICU ANNUAL MEETING, EACH BOARD MEMBER RECEIVES NAICU'S CONFLICT OF INTEREST POLICY AND IS ASKED TO REVIEW AND STIPULATE (A) NO CONFLICT(S) EXISTS OR (B) POSSIBLE CONFLICT(S) EXISTS. THE STATEMENT IS REVIEWED BY NAICU'S PRESIDENT, DATED AND INITIALED. IF THE PRESIDENT IDENTIFIES A POSSIBLE CONFLICT, IT IS PRESENTED AT THE BOARD MEETING. IF THE MAJORITY DEEMS A CONFLICT, THE BOARD MEMBER IS ASKED TO RECUSE HIMSELF. TO DATE, NO CONFLICTS HAVE BEEN IDENTIFIED. FORM 990, PART VI, SECTION B, LINE 15 CONDUCTED BY QUATT ASSOCIATES, NAICU PARTICIPATES IN AN ANNUAL WASHINGTON HIGHER EDUCATION SECRETARIAT COMPENSATION AND BENEFITS SURVEY. THE SURVEY IS FURTHER BROKEN DOWN INTO A SPECIAL CUT, CONSISTING OF EIGHT ORGANIZATIONS WHICH MOST CLOSELY RESEMBLE NAICU IN STRUCTURE, MISSION, AND GOVERNANCE. THE DATA AND RESULTS FROM THIS CUT ARE FORWARDED TO NAICU'S PRESIDENT WHO THEN FORWARDS IT TO NAICU'S COMPENSATION COMMITTEE - THE CHAIR, VICE CHAIR, AND PAST CHAIR. THIS COMMITTEE IS TASKED WITH THE AUTHORITY TO DETERMINE COMPENSATION FOR THE PRESIDENT AND THREE VICE PRESIDENTS. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION DOES NOT MAKE ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC. FORM 990, PART XI, LINE 2C THE AUDIT COMMITTEE PROCESS FOR SELECTING AN INDEPENDENT ACCOUNTANT HAS NOT CHANGED. CORPORATION FOR INDEPENDENT HIGHER EDUCATION 1025 CONNECTICUT AVE NW STE 700 WASHINGTON DC 20036 521118295 NOT CURRENTLY FUNCTIONING DC 501(C)(6) N/A 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0