2017-09-08T11:21:08-05:00 2016-12-31 221478099 COHNREZNICK LLP 1301 AVENUE OF THE AMERICAS NEW YORK NY 10019 990 2016-01-01 130429745 AMERICAN ARBITRATION ASSOCIATION INC AMER 2127165800 120 broadway No fl 21 NEW YORK NY 10271 FRANCESCO ROSSI svp, cfo & treasurer 2127165810 2017-08-28 0 THOMAS LANNING P00851654 2122970400 2017-07-18 209.3.217.20 2017-08-28 08:47:27 ED P DA39A3EE5E6B4B0D3255BFEF95601890AFD80709 90CC17281F34CD083B051E620E31C1B2A26173FC 2016 2021-01-29 14:40:06Z india edna johnsoN 120 broadway No fl 21 NEW YORK NY 10271 139666258 0 X WWW.ADR.ORG X 1926 NY The American Arbitration Association ("AAA") is dedicated to effective, efficient and economical methods of dispute resolution through education, technology and solutions-oriented service. As a not-for-profit organization, our mission is one of service and education. 19 18 589 87 0 0 0 0 76072094 89989244 3794208 4298856 0 164812 79866302 94452912 495628 49156 0 0 43272518 49485693 0 0 0 28086126 33691993 71854272 83226842 8012030 11226070 151242404 175847053 95737790 106747897 55504614 69099156 X The American Arbitration Association ("AAA") is dedicated to effective, efficient and economical methods of dispute resolution through education, technology and solutions-oriented service. As a not-for-profit organization, our mission is one of service and education.We are committed to providing exceptional arbitrators and mediators, proficient case management, dedicated personnel, advanced education and training, and innovative process knowledge to meet the conflict management and dispute resolution needs of the public now and in the future.The corporate purpose of the AAA, as described in its bylaws, is "for the benefit and education of the general public and interested parties, to study, research, promote, establish and administer procedures for the management of disputes through the use of arbitration, mediation, conciliation, negotiation, democratic elections and other voluntary procedures." 0 0 77001305 17392 87595500 Case Administration: The AAA administers tens of thousands of arbitrations, mediations and other forms of dispute resolution in a given year. The AAA's administrative role in these processes is to provide a forum where disputes can be resolved, to provide rosters of qualified arbitrators, mediators and other dispute resolution professionals, and to apply our rules that govern the conduct of those proceedings. Our administrative services are also provided with a view to our core values of integrity and service. the AAA's work has resulted in a lessening of the burdens of our courts and government.Program Service Accomplishments:The American Arbitration Association ("AAA") has, for over ninety years, pioneered the effective use of arbitration, mediation and other forms of alternative dispute resolution. The AAA does not decide cases. Rather, it provides a forum for the hearing of disputes, tested rules and procedures that have broad acceptance and a roster of over 7,000 impartial arbitrators and mediators to hear and resolve cases. Recognized for their standing, expertise in their fields, and their dispute resolution skills, arbitrators and mediators are nominated to the Association's National Panel by leaders in their industry profession. Their conduct is guided by the codes of ethics, such as the code of ethics for arbitrators in commercial disputes, developed jointly by AAA and the American Bar Association.In 2016, there were over 284,390 cases administered by the AAA, which were resolved through mediation or arbitration and less formal methods of dispute resolution.At year end 2016 the AAA, had 23 domestic offices and 3 international offices located in Bahrain, Mexico and Singapore and 82 cooperative agreements with arbitral institutions, universities and chambers of commerce in 52 nations. The AAA's website www.adr.org had over 970,000 visits in 2016, with nearly 3.2 million pages viewed. Additionally, the administration of election services is a specialized and unique capability of the AAA, and is provided to various organizations, associations and unions. Procedures seek to assure the equity of results and give the participants the security of knowing that their democratic rights have been fully and fairly preserved. 1627198 31764 2392348 Education and Publications: The AAA Education Services division provides comprehensive education and training for the American Arbitration Association. Its focus is the provision of education and training programs both in domestic and international settings as well as online formats to ARBITRATORS AND MEDIATORS serving the AAA and ICDR as well as advocates, business professionals, and the general public. AAA Education Services designs and delivers programs for corporations, law firms, court systems, unions and government agencies. The goal of these programs is to educate and encourage the responsible use of alternative dispute resolution processes.Mandatory training programs are developed and delivered to all new arbitrators on the AAA's roster. Advanced courses are offered that meet the AAA's ongoing annual training requirements for commercial arbitrators. The Government Relations office serves as the liaison with federal government agencies and congressional offices in order to serve as an information resource on the Association and dispute resolution mechanisms. The ongoing role of the AAA's Publication department is to promote understanding and the use of alternative dispute resolution (ADR) in the fulfillment of the AAA's mission through the production of quality publications. On the broadest level, the Publications department helps to fulfill the not-for-profit educational mission of the AAA. 78628503 1 0 0 1 0 0 0 0 1 0 1 0 0 0 1 1 0 1 0 1 1 1 0 0 0 0 0 1 0 1 0 0 0 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 1 3919 0 1 589 1 0 0 0 0 0 0 0 0 0 0 X 19 18 1 0 1 0 1 1 0 1 1 0 0 1 1 1 1 1 1 1 0 0 CA NY NJ OR PA X FRANCESCO ROSSI SVP CFO & Treas 2127165810 120 broadway floor 21 NEW YORK NY 10271 X Abby Cohen Smutny Esq director (outgoing) 0.30 X 0 0 0 Alan R Crain Jr director (outgoing) 0.30 X 0 0 0 Albert Bates Jr Esq director 0.30 X 0 0 0 Albert P Parker II director (outgoing) 0.30 X 0 0 0 Ann Ryan Robertson director (outgoing) 0.30 X 0 0 0 Arthur Chong director (outgoing) 0.30 X 0 0 0 Billy Martin Esq director (outgoing) 0.30 X 0 0 0 Bradley E Haddock Esq director (outgoing) 0.30 X 0 0 0 Cedric C Chao Esq director (outgoing) 0.30 X 0 0 0 Christine Guerrier director (outgoing) 0.30 X 0 0 0 Daniel M Price Esq director (outgoing) 0.30 X 0 0 0 David L Evans Esq director 0.75 X 0 0 0 David L Kreider Esq director (outgoing) 0.30 X 0 0 0 David M Benck Esq director (outgoing) 0.30 X 0 0 0 Dean Rodney A Smolla director 0.75 X 0 0 0 Denis J Hauptly director (outgoing) 0.30 X 0 0 0 Dr Anke Sessler director (outgoing) 0.30 X 0 0 0 Dr Patricia D Galloway director 0.50 X 0 0 0 Dr Siegfried H Elsing director (outgoing) 0.30 X 0 0 0 DWIGHT ARN director (outgoing) 0.30 X 0 0 0 Edna Sussman Esq director 0.50 2.00 X 0 0 0 Elisa Garcia director (outgoing) 0.30 X 0 0 0 Eugene I Farber Esq director (outgoing) 0.30 X 0 0 0 Gonzalo Biggs Esq director (outgoing) 0.30 X 0 0 0 Guillermo Aguilar-Alvarez Esq director 0.30 X 0 0 0 H E Sheikha Haya Al Khalifa director (outgoing) 0.30 X 0 0 0 Harold Hongju Koh director 0.30 X 0 0 0 Henri Alvarez Esq director (outgoing) 0.30 X 0 0 0 Hon Bruce Meyerson director (outgoing) 0.30 2.00 X 0 0 0 Hon Cheryl Demmert Fairbanks director (outgoing) 0.30 X 0 0 0 Hon Deborah G Hankinson director 0.50 X 0 0 0 Hon James T Giles Ret director 0.50 X 0 0 0 Hon Michael B Mukasey director (outgoing) 0.30 X 0 0 0 Hon Robert J Cindrich director (outgoing) 0.30 X 0 0 0 Hon Timothy K Lewis director (outgoing) 0.30 X 0 0 0 Hon William G Bassler director 0.50 X 0 0 0 India Johnson President and CEO 37.50 3.00 X X 796466 0 74045 J Brian Casey Esq director (outgoing) 0.30 X 0 0 0 Jacquelin F Drucker Esq director (outgoing) 0.30 X 0 0 0 James R Jenkins Chairman of the council 1.00 2.00 X X 0 0 0 Jan Paulsson Esq director (outgoing) 0.30 X 0 0 0 Javier H Rubinstein Esq director (outgoing) 0.30 X 0 0 0 Jean E Kalicki Esq director (outgoing) 0.30 X 0 0 0 Jerry T Jordan director (outgoing) 0.30 X 0 0 0 John Fellas Esq director (outgoing) 0.30 X 0 0 0 John J Kerr Jr Esq director (outgoing) 0.30 2.00 X 0 0 0 John Sherrill Esq director (outgoing) 0.30 X 0 0 0 Joseph D Garrison Esq director 0.30 X 0 0 0 Joseph E Neuhaus Esq director (outgoing) 0.30 X 0 0 0 Judge O Thomas Johnson director (outgoing) 0.30 X 0 0 0 Judge Stephen M Schwebel director (outgoing) 0.30 X 0 0 0 Judith Ann Freedberg director (outgoing) 0.30 X 0 0 0 K Luan Tran director 0.50 X 0 0 0 Kap-You Kevin Kim ESQ director (outgoing) 0.30 X 0 0 0 Karen Cottle Esq director (outgoing) 0.30 X 0 0 0 Larry D Harris Esq director (outgoing) 0.30 X 0 0 0 Lisa J Damon Esq director (outgoing) 0.30 X 0 0 0 Makhdoom Ali Khan Esq director (outgoing) 0.30 X 0 0 0 Mark H Duesenberg director (outgoing) 0.30 X 0 0 0 Mark Kantor Esq director (outgoing) 0.30 X 0 0 0 Martin F Scheinman Esq director (outgoing) 0.30 X 0 0 0 Mary O'Connell Esq director (outgoing) 0.30 X 0 0 0 Mauricio Gomm Santos Esq director (outgoing) 0.30 X 0 0 0 Melinda Reid Hatton director 0.75 X 0 0 0 Michael Nolan Esq director (outgoing) 0.30 X 0 0 0 Mitchell Zamoff Esq director (outgoing) 0.30 X 0 0 0 Peter B Hamilton director 0.75 X 0 0 0 Professor Dr Kaj Hober director (outgoing) 0.30 X 0 0 0 Professor Floyd Weatherspoon director (outgoing) 0.30 X 0 0 0 Professor Francis McGovern director 0.50 2.00 X 0 0 0 Professor George A Bermann director (outgoing) 0.30 X 0 0 0 Professor Howard Hunter director (outgoing) 0.30 X 0 0 0 Professor William W Park director (outgoing) 0.30 X 0 0 0 R Doak Bishop Esq director (outgoing) 0.30 X 0 0 0 Sarah Francois-Poncet Esq director (outgoing) 0.30 X 0 0 0 Stephen E Smith Esq director (outgoing) 0.30 X 0 0 0 Susan Davis Esq director (outgoing) 0.30 X 0 0 0 Teresa E McCaslin chairman of the board of directors 1.00 X X 0 0 0 Teresa Giovannini Esq director (outgoing) 0.30 X 0 0 0 Teresa Wynn Roseborough director (outgoing) 0.30 X 0 0 0 Theodore K Cheng Esq director (outgoing) 0.30 X 0 0 0 Timothy Martin Esq director (outgoing) 0.30 X 0 0 0 Tom Sikora Esq director (outgoing) 0.30 X 0 0 0 Toni D Hennike director (outgoing) 0.30 X 0 0 0 Vera Van Houtte Esq director (outgoing) 0.30 X 0 0 0 Wendy Kennedy Venoit Esq director (outgoing) 0.30 X 0 0 0 Wolf von Kumberg director 0.50 X 0 0 0 Eric P Tuchmann General Counsel & Corp Sec 37.50 X 393259 0 46392 Francesco Rossi svp, cfo & treasurer 37.50 3.00 X 444542 0 51063 Christine L Newhall SENIOR VICE PRESIDENT 37.50 X 337569 0 43547 Diana N Didia senior vice president 37.50 X 324025 0 42907 DWIGHT D JAMES senior vice president 37.50 X 302644 0 38275 Eric Dill Senior vice president 37.50 X 206515 0 41256 Harold Coleman Jr senior vice president 37.50 X 307496 0 42283 Richard W Naimark SENIOR VICE PRESIDENT 37.50 X 273613 0 44449 Robert Matlin SENIOR VICE PRESIDENT 37.50 X 325525 0 42843 Adriana Odice VICE PRESIDENT 37.50 X 184640 0 40819 INTERNA KHUTORSKY VP, Software Development 37.50 X 178561 0 38080 Maureen Kurdziel Vice President 37.50 X 228299 0 17191 Michael c Clark Vice President 37.50 X 193849 0 13589 Sasha Carbone VICE PRESIDENT 37.50 X 212296 0 41687 Mark Appel former SENIOR VICE PRESIDENT 37.50 X 230244 0 383 4939543 0 618809 73 1 1 0 COHNREZNICK LLP 1301 AVENUE OF THE AMERICAS New YORK NY 10019 Accounting Services 357884 FORUM CONSULTING SERVICES 260 MADISON AVE Suite 200 NEW YORK NY 10016 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100000 0 Part II-B, Line 1: The AAA Government Relations Department monitors, analyzes, and responds as needed to legislative, regulatory, and policy issues that may impact the Association, at the federal, state and local levels. The Department also promotes the use works with government agencies and decision-makers to assist in the design and implementation of alternative dispute resolution programs and procedures. 0 1 X 12924133 6945176 5978957 8319503 6408818 1910685 21644725 9603215 12041510 19931152 ACCRUED POST RETIREMENT MEDICAL COSTS 9573133 ACCRUED PENSION LIABILITY 7463568 DEFERRED RENT 4512211 21548912 X 95537011 1898152 -742075 1156077 94380934 48000 23978 71978 94452912 82049399 171652 171652 81877747 48000 1301095 1349095 83226842 Part IV, Line 2b: The AAA is a founding member and supporter of the International Mediation Institute (IMI), a global institution headquartered in the Netherlands whose vision is generating enhanced confidence in mediators and improved understanding of mediation. During 2016, the Association agreed to assist IMI in the collection of IMI listing contributions from AAA mediators. There is a separate bank account with an associated and equal separate liability account maintained. AAA and IMI funds are not co-mingled. All supporting documentation for activity is maintained by the AAA, the account is reconciled monthly and periodic transfers are made to IMI. At December 31, 2016, the balance of IMI funds held by the AAA was $2,735. The Association also holds funds pertaining to certain arbitration cases. During 2016, the total funds in escrow at year end was $50,000. Part X, Line 2: THE AAA IS EXEMPT FROM FEDERAL INCOME TAX UNDER THE PROVISIONS OF SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE; THEREFORE, NO PROVISION FOR INCOME TAXES IS INCLUDED IN THE ASSOCIATION'S CONSOLIDATED FINANCIAL STATEMENTS. THE ASSOCIATION HAS NO UNRECOGNIZED TAX BENEFITS AT DECEMBER 31, 2016 AND 2015. THE ASSOCIATION'S U.S. FEDERAL AND STATE INCOME TAX RETURNS PRIOR TO FISCAL YEAR 2013 ARE CLOSED AND MANAGEMENT CONTINUALLY EVALUATES EXPIRING STATUTES OF LIMITATIONS, AUDITS, PROPOSED SETTLEMENTS, CHANGES IN TAX LAW AND NEW AUTHORITATIVE RULINGS. Part XI, Line 2d - Other Adjustments: bank fees -1,301,095. related party revenues 776,400. intercompany elminations -217,380. Part XI, Line 4b - Other Adjustments: Rental income netted with expense on Fs 23,978. Part XII, Line 2d - Other Adjustments: related party expenses 413,010. intercompany elminations -217,380. Rental income netted with expense on Fs -23,978. Part XII, Line 4b - Other Adjustments: bank fees 1,301,095. 1 East Asia and the Pacific 1 1 Program Services ADR Services 217312 South America 0 1 Program Services education programs 12661 Europe (Including Iceland & Greenland) 0 0 grants to recipients 17392 1 2 0 0 1 2 247365 0 247365 EUROPE (INCLUDING ICELAND & GREENLAND) - General Support 17392 Loan Writeoff FAIR MARKET VALUE 1 0 0 0 0 0 0 Part I, Line 2: Schedule F, Part I, Line 2: An annual budget is developed for the American Arbitration Association, and includes financial assistance to organizations outside the United States. Internal financial statements are produced monthly, and variances to budget are reviewed and investigated to the source. Schedule F, Part I, South America: Office Location: N/A. Staffing: One domestically based Vice President is responsible for this geographic region. The expenses noted include the costs associated with education programs in South America (non-US). Schedule F, Part II: The American Arbitration Association ("AAA") is a founding member of the International Mediation Institute ("IMI"), located at Laan van Meerdervoort 70, 2517 AN The Hague, The Netherlands. The AAA wrote off 10% of an existing loan to IMI, thus providing non-cash support to this entity with value of US $17,392. The potential for exchange rate variances on the remaining loan is periodically reviewed by management. 1 AAA-ICDR Foundation Inc 120 Broadway 21st fl new york NY 10271 134197286 501(c)(3) 21765 General Support. In addition, the organization donated EMPLOYEE TIME VALUED AT APPROXIMATELY 195,600 TO THE FOUNDATION. 1 Part I, Line 2: The American Arbitration Association is the sole corporate member of the AAA-ICDR Foundation, pursuant to the AAA-ICDR Foundation's Certificate of Incorporation and Bylaws. The AAA receives periodic, unaudited financial statements from the AAA-ICDR Foundation. In addition, AAA received a copy of the AAA-ICDR Foundation's audited financial statements for the year ending December 31, 2016. X 1 1 X X X X X 1 0 0 1 0 0 0 0 0 India Johnson President and CEO 605919 0 181000 0 9547 0 47550 0 27440 0 871456 0 0 0 Eric P Tuchmann General Counsel & Corp Sec 278233 0 98000 0 17026 0 18013 0 29323 0 440595 0 0 0 Francesco Rossi svp, cfo & treasurer 310052 0 126000 0 8490 0 22868 0 29139 0 496549 0 0 0 Christine L Newhall SENIOR VICE PRESIDENT 258731 0 76000 0 2838 0 17252 0 27214 0 382035 0 0 0 Diana N Didia senior vice president 247035 0 76000 0 990 0 14763 0 29036 0 367824 0 0 0 DWIGHT D JAMES senior vice president 247867 0 51939 0 2838 0 17020 0 22131 0 341795 0 0 0 Eric Dill Senior vice president 177778 0 27219 0 1518 0 10752 0 31235 0 248502 0 0 0 Harold Coleman Jr senior vice president 238201 0 64939 0 4356 0 16776 0 26367 0 350639 0 0 0 Richard W Naimark SENIOR VICE PRESIDENT 264231 0 1000 0 8382 0 17589 0 27797 0 318999 0 0 0 Robert Matlin SENIOR VICE PRESIDENT 250169 0 71000 0 4356 0 16849 0 26889 0 369263 0 0 0 Adriana Odice VICE PRESIDENT 164279 0 19000 0 1361 0 11827 0 29145 0 225612 0 0 0 INTERNA KHUTORSKY VP, Software Development 148044 0 27051 0 3466 0 10649 0 27583 0 216793 0 0 0 Maureen Kurdziel Vice President 183605 0 43217 0 1477 0 12718 0 4625 0 245642 0 0 0 Michael c Clark Vice President 176189 0 17054 0 606 0 12029 0 1712 0 207590 0 0 0 Sasha Carbone VICE PRESIDENT 180306 0 31000 0 990 0 12808 0 29031 0 254135 0 0 0 Mark Appel former SENIOR VICE PRESIDENT 0 0 0 0 230244 0 383 0 0 0 230627 0 0 0 Part I, Line 4a Mark Appel received severance of $230,000 which is included on Part II column b(iii). the amount was included in his 2016 W-2. Part I, Line 5 Senior management compensation includes the potential for annual incentive compensation awards, which may be based, in part, upon the achievement of goals related to mission, initiatives, projects, financial performance targets and other outcomes. These amounts are included on Schedule J, Part II, column B (ii) and included in the 2016 W-2s. Form 990, Part VI, Section A, line 2 While the American Arbitration Association ("AAA") has no actual knowledge of any family or business relationship between officers, trustees or key employees, we would anticipate that among the Board of Directors, that is composed of a wide range of leaders from various fields, that some relationship may exist. However, the AAA has relied upon the responses of officers, trustees and key employees to annual questionnaires designed to elicit the disclosure of these relationships, and although these are noted as reasonable efforts in the instructions for this form, it is with an abundance of caution that we have responded affirmatively to this question. Form 990, Part VI, Section A, line 4 The AAA's Bylaws and Articles of Incorporation were amended in 2016. The amendments reduced the size of the Board of Directors from approximately 100 members to between 15 to 18 Directors, plus three officers who are ex officio Directors. The amendments also created a Council of the American Arbitration Association that consists of between 80 to 100 Members, and which elects Council Members, Directors, and certain officers. Other changes included modifying the term limits of Members so that Council Members are now eligible to be elected for up to three successive three year terms. Additional amendments included conforming the Bylaws to AAA practice and law applicable to not-for-profit corporations, such as the requirement of independent Directors on specified committees. Form 990, Part VI, Section A, line 6 the American arbitration association is a corporation with members WHO ARE COLLECTIVELY REFERRED TO AS THE COUNCIL OF THE AAA. There are no separate or distinct membership classes within the council of the aaa. As noted in the bylaws of the aaa, the council consists of between 80 to 100 members. The council has the power to elect council members, directors, and certain officers, including the president, chair of the board of directors, and the chair of the council. Council members are elected at the annual meeting of the council to a three year term and are eligible to be elected for up to three successive three-year terms. Also per the bylaws "any vacancies on the council may be filled by the council of by the board of directors. A member elected by the council to fill a vacancy shall be elected for the unexpired term of the member's predecessor in office and until his or her successor is duly elected and qualified. A member elected by the board of directors to fill a vacancy shall be elected for the term of office continuing only until the next annual meeting of the council, and until his or her successor is duly elected, appointed and qualified by the council" Form 990, Part VI, Section A, line 7a As per the bylaws of the American arbitration association (aaa), "the members of the corporation shall be collectively referred to as the council of the American arbitration association and consist of 80 to 100 members. The council has the power to el3ect council members, directors and certain officers, including the president, the chair of the board of directors and the chair of the council. Form 990, Part VI, Section B, line 11b Prior to submission to the audit Committee, the substantive input for the Form 990 is gathered and reviewed by senior management based upon responsibility for their respective areas of operations. It is compiled and reviewed by the Finance Department with the assistance of the AAA's independent accounting firm. It is then submitted for review to executive management at the officer level (President and CEO, CFO / Treasurer and General Counsel / Corporate Secretary.) subsequent to these reviews the Form 990 is forwarded to the Committeem and is made available to the board of directors. Once reviewed by the Committee, it is signed by the CFO / Treasurer as the appropriate Officer of the AAA, and transmitted to the Internal Revenue Service (IRS) by the AAA's independent accounting firm. Form 990, Part VI, Section B, line 12c Per the American Arbitration Association's ("AAA's") bylaws: "THE BOARD OF DIRECTORS, THE AUDIT COMMITTEE OR A DULY AUTHORIZED COMMITTEE OF THE BOARD COMPRISED SOLEY OF DIRECTORS WHO SATISFY THE DEFINITION OF "INDEPENDENT DIRECTOR" WITHIN THE MEANING OF NPCC, SHALL OVERSEE THE ADOPTION, IMPLEMENTATION OF AND COMPLIANCE WITH A CONFLICT OF INTEREST POLICY..." DIRECTORS COMPLETE A CONFLICT OF INTEREST FORM ANNUALLY. A separate annual Conflict of Interest statement is required by the AAA of its Officers and Key Employees. In both instances, the Corporate Secretary, also the AAA's General Counsel, manages the receipt and review of Conflict of Interest submissions. The AAA has relied upon the responses of Officers, directors and Key Employees to annual questionnaires designed to elicit the disclosure of these relationships, and review of these forms is noted as reasonable effort per the instructions for this form. Form 990, Part VI, Section B, line 15a 15a: The Compensation Committee of the Board of Directors reviews the President and Chief Executive Officer's compensation, which is subsequently approved by the Board of Directors. The Compensation Committee, comprised of DIRECTORS, A MAJORITY OF WHICH ARE independent of the AAA, reviews compensation data provided by an independent consultant, and minutes to the Committee meetings are contemporaneously recorded and maintained at the AAA. 15b: The President and Chief Executive Officer reviews Officer and Key Employee compensation (excluding her own). The review includes a review of measured performance, as well as comparable compensation ranges provided by an independent consultant for positions with similar responsibilities. Form 990, Part VI, Section C, line 19 The American Arbitration Association ("AAA") makes available its Form 990 for public inspection upon request, and it is available on the www.guidestar.org website as well. The AAA does not provide Form 1023 per guidance on the IRS website as the AAA did not file this form after July 15, 1987, nor did it have a copy on that date. To date, governing documents and policies concerning conflict of interest have not been made available to the public. form 990, part VII, section a, line 1: the American arbitration association (aaa) bylaws and articles of incorporation were amended at the annual meeting in may 2016, which in part, reduced the size of the board of directors to between 15 and 18, plus three ex-officio directors. Accordingly, the listing of officers, directors, trustees, key employees and highest compensated employees includes those who served on the aaa's governing body prior to these amendments. Individuals who, immediately following the may 2016 annual meeting, were no longer on the aaa's board of directors are noted as "outgoing". form 990, part VII, section B, line 1: The American Arbitration Association ("AAA", "the Association") maintains a roster of over 7,000 impartial ARBITRATORS AND MEDIATORS to hear and resolve cases. To maintain neutrality and integrity of the alternative dispute resolution process, the Association facilitates payment to ARBITRATORS AND MEDIATORS on most cases on behalf of the parties to AAA administered cases by acting as a conduit for such payments. In other words, the Association delivers party payments to ARBITRATORS AND MEDIATORS, and issues a 1099-Miscellaneous form to each ARBITRATORS AND MEDIATORS at year end consolidating all party payments made through the AAA in that period. Any related expenses incurred by ARBITRATORS AND MEDIATORS are the responsibility of the parties, not the Association. ARBITRATORS AND MEDIATORS are not considered to be Independent Contractors as defined by the IRS for the purposes of the Form 990, as they provide no good or service directly to the Association. The 3,919 Form 1099-Miscellaneous submissions noted on Part V, question 1a include submissions for payments made by parties to impartial ARBITRATORS AND MEDIATORS through the AAA. The AAA records these funds in a custodial capacity as a liability on the AAA's balance sheet. These funds are not recorded or recognized as income or expense. The AAA ensures that the IRS receives a 1099-Miscellaneous for the neutrals' consolidated annual activity. Some ARBITRATORS AND MEDIATORS are members of the Association's Board of Directors. However, such service is purely voluntary and no member of the board is compensated for their service as a member of the board, including any member of the board that is also a ARBITRATORS AND MEDIATORS. Of the AAA's total roster of impartial ARBITRATORS AND MEDIATORS, there were 355 neutrals who received compensation in excess of $100,000 in 2016. form 990, part VIII, line 2a - 2d Since 1926, the American Arbitration Association ("AAA") has faithfully and consistently adhered to these guidelines, and the revenue-producing activities listed in part VIII are all executed in support of the following: The revenue-producing activities listed in part VIII are all executed in support of the following: 2a - Relates to the purpose of "administering procedures for the resolution of disputes." This is done by facilitating parties' use of various systems of arbitration, mediation and democratic elections. 2b - Relates to the purpose of educating the general public and interested parties by way of educational seminars run by the AAA in various communities in full range of such dispute resolution procedures as described in our bylaws. 2c - Relates to the purpose of training and educating the Bahrain Chamber for Dispute Resolution in a full range of such dispute resolution procedures as described in our bylaws. 2d - Relates to the sale of educational publications on the subject of conflict management and voluntary dispute resolution to the general public and interested parties. These include books, pamphlets and other educational materials, as well as digitally formatted publications products and arbitration awards that are publicly available online Form 990, Part XI, line 9: Minimum Pension Liability adjustment 806,745. Accrued Post Retirement adjustment -336,423. form 990, part XII, line 2c: NO CHANGE FROM PRIOR PERIOD PROCESS. American Arbitration Association - ICDR Ltd 1 Marina Boulevard 28-00 SN 018989 980677444 dispute resolution SN 8302 American Arbitration Association Inc american arbitration association - Int'l Centre For Dispute Resolution fdn 120 Broadway 21st floor New York NY 10271 134197286 Dispute resolution research NY 501(c)(3) Line 7 American Arbitration Association Inc 1 0 1 0 0 0 0 0 0 0 0 0 1 0 1 1 1 1 0 0