2021-02-09T12:16:04-06:00 2020-06-30 390859910 BAKER TILLY US LLP 777 E WISCONSIN AVE 32ND FLOOR MILWAUKEE WI 53202 990 2019-07-01 952882724 FIELDING GRADUATE UNIVERSITY FIEL 8058984010 2020 DE LA VINA ST SANTA BARBARA CA 931053814 KATRINA ROGERS PRESIDENT 8058984010 2021-02-07 1 TROY MARINE CPA P00187863 4147775500 2021-02-01 2019 2022-09-23 18:48:47Z KATRINA ROGERS 2020 DE LA VINA ST SANTA BARBARA CA 931053814 39664100 0 X WWW.FIELDING.EDU X 1974 CA FIELDING PROVIDES DOCTORAL, MASTER'S AND GRADUATE-LEVEL CERTIFICATE PROGRAMS IN THE FIELDS OF EDUCATIONAL LEADERSHIP, ORGANIZATION DEVELOPMENT, AND PSYCHOLOGY. 18 18 275 16 0 0 1780041 1418491 20982620 20187998 543635 2732944 28029 100405 23334325 24439838 477192 666763 0 0 16579595 15918263 0 0 307616 6155295 5648107 23212082 22233133 122243 2206705 29275467 31092694 6742917 8504046 22532550 22588648 WE PROVIDE EXEMPLARY INTERDISCIPLINARY PROGRAMS FOR A COMMUNITY OF SCHOLAR-PRACTITIONERS WITHIN A DISTRIBUTED LEARNING MODEL GROUNDED IN STUDENT-DRIVEN INQUIRY AND LEADING TO ENHANCED KNOWLEDGE. 0 0 14934572 666763 20187998 FIELDING GRADUATE UNIVERSITY IS AN ACCREDITED PROVIDER OF BLENDED GRADUATE EDUCATION, COMBINING FACE-TO-FACE AND ONLINE LEARNING. FIELDING OFFERS DOCTORAL, MASTER'S, AND ADVANCED CERTIFICATE PROGRAMS IN THE FIELDS OF EDUCATIONAL LEADERSHIP, HUMAN AND ORGANIZATIONAL DEVELOPMENT, AND CLINICAL AND MEDIA PSYCHOLOGY TO MID-CAREER ADULTS. APPROXIMATELY 1,000 STUDENTS ARE SERVED THROUGHOUT THE WORLD WITH THE MAJORITY RESIDING IN THE UNITED STATES AND NORTH AMERICA. 14934572 1 1 0 0 0 0 0 0 0 1 1 0 0 0 1 1 1 0 1 1 1 0 1 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 76 0 275 1 0 0 0 0 0 0 0 0 0 0 0 0 X 18 18 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA X PREMA WINDOKUN 8058984010 2020 DE LA VINA STREET SANTA BARBARA CA 931053538 KATRINA ROGERS PRESIDENT & CEO 37.50 X 317205 0 96106 MONIQUE SNOWDEN SR VICE PRESIDENT & PROVOST 37.50 X 212638 0 46996 KRISTINE JACQUIN PROG LEAD, CHAIR SCHOOL OF PSYCHOLOGY 37.50 X 161094 0 26870 KATHERINE MCGRAW DIRECTOR SPONSER RESEARCH/INTERIM ASSOCIATE PROVOST 37.50 X 123612 0 56607 ORLANDO TAYLOR SPECIAL ADVISOR, STRATEGIC INITIATIVES & RESEARCH 37.50 X 152390 0 26639 STEVEN SCHAPIRO DEAN ACADEMIC AFFAIRS/CORE FACULTY HOD 37.50 X 132167 0 39358 MARILYN FREIMUTH DIRECTOR CLINICAL PSYCHOLOGY 37.50 X 143248 0 25379 TIMOTY DEBOLT DIRECTOR OF MARKETING 37.50 X 120424 0 15532 PREMA WINDOKUN VICE PRESIDENT & CFO 37.50 X 119050 0 10415 DOROTHY AGGER GUPTA FACULTY MEMBER & TRUSTEE AS OF 6/19 37.50 X 92040 0 7099 ANTHONY GREENE FACULTY MEMBER & TRUSTEE 37.50 X 90454 0 6991 MANLEY BEGAY TRUSTEE 2.00 X 0 0 0 KEITH EARLEY TRUSTEE 2.00 X 0 0 0 JUDITH KATZ TRUSTEE 2.00 X 0 0 0 MICHAEL ALI TRUSTEE AS OF 3/19 2.00 X 0 0 0 JOHN BENNETT TRUSTEE AS OF 3/19 2.00 X 0 0 0 MICHAEL GOLDSTEIN TRUSTEE AS OF 3/19 2.00 X 0 0 0 ELIZABETH HARDY TRUSTEE AS OF 10/19 2.00 X 0 0 0 MB BETTENCOURT TRUSTEE AS OF 1/20 2.00 X 0 0 0 RUSS GOODMAN TRUSTEE AS OF 1/20 2.00 X 0 0 0 CONNIE SHAFRAN TRUSTEE AS OF 5/20 2.00 X 0 0 0 ZABRINA EPPS STUDENT TRUSTEE AS OF 5/19 2.00 X 0 0 0 MARIA SANCHEZ STUDENT TRUSTEE AS OF 5/19 2.00 X 0 0 0 WAYNE PATTERSON TRUSTEE THRU 5/20 2.00 X 0 0 0 OTTO LEE TRUSTEE THRU 11/19 2.00 X 0 0 0 PATRICIA ZELL TRUSTEE AND SECRETARY AS OF 5/18 4.00 X X 0 0 0 NANCY BAKER TRUSTEE AND TREASURER AS OF 5/19 4.00 X X 0 0 0 KAREN BOGART TRUSTEE AND CHAIR OF BOARD AS OF 5/18 4.00 X X 0 0 0 GARY WAGENHEIM TRUSTEE AND VICE CHAIR AS OF 5/18 4.00 X X 0 0 0 1664322 0 357992 17 0 1 0 TYTON PARTNERS CONSULTING LLC 100 FRANKLIN STREET BOSTON MA 02110 MANAGEMENT CONSULTING 175000 COOLEY LLP 101 CALIFORNIA STREET SAN FRANCISCO CA 94111 LEGAL 143304 2 1025386 393105 22914 1418491 TUITION AND FEES 611600 20187998 20187998 20187998 584135 584135 17373071 15224262 2148809 2148809 2148809 OTHER INCOME 611600 100405 100405 100405 24439838 20187998 0 2833349 9448 9448 636565 636565 20750 20750 1178024 196584 951590 29850 10692266 8703247 1845625 143394 735107 539707 185968 9432 2394527 1676396 649628 68503 918339 690379 215396 12564 209280 209280 75283 75283 72864 72864 857557 245291 612175 91 433143 20487 403047 9609 121864 25811 90788 5265 909082 32431 867171 9480 326874 313059 13815 183576 72252 105153 6171 1106979 1052949 43959 10071 104929 19544 85385 208682 102463 106219 196213 196213 PROGRAM AND RESEARCH 533357 495119 38238 ADMINISTRATIVE FEES 157863 175 157688 PROFESSIONAL DEVELOPMEN 150561 81915 65460 3186 22233133 14934572 6990945 307616 5420518 10181555 1393947 1250362 1005623 916397 9201 9201 610086 550915 11192204 6246105 4945097 4946099 15878577 13225747 12418 12418 29275467 31092694 891805 849418 2343318 4402675 3507794 3251953 6742917 8504046 X 16722423 16760338 5810127 5828310 22532550 22588648 29275467 31092694 2206705 -2150607 0 X X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 6642253 143094 296608 96241 1877 6983837 6340354 80228 317844 92344 3829 6642253 5758923 221093 436178 26590 49250 6340354 4913437 304655 614518 25975 47712 5758923 4950215 147650 -104451 19850 60127 4913437 0.42000 0.58000 0 0 2603972 2603972 4368549 2334846 2033703 4219683 3911259 308424 4946099 UNEARNED TUITION 3251953 3251953 X 21726081 -2150607 -2150607 23876688 72864 490286 563150 24439838 21669983 0 21669983 72864 490286 563150 22233133 PART V, LINE 4: ENDOWMENT FUNDS ARE USED TO SUPPORT GENERAL OPERATIONS, SCHOLARSHIPS, RESEARCH AND EDUCATIONAL ACTIVITIES. PART X, LINE 2: THE INTERNAL REVENUE SERVICE HAS DETERMINED THAT THE UNIVERSITY IS EXEMPT FROM FEDERAL INCOME TAX UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. ACCORDINGLY, THE UNIVERSITY IS NOT SUBJECT TO FEDERAL INCOME TAXES EXCEPT TO THE EXTENT IT DERIVES INCOME FROM CERTAIN ACTIVITIES NOT SUBSTANTIALLY RELATED TO ITS TAX-EXEMPT PURPOSES (UNRELATED TRADE OR BUSINESS ACTIVITIES). THE UNIVERSITY IS ALSO EXEMPT FROM STATE INCOME TAX. AT JUNE 30, 2020 AND 2019, THE UNIVERSITY HAD NO OBLIGATION FOR UNRELATED BUSINESS INCOME TAX. THE UNIVERSITY FOLLOWS THE ACCOUNTING STANDARDS FOR CONTINGENCIES IN EVALUATING UNCERTAIN TAX POSITIONS. THIS GUIDANCE PRESCRIBES RECOGNITION THRESHOLD PRINCIPLES FOR THE FINANCIAL STATEMENT RECOGNITION OF TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN ON A TAX RETURN THAT ARE NOT CERTAIN TO BE REALIZED. NO LIABILITY HAS BEEN RECOGNIZED BY THE UNIVERSITY FOR UNCERTAIN TAX POSITIONS AS OF JUNE 30, 2020 AND 2019. THE UNIVERSITY'S TAX RETURNS ARE SUBJECT TO REVIEW AND EXAMINATION BY FEDERAL AND STATE AUTHORITIES. PART XI, LINE 4B - OTHER ADJUSTMENTS: SCHOLARSHIPS AND GRANTS 490,286. PART XII, LINE 4B - OTHER ADJUSTMENTS: SCHOLARSHIPS AND GRANTS 490,286. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 SCHEDULE E, PART I, LINE 3 THE UNIVERSITY DRAWS STUDENTS NATIONWIDE AND MEETS THE PUBLICITY REQUIREMENT BY INCLUDING A STATEMENT OF POLICY IN ALL BROCHURES AND CATALOGS AND ON THE UNIVERSITY'S WEBSITE. SCHEDULE E, PART I, LINE 6 FIELDING GRADUATE UNIVERSITY PARTICIPATES IN TITLE IV FEDERAL FINANCIAL AID PROGRAMS PROVIDING STUDENT EDUCATIONAL LOANS TO STUDENTS AND GRANT FUNDS FOR RESEARCH. 1 NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 0 5 PROGRAM SERVICES - EDUCATION EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 0 1 PROGRAM SERVICES - EDUCATION CENTRAL AMERICA AND THE CARIBBEAN - ANTIGUA & BARBUDA, ARUBA, BAHAMAS, 0 1 PROGRAM SERVICES - EDUCATION 0 7 0 0 0 7 0 0 0 TUITION ASSISTANCE, SCHOLARSHIP NORTH AMERICA - CANADA AND MEXICO, BUT NOT THE UNITED STATES 5 13500 POSTED TO STUDENT'S ACCOUNT TUITION ASSISTANCE, SCHOLARSHIP EAST ASIA AND THE PACIFIC - AUSTRALIA, BRUNEI, BURMA, CAMBODIA, 1 2000 POSTED TO STUDENT'S ACCOUNT TUITION ASSISTANCE, SCHOLARSHIP CENTRAL AMERICA AND CARRIBEAN 2 5250 POSTED TO STUDENT'S ACCOUNT 0 0 0 0 0 0 PART I, LINE 2: GRANT FUNDS COME IN THE FORM OF SCHOLARSHIP OR TUITION ASSISTANCE APPLIED DIRECTLY AGAINST TUITION COSTS. PART I, LINE 3: THE ORGANIZATION DOES NOT SEPARATELY TRACK EXPENDITURES RELATED TO THESE ACTIVITIES OTHER THAN DIRECT SCHOLARSHIP ASSISTANCE TO INDIVIDUALS RESIDING OUTSIDE THE US. PART III ACCOUNTING METHOD: PART I, LINE 3, COLUMN (E): REGION: NORTH AMERICA - SPECIFIC TYPES OF SERVICES IN REGION: THE ORGANIZATION PROVIDES GRADUATE PROGRAMS TO STUDENTS IN THE UNITED STATES AND THROUGHOUT THE WORLD. STUDENTS PARTICIPATE IN PROGRAMS VIA FACE-TO-FACE SESSIONS AND ONLINE COURSES AND SEMINARS FOR INDIVIDUALS AND GROUPS. FACE-TO-FACE SESSIONS ARE HELD IN THE UNITED STATES AND STUDENTS TRAVEL TO PARTICIPATE IN THESE PROGRAMS. ADMINISTRATIVE OFFICES ARE LOCATED IN THE UNITED STATES AND THE MAJORITY OF FACULTY RESIDE IN THE UNITED STATES. ONE FACULTY RESIDES IN CANADA. APPROXIMATELY 97% OF STUDENTS RESIDE IN NORTH AMERICA AND 3% RESIDE IN 25 DIFFERENT COUNTRIES. PROGRAM EXPENDITURES ARE INCURRED PRIMARILY IN THE UNITED STATES AND THE ORGANIZATION DOES NOT SEPARATELY TRACK EXPENDITURES SERVING STUDENTS RESIDING OUTSIDE OF THE UNITED STATES OTHER THAN SCHOLARSHIP ASSISTANCE. SCHOLARSHIP ASSISTANCE IN NORTH AMERICA, OTHER THAN IN THE UNITED STATES, WAS $13,500 REGION: EAST ASIA AND THE PACIFIC - SPECIFIC TYPES OF SERVICES IN REGION: THE ORGANIZATION PROVIDES GRADUATE PROGRAMS TO STUDENTS IN THE UNITED STATES AND THROUGHOUT THE WORLD. STUDENTS PARTICIPATE IN PROGRAMS VIA FACE-TO-FACE SESSIONS AND ONLINE COURSES AND SEMINARS FOR INDIVIDUALS AND GROUPS. FACE-TO-FACE SESSIONS ARE HELD IN THE UNITED STATES AND STUDENTS TRAVEL TO PARTICIPATE IN THESE PROGRAMS. ADMINISTRATIVE OFFICES ARE LOCATED IN THE UNITED STATES AND THE MAJORITY OF FACULTY RESIDE IN THE UNITED STATES. ONE FACULTY RESIDES IN CANADA. APPROXIMATELY 97% OF STUDENTS RESIDE IN NORTH AMERICA AND 3% RESIDE IN 25 DIFFERENT COUNTRIES. PROGRAM EXPENDITURES ARE INCURRED PRIMARILY IN THE UNITED STATES AND THE ORGANIZATION DOES NOT SEPARATELY TRACK EXPENDITURES SERVING STUDENTS RESIDING OUTSIDE OF THE UNITED STATES OTHER THAN SCHOLARSHIP ASSISTANCE. SCHOLARSHIP ASSISTANCE IN EAST ASIA & THE PACIFIC WAS $2,000. REGION: CENTRAL AMERICA AND CARRIBEAN - SPECIFIC TYPES OF SERVICES IN REGION: THE ORGANIZATION PROVIDES GRADUATE PROGRAMS TO STUDENTS IN THE UNITED STATES AND THROUGHOUT THE WORLD. STUDENTS PARTICIPATE IN PROGRAMS VIA FACE-TO-FACE SESSIONS AND ONLINE COURSES AND SEMINARS FOR INDIVIDUALS AND GROUPS. FACE-TO-FACE SESSIONS ARE HELD IN THE UNITED STATES AND STUDENTS TRAVEL TO PARTICIPATE IN THESE PROGRAMS. ADMINISTRATIVE OFFICES ARE LOCATED IN THE UNITED STATES AND THE MAJORITY OF FACULTY RESIDE IN THE UNITED STATES. ONE FACULTY RESIDES IN CANADA. APPROXIMATELY 97% OF STUDENTS RESIDE IN NORTH AMERICA AND 3% RESIDE IN 25 DIFFERENT COUNTRIES. PROGRAM EXPENDITURES ARE INCURRED PRIMARILY IN THE UNITED STATES AND THE ORGANIZATION DOES NOT SEPARATELY TRACK EXPENDITURES SERVING STUDENTS RESIDING OUTSIDE OF THE UNITED STATES OTHER THAN SCHOLARSHIP ASSISTANCE. SCHOLARSHIP ASSISTANCE IN CENTRAL AMERICA AND CARRIBEAN WAS $5,250. 1 TUITION SCHOLARSHIPS AWARDED TO STUDENTS 171 461804 RESEARCH GRANTS AWARDED TO FACULTY MEMBERS 9 39428 RESEARCH GRANTS AWARDED TO STUDENTS 8 7732 GRANT AWARDS TO OUTSIDE PARTIES 3 8800 CARES ACT HREEF GRANTS AWARDED TO STUDENTS 594 118800 SUPPORT PART I, LINE 2: FIELDING GRADUATE UNIVERSITY AWARDS TUITION SCHOLARSHIPS TO STUDENTS OF THE UNIVERSITY AND ARE IMMEDIATELY APPLIED AGAINST THE STUDENT'S TUITION CHARGES. FIELDING GRADUATE UNIVERSITY AWARDS RESEARCH GRANTS TO FACULTY MEMBERS AND STUDENTS OF THE UNIVERSITY AND REQUIRES WRITTEN REPORTS FROM GRANT RECIPIENTS. FORM 990, SCH I, PART III: CARES ACT HREEF: $200 GRANTS WERE MADE TO THE ELIGIBLE STUDENTS AS PART OF THE RELIEF FUNDS RECEIVED BY FIELDING GRADUATE UNIVERSITY FROM THE DEPARTMENT OF EDUCATION. X 1 1 X X X X X 0 0 0 0 0 0 0 0 0 KATRINA ROGERS PRESIDENT & CEO 295605 0 21600 0 0 0 23506 0 72600 0 413311 0 0 0 MONIQUE SNOWDEN SR VICE PRESIDENT & PROVOST 212638 0 0 0 0 0 17194 0 29802 0 259634 0 0 0 KRISTINE JACQUIN PROG LEAD, CHAIR SCHOOL OF PSYCHOLOG 161094 0 0 0 0 0 12679 0 14191 0 187964 0 0 0 KATHERINE MCGRAW DIRECTOR SPONSER RESEARCH/INTERIM ASSOCIATE P 123612 0 0 0 0 0 10417 0 46190 0 180219 0 0 0 ORLANDO TAYLOR SPECIAL ADVISOR, STRATEGIC INITIATIV 152390 0 0 0 0 0 12240 0 14399 0 179029 0 0 0 STEVEN SCHAPIRO DEAN ACADEMIC AFFAIRS/CORE FACULTY H 112167 0 0 0 20000 0 9125 0 30233 0 171525 0 0 0 MARILYN FREIMUTH DIRECTOR CLINICAL PSYCHOLOGY 143248 0 0 0 0 0 10980 0 14399 0 168627 0 0 0 PART I, LINE 1A HOUSING FOR THE PRESIDENT/CEO ON THE EMPLOYER'S PREMISES AND AS A CONDITION OF EMPLOYMENT HAVE BEEN EXCLUDED FROM COMPENSATION UNDER INTERNAL REVENUE CODE SECTION 119(A), AND ARE INCLUDED IN NONTAXABLE BENEFITS. FORM 990, PART VI, SECTION A, LINE 1 THE EXECUTIVE COMMITTEE IS COMPRISED OF THE OFFICERS AND THE CHAIRS OF THE STANDING COMMITTEES WHO ARE ALL MEMBERS OF THE GOVERNING BODY. THE COMMITTEE HAS THE POWER TO ACT ON BEHALF OF THE BOARD DURING PERIODS BETWEEN MEETINGS EXCEPT FILLING VACANCIES ON THE BOARD OR COMMITTEES, CHANGING BYLAWS, CHANGING A RESOLUTION THAT REQUIRES BOARD ACTION, AND APPOINTMENT OF ANY OTHER COMMITTEES OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 11B THE FORM 990 IS PROVIDED TO EACH VOTING MEMBER OF THE BOARD OF TRUSTEES PRIOR TO THE FORM BEING SUBMITTED TO THE IRS. FORM 990, PART VI, SECTION B, LINE 12C FIELDING GRADUATE UNIVERSITY HAS A CONFLICT OF INTEREST POLICY THAT DEFINES: 1. THE NATURE OF A CONFLICT OF INTEREST AND WHEN IT MUST BE BROUGHT TO THE ATTENTION OF THE BOARD BY THE PERSON WITH THE CONFLICT. 2. A PROCEDURE WHEREBY INTERESTED PARTIES MAY BRING POTENTIAL CONFLICTS OF INTEREST TO THE ATTENTION OF THE APPROPRIATE BODIES. 3. A PROCEDURE FOR EACH TRUSTEE AND SENIOR MANAGEMENT EMPLOYEE TO COMPLETE A CONFLICT OF INTEREST DISCLOSURE FORM ANNUALLY. 4. A PROCEDURE FOR THE REVIEW AND DETERMINATION OF A CONFLICT OF INTEREST. FORM 990, PART VI, SECTION B, LINE 15 THE PRESIDENT'S CURRENT COMPENSATION WAS SET BY A SUBCOMMITTEE OF THE EXECUTIVE COMMITTEE OF FIELDING'S BOARD OF TRUSTEES. THE SUBCOMMITTEE USED COMPARABILITY DATA FROM THREE DIFFERENT SOURCES (TWO OF THEM SPECIFIC TO HIGHER EDUCATION, AND ONE GENERAL SOURCE) AND SOUGHT REVIEW BY LEGAL COUNSEL. THE PROCESS WAS BEGUN IN MAY 2015, CONCLUDED IN FEBRUARY 2016, AND DOCUMENTED IN APRIL 2016. SALARIES FOR OTHER KEY EMPLOYEES HAVE BEEN SET IN ACCORDANCE WITH FIELDING'S COMPENSATION POLICY, WHICH STATES THAT COMPENSATION SHALL BE BASED ON CURRENT JOB MARKET DATA AND REVIEWED REGULARLY. FIELDING SETS SALARY RANGES THAT BRIDGE THE MEDIAN MARKET SALARIES FOR COMPARABLE POSITIONS. THIS PROCESS WAS USED BY THE HUMAN RESOURCES DEPARTMENT TO ESTABLISH COMPENSATION FOR OTHER KEY EMPLOYEES (CFO, PROVOST, AND OTHER VICE PRESIDENT POSITIONS). FORM 990, PART VI, SECTION C, LINE 19 BYLAWS, CONFLICT OF INTEREST POLICY AND AUDITED FINANCIAL STATEMENTS ARE AVAILABLE ON OUR OWN WEBSITE. FORM 990, PART XII, LINE 2C THE OVERSIGHT AND SELECTION PROCESS FOR THE FINANCIAL STATEMENT AUDIT HAS NOT CHANGED FROM THE PRIOR YEAR.