2014-07-10T11:10:38-05:00 2013-08-31 521855942 TATE AND TRYON 2021 L STREET NW SUITE 400 WASHINGTON DC 20036 990 2012-09-01 530026940 AMERICAN SOCIETY OF ASSOCIATION EXECUTIVES AMER 2026262723 1575 I STREET NW WASHINGTON DC 20005 JOHN H GRAHAM IV 2026262723 2014-07-10 1 DEBORAH G KOSNETT P00290720 2022932200 2012 2015-11-30 17:44:51Z JOHN H GRAHAM IV 1575 I STREET NW WASHINGTON DC 20005 32304800 0 X WWW.ASAECENTER.ORG X 1957 DC THE AMERICAN SOCIETY OF ASSOCIATION EXECUTIVES (ASAE) IS AN INDIVIDUAL MEMBERSHIP ORGANIZATION OF MORE THAN 21,000 ASSOCIATION EXECUTIVES AND INDUSTRY PARTNERS REPRESENTING MORE THAN 6,800 ORGANIZATIONS. ITS MEMBERS MANAGE LEADING TRADE ASSOCIATIONS, INDIVIDUAL MEMBERSHIP SOCIETIES, AND VOLUNTARY ORGANIZATIONS ACROSS THE UNITED STATES AND IN 50 COUNTRIES AROUND THE GLOBE. OUR MEMBERS' ORGANIZATIONS REPRESENT SUCH ESSENTIAL INDUSTRIES AND PROFESSIONS AS HEALTH CARE, MANUFACTURING, BANKING, LAW, ENERGY, INSURANCE, AND THE LIST GOES ON. WE ARE ALSO A LEADING VOICE FOR THE NONPROFIT SECTOR, ADVOCATING FOR VOLUNTARY ORGANIZATIONS SO THAT THEY MAY CONTINUE TO IMPROVE THE QUALITY OF LIFE IN THE UNITED STATES. 19 19 167 1400 5485166 949882 3560272 3536706 21470521 21314380 647123 729720 2738670 3411449 28416586 28992255 0 99518 0 0 13991999 13025765 0 0 0 14575917 15918491 28567916 29043774 -151330 -51519 39508009 39678345 15670141 16167094 23837868 23511251 X ASAE'S MISSION IS TO HELP ASSOCIATIONS AND ASSOCIATION PROFESSIONALS TRANSFORM SOCIETY THROUGH THE POWER OF COLLABORATION. WE ACCOMPLISH THIS BY FOSTERING A LEARNING COMMUNITY OF ASSOCIATION PROFESSIONALS, INDUSTRY PARTNERS, OUTSIDE THOUGHT LEADERS, AND OTHER STAKEHOLDERS WHO EMBRACE THIS VISION. IN FULFILLING ITS MISSION, ASAE HAS CREATED HUNDREDS OF PRODUCTS, SERVICES, PROGRAMS AND PUBLICATIONS THAT ENCOURAGE THE PROFESSIONAL GROWTH AND DEVELOPMENT OF ASSOCIATION EXECUTIVES. 0 0 PROFESSIONAL DEVELOPMENT -- ASAE OFFERS MORE THAN 75 LEARNING EXPERIENCES FOR ASSOCIATION PROFESSIONALS AND BUSINESS PARTNERS AT ALL EXPERIENCE LEVELS. THESE LEARNING PROGRAMS ARE HELD FACE-TO-FACE IN WASHINGTON, DC, AND IN LOCATIONS AROUND THE COUNTRY, AS WELL AS ONLINE. SIGNATURE PROGRAMS INCLUDE: GREAT IDEAS CONFERENCES; INVITATIONAL FORUM ON LEADERSHIP & MANAGEMENT; BUSINESS OF MEETINGS CERTIFICATE PROGRAM; FINANCE, HUMAN RESOURCES AND BUSINESS OPERATIONS CONFERENCE; AND THE TECHNOLOGY CONFERENCE. MEETINGS/EXPO -- ASAE OFFERS TWO MAJOR CONVENTIONS ANNUALLY - THE ANNUAL MEETING AND SPRINGTIME EXPO - WITH APPROXIMATELY 200 SESSIONS WHERE MORE THAN 8,000 (CUMULATIVE) ASSOCIATION EXECUTIVES LEARN THE LATEST ASSOCIATION MANAGEMENT PRACTICES. SESSIONS OFFER CUTTING-EDGE INFORMATION NOT OFTEN FOUND ELSEWHERE, SUCH AS TECHNOLOGY APPLICATIONS TO IMPROVE PRODUCTIVITY AND MANAGEMENT, ETHICAL CHALLENGES, PREPARING MEMBERS TO PROSPER IN A GLOBAL MARKET, AND OTHER TOPICS. MEMBERSHIP - THE AMERICAN SOCIETY OF ASSOCIATION EXECUTIVES (ASAE) IS THE MEMBERSHIP ORGANIZATION AND VOICE OF THE ASSOCIATION PROFESSION. FOUNDED IN 1920, ASAE CURRENTLY HAS MORE THAN 21,000 ASSOCIATION EXECUTIVES AND INDUSTRY PARTNERS REPRESENTING MORE THAN 6,800 ASSOCIATIONS THAT REPRESENT MORE THAN 287 MILLION PEOPLE AND ORGANIZATIONS WORLDWIDE. ITS MEMBERS MANAGE LEADING TRADE ASSOCIATIONS, INDIVIDUAL MEMBERSHIP SOCIETIES AND VOLUNTARY ORGANIZATIONS ACROSS THE UNITED STATES AND IN NEARLY 50 COUNTRIES AROUND THE WORLD. LEARNING CENTER FACILITY --ASAE OPERATES A LEARNING FACILITY IN WASHINGTON, DC THAT IS AVAILABLE FOR ORGANIZATIONS TO HOLD A VARIETY OF EVENTS. THE FACILITY IS ALSO USED FOR ASAE'S OWN EDUCATIONAL PROGRAMS. THE FACILITY IS LOCATED AT 1575 I STREET, NW AND IS A FULL-SERVICE MEETING FACILITY LOCATED A FEW BLOCKS FROM THE WHITE HOUSE. THE CONFERENCE CENTER ALSO PROVIDES AN EXCELLENT ENVIRONMENT FOR EDUCATIONAL SEMINARS, PRESENTATIONS, BOARD MEETINGS, STAFF TRAINING AND RETREATS, AND OTHER EVENTS. PUBLIC POLICY AND ADVOCACY - ASAE'S "POWER OF A" (ASSOCIATION) FUND IS THE CRITICAL PROGRAM THAT PROVIDES A NATIONAL VOICE FOR ASSOCIATIONS. A VOICE REPRESENTING THE COLLECTIVE POWER OF YOUR ORGANIZATION AND MANY OTHERS: THE POWER OF A FUND FIGHTS FOR ASSOCIATIONS IN CONGRESS, THE COURTS, REGULATORY AGENCIES AND OTHER KEY AUDIENCES. IN ADDITION, THE FUND RAISES PUBLIC AWARENESS OF THE ROLE ASSOCIATIONS PLAY THROUGHOUT THE WORLD.SUPPORT FOR THE POWER OF A FUND COMES FROM ASAE'S ANNUAL SUMMIT AWARDS DINNER. FOR ONE EVENING, THIS FUNDRAISING EVENT BRINGS TOGETHER ASSOCIATION EXECUTIVES AND BUSINESS AND INDUSTRY LEADERS TO CELEBRATE THE ASSOCIATION COMMUNITY'S ACCOMPLISHMENTS AND TRULY HONOR ITS BEST VOLUNTEER EFFORTS WITH PRESTIGIOUS SUMMIT AWARDS.YEAR AFTER YEAR, THE POWER OF A AWARDS PROGRAM IS ABLE TO HIGHLIGHT THE IMPORTANT ROLE ASSOCIATIONS PLAY IN SOLVING LOCAL AND NATIONAL CRISES, FOSTERING VOLUNTEERISM, AND DEVELOPING INITIATIVES FOR THE PUBLIC GOOD. THE AWARDS RECOGNIZE ASSOCIATIONS THAT CREATE POSITIVE CHANGE IN AMERICA AND THE WORLD. THROUGH THE POWER OF A AWARDS, ASAE RECOGNIZES ASSOCIATIONS THAT ENRICH LIVES, CREATE A COMPETITIVE WORKFORCE, PREPARE FOR THE FUTURE, DEVELOP INNOVATIVE SOLUTIONS TO PROBLEMS, AND MAKE A BETTER WORLD.ASAE'S FIVE-STAR WEEKEND ALSO SUPPORTS ASAE'S POWER OF A FUND AS WELL AS THE FOUNDATION. THE POWER OF A FUND SERVES AS THE BACKBONE OF ASAE'S PUBLIC POLICY PROGRAMS BY SUPPORTING LOBBYING, COALITION-BUILDING, GRASSROOTS NETWORKING AND LEGAL COUNSEL. THIS EVENT SERVES AS AN ANNUAL NETWORKING AND PROFESSIONAL DEVELOPMENT OPPORTUNITY FOR ASSOCIATION EXECUTIVES AND INDUSTRY PARTNERS. ASSOCIATIONS NOW AND NEWSLETTERS-'ASSOCIATIONS NOW,' THE AWARD-WINNING MONTHLY MAGAZINE (CIRCULATION 21,000+), PROVIDES ARTICLES ON CURRENT TOPICS OF INTEREST TO ASSOCIATION EXECUTIVES. AUTHORS ARE GENERALLY ASSOCIATION EXECUTIVES WHO HAVE PARTICULAR EXPERTISE TO SHARE. ARTICLES ARE A MIX OF "HOW TO" ARTICLES WITH CASE STUDIES AND THOUGHT PIECES. THE ASSOCIATION ALSO PUBLISHES 14 ELECTRONIC NEWSLETTERS (SOME MONTHLY, SOME BIMONTHLY, AND SOME QUARTERLY) MEETING THE SPECIAL INTEREST OF MEMBERS, AS WELL AS PRODUCING A VARIETY OF ONLINE-ONLY AND NEW-MEDIA CONTENT FOCUSED ON ISSUES OF CONCERN TO ASSOCIATION LEADERS AND EXECUTIVES. SECTIONS & ALLIED SOCIETIES - ASAE HAS 14 SECTIONS OR PROFESSIONAL INTEREST GROUPS, PROVIDING A COMMUNITY FOR NEARLY EVERY SUB-SPECIALTY WITHIN ASSOCIATION MANAGEMENT. EACH GROUP IS GOVERNED BY A SEPARATE COUNCIL THAT DETERMINES THE PRODUCTS AND SERVICES FOR ITS MEMBERS. TYPICAL OFFERINGS INCLUDE MONTHLY EDUCATIONAL SESSIONS, A NEWSLETTER, NETWORKING DIRECTORY, DEVELOPMENT OF SPECIAL SESSIONS AT MAJOR MEETINGS DEVOTED TO THEIR INTEREST, AND OTHER TECHNICAL PUBLICATIONS. INFORMATION SALES - ASAE PUBLISHES A WIDE VARIETY OF BOOKS ON ASSOCIATION MANAGEMENT TOPICS, INCLUDING MARKETING, COMMUNICATIONS, MEMBERSHIP, FINANCE, VOLUNTEER MANAGEMENT, CONVENTIONS, MEETINGS, AND EDUCATION. MANY SURVEYS ARE ALSO PUBLISHED, INCLUDING THE ASSOCIATION EXECUTIVE COMPENSATION STUDY, POLICIES & PROCEDURES, OPERATING RATIO REPORT, AND ASSOCIATION TECHNOLOGY TRENDS. RESEARCH - ASAE'S RESEARCH ADVANCES KNOWLEDGE IN NONPROFIT MANAGEMENT BY PROVIDING RESOURCES THAT WILL HELP LEADERS FOCUS ON CRITICAL FACTORS TO ENHANCE THEIR ORGANIZATIONS. ASAE IMPLEMENTS AND FACILITATES THE APPLICATION OF RESEARCH FINDINGS BY EXECUTIVES AND BOARDS THROUGH RIGOROUSLY DESIGNED SECONDARY, QUALITATIVE AND QUANTITATIVE METHODS.ASAE COLLECTS AND AGGREGATES SURVEY DATA TO HELP ITS MEMBERS INCREASE THEIR OPERATIONAL EFFICIENCY. BENCHMARKING PUBLICATIONS INCLUDE COMPENSATION, POLICIES AND PROCEDURES, OPERATING RATIOS AND MORE. ASAE CONDUCTS AN ANNUAL MEMBER NEEDS ASSESSMENT, LEARNING PROGRAM EVALUATIONS AS WELL AS DATA MINING TO HELP ASAE SERVE EACH MEMBER. ASAE HELPS NONPROFIT ORGANIZATIONS BY ASSISTING THEM IN GATHERING MARKET INTELLIGENCE OF THEIR OWN MEMBERS, EITHER BY SURVEY QUESTION SHARING OR DATA ANALYSIS PROJECTS.ASAE CONNECTS NONPROFIT ORGANIZATIONS FROM AROUND THE WORLD TO ALLOW ORGANIZATIONS TO BENCHMARK AGAINST EACH OTHER AND FACILITATE RESEARCH OF ASSOCIATION'S MEMBERS. ASAE HAS PRODUCED THOUGHT-PROVOKING RESEARCH ON MEMBERSHIP, VOLUNTEERISM, FUNDRAISING AND THE ECONOMY. CERTIFIED ASSOCIATION EXECUTIVE - THE CERTIFIED ASSOCIATION EXECUTIVE (CAE) PROGRAM, THE ONLY CERTIFICATION PROGRAM FOR ASSOCIATION EXECUTIVES, IS DESIGNED TO ELEVATE PROFESSIONAL STANDARDS, ENHANCE INDIVIDUAL PERFORMANCE, AND DESIGNATE ASSOCIATION PROFESSIONALS WHO DEMONSTRATE THE KNOWLEDGE ESSENTIAL TO THE PRACTICE OF ASSOCIATION MANAGEMENT. FOUNDED IN 1960, THE CAE PROGRAM STANDS AS A MARK OF EXCELLENCE AND HAS EVOLVED TO REFLECT WHAT IT TAKES TO MANAGE AN ASSOCIATION IN TODAY'S CHALLENGING CLIMATE.EARNING AND MAINTAINING THE CAE IS A THREE-PART PROCESS. CANDIDATES MUST FIRST MEET ELIGIBILITY REQUIREMENTS AND SUBMIT AN APPLICATION. THE NEXT STEP IS TO SIT FOR AND PASS THE CAE EXAM. ONCE A CANDIDATE HAS EARNED THE CREDENTIAL THEY MUST MAINTAIN IT BY FULFILLING CERTIFICATION RENEWAL REQUIREMENTS EVERY THREE YEARS.ASAE'S CERTIFIED ASSOCIATION EXECUTIVE (CAE) PROGRAM HAS BEEN GRANTED ACCREDITATION BY THE NATIONAL COMMISSION FOR CERTIFYING AGENCIES (NCCA). NCCA ACCREDITATION PROVIDES INDEPENDENT VALIDATION THAT THE CAE PROGRAM MEETS OR EXCEEDS TWENTY-ONE STANDARDS CONCERNING VARIOUS ASPECTS OF THE CERTIFICATION PROGRAM INCLUDING ITS PURPOSE, STRUCTURE, GOVERNANCE, PSYCHOMETRIC FOUNDATION, POLICIES AND PROCEDURES. ACCREDITATION VALIDATES THE INTEGRITY OF THE PROGRAM, AND IS A MARK OF QUALITY. EARNING ACCREDITATION IS A PUBLIC DEMONSTRATION OF ASAE AND THE CAE COMMISSION'S COMMITMENT TO THE CAE CREDENTIAL AS A TRUE PROFESSIONAL CERTIFICATION. DIVERSITY - IN PRINCIPLE AND IN PRACTICE, ASAE VALUES AND SEEKS DIVERSE AND INCLUSIVE PARTICIPATION WITHIN THE FIELD OF ASSOCIATION MANAGEMENT. ASAE PROMOTES INVOLVEMENT AND EXPANDED ACCESS TO LEADERSHIP OPPORTUNITY REGARDLESS OF RACE, ETHNICITY, GENDER, RELIGION, AGE, SEXUAL ORIENTATION, NATIONALITY, DISABILITY, APPEARANCE, GEOGRAPHIC LOCATION, OR PROFESSIONAL LEVEL. THE ORGANIZATION PROVIDES LEADERSHIP AND COMMITS TIME AND RESOURCES TO ACCOMPLISH THIS OBJECTIVE WHILE SERVING AS A MODEL TO OTHER ASSOCIATIONS ENGAGED IN SUCH ENDEAVORS.ASAE'S LONG-TERM GOAL IS TO ENSURE THAT ITS MEMBERSHIP, VOLUNTEER LEADERSHIP, AND STAFF REPRESENT A STRONG, VIBRANT, AND EVOLVING MODEL OF DIVERSITY AND INCLUSION FOR THE ASSOCIATION COMMUNITY. THE ORGANIZATION IS COMMITTED TO CREATING AND INFLUENCING A MODEL OF INCLUSIVE BEHAVIORS AND FOR SETTING A TONE AND CULTURE THAT EMBRACE DIVERSITY.THE DIVERSITY EXECUTIVE LEADERSHIP PROGRAM (DELP) SUPPORTS INDIVIDUALS FROM UNDER-REPRESENTED IDENTITY GROUPS IN THE ASSOCIATION COMMUNITY, TO ADVANCE INTO THE RANKS OF LEADERSHIP IN THE ASSOCIATION PROFESSION. DELP SCHOLARS PARTICIPATE IN AN ACCELERATED LEADERSHIP PROGRAM OF EDUCATION, MENTORING AND VOLUNTEER SERVICE IN THE ASSOCIATION COMMUNITY.THE GOALS OF DELP ARE:- TO PROVIDE SUPPORT, EDUCATION, ACCESS AND SERVICE OPPORTUNITIES TO INDIVIDUALS FROM IDENTITY GROUPS (I.E. PEOPLE OF COLOR, LESBIAN/GAY/BISEXUAL/TRANSGENDER, PEOPLE WITH DISABILITIES) WHO AREUNDER-REPRESENTED IN THE ASSOCIATION COMMUNITY - TO PROVIDE SCHOLARS WITH A MENTOR, GROUP COACHING, AND VOLUNTEER EXPERIENCES TO ENHANCE THEIR CAREER DEVELOPMENT AND EXPAND THEIR PROFESSIONAL NETWORKS- TO ENCOURAGE MORE DIVERSE CANDIDATES TO ASSUME LEADERSHIP ROLES IN ASSOCIATION MANAGEMENT- TO DEVELOP A MORE DIVERSE LEADERSHIP POOL FOR THE ASSOCIATION PROFESSION- TO DEMONSTRATE THE LONG-TERM BENEFIT OF THE PROGRAM TO THE SCHOLARS, ASAE AND TO THE ASSOCIATION PROFESSION. 0 1 1 1 0 0 0 0 1 1 1 0 0 1 1 0 1 0 0 1 0 0 0 1 0 0 1 0 1 0 0 0 1 0 0 0 0 0 0 0 1 1 1 0 1 129 0 1 167 1 1 1 0 0 0 1 1 0 X 19 19 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 1 1 1 0 1 1 X HEIDI ROBEY 2026262723 1575 I STREET NW WASHINGTON DC 20005 JOSEPH M MCGUIRE CAE 2.00 1.00 X X 0 0 0 PETER J O'NEIL CAE 2.00 0.00 X X 0 0 0 ARLENE A PIETRANTON CAE 2.00 1.00 X X 0 0 0 SUSAN K NEELY CAE 2.00 1.00 X X 0 0 0 ESTHER AGUILERA 2.00 0.00 X 0 0 0 MARK N DORSEY CAE 2.00 0.00 X 0 0 0 DAVID A DUBOIS CAE 2.00 1.00 X 0 0 0 MATTHEW R D'UVA CAE 2.00 1.00 X 0 0 0 DENNIS D EDWARDS 2.00 1.00 X 0 0 0 ELENA GERSTMANN CAE 2.00 1.00 X 0 0 0 RICHARD B GREEN CASE 2.00 1.00 X 0 0 0 MICHELLE I MASON CAE 2.00 0.00 X 0 0 0 PATRICK J NATALE CAE 2.00 0.00 X 0 0 0 MATTHEW R SHAY CAE 2.00 1.00 X 0 0 0 ANN T TURNER CAE 2.00 1.00 X 0 0 0 SCOTT D WILEY CAE 2.00 1.00 X 0 0 0 DEAN WILKERSON CAE 2.00 0.00 X 0 0 0 RICHARD YEP CAE 2.00 0.00 X 0 0 0 STEPHEN A ELLO CAE 2.00 0.00 X 0 0 0 JOHN GRAHAM IV 36.50 1.00 X 915886 0 224076 HEIDI ROBEY 32.70 4.80 X 160628 23297 22637 SUSAN ROBERTSON 18.80 18.70 X 206624 206624 33000 JAMES CLARKE 37.50 0.00 X 327053 0 32040 KARL ELY 37.50 0.00 X 232916 0 32611 GRETA KOTLER 37.50 0.00 X 214864 0 25039 REGINALD HENRY 31.50 6.00 X 177583 33826 24571 ANNE BLOUIN 37.50 0.00 X 210095 0 25826 ROBERT SKELTON 33.30 4.20 X 183026 23394 29311 JOHN R LEE IV 33.50 4.00 X 171626 20492 19980 GREGORY MELIA 37.50 0.00 X 166258 0 19886 DANIEL MELESURGO 37.50 0.00 X 164899 0 19186 AMY LEDOUX 37.00 0.50 X 160978 2175 19428 SHARON MOSS 4.00 33.50 X 16138 135153 10012 MARK MILROY 37.50 0.00 X 136985 0 17699 TAMARA BLOSIL 37.50 0.00 X 126731 0 18162 JULIE SHOOP 37.50 0.00 X 119076 0 13962 PAMELA TROOP 37.50 0.00 X 114367 0 15713 STEPHEN PEELER 4.00 33.50 X 11924 99870 16581 ROBERT GOULD 37.50 0.00 X 113506 0 10877 3931163 544831 630597 20 1 1 0 MCMURRYTMG 1129 20TH STREET NW SUITE 700 WASHINGTON DC 20036 PRINT & DIGITAL PUBLISHING SERVICES 1287853 HARGROVE INC ONE HARGROVE DRIVE LANHAM MD 20706 TRADE SHOW & EXHIBIT SERVICES 599154 APTIFY 7900 WESTPARK DRIVE ATRIUM 5TH FLO TYSONS CORNER VA 22102 SOFTWARE CONSULTING 463253 THE SIGNATURE GROUP INC 8229 BOONE BLVD SUITE 820 VIENNA VA 22182 TECH CONSULTING 397230 RESULTS DIRECT 5210 E WILLIAMS CIRCLE SUITE 640 TUCSON AZ 85711 WEB CONSULTING 336552 16 662975 2873731 3536706 MEETINGS, EXPOS, EDUCTN 900099 13034669 12573135 461534 MEMBERSHIP 900099 4740010 4740010 PERIODICALS/PUBLICATION 541800 3154696 92140 3062556 AWARDS & PROF. CERTIFIC 900099 357887 357887 MISCELLANEOUS PROGRAMS 900099 27118 27118 21314380 597917 314136 283781 1054249 1054249 1296630 0 1296630 1296630 1079442 217188 1622972 758368 1482955 766582 140017 -8214 131803 131803 475185 662975 818433 -343248 -343248 1046234 244575 801659 801659 WEB SITE LISTINGS 541800 567498 567498 MAILING LIST RENTALS 900099 34661 34661 602159 28992255 18591949 5485166 1378434 X 99518 4381354 6113336 977601 870447 683027 147676 71212 5220723 258375 3314680 56620 81993 1737762 651653 3247831 660770 121443 UBI 220296 TEMP HELP 158934 REPAIRS & MAINTENANCE 151518 TAXES 106531 -289526 29043774 -173293 -281776 4461000 3494000 3126718 2997212 7482172 7806282 184579 227235 618364 467198 7299643 4627570 3250405 2672073 16755618 17739388 3798146 4556733 4300 0 39508009 39678345 3801457 3546923 5418755 5982383 6449929 6637788 15670141 16167094 X 23808767 23483500 4101 2751 25000 25000 23837868 23511251 39508009 39678345 X -51519 330785 -605883 X X 0 1 X 1 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED ASAE POLITICAL ACTION COMMITTEE 1575 EYE ST NW WASHINGTON DC 20005 521746813 0 0 0 1 4740010 803146 -1291025 -487879 703891 -1191770 PART IV, SUPPLEMENTAL INFORMATION: PART I-C: ASAE HAS A POLITICAL ACTION COMMITTEE, BUT DOES NOT COLLECT ANY CONTRIBUTIONS THEREFOR - THE PAC IS RESPONSIBLE FOR ITS OWN FUNDRAISING ACTIVITIES. ASAE DOES PAY SOME PERMITTED ADMINISTRATIVE EXPENSES OF THE PAC; THESE ARE INCLUDED IN THE LOBBYING EXPENDITURE TOTAL IN PART III-B, LINE 2A. 25000 25000 25000 25000 25000 25000 25000 25000 25000 25000 0.00000 1.00000 0.00000 0 0 4263750 2049067 2214683 3035893 2578503 457390 2672073 INVESTMENTS HELD TO FUND DEFERRED COMPENSATION 1672157 F INVESTMENT IN ABSI 2884576 F 4556733 DEFERRED COMPENSATION 1672157 DEFERRED INCOME TAXES 2500000 DEFERRED RENT 2465631 6637788 X 29788379 330785 1768645 2099430 27688949 1303306 1303306 28992255 30114996 1071222 1071222 29043774 0 29043774 DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE AWARD, NAMED FOR THE AMERICAN SOCIETY OF MECHANICAL ENGINEER'S (ASME'S) EXECUTIVE DIRECTOR, DAVID L. BELDEN, PH.D., WHO RECENTLY RETIRED AFTER 15 YEARS OF SERVICE, WILL INCLUDE A SCHOLARSHIP FOR A CHIEF EXECUTIVE AND A CHIEF ELECTED OFFICER OF AN ENGINEERING SOCIETY TO ATTEND ONE OF ASAE'S CEO SEMINARS EACH YEAR. THE RECIPIENT OF THE AWARD WILL BE CHOSEN BY A PANEL OF REPRESENTATIVES FROM ENGINEERING SOCIETIES, TO BE DETERMINED. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X, LINE 2: THE ORGANIZATION BELIEVES THAT IT HAS APPROPRIATE SUPPORT FOR INCOME TAX POSITIONS TAKEN. THEREFORE, MANAGEMENT HAS NOT IDENTIFIED ANY UNCERTAIN INCOME TAX POSITIONS. AT A MINIMUM, THE FISCAL YEARS ENDING AUGUST 31, 2010 THROUGH 2013 REMAIN OPEN FOR EXAMINATION BY TAXING AUTHORITIES. PART XI, LINE 2D - OTHER ADJUSTMENTS: EQUITY IN SUBSIDIARY AND LIMITED PARTNERSHIP EXCESS DISTRIBUTION 697,423. COST OF GOODS SOLD 244,575. SPECIAL EVENT EXPENSE 818,433. LOSS ON FACILITY & OPERATIONS 8,214. PART XI, LINE 4B - OTHER ADJUSTMENTS: PASSTHROUGH RENTAL AND INTEREST FROM PARTNERSHIP K-1 1,303,306. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD 244,575. SPECIAL EVENT EXPENSE 818,433. LOSS ON FACILITY & OPERATIONS 8,214. NORTH AMERICA 0 0 PROGRAM SERVICES EXECUTIVE LEADERSHIP FORUM 107871 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDY DELEGATION TO SYDNEY, AUSTRALIA 26460 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES CONSULTANTS 160994 0 0 0 0 0 0 295325 0 295325 0 0 0 0 0 0 SUMMIT AWARDS DINNER 656550 459585 196965 91483 138774 128982 FIVE STAR EVENT 481610 203390 278220 17966 173220 268008 1138160 662975 475185 17966 91483 311994 396990 818433 -343248 0 ASAE FOUNDATION 1575 I STREET NW WASHINGTON DC 20005 521300485 501(C)3 32909 PROGRAM SUPPORT CONVENTION INDUSTRY COUNCIL FOUNDATION 700 N FAIRFAX STREET SUITE 510 ALEXANDRIA VA 22314 521579652 501(C)6 10000 PROGRAM SUPPORT FOUNDATION OF THE AMERICAN COLLEGE OF HEALTHCARE EXECUTIVES ONE NORTH FRANKLIN SUITE 1700 CHICAGO IL 60506 360724325 501(C)3 5000 PROGRAM SUPPORT THE BRYCE HARLOW FOUNDATION 1701 PENNSYLVANIA AVE NW SUITE 400 WASHINGTON DC 20006 521266620 501(C)3 5000 PROGRAM SUPPORT 3 1 X X X X 1 1 X X X X X 1 1 0 JOHN GRAHAM IV 632958 0 153388 0 129540 0 21576 0 211656 0 1149118 0 0 0 HEIDI ROBEY 136552 19805 15362 2228 8714 1264 18460 2677 4433 643 183521 26617 0 0 SUSAN ROBERTSON 158844 158844 37128 37128 10652 10652 15000 15000 6865 6865 228489 228489 0 0 JAMES CLARKE 274011 0 34025 0 19017 0 30000 0 13296 0 370349 0 0 0 KARL ELY 216550 0 15185 0 1181 0 29111 0 10856 0 272883 0 0 0 GRETA KOTLER 185917 0 23487 0 5460 0 25039 0 9156 0 249059 0 0 0 REGINALD HENRY 154727 29472 21092 4018 1764 336 20640 3931 8491 1617 206714 39374 0 0 ANNE BLOUIN 168471 0 23162 0 18462 0 24526 0 6892 0 241513 0 0 0 ROBERT SKELTON 159384 20372 17795 2275 5847 747 21556 2755 9866 1261 214448 27410 0 0 JOHN R LEE IV 149187 17813 20712 2473 1727 206 17849 2131 2573 307 192048 22930 0 0 GREGORY MELIA 147256 0 16760 0 2242 0 19886 0 1704 0 187848 0 0 0 DANIEL MELESURGO 158277 0 6045 0 577 0 19186 0 5394 0 189479 0 0 0 AMY LEDOUX 142850 1930 16295 220 1833 25 19169 259 3434 46 183581 2480 0 0 SHARON MOSS 15135 126755 928 7772 75 626 1015 8498 448 3752 17601 147403 0 0 MARK MILROY 129346 0 6505 0 1134 0 16499 0 4067 0 157551 0 0 0 ROBERT GOULD 73456 0 6000 0 34050 0 10877 0 2958 0 127341 0 0 0 PART I, LINE 1A CEO'S CONTRACT INCLUDES SPOUSE TRAVEL, FIRST CLASS TRAVEL FOR FLIGHTS IN EXCESS OF 4 HOURS (ALTHOUGH THIS IS SELDOM USED), LOCAL SOCIAL CLUB DUES FOR BUSINESS MEETINGS AND LUNCHES, AND TAX GROSS-UP ON SPECIFIC BENEFIT ITEMS. PART I, LINES 4A-B ROBERT GOLD, SEVERANCE PAY: $25,471 JOHN GRAHAM IV, SERP CONTRIBUTION: $200,000 JACK HORNE BOARD MEMBER AND VP SALES FOR HYATT HOTELS AND RESORTS 127200 DIVERSITY INITIATIVE FUNDING, MEMBERSHIP AND SUMMIT AWARDS DINNER REVENUE 0 RICHARD B GREENE BOARD MEMBER AND VP ASSOC. SALES & INDUSTRY RELATIONS MARRIOTT INTL 222995 PSP PARTNERSHIP, SPRINGTIME REGISTRATION AND GREAT IDEAS REGISTRATION PAID BY MARRIOTT INTERNATIONAL TO ASAE 0 RICHARD B GREENE BOARD MEMBER AND VP ASSOC. SALES & INDUSTRY RELATIONS MARRIOTT INTL 148116 ROOMS & FOOD/BEVERAGE FOR EVENTS PAID BY ASAE TO MARRIOTT INTERNATIONAL 0 FORM 990, PART VI, SECTION A, LINE 1 ASAE HAS AN EXECUTIVE COMMITTEE, WHICH CONSISTS OF THE OFFICERS OF ASAE AND THE CHAIRMAN OF ASAE BUSINESS SERVICES, INC. IT MAY ACT IN THE PLACE OF THE BOARD OF DIRECTORS WHEN AUTHORITY IS DESIGNATED BY THE BOARD, OR IN EMERGENCY MATTERS WHERE EXECUTIVE COMMITTEE ACTION IS TEMPORARY AND SUBJECT TO RATIFICATION BY THE BOARD. FORM 990, PART VI, SECTION A, LINE 6 REGULAR MEMBERSHIP. REGULAR VOTING MEMBERSHIP IS LIMITED TO QUALIFIED INDIVIDUALS WHO PAY APPLICABLE DUES ESTABLISHED BY THE BOARD OF DIRECTORS AND MEET THE CRITERIA FOR ONE OF THE FOLLOWING CLASSES OF REGULAR VOTING MEMBERSHIP: (A) CHIEF EXECUTIVE (B) PROFESSIONAL STAFF (C) INDUSTRY PARTNER (D) CONSULTANT NON-VOTING MEMBERSHIPS. THE BOARD OF DIRECTORS MAY ESTABLISH OTHER MEMBERSHIP CLASSES THAT HAVE NO VOTE AND THAT ARE INELIGIBLE TO SERVE AS DIRECTORS OR OFFICERS. LIFE AND HONORARY MEMBERSHIP. LIFE AND HONORARY MEMBERSHIP WITHOUT VOTING RIGHTS MAY BE CONFERRED UPON INDIVIDUALS UNDER TERMS THE BOARD OF DIRECTORS DETERMINES. FORM 990, PART VI, SECTION A, LINE 7A FOUR CANDIDATES FOR DIRECTOR-AT-LARGE (PLUS ONE MORE WHEN AN INDUSTRY PARTNER BOARD SEAT IS OPEN) AND ONE CANDIDATE FOR SECRETARY-TREASURER ARE NOMINATED BY THE LEADERSHIP COMMITTEE EACH YEAR. THE MEMBERSHIP IS GIVEN AT LEAST 30 DAYS TO PROVIDE ADDITIONAL NOMINATIONS, WHICH MUST BE SUPPORTED BY A WRITTEN PETITION SIGNED BY AT LEAST 2-1/2 PERCENT OF VOTING MEMBERS OF ASAE. IF THERE ARE NOMINEES BY PETITION, THE LEADERSHIP COMMITTEE SUBMITS A BALLOT TO THE VOTING MEMBERS AT LEAST 60 DAYS BEFORE THE END OF THE FISCAL YEAR IDENTIFYING THOSE NOMINATED BY THE COMMITTEE AND THOSE NOMINATED BY PETITION. IF THERE ARE NO NOMINEES BY PETITION, THE NOMINEES OF THE LEADERSHIP COMMITTEE ARE AUTOMATICALLY ELECTED. MEMBERS OF THE LEADERSHIP COMMITTEE ARE APPOINTED BY ASAE'S CHAIRMAN, WITH THE APPROVAL OF THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION A, LINE 7B ASAE'S BYLAWS ARE AMENDED BY THE BOARD OF DIRECTORS UPON A TWO-THIRDS VOTE, PROVIDED 60 DAYS' ADVANCE NOTICE IS PROVIDED TO THE REGULAR VOTING MEMBERS, AND IS INCLUDED IN AN ASAE MEMBERSHIP PUBLICATION, SUCH AS ASSOCIATIONS NOW MAGAZINE. MEMBERS MAY ALSO VOTE ON OTHER MATTERS PRESENTED TO THE MEMBERSHIP BY THE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 11 THE 990 RETURNS ARE PREPARED BY THE 3RD PARTY PREPARER WORKING WITH THE CFO AND DIRECTOR OF FINANCE. ONCE THE CFO IS COMFORTABLE WITH THE COMPLETENESS AND ACCURACY OF THE DOCUMENT, IT IS PROVIDED TO THE CEO FOR REVIEW AND IS UPLOADED INTO A SECURE RESTRICTED SOFTWARE APPLICATION USED TO COMMUNICATE WITH AND DISTRIBUTE BOARD MATERIALS, FOR A PERIOD OF NOT LESS THAN 5 DAYS PRIOR TO FILING. BOARD MEMBERS ARE NOTIFIED THAT THIS DOCUMENT IS AVAILABLE, FOR HOW LONG AND WHEN THE RETURN WILL BE FILED. THE RETURN WILL BE FILED AS PRESENTED IF NO FURTHER ADJUSTMENTS ARE WARRANTED. THE BOARD WILL RECEIVE NOTIFICATION OF ANY ADDITIONAL CHANGES PRIOR TO FILING. THE RETURN IS THEN SIGNED BY THE CEO AND FILED APPROPRIATELY. FORM 990, PART VI, SECTION B, LINE 12C EACH BOARD MEMBER AND EXECUTIVE STAFF MEMBER IS REQUIRED TO ANNUALLY COMPLETE AND SUBMIT A DISCLOSURE FORM DETAILING ANY SUCH 'OTHER INTERESTS.' SUCH INDIVIDUAL ALSO MUST UPDATE THE DISCLOSURE FORM IF ANY MATERIAL CHANGES OR ADDITIONS TO THE SUBMITTED INFORMATION ARISE DURING THE COURSE OF THE YEAR. A CHECKLIST IS MAINTAINED AND FOLLOW UP IS DONE UNTIL ALL FORMS ARE RETURNED. ONCE ALL FORMS ARE RECEIVED, THE CEO REVIEWS THE DISCLOSURES. ANY AFFIRMATIVE RESPONSE DEEMED UNUSUAL OR WHICH MAY APPEAR TO CONSTITUTE AN ACTUAL, POTENTIAL OR APPARENT CONFLICT OF INTEREST IS REFERRED TO THE AUDIT COMMITTEE FOR DETERMINATION. THE AUDIT COMMITTEE MAY SEEK THE GUIDANCE OF COUNSEL AND MAKE SUCH DETERMINATION WITHOUT THE PRESENCE OF THE INDIVIDUAL WHOSE INVOLVEMENT IN SUCH TRANSACTION OR RELATIONSHIP IS UNDER CONSIDERATION. THE AUDIT COMMITTEE MAY CONCLUDE THAT THIS DETERMINATION SHOULD BE MADE BY THE FULL BOARD OF DIRECTORS OF ASAE, THE FOUNDATION, OR ABSI, AND REFER THE MATTER TO THE APPROPRIATE BOARD (WITH OR WITHOUT A RECOMMENDATION FROM THE AUDIT COMMITTEE) FOR ITS CONSIDERATION, DELIBERATION AND RESOLUTION, WITH THE ASSISTANCE OF LEGAL COUNSEL AND WITHOUT THE PRESENCE OF THE INDIVIDUAL WHOSE INVOLVEMENT IN SUCH TRANSACTION OR RELATIONSHIP IS UNDER CONSIDERATION. THE APPROPRIATE BOARD SHALL HAVE FINAL AUTHORITY OVER THE RESOLUTION OF ALL CONFLICT OF INTEREST MATTERS INVOLVING THE MEMBERS OF SUCH BOARD. IF THE AUDIT COMMITTEE BELIEVES THAT A PARTICULAR RELATIONSHIP OR TRANSACTION MAY REPRESENT AN ACTUAL, POTENTIAL OR APPARENT CONFLICT OR INTEREST, IT SHALL FIRST REQUEST ADDITIONAL INFORMATION FROM THE INDIVIDUAL IN QUESTION DETAILING THE NATURE OF THE RELATIONSHIP OR TRANSACTION. WHEN EVALUATING WHETHER A PARTICULAR TRANSACTION OR RELATIONSHIP CONSTITUTES AN ACTUAL, POTENTIAL OR APPARENT CONFLICT OF INTEREST, THE AUDIT COMMITTEE SHALL CONSIDER THE FOLLOWING (NON-EXHAUSTIVE) FACTORS: --ABUSING ONE'S ROLE FOR PERSONAL OR THIRD-PARTY GAIN OR PLEASURE (INCLUDING, BUT NOT LIMITED TO, THE SOLICITATION OR ACCEPTANCE OF GIFTS OR OTHER ITEMS OF VALUE OR INDIRECT INDUCEMENT TO PROVIDE SPECIAL TREATMENT ON ORGANIZATION MATTERS.) -- PLACING ONE'S OWN SELF-INTEREST, THE INTEREST OF ONE'S COMPANY, ORGANIZATION OR ANOTHER ENTITY FOR WHICH THE INDIVIDUAL SERVES IN A LEADERSHIP, EMPLOYMENT OR OWNERSHIP CAPACITY, OR THE INTEREST OF ANY THIRD PARTY ABOVE THAT OF ASAE, THE FOUNDATION, OR ABSI. -- ENGAGING IN ANY OUTSIDE BUSINESS, PROFESSIONAL OR OTHER ACTIVITIES THAT WOULD DIRECTLY OR INDIRECTLY MATERIALLY ADVERSELY AFFECT ASAE, THE FOUNDATION, OR ABSI. --PROVIDING GOODS OR SERVICES TO ASAE, THE FOUNDATION, OR ABSI AS A PAID VENDOR. IF THE AUDIT COMMITTEE DETERMINES THAT A PARTICULAR RELATIONSHIP OR TRANSACTION REPRESENTS AN ACTUAL, POTENTIAL OR APPARENT CONFLICT OF INTEREST, IT (OR THE APPROPRIATE BOARD, IF THE MATTER HAS BEEN REFERRED TO THE BOARD) SHALL RESOLVE SUCH ACTUAL, POTENTIAL OR APPARENT CONFLICT IN ONE OF THE FOLLOWING MANNERS: (1) WAIVE THE ACTUAL, POTENTIAL OR APPARENT CONFLICT AS UNLIKELY TO AFFECT THE INDIVIDUAL'S ABILITY TO ACT IN THE BEST INTERESTS OF THE ORGANIZATION; (2) DETERMINE THAT THE INDIVIDUAL SHOULD BE RECUSED FROM ALL DELIBERATIONS AND DECISION-MAKING RELATED TO THE PARTICULAR TRANSACTION WHICH GIVES RISE TO THE ACTUAL, POTENTIAL OR APPARENT CONFLICT. THIS RESOLUTION SHOULD APPLY PARTICULARLY WHEN THE TRANSACTION OR RELATIONSHIP IS ONE THAT PRESENTS A CONFLICT ONLY WITH RESPECT TO ONE OR TWO DISCRETE PROGRAMS OR ACTIVITIES. FOR EXAMPLE, IF AN INDIVIDUAL BOARD MEMBER ALSO WORKS FOR A COMPANY THAT PRODUCES AN EDUCATIONAL PROGRAM THAT COMPETES WITH ONE OR TWO DISCRETE PROGRAMS OF ASAE, THE FOUNDATION, OR ABSI, THE AUDIT COMMITTEE OR RELEVANT BOARD MAY DETERMINE THAT THE BOARD MEMBER SHOULD BE RECUSED FROM ALL DELIBERATIONS AND VOTING RELATED TO SUCH PROGRAM(S) (BOTH AT THE OUTSET AND ON AN ONGOING BASIS), BUT THAT THE BOARD MEMBER NEED NOT RESIGN HIS/HER SEAT ON THE BOARD. (3) DETERMINE THAT THE INDIVIDUAL MUST RESIGN FROM HIS/HER SERVICE TO ASAE, THE FOUNDATION, OR ABSI BECAUSE THE ACTUAL, POTENTIAL OR APPARENT CONFLICT IS SO PERVASIVE THAT THE INDIVIDUAL WOULD SELDOM, IF EVER, LIKELY BE ABLE TO ACT IN THE BEST INTERESTS OF THE ORGANIZATION. FOR EXAMPLE, IF AN INDIVIDUAL BOARD MEMBER ALSO WORKS FOR A COMPANY THAT PRODUCES EDUCATIONAL PROGRAMS THAT COMPETE WITH MOST OF THE EDUCATIONAL PROGRAMS OF THE FOUNDATION, THE AUDIT COMMITTEE OR FOUNDATION BOARD MAY DETERMINE THAT THE INDIVIDUAL SHOULD RESIGN FROM THE FOUNDATION BOARD. (4) THE SPECIAL PROCEDURE BELOW IS APPLICABLE TO ALL INSTANCES IN WHICH AN INDIVIDUAL (OR THE INDIVIDUAL'S COMPANY, ORGANIZATION OR ANOTHER ENTITY FOR WHICH THE INDIVIDUAL SERVES IN A LEADERSHIP, EMPLOYMENT OR OWNERSHIP CAPACITY, OR A MEMBER OF THE INDIVIDUAL'S FAMILY) SEEKS TO PROVIDE GOODS OR SERVICES TO ASAE, THE FOUNDATION, OR ABSI AS A PAID VENDOR, OR SEEKS TO RECEIVE A SIGNIFICANT GRANT OR CONTRACT FROM ONE OF THE THREE ORGANIZATIONS. THIS PROCEDURE SHALL NOT APPLY TO PRE-EXISTING RELATIONSHIPS WITH INDIVIDUALS THAT PREVIOUSLY HAVE BEEN DISCLOSED TO, AND WAIVED BY, THE AUDIT COMMITTEE OR THE BOARD OF THE RELEVANT ORGANIZATION. (A) THE INDIVIDUAL MUST DISCLOSE TO THE APPLICABLE CHAIRMAN IN ADVANCE OF ANY RELATED ACTION TO BE TAKEN BY THE BOARD HIS/HER INTENT TO SEEK TO PROVIDE GOODS OR SERVICES AS A PAID VENDOR TO ASAE, THE FOUNDATION, OR ABSI, OR TO RECEIVE A GRANT OR CONTRACT FROM ONE OF THE THREE ORGANIZATIONS; (B) THE INDIVIDUAL MUST RECUSE HIMSELF/HERSELF FROM ALL DELIBERATIONS AND VOTING RELATED TO THE CONTEMPLATED ACTION; (C) IF THE VALUE OF THE TRANSACTION EXCEEDS $5,000, ASAE, THE FOUNDATION, OR ABSI MUST, THROUGH A REQUEST FOR PROPOSAL PROCESS, HAVE SOLICITED PROPOSALS BROADLY FROM OTHER QUALIFIED VENDORS / PROSPECTIVE GRANT OR CONTRACT RECIPIENTS AND RECEIVED (OR ATTEMPTED TO RECEIVE) WRITTEN BIDS FROM AT LEAST THREE SUCH INDIVIDUALS / ENTITIES (INCLUDING THE INDIVIDUAL IN QUESTION); (D) THE BOARD MUST DETERMINE (WITHOUT THE PRESENCE OR PARTICIPATION OF THE INDIVIDUAL) THAT THE TRANSACTION IS FAIR AND IN THE BEST INTERESTS OF ASAE, THE FOUNDATION OR ABSI BASED ON ALL OF THE FACTS AND CIRCUMSTANCES, AND SUCH DETERMINATION (INCLUDING THE FACT THAT IT WAS MADE IN THE ABSENCE OF THE INDIVIDUAL) SHALL BE DOCUMENTED AS PART OF THE RELEVANT MEETING MINUTES (ALL COMPETING BIDS RECEIVED SHALL BE RETAINED AS WELL); AND (E) IF SELECTED, THE INDIVIDUAL MAY NOT PARTICIPATE IN ANY PROCESS BY WHICH HIS/HER PERFORMANCE AS A VENDOR / GRANT OR CONTRACT RECIPIENT IS EVALUATED. FORM 990, PART VI, SECTION B, LINE 15A ASAE & THE FOUNDATION'S COMPENSATION POLICY IS DEFINED IN ITS BOARD POLICY MANUAL, AND CONSISTS OF THE FOLLOWING: PRESIDENT & CEO PERFORMANCE EVALUATION AND COMPENSATION: THIS RESPONSIBILITY IS VESTED WITH THE ASAE BOARD OF DIRECTORS. THE ASAE BOARD OF DIRECTORS IS CHARGED WITH ENSURING THAT THE ANNUAL EVALUATION IS CONDUCTED AND COMPENSATION ESTABLISHED. A COMPENSATION COMMITTEE CONSISTING OF THE IMMEDIATE PAST CHAIRMAN OF THE BOARD, CHAIRMAN OF THE BOARD, THE SECRETARY/TREASURER, AND CHAIRMAN-ELECT WILL RECOMMEND COMPENSATION LEVELS TO THE ASAE BOARD OF DIRECTORS. IN ADDITION, THE PRESIDENT AND CEO'S ANNUAL OBJECTIVES ARE APPROVED BY THE ASAE BOARD OF DIRECTORS. IT IS THESE AGREED UPON OBJECTIVES THAT ARE USED TO EVALUATE PERFORMANCE EACH YEAR. CEO COMPENSATION PHILOSOPHY THE COMPENSATION PACKAGE, VIEWED AS A WHOLE, SHOULD PROMOTE PERFORMANCE-BASED RESULTS LINKED TO THE ACHIEVEMENT OF ASAE & THE FOUNDATION'S MISSION AND STRATEGIC GOALS. THE COMPENSATION PROGRAM SHOULD ENCOURAGE AN ENTREPRENEURIAL AND MEMBER SERVICE ENVIRONMENT IN COLLABORATION WITH THE VOLUNTEER LEADERSHIP TO DETERMINE, GUIDE, AND OVERSEE THE EXECUTION OF ASAE & THE FOUNDATION'S STRATEGIC GOALS AND MISSION. GIVEN THE UNIQUE SET OF SKILLS NEEDED TO ACCOMPLISH THE MISSION AND GOALS SET FORTH ABOVE, THE TOTAL COMPENSATION -- DIRECT AND INDIRECT -- SHOULD BE TARGETED ABOVE THE MARKET MEDIAN, YET BE DEMONSTRABLY REASONABLE RELATIVE TO THE TOTAL COMPENSATION OFFERED BY ORGANIZATIONS COMPARABLE TO ASAE & THE FOUNDATION. THE COMPENSATION PHILOSOPHY SHOULD BE VIEWED PERIODICALLY TO ENSURE THAT IT CONTINUES TO BE ALIGNED WITH ASAE & THE FOUNDATION'S STRATEGIC DIRECTION AND FINANCIAL LIMITS AND CONTINUES TO BE BOTH REASONABLE AND COMPETITIVE. CEO COMPENSATION PRACTICES THE ASAE & THE FOUNDATION COMPENSATION PROGRAM IS TARGETED TO PROVIDE COMPETITIVE TOTAL COMPENSATION LEVELS (INCLUDING BOTH ANNUAL CASH COMPENSATION AND SUPPLEMENTAL BENEFITS) FOR HIGHLY COMPETITIVE PERFORMANCE. COMPENSATION IS BENCHMARKED AGAINST DATA DEVELOPED BY INDEPENDENT CONSULTANTS USING SURVEYS COMPRISED OF ORGANIZATIONS WITH SIMILAR INDIVIDUAL MEMBERSHIP AND GENERAL NON-PROFIT ORGANIZATIONS, BOTH REGIONAL AND NATIONAL. THESE ORGANIZATIONS ARE SIMILAR TO ASAE & THE FOUNDATION IN MAGNITUDE, COMPLEXITY, AND SCOPE OF RESPONSIBILITY, AND THEY ARE REPRESENTATIVE OF THE VARIOUS MARKETS IN WHICH ASAE & THE FOUNDATION COMPETE FOR TALENT. TOTAL CASH COMPENSATION IS TARGETED AT THE COMPETITIVE RANGE OF 85% - 115% OF THE 75TH PERCENTILE OF DEVELOPED MARKET RATES, DEPENDING ON TENURE AND EXPERIENCE OF THE CEO. CONSISTENT WITH THIS STRATEGY, THE FOLLOWING PRINCIPLES PROVIDE A FRAMEWORK FOR ASAE & THE FOUNDATION'S EXECUTIVE COMPENSATION PROGRAM: -- TOTAL ANNUAL CASH COMPENSATION (CONSISTING OF BASE PAY AND A VARIABLE, AT-RISK INCENTIVE) IS POSITIONED AT 85% - 115% OF THE 75TH PERCENTILE OF DEVELOPED MARKET RATES; -- THE MIX OF TOTAL COMPENSATION ELEMENTS WILL REFLECT COMPETITIVE MARKET REQUIREMENTS AND STRATEGIC BUSINESS NEEDS; -- COMPENSATION IS LINKED TO BOTH QUALITATIVE AND BEHAVIORAL EXPECTATIONS, AND KEY OPERATIONAL AND STRATEGIC METRICS; AND -- COMPENSATION WILL BE DIFFERENTIATED ON THE FOLLOWING BASIS: BASE PAY - ON RELATIVE RESPONSIBILITY; ANNUAL INCENTIVES - ON PERFORMANCE; AND SUPPLEMENTAL BENEFITS - ON LONG-TERM PERFORMANCE. BASE PAY -- DETERMINED BY INDIVIDUAL PERFORMANCE AND COMPARISONS TO SIMILAR POSITIONS IN INDIVIDUAL MEMBERSHIP AND GENERAL NON-PROFIT ORGANIZATIONS. PAY IS ESTABLISHED BASED ON JOB RESPONSIBILITY, LEVEL OF EXPERIENCE, INDIVIDUAL CONTRIBUTION TO THE BUSINESS, ANALYSES OF COMPETITIVE INDUSTRY PRACTICE AND VARIOUS OTHER QUALITATIVE AND QUANTITATIVE PERFORMANCE FACTORS. ANNUAL INCENTIVE -- THE TARGET ANNUAL INCENTIVE AMOUNT IS DETERMINED BASED ON THE MARKET PRACTICES OF THE COMPARATOR GROUP AS DESCRIBED ABOVE. THE ANNUAL INCENTIVE AWARD IS BASED ON THE ACHIEVEMENT OF PREDETERMINED FINANCIAL, STRATEGIC, BUSINESS, AND INDIVIDUAL GOALS. THE PRIMARY QUANTITATIVE FACTORS REVIEWED BY THE BOARD OF DIRECTORS INCLUDE AS FINANCIAL MEASURES NET INCOME, REVENUE, TOTAL MEMBERSHIP AND ACHIEVEMENT OF OTHER BOARD PRIORITIES AS DEFINED EACH YEAR BY THE BOARD OF DIRECTORS. AMONG THE QUALITATIVE FACTORS EVALUATED BY THE BOARD OF DIRECTORS ARE PROGRESS IN THE ACHIEVEMENT OF THE ORGANIZATIONS SHORT-TERM AND LONG-TERM BUSINESS GOALS, MEMBER SATISFACTION, AND THE EFFECTIVE MANAGEMENT OF ASAE & THE FOUNDATION AND ITS HUMAN RESOURCES. SUPPLEMENTAL BENEFITS -- UNDER THE SUPPLEMENTAL BENEFITS PLAN, THE BOARD OF DIRECTORS GRANTS DEFERRED SALARY AND SUPPLEMENTAL INCOME ARRANGEMENTS, BENEFITS AND PERQUISITES SUBJECT TO INDIVIDUAL LONG TERM PERFORMANCE. THESE AWARDS AND SUPPLEMENTAL BENEFITS ARE PROVIDED IN LINE WITH COMPETITIVE PRACTICES OF THE COMPARATOR GROUP. THE OBJECTIVES FOR THESE AWARDS ARE TO CLOSELY ALIGN EXECUTIVE INTERESTS WITH THE LONGER-TERM INTERESTS OF STAKEHOLDERS AND TO RETAIN THE SKILLS CRITICAL TO THE FUTURE SUCCESS OF ASAE & THE FOUNDATION. ------------ OTHER KEY OFFICERS/EMPLOYEES UNDER BYLAW AND CEO CONTRACT, THE BALANCE OF STAFF ARE UNDER THE AUTHORITY OF CEO. STAFF COMPENSATION POLICY DECISIONS TAKE INTO CONSIDERATION ASAE & THE FOUNDATION'S OVERALL FINANCIAL CONDITION, EQUITY WITHIN THE ORGANIZATION, AND COMPETITIVE SALARY PLANNING. ASAE'S HUMAN RESOURCES DEPARTMENT IS RESPONSIBLE FOR ADMINISTRATION OF AND ONGOING INTERNAL REVIEW OF ALL COMPENSATION PLANS AND POLICIES. THIS COMPENSATION REVIEW HELPS ASAE & THE FOUNDATION MAINTAIN AND ADMINISTER A COMPENSATION PLAN THAT ACCURATELY AND FAIRLY REFLECTS EACH INDIVIDUAL'S RESPONSIBILITIES AND PERFORMANCE. ASAE & THE FOUNDATION'S STAFF SALARY ADMINISTRATION PROGRAM(S) CONSIST OF THE FOLLOWING: -- JOB EVALUATION - THIS IS A SYSTEMATIC METHOD OF DETERMINING THE VALUE OF EACH JOB WITHIN THE ASSOCIATION, INCLUDING REVIEW OF SKILLS, EDUCATIONAL PREREQUISITES AND CONTRIBUTION TO THE ORGANIZATION. -- SALARY STRUCTURE - POSITIONS ARE EVALUATED AND POSITIONS WITH SIMILAR VALUES ARE PLACED IN A SALARY GRADE THAT IS REVIEWED IN TERMS OF ITS COMPETITIVENESS WITHIN THE MARKET AND OUR ORGANIZATIONAL NEEDS. EACH GRADE HAS A MINIMUM, WHICH IS THE LOWEST RECOMMENDED SALARY TO BE OFFERED TO AN INDIVIDUAL WHO MEETS THE MINIMUM QUALIFICATIONS OF THE POSITION; A MIDPOINT, REPRESENTING THE SALARY AT WHICH A FULLY QUALIFIED AND EXPERIENCED STAFF MEMBER WHO SATISFACTORILY PERFORMS ALL THE SPECIFICATIONS OF A POSITION IS PAID WITHIN THE MARKETPLACE; AND A MAXIMUM, WHICH IS THE UPPER LIMIT OF THE SALARY RANGE. A THIRD PARTY IS ENGAGED PERIODICALLY TO REVIEW THE COMPENSATION PACKAGE OF THE EXECUTIVE STAFF AND/OR FULL STAFF RELATIVE TO BASE COMPENSATION, BONUS AND INCENTIVE PROGRAMS COMPARATIVE TO MARKET. -- SALARY BUDGET AND GUIDELINES - ASAE & THE FOUNDATION'S ANNUAL SALARY BUDGET IS DEVELOPED ANNUALLY IN ORDER TO ALLOCATE MONIES NEEDED TO MAINTAIN STAFF MEMBER SALARIES AT COMPETITIVE LEVELS, SUBJECT TO BUDGETARY LIMITATIONS. AN ANNUAL MERIT POOL IS DEVELOPED AND APPROVED AS PART OF THE BUDGET CYCLE. THE CHIEF ADMINISTRATIVE OFFICER IS RESPONSIBLE FOR THE ADMINISTRATION OF THE PROGRAM, AND ALL INCREASES ARE SUBJECT TO THE APPROVAL OF THE CEO. FORM 990, PART VI, SECTION C, LINE 19 SOME GOVERNING DOCUMENTS ARE AVAILABLE ON THE WEBSITE - ASAE BYLAWS, STRATEGIC FRAMEWORK - WHAT WE DO AND OUR PROMISE, CODE OF CONDUCT AND BOARD CONTACT INFORMATION. THE CONFLICT OF INTEREST POLICY IS CURRENTLY NOT POSTED, BUT PROVIDED AS A SAMPLE DOCUMENT UPON REQUEST. PUBLIC INSPECTION COPIES OF THE 990 ARE PROVIDED UPON REQUEST. OTHER FEES FORM 990, PART IX, LINE 11G BUSINESS SERVICES: TOTAL EXPENSES 8,307. FINANCIAL SERVICES: TOTAL EXPENSES 173,724. HR SERVICES: TOTAL EXPENSES 213,638. BUSINESS SERVICES: TOTAL EXPENSES 37. IT SERVICES: TOTAL EXPENSES 923,239. PUBLIC POLICY SERVICES: TOTAL EXPENSES 183,505. COMMUNICATIONS: TOTAL EXPENSES 3,533. MARKETING SERVICES: TOTAL EXPENSES 18,453. DIVERSITY SERVICES: TOTAL EXPENSES 48,975. INNOVATION SERVICES: TOTAL EXPENSES 92,535. WEB SERVICES: TOTAL EXPENSES 292,477. EDITORIAL SERVICES: TOTAL EXPENSES 227,915. DESIGN SERVICES: TOTAL EXPENSES 1,035,742. INTERNATIONAL SERVICES: TOTAL EXPENSES 275,538. CAE SERVICES: TOTAL EXPENSES 98,055. MEMBERSHIP SERVICES: TOTAL EXPENSES 69,745. EDUCATION SERVICES: TOTAL EXPENSES 419,923. RESEARCH SERVICES: TOTAL EXPENSES 884. PUBLICATIONS SERVICES: TOTAL EXPENSES 881. SPONSORSHIP SERVICES: TOTAL EXPENSES 36,000. COMMISSION FEES: TOTAL EXPENSES 726,517. HONORARIA: TOTAL EXPENSES 371,100. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 9: EQUITY IN SUBSIDIARIES 419,923. LIMITED PARTNERSHIP DISTRIBUTION 277,500. PASS-THROUGH FROM K-1 -1,303,306. FORM 990, PART XII, LINE 2C THE AUDIT OVERSIGHT PROCESS, WHICH HAS NOT CHANGED FROM THE PRIOR YEAR, IS AS FOLLOWS: THE AUDIT PROCESS IS UNDER THE OVERSIGHT OF THE AUDIT COMMITTEE, WHICH IS A SUBCOMMITTEE OF THE BOARD AND MAY INCLUDE (IF/AS NEEDED) A MEMBER AT-LARGE WITH RELEVANT EXPERTISE. THE COMMITTEE IS RESPONSIBLE FOR THE SELECTION AND SELECTION PROCESS OF INDEPENDENT AUDITORS, MEETING WITH THE AUDIT TEAM BOTH WITH AND WITHOUT STAFF PRESENT PRIOR TO THE AUDIT FOR SCOPE AND PLANNING AND POST AUDIT TO REVIEW THE REPORT AND RELEVANT COMMUNICATIONS. THE AUDIT IS PRESENTED IN PERSON BY THE INDEPENDENT AUDITOR TO THE BOARD WITH ANY AUDIT COMMITTEE RECOMMENDATIONS. 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