2015-04-06T23:22:10-05:00 2014-06-30 953001179 WINDES INC PO BOX 87 LONG BEACH CA 908010087 990 2013-07-01 956123757 CALIFORNIA STATE UNIVERSITY FOUNDATION CALI 5629514810 401 GOLDEN SHORE 6TH FLOOR LONG BEACH CA 90802 LORI A REDFEARN VICE PRESIDENT 5629514810 2015-03-25 1 DONITA M JOSEPH P00286656 5624351191 2015-03-13 2013 2016-02-25 16:41:14Z LORI REDFEARN 401 GOLDEN SHORE 6TH FLOOR LONG BEACH CA 90802 19899346 0 X HTTP://WWW.CALSTATE.EDU/FOUNDATION/ X 1962 CA SERVE THE NATIONAL, STATE, AND REGIONAL INTERESTS OF THE UNIVERSITY. 17 16 1 17 118 0 4889462 14715893 14325 21270 1364806 1220464 39782 38173 6308375 15995800 4236710 3934823 0 0 31435 32540 0 0 2554 382163 506000 4650308 4473363 1658067 11522437 24786459 39017217 5451479 6613902 19334980 32403315 X ESTABLISHED IN 1962, THE FOUNDATION IS THE CENTRAL FOUNDATION FOR THE CSU SYSTEM AND SERVES THE OFFICE OF THE CHANCELLOR. THE FOUNDATION EXISTS TO SUPPORT EXCELLENCE IN TEACHING AND LEARNING, AND TO SERVE THE NATIONAL, STATE AND REGIONAL INTERESTS OF THE UNIVERSITY. THE CALIFORNIA STATE UNIVERSITY FOUNDATION IS COMMITTED TO ENHANCING AND PROMOTING THE CALIFORNIA STATE UNIVERSITY (CSU) AS A LEADER OF VALUE AND QUALITY IN HIGHER EDUCATION. 0 0 3934823 3934823 THE CSU FOUNDATION DISTRIBUTED SCHOLARSHIPS AND GRANTS TO BENEFIT STUDENTS THROUGHOUT THE CSU SYSTEM. INCLUDED IN THESE EFFORTS WERE THE PROVISION OF FUNDING OF $2,340,000 FROM THE STEPHEN BECHTEL FUND, THE JAMES IRVINE FOUNDATION, AND THE DAVID AND LUCILLE PACKARD FOUNDATION FOR THE CLINICAL TEACHER PREPARATION, LINKED LEARNING, AND TEACHER INDUCTION PROJECTS AND $185,000 FROM THE JAMES IRVINE FOUNDATION, THE WILLIAM AND FLORA HEWLET FOUNDATION, THE ROSALIND AND ARTHUR GILBERT FOUNDATION, AND WALTER S. JOHNSON FOUNDATION FOR THE GIVE STUDENTS A COMPASS II AND GENERAL EDUCATION TRANSFER CURRICULUM PROJECTS. 345845 21270 THE CSU FOUNDATION SUPPORTED THE EDUCATIONAL AND GOVERNANCE ACTIVITIES OF THE 23 UNIVERSITY CAMPUSES, THROUGH REGULAR MEETINGS OF ITS TRUSTEES, PRESIDENTS, EMPLOYEES, AND ALUMNI LEADERS AS WELL AS PROVIDING EMPLOYEE RECOGNITION. 4280668 1 1 0 0 0 0 0 0 1 1 0 1 0 0 1 1 1 1 0 0 1 0 1 0 1 0 0 1 1 1 0 0 0 0 0 0 0 0 1 0 0 0 0 1 0 0 0 1 13 0 1 1 1 0 0 0 0 0 0 0 0 0 0 X 17 16 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA WA X X ALICE KIM 5629514627 401 GOLDEN SHORE 5TH FLOOR LONG BEACH CA 90802 RONALD R BARHORST CHAIRMAN 0.10 X X 0 0 0 RALPH R PESQUEIRA VICE CHAIR 0.10 X X 0 0 0 MICHAEL LIZARRAGA VICE CHAIR 0.10 X X 0 0 0 SHARI M SLATE SECRETARY 0.10 X X 0 0 0 JOHN AUGUSTINE TREASURER - UNTIL 2/2014 0.10 X X 0 0 0 PETER BRIGHTBILL DIRECTOR 0.10 X 0 0 0 PETER A DUBOIS DIRECTOR 0.10 X 0 0 0 MATTHEW JENKINS DIRECTOR 0.10 X 0 0 0 AG KAWAMURA DIRECTOR 0.10 X 0 0 0 MICHAEL LUCKI DIRECTOR 0.10 X 0 0 0 GEORGE M MARCUS DIRECTOR 0.10 X 0 0 0 KENNETH P MCNEELY DIRECTOR 0.10 X 0 0 0 ALI C RAZI DIRECTOR 0.10 X 0 0 0 MONA C SIMPSON DIRECTOR 0.10 X 0 0 0 RODNEY K SPACKMAN DIRECTOR 0.10 X 0 0 0 GADDI H VASQUEZ DIRECTOR 0.10 X 0 0 0 TIMOTHY P WHITE EX-OFFICIO/CHANCELLOR 2.00 70.00 X 30000 359636 97593 GARRETT P ASHLEY PRESIDENT 3.00 57.00 X 0 250613 72387 LORI A REDFEARN VICE PRESIDENT 8.00 40.00 X 0 168381 52525 30000 778630 222505 0 0 1 0 0 49019 14666874 37600 14715893 MEETING REGISTRATION FEES 900099 21270 21270 21270 503996 118 503878 4619033 3902565 716468 716468 716468 981 49019 981 0 ADMINISTRATIVE FEES 900099 37654 37654 MISCELLANEOUS 900099 519 519 38173 15995800 59443 118 1220346 3458239 3458239 380584 380584 96000 96000 30000 30000 2540 2540 8021 8021 32060 32060 24529 24529 712 712 26051 895 25156 60113 49091 10440 582 17528 13987 3541 289902 262715 27016 171 5873 3720 2153 COMMUNITY RELATIONS 15437 15437 25774 23973 1801 4473363 4280668 190141 2554 150 0 911471 1549640 670000 8060233 4000 9200 20023363 24879971 3063275 4397864 114200 120309 24786459 39017217 81706 562665 5126999 5792251 242774 258986 5451479 6613902 X 3887889 4278358 7074659 16753578 8372432 11371379 19334980 32403315 24786459 39017217 11522437 1545898 0 X 0 1 X 1 0 X 2076778 1918235 3109190 4889462 14716873 26710538 240325 234868 235970 711163 2076778 1918235 3349515 5124330 14952843 27421701 9453013 17968688 301261 458174 439805 452798 503996 2156034 37834 43707 5269 38173 124983 29702718 116389 0.60500 0.77940 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 1 X 14361031 3377439 2240358 415185 24291 19539352 10933190 2666478 1111865 332110 18392 14361031 11180830 135420 -75711 290783 16566 10933190 9145819 610720 1739889 299296 16302 11180830 8015593 73288 1189761 118590 14233 9145819 0.11000 0.58000 0.31000 0 0 0 VENTURE CAPITAL AND PARTNERSHIPS 330869 F ALTERNATIVE INVESTMENTS 4066995 F 4397864 OTHER PAYABLES 120309 ALUMNI COUNCIL LIABILITY 136303 CAL STATE STUDENT ASSOCIATION LIABILITY 2374 258986 X 17754120 1545898 235970 981 1782849 15971271 24529 24529 15995800 4685785 235970 981 236951 4448834 24529 24529 4473363 PART IV, LINE 2B: THE FOUNDATION ADMINISTERS CHARITABLE GIFT ANNUITIES FOR VARIOUS CALIFORNIA STATE UNIVERSITY (CSU) CAMPUSES. THE FOUNDATION ACTS AS AN INTERMEDIARY FOR THE CAMPUSES FOR WHICH THEY ADMINISTER THE CHARITABLE GIFT ANNUITIES FOR AN AGREED-UPON PERCENTAGE OF THE CORPUS. PART V, LINE 4: EACH OF THE FOUNDATION'S ENDOWMENTS HAS BEEN ESTABLISHED TO SUPPORT A SCHOLARSHIP OR PROGRAM FUND RECORDED IN TEMPORARILY RESTRICTED NET ASSETS. PART X, LINE 2: THE FOUNDATION RECOGNIZES THE FINANCIAL STATEMENT BENEFIT OF TAX POSITIONS, SUCH AS FILING STATUS OF TAX-EXEMPT, ONLY AFTER DETERMINING THAT THE RELEVANT TAX AUTHORITY WOULD MORE LIKELY THAN NOT SUSTAIN THE POSITION FOLLOWING AN AUDIT. THE FOUNDATION IS SUBJECT TO POTENTIAL INCOME TAX AUDITS ON OPEN TAX YEARS BY ANY TAXING JURISDICTION IN WHICH IT OPERATES. THE STATUTE OF LIMITATIONS FOR FEDERAL AND CALIFORNIA STATE PURPOSES IS GENERALLY THREE AND FOUR YEARS, RESPECTIVELY. PART XI, LINE 2D - OTHER ADJUSTMENTS: FUNDRAISING EXPENSES 981. PART XII, LINE 2D - OTHER ADJUSTMENTS: FUNDRAISING EXPENSES 981. 0 EAST ASIA AND THE PACIFIC 0 0 GRANTS ARE GIVEN TO RECIPIENTS WHO ARE U.S. CITIZENS STUDYING OR TEACHING IN THE REGION. SCHOLARSHIPS 96000 0 0 0 0 0 0 96000 0 96000 WANG FAMILY SCHOLARSHIP EAST ASIA AND THE PACIFIC 17 66000 CHECK CASH WANG FAMILY STIPEND EAST ASIA AND THE PACIFIC 4 30000 CHECK CASH 0 0 0 0 0 0 PART I, LINE 2: THE CSU FOUNDATION ISSUES STUDENT AND FACULTY SCHOLARSHIPS AND FELLOWSHIPS TO THE CSU CHANCELLOR'S OFFICE INTERNATIONAL PROGRAMS (IP) DEPARTMENT. IP SENDS THE CHECKS TO THE HOME ADDRESSES IN THE U.S. OF STUDENTS AND FACULTY WHO HAVE BEEN SELECTED. STUDENTS ATTEND CLASSES AND ARE MONITORED JUST AS STUDENTS ARE MONITORED AT CALIFORNIA STATE UNIVERSITIES HERE IN THE UNITED STATES. FACULTY SUBMITS A FINAL REPORT OF THEIR PROJECT ALONG WITH A SUMMARY OF EXPENDITURES. PART I, LINE 3: GRANTS ARE AWARDED TO STUDENTS AND FACULTY WHO USE FUNDS FOR EDUCATIONAL AND RESEARCH PURPOSES. FUNDRAISING DINNER 50000 49019 981 600 381 50000 49019 981 600 381 981 0 1 TRUSTEES OF THE CSU 401 GOLDEN SHORE LONG BEACH CA 90802 954601267 TRUSTEES OF THE CSU 3216953 SEE SCHEDULE I, PART IV CAL POLY POMONA 3801 W TEMPLE AVE POMONA CA 91768 954255659 CAL POLY POMONA 14164 EAP WORKSHOP, VIDEO OF MEETING UNIVERSITY ENTERPRISES INC 6000 J STREET SACRAMENTO CA 95819 941337638 501(C)(3) 11632 CHICANO LATINO YOUTH LEADERSHIP PROJECT, REAL ESTATE PROGRAM CHICANO LATINO YOUTH LEADERSHIP PROJECT PO BOX 161566 SACRAMENTO CA 95816 943069819 501(C)(3) 9227 PROGRAM SPONSORSHIP CALIFORNIA LEGISLATIVE BLACK CAUCUS POLICY INSTITUTE 5471 SOUTH HILLCREST DRIVE LOS ANGELES CA 90036 263911734 501(C)(3) 14000 CONTRIBUTION FOR 2013 AFRICAN AMERICA LEADERS FOR TOMORROW PROGRAM FAMILIES IN SCHOOL 1545 WILSHIRE BLVD 700 LOS ANGELES CA 90017 954818894 501(C)(3) 10000 SUPPORT FIS WORK TRUSTEES OF THE CSU 401 GOLDEN SHORE LONG BEACH CA 90802 954601267 TRUSTEES OF THE CSU 0 101281 BOOK PROPERTY UPKEEP UPKEEP OF THE HOUSE INCLUDING GARDENING AND LAWN, HOUSEKEEPING, PLUMBING, AND PAINTING 7 0 SCHOLARSHIPS 83 358517 SCHOLARSHIPS TO INDIVIDUAL CSU STUDENTS NONCASH GRANTS 29 36800 FMV PERSONAL ELECTRONIC EQUIPMENT AWARDED TO SCHOLARSHIP RECIPIENTS AND SELECTED FACULTY; AIR TRAVEL PASSES PART I, LINE 2: THE CSU FOUNDATION RECEIVES FUNDS FROM FOUNDATIONS, CORPORATIONS, AND INDIVIDUALS TO MAKE GRANTS AND GIVE OTHER ASSISTANCE TO DOMESTIC ENTITIES. IN THESE CASES WE ADHERE TO THE ELIGIBILITY AND STANDARDS STIPULATED BY THE FUNDING SOURCES. WE ALSO PROVIDE SCHOLARSHIPS TO DOMESTIC INDIVIDUALS, AND ARE GUIDED BY THE SCHOLARSHIP FUNDING SOURCES ON THE ELIGIBILITY STANDARDS THEY ESTABLISH. IN COLLABORATION WITH FINANCIAL AID OFFICERS, WE REVIEW THE MATERIALS UPON SUBMISSION, AND ONCE SATISFIED THAT REQUIREMENTS ARE MET, MAKE SELECTIONS. THE FINANCIAL AID OFFICES ARE RESPONSIBLE FOR SEEING THAT STUDENTS MAINTAIN FULL-TIME ENROLLMENT DURING THE SCHOLARSHIP PERIOD THEREAFTER. SCHEDULE I, PART II COLUMN (H) CSU FOUNDATION REIMBURSES THE CALIFORNIA STATE UNVIVERSITY FOR THE FOLLOWING EDUCATIONAL EXPENSES: 1) SUPPORT STEM AT-RISK STUDENTS 165,550 2) IMPROVE CSU & CCC COLLABORATION FOR GEN ED TRANSFERS 75,000 3) PROGRAM FOR UNDERSERVED STUDENTS 1,403 4) HIGH IMPACT EDUCATIONAL PRACTICES IN LOWER DIVISIONS 25,000 5) INNOVATIVE TEACHER INDUCTION PROGRAMS 440,000 6) TEACHER PREP PROGRAM EMPHASIZING STEM 1,000,000 7) RELEVANT & ENGAGING GEN ED TRANSFER CURRICULUMS 110,000 8) PREPARATION FOR TRANSITIONAL KINDERGARTEN PROGRAMS 150,000 9) PREPARE EDUCATORS FOR LINKED LEARNING 750,000 10) DOCUMENT STUDENT SUCCESS IN STEM SERVICE 500,000 TOTAL 3,216,953 SCHEDULE I, PART III CSU FOUNDATION ADHERES TO THE STANDARDS AND REPORTING REQUIREMENTS STIPULATED BY THE FUNDING SOURCES FOR GRANTS TO DOMESTIC ENTITIES AND FOR SCHOLARSHIPS TO DOMESTIC INDIVIDUALS. X 1 1 X 0 0 0 0 0 0 0 0 0 TIMOTHY P WHITE EX-OFFICIO/CHANCELLOR 30000 345758 0 0 0 13878 0 72822 0 24771 30000 457229 0 0 GARRETT P ASHLEY PRESIDENT 0 238253 0 0 0 12360 0 49907 0 22480 0 323000 0 0 LORI A REDFEARN VICE PRESIDENT 0 168217 0 0 0 164 0 35349 0 17176 0 220906 0 0 PART I, LINE 1A AT THE CHANCELLOR'S DISCRETION, EXECUTIVE STAFF MAY BE REIMBURSED FOR SPOUSAL TRAVEL EXPENDITURES WHEN THE SPOUSE PERFORMS OFFICIAL CSU DUTIES AND THE SPOUSE IS REGISTERED AS A CSU VOLUNTEER. THIS OCCURS AN INFREQUENT AMOUNT OF TIMES DURING THE YEAR. PART I, LINE 1B THE CSU FOUNDATION ABIDES BY RESTRICTIONS OUTLINED IN THE INTEGRATED ADMINISTRATIVE MANUAL - HOSPITALITY POLICY, WHICH REQUIRES THAT THERE BE SUBSTANTIATION BEFORE EXPENSES OF AN INSIDER ARE REIMBURSED. X TECHNOLOGY PA 27 37600 FMV 0 1 0 PART I, COLUMN (B): AMOUNT IN COLUMN 3 REPRESENTS NUMBER OF CONTRIBUTIONS. FORM 990, PART VI, SECTION B, LINE 11 THE AUDIT COMMITTEE SHALL HAVE THE RESPONSIBILITY FOR REVIEWING THE ORGANIZATION'S FORM 990 (INCLUDING ALL PERTINENT SCHEDULES). BEFORE IT IS FILED WITH THE INTERNAL REVENUE SERVICE, A FINAL COPY OF THE FORM 990 WILL BE FORWARDED TO THE ENTIRE BOARD OF DIRECTORS. FORM 990, PART VI, SECTION B, LINE 12C BOARD MEMBERS AND KEY CSU STAFF ARE ANNUALLY ASKED TO REVIEW AND AFFIRM THAT THEY HAVE NO CONFLICTS OF INTEREST AS DESCRIBED IN THE CONFLICT OF INTEREST POLICY STATEMENT. UPON THE IDENTIFICATION OF ANY CONFLICT, THE INFORMATION IS THEN FORWARDED TO THE EXECUTIVES OF THE BOARD AND APPROPRIATE ACTION IS TAKEN. THIS ACTION MAY RANGE FROM THE BOARD NOT APPROVING A CONTRACT BASED ON POTENTIAL CONFLICT TO REMOVAL FROM THE BOARD. FORM 990, PART VI, SECTION B, LINE 15 THE CSU OR AN EXECUTIVE COMPENSATION CONSULTING FIRM CONDUCTS PERIODIC MARKET SURVEYS AND PRODUCES A COMPREHENSIVE ANALYSIS OF CSU EXECUTIVE COMPENSATION. IN ADDITION TO ANNUAL PERFORMANCE EVALUATIONS, THE BOARD OF TRUSTEES USES THIS ANALYSIS IN THE FORMAL EVALUATION PROCESS, WHICH OCCURS EVERY THREE YEARS. THIS CLOSED DOOR SESSION ASSESSES THE OFFICERS AND EMPLOYEES ABILITIES TO PERFORM THEIR DUTIES WITHIN THE CSU SYSTEM. IN ADDITION, COMPENSATION PAID BY THE FOUNDATION TO THE CHANCELLOR IS REVIEWED AND APPROVED BY THE ENTITY'S BOARD OF GOVERNORS, INDEPENDENT OF THE COMPENSATED ENTITY. COMPENSATION POLICY: 1. THE GOAL OF THE CSU CONTINUES TO BE TO ATTRACT, MOTIVATE, AND RETAIN THE MOST HIGHLY QUALIFIED INDIVIDUALS TO SERVE AS FACULTY, STAFF, ADMINISTRATORS, AND EXECUTIVES, WHOSE KNOWLEDGE, EXPERIENCE, AND CONTRIBUTIONS CAN ADVANCE THE UNIVERSITY'S MISSION. 2. IT IS THE CONTINUED INTENT OF THE BOARD OF TRUSTEES TO COMPENSATE ALL CSU EMPLOYEES IN A MANNER THAT IS FAIR, REASONABLE, COMPETITIVE, AND FISCALLY PRUDENT, IN RESPECT TO THE SYSTEM BUDGET AND STATE FUNDING. 3. TO THAT END, THE CSU WILL CONTINUE TO EVALUATE COMPETITIVE AND FAIR COMPENSATION FOR ALL CSU EMPLOYEES BASED ON PERIODIC MARKET COMPARISON SURVEYS. 4. IN ADDITION, THE CSU WILL MAINTAIN AND UPDATE ANNUALLY A TIERED LIST OF CSU COMPARISON INSTITUTIONS FOR PRESIDENTIAL COMPENSATION. THE LIST WILL TAKE INTO ACCOUNT LOCATION, ENROLLMENT, BUDGET, PERCENTAGE OF STUDENTS RECEIVING PELL GRANTS, SIX YEAR GRADUATION RATES, RESEARCH FUNDING, AND SUCH OTHER SUBJECTS AS FROM TIME TO TIME BE DEEMED APPROPRIATE. PRESIDENTIAL COMPENSATION WILL BE GUIDED WITH REFERENCE TO THE MEAN OF THE APPROPRIATE TIER OF COMPARISON INSTITUTIONS, TOGETHER WITH AN INDIVIDUAL CANDIDATE'S REPUTATION FOR NATIONAL POLICY LEADERSHIP AND LENGTH AND DEPTH OF EXECUTIVE EXPERIENCE. 5. NOTWITHSTANDING THE PRESIDENTIAL COMPENSATION CRITERIA ENUMERATED IN ITEM 4 (ABOVE) AND UNTIL THE BOARD OF TRUSTEES OF THE CALIFORNIA STATE UNIVERSITY DETERMINES OTHERWISE, WHEN A PRESIDENTIAL VACANCY OCCURS, THE INITIAL BASE SALARY, PAID WITH PUBLIC FUNDS TO THE SUCCESSOR PRESIDENT, SHALL NOT EXCEED TEN PERCENT OF THE PREVIOUS INCUMBENT'S PAY. FORM 990, PART VI, SECTION C, LINE 19 THE FORM 990, THE ARTICLES OF INCORPORATION, THE BYLAWS, THE IRS DETERMINATION LETTER, THE AUDITED STATEMENTS, AND THE CONFLICT OF INTEREST POLICY ARE POSTED ON THE FOLLOWING WEBSITE: HTTP://WWW.CALSTATE.EDU/FOUNDATION/ FORM 990, PART I, LINE 16B CSU FOUNDATION CONDUCTED ONE FUNDRAISING EVENT AND EXPENSES WERE UNDERWRITTEN BY A DONOR. THUS, THERE ARE MINIMAL FUNDRAISING EXPENDITURES INCURRED BY THE ORGANIZATION. CHARITABLE SUPPORT RECEIVED RESULTS FROM EFFORTS BY THE CALIFORNIA STATE UNIVERSITY. CALIFORNIA STATE UNIVERSITY 401 GOLDEN SHORE 6TH FLOOR LONG BEACH CA 90802 954601267 EDUCATION CA LINE 2 N/A 0 0 1 1 0 0 0 0 0 0 0 0 1 0 1 1 1 0 0 0