2015-02-05T15:33:57-06:00 2014-06-30 910189318 MOSS ADAMS LLP 805 SW BROADWAY STE 1200 PORTLAND OR 97205 990 2013-07-01 930309970 UNIVERSITY OF WESTERN STATES UNIV 5032563180 2900 NE 132ND AVE PORTLAND OR 97230 JOSEPH BRIMHALL DC PRESIDENT 5032563180 2015-01-26 1 WENDY CAMPOS P00448102 5032421447 2013 2016-03-07 17:11:31Z JOSEPH BRIMHALL DC 2900 NE 132ND AVE PORTLAND OR 97230 20629423 0 X WWW.UWS.EDU X 1937 OR THE MISSION OF THE UNIVERSITY OF WESTERN STATES IS TO IMPROVE THE HEALTH OF SOCIETY AND ADVANCE THE SCIENCE AND ART OF INTEGRATED HEALTH CARE THROUGH LEADERSHIP AND EXCELLENCE IN HEALTH SCIENCES EDUCATION, SERVICE AND THE ENHANCEMENT OF KNOWLEDGE THROUGH RESEARCH AND SCHOLARSHIP. 13 13 419 13 0 0 1355977 1224159 16736811 17624818 266962 287020 305681 318904 18665431 19454901 206440 206903 0 0 11627321 12321640 0 0 0 6393767 6693920 18227528 19222463 437903 232438 23548569 24462516 13417773 13575747 10130796 10886769 X THE MISSION OF THE UNIVERSITY OF WESTERN STATES IS TO IMPROVE THE HEALTH OF SOCIETY AND ADVANCE THE SCIENCE AND ART OF INTEGRATED HEALTH CARE THROUGH LEADERSHIP AND EXCELLENCE IN HEALTH SCIENCES EDUCATION, SERVICE AND THE ENHANCEMENT OF KNOWLEDGE THROUGH RESEARCH AND SCHOLARSHIP. 0 0 6602815 206903 16742231 INSTRUCTION: PROVIDED APPROXIMATELY 700 STUDENTS WITH THE KNOWLEDGE AND SKILLS NECESSARY TO OBTAIN TECHNICAL CERTIFICATES, DOCTORATE DEGREES, MASTER'S DEGREES AND BACHELOR OF SCIENCE DEGREES. 2461073 550581 CLINICS:ADMINISTERED APPROXIMATELY 33,000 PATIENT VISITS FOR CHIROPRACTIC AND MASSAGE SERVICES. 1382336 RESEARCH:THE DIVISION OF RESEARCH ADMINISTERED THREE FEDERALLY-FUNDED GRANTS. TWO WERE CLINICAL TRIALS EVALUATING CHIROPRACTIC CARE OF LOW BACK PAIN AND HEADACHES. THE THIRD WAS AN EDUCATION GRANT FOR FACULTY TRAINING AND CURRICULUM DEVELOPMENT. 893463 457922 CONTINUING EDUCATION, AUXILIARY ENTERPRISES AND OTHER PROGRAMS. 893463 457922 11339687 1 1 0 1 0 0 0 0 0 1 1 0 0 0 1 1 1 0 1 0 0 0 0 0 0 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 70 0 1 419 1 0 0 0 0 0 0 0 0 0 0 X 13 13 0 0 1 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 OR X ERIC BLUMENTHAL 5032563180 2900 NE 132ND AVE PORTLAND OR 97230 PATRICIA CONNERS-ALLEN CHAIR 0.50 X X 0 0 0 RICHARD BRANSON VICE CHAIR 0.50 X X 0 0 0 ROBERT JONES SECRETARY 0.50 X X 0 0 0 RICHARD COLE TREASURER 0.50 X X 0 0 0 SHIRLEY CYR TRUSTEE 0.50 X 0 0 0 JENNIFER FORBES TRUSTEE 0.50 X 0 0 0 SHANNON GAERTNER-EWING TRUSTEE 0.50 X 0 0 0 JOHN GREANEY TRUSTEE 0.50 X 0 0 0 ELLI MORTON TRUSTEE 0.50 X 0 0 0 RON ROGERS TRUSTEE 0.50 X 0 0 0 MARK SUTTON TRUSTEE 0.50 X 0 0 0 N EDWIN WEATHERSBY TRUSTEE 0.50 X 0 0 0 HORACE ELLIOT TRUSTEE 0.50 X 0 0 0 JOYCE MCCLURE TRUSTEE 0.50 X 0 0 0 ALICE JACOBSON TRUSTEE-AT-LARGE 0.50 X 0 0 0 JOSEPH BRIMHALL PRESIDENT 37.50 X 260633 0 34230 ERIC BLUMENTHAL VP OF FINANCE AND ADMINISTRATION 37.50 X 138264 0 24233 PATRICK BROWNE VP OF ENROLLMENT AND STUDENT SERVICES 37.50 X 164392 0 26072 JOSEPH PFEIFER VP OF CLINICS 37.50 X 132998 0 25430 MITCHELL HAAS ASSOCIATE VP OF RESEARCH 37.50 X 131474 0 19676 LAURA LAMM VP OF INSTITUTIONAL EFFECTIVENESS 37.50 X 122196 0 20575 WILLIAM BORMAN DEAN OF COLLEGE OF CHIROPRACTIC 37.50 X 112188 0 17747 DAVID PETERSON PROFESSOR 35.00 X 123321 0 20654 1185466 0 188617 15 0 1 0 ELLUCIAN COMPANY LP 4 COUNTRY VIEW RD MALVERN PA 19355 CONSULTING-STUDENT SYSTEM 291525 CAMBERG COMMERCIAL CLEANING 13599 SW BRIM PL TIGARD OR 97223 JANITORIAL 134094 Z-TECH STAFFING 12655 SW CENTER ST SUITE 330 BEAVERTON OR 97005 STAFFING 124569 3 1162269 61890 6879 1224159 TUITION AND FEES 611600 16742231 16742231 CLINIC REVENUE 621400 550581 550581 CONTINUING EDUCATION 611600 332006 332006 17624818 255625 255625 4725 0 4725 4725 4725 842693 794686 16612 48007 -16612 31395 31395 489140 363224 125916 125916 MISCELLANEOUS 611710 188263 188263 188263 19454901 17750734 0 480008 206903 206903 685137 685137 9234573 5773098 3461475 514351 304165 210186 1184254 706595 477659 703325 423683 279642 36670 36670 75460 75460 50000 50000 1398646 841578 557068 90911 29378 61533 1475850 687846 788004 430594 24500 406094 321728 13822 307906 294223 87051 207172 106776 44502 62274 485192 330587 154605 884566 736481 148085 184198 9286 174912 DUES/SUBSCRIPTIONS/FEES 454675 62276 392399 CLINIC COSTS 80289 80289 CLASSROOM AIDS/SPECIMEN 74974 71885 3089 MAINTENANCE ALLOCATION 0 777870 -777870 249168 127892 121276 19222463 11339687 7882776 0 4906256 4712272 351344 175923 513543 556996 3738424 4353069 122882 135928 346604 331908 17229129 7180183 10064518 10048946 3237309 3952516 267689 194958 23548569 24462516 1204389 1860095 150991 160468 7992926 7583226 4069467 3971958 13417773 13575747 X 9672007 10386568 90811 120823 367978 379378 10130796 10886769 23548569 24462516 X 232438 509610 13925 X 0 1 X 1 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 0 0 0 0 1 50000 50000 0 PART II-B, LINE 1: THE UNIVERSITY PAID MEMBERSHIP DUES TO ANOTHER ORGANIZATION WHOSE PRIMARY USE OF THE DUES WAS TO ENGAGE A CONSULTANT IN VARIOUS GOVERNMENT RELATIONS, LOBBYING AND RELATED SERVICES DESIGNED TO BENEFIT THE INTERESTS OF STUDENT AND GRADUATE POPULATIONS SERVED BY THE INSTITUTION. SPECIFIC SERVICES INCLUDE ASSISTANCE WITH DEVELOPMENT AND IMPLEMENTATION OF FEDERAL AND PRIVATE INDUSTRY HEALTH POLICY THAT INCREASES REIMBURSEMENT OPPORTUNITIES FOR CHIROPRACTIC PHYSICIANS AND EXPANDING OPPORTUNITIES FOR CHIROPRACTIC PHYSICIANS TO SERVE AS PRIMARY CARE PROVIDERS. 2279899 9407 407161 2696467 2082511 14387 264662 58636 23025 2279899 2076104 5870 22391 21854 2082511 1822463 2760 414014 163133 2076104 1612701 5234 201554 -2974 1822463 0.84480 0.14070 0.01450 0 0 85000 388229 473229 11091878 3667616 7424262 1493408 828086 665322 4095458 2680456 1415002 75156 4025 71131 10048946 REFUNDABLE FEDERAL ADVANCES 2766367 INTEREST RATE SWAP LIABILITY 1166991 ASSET RETIREMENT OBLIGATIONS 38600 3971958 X 20120832 509610 -206903 302707 19818125 -363224 -363224 19454901 19364859 349299 349299 19015560 206903 206903 19222463 PART V, LINE 4: THE UNIVERSITY MAINTAINS BOTH BOARD DESIGNATED ENDOWMENTS AS WELL AS DONOR RESTRICTED ENDOWMENTS. THE BOARD OF TRUSTEES HAS DESIGNATED ENDOWMENT ASSETS FOR THE PURPOSES OF ESTABLISHING RESERVES FOR FUTURE NEEDS OF THE UNIVERSITY. DONOR ENDOWMENTS INCLUDE THE LYONS FUND, THE EARNINGS FROM WHICH ARE TO BE USED FOR THE OPERATION OF THE CLINIC, CANCER RESEARCH OR AS THE COLLEGE ADMINISTRATION DEEMS NECESSARY; THE PETERS FUND, THE EARNINGS FROM WHICH ARE TO BE USED FOR SHORT TERM EMERGENCY LOANS TO STUDENTS; AND AN ALUMNI FUND, THE EARNINGS FROM WHICH ARE TO BE USED TO PROVIDE SUPPORT OF EDUCATIONAL PROGRAMS. PART X, LINE 2: THE UNIVERSITY DID NOT HAVE ANY UNCERTAIN TAX POSITIONS AT JUNE 30, 2014 OR 2013. THE UNIVERSITY RECOGNIZES INTEREST ACCRUED AND PENALTIES RELATED TO UNRECOGNIZED TAX BENEFITS AS AN ADMINISTRATIVE EXPENSE. DURING THE YEARS ENDED JUNE 30, 2014 AND 2013, THE UNIVERSITY RECOGNIZED NO INTEREST AND PENALTIES. THE UNIVERSITY FILES AN EXEMPT ORGANIZATION INCOME TAX RETURN IN THE U.S. FEDERAL JURISDICTION. WITH FEW EXCEPTIONS, THE UNIVERSITY IS NO LONGER SUBJECT TO U.S. FEDERAL INCOME TAX EXAMINATIONS BY TAX AUTHORITIES FOR YEARS BEFORE 2010. PART XI, LINE 2D - OTHER ADJUSTMENTS: SCHOLARSHIP EXPENSE NETTED WITH REVENUES FOR FIN STATEMENTS -206,903. PART XI, LINE 4B - OTHER ADJUSTMENTS: COST OF GOODS SOLD NETTED WITH REVENUES FOR 990 -363,224. PART XII, LINE 2D - OTHER ADJUSTMENTS: COST OF GOODS SOLD NETTED WITH REVENUES FOR 990 363,224. ACCRETION EXPENSE - FIN 47 EXPENSE -13,925. PART XII, LINE 4B - OTHER ADJUSTMENTS: SCHOLARSHIP EXPENSE NETTED WITH REVENUES FOR FIN STATEMENTS 206,903. 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 IS A MEMBER OF THE OREGON INDEPENDENT COLLEGES ASSOCIATION (OICA) WHICH ADVERTISES THIS POLICY THROUGH THE MEDIA ON AN ANNUAL BASIS. THE UNIVERSITY DOES NOT INCLUDE THE POLICY IN ADS BUT DOES IN ALL BROCHURES AND CATALOGS. SCHEDULE E, PART I, LINE 6 THE UNIVERSITY RECEIVES GOVERNMENT RESEARCH GRANTS AND PARTICIPATES IN PERKINS, PELL AND STAFFORD FEDERAL STUDENT FINANCIAL AID PROGRAMS. 1 CAREER CHANGE SCHOLARSHIP 5 9500 CULTURAL DIVERSITY SCHOLARSHIP 3 3500 COMMUNITY SERVICE SCHOLARSHIP 6 4500 GENERAL MASSAGE PROGRAM SCHOLARSHIP 1 500 PRESIDENTIAL SCHOLARSHIP 8 16178 WOMEN IN CHIROPRACTIC SCHOLARSHIP 4 5750 INTERNATIONAL GRANT 110 144500 SEOG 35 11475 YELLOW RIBBON 1 4000 DEAN'S SCHOLARSHIP 5 7000 PART I, LINE 2: THE UNIVERSITY OFFERS SEVERAL TYPES OF SCHOLARSHIPS AND GRANTS. GRANTS ARE AWARDED TO INTERNATIONAL STUDENTS UPON ADMISSION AND CREDITED AGAINST THEIR TUITION EACH QUARTER AS LONG AS GPA REQUIREMENTS ARE MET AND MAINTAINED. GPA IS MONITORED BY THE FINANCIAL SERVICES OFFICE AND VERIFIED THROUGH THE STUDENT RECORDS PROGRAM. SCHOLARSHIPS ARE AWARDED BY THE SCHOLARSHIP COMMITTEE UPON ADMISSION BASED ON APPLICATION AND ESSAY SUBMISSION. THE SCHOLARSHIPS MAY BE ONE TIME OR RECUR EACH QUARTER, DEPENDING ON THE TYPE OF SCHOLARSHIP. THE ADMISSIONS DEPARTMENT MONITORS APPLICATIONS AND AWARDS, AND THE FINANCIAL SERVICES OFFICE, IN CONJUNCTION WITH THE REGISTRAR, MONITORS QUARTERLY ELIGIBILITY OF RECURRING SCHOLARSHIPS. OTHER LIMITED ONE-TIME SCHOLARSHIPS MAY BE AWARDED AT THE DISCRETION OF THE UNIVERSITY PRESIDENT. THE CURRENT YEAR DISBURSEMENTS WERE FUNDED BY THE SCHOOL AS LENDER PROGRAM. X X 1 1 X X X 0 1 0 0 0 0 0 0 0 JOSEPH BRIMHALL PRESIDENT 248633 0 0 0 12000 0 23000 0 11230 0 294863 0 0 0 ERIC BLUMENTHAL VP OF FINANCE AND ADMINISTRATION 138264 0 0 0 0 0 14529 0 9704 0 162497 0 0 0 PATRICK BROWNE VP OF ENROLLMENT AND STUDENT SERVICE 164392 0 0 0 0 0 16605 0 9467 0 190464 0 0 0 JOSEPH PFEIFER VP OF CLINICS 132998 0 0 0 0 0 14529 0 10901 0 158428 0 0 0 MITCHELL HAAS ASSOCIATE VP OF RESEARCH 131474 0 0 0 0 0 12947 0 6729 0 151150 0 0 0 PART I, LINE 1A HOUSING AND AUTO ALLOWANCES AND PAYMENT OF SOCIAL CLUB DUES ARE A PART OF THE PRESIDENT'S CONTRACT AS NEGOTIATED BY THE BOARD OF TRUSTEES. HOUSING AND AUTO ALLOWANCES WERE DISCONTINUED DURING FISCAL YEAR 2014. PART I, LINE 4B PARTICIPANTS IN NONQUALIFIED RETIREMENT PLAN: JOSEPH BRIMHALL, PRESIDENT PATRICK BROWNE, VP OF ENROLLMENT AND STUDENT SERVICES THE PURPOSE OF THE ELIGIBLE DEFERRED COMPENSATION PLAN IS TO PROVIDE DEFERRED COMPENSATION TO A SELECT GROUP OF HIGHLY COMPENSATED ("TOP HAT GROUP") EMPLOYEES. THE EMPLOYER, AT ITS SOLE DISCRETION, WILL MAKE NON-ELECTIVE CONTRIBUTIONS TO THE PLAN FOR ACTIVE PARTICIPANTS; ACTIVE PARTICIPANTS MAY MAKE THEIR OWN ELECTIVE DEFERRALS UP TO THE MAXIMUM AMOUNT PERMITTED BY LAW. A STATE OF OREGON - OREGON FACILITIES AUTHORITY 936001787 NONEAVAIL 2010-06-09 1930300 ANATOMICAL SCIENCES BUILDING 0 0 0 B STATE OF OREGON - OREGON FACILITIES AUTHORITY 936001787 NONEAVAIL 2010-09-07 6880425 REFUND 2005 SERIES A 0 0 0 A 1930300 400311 1529989 2011 0 0 1 1 B 6880425 6880425 2010 0 0 1 1 A 0 0 0 0 0.00000 0.00000 0.00000 0 0 0 B 0 0 0 0 0.01000 0.00000 0.01000 0 0 0 A 0 0 1 0 1 0 0 0 0 B 0 0 1 0 1 0 0 0 0 A 0 B 0 FORM 990, PART VI, SECTION A, LINE 4 THE ORGANIZATION'S BYLAWS WERE AMENDED ON AUGUST 10, 2013. THE BOARD OF TRUSTEES APPROVED AN UPDATE OF THE UWS BYLAWS TO REFLECT THE CURRENT STATE OF THE BOARD/INSTITUTION USING CONTEMPORARY LANGUAGE AND A STREAMLINED DOCUMENT FORMAT. THE NATURE OF THE BYLAWS MAINTAINS THE SAME STRUCTURE AND SAME BOARD RESPONSIBILITIES. REVISIONS INCLUDE: - THE BOARD WILL HOLD TWO FACE-TO-FACE MEETINGS PER YEAR RATHER THAN THREE. - THE TREASURER SERVES AS A MEMBER OF THE FINANCE AND AUDIT COMMITTEE. - THE SECRETARY SERVES AS A MEMBER OF THE BYLAW AND POLICY COMMITTEE. - FUNDRAISING COMMITTEE AND TRUSTEE COMMITTEE ADDED TO THE LIST OF STANDING COMMITTEES. - BOARD MEMBERS MAY SERVE FOUR CONSECUTIVE THREE-YEAR TERMS. FORM 990, PART VI, SECTION B, LINE 11 FORM 990 IS PREPARED BY THE DIRECTOR OF FISCAL AFFAIRS AND CONTROLLER, REVIEWED BY THE VICE PRESIDENT OF FINANCE AND ADMINISTRATION AND PRESENTED TO THE BOARD OF TRUSTEES DURING A SCHEDULED MEETING. FORM 990, PART VI, SECTION B, LINE 12C THE INSTITUTION REQUIRES ANNUAL COMMITMENTS FROM TRUSTEES, OFFICERS AND KEY EMPLOYEES TO THE CONFLICT OF INTEREST POLICY. CONFLICT OF INTEREST DISCLOSURES FOR INSTITUTIONAL ADMINISTRATIVE OFFICERS, KEY EMPLOYEES, HIGHLY COMPENSATED EMPLOYEES AND INVESTIGATORS ON FEDERALLY FUNDED PROJECTS ARE MONITORED PRIMARILY BY HUMAN RESOURCES WITH ESCALATION TO EXECUTIVE ADMINISTRATION AND THE BOARD OF TRUSTEES AS NECESSARY BASED ON INDIVIDUAL CIRCUMSTANCES. CONFLICT OF INTEREST DISCLOSURES FOR TRUSTEES ARE MONITORED BY THE INSTITUTIONAL BOARD OF TRUSTEES LIAISON. AT MINIMUM, BOARD MEMBERS, ADMINISTRATIVE OFFICERS, KEY EMPLOYEES, HIGHLY COMPENSATED EMPLOYEES AND INVESTIGATORS ON FEDERALLY FUNDED PROJECTS WHO HAVE DECLARED OR BEEN FOUND TO HAVE CONFLICT OF INTEREST IN ANY MATTER BEFORE THE ADMINISTRATION OR BOARD SHALL REFRAIN FROM PARTICIPATING IN CONSIDERATION OF THE PROPOSED TRANSACTION. THE PERSON OR PERSONS INVOLVED SHOULD NOT VOTE ON SUCH MATTERS AND SHOULD NOT BE PRESENT AT THE TIME OF THE VOTE. FORM 990, PART VI, SECTION B, LINE 15A THE UWS BOARD HIRED FRANK CASAGRANDE OF CASAGRANDE CONSULTING LLC TO CONDUCT AN EXECUTIVE COMPENSATION STUDY TO EVALUATE THE PRESIDENTIAL POSITION. MR. CASAGRANDE, WHO IS IN THE BUSINESS OF PERFORMING EXECUTIVE COMPENSATION STUDIES FOR SIMILAR INSTITUTIONS, CONDUCTED THE STUDY BY EVALUATING BOTH EXTERNAL DATA AND INFORMATION SPECIFIC TO UWS. HIS EVALUATION INCLUDED REVIEW OF APPLICABLE SALARY SURVEYS, STRATEGY AND PLANNING DOCUMENTS, FINANCIAL STATEMENTS AND IRS FORM 990, AS WELL AS OTHER AVAILABLE EXECUTIVE COMPENSATION AND BENEFIT DOCUMENTS. HE CONDUCTED INTERVIEWS WITH THE PRESIDENT AND SELECTED BOARD MEMBERS. THE ANALYSIS WAS PRESENTED TO AND DELIBERATED BY THE BOARD WHO USED THE INFORMATION TO ADJUST PRESIDENTIAL SALARY AND BENEFITS AND CREATE THE PRESIDENTIAL EMPLOYMENT AGREEMENT. FORM 990, PART VI, SECTION C, LINE 19 THE ORGANIZATION'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS ARE MADE AVAILABLE TO THE PUBLIC UPON REQUEST. FORM 990, PART XI, LINE 9: ACCRETION EXPENSE - FIN 47 EXPENSE: 13,925.