2011-07-15T09:04:53-05:00 2010-08-31 Tate and Tryon 2021 L Street NW Suite 400 Washington DC 20036 990 2009-09-01 530026940 AMERICAN SOCIETY OF ASSOCIATION EXECUTIVES AMER 2026262723 1575 I STREET NW WASHINGTON DC 20005 JOHN H GRAHAM IV 2026262723 2011-07-12 1 DEBORAH G KOSNETT 2022932200 2009 2016-02-24 21:20:13Z JOHN H GRAHAM IV 1575 I STREET NW WASHINGTON DC 20005 17098427 0 X www.asaecenter.org X 1957 DC The American Society of Association Executives (ASAE) is an individual membership organization of more than 20,000 association executives and industry partners representing more than 11,000 organizations. Its members manage leadingtrade associations, individual membership societies, and voluntary organizations across the United States and in 50 countries around the globe. Our members' organizationsrepresent 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. 24 13 166 1716 5463769 1377568 1188956 780021 13668661 12024480 128500 732603 2601201 2729654 17587318 16266758 0 0 10778330 10587471 0 0 6814460 5535018 17592790 16122489 -5472 144269 35420676 36173464 13843853 13270298 21576823 22903166 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 'ASSOCIATIONS NOW' AND NEWSLETTERS - 'ASSOCIATIONS NOW,' THE AWARD-WINNING MONTHLY MAGAZINE (CIRCULATION 20,000+), 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. PUBLIC POLICY AND ADVOCACY - ASAE'S "THE POWER OF A" 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.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, ELECTED OFFICIALS, 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 PROPEL AMERICA FORWARD--WITH INNOVATIVE PROJECTS IN SKILLS TRAINING AND DEVELOPMENT; ETHICAL, TECHNICAL OR PROFESSIONAL STANDARDS; ECONOMIC DEVELOPMENT; BUSINESS AND SOCIAL INNOVATION; INFORMATION AND KNOWLEDGE CREATION; PUBLIC EDUCATION AND INFORMATION; CIVIC AND COMMUNITY VOLUNTEER ACTIVITIES; AND CITIZENSHIP AND DEMOCRACY ENHANCEMENT.ESTABLISHED TO RECOGNIZE A DIVERSE COLLECTION OF ASSOCIATIONS WHOSE VOLUNTEER EFFORTS MIGHT OTHERWISE GO UNAPPRECIATED, THE ANNUAL SUMMIT AWARDS ENSURES THAT THESE ESTEEMED AWARDS ARE PRESENTED AT A TRULY CELEBRATED OCCASION BY BRINGING TOGETHER ASSOCIATION EXECUTIVES AND BUSINESS AND INDUSTRY LEADERS.ASAE'S FIVE-STAR WEEKEND ALSO SUPPORTS ASAE'S "THE POWER OF A" FUND. "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.FOR MORE INFORMATION, VISIT WWW.THEPOWEROFA.ORG. 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 20,000 ASSOCIATION EXECUTIVES AND INDUSTRY PARTNERS REPRESENTING MORE THAN 11,000 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. 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. ANNUAL MEETING & EXPO - ASAE'S ANNUAL MEETING & EXPOSITION IS THE PREMIER EVENT FOR ASSOCIATION EXECUTIVES. THE CONFERENCE ALLOWS ATTENDEES TO NETWORK WITH A VARIETY OF ASSOCIATION EXPERTS AND COLLEAGUES FROM AROUND THE WORLD AS WELL AS CONNECT WITH EXHIBITORS TO LEARN OF NEW AND INNOVATIVE OFFERINGS OF PRODUCTS AND SERVICES. 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 ARE UNDER-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 0 1 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 1 1 0 1 125 0 1 166 1 1 1 0 0 0 1 1 24 13 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 VELMA HART CAE 2.00 X X 0 0 0 robin lokerman 2.00 X X 0 0 0 joseph e rossmann 2.00 X X 0 0 0 karen L HACKETT FACHE 2.00 X 0 0 0 peter j o'neil cae 2.00 X X 0 0 0 j CLARKE PRICE CAE 2.00 X 0 0 0 paul pomerantz 2.00 X 0 0 0 LARRY D ALEXANDER 2.00 X 0 0 0 steven z berger 2.00 X 0 0 0 lucy cabrera 2.00 X 0 0 0 shannON CARTER MA CAE 2.00 X 0 0 0 jeff de cagna 2.00 X 0 0 0 loretta deluca 2.00 X 0 0 0 abe eshkenazi 2.00 X 0 0 0 paul gannon 2.00 X 0 0 0 CHARLES W GOULD 2.00 X 0 0 0 jack horne 2.00 X 0 0 0 agatha davis johnson 2.00 X 0 0 0 janice r lachance 2.00 X 0 0 0 randy l lindner 2.00 X 0 0 0 luc maene 2.00 X 0 0 0 lisa j mullings 2.00 X 0 0 0 susan neely 2.00 X 0 0 0 arlene PIETRANTON PHD 2.00 X 0 0 0 antoinette a samuel 2.00 X 0 0 0 JOHN F STURM 2.00 X 0 0 0 MARSHA L TURNER 2.00 X 0 0 0 John Graham IV 38.00 X 774179 0 233473 Heidi Robey 38.00 X 152569 8030 29445 James Clarke 40.00 X 278149 0 42858 Susan Robertson 20.00 X 336867 0 42993 Karl Ely 22.00 X 98721 80771 35819 greta kotler 4.00 X 18491 166433 31507 Reginald Henry 38.00 X 176588 0 36900 Robert Skelton 38.00 X 174234 0 46816 Ronald McNally 36.00 X 149787 16643 31091 dixie arthur 2.00 X 0 265595 36935 john lee IV 38.00 X 141760 0 17421 Monica Dignam 30.00 X 119810 39936 34063 AMY LEDOUX 6.00 X 20735 117499 18119 GREGORY MELIA 40.00 X 127147 0 17403 2569037 694907 654843 13 0 1 0 The Signature Group Inc 8229 Boone Blvd suite 820 vienna VA 22182 IT consulting & svcs 460655 Royle Printing 745 S Bird Street Sun Prairie WI 53590 printing services 448348 Results Directcom 5210 E Williams Circle suite 640 tucson AZ 85711 Web consulting & svcs 298033 SusQtech (formerly Susquehanna Technolog P O Box 825 winchester VA 22604 IT Consulting & Services 173719 PILLSBURY WINTHROP SHAW PITTMAN 2300 N St NW 600 WASHINGTON DC 20037 LEGAL SERVICES 160675 14 505494 274527 780021 Membership 900099 4840835 4840835 PERIODICALS/PUBLICATIO 541800 3970228 67350 3902878 MEETINGS, EXPOS, EDUCT 900099 2654187 2654187 aWARDS & PROF. CERTIFI 900099 401730 401730 MembER BENCHMARKING 900099 127500 127500 30000 30000 12024480 387486 113911 273575 1051221 1051221 1052887 1052887 1052887 892539 160348 366564 21447 345117 345117 366564 -21447 387261 505494 596915 -209654 -209654 795539 213307 582232 582232 WEB SITE LISTINGS 541800 187877 187877 MAILING LIST RENTALS 900099 65091 65091 252968 16266758 8673834 5463769 1349134 2387784 5486409 763255 1200292 749731 112833 65091 2176055 6395 1743523 290612 1076985 822699 18826 PROFESSIONAL FEES 1741184 CONTRACT SALARIES 659882 TAXES, UBIT, BOOK BASIS 579280 CONTRIBUTIONS 143571 MISCELLANEOUS 86870 -3988788 16122489 12206 -293640 3483121 3368835 1482251 945173 9163070 9710538 283521 219786 395377 361512 7641666 3275521 4970321 4366145 12759332 13921672 2868116 3570067 3361 3376 35420676 36173464 3483545 2712325 3237965 3084175 7122343 7473798 13843853 13270298 X 21131024 22799062 420799 79104 25000 25000 21576823 22903166 35420676 36173464 X 0 1 1 X 0 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED ASAE POLITICAL ACTION COMMITTEE 1575 EYE ST NW WASHINGTON DC 20005 521746813 0 0 1 4840835 713349 -1356902 -643553 718864 -1362417 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 0.00000 1.00000 0.00000 0 0 4284857 1120689 3164168 3300427 2154832 1145595 56382 56382 4366145 INVESTMENTS HELD TO FUND DEFERRED COMPENSATION 2199188 F Investment in ASI 1370879 F 3570067 DEFERRED COMPENSATION 2199188 DEFERRED INCOME TAXES 2500000 DEFERRED RENT 1533993 DEFERRED RENOVATION REBATE 1240617 7473798 16266758 16122489 144269 438418 743656 1182074 1326343 18222436 438418 2583692 3022110 15200326 1066432 1066432 16266758 16896093 810222 810222 16085871 36618 36618 16122489 Part V, Line 4: Description of Intended Use of Endowment Funds: The David and Lois Belden Leadership Award was endowed by a gift from the American Society of Mechanical Engineers upon David Belden's retirement. He has been a member of ASAE and the Council of Engineering and Scientific Societies (CESSE) since 1977, and served as CESSE President and was a member of the ASAE Foundation Board and the ASAE Board. The purpose of the award is to provide a scholarship each year to the Chief Staff Officer and the Chief Elected Officer of an engineering or scientific association to attend a leadership forum or symposium. CESSE will administer the award which will be given annually and will be funded through earnings on the endowment. The award will provide tuition for the Chief Staff Officer and Chief Elected Officer from an engineering or scientific society to attend either the CESSE Leadership Forum or one of the ASAE Symposia for Chief Staff/Chief Elected Officers. Part X: Description of Uncertain Tax Positions Under FIN 48: The Organization has adopted the accounting standard related to uncertain income tax positions. The standard requires that an uncertain income tax position must be more likely than not (i.e., greater than 50% likelihood of realization) before it is recognized in the consolidated financial statements. Furthermore, the standard requires that the amount recognized be the same as that which would be determined as a result of a review by tax authorities having all relevant information. During the year ended August 31, 2010, management performed a thorough analysis of all income tax positions and did not identify any that were deemed uncertain. At a minimum, the August 31, 2007 through 2010 tax years are open for examination by taxing authorities. Part XI, Line 8 - Other Adjustments: EQUITY IN SUBSIDIARIES: 1810088. TAX BASIS PARTNERSHIP REVENUE: -1066432. Part XII, Line 2d - Other Adjustments: Equity in subsidiary and limited partnership excess distribution: 1810088. Cost of Goods Sold: 213307. special event expense reported in part VII: 596915. PROFESSIONAL FEES INCLUDED IN GAINS/LOSSES ON INVESTMENTS: -36618. Part XII, Line 4b - Other Adjustments: passthrough rental and interest from partnership k-1: 1066432. Part XIII, Line 2d - Other Adjustments: Cost of Goods Sold: 213307. special event expense reported in part VII: 596915. Part XIII, Line 4b - Other Adjustments: PROFESSIONAL FEES INCLUDED IN GAINS/LOSSES ON INVESTMENTS: 36618. FIVE STAR WEEKEND 350005 150075 199930 15480 287944 SUMMIT AWARDS DINNER 542750 355419 187331 76854 216637 892755 505494 387261 15480 364798 216637 596915 -209654 X X X X 1 1 X X X X X 0 1 0 John Graham IV 565653 0 102182 0 106344 0 200310 0 38185 0 1012674 0 0 0 Heidi Robey 142486 7499 6526 344 3557 187 24794 1305 5084 268 182447 9603 0 0 James Clarke 263568 0 13615 0 966 0 29400 0 25539 0 333088 0 0 0 Susan Robertson 289239 0 40470 0 7158 0 37950 0 11877 0 386694 0 0 0 Karl Ely 95168 77864 3267 2673 286 234 12333 10091 12092 9893 123146 100755 0 0 greta kotler 17347 156131 883 7952 261 2350 2234 20104 1568 14108 22293 200645 0 0 Reginald Henry 167026 0 8565 0 997 0 21757 0 16789 0 215134 0 0 0 Robert Skelton 164190 0 8665 0 1379 0 27101 0 28680 0 230015 0 0 0 Ronald McNally 141718 15746 7227 803 842 94 18390 2043 13692 1521 181869 20207 0 0 dixie arthur 0 249346 0 12625 0 3624 0 29400 0 11633 0 306628 0 0 john lee IV 134720 0 6475 0 565 0 16221 0 2486 0 160467 0 0 0 Monica Dignam 115557 38519 2794 931 1459 486 14920 4974 15477 5159 150207 50069 0 0 AMY LEDOUX 19682 111533 969 5491 84 475 2466 13973 448 2542 23649 134014 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, Line 4a JOHN GRAHAM: SERP FUNDING, $178,561 LARRY ALEXANDER BOARD MEMBER AND PRES/CEO OF DETROIT METRO CVB, AN ASAE INDUSTRY PARTNER 225000 SPONSORSHIPS, ADVERTISING AND EXHIBIT REVENUE: $225,000 IN TOTAL TO ASAE AND THE CENTER FOR ASSOCIATION LEADERSHIP 0 PAUL GANNON BOARD MEMBER AND VP MARKETING OF TMA RESOURCES, AN ASAE INDUSTRY PARTNER 250000 SPONSORSHIPS, ADVERTISING AND EXHIBIT REVENUE: $250,000 IN TOTAL TO ASAE AND THE CENTER FOR ASSOCIATION LEADERSHIP 0 JACK HORNE BOARD MEMBER AND VP SALES FOR HYATT HOTELS AND RESORTS 133000 TOTAL OF $133,000 TO ASAE AND THE CENTER FOR ASSOCIATION LEADERSHIP, FOR DIVERSITY INITIATIVE FUNDING 0 THE CENTER FOR ASSOCIATION LEADERSHIP COMMON BOARD MEMBERS PLEASE SEE SCHEDULE R FOR ALL REPORTABLE TRANSACTIONS BETWEEN THE CENTER AND THE AMERICAN SOCIETY OF ASSOCIATION EXECUTIVES. 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., ITS TAXABLE SUBSIDIARY. THE EXECUTIVE COMMITTEE 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 location within the organization's online system SharePoint 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 Center, or ABSI, and refer the matter shall be referred 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 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 Center, or ABSI. -- Engaging in any outside business, professional or other activities that would directly or indirectly materially adversely affect ASAE, The Center, or ABSI. --Providing goods or services to ASAE, The Center, 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 Center, 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 Center, 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 Center, the Audit Committee or Center Board may determine that the individual should resign from the Center 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 Center, or ASI 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 Center, 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 Center, 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 Center, 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'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, 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 Center'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 Center'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 Center. The compensation philosophy should be viewed periodically to ensure that it continues to be aligned with ASAE's strategic direction and financial limits and continues to be both reasonable and competitive. CEO Compensation Practices The ASAE & The Center 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 in magnitude, complexity, and scope of responsibility, and they are representative of the various markets in which ASAE competes 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 the organization'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 Center 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 Center. ------------ 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'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 maintain and administer a compensation plan that accurately and fairly reflects each individual's responsibilities and performance. ASAE'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'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. form 990, part xi, line 2c the audit oversight process has remained unchanged from the prior year. THE AMERICAN SOCIETY OF ASSOCIATION EXECUTIVES (ASAE) AND THE CENTER FOR ASSOCIATION LEADERSHIP ARE SECTION 501(C) ORGANIZATIONS THAT SHARE BOARD MEMBERS. ALL CENTER BOARD MEMBERS ARE ALSO MEMBERS OF THE ASAE BOARD. PLEASE SEE SCHEDULES L AND R FOR ADDITIONAL INFORMATION REGARDING BUSINESS TRANSACTIONS BETWEEN THE TWO ENTITIES. 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