2011-03-14T13:03:03-05:00 2010-04-30 GRANT THORNTON LLP 2001 MARKET STREET SUITE 3100 PHILADELPHIA PA 19103 990 2009-05-01 530196549 The American University AMER 2028852841 C/O Controllers Office Washington DC 200168020 DONALD L MYERS 2010-03-14 2155614200 2009 2016-02-24 21:20:13Z Donald L Myers C/O Controllers Office Washington DC 200168020 908421001 false X www.american.edu X 1893 DC AMERICAN UNIVERSITY IS AN INDEPENDENT, COEDUCATIONAL UNIVERSITY LOCATED ON AN 85-ACRE CAMPUS IN WASHINGTON, DC. SEE STATEMENT 1. 30 30 8019 400 316564 0 23711187 28067371 454615656 497055195 -1749473 37678697 0 0 476577370 562801263 71917741 87142628 0 0 207045476 237611604 0 0 12982221 162222551 169104872 441185768 493859104 35391602 68942159 931524550 1069628703 382014220 373289404 549510330 696339299 CHARTERED BY AN ACT OF CONGRESS IN 1893, AMERICAN UNIVERSITY IS AN INDEPEDENT, COEDUCATIONAL UNIVERSITY LOCATED ON AN 89-ACRE CAMPUS IN WASHINGTON, DC. A GLOBAL OUTLOOK, PRACTICAL IDEALISM, AND A PASSION FOR PUBLIC SERVICE DEFINE AMERICAN UNIVERSITY. OUR ACADEMIC STRENGTHS ARE GROUNDED IN SOCIAL RESPONSIBILITY AND A COMMITMENT TO CULTURAL AND INTELLECTUAL DIVERSITY. false false 125219153 0 393396129 INSTRUCTION: THE UNIVERSITY'S MISSION IS CARRIED OUT BY ALMOST 600 FULL-TIME TEACHING AND RESEARCH FACULTY IN SIX ACADEMIC DIVISIONS OFFERING 57 BACHELOR'S PROGRAMS, 51 MASTER'S PROGRAMS, 9 DOCTORAL PROGRAMS, AND J.D., S.J.D., AND LL.M PROGRAMS. CERTIFICATE PROGRAMS AND AN ASSOCIATE DEGREE PROGRAM ARE OFFERED AS WELL. STUDENT-FACULTY RATIO= 14:1. AVERAGE CLASS SIZE= 22.5 STUDENTS. 87142628 87142628 0 SCHOLARSHIPS AND FELLOWSHIPS: AMERICAN UNIVERSITY AWARDS FINANCIAL AID TO STUDENTS BASED ON A COMBINATION OF DEMONSTRATED FINANCIAL NEED, ACADEMIC ACHIEVEMENT, AND THE AVAILABILITY OF FUNDS. ONCE A STUDENT IS ADMIITED, THE FINANCIAL AID OFFICE WILL DETERMINE NEED AND DEVELOP A FINANCIAL AID AWARD THAT INCLUDES FUNDS FROM THE PROGRAMS FOR WHICH THE STUDENT QUALIFIES. TO RECEIVE CONSIDERATION FOR FINANCIAL AID, A STUDENT MUST BE A UNITED STATES CITIZEN OR ELIGIBLE NON-CITIZEN IN A DEGREE PROGRAM. 67783401 0 70671042 AUXILIARY ENTERPRISES: UNIVERSITY DORMITORIES, CONSISTING OF TEN RESIDENCE HALLS,PROVIDE LIVING QUARTERS FOR ALMOST 4,000 STUDENTS. ALSO PROVIDED ARE RECREATIONAL FACILITIES, DINING SERVICES, PARKING, AND OTHER SELF-SUPPORING FACULTY, STAFF, AND STUDENT SERVICES. 46327759 0 ACADEMIC SUPPORT 39231444 0 STUDENT SERVICES 43131966 0 INSTITUTIONAL SUPPORT 37036156 0 32988024 RESEARCH 16064690 0 PUBLIC SERVICE 181792015 0 32988024 461937197 true true false true false false true false true true true false true true true false false false false false false false true true true false false false false false false true false false false true true false false false true false false false true 1123 0 true 8019 true true true true BE VI CJ SP false false false true true false false false false false 30 30 true false false false false false false true true false false true true true true true true true true false X JOHN SMIELL CONTROLLER 2028852841 4400 MASSACHUESETTS AVE WASHINGTON DC 200168020 GARY ABRAMSON 2.0 X 0 0 0 GINA F ADAMS 2.0 X 0 0 0 STEPHANIE M BENNETT-SMITH 2.0 X 0 0 0 RICHARD BEYER 2.0 X 0 0 0 PATRICK BUTLER 2.0 X 0 0 0 EDWARD R CARR 2.0 X 0 0 0 JACK C CASSELL 2.0 X 0 0 0 GARY D COHN 2.0 X 0 0 0 PAMELA M DEESE 2.0 X 0 0 0 JEROME KING DEL PINO 2.0 X 0 0 0 DAVID R DROBIS 2.0 X 0 0 0 MARC N DUBER 2.0 X 0 0 0 HANI M S FARSI 2.0 X 0 0 0 C A DANIEL GASBY 2.0 X 0 0 0 THOMAS A GOTTSCHALK 2.0 X 0 0 0 GISELA B HUBERMAN 2.0 X 0 0 0 C NICHOLAS KEATING JR 2.0 X 0 0 0 MARGERY KRAUS 2.0 X 0 0 0 RONALD L FREY 2.0 X 0 0 0 CHARLES H LYDECKER 2.0 X 0 0 0 ROBYN RAFFERTY MATHIAS 2.0 X 0 0 0 ALAN L MELTZER 2.0 X 0 0 0 REGINA L MUEHLHAUSER 2.0 X 0 0 0 ARTHUR J ROTHKOPF 2.0 X 0 0 0 PETER L SCHER 2.0 X 0 0 0 MARK I SCHNEIDER 2.0 X 0 0 0 JOHN R SCHOL 2.0 X 0 0 0 NEAL A SHARMA 2.0 X 0 0 0 JEFFEREY A SINE 2.0 X 0 0 0 GERALD BRUCE LEE 2.0 X 0 0 0 CORNELIUS M KERWIN 50.0 X 631341 0 165802 SCOTT BASS 50.0 X 359818 0 107867 DONALD L MYERS 50.0 X 576129 0 55257 MARY E KENNARD 50.0 X 388645 0 48004 GAIL SHORT HANSON 50.0 X 537857 0 42573 THOMAS MINAR 50.0 X 280140 0 53697 CLAUDIO GROSSMAN 50.0 X 414126 0 33544 RICHARD DURAND 50.0 X 358822 45000 36071 IVY E BRODER 50.0 X 299885 0 24500 JEFFERY A JONES 50.0 X 310128 0 6475 ANDREW F POPPER 50.0 X 272222 0 34299 PETER JASZI 50.0 X 258885 0 39437 ROBERT PASTOR 50.0 X 203173 0 34516 4891171 45000 682042 13 true true false Whiting Turner Contracting Company 707 Westchester Ave 101 WHITE PLAINS NY 10604 Construction 21238995 Bon Appetit Management Company 100 Hamilton Ave 400 PALO ALTO CA 94301 Food Services 11664971 Aramark 1101 Market Street PHILADELPHIA PA 19107 Cleaning Services 5150480 Patner Construction Inc 2710 Prosperity Ave 150 FAIRFAX VA 22031 Construction 2495510 Calloway Contracting Group 4717A Eisenhower Avenue ALEXANDRIA VA 22304 Construction 981407 31 2360100 7622468 18084803 4247442 28067371 STUDENT AND TUITION FEES 611710 393396129 393396129 AUXILIARY SERVICES 713940 70671042 70354478 316564 PUBLIC RADIO STATIONS 611710 10231093 10231093 RESEARCH/TRAINING CONTRACTS 611710 19536701 19536701 MISCELLANEOUS 611710 3220230 3220230 497055195 16367154 16367154 0 0 366931281 345619738 21311543 21311543 21311543 0 0 0 0 562801263 496738631 316564 37678697 0 87142628 87142628 0 0 5573213 5072491 340519 160203 0 188577516 172135581 11181428 5260507 12236502 11001463 859642 375397 18941156 17031868 1328949 580339 12283217 10996543 895582 391092 0 1201068 1201068 901467 901467 0 0 1364821 1364821 49386 49386 1519946 1483152 29783 7011 20487267 18214630 919205 1353432 4403435 4215263 121259 66913 0 25676743 24159324 7022 1510397 9516147 9079002 234997 202148 0 0 11105786 11105786 0 21157680 21157680 6566942 6566942 CONTRACTUAL EXPENSES 36578333 33880264 182989 2515080 CONSULTING EXPENSES 8582289 8371637 183075 27577 BAD DEBT EXPENSE 5538295 5538295 FOOD SERVICE 3877715 3179959 285564 412192 MEMBERSHIP DUES 1963628 1712594 201903 49131 8613924 8527274 65234 21416 493859104 461937197 18939686 12982221 26806 28981 87339362 180306149 22283174 10016010 15254187 13882682 13634 21611 2038869 1948930 743927033 316042624 389150619 427884409 339546095 397866169 32918747 9262365 9586472 10629184 33366585 17782213 931524550 1069628703 46139435 44498552 18609394 23196272 218875000 218875000 37000000 37000000 61390391 49719580 382014220 373289404 X 429671053 542983820 42929554 72126229 76909723 81229250 549510330 696339299 931524550 1069628703 X false true true X true true X false false false RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false false false false false false true 70693 false false 70693 false false SCHEDULE C, PART 11B, LINE 1G LOBBYING EXPENSES RELATED TO APPROPRIATIONS MADE TO THE ARMY CORPS OF ENGINEERS TO CLEAN UP A WORLD WAR I MUNITIONS SITE ON PROPERTY OWNED BY AMERICAN UNIVERSITY. 3132549 5219203 X X X false 270817000 6759000 96733000 4530909 7597257 1545834 360635000 386486000 15707000 -117313000 3885989 8525922 1651089 270817000 false false 39717384 39717384 467252900 178189384 289063516 164257412 130215972 34041440 72699336 7637267 65062069 427884409 0 DERIVITE INSTRUMENTS 37269370 REFUNDABLE ADV FROM US GOVT 8245331 ASSET RETIREMENT OBLIGATIONS 4204879 49719580 562801263 493859104 68942159 77885457 77885457 146827616 553544092 77885457 77885457 475658635 87142628 87142628 562801263 406716476 406716476 87142628 87142628 493859104 SCHEDULE D, PART III, LINE 4 THE TWO MAJOR COMPONENTS OF THE UNIVERSITY'S ART COLLECTION ARE THE WATKINS COLLECTION OF OVER 4,500 ARTWORKS BEGUN IN 1945, AND THE KATZEN COLLECTION OF OVER 300 ARTWORKS BEGUN IN 2005. THE COLLECTIONS SERVE AS A TEACHING RESOURCE FOR THE ART DEPARTMENT AT AMERICAN UNIVERSITY, AS WELL AS TELLING THE STORY OF MODERN ART AND ITS OFFSHOOTS IN WASHINGTON DC, WITH SIDE STORIES RELATED TO WHAT WAS HAPPENING IN THE LARGER CONTEMPORARY WORLD. THE PUBLIC IS WELCOME TO VISIT THE MUSEUM AND EXHIBITIONS FREE OF CHARGE. INDEED, THE KATZEN ARTS CENTER IS NOW A DESTINATION FOR CERTAIN TOUR GROUPS IN WASHINGTON DC. DURING FISCAL YEAR 2010 AND ADDITIONAL GIFT OF ART IN THE AMOUNT OF $2,540,000 WAS ADDED TO THE KATZEN COLLECTION. SCHEDULE D, PART X IN 2008, THE UNIVERSITY IMPLEMENTED THE PROVISIONS OF FASB INTERPRETATION NO. 48, ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES. THE UNIVERSITY CONCLUDED THERE WERE NO OPEN POSITIONS THAT RESULT IN MATERIAL UNRECOGNIZED TAX BENEFITS. SCHEDULE D, PART XII, LINE 4B, PART XIII, LINE 4B SCHOLARSHIPS ALLOWANCE REPORTED FOR FINANCIAL STATEMENT PURPOSES. SCHEDULE D, PART V, LINE 4 THE UNIVERSITY'S ENDOWMENT CONSISTS OF APPROXIMATELY 400 INDIVIDUAL FUNDS ESTABLISHED FOR SCHOLARSHIPS AND RELATED ACADEMIC ACTIVITIES. ITS ENDOWMENT INCLUDES BOTH DONOR RESTRICTED ENDOWMENT FUNDS AND FUNDS DESIGNATED BY THE BOARD OF TRUSTEES TO FUNCTION AS ENDOWMENTS. AS REQUIRED BY GAAP, NET ASSETS ASSOCIATED WITH ENDOWMENT FUNDS, INCLUDING FUNDS DESIGNATED BY THE BOARD OF TRUSTEES TO FUNCTION AS ENDOWMENTS, ARE CLASSIFIED AND REPORTED BASED ON THE EXISTENCE OR ABSCENCE OF DONOR-IMPOSED RESTRICTIONS. true true true UNIVERSITY'S NONDISCRIMINATORY POLICY TOWARDS RACE, CREED, COLOR, NATIONAL ORIGIN, AGE, HANDICAP, OR SEX IS NOTED IN ALL ADMISSION PUBLICATIONS, APPLICATION FORMS, TRANSFER GUIDES, MEDIA SOLICITATIONS FOR STUDENTS AND ALL OFFICIAL UNIVERSITY PUBLICATIONS. AMERICAN UNIVERSITY IS AN EQUAL OPPORTUNITY, AFFIRMATIVE ACTION INSTITUTION THAT OPERATES IN COMPLIANCE WITH APPLICABLE LAWS AND REGULATIONS. MORE IMPORTANTLY, SUCH COMPLIANCE STEMS FROM THE HISTORY AND TRADITION OF THE UNIVERSITY THAT EMBRACES AND EXPRESSES THE DEEPEST VALUES OF THE HUMAN COMMUNITY- EQUALITY, OPENNESS, AND THE DIGNITY OF EVERY INDIVIDUAL. THE FACT THAT THE UNIVERSITY DOES NOT DISCRIMINATE ON THE BASIS OF COLOR, RELIGION, NATIONAL ORIGIN, GENDER, SEXUAL ORIENTATION, GENDER IDENTITY AND EXPRESSION, AGE, OR DISABILITY IS, IN FACT, CONSISTENT WITH AND A REFLECTION OF ITS SPECIAL TRADITION OF SOCIAL JUSTICE. EXTENDING THAT TRADITION INTO THE PRESENT, EQUAL OPPORTUNITY, AFFIRMATIVE ACTION, AND NONDISCRIMINATION APPLY TO EV true true true true false false false false false false false false true false THE UNIVERSITY RECEIVES US DEPARTMENT OF EDUCATION STUDENT AID FUNDS- USE OF SUCH FUNDS IS AUDITED BY INDEPENDENT AUDITORS IN ACCORDANCE WITH THE REGULATIONS AND PROCEDURES ISSUED BY THE FEDERAL GOVERNMENT. true Central America and the Caribbean Program Services study abroad 291173 East Asia and the Pacific Program Services study abroad 886961 Europe (Including Iceland and Greenland) 2 2 Program Services study abroad 6429870 Middle East and North Africa Program Services study abroad 856187 North America Program Services study abroad 8543 South America Program Services study abroad 420261 South Asia Program Services study abroad 105130 Sub-Saharan Africa Program Services study abroad 754119 Sub-Saharan Africa 7 Program Services educational management 1416768 East Asia and the Pacific Program Services RESEARCH 20088 Europe (Including Iceland and Greenland) Program Services RESEARCH 9087 Middle East and North Africa Program Services RESEARCH 2901507 North America Program Services RESEARCH 117290 South America Program Services RESEARCH 1821 South Asia Program Services RESEARCH 23037 2 9 14241842 SCHEDULE I, PART I ANNUALLY, MORE THAN 850 STUDENTS PARTICIPATE IN THE AU PROGRAM. UNDERGRADUATES SELECT FROM MORE THAN 100 PROGRAMS WHICH SPAN DIVERSE CULTURES AND LANGUAGES ON ALL CONTINENTS. THE UNIVERSITY IN THE RECIPIENT OF SERVERAL CONTRACTS TO CONDUCT RESEARCH FOR THE US DEPARTMENT OF STATE AND OTHER AGENCIES AS WELL AS TO PROVIDE EDUCATIONAL MANAGEMENT SUPPORT TO FOREIGN INSTITUTIONS OF HIGHER EDUCATION. true STUDENT SCHOLARSHIPS 9083 87142628 FMV FIN AID SCHEDULE I, PART 1, LINE 2 ALL STUDENTS RECEIVING SCHOLARSHIPS AND FELLOWSHIPS ARE JUDGED WORTHY BY THE UNIVERSITY'S ASSESSMENT ON THE BASIS OF ACADEMIC ACHIEVMENT, FINANCIAL NEED AND SIMILAR STANDARDS. APPROXIMATELY 75% OF FULL TIME FRESHMEN APPLIED FOR NEED BASED FINANCIAL AID. X X true true X X X X X X false true false false false false false true false CORNELIUS M KERWIN 502250 0 123500 0 5591 0 149700 0 16102 0 797143 0 0 0 SCOTT BASS 299818 0 60000 0 0 0 91849 0 16378 0 468045 0 0 0 DONALD L MYERS 402480 0 154100 0 19549 0 41000 0 14257 0 631386 0 0 0 MARY E KENNARD 295505 0 87100 0 6040 0 40273 0 7731 0 436649 0 0 0 GAIL SHORT HANSON 254321 0 281447 0 2089 0 39982 0 2591 0 580430 0 231247 0 THOMAS MINAR 248890 0 31250 0 0 0 50212 0 3485 0 333837 0 0 0 CLAUDIO GROSSMAN 398892 0 0 0 15234 0 24500 0 9044 0 447670 0 0 0 RICHARD DURAND 347455 45000 0 0 11367 0 23897 0 12174 0 394893 45000 0 0 IVY E BRODER 290028 0 0 0 9857 0 19570 0 4930 0 324385 0 0 0 JEFFERY A JONES 284353 0 20000 0 5775 0 0 0 6475 0 316603 0 0 0 ANDREW F POPPER 272222 0 0 0 0 0 22472 0 11827 0 306521 0 0 0 PETER JASZI 255986 0 0 0 2899 0 23642 0 15795 0 298322 0 0 0 ROBERT PASTOR 203173 0 0 0 0 0 21039 0 13477 0 237689 0 0 0 Part I Line 4b OFFICERS OF THE UNIVERSITY PARTICIPATE IN A BOARD OF TRUSTEES APPROVED EXECUTIVE COMPENSATION PROGRAM WHICH INCLUDES PROVISIONS THAT FALL UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE. THE FOLLOWING OFFICERS RECEIVED CONTRIBUTIONS TO SUCH SUPPLEMENTAL NONQUALIFIED PLAN: CORNELIUS KERWIN, $125,200; SCOTT BASS, $47,000; THOMAS MINAR, $25,000, ALL OF WHICH ARE REPORTED ON SCHEDULE J, PART II, COL ( C ). GAIL SHORT HANSON RECEIVED A DISTRIBUTION FROM THE SUPPLEMENTAL NONQUALIFIED PLAN IN THE AMOUNT OF $256,347 DUE TO VESTING, WHICH IS REPORTED ON SCHEDULE J PART II, COL (B)(ii). THE DISTRIBUTION INCLUDES $231,247 THAT WAS REPORTED ON IN PRIOR YEARS' FORM 990. PART I, LINE 1 THE PRESIDENT RESIDES IN UNIVERSITY OWNED ON-CAMPUS HOUSING AS A CONDITION OF HIS EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. THE RESIDENCE IS USED FOR UNIVERSITY-RELATED BUSINESS AND ENTERTAINMENT PURPOSES ON A CONTINUAL BASIS. AMERICAN UNIVERSITY PROVIDES MEMBERSHIPS TO VARIOUS BUSINESS CLUBS IN WASHINGTON DC FOR THE PRESIDENT AND OTHER OFFICERS. THE USE OF THE CLUBS IS LIMITED TO AMERICAN UNIVERSITY BUSINESS PURPOSES AND THE EXPENSES ARE REVIEWED ACCORDING TO THE EXPENSE REIMBURSEMENT POLICIES OF THE UNIVERSITY. Part I, Line 7 OFFICERS OF THE UNIVERSITY PARTICPATE IN A BOARD OF TRUSTEES APPROVED EXECUTIVE COMPENSATION PROGRAM WHICH INCLUDES AN INCENTIVE COMPENSATION PLAN. THE ANNUAL AMOUNT IS CAPPED AT A PERCENTAGE OF THEIR SALARY. THE PLAN IS BASED ON THE ACHIEVMENT OF CERTAIN PROGRAMMATIC GOALS AND OBJECTIVES FOR THE OFFICERS' UNITS AND THE UNIVERSITY. THE GOALS ARE NON-REVENUE RELATED GOALS. THE PLAN IS APPROVED BY THE COMPENSATION COMMITTEE AND THE COMMITTEE REVIEWS AND APPROVES THE ANNUAL AWARDS BASED ON THE PERFORMANCE ACHIEVED ON THE AGREED-UPON GOALS. Schedule J-2 Robert Pastor's Compensation Robert Pastor is the former VP for International Affairs. The compensation reported on Schedule J-2 is for his position as a professor at the University. No part of the compensation is paid for his service as a former officer of the University. DISTRICT OF COLUMBIA 536001131 2548394P5 2008-10-15 60900000 SEE SCHEDULE O false false DISCTRICT OF COLUMBIA 536001131 25484JAH3 2006-08-16 99975000 SEE SCHEDULE O false false DISTRICT OF COLUMBIA 536001131 25484JAG5 2003-04-03 37000000 SEE SCHEDULE O false false 60900000 60900000 2008 true false true true 40969227 1983116 38986111 2010 true false true true 37378342 1266125 36112217 2005 false false true true false false false false true 0.00800 0.00800 true false true false false true 0.00100 0.00100 true false true false false false true false true false false true false false true false false true false Officer Officer 15250 TUITION SCHOLAR X 90 3132550 expert opinion X 64701 expert opinion X 3 553346 comparable sales X 49 467768 price on val. date X food served 3 17777 fmv X travel 3 11100 fmv 5 false true false FORM 990, PART III, OTHER PROGRAM SERVICES ACADEMIC SUPPORT- THE UNIVERSITY LIBRARIES, ACADEMIC COMPUTER SERVICES, ADMINISTRATIVE OFFICES AND SUPPORT FOR THE SIX ACADEMIC DIVISIONS. STUDENT SERVICES- HEALTH AND COUNSELING, CAREER CENTER, UNIVERSITY REGISTRAR, FINANCIAL AID AND ENROLLMENT SERVICES, SPORTS AND RECREATION. INSTITUTIONAL SUPPORT- INFORMATION TECHNOLOGY, TELECOMMUNICATIONS, SPACE MANAGEMENT, SECURITY, MAIL AND TRANSPORTATION SERVICES. RESEARCH- RESEARCH AND TECHNICAL ASSISTANCE PROJECTS FUNDED BY FEDERAL AND PRIVATE AGENCIES. PUBLIC SERVICE- THE OPERATION OF WAMU 88.5 FM, A 24-HOUR, 50,000 WATT PUBLIC RADIO STATION LICENSED TO THE UNIVERSITY SINCE 1961. See Scehdule O Attachement 3 for total expenses for other program services. BOARD OF TRUSTEES FORM 990, PART VI, LINE 1A THE BOARD OF TRUSTEES CONSISTS OF 34 MEMBERS, 30 OF WHOM HAVE VOTING RIGHTS. TWO FACULTY TRUSTEES, ONE STUDENT TRUSTEE, AND THE PRESIDENT (EX OFFICIO MEMBER) HAVE NO VOTING RIGHTS. REVIEW PROCESS FORM 990, PART VI, LINE 10 FORM 990 IS PREPARED BY THE FINANCE OFFICE AND REVIEWED BY INDEPENDENT TAX ADVISORS. FORM 990 IS REVIEWED AND SIGNED BY THE CHIEF FINANCIAL OFFICER. FORM 990 IS REVIEWED AND APPROVED BY THE AUDIT COMMITTEE PRIOR TO FILING. ACCESS TO THE FORM 990 IS PROVIDED TO ALL BOARD MEMBERS ON OR BEFORE THE DATE IN WHICH THE RETURN IS FILED WITH THE IRS. CONFLICT OF INTEREST FORM 990, PART VI, LINE 12C BOARD OF TRUSTEES MEMBERS ARE REQUIRED TO COMPLETE AN ANNUAL CONFLICT OF INTEREST STATEMENT AND SUBMIT SUCH STATEMENT TO THE SECRETARY OF THE BOARD WHO IS ALSO THE GENERAL COUNSEL FOR THE UNIVERSTY. THE SECRETARY REVIEWS THOSE STATEMENTS FOR POTENTIAL CONFLICTS AND REPORTS SUCH CONFLICTS TO THE BOARD CHAIR. THE DISCLOSURE STATEMENT ALSO REQUIRES ALL MEMBERS TO NOTIFY THE BOARD PROMPTLY OF AN ACTUAL, APPARENT, OR POTENTIAL CONFLICT OF INTEREST AS IT ARISES, SO THAT IT CAN BE ADDRESSED IMMEDIATLY AND NOT JUST ONCE PER YEAR. OFFICER COMPENSATION PROCESS FORM 990, PART VI, LINE 15 THE COMPENSATION OF ALL OFFICERS OF THE UNIVERSITY IS REVIEWED AND APPOROVED ANNUALLY BY THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES, AND IS SUBSEQUENTLY APPROVED BY THE FULL BOARD. THE COMMITTEE ENGAGES THIRD PARTY EXPERTS TO BENCHMARK COMPENSATION FOR THESE POSITIONS ON AN ANNUAL BASIS. THE COMPENSATION OF KEY EMPLOYEES IS SET BY THEIR SUPERVISING OFFICER WITHIN THE CONSTRAINTS OF THE BOARD OF TRUSTEES' APPROVED UNIVERSITY OPERATING BUDGET. DOCUMENT DISCLOSURE FORM 990, PART VI, LINE 19 GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE AS PUBLIC INFORMATION ON THE UNIVERSITY'S WEBSITE. SUPPLEMENTAL INFORMATION ON TAX-EXEMPT BONDS SCHEDULE K, PART I, COLUMN (F) DISTRICT OF COLUMBIA, EIN 53-6001131, CUSIP #2548394P5, ISSUE DATE- 10/15/08, ISSUE PRICE- $60,900,000, DESCRIPTION OF PURPOSE- THE BONDS WERE ISSUED TO REFUND ON A CURRENT BASIS THE SERIES 1985 BONDS, ORIGINALLY ISSUED ON 10/2/85, AND THE SERIES A BONDS, ORGINALLY ISSUED ON 2/13/86. DISTRICT OF COLUMBIA, EIN 53-6001131, CUSIP #25484JAH3, ISSUE DATE- 8/16/06, ISSUE PRICE- $99,975,000, DESCRIPTION OF PURPOSE- THE PROCEEDS OF BONDS WERE USED TO FINANCE A PORTION OF THE COSTS OF (A) CAPITAL IMPROVEMENTS LOCATED ON THE UNIVERSITY'S MAIN CAMPUS, CONSISTING PRIMARILY OF THE CONSTRUCTION, FURNISHING AND EQUIPPING OF THE SCHOOL OF INTERNATIONAL SERVICE BUILDING AND THE RENOVATION, FURNISHING AND EQUIPPING OF NEBRASKA RESIDENCE HALL, INCLUDING RELATED INFRASTRUCTURE, LANDSCAPING, PARKING, AND OTHER REAL PROPERTY IMPROVEMENTS, (B) TO REFUND ON A CURRENT BASIS THE SERIES 1996 BONDS, ORIGINALLY ISSUED ON 10/16/96, (C) TO PAY THE COST OF CREDIT ENHANCEMENT FOR THE BONDS, AND (D), TO PAY CERTAIN COSTS OF ISSUANCE OF THE BONDS. DISTRICT OF COLUMBIA, EIN 53-6001131, CUSIP #25484JAG5, ISSUE DATE- 4/3/03, ISSUE PRICE- $37,000,000, DESCRIPTION OF PURPOSE- THE PROCEEDS OF THE BONDS WERE USED PRIMARILY TO FINANCE THE PORTION OF THE COSTS OF (A) CAPITAL IMPROVEMENTS TO BE LOCATED ON THE UNIVERSITY'S MAIN CAMPUS AT 4400 MASSACHUESETTES AVE, CONSISTING PRIMARILY OF THE CONTRUCTION, RENOVATION, FURNISHING AND EQUIPPING OF A NEW COMPREHENSIVE ARTS FACILITY NAMED THE KATZEN ARTS CENTER, AND (B), CAPITAL IMPROVEMENTS TO AN EXISTING FACILITY LOCATED AT 4200 WISCONSIN AVE, INCLUDING THE RENOVATION, FURNISHING AND EQUIPPING OF THE FACILITY TO ACCOMMODATE A NEW PERFORMING ARTS THEATRE NAMED THE GREENBERG THEATRE. SCHEDULE K, PART II, COLUMN A, LINE 1 PROCEEDS OF THE CURRENT REFUNDING ISSUE WERE $60,900,000. HOWEVER, THE FORM DEFINITION OF PROCEEDS EXCLUDES THOSE PROCEEDS TO RETIRE BONDS, AND THEREFORE, THIS LINE ITEM IS ZERO FOR 2009. SCHEDULE K, PART II, COLUMN C, LINE 3 PROCEEDS OF THE CURRENT REFUNDING ISSUE PLACED IN A REFUNDING ESCROW WERE $61,447,009.38, HOWEVER; THE FORM INSTRUCTIONS SAY TO ENTER THE AMOUT AS OF THE END OF THE 12-MONTH PERIOD, WHICH WAS ZERO IN 2009. SCHEDULE K, PART II, COLUMN B, LINE 5 ISSUE COSTS- $530,463. CREDIT ENHANCEMENT- $1,452,653.08 SCHEDULE K, PART II, COLUMN C, LINE 5 ISSUANCE COST- $573,460. CREDIT ENHANCEMENTS- $692,665 OFFICER, DIRECTOR, KEY EMPLOYEE RELATIONSHIPS FORM 990, PART VI, LINE 2 TRUSTEE ARTHUR ROTHKOPF WAS A SENIOR EMPLOYEE OF THE US CHAMBER OF COMMERCE DURING 2010 (RESIGNED DURING 2010) AND TRUSTEE THOMAS GOTTSCHALK SERVES AS ONE OF MORE THAN 100 BOARD OF DIRECTORS OF THE CHAMBERS. MR. GOTTSCHALK DID NOT PARTICIPATE IN THE SALARY APPROVAL FOR MR. ROTHKOPF. GRANTS TO INTERESTED PERSONS SCHEDULE L PART III AMERICAN UNIVERSITY PARTICIPATES IN A TUITION EXCHANGE PROGRAM WITH OTHER UNIVERSITIES. THE PROGRAM ALLOWS DEPENDENTS OF AMERICAN UNIVERSITY EMPLOYEES TO ATTEND MEMBER SCHOOLS AT A SIGNIFICANT DISCOUNT IN THE TUITION. DURING 2009, A DEPENDENT OF AN OFFICER ATTENDED A MEMBER SCHOOL UNDER THE PROGRAM. THE VALUE OF THE TUITION WAS $15,250. COMPENSATION FROM RELATED PARTY SCHEDULE J RICHARD DURAND RECEIVED COMPENSATION FROM A SUBSTANTIAL CONTRIBUTOR FOR SERVICES TO AMERICAN UNIVERSITY IN HIS CAPACITY AS DEAN OF THE KOGOD SCHOOL OF BUSINESS. WASHINGTON RESEARCH LIBRARY CONSORTIUM 901 COMMERCE DRIVE UPPER MARLBORO MD 20774 521559828 LIBRARY SRVCS DC 501(C)(3) 11A-I NA false false false false false false false false false false false true false false false false false false THE WASHINGTON RESEARCH LIBRARY CONSORTIUM L 660038