2011-05-16T16:09:22-05:00 2010-06-30 Moss Adams LLP 3121 West March Lane Suite 100 Stockton CA 952192303 990 2009-07-01 951664100 Claremont Graduate University CLAR 9096218043 150 E Tenth Street Claremont CA 91711 Mia Alonzo 9096218043 2011-05-13 1 TRACY S PAGLIA 2099556100 2009 2016-02-24 21:20:13Z Joseph C Hough 150 E Tenth Street Claremont CA 91711 229562854 0 X www.cgu.edu X 1925 CA CGU an independent institution that awards master's and doctoral degrees in 22 disciplines. 27 27 1212 20 59989 55263 6113424 10444488 53773818 56687933 -3327608 -9276909 1169977 1226828 57729611 59082340 10735545 10711806 0 36540567 37635958 43792 0 1927905 25641137 26846738 72961041 75194502 -15231430 -16112162 233584896 243288122 73624051 71032798 159960845 172255324 None 0 0 64901764 10711806 56687933 Claremont Graduate University (the "University") is an independent institution of higher learning dedicated entirely to graduate study. The University consists of eight academic schools and one independent department that awards master's and doctoral degrees in 22 disciplines. The University was founded in 1925 and has an enrollment of approximately 2,000 students. The University's mission is to prepare a diverse group of outstanding individuals to assume leadership roles in the worldwide community through research, teaching and practice in selected fields. This is accomplished through global linkages and partnerships, innovation in teaching techniques, continuous reconfiguration, responsive research to social issues and needs, and sensitivity to aesthetic and moral dimensions of professional life. 64901764 1 1 0 0 0 0 1 0 1 1 0 1 1 0 0 0 0 0 1 0 0 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 0 0 1 3248 0 1 1212 1 1 1 0 0 0 0 1 1 0 0 0 27 27 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA X X Mia Alonzo 9096218043 150 East 8th Street No Ste A Claremont CA 91711 Deborah Anders-Altman 1.00 X 0 0 0 John W Bachmann 1.00 X 0 0 0 Donald P Baker 1.00 X X 0 0 0 Alfred Balitzer 1.00 X 0 0 0 Richard D Byrd 1.00 X 0 0 0 Roy E Christensen 1.00 X 0 0 0 Carolyn H Denham 1.00 X 0 0 0 Jonathan L Dolgen 1.00 X 0 0 0 Richard S Falk Jr 1.00 X 0 0 0 Priscilla Fernandez 1.00 X 0 0 0 Michael J Johnston 1.00 X 0 0 0 John F Llewellyn 1.00 X 0 0 0 Mohannad S Malas 1.00 X 0 0 0 Richard Medley 1.00 X 0 0 0 Thomas J O'Donnell 1.00 X 0 0 0 Mashi Rahmani 1.00 X 0 0 0 Virgil P Roberts 1.00 X 0 0 0 Michael E Rossi 1.00 X 0 0 0 Beverly P Ryder 1.00 X 0 0 0 Sung Won Sohn 1.00 X 0 0 0 Elliot H Stein Jr 1.00 X 0 0 0 Marshall W Taylor 1.00 X 0 0 0 Douglas M West 1.00 X 0 0 0 Joseph Hough 40.00 X X 267830 0 26606 Marilyn P Sutton PhD 1.00 X 0 0 0 Megan Scott-Kakures 1.00 X 0 0 0 Steven Garcia 40.00 X 243850 0 25873 Robert D Calvo 40.00 X 72598 0 13721 Yi Feng 40.00 X 203856 0 59553 Mia Alonzo 40.00 X 0 109726 20273 Ira Jackson 40.00 X 352949 0 36049 Stewart Donaldson 40.00 X 296963 0 32397 Carl Johnson 40.00 X 314358 0 36631 Cornelis de Kluyver 40.00 X 254408 0 34462 Vijay Sathe 40.00 X 227055 0 20053 Richard Wartzman 40.00 X 206065 0 30755 Thomas Horan 40.00 X 202231 0 31311 Deborah Smith 40.00 X 198033 0 21755 Philip Dreyer 40.00 X 190492 0 26557 Robert Klitgaard 40.00 X 338375 0 146359 3369063 109726 562355 78 1 1 0 Tovey Schultz Construction Inc 18261 Collier Ave Unit A Lake Elsinore CA 92530 Construction 4941719 Sungard Collegis Inc 2300 Maitland Ctr Pkwy 34 Maitland FL 32751 Consulting 2194432 Alchemy Construction 603 E First St Claremont CA 91711 Construction 887130 HMC Architects 3546 Concours St Ontario CA 91764 Architect 353577 Brian R Bloom 350 S Milliken Ave Ste G Ontario CA 91761 Architect 327166 9 535 450000 820415 9173538 2174313 10444488 Tuition and fees 900099 48118455 48118455 Fed grants & contracts 900099 6449227 6449227 Auxilliary services 900099 2120251 2120251 56687933 3397120 59989 3337131 156707564 1067786 170237088 212291 -13529524 855495 -12674029 -12674029 14705 535 31135 -16430 -16430 Other sources 900099 1243258 1243258 1243258 59082340 56687933 59989 -8110070 10711806 10711806 2170364 1576942 504383 89039 616222 616222 27955116 25558194 1195258 1201664 2208612 1768290 344491 95831 2943427 2322215 488443 132769 1742217 1383945 282715 75557 171262 22679 148583 160313 160313 734937 65717 669220 4120583 3141728 912140 66715 1880473 1719317 123040 38116 3163962 2493045 594717 76200 645767 295442 350325 1344919 1268597 75737 585 1535582 1462493 46278 26811 203080 197318 5648 114 2760471 2579710 129860 50901 4295247 2728106 1562106 5035 1963395 1842832 95203 25360 196409 196409 Grant subcontracting 1225797 1225797 Building repair 890738 831651 39599 19488 Food and housing 305436 305436 Subscribed services 170816 113829 49850 7137 Books and periodicals 144783 135751 1 9031 932768 534702 390514 7552 75194502 64901764 8364833 1927905 501557 461786 10768963 528716 7034080 8549445 1856879 1885055 1251659 1378217 87588697 18228758 65411420 69359939 90395879 88315259 54054947 70647271 1977221 1876602 332291 285832 233584896 243288122 5675005 4553619 3808598 3804861 55075738 54510891 3102459 1752115 5962251 6411312 73624051 71032798 X 24988756 29664616 24037875 31770965 110934214 110819743 159960845 172255324 233584896 243288122 X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 697694 X 0 141274207 16364 12261080 125336 2160405 151265910 191225374 1042545 -42504908 162689 8326115 141274207 0.12950 0.71420 0.15620 1 0 358329 8645563 9003892 61233917 15118303 46115614 5956571 1514545 4442026 2463010 1595910 867100 8931307 8931307 69359939 Limited partnerships - alternative assets 51227248 F Limited partnerships - fixed income 6726911 F Funds held in trust by others 12411526 F Trust deed loans 37334 F Other assets 244252 F 70647271 Liability for staff retirement 1241197 Annuities payable 2825652 Government advance for student loan 1752116 Asset retirement obligation 592347 6411312 59082340 75194502 -16112162 29160309 -753668 28406641 12294479 76756144 29160309 241471 29401780 47354364 725291 11002685 11727976 59082340 64233298 31135 31135 64202163 725291 10267048 10992339 75194502 Part III, Line 4: Historically, CGU has been a great supporter of artistic endeavors. This support is manifest in the art collections currently on display throughout the CGU campus. Through acquisition and gifts in kind, CGU has been a champion of creative expression through the visual arts. CGU has four distinct collections in its possession and on display. These include: the Claremont Graduate University Collection of work donated or accessioned; Claremont Graduate University President's Award (annually purchased from graduating MFA students in the CGU Art Department); The Capital Group Collection on loan to CGU through the Capital Group Foundation; and CGU MFA student artwork (loaned by students for display to the CGU and CUC community). Original works of art exhibited on campus can inspire students, faculty and staff to a greater appreciation of beauty, the creative process and diversity of critical thought that bridges academic disciplines. The borrowing and display of original works of art must be implemented in a manner that ensures the effective educational and artistic use of the art collections in our keeping. Works must not become mere decoration, lost in the shuffle, forgotten or cast aside. It is of utmost concern that we care for the works of art and use them to some positive educational purpose. CGU policies with respect to the collection support ongoing integration of the art collections in the educational mission of CGU. Part V, Line 4: Description of Intended Use of Endowment Funds: Claremont Graduate University (CGU) pursues investment objectives that strike a balance between preserving the real inflation adjusted value of the Fund; maximize the total long-term investment returns; and generate sufficient current income and capital gains to meet CGU's endowment spending goals. Endowment spending supports the mission of the University by augmenting financial support for academic curriculum, student programs, and research beyond that available through tuition and fees alone. The University manages investment risk by avoiding concentration of assets in one or several investment managers; excess concentration in asset classes; asset and investment class volatility; and personnel risk within investment managers. Part X: Description of Uncertain Tax Positions Under FIN 48: In accordance with provisions of GAAP, the University had no unrecognized tax benefits at June 30, 2010 and 2009. Part XI, Line 8 - Other Adjustments: Actuarial adjustment: 107548. Pension gain/(loss): -333196. Income from K-1s: -59989. Blais Foundation - change in unrealized loss: -468031. Part XII, Line 2d - Other Adjustments: Special event expenses reclassified to page 1: 31135. Blais Foundation income included in financial statement: 210336. Part XII, Line 4b - Other Adjustments: Student financial aid: 10267048. Comprehensive pension loss: 333196. Acturial adjustment: -107548. Income from K-1s: 59989. Distribution from Blais removed in consolidation: 450000. Part XIII, Line 2d - Other Adjustments: Special event expenses reclassified to page 1: 31135. Part XIII, Line 4b - Other Adjustments: Student financial aid: 10267048. 1 1 1 The Claremont Graduate University nondiscrimination policy is publicized in catalogues, promotional brochures and on the school's website. 1 1 1 1 0 0 0 0 0 0 0 0 1 0 Claremont Graduate University participates in the College Work-Study and Perkins Loan programs. 1 Drucker Day 2010 15240 535 14705 13193 17942 15240 535 14705 13193 17942 31135 -16430 1 Student financial aid 1108 10711806 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: The College determines the eligibility for each student needs, the awards are credited to the student's account and the Office of Financial Aid monitors the students continued eligibility to receive the assistance. X X X 0 1 X X X X X 0 1 0 0 0 0 0 0 0 Joseph Hough 259348 0 0 0 8482 0 25802 0 804 0 294436 0 0 0 Steven Garcia 223850 0 20000 0 0 0 24726 0 1147 0 269723 0 0 0 Yi Feng 201516 0 0 0 2340 0 22406 0 37147 0 263409 0 0 0 Ira Jackson 347326 0 0 0 5623 0 27264 0 8785 0 388998 0 0 0 Stewart Donaldson 264937 0 25000 0 7026 0 22910 0 9487 0 329360 0 0 0 Carl Johnson 291308 0 10000 0 13050 0 27264 0 9367 0 350989 0 0 0 Cornelis de Kluyver 245421 0 0 0 8987 0 24011 0 10451 0 288870 0 0 0 Vijay Sathe 211055 0 0 0 16000 0 18931 0 1122 0 247108 0 0 0 Richard Wartzman 175830 0 25000 0 5235 0 20220 0 10535 0 236820 0 0 0 Thomas Horan 193036 0 0 0 9195 0 22068 0 9243 0 233542 0 0 0 Deborah Smith 192956 0 0 0 5077 0 21154 0 601 0 219788 0 0 0 Philip Dreyer 187634 0 0 0 2858 0 18786 0 7771 0 217049 0 0 0 Robert Klitgaard 327921 0 0 0 10454 0 38497 0 107862 0 484734 0 0 0 Part I, Line 1a Former President was required to live in college-owned house as part of his contract. All maintenance expenses related to the house are paid by CGU. Part I, Line 1b There is no formal written policy pertaining to housing; however, provisions are included in certain contracts. Part I, Line 4a Robert Klitgaard, former President, participated in a nonqualified deferred compensation plan under section 457(f) during the year. Vesting occurs upon the earliest of the following: Term End Date (the date upon which the President's employment with the Employer is terminated by the Board of Trustees, other than for Cause and upon a determination that he has fulfilled all of his material obligations to the Employer as determined by the Board of Trustees), date of death, date employment terminates due to a Disability, or a date specified by the President. If the President voluntarily terminates Employment with the Employer prior to a Term End Date (other than because of death or Disability) or is involuntarily terminated for Cause, the President shall forfeit all amounts in his Account. Robert Klitgaard was employed as a faculty member only during this year, so no contributions were made to the plan. No distributions were made from the plan during the year. California Educational Facilities Authority 521705592 130178QJ8 2008-08-21 15074351 Acquisition, construction, improvement, and equipment of certain facilities 0 0 California Educational Facilities Authority 521705592 130178ET9 2007-02-15 37337930 Construct new housing for graduate students at the University 0 0 15384356 920721 5262066 169320 10122290 1 0 1 1 39077159 318527 39077159 2009 0 0 1 1 0 0 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 0 0 0 X 3 FMV X 12 177720 FMV X Equipment 1 1599 FMV 0 0 1 1 Third Party Use: Part I, Line 32b: A third party broker is used in the sale of marketable securities. Form 990, Part VI, Section B, line 11 CGU 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. CGU has engaged an outside accounting firm to prepare the 990 using information provided by the Office of Financial Services, the Office of Human Resources, and the Treasurer's Office, and changes are made as needed. Once a revised draft is available, it is reviewed by the Controller and the Vice President/Treasurer. After this review and any resulting changes are complete, the revised draft is provided to members of the CGU Audit Committee for questions and comments. Once questions and comments from the Audit Committee are fielded and issues resolved, the Audit Committee accepts the 990 and the 990 is provided to all voting members of the Board of Trustees prior to filing. Form 990, Part VI, Section B, line 12c Annually, the Board of Trustees receives a disclosure form for related party transactions and the Treasurer's Office reviews and reports any conflicts to the Audit Committee. Form 990, Part VI, Section B, line 15 In the Spring the Associate Vice President for Human Resources collects and analyzes published compensation data from peer group institutions, local surveys, and the other members of the Claremont Colleges for the position of the President. The Executive Committee or the Compensation Committee (a sub-committee appointed by the Executive Committee) gathers information from stakeholders regarding the President's performance, and the President presents a self-evaluation to the Executive Committee. After review and discussion of the data by the Executive committee, the Executive Committees presents its recommendation of compensation for the President to the Board of Trustees for approval. After review and discussion the Board of Trustees determines and approves compensation for the President. Minutes of the Committee meetings and the analyses are kept confidential, limited to the Board of Trustees, the President, Senior Vice President for Finance and Administration, and the Associate Vice President for Human Resources. In the Spring the Associate Vice President for Human Resources also collects and analyzes published compensation data from peer group institutions, local surveys, and the other members of the Claremont Colleges for each senior administrator and key employee positions. The comparability compensation data, along with written performance evaluations and salary recommendations, are presented to the Executive Committee and President for review and discussion. After review and discussion by the Executive Committee and the President, compensation is determined and approved for each senior administrator and key employee. Minutes of the Committee meetings and the analyses are kept confidential, limited to the Board of Trustees, the President, Senior Vice President for Finance and Administration, and the Associate Vice President for Human Resources. Form 990, Part VI, Section C, line 19 The organization's audited financial statements are available upon request from the Treasurer's Office. The organization's governing/organizing documents are not made available to the public. The organization's conflict of interest policy is available on the organization's website. Claremont University Consortium 150 E 8th Street Claremont CA 91711 954786748 Provide academic and business services CA 501(c)(3) 11-I N/A Blais Foundation 150 E Tenth Street Claremont CA 91711 954729463 Support of Claremont Graduate University CA 501(c)(3) 11-I N/A 0 0 1 0 0 0 0 0 1 1 0 0 0 0 1 0 0 0 Blais Foundation C 450000