2017-05-12T17:12:10-05:00 2016-06-30 910189318 Moss Adams LLP 3121 W March Ln Ste 200 Stockton CA 952192367 990 2015-07-01 954786748 Claremont University Consortium CLAR 9096218043 101 S Mills Ave Claremont CA 91711 Mia Alonzo Controller 9096218043 2017-05-11 1 Tracy S Paglia P00366884 2099556100 2017-05-11 2015 2021-01-29 14:40:06Z Stig Lanesskog 101 S Mills Ave Claremont CA 91711 139171741 0 X www.cuc.claremont.edu X 2000 CA To advance The Claremont Colleges by promoting collaboration; by providing innovative, high quality, and cost effective customer-oriented services; and by supporting the establishment of new institutions. 25 16 404 25 9697 0 226818 1622793 40626745 41526911 30405857 1071808 8785 19873 71268205 44241385 0 0 0 0 21127156 22447049 0 0 40910 16915661 18023346 38042817 40470395 33225388 3770990 119993366 119739504 28907507 27235326 91085859 92504178 To advance The Claremont Colleges by promoting collaboration; by providing innovative, high quality, and cost effective customer-oriented services; and by supporting the establishment of new institutions. 0 0 15007906 16976386 Academic Support services provided by the Consortium include the central library system and bookstore providing library services and making textbooks available for the faculty and students of the Claremont Colleges. 5577878 6309488 Student services provided to the Claremont Colleges by the Consortium include: health and counseling services; ethnic centers; an interfaith office of chaplains and campus safety. 12359945 18241037 Institutional Support services provided to the Claremont Colleges by the Consortium include: food services administration; physical plant and facilities support; payroll and accounting; information technology; real estate; risk management; and employee benefits. Additional functions include advancing The Claremont Colleges, founding additional institutions and promoting cooperation among members to enhance programs. 32945729 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 1 1 0 0 0 1 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 0 0 1 76 0 1 404 1 1 1 0 0 0 0 0 0 0 0 0 X 25 16 0 0 0 0 0 1 1 1 1 0 0 1 1 1 1 1 1 1 1 0 CA X Mia Alonzo 9096218043 101 S Mills Ave Claremont CA 91711 Bryant C Danner Chair of the Board 1.00 X X 0 0 0 Stig Lanesskog Chief Executive Officer 40.00 X X 347371 0 49603 Michael E Rossi Constituent Member 1.00 1.00 X 0 0 0 Robert Schult Constituent Member 1.00 40.00 X 0 137500 28685 Amy Marcus-Newhall Constituent Member 1.00 40.00 X 0 285391 58034 Shahan Soghikian Constituent Member 1.00 3.00 X 0 0 0 Sheldon M Schuster Constituent Member 1.00 40.00 X 0 476392 47772 Thomas Poon thru 616 Constituent Member 1.00 40.00 X 0 114252 49672 David W Oxtoby Constituent Member 1.00 40.00 X 0 513009 102175 David G Mgrublian Constituent Member 1.00 1.00 X 0 0 0 Maria M Klawe Constituent Member 1.00 50.00 X 0 542824 90031 Mark R Herron Constituent Member 2.00 4.00 X 0 0 0 Samuel Glick Constituent Member 1.00 5.00 X 0 0 0 Wayne Drinkward Constituent Member 1.00 1.00 X 0 0 0 Robert E Curry Constituent Member 2.00 1.00 X 0 0 0 Hiram E Chodosh Constituent Member 1.00 40.00 X 0 539351 151072 Jeanne M Buckley thru 715 Constituent Member 1.00 3.00 X 0 0 0 Lori Bettison-Varga Constituent Member (thru 10/15) 1.00 40.00 X 0 385227 125068 James E Blancarte Member at Large 1.00 X 0 0 0 R Stanton Hales Member at Large 2.00 X 0 0 0 W Roderick Hamilton Member at Large 1.00 X 0 0 0 Charles Winner Member at Large 1.00 X 0 0 0 Cristina Rose Member at Large 4.00 X 0 0 0 Susan A Nelson Member at Large 1.00 X 0 0 0 Sharon Garrett Member at Large 1.00 X 0 0 0 Brenda A Levin Member at Large 2.00 X 0 0 0 Robert L Adler Vice Chair of the Board 2.00 X X 0 0 0 Mia Alonzo Controller 20.00 24.00 X 139409 0 21549 Bonnie Clemens Sec to Board/Asst to CEO 40.00 X 146316 0 25083 Lori Husein VP Finance & Admin/Treasur 40.00 X 159144 0 30888 Denise Hayes VP for Student Affairs 40.00 X 204393 0 36365 Kevin Mulroy Director, Libraries 40.00 X 179846 0 20391 Rene Yang Director, Asia Relations 40.00 X 138581 0 31241 Jennie Ho Director, Student Health Services 40.00 X 144450 0 53969 Maria Dunton Physician 40.00 X 124215 0 41582 Nayan Shah Physician 40.00 X 123208 0 29005 Jessica Schatz Assistant Controller 40.00 X 112770 0 18682 Deborah Freund thru 615 Former Constituent Member 0.00 0.00 X 0 501924 98894 Laura Skandera Trombley Former Constituent Member (thru 6/15) 0.00 0.00 X 0 560754 63922 ML Dinkel thru 914 Former CEO 0.00 X 242913 0 0 2062616 4056624 1173683 17 1 1 0 Workday Inc 6230 Stoneridge Mail Road Pleasanton CA 94588 Software Consulting 1894952 JT Communications Inc 1607 Erin Avenue Upland CA 91784 Telephone Serv. Consultant 486907 Amtech Elevator Services Inc 2701 Media Ctr Dr Ste 2 Los Angeles CA 90065 Elevator Services 314448 OCLC INC 4412 Solutions Center Chicago IL 606774004 Cataloging Services 294857 Beyond Services Inc 11219 Rosburg Rd Beaumont CA 92223 Custodial services 229511 17 4362 1618431 1622793 Support services 611710 41207493 41207493 Student Loan Interest 611710 211462 211462 Program Rental 611710 107956 107956 41526911 278420 9697 268723 42338 22465 19873 19873 19873 95701279 94832320 75571 868959 -75571 793388 793388 44241385 41526911 9697 1081984 1466254 497875 968379 110415 44166 66249 15099986 12049441 3050545 1932519 1610080 322439 2662060 2333183 328877 1175815 950790 225025 40617 19061 21556 236873 13191 223682 132981 132981 129870 129870 2181777 1792076 374116 15585 388900 281664 103836 3400 1512632 1166332 328161 18139 1432566 1127178 305388 1241800 1127450 114350 413538 321873 90315 1350 387235 268752 116098 2385 789196 730147 59049 264173 222592 41581 2714849 2526677 188172 66161 64414 1747 Books & periodicals 3753426 3751233 2142 51 Building repair 2059022 1907964 151058 277730 139590 138140 40470395 32945729 7483756 40910 7602928 9022795 28060962 5037910 112682 29378 2039493 4266603 270937 264936 2711022 1818438 71829591 31762005 41728199 40067586 21301897 45531840 9560569 7758932 2588777 2654820 2418553 3228441 1597347 57825 119993366 119739504 5821438 8484960 15846016 14658457 2929200 3767785 4310853 324124 28907507 27235326 X 61475472 63904265 16917074 15892073 12693313 12707840 91085859 92504178 119993366 119739504 X 3770990 -2396096 43425 X 0 1 X 1 0 X X X 7 Pomona College 951664112 2 1 0 0 Claremont Graduate University 951664100 2 1 0 0 Scripps College 951664123 2 1 0 0 Claremont McKenna College 951664101 2 1 0 0 Harvey Mudd College 951911219 2 1 0 0 Pitzer College 952261113 2 1 0 0 Keck Graduate Institute of Applied Life Sciences 954625327 2 1 0 0 7 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 0 Schedule A, Part I, Line 11, Col (vi) - Other Support The purpose of Claremont University Consortium is to support The Claremont Colleges (organizations listed under Schedule A, Part I, item 11. Therefore, all of the program expenses are support paid for the benefit of the organizations listed. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 31600 X X X X X See Part XIV 0 28994668 76934 -1056360 6303 1421869 171001 26416069 30482679 450 46891 20830 1357119 157403 28994668 27661147 1731 4324561 19681 1291748 193331 30482679 26648529 4495 2558327 20295 1331927 197982 27661147 28465506 15607 -274533 23377 1347807 186867 26648529 0.00650 0.48110 0.51250 1 1 1 9366546 9366546 47296493 19466432 27830061 12477467 10885812 1591655 2689085 1409761 1279324 40067586 Absolute Return 5393779 F Private Equity/Venture Capital 2365153 F 7758932 Funds held in trust for others 57825 Asset retirement obligation 266299 324124 X 42383329 -2396096 518826 -1877270 44260599 129870 -149084 -19214 44241385 40965010 624485 624485 40340525 129870 129870 40470395 Part III, Line 4: Claremont University Consortium holds a historic musical instrument (violin), which is used for research, exhibition, teaching, performance, loan programs and preservation for future generations, which furthers the educational purpose of the affiliated institutions. Part V, Line 4: Claremont University Consortium uses the earnings of its endowment funds according to the direction of the donor. Earnings are primarily used to support the Libraries of the Claremont Colleges and intercollegiate scholarships and professorships. Where no donor intent is specified, the earnings fund the general operations of the Consortium. Part X, Line 2: In accordance with generally accepted accounting principles, the Consortium had no uncertain tax positions at June 30, 2016 and 2015. Part XI, Line 2d - Other Adjustments: Actuarial Adjustment -105,659. Rental Expense 22,465. Cost of Sale 602,020. Part XI, Line 4b - Other Adjustments: Comprehensive Pension Expense -158,781. Income from K-1's 9,697. Part XII, Line 2d - Other Adjustments: Cost of Sale 602,020. Rental Expense 22,465. Central America and the Caribbean - 0 0 Investments 9090177 0 0 0 0 0 0 9090177 0 9090177 1 0 1 0 0 0 X X 1 1 X X 1 1 0 0 0 0 0 1 0 Stig Lanesskog Chief Executive Officer 298870 0 0 0 48501 0 29430 0 20173 0 396974 0 0 0 Robert Schult Constituent Member 0 137122 0 0 0 378 0 28602 0 83 0 166185 0 0 Amy Marcus-Newhall Constituent Member 0 285391 0 0 0 0 0 31800 0 26234 0 343425 0 0 Sheldon M Schuster Constituent Member 0 404275 0 0 0 72117 0 31800 0 15972 0 524164 0 0 Thomas Poon thru 616 Constituent Member 0 114183 0 0 0 69 0 14100 0 35572 0 163924 0 0 David W Oxtoby Constituent Member 0 471009 0 0 0 42000 0 32293 0 69882 0 615184 0 0 Maria M Klawe Constituent Member 0 507509 0 0 0 35315 0 31800 0 58231 0 632855 0 0 Hiram E Chodosh Constituent Member 0 459627 0 0 0 79724 0 64430 0 86642 0 690423 0 0 Lori Bettison-Varga Constituent Member (thru 10/15) 0 309263 0 25000 0 50964 0 31800 0 93268 0 510295 0 0 Mia Alonzo Controller 133929 0 5000 0 480 0 14809 0 6740 0 160958 0 0 0 Bonnie Clemens Sec to Board/Asst to CEO 145056 0 0 0 1260 0 15154 0 9929 0 171399 0 0 0 Lori Husein VP Finance & Admin/Treasur 138584 0 20000 0 560 0 15447 0 15441 0 190032 0 0 0 Denise Hayes VP for Student Affairs 192393 0 0 0 12000 0 21477 0 14888 0 240758 0 0 0 Kevin Mulroy Director, Libraries 179105 0 0 0 741 0 19212 0 1179 0 200237 0 0 0 Rene Yang Director, Asia Relations 138581 0 0 0 0 0 14802 0 16439 0 169822 0 0 0 Jennie Ho Director, Student Health Services 144450 0 0 0 0 0 16553 0 37416 0 198419 0 0 0 Maria Dunton Physician 124215 0 0 0 0 0 11796 0 29786 0 165797 0 0 0 Nayan Shah Physician 123208 0 0 0 0 0 12889 0 16116 0 152213 0 0 0 Deborah Freund thru 615 Former Constituent Member 0 305906 0 0 0 196018 0 29430 0 69464 0 600818 0 144898 Laura Skandera Trombley Former Constituent Member (thru 6/15 0 282806 0 0 0 277948 0 31800 0 32122 0 624676 0 0 ML Dinkel thru 914 Former CEO 0 0 0 0 242913 0 0 0 0 0 242913 0 0 0 Part I, Line 1a A housing allowance in the amount of $12,000 was paid to the VP Student Services/Dean. The allowance was included in taxable compensation. Housing is also provided to the CEO for which the fair market value of the rent is included as taxable income. A taxable discretionary gross up bonus was given to the following individuals during the year: Mia Alonzo and Lori Husein. Part I, Lines 4a-b Part I, line 4a: During calendar 2014, CUC entered into severance agreements with one officer (Dinkel), which included severance pay for 12 months, COBRA benefits and a payout of accrued vacation, with a total value of $285,509. Part I, line 4b: Presidents of the Claremont Colleges participate in Section 457(f) plans provided by their respective institution. One or more of the Presidents received a payment per their plan agreement during the year. Part I, Line 7 Non-fixed payments such as bonuses are granted at the request of an employee's manager to provide compensation for unique or one-time projects or other discrete issues. A CA Educational Facilities Authority 521705592 130178ZQ2 2011-04-07 9095717 Facilities Renewal & Construction 0 0 0 B CA Educational Facilities Authority 521705592 130178P91 2012-08-02 9212026 Facilities Renewal & Construction 0 0 0 A 1875000 9095759 182732 3375037 5537986 2011 1 0 1 1 B 1045000 9212028 179979 9032047 2012 1 0 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 B 0 0 0 0 0.00000 0.00000 0.00000 0 0 1 A 0 0 1 0 0 0 0 0 1 B 0 0 1 0 0 0 0 0 1 A 1 B 1 Schedule K, Part II, Line 3, Column A The difference between the issue price of $9,095,717 and proceeds of $9,095,759 is the result of investment earnings. Schedule K, Part II, Line 3, Column B The difference between the issue price of $9,212,026 and the proceeds of $9,212,028 is a result of investment earnings. Form 990, Part VI, Section A, line 7a The Claremont University Consortium ("CUC") is the central coordinating institution of The Claremont Colleges, a cluster of seven undergraduate, graduate, and professional academic institutions ("Member Institutions"). The governing body of the CUC is its Board of Overseers ("Board"). The Board is composed of the Chief Executive Officer, 14 Constituent Overseers (the Board Chair and the President of each of the seven Member Institutions, who are elected or appointed by the board of trustees of each respective Member Institution, and not by the Board of the CUC) and up to 11 At-Large Overseers, who are elected by the Board of the CUC. Form 990, Part VI, Section A, line 7b The CUC is governed, in part, by a constitution. Article VIII of that constitution provides that it may be amended by the Board, however amendments to six specific articles (Article II, Objectives, Article IV, Central Coordinating Institution, Article V, Size of Member Institutions, Article VI, Instructional Services, Article VII, Procedures for New Colleges and Other Institutions, and Article VIII, Amendments) become effective only "upon ratification by the respective boards of the member institutions." Approval of a majority of the boards of trustees of the Member Institutions is also required for certain land transactions. Form 990, Part VI, Section B, line 11 CUC utilizes a process for review of the IRS Form 990 Return of Organization Exempt from Income Tax that involves multiple layers of management as well as governing board members. CUC has engaged an outside accounting firm to prepare the 990 using information provided by individuals in Financial Services, Resources, and the CUC Business Affairs Office, and changes are made as needed. Once a revised draft is available, the draft is reviewed by the Chief Executive and Chief Financial Officers. After this review and any resulting changes are complete, the revised draft is provided to members of the CUC Committee on Audit and Risk Management for questions and comments. Once questions and comments from the Committee on Audit and Risk Management are fielded and issues resolved, the Committee on Audit and Risk Management accepts the 990 and it is subsequently provided to all voting members of the Board of Overseers prior to filing. Form 990, Part VI, Section B, line 12c The Conflict of Interest Policy applies to overseers, officers and employees of Claremont University Consortium. Each year, the Secretary of the Board sends a copy of the policy along with a survey to all overseers and officers to determine if there are any conflicts of interest. The results are reviewed by the Chief Executive Officer to determine if any conflicts exist and are reported to the Committee on Audit and Risk Management annually. Any action required due to a conflict is evaluated on a case by case basis. Form 990, Part VI, Section B, line 15 Claremont University Consortium has an executive compensation review policy in place for independent review by the Executive Committee of the Board of Overseers. Each year a report of compensation for officers, key employees and other disqualified persons (see Part VII) is prepared which includes historic compensation data, and national and regional survey data. The Executive Committee meets to approve total compensation before any changes are implemented. Comparability data is prepared and presented to the Executive Committee, for review. Compensation increases are made once the review is complete and may be retroactive. Contemporaneous substantiation of the compensation approval is maintained in the form of board committee minutes. Form 990, Part VI, Section C, line 19 The governing/organizing documents, conflict of interest policy and the financial statements are made available to the public upon request. Form 990, Part XI, line 9: Comprehensive Pension Expense 158,781. Actuarial Adjustment -105,659. Income from K-1's -9,697. Pomona College 550 N College Ave Claremont CA 91711 951664112 Education CA 501(c)(3) 2 N/A 0 Claremont Graduate University 150 E 10th Street Claremont CA 91711 951664100 Education CA 501(c)(3) 2 N/A 0 Scripps College 1030 Columbia Claremont CA 91711 951664123 Education CA 501(c)(3) 2 N/A 0 Claremont McKenna College 500 E 9th Street Claremont CA 91711 951664101 Education CA 501(c)(3) 2 N/A 0 Harvey Mudd College 301 Platt Blvd Claremont CA 91711 951911219 Education CA 501(c)(3) 2 N/A 0 Pitzer College 1050 N Mills Claremont CA 91711 952261113 Education CA 501(c)(3) 2 N/A 0 Keck Graduate Institute 535 Watson Dr Claremont CA 91711 954625327 Education CA 501(c)(3) 2 N/A 0 0 0 0 1 1 0 0 0 0 1 1 1 0 0 0 0 1 0 0