Form990
Click to see attachment
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Department of the TreasuryInternal Revenue Service
Return of Organization Exempt From Income Tax
Under section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except private foundations)
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OMB No. 1545-0047
2021
Open to Public Inspection
A For the 2021 calendar year, or tax year beginning 01-01-2021 , and ending 12-31-2021
BCheck if applicable:
CName of organization
AMERICAN ARBITRATION ASSOCIATION INC
 
 
Doing business as
 
 
Number and street (or P.O. box if mail is not delivered to street address)
120 BROADWAY FL 21
 
Room/suite
City or town, state or province, country, and ZIP or foreign postal code
NEW YORK, NY10271
D Employer identification number

13-0429745
E Telephone number

G Gross receipts $ 153,419,604
F Name and address of principal officer:
INDIA JOHNSON
120 BROADWAY FL 21
NEW YORK,NY10271
I
Tax-exempt status: (   ) LeftBullet (insert no.) or
J
Website:MediumBullet
WWW.ADR.ORG
H(a)
Is this a group return for
subordinates?
H(b)
Are all subordinates
included?
If "No," attach a list. See instructions.
H(c)
Group exemption number MediumBullet  
K Form of organization:  
L Year of formation: 1926
M State of legal domicile: NY
Part I
Summary
Activities & Governance 1 Briefly describe the organization’s mission or most significant activities: THE AMERICAN ARBITRATION ASSOCIATION ("AAA") IS DEDICATED TO EFFECTIVE, EFFICIENT AND ECONOMICAL METHODS OF DISPUTE RESOLUTION THROUGH EDUCATION, TECHNOLOGY AND SOLUTIONS-ORIENTED SERVICE. AS A NOT-FOR-PROFIT ORGANIZATION, OUR MISSION IS ONE OF SERVICE AND EDUCATION.WE ARE COMMITTED TO PROVIDING EXCEPTIONAL ARBITRATORS AND MEDIATORS, PROFICIENT CASE MANAGEMENT, DEDICATED PERSONNEL, ADVANCED EDUCATION AND TRAINING, AND INNOVATIVE PROCESS KNOWLEDGE TO MEET THE CONFLICT MANAGEMENT AND DISPUTE RESOLUTION NEEDS OF THE PUBLIC NOW AND IN THE FUTURE.THE CORPORATE PURPOSE OF THE AAA, AS DESCRIBED IN ITS BYLAWS, IS "FOR THE BENEFIT AND EDUCATION OF THE GENERAL PUBLIC AND INTERESTED PARTIES, TO STUDY, RESEARCH, PROMOTE, ESTABLISH AND ADMINISTER PROCEDURES FOR THE RESOLUTION OF DISPUTES OF ALL KINDS THROUGH THE USE OF ARBITRATION, MEDIATION, CONCILIATION, NEGOTIATION, DEMOCRATIC ELECTIONS AND OTHER VOLUNTARY PROCEDURES.
2 Check this box MediumBullet
3 Number of voting members of the governing body (Part VI, line 1a) ........ 3 15
4 Number of independent voting members of the governing body (Part VI, line 1b) ..... 4 14
5 Total number of individuals employed in calendar year 2021 (Part V, line 2a) ...... 5 716
6 Total number of volunteers (estimate if necessary) ............. 6 84
7a Total unrelated business revenue from Part VIII, column (C), line 12 ........ 7a 0
b Net unrelated business taxable income from Form 990-T, Part I, line 11 ......... 7b 0
Revenues Prior Year Current Year
8 Contributions and grants (Part VIII, line 1h) ......... 0 0
9 Program service revenue (Part VIII, line 2g) ......... 117,256,511 128,771,954
10 Investment income (Part VIII, column (A), lines 3, 4, and 7d ) .... 3,743,187 15,053,829
11 Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) 359,244 313,105
12 Total revenue—add lines 8 through 11 (must equal Part VIII, column (A), line 12) 121,358,942 144,138,888
Expenses; 13 Grants and similar amounts paid (Part IX, column (A), lines 1–3 )... 2,512,578 2,554,361
14 Benefits paid to or for members (Part IX, column (A), line 4)..... 0 0
15 Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10) 69,902,750 78,899,379
16a Professional fundraising fees (Part IX, column (A), line 11e) ..... 0 0
b Total fundraising expenses (Part IX, column (D), line 25) MediumBullet0    
17 Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e).... 37,247,820 37,715,886
18 Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) 109,663,148 119,169,626
19 Revenue less expenses. Subtract line 18 from line 12....... 11,695,794 24,969,262
Net Assets or Fund Balances; Beginning of Current Year End of Year
20 Total assets (Part X, line 16)............. 348,880,514 423,000,729
21 Total liabilities (Part X, line 26)............. 254,565,882 301,111,730
22 Net assets or fund balances. Subtract line 21 from line 20..... 94,314,632 121,888,999
Part II
Signature Block
Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it is true, correct, and complete. Declaration of preparer (other than officer) is based on all information of which preparer has any knowledge.
Sign Here
JumboBullet
Signature of officer Date
JumboBullet
Type or print name and title
Paid Preparer Use Only
Print/Type preparer's name
Preparer's signature
Date
PTIN
Firm's name MediumBullet

Firm's EIN MediumBullet
Firm's address MediumBullet



Phone no.
May the IRS discuss this return with the preparer shown above? (see instructions) ..........
For Paperwork Reduction Act Notice, see the separate instructions.
Cat. No. 11282Y Form 990 (2021)
Form 990 (2021)
Page 2
Part III
Statement of Program Service Accomplishments
Check if Schedule O contains a response or note to any line in this Part III..............
1
Briefly describe the organization’s mission: SEE SCHEDULE O.
2
Did the organization undertake any significant program services during the year which were not listed on
the prior Form 990 or 990-EZ? .....................
If "Yes," describe these new services on Schedule O.
3
Did the organization cease conducting, or make significant changes in how it conducts, any program
services? ...........................
If "Yes," describe these changes on Schedule O.
4
Describe the organization’s program service accomplishments for each of its three largest program services, as measured by expenses. Section 501(c)(3) and 501(c)(4) organizations are required to report the amount of grants and allocations to others, the total expenses, and revenue, if any, for each program service reported.
4a (Code:   ) (Expenses $ 109,271,153 including grants of $   ) (Revenue $ 127,705,316 )
CASE ADMINISTRATION:THE AAA ADMINISTERS TENS OF THOUSANDS OF ARBITRATIONS, MEDIATIONS AND OTHER FORMS OF DISPUTE RESOLUTION IN A GIVEN YEAR. THE AAA'S ADMINISTRATIVE ROLE IN THESE PROCESSES IS TO PROVIDE A FORUM WHERE DISPUTES CAN BE RESOLVED, TO PROVIDE ROSTERS OF QUALIFIED ARBITRATORS, MEDIATORS AND OTHER DISPUTE RESOLUTION PROFESSIONALS, AND TO APPLY OUR RULES THAT GOVERN THE CONDUCT OF THOSE PROCEEDINGS. OUR ADMINISTRATIVE SERVICES ARE ALSO PROVIDED WITH A VIEW TO OUR CORE VALUES OF INTEGRITY AND SERVICE. THE RESULT OF THE AAA'S COLLECTIVE PROGRAMS HAS RESULTED IN A LESSENING OF THE BURDENS OF OUR COURTS AND GOVERNMENT.
4b (Code:   ) (Expenses $ 3,430,889 including grants of $ 2,554,361 ) (Revenue $ 544,311 )
EDUCATION AND PUBLICATIONS: THE AAA EDUCATION SERVICES DIVISION PROVIDES COMPREHENSIVE EDUCATION AND TRAINING FOR THE AMERICAN ARBITRATION ASSOCIATION. ITS FOCUS IS THE PROVISION OF EDUCATION AND TRAINING PROGRAMS BOTH IN DOMESTIC AND INTERNATIONAL SETTINGS AS WELL AS ONLINE FORMATS TO ARBITRATORS AND MEDIATORS SERVING THE AAA AND ICDR AS WELL AS ADVOCATES, BUSINESS PROFESSIONALS, AND THE GENERAL PUBLIC. AAA EDUCATION SERVICES DESIGNS AND DELIVERS PROGRAMS FOR CORPORATIONS, LAW FIRMS, COURT SYSTEMS, UNIONS AND GOVERNMENT AGENCIES. THE GOAL OF THESE PROGRAMS IS TO EDUCATE AND ENCOURAGE THE RESPONSIBLE USE OF ALTERNATIVE DISPUTE RESOLUTION PROCESSES.
4c (Code:   ) (Expenses $   including grants of $   ) (Revenue $   )
4d Other program services (Describe in Schedule O.)
(Expenses $   including grants of $   ) (Revenue $   )
4e Total program service expensesMediumBullet112,702,042
Form 990 (2021)
Form 990 (2021)
Page 3
Part IV
Checklist of Required Schedules
Yes
No
1
Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If "Yes," complete Schedule AClick to see attachment.....................
1
Yes
 
2
Is the organization required to complete Schedule B, Schedule of Contributors? See instructions. ...
2
 
No
3
Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition to candidates for public office? If "Yes," complete Schedule C, Part IClick to see attachment.............
3
 
No
4
Section 501(c)(3) organizations. Did the organization engage in lobbying activities, or have a section 501(h) election in effect during the tax year? If "Yes," complete Schedule C, Part IIClick to see attachment.........
4
Yes
 
5
Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues, assessments, or similar amounts as defined in Rev. Proc. 98-19? If "Yes," complete Schedule C, Part IIIClick to see attachment..
5
 
No
6
Did the organization maintain any donor advised funds or any similar funds or accounts for which donors have the right to provide advice on the distribution or investment of amounts in such funds or accounts? If "Yes," complete Schedule D, Part IClick to see attachment.........................
6
 
No
7
Did the organization receive or hold a conservation easement, including easements to preserve open space,
the environment, historic land areas, or historic structures? If "Yes," complete Schedule D, Part IIClick to see attachment....
7
 
No
8
Did the organization maintain collections of works of art, historical treasures, or other similar assets? If "Yes,"
complete Schedule D, Part IIIClick to see attachment..............
8
 
No
9
Did the organization report an amount in Part X, line 21 for escrow or custodial account liability; serve as a custodian for amounts not listed in Part X; or provide credit counseling, debt management, credit repair, or debt negotiation services? If "Yes," complete Schedule D, Part IVClick to see attachment..............
9
Yes
 
10
Did the organization, directly or through a related organization, hold assets in temporarily restricted endowments, permanent endowments, or quasi endowments? If "Yes," complete Schedule D, Part V......
10
 
No
11
If the organization’s answer to any of the following questions is "Yes," then complete Schedule D, Parts VI, VII, VIII, IX, or X, as applicable.
a
Did the organization report an amount for land, buildings, and equipment in Part X, line 10? If "Yes," complete
Schedule D, Part VI. Click to see attachment...................
11a
Yes
 
b
Did the organization report an amount for investments—other securities in Part X, line 12 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIIClick to see attachment.......
11b
 
No
c
Did the organization report an amount for investments—program related in Part X, line 13 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIIIClick to see attachment.......
11c
 
No
d
Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part IXClick to see attachment............
11d
 
No
e
Did the organization report an amount for other liabilities in Part X, line 25? If "Yes," complete Schedule D, Part XClick to see attachment
11e
Yes
 
f
Did the organization’s separate or consolidated financial statements for the tax year include a footnote that addresses the organization’s liability for uncertain tax positions under FIN 48 (ASC 740)? If "Yes," complete Schedule D, Part XClick to see attachment
11f
Yes
 
12a
Did the organization obtain separate, independent audited financial statements for the tax year? If "Yes," complete
Schedule D, Parts XI and XIIClick to see attachment......................
12a
 
No
b
Was the organization included in consolidated, independent audited financial statements for the tax year? If "Yes," and if the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optional Click to see attachment
12b
Yes
 
13
Is the organization a school described in section 170(b)(1)(A)(ii)? If "Yes," complete Schedule E
13
 
No
14a
Did the organization maintain an office, employees, or agents outside of the United States? .....
14a
Yes
 
b
Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking, fundraising, business, investment, and program service activities outside the United States, or aggregate foreign investments valued at $100,000 or more? If "Yes," complete Schedule F, Parts I and IV.........Click to see attachment
14b
Yes
 
15
Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or other assistance to or for any foreign organization? If “Yes,” complete Schedule F, Parts II and IV.....Click to see attachment
15
 
No
16
Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or other assistance to or for foreign individuals? If “Yes,” complete Schedule F, Parts III and IV...Click to see attachment
16
 
No
17
Did the organization report a total of more than $15,000 of expenses for professional fundraising services on Part IX, column (A), lines 6 and 11e? If "Yes," complete Schedule G, Part I. See instructions. ....
17
 
No
18
Did the organization report more than $15,000 total of fundraising event gross income and contributions on Part VIII, lines 1c and 8a? If "Yes," complete Schedule G, Part II............
18
 
No
19
Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a? If "Yes," complete Schedule G, Part III...................
19
 
No
20a
Did the organization operate one or more hospital facilities? If "Yes," complete Schedule H....
20a
 
No
b
If "Yes" to line 20a, did the organization attach a copy of its audited financial statements to this return?
20b
 
 
21
Did the organization report more than $5,000 of grants or other assistance to any domestic organization or domestic government on Part IX, column (A), line 1? If “Yes,” complete Schedule I, Parts I and II.....Click to see attachment
21
Yes
 
Form 990 (2021)
Form 990 (2021)
Page 4
Part IV
Checklist of Required Schedules (continued)
Yes
No
22
Did the organization report more than $5,000 of grants or other assistance to or for domestic individuals on Part IX, column (A), line 2? If “Yes,” complete Schedule I, Parts I and III........Click to see attachment
22
 
No
23
Did the organization answer "Yes" to Part VII, Section A, line 3, 4, or 5, about compensation of the organization’s current and former officers, directors, trustees, key employees, and highest compensated employees? If "Yes," complete Schedule J....................... Click to see attachment
23
Yes
 
24a
Did the organization have a tax-exempt bond issue with an outstanding principal amount of more than $100,000 as of the last day of the year, that was issued after December 31, 2002? If “Yes,” answer lines 24b through 24d and complete Schedule K. If “No,” go to line 25a...............
24a
 
No
b
Did the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception?...
24b
 
 
c
Did the organization maintain an escrow account other than a refunding escrow at any time during the year
to defease any tax-exempt bonds? ...............
24c
 
 
d
Did the organization act as an "on behalf of" issuer for bonds outstanding at any time during the year?...
24d
 
 
25a
Section 501(c)(3), 501(c)(4), and 501(c)(29) organizations. Did the organization engage in an excess benefit transaction with a disqualified person during the year? If "Yes," complete Schedule L, Part I ....
25a
 
No
b
Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior year, and that the transaction has not been reported on any of the organization’s prior Forms 990 or 990-EZ? If "Yes," complete Schedule L, Part I.......................
25b
 
No
26
Did the organization report any amount on Part X, line 5 or 22 for receivables from or payables to any current or former officer, director, trustee, key employee, creator or founder, substantial contributor, or 35% controlled entity or family member of any of these persons? If "Yes," complete Schedule L, Part II...........
26
 
No
27
Did the organization provide a grant or other assistance to any current or former officer, director, trustee, key employee, creator or founder, substantial contributor, or employee thereof, a grant selection committee member, or to a 35% controlled entity (including an employee thereof) or family member of any of these persons?
If "Yes," complete
Schedule L, Part III.........................
27
 
No
28
Was the organization a party to a business transaction with one of the following parties (see the Schedule L, Part IV instructions for applicable filing thresholds, conditions, and exceptions):
a
A current or former officer, director, trustee, key employee, creator or founder, or substantial contributor? If "Yes," complete Schedule L, Part IV......................
28a
 
No
b
A family member of any individual described in line 28a? If "Yes," complete Schedule L, Part IV.....
28b
 
No
c
A 35% controlled entity of one or more individuals and/or organizations described in line 28a or 28b? If "Yes," complete Schedule L, Part IV.....................
28c
 
No
29
Did the organization receive more than $25,000 in non-cash contributions? If "Yes," complete Schedule M..
29
 
No
30
Did the organization receive contributions of art, historical treasures, or other similar assets, or qualified conservation contributions? If "Yes," complete Schedule M .................
30
 
No
31
Did the organization liquidate, terminate, or dissolve and cease operations? If "Yes," complete Schedule N, Part I
31
 
No
32
Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If "Yes," complete Schedule N, Part II........................
32
 
No
33
Did the organization own 100% of an entity disregarded as separate from the organization under Regulations sections 301.7701-2 and 301.7701-3? If "Yes," complete Schedule R, Part I............Click to see attachment
33
Yes
 
34
Was the organization related to any tax-exempt or taxable entity? If "Yes," complete Schedule R, Part II, III, or IV, and Part V, line 1.........................Click to see attachment
34
Yes
 
35a
Did the organization have a controlled entity within the meaning of section 512(b)(13)?
35a
Yes
 
b
If ‘Yes’ to line 35a, did the organization receive any payment from or engage in any transaction with a controlled entity within the meaning of section 512(b)(13)? If "Yes," complete Schedule R, Part V, line 2 ...Click to see attachment
35b
 
No
36
Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitable related organization? If "Yes," complete Schedule R, Part V, line 2............. Click to see attachment
36
 
No
37
Did the organization conduct more than 5% of its activities through an entity that is not a related organization and that is treated as a partnership for federal income tax purposes? If "Yes," complete Schedule R, Part VIClick to see attachment
37
 
No
38
Did the organization complete Schedule O and provide explanations on Schedule O for Part VI, lines 11b and 19? Note. All Form 990 filers are required to complete Schedule O. ............
38
Yes
 
Part V
Statements Regarding Other IRS Filings and Tax Compliance
Check if Schedule O contains a response or note to any line in this Part V...........
Yes
No
1a
Enter the number reported in box 3 of Form 1096. Enter -0- if not applicable ..
1a
3,857
b
Enter the number of Forms W-2G included on line 1a. Enter -0- if not applicable .
1b
0
c
Did the organization comply with backup withholding rules for reportable payments to vendors and reportable gaming (gambling) winnings to prize winners? ..................
1c
Yes
 
Form 990 (2021)
Form 990 (2021)
Page 5
Part V
Statements Regarding Other IRS Filings and Tax Compliance (continued)
2a
Enter the number of employees reported on Form W-3, Transmittal of Wage and
Tax Statements, filed for the calendar year ending with or within the year covered by this return ..................
2a
716
b
If at least one is reported on line 2a, did the organization file all required federal employment tax returns?
Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-file. See instructions.
2b
Yes
 
3a
Did the organization have unrelated business gross income of $1,000 or more during the year?...
3a
 
No
b
If “Yes,” has it filed a Form 990-T for this year? If “No” to line 3b, provide an explanation in Schedule O...
3b
 
 
4a
At any time during the calendar year, did the organization have an interest in, or a signature or other authority over, a financial account in a foreign country (such as a bank account, securities account, or other financial account)? ..
4a
 
No
b
If "Yes," enter the name of the foreign country: MediumBullet
See instructions for filing requirements for FinCEN Form 114, Report of Foreign Bank and Financial Accounts (FBAR).
5a
Was the organization a party to a prohibited tax shelter transaction at any time during the tax year? ..
5a
 
No
b
Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction?
5b
 
No
c
If "Yes," to line 5a or 5b, did the organization file Form 8886-T? ............
5c
 
 
6a
Does the organization have annual gross receipts that are normally greater than $100,000, and did the organization solicit any contributions that were not tax deductible as charitable contributions? ...
6a
 
No
b
If "Yes," did the organization include with every solicitation an express statement that such contributions or gifts were not tax deductible? ......................
6b
 
 
7
Organizations that may receive deductible contributions under section 170(c).
a
Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods and services provided to the payor? ....................
7a
 
No
b
If "Yes," did the organization notify the donor of the value of the goods or services provided? .....
7b
 
 
c
Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it was required to file Form 8282? .........................
7c
 
No
d
If "Yes," indicate the number of Forms 8282 filed during the year ....
7d
 
e
Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract?
7e
 
No
f
Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? ..
7f
 
No
g
If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required? ......................
7g
 
 
h
If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C? ..........................
7h
 
 
8
Sponsoring organizations maintaining donor advised funds. Did a donor advised fund maintained by the sponsoring organization have excess business holdings at any time during the year? ........
8
 
 
9
Sponsoring organizations maintaining donor advised funds.
a
Did the sponsoring organization make any taxable distributions under section 4966?........
9a
 
 
b
Did the sponsoring organization make a distribution to a donor, donor advisor, or related person?...
9b
 
 
10
Section 501(c)(7) organizations. Enter:
a
Initiation fees and capital contributions included on Part VIII, line 12 ...
10a
 
b
Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities
10b
 
11
Section 501(c)(12) organizations. Enter:
a
Gross income from members or shareholders .........
11a
 
b
Gross income from other sources. (Do not net amounts due or paid to other sources against amounts due or received from them.) ..........
11b
 
12a
Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041?
12a
 
 
b
If "Yes," enter the amount of tax-exempt interest received or accrued during the year.
12b
 
13
Section 501(c)(29) qualified nonprofit health insurance issuers.
a
Is the organization licensed to issue qualified health plans in more than one state? .........
Note. See the instructions for additional information the organization must report on Schedule O.
13a
 
 
b
Enter the amount of reserves the organization is required to maintain by the states in which the organization is licensed to issue qualified health plans ....
13b
 
c
Enter the amount of reserves on hand ............
13c
 
14a
Did the organization receive any payments for indoor tanning services during the tax year?.....
14a
 
No
b
If "Yes," has it filed a Form 720 to report these payments? If "No," provide an explanation in Schedule O..
14b
 
 
15
Is the organization subject to the section 4960 tax on payment(s) of more than $1,000,000 in remuneration or excess parachute payment(s) during the year? ....................
If "Yes," see the instructions and file Form 4720, Schedule N.
15
 
No
16
Is the organization an educational institution subject to the section 4968 excise tax on net investment income? ..
If "Yes," complete Form 4720, Schedule O.
16
 
No
17
Section 501(c)(21) organizations. Did the trust, any disqualified person, or mine operator engage in any activities that would result in the imposition of an excise tax under section 4951, 4952, or 4953? ..
If "Yes," complete Form 6069.
17
 
 
Form 990 (2021)
Form 990 (2021)
Page 6
Part VI
Governance, Management, and Disclosure. For each "Yes" response to lines 2 through 7b below, and for a "No" response to lines 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O. See instructions.
Check if Schedule O contains a response or note to any line in this Part VI..............
Section A. Governing Body and Management
Yes
No
1a
Enter the number of voting members of the governing body at the end of the tax year
1a
15
If there are material differences in voting rights among members of the governing body, or if the governing body delegated broad authority to an executive committee or similar committee, explain in Schedule O.
b
Enter the number of voting members included in line 1a, above, who are independent
1b
14
2
Did any officer, director, trustee, or key employee have a family relationship or a business relationship with any other officer, director, trustee, or key employee? .................
2
 
No
3
Did the organization delegate control over management duties customarily performed by or under the direct supervision of officers, directors or trustees, or key employees to a management company or other person? .
3
 
No
4
Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? .
4
 
No
5
Did the organization become aware during the year of a significant diversion of the organization’s assets? .
5
 
No
6
Did the organization have members or stockholders? ................
6
Yes
 
7a
Did the organization have members, stockholders, or other persons who had the power to elect or appoint one or more members of the governing body? ....................
7a
Yes
 
b
Are any governance decisions of the organization reserved to (or subject to approval by) members, stockholders, or persons other than the governing body? ...................
7b
 
No
8
Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:
a
The governing body? .......................
8a
Yes
 
b
Each committee with authority to act on behalf of the governing body? ............
8b
Yes
 
9
Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached at the organization’s mailing address? If "Yes," provide the names and addresses in Schedule O.......
9
 
No
Section B. Policies (This Section B requests information about policies not required by the Internal Revenue Code.)
Yes
No
10a
Did the organization have local chapters, branches, or affiliates? ............
10a
 
No
b
If "Yes," did the organization have written policies and procedures governing the activities of such chapters, affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes?
10b
 
 
11a
Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form? ............................
11a
Yes
 
b
Describe on Schedule O the process, if any, used by the organization to review this Form 990. .....
12a
Did the organization have a written conflict of interest policy? If "No," go to line 13.......
12a
Yes
 
b
Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts? ..........................
12b
Yes
 
c
Did the organization regularly and consistently monitor and enforce compliance with the policy? If "Yes," describe on Schedule O how this was done...................
12c
Yes
 
13
Did the organization have a written whistleblower policy? ...............
13
Yes
 
14
Did the organization have a written document retention and destruction policy? .........
14
Yes
 
15
Did the process for determining compensation of the following persons include a review and approval by independent persons, comparability data, and contemporaneous substantiation of the deliberation and decision?
a
The organization’s CEO, Executive Director, or top management official ...........
15a
Yes
 
b
Other officers or key employees of the organization ................
15b
Yes
 
If "Yes" to line 15a or 15b, describe the process on Schedule O. See instructions.
16a
Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangement with a taxable entity during the year? ......................
16a
 
No
b
If "Yes," did the organization follow a written policy or procedure requiring the organization to evaluate its participation in joint venture arrangements under applicable federal tax law, and take steps to safeguard the organization’s exempt status with respect to such arrangements? ............
16b
 
 
Section C. Disclosure
17
List the states with which a copy of this Form 990 is required to be filedMediumBullet
CA , NY , NJ , OR , PA
18
Section 6104 requires an organization to make its Form 1023 (1024 or 1024-A, if applicable), 990, and 990-T (section 501(c)(3)s only) available for public inspection. Indicate how you made these available. Check all that apply.
19
Describe in Schedule O whether (and if so, how) the organization made its governing documents, conflict of interest policy, and financial statements available to the public during the tax year.
20
State the name, address, and telephone number of the person who possesses the organization's books and records:
MediumBulletFRANCESCO ROSSI SVP CFO & TREAS120 BROADWAY FLOOR 21   NEW YORK,NY10271 (212) 716-5810
Form 990 (2021)
Form 990 (2021)
Page 7
Part VII
Compensation of Officers, Directors,Trustees, Key Employees, Highest Compensated Employees, and Independent Contractors
Check if Schedule O contains a response or note to any line in this Part VII..............
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees
1a Complete this table for all persons required to be listed. Report compensation for the calendar year ending with or within the organization’s tax year.
RoundBullet List all of the organization’s current officers, directors, trustees (whether individuals or organizations), regardless of amount
of compensation. Enter -0- in columns (D), (E), and (F) if no compensation was paid.

RoundBullet List all of the organization’s current key employees, if any. See the instructions for definition of "key employee."
RoundBullet List the organization’s five current highest compensated employees (other than an officer, director, trustee or key employee)
who received reportable compensation (box 5 of Form W-2, Form 1099-MISC, and/or box 1 of Form 1099-NEC) of more than $100,000 from the
organization and any related organizations.

RoundBullet List all of the organization’s former officers, key employees, or highest compensated employees who received more than $100,000
of reportable compensation from the organization and any related organizations.

RoundBullet List all of the organization’s former directors or trustees that received, in the capacity as a former director or trustee of the
organization, more than $10,000 of reportable compensation from the organization and any related organizations.

See the instructions for the order in which to list the persons above.
Check this box if neither the organization nor any related organization compensated any current officer, director, or trustee.
(A)
Name and title 		(B)
Average hours per week (list any hours for related organizations below dotted line) 		(C)
Position (do not check more than one box, unless person is both an officer and a director/trustee) 		(D)
Reportable compensation from the organization (W-2/1099-MISC/1099-NEC) 		(E)
Reportable compensation from related organizations (W-2/1099-MISC/1099-NEC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(1) BARBARA MCGIVERN......................................................................
DIRECTOR
 2.50
.................
  		X           0 0 0
(2) DAVID L EVANS ESQ......................................................................
DIRECTOR
 2.50
.................
  		X           0 0 0
(3) DENIS J HAUPTLY......................................................................
DIRECTOR
 2.50
.................
  		X           0 0 0
(4) EDNA SUSSMAN ESQ......................................................................
DIRECTOR (OUTGOING)
 1.00
.................
2.00 		X           0 0 0
(5) FRANK RUSSO......................................................................
DIRECTOR
 2.50
.................
  		X           0 0 0
(6) HON WILLIAM G BASSLER......................................................................
DIRECTOR
 1.00
.................
  		X           0 0 0
(7) INDIA JOHNSON......................................................................
PRESIDENT AND CEO
 50.00
.................
3.00 		X   X       1,041,152 0 375,939
(8) J MICHAEL KIRKLAND......................................................................
DIRECTOR
 2.50
.................
2.00 		X           0 0 0
(9) KAREN P LAYNG......................................................................
DIRECTOR
 2.50
.................
2.00 		X           0 0 0
(10) KIMBERLY WIEHL......................................................................
DIRECTOR
 2.50
.................
  		X           0 0 0
(11) MARK H DUESENBERG......................................................................
DIRECTOR
 1.00
.................
  		X           0 0 0
(12) MARTIN F SCHEINMAN ESQ......................................................................
DIRECTOR
 1.00
.................
  		X           0 0 0
(13) MELINDA REID HATTON......................................................................
DIRECTOR
 1.00
.................
2.00 		X           0 0 0
(14) PROFESSOR HAROLD HONGJU KOH......................................................................
DIRECTOR (OUTGOING)
 1.00
.................
  		X           0 0 0
(15) RICHARD A ANDERSON......................................................................
DIRECTOR
 2.50
.................
  		X           0 0 0
(16) STEVEN ERRICK......................................................................
DIRECTOR
 2.50
.................
  		X           0 0 0
(17) TERESA E MCCASLIN......................................................................
CHAIRPERSON OF THE COUNCIL
 2.50
.................
  		X   X       0 0 0
Form 990 (2021)
Form 990 (2021)
Page 8
Part VII
Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued)
(A)
Name and title 		(B)
Average hours per week (list any hours for related organizations below dotted line) 		(C)
Position (do not check more than one box, unless person is both an officer and a director/trustee) 		(D)
Reportable compensation from the organization (W-2/1099-MISC/1099-NEC) 		(E)
Reportable compensation from related organizations (W-2/1099-MISC/1099-NEC) 		(F)
Estimated amount of other compensation from the organization and related organizations
Individual Trustee or Director; Institutional Trustee; OfficerInd; Key Employee; Highest compensated employee; FormerOfcrDirectorTrusteeInd;
(18) WOLF VON KUMBERG........................................................................
DIRECTOR (OUTGOING)
 1.00
.......................   		X           0 0 0
(19) ERIC P TUCHMANN........................................................................
GEN COUN, CORP SEC, & SVP
 50.00
.......................2.00 		    X       601,819 0 251,536
(20) FRANCESCO ROSSI........................................................................
CFO, TREASURER & SENIOR VP
 50.00
.......................3.00 		    X       686,116 0 281,487
(21) CHRISTINE L NEWHALL........................................................................
SENIOR VICE PRESIDENT
 50.00
.......................   		      X     474,776 0 166,045
(22) DIANA N DIDIA........................................................................
SENIOR VICE PRESIDENT
 50.00
.......................   		      X     517,204 0 127,817
(23) DWIGHT D JAMES........................................................................
SENIOR VICE PRESIDENT
 50.00
.......................   		      X     457,373 0 146,188
(24) ERIC DILL........................................................................
SENIOR VICE PRESIDENT
 50.00
.......................   		      X     439,764 0 152,246
(25) HAROLD COLEMAN JR........................................................................
SENIOR VICE PRESIDENT
 50.00
.......................   		      X     392,647 0 136,914
(26) ROBERT MATLIN........................................................................
SENIOR VICE PRESIDENT
 50.00
.......................   		      X     476,492 0 156,607
(27) INTERNA KHUTORSKY........................................................................
VICE PRESIDENT
 50.00
.......................   		        X   270,386 0 91,711
(28) KELLY WEISBROD........................................................................
VICE PRESIDENT & CONTROLLE
 50.00
.......................3.00 		        X   280,841 0 57,663
(29) MAUREEN KURDZIEL........................................................................
VICE PRESIDENT
 50.00
.......................   		        X   367,113 0 97,119
(30) MICHAEL C CLARK........................................................................
VICE PRESIDENT
 50.00
.......................   		        X   279,963 0 37,924
(31) SASHA CARBONE........................................................................
VICE PRESIDENT
 50.00
.......................   		        X   356,276 0 142,860
1b Sub-Total................MediumBullet
c Total from continuation sheets to Part VII, Section A....MediumBullet
d Total (add lines 1b and 1c)...........MediumBullet 6,641,922 0 2,222,056
2
Total number of individuals (including but not limited to those listed above) who received more than $100,000 of reportable compensation from the organization MediumBullet141
Yes
No
3
Did the organization list any former officer, director or trustee, key employee, or highest compensated employee on line 1a? If "Yes," complete Schedule J for such individual ..............
3
 
No
4
For any individual listed on line 1a, is the sum of reportable compensation and other compensation from the organization and related organizations greater than $150,000? If "Yes," complete Schedule J for such
individual...........................
4
Yes
 
5
Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individual for services rendered to the organization? If "Yes," complete Schedule J for such person ........
5
 
No
Section B. Independent Contractors
1
Complete this table for your five highest compensated independent contractors that received more than $100,000 of compensation from the organization. Report compensation for the calendar year ending with or within the organization’s tax year.
(A)
Name and business address 		(B)
Description of services 		(C)
Compensation
ZENSAR TECHNOLOGIES INC

120 WOOD AVE S
ISELIN,NJ08830 		IT SUPPORT & DEVELOPMENT 3,324,428
BIG IDEA

6 MAIDEN LANE SUITE 925
OAK BROOK,IL60523 		MARKETING SERVICES 2,288,322
GRANT THORNTON LLP

33562 TREASURY CENTER
CHICAGO,IL606943500 		INTERNAL AUDIT & OTHER SERVICES 459,744
SCHNADER HARRISON SEGAL & LEWIS LLP

1600 MARKET STREET SUITE 3600
PHILADELPHIA,PA19103 		LEGAL SERVICES 327,221
COHN REZNICK LLP

1301 AVENUE OF THE AMERICAS SEVENTH
NEW YORK,NY10019 		AUDIT, CONSULTING, & TAX SERVICES 224,336
2
Total number of independent contractors (including but not limited to those listed above) who received more than $100,000 of compensation from the organization MediumBullet69
Form 990 (2021)
Form 990 (2021)
Page 9
Part VIII
Statement of Revenue
Check if Schedule O contains a response or note to any line in this Part VIII.............
(A)
Total revenue 		(B)
Related or
exempt
function
revenue 		(C)
Unrelated
business
revenue 		(D)
Revenue
excluded from
tax under sections
512 - 514
Contributions, Gifts, Grants, and OtherAmt Similar Amounts 1a Federated campaigns..1a  
b Membership dues..1b  
c Fundraising events..1c  
d Related organizations1d  
e Government grants (contributions)1e  
f All other contributions, gifts, grants, and similar amounts not included above1f  
g Noncash contributions included in lines 1a - 1f:$ 1g  
h Total. Add lines 1a-1f.......MediumBullet  
Program Service RevenueAmt Business Code
2a DISPUTE RESOLUTION REV. 561000 127,705,316 127,705,316    
b SEMINAR REVENUE 611600 586,038 586,038    
c PUBLICATION REVENUE 611600 355,600 355,600    
d OTHER EDUCATION REVENUE 611600 125,000 125,000    
e
f All other program service revenue.        
g Total. Add lines 2a–2f .....MediumBullet 128,771,954
OtherAmtRevenueAmt 3 Investment income (including dividends, interest, and othersimilar amounts) ......MediumBullet 8,788,900     8,788,900
4 Income from investment of tax-exempt bond proceedsMediumBullet        
5 Royalties...........MediumBullet 313,105     313,105
(ii) Personal (i) Real
6a Gross rents     6a
b Less: rental expenses     6b
c Rental income or (loss)     6c
d Net rental income or (loss).......MediumBullet        
(ii) Other (i) Securities
7a Gross amount from sales of assets other than inventory   15,545,645 7a
b Less: cost or other basis and sales expenses 522,327 8,758,389 7b
c Gain or (loss) -522,327 6,787,256 7c
d Net gain or (loss).........MediumBullet 6,264,929 -522,327   6,787,256
8a Gross income from fundraising events (not including $   of contributions reported on line 1c). See Part IV, line 18 ....
8a  
b Less: direct expenses ... 8b  
c Net income or (loss) from fundraising events..MediumBullet      
9a Gross income from gaming activities.
See Part IV, line 19 ...
9a  
b Less: direct expenses ... 9b  
c Net income or (loss) from gaming activities..MediumBullet        
10a Gross sales of inventory, less
returns and allowances ..
10a  
b Less: cost of goods sold .. 10b  
c Net income or (loss) from sales of inventory..MediumBullet        
Business Code Miscellaneous Revenue
11a            
b            
c            
d All other revenue ....        
e Total. Add lines 11a–11d ...... MediumBullet  
12 Total revenue. See instructions.....MediumBullet 144,138,888 128,249,627 0 15,889,261
Form 990 (2021)
Form 990 (2021)
Page 10
Part IX
Statement of Functional Expenses
Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A).Check if Schedule O contains a response or note to any line in this Part IX..............
Do not include amounts reported on lines 6b,
7b, 8b, 9b, and 10b of Part VIII. 		(A)
Total expenses 		(B)
Program service expenses 		(C)
Management and general expenses 		(D)
Fundraising
expenses
1 Grants and other assistance to domestic organizations and domestic governments. See Part IV, line 21 .... 2,554,361 2,554,361
2 Grants and other assistance to domestic individuals. See Part IV, line 22 ...........    
3 Grants and other assistance to foreign organizations, foreign governments, and foreign individuals. See Part IV, lines 15 and 16. .............    
4 Benefits paid to or for members .......    
5 Compensation of current officers, directors, trustees, and key employees ........... 6,882,122 4,981,699 1,900,423  
6 Compensation not included above, to disqualified persons (as defined under section 4958(f)(1)) and persons described in section 4958(c)(3)(B) .........        
7 Other salaries and wages........ 54,363,406 52,187,759 2,175,647  
8 Pension plan accruals and contributions (include section 401(k) and 403(b) employer contributions) .... 2,821,522 2,718,903 102,619  
9 Other employee benefits ....... 10,294,996 10,008,376 286,620  
10 Payroll taxes ........... 4,537,333 4,374,704 162,629  
11 Fees for services (non-employees):        
a Management ...... 5,758,212 5,254,347 503,865  
b Legal ......... 1,051,844 905,442 146,402  
c Accounting ........... 181,287 158,096 23,191  
d Lobbying ...........        
e Professional fundraising services. See Part IV, line 17    
f Investment management fees ...... 48,000   48,000  
g Other (If line 11g amount exceeds 10% of line 25, column (A) amount, list line 11g expenses on Schedule O)        
12 Advertising and promotion .... 2,272,942 2,268,342 4,600  
13 Office expenses ....... 6,605,805 6,515,042 90,763  
14 Information technology ...... 3,209,822 3,082,238 127,584  
15 Royalties ..        
16 Occupancy ........... 9,391,477 9,189,435 202,042  
17 Travel ............ 106,714 94,654 12,060  
18 Payments of travel or entertainment expenses for any federal, state, or local public officials .        
19 Conferences, conventions, and meetings .... 242,927 224,777 18,150  
20 Interest ...........        
21 Payments to affiliates .......        
22 Depreciation, depletion, and amortization .. 4,929,287 4,784,342 144,945  
23 Insurance ... 722,000 699,714 22,286  
24 Other expenses. Itemize expenses not covered above (List miscellaneous expenses in line 24e. If line 24e amount exceeds 10% of line 25, column (A) amount, list line 24e expenses on Schedule O.)
a DIRECT ELECTIONS EXP 2,152,157 2,152,157    
b ALL OTHER EXPENSES 773,111 277,353 495,758  
c DIRECT EDUCATION EXP 139,624 139,624    
d BAD DEBT 109,431 109,431    
e All other expenses 21,246 21,246    
25 Total functional expenses. Add lines 1 through 24e 119,169,626 112,702,042 6,467,584 0
26 Joint costs. Complete this line only if the organization reported in column (B) joint costs from a combined educational campaign and fundraising solicitation. Check here MediumBullet if following SOP 98-2 (ASC 958-720).        
Form 990 (2021)
Form 990 (2021)
Page 11
Part X
Balance Sheet
Check if Schedule O contains a response or note to any line in this Part IX..............
(A)
Beginning of year 		(B)
End of year
Assets 1 Cash–non-interest-bearing ........ 3,450 1 3,449
2 Savings and temporary cash investments ......... 49,359,193 2 23,973,933
3 Pledges and grants receivable, net ......   3  
4 Accounts receivable, net ............. 19,690,857 4 27,268,522
5 Loans and other receivables from any current or former officer, director, trustee, key employee, creator or founder, substantial contributor, or 35% controlled entity or family member of any of these persons .......
  5  
6 Loans and other receivables from other disqualified persons (as defined under section 4958(f)(1)), and persons described in section 4958(c)(3)(B) ...
  6  
7 Notes and loans receivable, net ...........   7  
8 Inventories for sale or use ............   8  
9 Prepaid expenses and deferred charges ...... 3,322,594 9 4,068,088
10a Land, buildings, and equipment: cost or other basis. Complete Part VI of Schedule D 10a 41,235,822
b Less: accumulated depreciation 10b 23,897,409 21,426,671 10c 17,338,413
11 Investments—publicly traded securities . 254,081,279 11 346,666,846
12 Investments—other securities. See Part IV, line 11 .....   12  
13 Investments—program-related. See Part IV, line 11 ..   13  
14 Intangible assets ...............   14  
15 Other assets. See Part IV, line 11 ........... 996,470 15 3,681,478
16 Total assets. Add lines 1 through 15 (must equal line 33)... 348,880,514 16 423,000,729
Liabilities 17 Accounts payable and accrued expenses ..... 172,734,499 17 195,869,411
18 Grants payable ...   18  
19 Deferred revenue ......... 57,312,693 19 80,413,646
20 Tax-exempt bond liabilities .........   20  
21 Escrow or custodial account liability. Complete Part IV of Schedule D 6,333,904 21 7,644,476
22 Loans and other payables to any current or former officer, director, trustee, key employee, creator or founder, substantial contributor, or 35% controlled entity or family member of any of these persons .........
  22  
23 Secured mortgages and notes payable to unrelated third parties ..   23  
24 Unsecured notes and loans payable to unrelated third parties ..   24  
25 Other liabilities (including federal income tax, payables to related third parties, and other liabilities not included on lines 17 - 24). Complete Part X of Schedule D 18,184,786 25 17,184,197
26 Total liabilities. Add lines 17 through 25.. 254,565,882 26 301,111,730
Net Assets or Fund Balance Organizations that follow FASB ASC 958, check here MediumBullet and complete lines 27, 28, 32, and 33.
27 Net assets without donor restrictions .......... 94,314,632 27 121,888,999
28 Net assets with donor restrictions ...........   28  
Organizations that do not follow FASB ASC 958, check here MediumBullet and complete lines 29 through 33.
29 Capital stock or trust principal, or current funds .....   29  
30 Paid-in or capital surplus, or land, building or equipment fund ...   30  
31 Retained earnings, endowment, accumulated income, or other funds   31  
32 Total net assets or fund balances ........... 94,314,632 32 121,888,999
33 Total liabilities and net assets/fund balances ........ 348,880,514 33 423,000,729
Form 990 (2021)
Form 990 (2021)
Page 12
Part XI
Reconcilliation of Net Assets
Check if Schedule O contains a response or note to any line in this Part XI..............
1
Total revenue (must equal Part VIII, column (A), line 12) ............
1
144,138,888
2
Total expenses (must equal Part IX, column (A), line 25) ............
2
119,169,626
3
Revenue less expenses. Subtract line 2 from line 1 ..............
3
24,969,262
4
Net assets or fund balances at beginning of year (must equal Part X, line 32, column (A)) ..
4
94,314,632
5
Net unrealized gains (losses) on investments ...............
5
1,130,668
6
Donated services and use of facilities .................
6
 
7
Investment expenses .....................
7
 
8
Prior period adjustments .....................
8
9,622
9
Other changes in net assets or fund balances (explain in Schedule O) ........
9
1,464,815
10
Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line 32, column (B))
10
121,888,999
Part XII
Financial Statements and Reporting
Check if Schedule O contains a response or note to any line in this Part XII.............
Yes
No
1
Accounting method used to prepare the Form 990:  
If the organization changed its method of accounting from a prior year or checked "Other," explain on
Schedule O.
2a
Were the organization’s financial statements compiled or reviewed by an independent accountant?
2a
 
No
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were compiled or reviewed on a separate basis, consolidated basis, or both:
b
Were the organization’s financial statements audited by an independent accountant?
2b
Yes
 
If ‘Yes,’ check a box below to indicate whether the financial statements for the year were audited on a separate basis, consolidated basis, or both:
c
If "Yes," to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight of the audit, review, or compilation of its financial statements and selection of an independent accountant?
2c
Yes
 
If the organization changed either its oversight process or selection process during the tax year, explain in Schedule O.
3a
As a result of a federal award, was the organization required to undergo an audit or audits as set forth in the Single Audit Act and OMB Circular A-133?
3a
 
No
b
If "Yes," did the organization undergo the required audit or audits? If the organization did not undergo the required audit or audits, explain why in Schedule O and describe any steps taken to undergo such audits.
3b
 
 
Form 990 (2021)
Form 990 (2021)
Additional Data


Software ID:  
Software Version:  
Form 990, Special Condition Description:
Special Condition Description
SCHEDULE A
(Form 990)

Department of the Treasury
Internal Revenue Service
Public Charity Status and Public Support
Complete if the organization is a section 501(c)(3) organization or a section 4947(a)(1) nonexempt charitable trust.
right arrow Attach to Form 990 or Form 990-EZ.
right arrow Go to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2021
Open to Public
Inspection
Name of the organization
AMERICAN ARBITRATION ASSOCIATION INC
 
Employer identification number

13-0429745
Part I
Reason for Public Charity Status (All organizations must complete this part.) See instructions.
The organization is not a private foundation because it is: (For lines 1 through 12, check only one box.)
1
2
3
4
5
6
7
8
9
10
11
12
a
b
c
d
e
f
Enter the number of supported organizations ...............................  
g
Provide the following information about the supported organization(s).
(i) Name of supported organization (ii) EIN (iii) Type of organization (described on lines 1- 10 above (see instructions)) (iv) Is the organization listed in your governing document? (v) Amount of monetary support (see instructions) (vi) Amount of other support (see instructions)
Yes No
Total
 
   
For Paperwork Reduction Act Notice, see the Instructions for
Form 990 or 990-EZ.
Cat. No. 11285F
Schedule A (Form 990) 2021

Schedule A (Form 990) 2021
Page 2
Part II
Support Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi)
(Complete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify under Part III. If the organization failed to qualify under the tests listed below, please complete Part III.)
Section A. Public Support
Calendar year (or fiscal year beginning in) right arrow (a) 2017 (b) 2018 (c) 2019 (d) 2020 (e) 2021 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grant.") ..            
2 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf....            
3 The value of services or facilities furnished by a governmental unit to the organization without charge..            
4 Total. Add lines 1 through 3            
5 The portion of total contributions by each person (other than a governmental unit or publicly supported organization) included on line 1 that exceeds 2% of the amount shown on line 11, column (f) ..  
6 Public support. Subtract line 5 from line 4.  
Section B. Total Support
Calendar year (or fiscal year beginning in) right arrow (a) 2017 (b) 2018 (c) 2019 (d) 2020 (e) 2021 (f) Total
7 Amounts from line 4..            
8 Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources...            
9 Net income from unrelated business activities, whether or not the business is regularly carried on..            
10 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part VI.)..            
11 Total support. Add lines 7 through 10  
12
12
 
13
First 5 years. If the Form 990 is for the organization's first, second, third, fourth, or fifth tax year as a section 501(c)(3) organization, check this box and stop here ........................................right arrow
Section C. Computation of Public Support Percentage
14
14
 
15
15
 
16a
b
17a
b
18
Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see
instructions ..................................................... right arrow
Schedule A (Form 990) 2021

Schedule A (Form 990) 2021
Page 3
Part III
Support Schedule for Organizations Described in Section 509(a)(2)
(Complete only if you checked the box on line 10 of Part I or if the organization failed to qualify under Part II. If the organization fails to qualify under the tests listed below, please complete Part II.)
Section A. Public Support
Calendar year (or fiscal year beginning in) right arrow (a) 2017 (b) 2018 (c) 2019 (d) 2020 (e) 2021 (f) Total
1 Gifts, grants, contributions, and membership fees received. (Do not include any "unusual grants.") .            
2 Gross receipts from admissions, merchandise sold or services performed, or facilities furnished in any activity that is related to the organization's tax-exempt purpose 92,132,877 102,213,938 112,350,274 117,256,511 128,771,954 552,725,554
3 Gross receipts from activities that are not an unrelated trade or business under section 513 .....            
4 Tax revenues levied for the organization's benefit and either paid to or expended on its behalf...            
5 The value of services or facilities furnished by a governmental unit to the organization without charge            
6 Total. Add lines 1 through 5 92,132,877 102,213,938 112,350,274 117,256,511 128,771,954 552,725,554
7a Amounts included on lines 1, 2, and 3 received from disqualified persons           0
b Amounts included on lines 2 and 3 received from other than disqualified persons that exceed the greater of $5,000 or 1% of the amount on line 13 for the year. 6,016,962 8,611,878 7,830,496 35,352,892 8,241,757 66,053,985
c Add lines 7a and 7b.. 6,016,962 8,611,878 7,830,496 35,352,892 8,241,757 66,053,985
8 Public support. (Subtract line 7c from line 6.) 486,671,569
Section B. Total Support
Calendar year (or fiscal year beginning in) right arrow (a) 2017 (b) 2018 (c) 2019 (d) 2020 (e) 2021 (f) Total
9 Amounts from line 6... 92,132,877 102,213,938 112,350,274 117,256,511 128,771,954 552,725,554
10a Gross income from interest, dividends, payments received on securities loans, rents, royalties and income from similar sources.. 5,149,317 5,933,089 6,100,093 6,511,508 9,102,005 32,796,012
b Unrelated business taxable income (less section 511 taxes) from businesses acquired after June 30, 1975.            
c Add lines 10a and 10b. 5,149,317 5,933,089 6,100,093 6,511,508 9,102,005 32,796,012
11 Net income from unrelated business activities not included on line 10b, whether or not the business is regularly carried on.            
12 Other income. Do not include gain or loss from the sale of capital assets (Explain in Part VI.) ..            
13 Total support. (Add lines 9, 10c, 11, and 12.).. 97,282,194 108,147,027 118,450,367 123,768,019 137,873,959 585,521,566
14
Section C. Computation of Public Support Percentage
15
15
83.120 %
16
16
83.210 %
Section D. Computation of Investment Income Percentage
17
17
5.600 %
18
18
5.030 %
19a
b
20
Schedule A (Form 990) 2021

Schedule A (Form 990) 2021
Page 4
Part IV
Supporting Organizations
(Complete only if you checked a box on line 12 of Part I. If you checked box 12a, of Part I, complete Sections A and B. If you checked box 12b, of Part I, complete Sections A and C. If you checked box 12c, of Part I, complete Sections A, D, and E. If you checked box12d, of Part I, complete Sections A and D, and complete Part V.)
Section A. All Supporting Organizations
Yes
No
1
Are all of the organization’s supported organizations listed by name in the organization’s governing documents?
If "No," describe in Part VI how the supported organizations are designated. If designated by class or purpose,
describe the designation. If historic and continuing relationship, explain.
1
 
 
2
Did the organization have any supported organization that does not have an IRS determination of status under section 509(a)(1) or (2)? If "Yes," explain in Part VI how the organization determined that the supported organization was described in section 509(a)(1) or (2).
2
 
 
3a
Did the organization have a supported organization described in section 501(c)(4), (5), or (6)? If "Yes," answer lines 3b and 3c below.
3a
 
 
b
Did the organization confirm that each supported organization qualified under section 501(c)(4), (5), or (6) and satisfied the public support tests under section 509(a)(2)? If "Yes," describe in Part VI when and how the organization made the determination.
3b
 
 
c
Did the organization ensure that all support to such organizations was used exclusively for section 170(c)(2)(B) purposes? If "Yes," explain in Part VI what controls the organization put in place to ensure such use.
3c
 
 
4a
Was any supported organization not organized in the United States ("foreign supported organization")? If “Yes” and if you checked box 12a or 12b in Part I, answer lines 4b and 4c below.
4a
 
 
b
Did the organization have ultimate control and discretion in deciding whether to make grants to the foreign supported organization? If “Yes,” describe in Part VI how the organization had such control and discretion despite being controlled or supervised by or in connection with its supported organizations.
4b
 
 
c
Did the organization support any foreign supported organization that does not have an IRS determination under sections 501(c)(3) and 509(a)(1) or (2)? If “Yes,” explain in Part VI what controls the organization used to ensure that all support to the foreign supported organization was used exclusively for section 170(c)(2)(B) purposes.
4c
 
 
5a
Did the organization add, substitute, or remove any supported organizations during the tax year? If “Yes,” answer lines 5b and 5c below (if applicable). Also, provide detail in Part VI, including (i) the names and EIN numbers of the supported organizations added, substituted, or removed; (ii) the reasons for each such action; (iii) the authority under the organization's organizing document authorizing such action; and (iv) how the action was accomplished (such as by amendment to the organizing document).
5a
 
 
b
Type I or Type II only. Was any added or substituted supported organization part of a class already designated in the organization's organizing document?
5b
 
 
c
Substitutions only. Was the substitution the result of an event beyond the organization's control?
5c
 
 
6
Did the organization provide support (whether in the form of grants or the provision of services or facilities) to anyone other than (i) its supported organizations, (ii) individuals that are part of the charitable class benefited by one or more of its supported organizations, or (iii) other supporting organizations that also support or benefit one or more of the filing organization’s supported organizations? If “Yes,” provide detail in Part VI.
6
 
 
7
Did the organization provide a grant, loan, compensation, or other similar payment to a substantial contributor (defined in section 4958(c)(3)(C)), a family member of a substantial contributor, or a 35% controlled entity with regard to a substantial contributor? If “Yes,” complete Part I of Schedule L (Form 990) .
7
 
 
8
Did the organization make a loan to a disqualified person (as defined in section 4958) not described on line 7? If “Yes,” complete Part I of Schedule L (Form 990).
8
 
 
9a
Was the organization controlled directly or indirectly at any time during the tax year by one or more disqualified persons, as defined in section 4946 (other than foundation managers and organizations described in section 509(a)(1) or (2))? If “Yes,” provide detail in Part VI.
9a
 
 
b
Did one or more disqualified persons (as defined on line 9a) hold a controlling interest in any entity in which the supporting organization had an interest? If “Yes,” provide detail in Part VI.
9b
 
 
c
Did a disqualified person (as defined on line 9a) have an ownership interest in, or derive any personal benefit from, assets in which the supporting organization also had an interest? If “Yes,” provide detail in Part VI.
9c
 
 
10a
Was the organization subject to the excess business holdings rules of section 4943 because of section 4943(f) (regarding certain Type II supporting organizations, and all Type III non-functionally integrated supporting organizations)? If “Yes,” answer line 10b below.
10a
 
 
b
Did the organization have any excess business holdings in the tax year? (Use Schedule C, Form 4720, to determine whether the organization had excess business holdings).
10b
 
 
Schedule A (Form 990) 2021

Schedule A (Form 990) 2021
Page 5
Part IV
Supporting Organizations (continued)
Yes
No
11
Has the organization accepted a gift or contribution from any of the following persons?
a
A person who directly or indirectly controls, either alone or together with persons described on lines 11b and 11c below, the governing body of a supported organization?
11a
 
 
b
A family member of a person described on 11a above?
11b
 
 
c
A 35% controlled entity of a person described on line 11a or 11b above? If “Yes” to 11a, 11b, or 11c, provide detail in Part VI.
11c
 
 
Section B. Type I Supporting Organizations
Yes
No
1
Did the officers, directors, trustees, or membership of one or more supported organizations have the power to regularly appoint or elect at least a majority of the organization’s directors or trustees at all times during the tax year? If “No,” describe in Part VI how the supported organization(s) effectively operated, supervised, or controlled the organization’s activities. If the organization had more than one supported organization, describe how the powers to appoint and/or remove directors or trustees were allocated among the supported organizations and what conditions or restrictions, if any, applied to such powers during the tax year.
1
 
 
2
Did the organization operate for the benefit of any supported organization other than the supported organization(s) that operated, supervised, or controlled the supporting organization? If “Yes,” explain in Part VI how providing such benefit carried out the purposes of the supported organization(s) that operated, supervised or controlled the supporting organization.
2
 
 
Section C. Type II Supporting Organizations
Yes
No
1
Were a majority of the organization’s directors or trustees during the tax year also a majority of the directors or trustees of each of the organization’s supported organization(s)? If “No,” describe in Part VI how control or management of the supporting organization was vested in the same persons that controlled or managed the supported organization(s).
1
 
 
Section D. All Type III Supporting Organizations
Yes
No
1
Did the organization provide to each of its supported organizations, by the last day of the fifth month of the organization’s tax year, (i) a written notice describing the type and amount of support provided during the prior tax year, (ii) a copy of the Form 990 that was most recently filed as of the date of notification, and (iii) copies of the organization’s governing documents in effect on the date of notification, to the extent not previously provided?
1
 
 
2
Were any of the organization’s officers, directors, or trustees either (i) appointed or elected by the supported organization(s) or (ii) serving on the governing body of a supported organization? If "No," explain in Part VI how the organization maintained a close and continuous working relationship with the supported organization(s).
2
 
 
3
By reason of the relationship described in line 2 above, did the organization’s supported organizations have a significant voice in the organization’s investment policies and in directing the use of the organization’s income or assets at all times during the tax year? If "Yes," describe in Part VI the role the organization’s supported organizations played in this regard.
3
 
 
Section E. Type III Functionally-Integrated Supporting Organizations
1
Check the box next to the method that the organization used to satisfy the Integral Part Test during the year (see instructions):
a
b
c
2
Activities Test. Answer lines 2a and 2b below.
Yes
No
a
Did substantially all of the organization’s activities during the tax year directly further the exempt purposes of the supported organization(s) to which the organization was responsive? If "Yes," then in Part VI identify those supported organizations and explain how these activities directly furthered their exempt purposes, how the organization was responsive to those supported organizations, and how the organization determined that these activities constituted substantially all of its activities.
2a
 
 
b
Did the activities described on line 2a, above constitute activities that, but for the organization’s involvement, one or more of the organization’s supported organization(s) would have been engaged in? If "Yes," explain in Part VI the reasons for the organization’s position that its supported organization(s) would have engaged in these activities but for the organization’s involvement.
2b
 
 
3
Parent of Supported Organizations. Answer lines 3a and 3b below.
a
Did the organization have the power to regularly appoint or elect a majority of the officers, directors, or trustees of each of the supported organizations?If "Yes" or "No", provide details in Part VI.
3a
 
 
b
Did the organization exercise a substantial degree of direction over the policies, programs and activities of each of its supported organizations? If "Yes," describe in Part VI. the role played by the organization in this regard.
3b
 
 
Schedule A (Form 990) 2021

Schedule A (Form 990) 2021
Page 6
Part V
Type III Non-Functionally Integrated 509(a)(3) Supporting Organizations
1
Section A - Adjusted Net Income (A) Prior Year (B) Current Year
(optional)
1 Net short-term capital gain 1    
2 Recoveries of prior-year distributions 2    
3 Other gross income (see instructions) 3    
4 Add lines 1 through 3 4    
5 Depreciation and depletion 5    
6 Portion of operating expenses paid or incurred for production or collection of gross income or for management, conservation, or maintenance of property held for production of income (see instructions) 6    
7 Other expenses (see instructions) 7    
8 Adjusted Net Income (subtract lines 5, 6 and 7 from line 4) 8    
Section B - Minimum Asset Amount (A) Prior Year (B) Current Year
(optional)
1 Aggregate fair market value of all non-exempt-use assets (see instructions for short tax year or assets held for part of year): 1
a Average monthly value of securities 1a    
b Average monthly cash balances 1b    
c Fair market value of other non-exempt-use assets 1c    
d Total (add lines 1a, 1b, and 1c) 1d    
e Discount claimed for blockage or other factors
(explain in detail in Part VI):  
2 Acquisition indebtedness applicable to non-exempt use assets 2    
3 Subtract line 2 from line 1d 3    
4 Cash deemed held for exempt use. Enter 0.015 of line 3 (for greater amount, see instructions). 4    
5 Net value of non-exempt-use assets (subtract line 4 from line 3) 5    
6 Multiply line 5 by 0.035 6    
7 Recoveries of prior-year distributions 7    
8 Minimum Asset Amount (add line 7 to line 6) 8    
Section C - Distributable Amount Current Year
1 Adjusted net income for prior year (from Section A, line 8, Column A) 1  
2 Enter 85% of line 1 2  
3 Minimum asset amount for prior year (from Section B, line 8, Column A) 3  
4 Enter greater of line 2 or line 3 4  
5 Income tax imposed in prior year 5  
6 Distributable Amount. Subtract line 5 from line 4, unless subject to emergency temporary reduction (see instructions) 6  
7
Schedule A (Form 990) 2021

Schedule A (Form 990) 2021
Page 7
Part V
Type III Non-Functionally Integrated 509(a)(3) Supporting Organizations(continued)
Section D - Distributions Current Year
1 Amounts paid to supported organizations to accomplish exempt purposes 1  
2 Amounts paid to perform activity that directly furthers exempt purposes of supported organizations, in
excess of income from activity 		2  
3 Administrative expenses paid to accomplish exempt purposes of supported organizations 3  
4 Amounts paid to acquire exempt-use assets 4  
5 Qualified set-aside amounts (prior IRS approval required - provide details in Part VI) 5  
6 Other distributions (describe in Part VI). See instructions 6  
7Total annual distributions. Add lines 1 through 6. 7  
8 Distributions to attentive supported organizations to which the organization is responsive (provide
details in Part VI). See instructions 		8  
9 Distributable amount for 2021 from Section C, line 6 9  
10 Line 8 amount divided by Line 9 amount 10  
Section E - Distribution Allocations (see instructions) (i)
Excess Distributions 		(ii)
Underdistributions
Pre-2021 		(iii)
Distributable
Amount for 2021
1 Distributable amount for 2021 from Section C, line 6  
2 Underdistributions, if any, for years prior to 2021 (reasonable cause required-- explain in Part VI).
See instructions.		  
3 Excess distributions carryover, if any, to 2021:
a From 2016.......  
b From 2017.......  
c From 2018.......  
d From 2019.......  
e From 2020.......  
fTotal of lines 3a through e  
g Applied to underdistributions of prior years  
h Applied to 2021 distributable amount  
i Carryover from 2016 not applied (see
instructions) 		 
j Remainder. Subtract lines 3g, 3h, and 3i from line 3f.  
4Distributions for 2021 from Section D, line 7:
$  
a Applied to underdistributions of prior years  
b Applied to 2021 distributable amount  
c Remainder. Subtract lines 4a and 4b from line 4.  
5 Remaining underdistributions for years prior to
2021, if any. Subtract lines 3g and 4a from line 2.
If the amount is greater than zero, explain in Part VI.
See instructions. 		 
6 Remaining underdistributions for 2021. Subtract
lines 3h and 4b from line 1. If the amount is greater
than zero, explain in Part VI. See instructions. 		 
7 Excess distributions carryover to 2022. Add lines
3j and 4c. 		 
8 Breakdown of line 7:
a Excess from 2017.....  
b Excess from 2018.....  
c Excess from 2019.....  
d Excess from 2020.....  
e Excess from 2021.....  
Schedule A (Form 990) (2021)

Schedule A (Form 990) 2021
Page 8
Part VI
Supplemental Information. Provide the explanations required by Part II, line 10; Part II, line 17a or 17b; Part III, line 12; Part IV, Section A, lines 1, 2, 3b, 3c, 4b, 4c, 5a, 6, 9a, 9b, 9c, 11a, 11b, and 11c; Part IV, Section B, lines 1 and 2; Part IV, Section C, line 1; Part IV, Section D, lines 2 and 3; Part IV, Section E, lines 1c, 2a, 2b, 3a and 3b; Part V, line 1; Part V, Section B, line 1e; Part V Section D, lines 5, 6, and 8; and Part V, Section E, lines 2, 5, and 6. Also complete this part for any additional information. (See instructions).
Facts And Circumstances Test
 
Return Reference Explanation
Schedule A (Form 990) 2021


Additional Data


Software ID:  
Software Version:  
SCHEDULE C
(Form 990)

Department of the Treasury
Internal Revenue Service
Political Campaign and Lobbying Activities

For Organizations Exempt From Income Tax Under section 501(c) and section 527

SchCMd Bullet Complete if the organization is described below. SchCMd Bullet Attach to Form 990 or Form 990-EZ.
SchCMd BulletGo to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2021
Open to Public
Inspection
If the organization answered "Yes" on Form 990, Part IV, Line 3, or Form 990-EZ, Part V, line 46 (Political Campaign Activities), then
Round Bullet Section 501(c)(3) organizations: Complete Parts I-A and B. Do not complete Part I-C.
Round Bullet Section 501(c) (other than section 501(c)(3)) organizations: Complete Parts I-A and C below. Do not complete Part I-B.
Round Bullet Section 527 organizations: Complete Part I-A only.
If the organization answered "Yes" on Form 990, Part IV, Line 4, or Form 990-EZ, Part VI, line 47 (Lobbying Activities), then
Round Bullet Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)): Complete Part II-A. Do not complete Part II-B.
Round Bullet Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)): Complete Part II-B. Do not complete Part II-A.
If the organization answered "Yes" on Form 990, Part IV, Line 5 (Proxy Tax) (see separate instructions) or Form 990-EZ, Part V, line 35c (Proxy Tax) (see separate instructions), then
Round Bullet Section 501(c)(4), (5), or (6) organizations: Complete Part III.
Name of the organization
AMERICAN ARBITRATION ASSOCIATION INC
 
Employer identification number

13-0429745
Part I-A
Complete if the organization is exempt under section 501(c) or is a section 527 organization.

1
Provide a description of the organization’s direct and indirect political campaign activities in Part IV. See instructions for definition of “political campaign activities."

2
Political campaign activity expenditures. See instructions ....................................................................SchCMd Bullet
$  
3
Volunteer hours for political campaign activities. See instructions ..................................................................
 

Part I-B
Complete if the organization is exempt under section 501(c)(3).
1
Enter the amount of any excise tax incurred by the organization under section 4955 ................................SchCMd Bullet
$  
2
Enter the amount of any excise tax incurred by organization managers under section 4955 .......................SchCMd Bullet
$  
3
If the organization incurred a section 4955 tax, did it file Form 4720 for this year? .........................................
4a
Was a correction made? ......................................................................................................................
b
If "Yes," describe in Part IV.
Part I-C
Complete if the organization is exempt under section 501(c), except section 501(c)(3).
1
Enter the amount directly expended by the filing organization for section 527 exempt function activities ..... SchCMd Bullet
$  
2
Enter the amount of the filing organization's funds contributed to other organizations for section 527 exempt function activities ............................................................................................................................SchCMd Bullet

$  
3
Total exempt function expenditures. Add lines 1 and 2. Enter here and on Form 1120-POL, line 17b...........SchCMd Bullet

$  
4
Did the filing organization file Form 1120-POL for this year? ...................................................................
5
Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filing
organization made payments. For each organization listed, enter the amount paid from the filing organization’s funds. Also enter the amount of political contributions received that were promptly and directly delivered to a separate political organization, such as a separate segregated fund or a political action committee (PAC). If additional space is needed, provide information in Part IV.
(a) Name (b) Address (c) EIN (d) Amount paid from filing organization's funds. If none, enter -0-. (e) Amount of political contributions received and promptly and directly delivered to a separate political organization. If none, enter -0-.
1
2
3
4
5
6
For Paperwork Reduction Act Notice, see the instructions for Form 990.
Cat. No. 50084S
Schedule C (Form 990) 2021

Schedule C (Form 990) 2021
Page 2
Part II-A
Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 (election under section 501(h)).
A Check SchCMd Bulletexpenses, and share of excess lobbying expenditures).
B Check SchCMd Bullet
Limits on Lobbying Expenditures
(The term "expenditures" means amounts paid or incurred.) 		(a) Filing
organization's
totals 		(b) Affiliated group totals
1a Total lobbying expenditures to influence public opinion (grass roots lobbying) ......................    
b Total lobbying expenditures to influence a legislative body (direct lobbying) ........................    
c Total lobbying expenditures (add lines 1a and 1b) ............................................................    
d Other exempt purpose expenditures ...............................................................................    
e Total exempt purpose expenditures (add lines 1c and 1d) ..................................................    
f Lobbying nontaxable amount. Enter the amount from the following table in both
columns.		    
If the amount on line 1e, column (a) or (b) is:The lobbying nontaxable amount is:
Not over $500,00020% of the amount on line 1e.
Over $500,000 but not over $1,000,000$100,000 plus 15% of the excess over $500,000.
Over $1,000,000 but not over $1,500,000$175,000 plus 10% of the excess over $1,000,000.
Over $1,500,000 but not over $17,000,000$225,000 plus 5% of the excess over $1,500,000.
Over $17,000,000$1,000,000.
g Grassroots nontaxable amount (enter 25% of line 1f) .................................................    
h Subtract line 1g from line 1a. If zero or less, enter -0-. ................................................    
i Subtract line 1f from line 1c. If zero or less, enter -0-. ................................................    
j If there is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720 reporting
section 4911 tax for this year? ...................................................................................................................

4-Year Averaging Period Under Section 501(h)
(Some organizations that made a section 501(h) election do not have to complete all of the five
columns below. See the separate instructions for lines 2a through 2f.)
Lobbying Expenditures During 4-Year Averaging Period
Calendar year (or fiscal year
beginning in) 		(a) 2018 (b) 2019 (c) 2020 (d) 2021 (e) Total
2a Lobbying nontaxable amount          
b Lobbying ceiling amount
(150% of line 2a, column(e)) 		 
c Total lobbying expenditures          
d Grassroots nontaxable amount          
e Grassroots ceiling amount
(150% of line 2d, column (e))		  
f Grassroots lobbying expenditures          
Schedule C (Form 990) 2021


Schedule C (Form 990) 2021
Page 3
Part II-B
Complete if the organization is exempt under section 501(c)(3) and has NOT filed Form 5768 (election under section 501(h)).
For each "Yes" response on lines 1a through 1i below, provide in Part IV a detailed description of the lobbying activity.
(a)
Yes|No
(b)
Amount
1
During the year, did the filing organization attempt to influence foreign, national, state or local legislation, including any attempt to influence public opinion on a legislative matter or referendum, through the use of:
a
Volunteers? ...........................................................................................................
 
No
b
Paid staff or management (include compensation in expenses reported on lines 1c through 1i)? ........
Yes
 
c
Media advertisements? ...................................................................................................
 
No
 
d
Mailings to members, legislators, or the public? .............................................................................
 
No
 
e
Publications, or published or broadcast statements? ...........................................................
 
No
 
f
Grants to other organizations for lobbying purposes? ..........................................................
 
No
 
g
Direct contact with legislators, their staffs, government officials, or a legislative body? .......................
Yes
 
120,000
h
Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? ..................
 
No
 
i
Other activities? ...................................................................................................................
 
No
 
j
Total. Add lines 1c through 1i ....................................................................................................
120,000
2a
Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? .....
 
No
b
If "Yes," enter the amount of any tax incurred under section 4912 ...........................................
 
c
If "Yes," enter the amount of any tax incurred by organization managers under section 4912 ...................
 
d
If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year? ........................
 
 
Part III-A
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6).
Yes
No
1
Were substantially all (90% or more) dues received nondeductible by members? ...............................................
1
 
 
2
Did the organization make only in-house lobbying expenditures of $2,000 or less? ............................................
2
 
 
3
Did the organization agree to carry over lobbying and political expenditures from the prior year? .................................
3
 
 
Part III-B
Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section 501(c)(6) and if either (a) BOTH Part III-A, lines 1 and 2, are answered "No" OR (b) Part III-A, line 3, is answered “Yes."
1
Dues, assessments and similar amounts from members ......................................................................
1
 
2
Section 162(e) nondeductible lobbying and political expenditures (do not include amounts of political expenses for which the section 527(f) tax was paid).
a
Current year .............................................................................................................................
2a
 
b
Carryover from last year ............................................................................................................
2b
 
c
Total ...........................................................................................................................................
2c
 
3
Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues .
3
 
4
If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of the excess does the organization agree to carryover to the reasonable estimate of nondeductible lobbying and political expenditure next year? ......................................................................................................................
4
 
5
Taxable amount of lobbying and political expenditures. See Instructions .........................................
5
 
Part IV
Supplemental Information
Provide the descriptions required for Part l-A, line 1; Part l-B, line 4; Part l-C, line 5; Part II-A (affiliated group list); Part II-A, lines 1 and 2 (see instructions), and Part ll-B, line 1. Also, complete this part for any additional information.
Return Reference Explanation
PART II-B, LINE 1: THE AAA GOVERNMENT RELATIONS DEPARTMENT MONITORS, ANALYZES, AND RESPONDS AS NEEDED TO LEGISLATIVE, REGULATORY, AND POLICY ISSUES THAT MAY IMPACT THE ASSOCIATION, AT THE FEDERAL, STATE AND LOCAL LEVELS. THE DEPARTMENT ALSO WORKS WITH GOVERNMENT AGENCIES AND DECISION-MAKERS TO ASSIST IN THE DESIGN AND IMPLEMENTATION OF ALTERNATIVE DISPUTE RESOLUTION PROGRAMS AND PROCEDURES.
Schedule C (Form 990) 2021


Additional Data


Software ID:  
Software Version:  

SCHEDULE D
(Form 990)
Department of the Treasury
Internal Revenue Service
Supplemental Financial Statements
SchDMd Bullet Complete if the organization answered "Yes," on Form 990,
Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b.
SchDMd Bullet Attach to Form 990.
SchDMd Bullet Go to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2021
Open to Public Inspection
Name of the organization
AMERICAN ARBITRATION ASSOCIATION INC
 
Employer identification number

13-0429745
Part I
Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the organization answered "Yes" on Form 990, Part IV, line 6.
(a) Donor advised funds (b) Funds and other accounts
1 Total number at end of year .........    
2 Aggregate value of contributions to (during year)    
3 Aggregate value of grants from (during year)    
4 Aggregate value at end of year ........    
5
Did the organization inform all donors and donor advisors in writing that the assets held in donor advised funds are the organization’s property, subject to the organization’s exclusive legal control? ............
6
Did the organization inform all grantees, donors, and donor advisors in writing that grant funds can be used only for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose conferring impermissible private benefit? ...................................
Part II
Conservation Easements.
Complete if the organization answered "Yes" on Form 990, Part IV, line 7.
1
Purpose(s) of conservation easements held by the organization (check all that apply).
2
Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation easement on the last day of the tax year.
Held at the End of the Year
a Total number of conservation easements ...................... 2a  
b Total acreage restricted by conservation easements .................... 2b  
c Number of conservation easements on a certified historic structure included in (a) ..... 2c  
d Number of conservation easements included in (c) acquired after 7/25/06, and not on a historic structure listed in the National Register ... 2d  
3
Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during the
tax year SchDMd Bullet  
4
Number of states where property subject to conservation easement is located SchDMd Bullet  
5
Does the organization have a written policy regarding the periodic monitoring, inspection, handling of violations, and enforcement of the conservation easements it holds? ............
6
Staff and volunteer hours devoted to monitoring, inspecting, handling of violations, and enforcing conservation easements during the year
SchDMd Bullet  
7
Amount of expenses incurred in monitoring, inspecting, handling of violations, and enforcing conservation easements during the year
SchDMd Bullet $  
8
Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(B)(i) and section 170(h)(4)(B)(ii)? .............................
9
In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and
balance sheet, and include, if applicable, the text of the footnote to the organization’s financial statements that describes
the organization’s accounting for conservation easements.
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets.
Complete if the organization answered "Yes" on Form 990, Part IV, line 8.
1a
If the organization elected, as permitted under FASB ASC 958, not to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide, in Part XIII, the text of the footnote to its financial statements that describes these items.
b
If the organization elected, as permitted under FASB ASC 958, to report in its revenue statement and balance sheet works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance of public service, provide the following amounts relating to these items:
(i)
Revenue included on Form 990, Part VIII, line 1 .........................SchDMd Bullet $  
(ii)
Assets included in Form 990, Part X ...............................SchDMd Bullet $  
2
If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the
following amounts required to be reported under FASB ASC 958 relating to these items:
a
Revenue included on Form 990, Part VIII, line 1 ..........................SchDMd Bullet $  
b
Assets included in Form 990, Part X ...............................SchDMd Bullet $  
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 52283D
Schedule D (Form 990) 2021

Schedule D (Form 990) 2021
Page 2
Part III
Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)
3
Using the organization’s acquisition, accession, and other records, check any of the following that are a significant use of its collection items (check all that apply):
a
d
b
e
 
c
4
Provide a description of the organization’s collections and explain how they further the organization’s exempt purpose in
Part XIII.
5
During the year, did the organization solicit or receive donations of art, historical treasures or other similar
assets to be sold to raise funds rather than to be maintained as part of the organization’s collection?...
Part IV
Escrow and Custodial Arrangements. Complete if the organization answered "Yes" on Form 990, Part IV, line 9, or reported an amount on Form 990, Part X, line 21.
1a
Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not
included on Form 990, Part X? ....................................
b If "Yes," explain the arrangement in Part XIII and complete the following table: Amount
c Beginning balance ............................. 1c 6,333,904
d Additions during the year ............................ 1d 1,673,373
e Distributions during the year .......................... 1e 362,801
f Ending balance ................................ 1f 7,644,477
2a
Did the organization include an amount on Form 990, Part X, line 21, for escrow or custodial account liability? ...
b
If "Yes," explain the arrangement in Part XIII. Check here if the explanation has been provided in Part XIII ....
Part V
Endowment Funds.
Complete if the organization answered "Yes" on Form 990, Part IV, line 10.
(a) Current year (b) Prior year (c) Two years back (d) Three years back (e) Four years back
1a Beginning of year balance ....          
b Contributions ...          
c Net investment earnings, gains, and losses          
d Grants or scholarships ...          
e Other expenditures for facilities
and programs ... 		         
f Administrative expenses ....          
g End of year balance ......          
2
Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:
a
Board designated or quasi-endowment SchDMd Bullet  
b
Permanent endowment SchDMd Bullet  
c
Term endowment SchDMd Bullet  
The percentages on lines 2a, 2b, and 2c should equal 100%.
3a
Are there endowment funds not in the possession of the organization that are held and administered for the
organization by:

Yes
No
(i) Unrelated organizations .................
3a(i)
 
 
(ii) Related organizations .................
3a(ii)
 
 
b
If "Yes" on 3a(ii), are the related organizations listed as required on Schedule R? .........
3b
 
 
4
Describe in Part XIII the intended uses of the organization's endowment funds.
Part VI
Land, Buildings, and Equipment.
Complete if the organization answered "Yes" on Form 990, Part IV, line 11a. See Form 990, Part X, line 10.
Description of property (a) Cost or other basis
(investment) 		(b) Cost or other basis (other) (c) Accumulated depreciation (d) Book value
1a Land .....      
b Buildings ....        
c Leasehold improvements   11,088,328 5,811,228 5,277,100
d Equipment ....   7,359,309 4,387,098 2,972,211
e Other .....   22,788,185 13,699,083 9,089,102
Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).)..SchDMdBullet 17,338,413
Schedule D (Form 990) 2021

Schedule D (Form 990) 2021
Page 3
Part VII
Investments - Other Securities.
Complete if the organization answered "Yes" on Form 990, Part IV, line 11b. See Form 990, Part X, line 12.
(a) Description of security or category
(including name of security)		 (b) Book value (c) Method of valuation:
Cost or end-of-year market value
(1) Financial derivatives.........    
(2) Closely-held equity interests........    
(3)Other
(A)
(B)
(C)
(D)
(E)
(F)
(G)
(H)
Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)Small Bullet  
Part VIII
Investments - Program Related. Complete if the organization answered 'Yes' on Form 990, Part IV, line 11c. See Form 990, Part X, line 13.
(a) Description of investment (b) Book value (c) Method of valuation:
Cost or end-of-year market value
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
Total. (Column (b) must equal Form 990, Part X, col.(B) line 13.)Small Bullet  
Part IX
Other Assets.
Complete if the organization answered 'Yes' on Form 990, Part IV, line 11d. See Form 990, Part X, line 15.
(a) Description (b) Book value
(1)
(2)
(3)
(4)
(5)
(6)
(7)
(8)
(9)
Total. (Column (b) must equal Form 990, Part X, col.(B) line 15.)...........Small Bullet  
Part X
Other Liabilities.
Complete if the organization answered 'Yes' on Form 990, Part IV, line 11e or 11f. See Form 990, Part X, line 25.
1.(a) Description of liability (b) Book value
(1) Federal income taxes  
(3)
(4)
(5)
(6)
(7)
(8)
(9)
Total. (Column (b) must equal Form 990, Part X, col.(B) line 25.)Small Bullet 17,184,197
2. Liability for uncertain tax positions. In Part XIII, provide the text of the footnote to the organization's financial statements that reports the organization's liability for uncertain tax positions under FIN 48 (ASC 740). Check here if the text of the footnote has been provided in Part XIII
Schedule D (Form 990) 2021

Schedule D (Form 990) 2021
Page 4
Part XI Reconciliation of Revenue per Audited Financial Statements With Revenue per Return. Complete if the organization answered 'Yes' on Form 990, Part IV, line 12a.
1 Total revenue, gains, and other support per audited financial statements ....... 1 129,919,000
2 Amounts included on line 1 but not on Form 990, Part VIII, line 12:
a Net unrealized gains (losses) on investments .... 2a  
b Donated services and use of facilities ......... 2b  
c Recoveries of prior year grants ........... 2c  
d Other (Describe in Part XIII.) ............ 2d -14,171,888
e Add lines 2a through 2d ..................... 2e -14,171,888
3 Subtract line 2e from line 1.................. 3 144,090,888
4 Amounts included on Form 990, Part VIII, line 12, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b . 4a 48,000
b Other (Describe in Part XIII.) ........... 4b  
c Add lines 4a and 4b.................... 4c 48,000
5 Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) ...... 5 144,138,888
Part XII Reconciliation of Expenses per Audited Financial Statements With Expenses per Return. Complete if the organization answered 'Yes' on Form 990, Part IV, line 12a.
1 Total expenses and losses per audited financial statements ........... 1 114,538,000
2 Amounts included on line 1 but not on Form 990, Part IX, line 25:
a Donated services and use of facilities ......... 2a  
b Prior year adjustments ............ 2b  
c Other losses ................ 2c  
d Other (Describe in Part XIII.) ............ 2d -1,054,436
e Add lines 2a through 2d.................... 2e -1,054,436
3 Subtract line 2e from line 1................... 3 115,592,436
4 Amounts included on Form 990, Part IX, line 25, but not on line 1:
a Investment expenses not included on Form 990, Part VIII, line 7b .. 4a 48,000
b Other (Describe in Part XIII.) ............ 4b 3,529,190
c Add lines 4a and 4b..................... 4c 3,577,190
5 Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) ...... 5 119,169,626
Part XIII
Supplemental Information
Provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part lV, lines 1b and 2b; Part V, line 4; Part X, line 2; Part XI, lines 2d and 4b; and Part XII, lines 2d and 4b. Also complete this part to provide any additional information.
Return Reference Explanation
PART IV, LINE 2B: THE ASSOCIATION HOLDS FUNDS PERTAINING TO ARBITRATION CASES. DURING 2021, THE TOTAL FUNDS IN ESCROW AT YEAR END WAS $1,675,989. THE ASSOCIATIONS' INTERNATIONAL CENTRE FOR DISPUTE RESOLUTION HAS A CUSTODIAL ARRANGEMENT WITH THE U.S. DEPARTMENT OF COMMERCE. THE EU-US PRIVACY SHIELD ANNEX I BINDING ARBITRATION MECHANISM IS A PROGRAM THAT REQUIRES PARTICIPATING ORGANIZATIONS OF THE EU-US PRIVACY SHIELD PROGRAMS TO PAY A PERIODIC CONTRIBUTION TO THE FUND TO BE USED FOR THE COSTS ASSOCIATED WITH THE ARBITRATIONS ARISING OUT OF THE PRIVACY SHIELD PROGRAM. THE ASSOCIATION RECORDS RESTRICTED CASH AND A CORRESPONDING LIABILITY FOR AMOUNTS RECEIVED FROM THESE PARTICIPATING ORGANIZATIONS. THE RESTRICTED CASH AND CORRESPONDING LIABILITY BALANCES AS OF DECEMBER 31, 2021 WAS $4,556,361.
PART X, LINE 2: THE ASSOCIATION IS AN EXEMPT ORGANIZATION AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE (THE "IRS") AND IS REQUIRED TO OPERATE IN CONFORMITY WITH THE IRC TO MAINTAIN ITS TAX-EXEMPT STATUS. THE ASSOCIATION IS NOT AWARE OF ANY COURSE OF ACTION OR SERIES OF EVENTS THAT HAVE OCCURED THAT MIGHT ADVERSELY AFFECT THE ASSOCIATION'S TAX-EXEMPT STATUS. THE ASSOCIATION HAS NO UNRECOGNIZED TAX BENEFITS AT DECEMBER 31, 2021 AND 2020. THE ASSOCIATION'S FEDERAL AND STATE INCOME TAX RETURNS PRIOR TO FISCAL YEAR 2018 ARE CLOSED AND MANAGEMENT CONTINUALLY EVALUATES EXPIRING STATUTES OF LIMITATIONS, AUDITS, PROPOSED SETTLEMENTS, CHANGES IN TAX LAW AND NEW AUTHORITATIVE RULINGS. IF APPLICABLE, THE ASSOCIATION WILL RECOGNIZE INTEREST AND PENALTIES ASSOCIATED WITH TAX MATTERS AS PART OF THE INCOME TAX PROVISION AND INCLUDE ACCURED INTEREST AND PENALTIES WITH THE RELATED TAX LIABILITY IN THE STATEMENTS OF FINANCIAL POSITION. THERE WERE NO INTEREST OR PENALTIES PAID FOR THE YEARS ENDED DECEMBER 31, 2021 AND 2020.
PART XI, LINE 2D - OTHER ADJUSTMENTS: AAA INT & DIV INC NET OF BANK FEES -5,216,106. AAA BANK & CC FEES -3,524,794. RELATED PARTY REVENUES 3,068,776. AAA REALIZED INVESTMENT GAINS -6,787,256. INTERCOMPANY EXPENSES -2,234,835. AAA LOSS ON DISPOSAL OF FA 522,327.
PART XII, LINE 2D - OTHER ADJUSTMENTS: RELATED PARTY EXPENSE - FOUNDATION EXPENSES 1,180,399. RELATED PARTY - INTERCOMPANY -2,234,835.
PART XII, LINE 4B - OTHER ADJUSTMENTS: BANK FEES 3,524,794. BANK FEES - FOUNDATION 4,396.
Schedule D (Form 990) 2021


Additional Data


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SCHEDULE F(Form 990)
Department of the Treasury
Internal Revenue Service
Statement of Activities Outside the United States
Right pointing arrow large image Complete if the organization answered "Yes" to Form 990, Part IV, line 14b, 15, or 16.Right pointing arrow large image Attach to Form 990.Right pointing arrow large image Go to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2021
Open to Public Inspection
Name of the organization
AMERICAN ARBITRATION ASSOCIATION INC
 
Employer identification number

13-0429745
Part I
General Information on Activities Outside the United States. Complete if the organization answered "Yes" on Form 990, Part IV, line 14b.
1
For grantmakers. Does the organization maintain records to substantiate the amount of its grants and
other assistance, the grantees’ eligibility for the grants or assistance, and the selection criteria used
to award the grants or assistance? . . . . . . . . . . . . . . . . . . . . . . . . .
2
For grantmakers. Describe in Part V the organization’s procedures for monitoring the use of its grants and other assistance outside the United States.
3
Activites per Region. (The following Part I, line 3 table can be duplicated if additional space is needed.)
(a) Region (b) Number of offices in the region (c) Number of employees, agents, and independent contractors in the region (d) Activities conducted in region (by type) (such as, fundraising, program services, investments, grants to recipients located in the region) (e) If activity listed in (d) is a program service, describe specific type of
service(s) in the region		 (f) Total expenditures
for and investments
in the region
EAST ASIA AND THE PACIFIC 1 3 PROGRAM SERVICES ADR SERVICES 18,293
           
           
           
           
           
           
           
           
           
           
           
           
           
           
           
           
3a Sub-total .... 1 3 18,293
b Total from continuation sheets to Part I ... 0 0 0
c Totals (add lines 3a and 3b) 1 3 18,293
For Paperwork Reduction Act Notice, see the Instructions for Form 990.Cat. No. 50082W Schedule F (Form 990) 2021
Schedule F (Form 990) 2021
Page 2
Part II
Grants and Other Assistance to Organizations or Entities Outside the United States. Complete if the organization answered "Yes" on Form 990, Part IV, line 15, for any recipient who received more than $5,000. Part II can be duplicated if additional space is needed.
1 (a) Name of organization (b) IRS code section
and EIN (if applicable)		 (c) Region (d) Purpose of
grant 		(e) Amount of
cash grant 		(f) Manner of
cash
disbursement 		(g) Amount
of noncash
assistance 		(h) Description
of noncash
assistance 		(i) Method of
valuation
(book, FMV,
appraisal, other)
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
             
2 Enter total number of recipient organizations listed above that are recognized as charities by the foreign country, recognized as tax-exempt by the IRS, or for which the grantee or counsel has provided a section 501(c)(3) equivalency letter .......MediumBullet
 
3 Enter total number of other organizations or entities .......................MediumBullet
 
Schedule F (Form 990) 2021
Schedule F (Form 990) 2021Page 3
Part III
Grants and Other Assistance to Individuals Outside the United States. Complete if the organization answered "Yes" on Form 990, Part IV, line 16.
Part III can be duplicated if additional space is needed.
(a) Type of grant or assistance (b) Region (c) Number of recipients (d) Amount of
cash grant 		(e) Manner of cash
disbursement 		(f) Amount of
noncash
assistance 		(g) Description
of noncash
assistance 		(h) Method of
valuation
(book, FMV,
appraisal, other)
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
               
Schedule F (Form 990) 2021
Schedule F (Form 990) 2021
Page 4
Part IV
Foreign Forms
1 Was the organization a U.S. transferor of property to a foreign corporation during the tax year? If "Yes," the organization may be required to file Form 926, Return by a U.S. Transferor of Property to a Foreign Corporation (see Instructions for Form 926). . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2 Did the organization have an interest in a foreign trust during the tax year? If "Yes," the organization may be required to separately file Form 3520, Annual Return to Report Transactions with Foreign Trusts and Receipt of Certain Foreign Gifts, and/or Form 3520-A, Annual Information Return of Foreign Trust With a U.S. Owner (see Instructions for Forms 3520 and 3520-A; don't file with Form 990). . . . . . . . . . . . . . . . . . . . . . . .
3 Did the organization have an ownership interest in a foreign corporation during the tax year? If "Yes," the organization may be required to file Form 5471, Information Return of U.S. Persons with Respect to Certain Foreign Corporations. (see Instructions for Form 5471). . . . . . . . . . . . . . . . . . . . . . . . . . . .
4 Was the organization a direct or indirect shareholder of a passive foreign investment company or a qualified electing fund during the tax year? If “Yes,” the organization may be required to file Form 8621, Information Return by a Shareholder of a Passive Foreign Investment Company or Qualified Electing Fund. (see Instructions for Form 8621) .
5 Did the organization have an ownership interest in a foreign partnership during the tax year? If "Yes," the organization may be required to file Form 8865, Return of U.S. Persons with Respect to Certain Foreign Partnerships (see Instructions for Form 8865). . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
6 Did the organization have any operations in or related to any boycotting countries during the tax year? If "Yes," the organization may be required to separately file Form 5713, International Boycott Report (see Instructions for Form 5713; don't file with Form 990).. . . . . . . . . . . . . . . . . . . . . . . . . . . .
Schedule F (Form 990) 2021
Schedule F (Form 990) 2021
Page 5
Part V
Supplemental Information
Provide the information required by Part I, line 2 (monitoring of funds); Part I, line 3, column (f) (accounting method; amounts of investments vs. expenditures per region); Part II, line 1 (accounting method); Part III (accounting method); and Part III, column (c) (estimated number of recipients), as applicable. Also complete this part to provide any additional information. See instructions.
ReturnReference Explanation
PART I, LINE 2: AN ANNUAL BUDGET IS DEVELOPED FOR THE AMERICAN ARBITRATION ASSOCIATION, AND INCLUDES FINANCIAL ASSISTANCE TO ORGANIZATIONS OUTSIDE THE UNITED STATES. INTERNAL FINANCIAL STATEMENTS ARE PRODUCED MONTHLY, AND VARIANCES TO BUDGET ARE REVIEWED AND INVESTIGATED TO THE SOURCE.
PART III ACCOUNTING METHOD:  
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
   
Schedule F (Form 990) 2021
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Schedule I
(Form 990)
Department of the Treasury
Internal Revenue Service
Grants and Other Assistance to Organizations,
Governments and Individuals in the United States
Complete if the organization answered "Yes," on Form 990, Part IV, line 21 or 22.
lBullet Attach to Form 990.
lBullet Go to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2021
Open to Public
Inspection
Name of the organization
AMERICAN ARBITRATION ASSOCIATION INC
 
Employer identification number
13-0429745
Part I
General Information on Grants and Assistance
1
Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees' eligibility for the grants or assistance, and
the selection criteria used to award the grants or assistance? ........................
2
Describe in Part IV the organization's procedures for monitoring the use of grant funds in the United States.
Part II
Grants and Other Assistance to Domestic Organizations and Domestic Governments. Complete if the organization answered "Yes" on Form 990, Part IV, line 21, for any recipient
that received more than $5,000. Part II can be duplicated if additional space is needed.
(a) Name and address of organization
or government		 (b) EIN (c) IRC section
(if applicable)		 (d) Amount of cash grant (e) Amount of non-cash
assistance		 (f) Method of valuation
(book, FMV, appraisal,
other)		 (g) Description of
noncash assistance		 (h) Purpose of grant
or assistance
(1) AAA-ICDR FOUNDATION INC
120 BROADWAY 21ST FL
NEW YORK,NY10271 		13-4197286 501(C)(3) 2,050,000 0 CASH VALUE   GENERAL SUPPORT
(2) ABA FREE LEGAL ANSWERS
321 N CLARK ST
CHICAGO,IL60654 		36-0723150 501(C)(3) 70,000 0 CASH VALUE   GENERAL SUPPORT
(3) NATIONAL FRATERNAL ORDER OF POLICE FOUNDATION
328 MASSACHUSETTS AVE NE
WASHINGTON,DC20002 		52-1606785 501(C)(3) 25,000 0 CASH VALUE   GENERAL SUPPORT
(4) KIDS MANAGING CONFLICT SCMA EDUCATION FOUNDATION
2390 CRENSHAW BLVD 213
TORRANCE,CA90505 		20-8722577 501(C)(3) 30,000 0 CASH VALUE   GENERAL SUPPORT
(5) SHARE OUR STRENGTH
1030 15TH ST NW
WASHINGTON,DC20005 		52-1367538 501(C)(3) 7,500 0 CASH VALUE   GENERAL SUPPORT
(6) FOOD BANK FOR NEW YORK CITY
39 BROADWAY 10TH FLOOR
NEW YORK,NY10006 		13-3179546 501(C)(3) 7,500 0 CASH VALUE   GENERAL SUPPORT
(7) PHILADELPHIA POLICE FOUNDATION
PO BOX 4358
PHILADELPHIA,PA19118 		23-3009913 501(C)(3) 60,000 0 CASH VALUE   GENERAL SUPPORT
(8) WESTERN KENTUCKY TORNADO RELIEF FUND
500 MERO STREET 218 NC
FRANKFORT,KY40601 		GOV'T 20,000 0 CASH VALUE   GENERAL SUPPORT
(9) CITYMEALS ON WHEELS
355 LEXINGTON AVE 3RD FL
NEW YORK,NY10017 		13-3634381 501(C)(3) 7,500 0 CASH VALUE   GENERAL SUPPORT
(10) CHRISTIAN HERALD ASSOCIATION INC DBA THE BOWERY MISSION
355 LEXINGTON AVE 19TH FL
NEW YORK,NY10017 		13-1617086 501(C)(3) 7,500 0 CASH VALUE   GENERAL SUPPORT
(11) HISPANIC NATIONAL BAR ASSOCIATION
2020 PENNSYLVANIA AVE NW NO 279
WASHINGTON,DC20004 		52-1333974 501(C)(6) 10,000 0 CASH VALUE   SPONSORSHIP
2
Enter total number of section 501(c)(3) and government organizations listed in the line 1 table ................. Bullet Image
9
3
Enter total number of other organizations listed in the line 1 table ........................ . Bullet Image
2
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50055P
Schedule I (Form 990) 2021

Schedule I (Form 990) 2021
Page 2
Part III
Grants and Other Assistance to Domestic Individuals. Complete if the organization answered "Yes" on Form 990, Part IV, line 22.
Part III can be duplicated if additional space is needed.
(a) Type of grant or assistance (b) Number of
recipients		 (c) Amount of
cash grant		 (d) Amount of
noncash assistance		 (e) Method of valuation (book,
FMV, appraisal, other)		 (f) Description of noncash assistance
(1)
(2)
(3)
(4)
(5)
(6)
(7)
Part IV
Supplemental Information. Provide the information required in Part I, line 2; Part III, column (b); and any other additional information.
Return Reference Explanation
PART I, LINE 2: THE AMERICAN ARBITRATION ASSOCIATION IS THE SOLE CORPORATE MEMBER OF THE AAA-ICDR FOUNDATION, PURSUANT TO THE AAA-ICDR FOUNDATION'S CERTIFICATE OF INCORPORATION AND BYLAWS. THE AAA RECEIVES PERIODIC, UNAUDITED FINANCIAL STATEMENTS FROM THE AAA-ICDR FOUNDATION. IN ADDITION, AAA RECEIVED A COPY OF THE AAA-ICDR FOUNDATION'S AUDITED FINANCIAL STATEMENTS FOR THE YEAR ENDING DECEMBER 31, 2021. PURSUANT TO THE SEPTEMBER 10, 2015 AAA EXECUTIVE COMMITTEE RESOLUTION, THE AAA FORMED A STANDING FOUNDATION COMMITTEE FOR THE PURPOSE OF ASSISTING THE AAA IN EXERCISING ITS AUTHORITY AND CARRYING OUT ITS DUTIES WITH RESPECT TO ITS MEMBERSHIP IN THE FOUNDATION. THE APPOINTED MEMBERS OF THE FOUNDATION COMMITTEE ON AN EX OFFICIO BASIS ARE: CHAIR OF THE AAA'S BOARD OF DIRECTORS, CHAIR OF THE EXECUTIVE COMMITTEE OF THE AAA'S BOARD OF DIRECTORS, PRESIDENT AND CHIEF EXECUTIVE OFFICER OF THE AAA, TREASURER OF THE AAA, GENERAL COUNSEL AND CORPORATE SECRETARY OF THE AAA, CHAIR OF THE AAA'S AUDIT COMMITTEE. THE AAA'S FOUNDATION COMMITTEE HOLDS ANNUAL MEETINGS DURING WHICH IT VOTES ON THE FOUNDATION'S DIRECTORS, THE FOUNDATION'S TREASURER PRESENTS THE FOUNDATION'S AUDITED FINANCIALS STATEMENTS AND NOTES, STATEMENT OF FINANCIAL ACTIVITIES AND YEAR TO DATE FINANCIALS, AND CONDUCTS SUCH OTHER BUSINESS AS IS NEEDED.
Schedule I (Form 990) 2021



Additional Data


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Schedule J
(Form 990)
Department of the Treasury
Internal Revenue Service
Compensation Information
For certain Officers, Directors, Trustees, Key Employees, and Highest
Compensated Employees
SchJMediumBullet Complete if the organization answered "Yes" on Form 990, Part IV, line 23.
SchJMediumBullet Attach to Form 990.
SchJMediumBullet Go to www.irs.gov/Form990 for instructions and the latest information.
OMB No. 1545-0047
2021
Open to Public Inspection
Name of the organization
AMERICAN ARBITRATION ASSOCIATION INC
 
Employer identification number

13-0429745
Part I
Questions Regarding Compensation
Yes
No
1a
Check the appropiate box(es) if the organization provided any of the following to or for a person listed on Form
990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.
b
If any of the boxes on Line 1a are checked, did the organization follow a written policy regarding payment or reimbursement or provision of all of the expenses described above? If "No," complete Part III to explain .....
1b
Yes
 
2
Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all
directors, trustees, officers, including the CEO/Executive Director, regarding the items checked on Line 1a? ....
2
Yes
 
3
Indicate which, if any, of the following the filing organization used to establish the compensation of the
organization's CEO/Executive Director. Check all that apply. Do not check any boxes for methods
used by a related organization to establish compensation of the CEO/Executive Director, but explain in Part III.
4
During the year, did any person listed on Form 990, Part VII, Section A, line 1a, with respect to the filing organization or a related organization:
a
Receive a severance payment or change-of-control payment? .............
4a
 
No
b
Participate in, or receive payment from, a supplemental nonqualified retirement plan? .........
4b
Yes
 
c
Participate in, or receive payment from, an equity-based compensation arrangement? .........
4c
 
No
If "Yes" to any of lines 4a-c, list the persons and provide the applicable amounts for each item in Part III.
Only 501(c)(3), 501(c)(4), and 501(c)(29) organizations must complete lines 5-9.
5
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the revenues of:
a
The organization? ....................
5a
Yes
 
b
Any related organization? .......................
5b
 
No
If "Yes," on line 5a or 5b, describe in Part III.
6
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any
compensation contingent on the net earnings of:
a
The organization? ..................
6a
 
No
b
Any related organization? ......................
6b
 
No
If "Yes," on line 6a or 6b, describe in Part III.
7
For persons listed on Form 990, Part VII, Section A, line 1a, did the organization provide any nonfixed
payments not described in lines 5 and 6? If "Yes," describe in Part III ............
7
 
No
8
Were any amounts reported on Form 990, Part VII, paid or accured pursuant to a contract that was
subject to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If "Yes," describe
in Part III ..........................
8
 
No
9
If "Yes" on line 8, did the organization also follow the rebuttable presumption procedure described in Regulations section 53.4958-6(c)? .........................
9
 
 
For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50053T
Schedule J (Form 990) 2021

Schedule J (Form 990) 2021
Page 2
Part II
Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is needed.
For each individual whose compensation must be reported on Schedule J, report compensation from the organization on row (i) and from related organizations, described in the
instructions, on row (ii). Do not list any individuals that are not listed on Form 990, Part VII.
Note. The sum of columns (B)(i)-(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual.
(A) Name and Title (B) Breakdown of W-2, 1099-MISC compensation, and/or 1099-NEC (C) Retirement and other deferred compensation (D) Nontaxable
benefits		 (E) Total of columns
(B)(i)-(D) 		(F) Compensation in column (B) reported as deferred on prior Form 990
(i) Base
compensation 		(ii) Bonus & incentive
compensation 		(iii) Other reportable compensation
1INDIA JOHNSON
PRESIDENT AND CEO 		(i)

(ii)		 701,319
-------------
0 		325,000
-------------
0 		14,833
-------------
0 		332,800
-------------
0 		43,139
-------------
0 		1,417,091
-------------
0 		0
-------------
0
2FRANCESCO ROSSI
CFO, TREASURER & SENIOR VP 		(i)

(ii)		 446,878
-------------
0 		236,616
-------------
0 		2,622
-------------
0 		237,167
-------------
0 		44,320
-------------
0 		967,603
-------------
0 		0
-------------
0
3ERIC P TUCHMANN
GEN COUN, CORP SEC, & SVP 		(i)

(ii)		 405,300
-------------
0 		191,616
-------------
0 		4,903
-------------
0 		208,403
-------------
0 		43,133
-------------
0 		853,355
-------------
0 		0
-------------
0
4DIANA N DIDIA
SENIOR VICE PRESIDENT 		(i)

(ii)		 347,846
-------------
0 		166,736
-------------
0 		2,622
-------------
0 		125,325
-------------
0 		2,492
-------------
0 		645,021
-------------
0 		0
-------------
0
5CHRISTINE L NEWHALL
SENIOR VICE PRESIDENT 		(i)

(ii)		 325,844
-------------
0 		141,415
-------------
0 		7,517
-------------
0 		121,962
-------------
0 		44,083
-------------
0 		640,821
-------------
0 		0
-------------
0
6ROBERT MATLIN
SENIOR VICE PRESIDENT 		(i)

(ii)		 311,244
-------------
0 		151,414
-------------
0 		13,834
-------------
0 		114,662
-------------
0 		41,945
-------------
0 		633,099
-------------
0 		0
-------------
0
7DWIGHT D JAMES
SENIOR VICE PRESIDENT 		(i)

(ii)		 303,884
-------------
0 		146,529
-------------
0 		6,960
-------------
0 		110,622
-------------
0 		35,566
-------------
0 		603,561
-------------
0 		0
-------------
0
8ERIC DILL
SENIOR VICE PRESIDENT 		(i)

(ii)		 274,024
-------------
0 		161,616
-------------
0 		4,124
-------------
0 		108,669
-------------
0 		43,577
-------------
0 		592,010
-------------
0 		0
-------------
0
9HAROLD COLEMAN JR
SENIOR VICE PRESIDENT 		(i)

(ii)		 266,537
-------------
0 		118,703
-------------
0 		7,407
-------------
0 		98,287
-------------
0 		38,627
-------------
0 		529,561
-------------
0 		0
-------------
0
10SASHA CARBONE
VICE PRESIDENT 		(i)

(ii)		 258,060
-------------
0 		96,116
-------------
0 		2,100
-------------
0 		97,331
-------------
0 		45,529
-------------
0 		499,136
-------------
0 		0
-------------
0
11MAUREEN KURDZIEL
VICE PRESIDENT 		(i)

(ii)		 267,056
-------------
0 		96,130
-------------
0 		3,927
-------------
0 		94,175
-------------
0 		2,944
-------------
0 		464,232
-------------
0 		0
-------------
0
12INTERNA KHUTORSKY
VICE PRESIDENT 		(i)

(ii)		 212,045
-------------
0 		52,511
-------------
0 		5,830
-------------
0 		48,158
-------------
0 		43,553
-------------
0 		362,097
-------------
0 		0
-------------
0
13KELLY WEISBROD
VICE PRESIDENT & CONTROLLE 		(i)

(ii)		 218,321
-------------
0 		61,779
-------------
0 		741
-------------
0 		41,730
-------------
0 		15,933
-------------
0 		338,504
-------------
0 		0
-------------
0
14MICHAEL C CLARK
VICE PRESIDENT 		(i)

(ii)		 222,648
-------------
0 		56,203
-------------
0 		1,112
-------------
0 		37,017
-------------
0 		907
-------------
0 		317,887
-------------
0 		0
-------------
0
Schedule J (Form 990) 2021

Schedule J (Form 990) 2021
Page 3
Part III
Supplemental Information
Provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II. Also complete this part for any additional information.
Return Reference Explanation
PART I, LINE 4B AMOUNTS REPORTED IN COLUMN (C) OF PART II OF SCHEDULE J REFLECT THAT IN 2019, THE AAA'S BOARD OF DIRECTORS ADOPTED A SECTION 457(F) DEFERRED COMPENSATION PLAN COVERING CERTAIN KEY EMPLOYEES AND APPROVED THE PAYMENT OF CERTAIN AMOUNTS UNDER THE PLAN, SUBJECT TO VESTING REQUIREMENTS. THE PLAN WAS RECOMMENDED BY THE AAA'S INDEPENDENT COMPENSATION CONSULTANTS, A NATIONALLY RECOGNIZED COMPENSATION CONSULTING FIRM WITH EXPERTISE ADVISING NONPROFIT ORGANIZATIONS, IN ORDER TO REFLECT PREVAILING PRACTICES FOR SIMILAR EMPLOYERS AND HELP ATTRACT AND RETAIN THE TALENT NECESSARY TO CARRY OUT THE AAA'S CHARITABLE AND EDUCATIONAL MISSION AND MANAGE ITS OPERATIONS. THE PLAN WAS APPROVED FOLLOWING EVALUATION BY THE COMPENSATION COMMITTEE AND THE BOARD, AS WELL AS THE COMPENSATION CONSULTING FIRM'S ISSUANCE OF AN OPINION LETTER CERTIFYING TO THE REASONABLENESS OF THE COMPENSATION FOR KEY EMPLOYEES, INCLUDING THE AMOUNTS TO BE PAID UNDER THE PLAN, UNDER SECTION 4958 OF THE INTERNAL REVENUE CODE. THE REVIEW PROCESS FOLLOWED WAS DESIGNED TO QUALIFY FOR THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER TREASURY REGULATION SECTION 53.4958-6, INCLUDING REVIEW AND APPROVAL BY INDEPENDENT DIRECTORS BASED ON APPROPRIATE MARKET COMPARABILITY DATA AND WITH CONTEMPORANEOUS DOCUMENTATION OF THE PROCESS. THE FOLLOWING INDIVIDUALS PARTICIPATED IN THE SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN, WITH CONTRIBUTIONS TO THE PLAN DURING 2021 BEING: INDIA JOHNSON - $248,800 FRANCESCO ROSSI - $154,418 ERIC TUCHMANN - $127,705 DIANA DIDIA - $51,400 HAROLD COLEMAN - $39,070 ERIC DILL - $44,500 CHRISTINE NEWHALL - $47,600 ROBERT MATLIN - $47,000 DWIGHT JAMES - $45,350 MAUREEN KURDZIEL - $36,450 SASHA CARBONE - $36,450
PART I, LINE 5 SENIOR MANAGEMENT COMPENSATION INCLUDES THE POTENTIAL FOR ANNUAL INCENTIVE COMPENSATION AWARDS, WHICH MAY BE BASED, IN PART, UPON THE ACHIEVEMENT OF GOALS RELATED TO MISSION, INITIATIVES, PROJECTS, FINANCIAL PERFORMANCE TARGETS AND OTHER OUTCOMES. THESE AMOUNTS ARE INCLUDED ON SCHEDULE J, PART II, COLUMN B (II) AND INCLUDED IN THE 2021 W-2.
Schedule J (Form 990) 2021

Additional Data


Software ID:  
Software Version:  
SCHEDULE O
(Form 990)

Department of the Treasury
Internal Revenue Service
Supplemental Information to Form 990 or 990-EZ

Complete to provide information for responses to specific questions on
Form 990 or 990-EZ or to provide any additional information.
MediumBullet Attach to Form 990 or 990-EZ.
MediumBullet Go to www.irs.gov/Form990 for the latest information.
OMB No. 1545-0047
2021
Open to Public
Inspection
Name of the organization
AMERICAN ARBITRATION ASSOCIATION INC
 
Employer identification number

13-0429745
Return Reference Explanation
FORM 990, PART III, LINE 1 THE AMERICAN ARBITRATION ASSOCIATION ("AAA") IS DEDICATED TO EFFECTIVE, EFFICIENT AND ECONOMICAL METHODS OF DISPUTE RESOLUTION THROUGH EDUCATION, TECHNOLOGY AND SOLUTIONS-ORIENTED SERVICE. AS A NOT-FOR-PROFIT ORGANIZATION, OUR MISSION IS ONE OF SERVICE AND EDUCATION. THE AMERICAN ARBITRATION ASSOCIATION ("AAA") HAS, FOR NEARLY ONE HUNDRED YEARS, PIONEERED THE EFFECTIVE USE OF ARBITRATION, MEDIATION AND OTHER FORMS OF ALTERNATIVE DISPUTE RESOLUTION. THE AAA DOES NOT DECIDE CASES. RATHER, IT PROVIDES A FORUM FOR THE HEARING OF DISPUTES, TESTED RULES AND PROCEDURES THAT HAVE BROAD ACCEPTANCE AND A ROSTER OF APPROXIMATELY 5,600 IMPARTIAL ARBITRATORS AND MEDIATORS TO HEAR AND RESOLVE CASES. RECOGNIZED FOR THEIR STANDING, EXPERTISE IN THEIR FIELDS, AND THEIR DISPUTE RESOLUTION SKILLS, ARBITRATORS AND MEDIATORS ARE NOMINATED TO THE ASSOCIATION'S NATIONAL PANEL BY LEADERS IN THEIR INDUSTRY OR PROFESSION. THEIR CONDUCT IS GUIDED BY A CODE OF ETHICS, SUCH AS ONE DEVELOPED JOINTLY BY THE AAA AND THE AMERICAN BAR ASSOCIATION. AT THE END OF 2021 THE AAA HAD 28 DOMESTIC OFFICES AND ONE INTERNATIONAL OFFICE LOCATED IN SINGAPORE. IN ADDITION, THE AAA AND ITS INTERNATIONAL DIVISION, THE INTERNATIONAL CENTRE FOR DISPUTE RESOLUTION (ICDR) HAVE COOPERATIVE AGREEMENTS WITH OTHER ARBITRAL INSTITUTIONS, EDUCATIONAL INSTITUTIONS AND CHAMBERS OF COMMERCE THROUGHOUT THE WORLD. ADDITIONALLY, THE ADMINISTRATION OF ELECTION SERVICES IS A SPECIALIZED AND UNIQUE CAPABILITY OF THE AAA, AND IS PROVIDED TO VARIOUS ORGANIZATIONS, ASSOCIATIONS AND UNIONS. PROCEDURES SEEK TO ASSURE THE EQUITY OF RESULTS AND GIVE THE PARTICIPANTS THE SECURITY OF KNOWING THAT THEIR DEMOCRATIC RIGHTS HAVE BEEN FULLY AND FAIRLY PRESERVED.
FORM 990, PART VI, SECTION A, LINE 6 THE AMERICAN ARBITRATION ASSOCIATION'S MEMBERS ARE COLLECTIVELY REFERRED TO AS THE COUNCIL OF THE AAA. THE AAA'S BYLAWS STATE THAT THE COUNCIL SHALL CONSIST OF NO LESS THAN 80 AND NO GREATER THAN 100 MEMBERS, AND THE BOARD OF DIRECTORS SHALL CONSIST OF NO LESS THAN 12 AND NO MORE THAN 18 DIRECTORS. THE COUNCIL HAS THE POWER TO ELECT COUNCIL MEMBERS, DIRECTORS AND CERTAIN OFFICERS, INCLUDING THE PRESIDENT, CHAIR OF THE BOARD OF DIRECTORS AND THE CHAIR OF THE COUNCIL. COUNCIL MEMBERS ARE ELECTED AT THE ANNUAL MEETING OF THE COUNCIL TO A THREE-YEAR TERM AND ARE ELIGIBLE TO BE ELECTED FOR UP TO THREE SUCCESSIVE THREE-YEAR TERMS. ALSO, PER THE BYLAWS, "ANY VACANCIES ON THE COUNCIL MAY BE FILLED BY THE COUNCIL OR BY THE BOARD OF DIRECTORS. A MEMBER ELECTED BY THE COUNCIL TO FILL A VACANCY SHALL BE ELECTED FOR THE UNEXPIRED TERM OF THE MEMBER'S PREDECESSOR IN OFFICE AND UNTIL HIS OR HER SUCCESSOR IS DULY ELECTED AND QUALIFIED. A MEMBER ELECTED BY THE BOARD OF DIRECTORS TO FILL A VACANCY SHALL BE ELECTED FOR THE TERM OF OFFICE CONTINUING ONLY UNTIL THE NEXT ANNUAL MEETING OF THE COUNCIL, AND UNTIL HIS OR HER SUCCESSOR IS DULY ELECTED, APPOINTED AND QUALIFIED BY THE COUNCIL."
FORM 990, PART VI, SECTION A, LINE 7A AS PER THE BYLAWS OF THE AMERICAN ARBITRATION ASSOCIATION (AAA), "THE MEMBERS OF THE CORPORATION SHALL BE COLLECTIVELY REFERRED TO AS THE COUNCIL OF THE AMERICAN ARBITRATION ASSOCIATION AND CONSISTS OF NO LESS THAN 80 AND NO GREATER THAN 100 MEMBERS. THE COUNCIL HAS THE POWER TO ELECT COUNCIL MEMBERS, DIRECTORS AND CERTAIN OFFICERS, INCLUDING THE PRESIDENT, THE CHAIR OF THE BOARD OF DIRECTORS AND THE CHAIR OF THE COUNCIL.
FORM 990, PART VI, SECTION B, LINE 11B PRIOR TO SUBMISSION TO THE AUDIT COMMITTEE, THE SUBSTANTIVE INPUT FOR THE FORM 990 IS GATHERED AND REVIEWED BY SENIOR MANAGEMENT BASED UPON RESPONSIBILITY FOR THEIR RESPECTIVE AREAS OF OPERATIONS. IT IS COMPILED AND REVIEWED BY THE FINANCE DEPARTMENT WITH THE ASSISTANCE OF THE AAA'S INDEPENDENT ACCOUNTING FIRM. IT IS THEN SUBMITTED FOR REVIEW TO EXECUTIVE MANAGEMENT AT THE OFFICER LEVEL (PRESIDENT AND CEO, CFO / TREASURER AND GENERAL COUNSEL / CORPORATE SECRETARY.) SUBSEQUENT TO THESE REVIEWS THE FORM 990 IS FORWARDED TO THE COMMITTEE, AND IS MADE AVAILABLE TO THE BOARD OF DIRECTORS. ONCE REVIEWED BY THE COMMITTEE, IT IS SIGNED BY THE CFO / TREASURER AS THE APPROPRIATE OFFICER OF THE AAA, AND TRANSMITTED TO THE INTERNAL REVENUE SERVICE (IRS) BY THE AAA'S INDEPENDENT ACCOUNTING FIRM.
FORM 990, PART VI, SECTION B, LINE 12C PER THE AMERICAN ARBITRATION ASSOCIATION'S (AAA'S) BYLAWS: "THE BOARD OF DIRECTORS, THE AUDIT COMMITTEE OR A DULY AUTHORIZED COMMITTEE OF THE BOARD COMPRISED SOLELY OF DIRECTORS WHO SATISFY THE DEFINITION OF "INDEPENDENT DIRECTOR" WITHIN THE MEANING OF NPCC, SHALL OVERSEE THE ADOPTION AND IMPLEMENTATION OF AND COMPLIANCE WITH A CONFLICT OF INTEREST POLICY" DIRECTORS COMPLETE A CONFLICT OF INTEREST FORM ANNUALLY. A SEPARATE ANNUAL CONFLICT OF INTEREST STATEMENT IS REQUIRED BY THE AAA OF ITS OFFICERS AND KEY EMPLOYEES. IN BOTH INSTANCES, THE CORPORATE SECRETARY, ALSO THE AAA'S GENERAL COUNSEL, MANAGES THE RECEIPT AND REVIEW OF CONFLICT OF INTEREST SUBMISSIONS. THE AAA HAS RELIED UPON THE RESPONSES OF OFFICERS, DIRECTORS AND KEY EMPLOYEES TO ANNUAL QUESTIONNAIRES DESIGNED TO ELICIT THE DISCLOSURE OF THESE RELATIONSHIPS, AND REVIEW OF THESE FORMS IS NOTED AS REASONABLE EFFORT PER THE INSTRUCTIONS OF THIS FORM.
FORM 990, PART VI, SECTION B, LINE 15 EACH YEAR, THE COMPENSATION COMMITTEE OF THE AAA'S BOARD OF DIRECTORS IS RESPONSIBLE FOR REVIEWING AND RECOMMENDING THE COMPENSATION OF THE AAA'S PRESIDENT AND CEO. THE FULL BOARD OF DIRECTORS THEN REVIEWS AND DETERMINES THE PRESIDENT AND CEO'S COMPENSATION. THE COMPENSATION COMMITTEE CONSISTS ENTIRELY OF INDEPENDENT BOARD MEMBERS WHO DID NOT HAVE A CONFLICT OF INTEREST. IN CONDUCTING THEIR REVIEW AND MAKING THEIR DETERMINATION, THE COMPENSATION COMMITTEE AND THE BOARD OF DIRECTORS RELY UPON MARKET COMPARABILITY DATA FOR SIMILARLY QUALIFIED INDIVIDUALS IN FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY SITUATED ORGANIZATIONS PROVIDED BY AN INDEPENDENT NATIONALLY RECOGNIZED COMPENSATION CONSULTING FIRM WITH EXPERTISE ADVISING NONPROFIT ORGANIZATIONS. IN ADDITION, THE COMPENSATION CONSULTING FIRM ALSO ISSUED AN OPINION LETTER CERTIFYING TO THE REASONABLENESS OF THE PRESIDENT AND CEO'S TOTAL COMPENSATION UNDER SECTION 4958 OF THE INTERNAL REVENUE CODE. PERFORMANCE REVIEWS ARE TAKEN INTO ACCOUNT, INCLUDING ACHIEVEMENT TOWARDS OBJECTIVES ALIGNED WITH PROMOTING THE AAA'S MISSION AND SUPPORTING ITS OPERATIONS. THE COMPENSATION COMMITTEE AND BOARD'S DELIBERATIONS AND VOTE ARE DOCUMENTED CONTEMPORANEOUSLY. THE COMPENSATION DETERMINATION PROCESS IS INTENDED TO QUALIFY FOR THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER TREASURY REGULATION 53.4958-6. PART VI, SECTION B, LINE 15B: THE COMPENSATION COMMITTEE OF THE AAA'S BOARD OF DIRECTORS IS RESPONSIBLE FOR REVIEWING AND APPROVING THE OVERALL COMPENSATION STRATEGY OF OTHER OFFICERS AND KEY EMPLOYEES, AND THE PRESIDENT'S RECOMMENDATIONS FOR BASE SALARY AND INCENTIVE COMPENSATION. THE COMPENSATION COMMITTEE CONSISTS ENTIRELY OF INDEPENDENT BOARD MEMBERS WHO DID NOT HAVE A CONFLICT OF INTEREST. IN CONDUCTING THEIR REVIEW AND MAKING THEIR DETERMINATION, THE COMPENSATION COMMITTEE AND THE BOARD OF DIRECTORS RELY UPON MARKET COMPARABILITY DATA FOR SIMILARLY QUALIFIED INDIVIDUALS IN FUNCTIONALLY COMPARABLE POSITIONS AT SIMILARLY SITUATED ORGANIZATIONS PROVIDED BY AN INDEPENDENT NATIONALLY RECOGNIZED COMPENSATION CONSULTING FIRM WITH EXPERTISE ADVISING NONPROFIT ORGANIZATIONS. IN ADDITION, THE COMPENSATION CONSULTING FIRM ALSO ISSUED AN OPINION LETTER CERTIFYING TO THE REASONABLENESS OF THE TOTAL COMPENSATION OF THE AAA'S OFFICERS AND KEY EMPLOYEES UNDER SECTION 4958 OF THE INTERNAL REVENUE CODE. PERFORMANCE REVIEWS ARE TAKEN INTO ACCOUNT, INCLUDING ACHIEVEMENT TOWARDS OBJECTIVES ALIGNED WITH PROMOTING THE AAA'S MISSION AND SUPPORTING ITS OPERATIONS. THE COMPENSATION COMMITTEE'S DELIBERATIONS AND VOTE ARE DOCUMENTED CONTEMPORANEOUSLY. THE COMPENSATION DETERMINATION PROCESS IS INTENDED TO QUALIFY FOR THE "REBUTTABLE PRESUMPTION OF REASONABLENESS" UNDER TREASURY REGULATION 53.4958-6.
FORM 990, PART VI, SECTION C, LINE 19 THE AMERICAN ARBITRATION ASSOCIATION ("AAA") MAKES AVAILABLE ITS FORM 990 FOR PUBLIC INSPECTION UPON REQUEST, AND IT IS MADE AVAILABLE ON THE WWW.GUIDESTAR.ORG WEBSITE AS WELL. THE AAA DOES NOT PROVIDE FORM 1023 PER GUIDANCE ON THE IRS WEBSITE AS THE AAA DID NOT FILE THIS FORM AFTER JULY 15, 1987, NOR DID IT HAVE A COPY ON THAT DATE. TO DATE, GOVERNING DOCUMENTS AND POLICIES CONCERNING CONFLICT OF INTEREST HAVE NOT BEEN MADE AVAILABLE TO THE PUBLIC.
FORM 990, PART VI, SECTION A, LINE 2: WHILE THE AMERICAN ARBITRATION ASSOCIATION ("AAA") HAS NO ACTUAL KNOWLEDGE OF ANY FAMILY OR BUSINESS RELATIONSHIP BETWEEN OFFICERS, TRUSTEES OR KEY EMPLOYEES, THROUGH OUR ANNUAL CONFLICT OF INTEREST PROCEDURES, WE WOULD ANTICIPATE THAT AMONG THE GOVERNING BODY, THAT IS COMPOSED OF A WIDE RANGE OF LEADERS FROM VARIOUS FIELDS, THAT SOME RELATIONSHIP MAY EXIST.
FORM 990, PART VII, SECTION B, LINE 1: THE AMERICAN ARBITRATION ASSOCIATION ("AAA", "THE ASSOCIATION") MAINTAINS A ROSTER OF APPROXIMATELY 5,600 IMPARTIAL ARBITRATORS AND MEDIATORS TO HEAR AND RESOLVE CASES. TO MAINTAIN NEUTRALITY AND INTEGRITY OF THE ALTERNATIVE DISPUTE RESOLUTION PROCESS, THE ASSOCIATION FACILITATES PAYMENT TO ARBITRATORS AND MEDIATORS ON MOST CASES ON BEHALF OF THE PARTIES TO AAA ADMINISTERED CASES BY ACTING AS A CONDUIT FOR SUCH PAYMENTS. IN OTHER WORDS, THE ASSOCIATION DELIVERS PARTY PAYMENTS TO ARBITRATORS AND MEDIATORS, AND ISSUES A 1099-NEC (NON-EMPLOYEE COMPENSATION) FORM TO EACH ARBITRATOR AND MEDIATOR AT YEAR END CONSOLIDATING ALL PARTY PAYMENTS MADE THROUGH THE AAA IN THAT PERIOD. ANY RELATED EXPENSES INCURRED BY ARBITRATORS AND MEDIATORS ARE THE RESPONSIBILITY OF THE PARTIES, NOT THE ASSOCIATION. ARBITRATORS AND MEDIATORS ARE NOT CONSIDERED TO BE INDEPENDENT CONTRACTORS AS DEFINED BY THE IRS FOR THE PURPOSES OF THE FORM 990, AS THEY PROVIDE NO GOOD OR SERVICE DIRECTLY TO THE ASSOCIATION. THE 3,857 FORM 1099-NEC (NON-EMPLOYEE COMPENSATION)SUBMISSIONS NOTED ON PART V, QUESTION 1A INCLUDE ACCOUNTS FOR PAYMENTS MADE BY PARTIES TO IMPARTIAL ARBITRATORS AND MEDIATORS THROUGH THE AAA. THE AAA RECORDS THESE FUNDS IN A CUSTODIAL CAPACITY AS A LIABILITY ON THE AAA'S BALANCE SHEET. THESE FUNDS ARE NOT RECORDED OR RECOGNIZED AS INCOME OR EXPENSE. THE AAA ENSURES THAT THE IRS RECEIVES A 1099-NEC (NON-EMPLOYEE COMPENSATION) FOR THE ARBITRATORS AND MEDIATORS' CONSOLIDATED ANNUAL ACTIVITY. SOME ARBITRATORS AND MEDIATORS ARE MEMBERS OF THE ASSOCIATION'S BOARD OF DIRECTORS. HOWEVER, SUCH SERVICE IS PURELY VOLUNTARY AND NO MEMBER OF THE BOARD IS COMPENSATED FOR THEIR SERVICE AS A MEMBER OF THE BOARD, INCLUDING ANY MEMBER OF THE BOARD THAT IS ALSO AN ARBITRATOR AND MEDIATOR.
FORM 990, PART VIII, LINE 2A - 2D SINCE 1926, THE AMERICAN ARBITRATION ASSOCIATION ("AAA") HAS FAITHFULLY AND CONSISTENTLY ADHERED TO THESE GUIDELINES, AND THE REVENUE-PRODUCING ACTIVITIES LISTED IN PART VIII ARE ALL EXECUTED IN SUPPORT OF THE FOLLOWING: 2A - RELATES TO THE PURPOSE OF "ADMINISTERING PROCEDURES FOR THE RESOLUTION OF DISPUTES." THIS IS DONE BY FACILITATING PARTIES' USE OF VARIOUS SYSTEMS OF ARBITRATION, MEDIATION AND DEMOCRATIC ELECTIONS. 2B - RELATES TO THE PURPOSE OF EDUCATING THE GENERAL PUBLIC AND INTERESTED PARTIES BY WAY OF EDUCATIONAL SEMINARS RUN BY THE AAA IN VARIOUS COMMUNITIES IN FULL RANGE OF SUCH DISPUTE RESOLUTION PROCEDURES AS DESCRIBED IN OUR BYLAWS. 2C - RELATES TO PROVIDING TECHNICAL EXPERTISE TO FOREIGN ARBITRAL INSTITUTIONS IN A FULL RANGE OF DISPUTE RESOLUTION PROCEDURES AS DESCRIBED IN OUR BYLAWS. 2D - RELATES TO THE SALE OF EDUCATIONAL PUBLICATIONS ON THE SUBJECT OF CONFLICT MANAGEMENT AND VOLUNTARY DISPUTE RESOLUTION TO THE GENERAL PUBLIC AND INTERESTED PARTIES. THESE INCLUDE BOOKS, PAMPHLETS AND OTHER EDUCATIONAL MATERIALS, AS WELL AS DIGITALLY FORMATTED PUBLICATIONS AND ARBITRATION AWARDS THAT ARE PUBLICLY AVAILABLE ONLINE.
FORM 990, PART XI, LINE 9: ACCRUED POST RETIREMENT ADJUSTMENT 1,482,524. YE POST RETIREMENT ADJ -17,709.
FORM 990, PART XII, LINE 2C: NO CHANGE FROM PRIOR PERIOD PROCESS.
For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.
Cat. No. 51056K
Schedule O (Form 990) 2021


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SCHEDULE R
(Form 990)
Department of the Treasury
Internal Revenue Service
Related Organizations and Unrelated Partnerships
MediumBulletComplete if the organization answered "Yes" on Form 990, Part IV, line 33, 34, 35b, 36, or 37.
MediumBulletAttach to Form 990.
MediumBullet Go to www.irs.gov/Form990 for instructions and the latest information.

OMB No. 1545-0047
2021
Open to Public Inspection
Name of the organization
AMERICAN ARBITRATION ASSOCIATION INC
 
Employer identification number

13-0429745
Part I
Identification of Disregarded Entities. Complete if the organization answered "Yes" on Form 990, Part IV, line 33.
(a)
Name, address, and EIN (if applicable) of disregarded entity


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

 		(d)
Total income


 		(e)
End-of-year assets


 		(f)
Direct controlling
entity
(1) AMERICAN ARBITRATION ASSOCIATION - ICDR LTD
1 MARINA BOULEVARD 28-00
    018989
SN
98-0677444 		DISPUTE RESOLUTION SN   248,679 AMERICAN ARBITRATION ASSOCIATION INC
 










Part II
Identification of Related Tax-Exempt Organizations. Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related tax-exempt organizations during the tax year.
(a)
Name, address, and EIN of related organization


(b)
Primary activity


 		(c)
Legal domicile (state
or foreign country)

 		(d)
Exempt Code section


 		(e)
Public charity status
(if section 501(c)(3))

 		(f)
Direct controlling
entity

 		(g)
Section 512(b)(13) controlled entity?
Yes No
(1)AMERICAN ARBITRATION ASSOCIATION - INT'L CENTRE FOR DISPUTE RESOLUTION FNDN
120 BROADWAY FLOOR 21

NEW YORK,NY10271
13-4197286 		DISPUTE RESOLUTION RESEARCH NY 501(C)(3) LINE 7 AMERICAN ARBITRATION ASSOCIATION INC
 
Yes
 












For Paperwork Reduction Act Notice, see the Instructions for Form 990.
Cat. No. 50135Y
Schedule R (Form 990) 2021
Schedule R (Form 990) 2021
Page 2
Part III
Identification of Related Organizations Taxable as a Partnership. Complete if the organization answered "Yes" on Form 990, Part IV, line 34, because it had one or more related organizations treated as a partnership during the tax year.
(a)
Name, address, and EIN of
related organization



 		(b)
Primary activity




 		(c)
Legal
domicile
(state or foreign
country)


 		(d)
Direct controlling
entity



 		(e)
Predominant income(related, unrelated, excluded from tax under sections 512-514)

(f)
Share of total income




 		(g)
Share of end-of-year
assets



 		(h)
Disproprtionate allocations?




 		(i)
Code V-UBI
amount in box 20 of
Schedule K-1
(Form 1065)
 		(j)
General or
managing
partner?



 		(k)
Percentage
ownership
Yes No Yes No












Part IV
Identification of Related Organizations Taxable as a Corporation or Trust. Complete if the organization answered "Yes" on Form 990, Part IV, line 34 because it had one or more related organizations treated as a corporation or trust during the tax year.
(a)
Name, address, and EIN of
related organization
 		(b)
Primary activity
 		(c)
Legal
domicile
(state or foreign
country)
 		(d)
Direct controlling
entity
 		(e)
Type of entity
(C corp, S corp,
or trust) 		(f)
Share of total income
 		(g)
Share of end-of-year
assets
 		(h)
Percentage
ownership
 		(i)
Section 512(b)(13) controlled entity?
Yes No












Schedule R (Form 990) 2021
Schedule R (Form 990) 2021
Page 3
Part V
Transactions With Related Organizations. Complete if the organization answered "Yes" on Form 990, Part IV, line 34, 35b, or 36.
Note. Complete line 1 if any entity is listed in Parts II, III, or IV of this schedule.
Yes
No
1 During the tax year, did the orgranization engage in any of the following transactions with one or more related organizations listed in Parts II-IV?
a Receipt of (i) interest, (ii) annuities, (iii) royalties, or (iv) rent from a controlled entity .....................
1a
 
No
b Gift, grant, or capital contribution to related organization(s) ............................
1b
Yes
 
c Gift, grant, or capital contribution from related organization(s) ............................
1c
 
No
d Loans or loan guarantees to or for related organization(s) ............................
1d
 
No
e Loans or loan guarantees by related organization(s) ............................
1e
 
No
f Dividends from related organization(s) ............................
1f
 
No
g Sale of assets to related organization(s) ............................
1g
 
No
h Purchase of assets from related organization(s) ............................
1h
 
No
i Exchange of assets with related organization(s) ............................
1i
 
No
j Lease of facilities, equipment, or other assets to related organization(s) .......................
1j
 
No
k Lease of facilities, equipment, or other assets from related organization(s) ......................
1k
 
No
l Performance of services or membership or fundraising solicitations for related organization(s) .....................
1l
Yes
 
m Performance of services or membership or fundraising solicitations by related organization(s) .................
1m
 
No
n Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) ...................
1n
Yes
 
o Sharing of paid employees with related organization(s) ............................
1o
Yes
 
p Reimbursement paid to related organization(s) for expenses ............................
1p
Yes
 
q Reimbursement paid by related organization(s) for expenses ............................
1q
Yes
 
r Other transfer of cash or property to related organization(s) ............................
1r
Yes
 
s Other transfer of cash or property from related organization(s) ............................
1s
 
No
2
If the answer to any of the above is "Yes," see the instructions for information on who must complete this line, including covered relationships and transaction thresholds.
(a)
Name of related organization 		(b)
Transaction
type (a-s) 		(c)
Amount involved 		(d)
Method of determining amount involved





Schedule R (Form 990) 2021
Schedule R (Form 990) 2021
Page 4
Part VI
Unrelated Organizations Taxable as a Partnership. Complete if the organization answered "Yes" on Form 990, Part IV, line 37.
Provide the following information for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assets or gross revenue) that was not a related organization. See instructions regarding exclusion for certain investment partnerships.
(a)
Name, address, and EIN of entity 		(b)
Primary activity 		(c)
Legal domicile
(state or foreign
country) 		(d)
Predominant income (related, unrelated, excluded from tax under sections 512-514)

(e)
Are all partners
section
501(c)(3)
organizations? 		(f)
Share of total income




 		(g)
Share of
end-of-year
assets 		(h)
Disproprtionate allocations? 		(i)
Code V-UBI
amount in box 20
of Schedule K-1
(Form 1065) 		(j)
General or
managing
partner? 		(k)
Percentage
ownership
Yes No Yes No Yes No






























Schedule R (Form 990) 2021
Schedule R (Form 990) 2021
Page 5
Part VII
Supplemental Information
Provide additional information for responses to questions on Schedule R. See instructions.
Return Reference Explanation
SCHEDULE R, PART II, COLUMN B: THE AAA-ICDR FOUNDATION, INC, SUPPORTS THE USE AND IMPROVEMENT OF DISPUTE RESOLUTION PROCESSES IN THE USA AND INTERNATIONALLY, INCLUDING: FOSTERING MEASURES THAT REDUCE POTENTIAL ESCALATION, MANAGE AND RESOLVE CONFLICTS; EXPANDING THE USE OF DISPUTE RESOLUTION GRANTMAKING: EXPENSES INCURRED DIRECTLY RELATED TO GRANT-MAKING. THE 2021 GRANT CYCLE FOCUSED ON INNOVATIVE AND REPLICABLE PROPOSALS THAT PROVIDE: ADR FOR VULNERABLE AND UNDERSERVED POPULATIONS AND ADR FOR COMMUNITY FOCUSED DISPUTE RESOLUTION. THE FOUNDATION REMAINED COMMITTED TO FUNDING HIGH QUALITY INNOVATIVE PROGRAMS IN FURTHERANCE OF ITS BROADER MISSION.
Schedule R (Form 990) 2021

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