2018-06-28T08:26:41-05:00 2017-12-31 521855942 TATE AND TRYON 2021 L STREET NW SUITE 400 WASHINGTON DC 20036 990 2017-01-01 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 2018-06-28 1 R MICHAEL SORRELLS P00001737 2022932200 2017 2022-09-23 18:48:47Z APLU PETER MCPHERSON 1307 NEW YORK AVENUE NO 400 WASHINGTON DC 200054722 19276031 0 X WWW.APLU.ORG X 1887 DC A.P.L.U.'S OVERRIDING MISSION IS TO SUPPORT HIGH-QUALITY PUBLIC HIGHER EDUCATION. 26 26 67 175 0 0 5488265 5868111 11246608 11414978 60725 419245 3124 20011 16798722 17722345 2217258 2413304 0 0 7922361 7847679 0 0 0 6689410 7105588 16829029 17366571 -30307 355774 16751201 18069250 5321137 6055499 11430064 12013751 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 3374128 228215 3374128 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. 2960045 855909 660012 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). 2193236 1255792 19912 OFFICE OF URBAN INITIATIVES - 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. 2118254 6759 992403 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. 4609912 66629 6368523 GOVERNMENT AFFAIRS, ACCESS & ADVANCEMENT, AND PUBLIC AFFAIRS 6728166 73388 7360926 15255575 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 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 108 0 1 67 1 0 0 0 0 0 0 0 0 0 0 X 26 26 0 0 0 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 ROBERT CARET CHAIR 1.00 X X 0 0 0 MICHAEL V DRAKE CHAIR-ELECT 1.00 X X 0 0 0 TERESA SULLIVAN PAST CHAIR 1.00 X X 0 0 0 ROBERT JONES CHAIR, COUNCIL OF PRESIDENTS 1.00 X X 0 0 0 KENT SMITH JR DIRECTOR 1.00 X 0 0 0 APRIL MASON DIRECTOR 1.00 X 0 0 0 DAVID W HARRIS DIRECTOR 1.00 X 0 0 0 ANDREW FURCO DIRECTOR 1.00 X 0 0 0 SOPHIA MAGILL DIRECTOR 1.00 X 0 0 0 JACK MARTIN DIRECTOR 1.00 X 0 0 0 JAVAUNE ADAMS-GASTON DIRECTOR 1.00 X 0 0 0 SETHURAMAN PANCH PANCHANATHAN DIRECTOR 1.00 X 0 0 0 MARK ROSENBERG DIRECTOR 1.00 X 0 0 0 RONALD GREEN DIRECTOR 1.00 X 0 0 0 ERIC BARRON DIRECTOR 1.00 X 0 0 0 ANGEL CABRERA DIRECTOR 1.00 X 0 0 0 EDWARD RAY DIRECTOR 1.00 X 0 0 0 MARK BECKER DIRECTOR 1.00 X 0 0 0 M ROY WILSON DIRECTOR 1.00 X 0 0 0 SUSAN HERBST DIRECTOR 1.00 X 0 0 0 SATISH TRIPATHI DIRECTOR 1.00 X 0 0 0 RITA CHENG DIRECTOR 1.00 X 0 0 0 HAROLD MARTIN DIRECTOR 1.00 X 0 0 0 KIRK SCHULZ DIRECTOR 1.00 X 0 0 0 JUDY GENSHAFT DIRECTOR 1.00 X 0 0 0 JOSEPH STEINMETZ DIRECTOR 1.00 X 0 0 0 MILDRED GARCIA SECRETARY (THRU 11/17) 1.00 X 0 0 0 BERNADETTE GRAY-LITTLE PAST CHAIR (THRU 11/17) 1.00 X 0 0 0 JAY T AKRIDGE DIRECTOR (THRU 11/17) 1.00 X 0 0 0 AMIT CHAKMA DIRECTOR (THRU 11/17) 1.00 X 0 0 0 JACK CLINE DIRECTOR (THRU 11/17) 1.00 X 0 0 0 WADED CRUZADO DIRECTOR (THRU 11/17) 1.00 X 0 0 0 PRADEEP KHOSLA DIRECTOR (THRU 11/17) 1.00 X 0 0 0 LORI REESOR DIRECTOR (THRU 11/17) 1.00 X 0 0 0 KEVIN ROME DIRECTOR (THRU 11/17) 1.00 X 0 0 0 LAURA VOISINET DIRECTOR (THRU 11/17) 1.00 X 0 0 0 M PETER MCPHERSON PRESIDENT 37.50 X 727970 0 139208 HOWARD GOBSTEIN EXECUTIVE VP 37.50 X 183326 0 34936 JEAN MIDDLETON VP AND CHIEF OF STAFF 37.50 X 134891 0 21944 EMILY VAN LOON CFO AND TREASURER 37.50 X 151312 0 32102 SHARI GARMISE VP, USU/APLU URBAN INITIATIVES 37.50 X 184304 0 31084 MONTAGUE DEMMENT VP OF INTERNATIONAL PROGRAMS 37.50 X 154163 0 39009 JEFFREY LIEBERSON VP OF PUBLIC AFFAIRS 37.50 X 174471 0 39092 IAN MAW VP FOOD, AGRICULTURE & NR 37.50 X 383592 0 27000 ALAN MABE VP ACADAMIC AFFAIRS 37.50 X 233750 0 26375 JENNIFER POULAKIDAS VP CGA 37.50 X 179531 0 27266 EUGENE L ANDERSON VP OAS 37.50 X 154080 0 18150 2661390 0 436166 22 0 1 0 CORNERSTONE GOVERNMENT AFFAIRS LLC 300 INDEPENDENCE AVE SE WASHINGTON DC 20003 ADVOCACY SERVICES 862039 KGLOBAL LLC 13800 COPPERMINE RD 307 HERNDON VA 20171 ADVOCACY SERVICES 333996 JENNIFER DANEK 1911 N 37TH STREET SEATTLE WA 98103 CONSULTING ON URBAN HEALTH ISSUES 116220 RICHARD KLEMME 142 LARKIN STREET MADISON WI 53705 COOPERATIVE EXTENSION CONSULTING 102500 4 1827142 4040969 5868111 MEMBERSHIP DUES 900099 9589098 9589098 MEETINGS & SEMINARS 900099 1825880 1825880 11414978 69221 69221 1903710 1553686 350024 350024 350024 MISCELLANEOUS 900099 20011 20011 20011 17722345 11414978 0 439256 X 2398304 2398304 15000 15000 1854646 1685583 169063 4660696 4257333 403363 450941 409259 41682 486829 408652 78177 394567 357072 37495 20735 12421 8314 63533 63533 2443009 2312792 130217 5416 5316 100 580629 299869 280760 521270 164045 357225 217625 2750 214875 1023437 1008510 14927 1506595 1512849 -6254 138045 138045 SUBCONTRACTS 245059 245059 INSURANCE/TAXES/FEES 109748 6304 103444 BOOKS & REFERENCE MATER 53262 38999 14263 DUES & SUBSCRIPTIONS 51959 45393 6566 125266 70065 55201 17366571 15255575 2110996 0 313825 659989 7101516 7499048 261083 432964 245159 130477 202713 249774 5415255 2347489 3202779 3067766 5137886 5686293 286240 342939 16751201 18069250 797001 540259 2480520 3636891 1802502 1561705 241114 316644 5321137 6055499 X 9817924 10331879 112140 181872 1500000 1500000 11430064 12013751 16751201 18069250 X 355774 243713 -15800 X X 0 1 X 1 1 1 X 2782681 3592203 3292191 5488265 5868111 21023451 2782681 3592203 3292191 5488265 5868111 21023451 9602639 11420812 68040 59795 45943 60776 69221 303775 16020 47492 752 3124 20011 87399 21414625 59785054 0.53330 0.62020 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 702500 702500 16664071 17366571 1000000 250000 0 0 1000000 887233 991451 1000000 3878684 5818026 446184 652557 597116 702500 2398357 250000 221808 247863 250000 969671 1454507 6594 6594 1612140 118024 48292 1681872 1617770 60338 65968 1612140 1650063 28705 60998 1617770 1635986 77677 63600 1650063 1610542 90679 65235 1635986 0.00000 0.89190 0.10810 0 0 1331256 1331256 3115486 1511347 1604139 215745 197882 17863 752768 638260 114508 3067766 POOLED INVESTMENTS 5686293 F 5686293 DEFERRED COMPENSATION 316644 316644 17950258 243713 -15800 227913 17722345 0 17722345 17366571 0 17366571 0 17366571 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 -15,800. 1 AASCU 1307 NEW YORK AVE WASHINGTON DC 20005 520747578 501C3 27500 PROJECT/INSTITUTE SUPPORT ARIZONA STATE UNIVERSITY PO BOX 877705 TEMPE AZ 852877705 860196696 115 133000 ADAPTIVE COURSE SOFTWARE CALIFORNIA STATE UNIVERSITY FRESNO 2415 E SAN RAMON AVE AS 79 FRESNO CA 937408033 946003272 115 50000 USU COG AWARD CAL STATE UNIVERSITY LA AUXILIARY SERVICES 5151 STATE UNIVERSITY DRIVE GE 314 LOS ANGELES CA 90032 954016653 115 50000 AWARD CALIFORNIA STATE UNIVERSITY NORTHRIDGE 18111 NORDHOFF ST M/C 8232 NORTHRIDGE CA 913308232 951992732 115 50000 COLLABORATIVE OPPORTUNITY GRANT CLEVELAND STATE UNIVERSITY SC 140 CONF SERVICES 2121 EUCLID AVE CLEVELAND OH 44115 340966056 115 55000 PROJECT/USU COG AWARD COLORADO STATE UNIVERSITY 1062 CAMPUS DELIVERY FORT COLLINS CO 805231062 846000545 115 103000 ADAPTIVE COURSE SOFTWARE FLORIDA INTERNATIONAL UNIVERSITY 11200 SW 8TH ST PC 526 MIAMI FL 331990001 650177616 115 195000 COMPLETION PROJECT/GRANT FORT VALLEY STATE UNIVERSITY 1005 STATE UNIVERSITY DRIVE FORT VALLEY GA 31030 586002062 115 50000 USU COG AWARD GEORGIA STATE UNIVERSITY RESEARCH SERVICES PO BOX 3999 ATLANTA GA 303023999 586002050 115 421000 ADAPTIVE COURSE SOFTWARE INDIANA UNIVERSITY 210 S TENTH ST 129 STRIGHT HALL INDIANA PA 15705 356001633 115 30000 IES COMPLETION GRANT MICHIGAN STATE UNIVERSITY SPARTAN WAY 535 CHESTNUT RD 300 EAST LANSING MI 48824 386005984 115 6275 TEACHING AWARD/SKILLS STUDY NORTHERN ARIZONA UNIVERSITY S SAN FRANCISCO STREET FLAGSTAFF AZ 86011 742579628 115 103000 ADAPTIVE COURSE SOFTWARE OKLAHOMA STATE UNIVERSITY WHITEHURST HALL 301 STILLWATER OK 74078 731383996 115 7450 INNOVATIVE TEACHING AWARD PORTLAND STATE UNIVERSITY PO BOX 751 PORTLAND OR 972070751 936001786 115 263000 ADAPTIVE CORSE/FRONTIER PURDUE UNIVERSITY 610 PURDUE MALL WEST LAFAYETTE IN 47907 356002041 115 10500 NATIONAL TEACHING AWARDS SOUTH DAKOTA STATE UNIVERSITY BOX 2275A ROTUNDA LANE BROOKINGS SD 57007 466000364 115 142340 SNAP-ED THE OHIO STATE UNIVERSITY PO BOX 182646 COLUMBUS OH 43210 316025986 115 18283 SUPPORT OF IES THE TOWER FOUNDATION OF SAN JOSE STATE UNIVERSITY 1 WASHINGTON SQUARE SAN JOSE CA 951920256 830403915 115 50000 USU COG AWARD UNIVERSITY OF ARKANSAS 71 GARLAND FAYETTEVILLE AR 72071 716003252 115 5800 SECON/TEACHING AWARD UNIVERSITY OF CALIFORNIA RIVERSIDE 900 UNIVERSITY AVE STNT SVCS 1111 RIVERSIDE CA 92521 956006142 115 50000 COG AWARD UNIVERSITY OF LOUISVILLE GRAWEMEY HALL 203 LOUISVILLE KY 40292 611029626 115 103000 ADAPTIVE COURSE GRANT UNIVERSITY OF MARYLAND BALTIMORE 1000 HILLTOP CIRCLE RM 116UC BALTIMORE MD 21250 526002036 115 50000 USU COG AWARD UNIVERSITY OF MISSISSIPPI PO BOX 1848 UNIVERSITY MS 386771848 646001159 115 103000 ADAPTIVE SOFTWARE GRANT UNIVERSITY OF NORTH CAROLINA-CHARLOTTE 9201 UNIVERSITY CITY BLVD CHARLOTTE NC 282230001 560791228 115 35000 IES COMPLETION GRANT UNIVERSITY OF SOUTH ALABAMA OFFICE OF THE PRES-307 UNIVERSITY BLVD N MOBILE AL 36688 630477348 115 50000 COG AWARD UNIVERSITY OF WISCONSIN 212D AGRICULTURE HALL 1450 LINDEN DR MADISON WI 53706 396006492 115 50000 USU COG GRANT VIRGINIA COMMONWEALTH UNIVERSITY OFFICE OF THE PROVOST PO BOX 842527 842527 RICHMOND VA 232842527 546001758 115 5792 IES COMPLETION GRANT WAYNE STATE UNIVERSITY 5700 CASS AVE 1200 DETROIT MI 48202 386828429 115 45000 COMPLETION GRANT 29 0 TEACHING AWARDS 11 15000 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 0 0 0 0 0 0 0 1 0 M PETER MCPHERSON PRESIDENT 581478 0 117542 0 28950 0 123221 0 19461 0 870652 0 192442 0 HOWARD GOBSTEIN EXECUTIVE VP 175057 0 5000 0 3269 0 20544 0 17133 0 221003 0 0 0 JEAN MIDDLETON VP AND CHIEF OF STAFF 128095 0 5000 0 1796 0 14086 0 11445 0 160422 0 0 0 EMILY VAN LOON CFO AND TREASURER 149582 0 0 0 1730 0 17670 0 16348 0 185330 0 0 0 SHARI GARMISE VP, USU/APLU URBAN INITIATIVES 175169 0 6000 0 3135 0 18778 0 15541 0 218623 0 0 0 MONTAGUE DEMMENT VP OF INTERNATIONAL PROGRAMS 145621 0 6000 0 2542 0 18130 0 26323 0 198616 0 0 0 JEFFREY LIEBERSON VP OF PUBLIC AFFAIRS 166392 0 5000 0 3079 0 18213 0 25639 0 218323 0 0 0 IAN MAW VP FOOD, AGRICULTURE & NR 381042 0 0 0 2550 0 27000 0 3500 0 414092 0 0 0 ALAN MABE VP ACADAMIC AFFAIRS 227705 0 5000 0 1045 0 25375 0 4231 0 263356 0 0 0 JENNIFER POULAKIDAS VP CGA 171285 0 5000 0 3246 0 20172 0 10306 0 210009 0 0 0 EUGENE L ANDERSON VP OAS 150420 0 1000 0 2660 0 15600 0 5765 0 175445 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 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 68,985. MANAGEMENT AND GENERAL EXPENSES 64,563. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 133,548. TEMPORARY HELP: PROGRAM SERVICE EXPENSES 50,025. MANAGEMENT AND GENERAL EXPENSES 24,276. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 74,301. CONSULTANTS: PROGRAM SERVICE EXPENSES 2,156,496. MANAGEMENT AND GENERAL EXPENSES 3,639. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 2,160,135. OUTSIDE COMPUTER SERVICES: PROGRAM SERVICE EXPENSES 37,286. MANAGEMENT AND GENERAL EXPENSES 37,739. FUNDRAISING EXPENSES 0. TOTAL EXPENSES 75,025. FORM 990, PART XI, LINE 9: LOSS ON INVESTMENT IN ASSOCIATION OF MUTUAL HEALTH INSURANCE COMPANY -15,800. FORM 990, PART XII, LINE 2C THE AUDIT OVERSIGHT PROCESS HAS REMAINED UNCHANGED FROM THE PREVIOUS YEAR.