2012-05-15T08:58:59-05:00 2011-06-30 SCHNEIDER DOWNS & CO INC 1133 PENN AVENUE PITTSBURGH PA 15222 990 2010-07-01 250969449 CARNEGIE MELLON UNIVERSITY CARN 4122685904 5000 FORBES AVENUE PITTSBURGH PA 15213 DEBORAH J MOON 4122685904 2012-05-10 1 SUSAN M KIRSCH 4122613644 2010 2016-02-24 21:20:13Z JARED L COHON 5000 FORBES AVENUE PITTSBURGH PA 15213 1612144340 0 X WWW.CMU.EDU X 1900 PA HIGHER EDUCATION AND RESEARCH. 63 56 12539 63 1421824 -171603 391154194 441715065 547725811 561731140 68588246 133930011 20268805 16335194 1027737056 1153711410 124506370 135383298 0 0 565285750 573072018 565387 588958 15715497 272276553 300473269 962634060 1009517543 65102996 144193867 2012199842 2276264220 709245302 695925365 1302954540 1580338855 X TO CREATE AND DISSEMINATE KNOWLEDGE AND ART THROUGH RESEARCH AND CREATIVE INQUIRY THAT ENHANCE SOCIETY. TO SERVE OUR STUDENTS BY TEACHING THEM PROBLEM SOLVING, LEADERSHIP, AND TEAMWORK, WITH A FOCUS ON QUALITY, ETHICAL BEHAVIOR AND RESPECT FOR OTHERS. 0 0 488114143 91360744 498889131 INSTRUCTION - INCLUDES SEVEN COLLEGES AND SCHOOLS OFFERING DEGREE PROGRAMS AND MORE THAN 90 MAJORS AND MINORS TO APPROXIMATELY 11,530 UNDERGRADUATE, GRADUATE AND DOCTORAL STUDENTS. INSTRUCTION INCLUDES ACADEMIC SUPPORT AND STUDENT SERVICES. 319031265 23275432 0 RESEARCH - BASIC RESEARCH IN CONNECTION WITH FEDERAL, STATE, AND PRIVATE INDUSTRIAL GRANTS AND CONTRACTS RANGING IN FIELDS FROM COMPUTING TO THE ARTS, ENVIRONMENT AND BIOTECHNOLOGY. BASIC RESEARCH IS PERFORMED IN ALL SEVEN COLLEGES, SCHOOLS, AND THE SOFTWARE ENGINEERING INSTITUTE. 88829372 0 41988260 AUXILIARY SERVICES - SERVICES TO SUPPORT THE INSTRUCTION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. THESE SERVICES INCLUDE HOUSING, DINING SERVICES, PARKING, BOOKSTORE, PRINTING, TELECOMMUNICATIONS, AND OTHER SERVICES RELATED TO THE DELIVERY OF EDUCATION. 15096314 0 20397614 OTHER PROGRAM SERVICES-OTHER FEES AND MEMBERSHIPS, EXTERNAL SUPPORT AND SERVICES AND OTHER MISCELLANEOUS PROGRAM SERVICE REVENUE THAT SUPPORTS THE INSTRUCTION, RESEARCH, AND AUXILIARY FUNCTIONS OF THE UNIVERSITY. 15096314 20397614 911071094 1 1 0 1 0 0 1 0 1 1 1 0 0 1 0 0 1 1 1 1 1 1 1 0 0 0 1 1 1 1 0 0 0 0 0 0 0 1 1 1 1 1 0 0 1 1 1 1 0 0 1 X 17475 0 1 12539 1 1 1 1 AS GM QA CJ BD JE MP UK VI 0 0 0 0 0 0 0 0 0 0 X 63 56 1 0 0 0 0 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 PA CA NY DC VA FL OR SC AL MA AZ LA NC IL WV GA MT NM CO OK X CARNEGIE MELLON UNIVERSITY CONTROLLER 4122685904 5000 FORBES AVENUE PITTSBURGH PA 15213 X ARTHUR H ARONSON 1.00 X 0 0 0 JOHN R BERTUCCI 1.00 X 0 0 0 ERROLL B DAVIS JR 1.00 X 0 0 0 LINDA A DICKERSON 1.00 X 0 0 0 WILLIAM S DIETRICH II 1.00 X 0 0 0 PHILIP L DOWD 1.00 X 0 0 0 DINA DUBLON 1.00 X 0 0 0 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B KOSAK 40.00 X 372904 0 38512 CHARLES KENNEDY 40.00 X 235374 0 39316 RANDAL E BRYANT 40.00 X 297862 0 37981 PAUL D NIELSEN 40.00 X 467840 0 24406 PRADEEP K KHOSLA 40.00 X 440496 0 37530 MOHAMMED A DOBASHI 40.00 X 477655 0 33857 KRZYSZTOF MATYJASZEWSKI 40.00 X 446056 0 37303 ALAN MONTGOMERY 40.00 X 417972 0 84128 CHARLES THORPE 40.00 X 471316 0 44281 ROBERT T MONROE 40.00 X 569828 0 31298 KENNETH DUNN 40.00 X 280961 0 20185 GLORIANA ST CLAIR 40.00 X 208276 0 22725 MARK WESSEL 40.00 X 251629 0 29745 FREDERICK J GILMAN 40.00 X 328940 0 38065 JAMES H MORRIS 40.00 X 199348 0 37122 JOHN P LEHOCZKY 40.00 X 318203 0 32538 HILARY ROBINSON 40.00 X 187645 0 21908 9293573 0 1009441 1074 1 1 0 AMERISOURCE FUNDING INC 7225 LANGTRY HOUSTON TX 77040 DINING SERVICES 8760132 ISS FACILITY SERVICES INC 425 SIXTH AVENUE SUITE 1640 PITTSBURGH PA 15219 CLEANING SERVICES 6354493 PJ DICK INC PO BOX 98100 PITTSBURGH PA 15227 CONSTRUCTION 6326983 MOSITES CONSTRUCTION 4839 CAMPBELLS RUN ROAD PITTSBURGH PA 15205 CONSTRUCTION 4165893 MBM CONTRACTING 4999 OLD CLAIRTON ROAD PITTSBURGH PA 15236 CONSTRUCTION 2985683 151 328179616 113535449 10551639 441715065 TUITION 900099 498889131 498889131 AUXILIARY SERVICES 611710 42444395 41988260 456135 OTHER PROGRAM SERVICES 900099 20397614 20397614 561731140 12061807 474506 11587301 12043834 12043834 774955 103669 559872 215083 103669 318752 318752 576743630 239584 455035734 79276 121707896 160308 121868204 121868204 6730656 2758048 3972608 491183 3481425 1153711410 561275005 1421824 149299516 23365734 23365734 110329814 110329814 1687750 1687750 5830407 1145102 3749640 935665 2559010 2361335 197675 462511027 427480931 26980554 8049542 28708102 24124546 3900904 682652 48225472 43951559 2985633 1288280 25238000 21071115 3536429 630456 7193163 4256166 2936997 1089754 80548 1009206 406690 406690 588958 588958 2976850 2976850 17234630 12951738 4080397 202495 2618844 1818318 791082 9444 23526180 20903133 2183429 439618 17048673 14508651 2212551 327471 1401027 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DEPOSITS 14628573 ESCHEAT CHECKS PAYABLE 800795 PRESENT VALUE OF ANNUITIES DUE 13905934 SWAP AGREEMENTS/CONTRACTS 28474066 FEDERAL , STATE AND LOCAL TAXES PAYABLE 214397 MISC. OTHER LIABILITIES 9270 CAPITALIZED LEASE OBLIGATIONS 502321 MCCUNE RECOVERABLE LOAN FUND 1413704 AGENCY FUNDING 18552 66555939 1153711410 1009517543 144193867 134411835 -3844 -1217543 133190448 277384315 1189466902 134411835 10192119 8764564 153368518 1036098384 117613026 117613026 1153711410 909700329 10192119 17908088 28100207 881600122 127917421 127917421 1009517543 PART III, LINE 4: CARNEGIE MELLON MAINTAINS VARIOUS ITEMS INCLUDING COLLECTIONS OF ART, HISTORIC TREASURES, AND OTHER SIMILAR ASSETS TO SUPPORT THE EDUCATION AND RESEARCH FUNCTIONS OF THE UNIVERSITY. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE CARNEGIE MELLON ENDOWMENT IS A COLLECTION OF INDIVIDUAL FUNDS PRIMARILY ESTABLISHED BY DONORS AND MANAGED BY THE UNIVERSITY AS A POOLED SET OF ASSETS. IN ACCORDANCE WITH THE PENNSYLVANIA ACT 141 AND DONOR INTENT, THE UNIVERSITY SPENDS A PREDETERMINED PORTION OF THE ENDOWMENT INCOME EACH YEAR ON FACULTY SUPPORT, STUDENT SUPPORT, AND GENERAL UNIVERSITY SUPPORT. DESCRIPTION OF UNCERTAIN TAX POSITIONS UNDER FIN 48: PART X: CARNEGIE MELLON PERFORMS AN ANNUAL FIN 48 (ASC 740) ANALYSIS TO ANALYZE ALL TAX POSITIONS AS REQUIRED. FOR THE FISCAL YEAR ENDED JUNE 30, 2011, CARNEGIE MELLON HAS ASSESSED ALL UNCERTAIN TAX POSITIONS AND HAS DETERMINED THEM TO BE IMMATERIAL. THE UNIVERSITY'S STATEMENTS OF FINANCIAL POSITION DO NOT INCLUDE ANY LIABILITIES ASSOCIATED WITH UNCERTAIN TAX POSITIONS. PART XI, LINE 8 - OTHER ADJUSTMENTS: CHANGE IN SWAP VALUE -1,220,461. DECONSOLIDATION OF NEW ASSETS 2,918. PART XII, LINE 2D - OTHER ADJUSTMENTS: LOSS ON SALE OF ASSETS -160,308. COST OF GOODS SOLD 2,758,047. SUBSIDIARY REVENUE 5,606,953. RENTAL EXPENSE 559,872. PART XII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 114,636,176. INVESTMENT MANAGER FEES 2,976,850. PART XIII, LINE 2D - OTHER ADJUSTMENTS: LOSS ON SALE OF ASSETS -160,308. COST OF GOODS SOLD 13,062,788. SUBSIDIARY EXPENSE 4,445,736. RENTAL EXPENSE 559,872. PART XIII, LINE 4B - OTHER ADJUSTMENTS: FINANCIAL AID 114,636,176. INVESTMENT MANAGER FEES 2,976,850. INTERNAL SALES REVENUE 10,304,395. PART XII - RECONCILIATION OF REVENUE PER AUDITED FINANCIAL STATEMENTS WITH REVENUE PER RETURN AND PART XIII - RECONCILIATION OF EXPENSES PER AUDITED FINANCIAL STATEMENTS WITH EXPENSES PER RETURN: LINE 1 OF EACH PART RESPECTIVELY CONSISTS OF CONSOLIDATED NUMBERS FROM THE AUDITED FINANCIAL STATEMENTS AND RECONCILES TO THE STAND-ALONE (SEPARATE BASIS) REVENUE AND EXPENSES AS REPORTED ON THE FORM 990, PART I, LINE 12. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 EXPLANATION OF NONDISCRIMINATORY POLICY PUBLICATION SCHEDULE E, PART I, LINE 3 THE NON-DISCRIMINATORY POLICY AND STATEMENT OF ASSURANCE APPEARS ON PRINTED MATERIALS USED TO COMMUNICATE WITH PROSPECTIVE AND CURRENT STUDENTS AS WELL AS EMPLOYEES OF CARNEGIE MELLON UNIVERSITY. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 MONETARY GRANTS WERE RECEIVED FROM FEDERAL AND STATE AGENCIES TO PROVIDE ASSISTANCE TO STUDENTS ATTENDING CARNEGIE MELLON UNIVERSITY. 1 CENTRAL AMERICA AND THE CARIBBEAN 0 0 FOREIGN INVESTMENTS 274768876 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES EDUCATION 18170 EAST ASIA AND THE PACIFIC 0 0 GRANTMAKING 252439 EAST ASIA AND THE PACIFIC 2 29 PROGRAM SERVICES EDUCATION 7068163 EAST ASIA AND THE PACIFIC 0 0 UBI 27607 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANTMAKING 111337 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 FOREIGN INVESTMENTS 11548184 EUROPE (INCLUDING ICELAND & GREENLAND) 1 2 PROGRAM SERVICES EDUCATION 3780428 MIDDLE EAST AND NORTH AFRICA 0 0 GRANTMAKING 1020502 MIDDLE EAST AND NORTH AFRICA 1 180 PROGRAM SERVICES EDUCATION 46200335 NORTH AMERICA 0 0 GRANTMAKING 270181 NORTH AMERICA 0 4 PROGRAM SERVICES EDUCATION 592662 RUSSIA & THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES EDUCATION 21258 SOUTH AMERICA 0 3 PROGRAM SERVICES EDUCATION 156045 SOUTH ASIA 0 1 PROGRAM SERVICES EDUCATION 366685 SUB-SAHARAN AFRICA 0 0 GRANTMAKING 33290 SUB-SAHARAN AFRICA 0 0 FOREIGN INVESTMENTS 2560897 SUB-SAHARAN AFRICA 0 1 PROGRAM SERVICES EDUCATION 336095 3 31 1 189 4 220 297575204 51557950 349133154 X EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACTS 111337 CASH; ELECTRONIC FUND TRANSFER MIDDLE EAST AND NORTH AFRICA SUBCONTRACTS 294584 CASH; ELECTRONIC FUND TRANSFER NORTH AMERICA SUBCONTRACTS 270181 CASH; ELECTRONIC FUND TRANSFER SUB-SAHARAN AFRICA SUBCONTRACTS 33290 CASH; ELECTRONIC FUND TRANSFER 0 9 STUDENT SCHOLARSHIPS EAST ASIA AND THE PACIFIC 75 252439 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCT. STUDENT SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 29 725918 CHECK; ELECTRONIC FUND TRANSFER; POSTING TO STUDENT ACCT. 1 0 1 1 1 1 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: CMU DISTRIBUTES LIMITED FINANCIAL AID AND GRANT FUNDS TO STUDENTS AT ITS INTERNATIONAL LOCATIONS ON A STATISTICAL MODEL THAT TAKES INTO ACCOUNT A STUDENT'S INTENDED COLLEGE MAJOR, ACADEMIC AND ARTISTIC TALENTS, NON-ACADEMIC TALENTS AND ABILITIES, AS WELL AS FINANCIAL NEED. SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. THESE FUNDS ARE MONITORED BY THE OFFICE OF SPONSORED PROJECTS AND SPONSORED PROJECTS ACCOUNTING. 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CMU DISTRIBUTES LIMITED FINANCIAL AID AND GRANT FUNDS TO INDIVIDUALS AND ORGANIZATIONS IN THE U.S. BASED ON A STATISTICAL MODEL THAT TAKES INTO ACCOUNT A STUDENT'S INTENDED COLLEGE MAJOR, ACADEMIC AND ARTISTIC TALENTS, NON-ACADEMIC TALENTS AND ABILITIES, AS WELL AS FINANCIAL NEED. FOR STUDENTS, SUCH FUNDS ARE TYPICALLY APPLIED DIRECTLY TO THEIR INDIVIDUAL ACCOUNTS IN FURTHERANCE OF THEIR EDUCATION AT CMU. OTHER TYPES OF GRANTS AND ASSISTANCE MIGHT INCLUDE, FOR EXAMPLE, RECIPIENTS OF PRIZES AND AWARDS WHO SHOULD HAVE MET THE SPECIFIC CRITERIA FOR THE PARTICULAR PRIZE OR AWARD TO BE SELECTED. IN THE CASE OF SCHOLARSHIPS AND FELLOWSHIPS, THE RECIPIENT IS OFTEN REQUIRED TO UTILIZE THE FUNDS IN FURTHERANCE OF THEIR EDUCATION AND RESEARCH AT CMU. GRANTS ARE ALSO MADE IN THE CONTEXT OF ACADEMIC OR RESEARCH PROGRAMS AND RECIPIENTS SHOULD SPEND THEIR GRANT FUNDS UNDER THE SUPERVISION OF THE PROGRAM FOR THE USE OF THE FUNDS. SPONSORED PROJECT FUNDS ARE PASSED THROUGH TO SUB-GRANTEE ORGANIZATIONS BY CARNEGIE MELLON WHEN SUCH SUB-GRANTEE ARRANGEMENTS ARE APPROVED BY THE PRIMARY GRANT SPONSOR. THESE FUNDS ARE MONITORED BY THE OFFICE OF SPONSORED PROJECTS AND SPONSORED PROJECTS ACCOUNTING. X X X X X X X 1 1 X X X X 0 1 0 0 0 0 0 1 0 DENISE ROUSSEAU HEINZ PROFFACULTY 150016 0 0 0 15731 0 28905 0 14170 0 208822 0 0 0 JARED L COHON 523007 0 92710 0 174456 0 19600 0 51209 0 860982 0 0 0 MARK S KAMLET 423879 0 0 0 62831 0 19600 0 15868 0 522178 0 0 0 MARY JO DIVELY 343532 0 0 0 29614 0 19600 0 18550 0 411296 0 0 0 DEBORAH J MOON 290706 0 0 0 10907 0 19600 0 26710 0 347923 0 0 0 ELIZABETH A MILAVEC 174609 0 0 0 1874 0 14712 0 17659 0 208854 0 0 0 JAY S CALHOUN 218054 0 0 0 2942 0 16080 0 15656 0 252732 0 0 0 CHERYL M HAYS 184863 0 0 0 21473 0 16458 0 8690 0 231484 0 0 0 RICHARD D MCCULLOUGH 341663 0 0 0 20079 0 19600 0 21802 0 403144 0 0 0 MICHAEL C MURPHY 215473 0 0 0 22849 0 19200 0 14872 0 272394 0 0 0 ROBBEE B KOSAK 358138 0 0 0 14766 0 19600 0 18912 0 411416 0 0 0 CHARLES KENNEDY 218154 0 0 0 17220 0 18890 0 20426 0 274690 0 0 0 RANDAL E BRYANT 288641 0 0 0 9221 0 19600 0 18381 0 335843 0 0 0 PAUL D NIELSEN 446577 0 0 0 21263 0 19600 0 4806 0 492246 0 0 0 PRADEEP K KHOSLA 372044 0 0 0 68452 0 19600 0 17930 0 478026 0 0 0 MOHAMMED A DOBASHI 184095 0 0 0 293560 0 12999 0 20858 0 511512 0 0 0 KRZYSZTOF MATYJASZEWSKI 419067 0 0 0 26989 0 22764 0 14539 0 483359 0 0 0 ALAN MONTGOMERY 197667 0 0 0 220305 0 16847 0 67281 0 502100 0 0 0 CHARLES THORPE 307727 0 0 0 163589 0 19998 0 24283 0 515597 0 0 0 ROBERT T MONROE 248585 0 0 0 321243 0 19378 0 11920 0 601126 0 0 0 KENNETH DUNN 275000 0 0 0 5961 0 19600 0 585 0 301146 0 0 0 GLORIANA ST CLAIR 206397 0 0 0 1879 0 16661 0 6064 0 231001 0 0 0 MARK WESSEL 190233 0 0 0 61396 0 17102 0 12643 0 281374 0 0 0 FREDERICK J GILMAN 300478 0 0 0 28462 0 19600 0 18465 0 367005 0 0 0 JAMES H MORRIS 193522 0 0 0 5826 0 20106 0 17016 0 236470 0 0 0 JOHN P LEHOCZKY 273830 0 0 0 44373 0 19600 0 12938 0 350741 0 0 0 HILARY ROBINSON 186898 0 0 0 747 0 15141 0 6767 0 209553 0 0 0 SUPPLEMENTAL INFORMATION PART III PART I, LINE 1A - ALL ITEMS CHECKED IN LINE 1A ARE PROVIDED TO OR FOR A PERSON LISTED IN FORM 990, PART VII TO FURTHER THE BUSINESS, EDUCATIONAL, AND RESEARCH MISSION OF THE UNIVERSITY PURSUANT TO FEDERAL TAX REGULATIONS, IRS ACCOUNTABLE PLAN RULES, AND THE INSTITUTION'S POLICIES AND PROCEDURES. NONTAXABLE BENEFITS DISCLOSED IN COLUMN D INCLUDE, FOR EXAMPLE, EMPLOYER CONTRIBUTIONS TO QUALIFIED RETIREMENT PLANS, CONTRIBUTIONS TO EMPLOYER HEALTH AND WELFARE PLANS, AND THE VALUE OF EMPLOYER PROVIDED HOUSING ATTRIBUTED TO PERSONAL USE. SUPPLEMENTAL INFORMATION PART III PART I, LINE 7 PRESIDENT J. COHON RECEIVED A RETENTION BONUS DURING CALENDAR YEAR 2010. ALLEGHENY COUNTY HIGHER EDUCATION BUILDING AUTHORITY 251650137 01728RES4 2008-04-10 120820000 SEE PART VI, SUPPLEMENTAL INFORMATION 0 0 0 PENNSYLVANIA HIGHER EDUCATION FACILITIES AUTHORITY 232243852 70917RXJ9 2009-08-20 183259641 SEE PART VI, SUPPLEMENTAL INFORMATION 0 0 0 120820000 526336 270329 2010 1 0 1 1 183259641 1250508 1575282 15000000 2011 1 0 1 1 0 0 0 0 1 0.00000 0.00000 0.00000 1 0 0 0 0 1 0.00000 0.00000 0.00000 1 0 1 0 0 0 0 0 0 0 0 0 1 PART 1(F)A DESCRIPTION OF PURPOSE REFUNDING OF TAX EXEMPT BONDS DATED 12/12/2006 AND 03/01/2007 PART 1(F)B DESCRIPTION OF PURPOSE REFUNDING OF TAX EXEMPT BONDS DATED 10/26/1995 AND FUNDS FOR CERTAIN CAPITAL ACQUISITIONS AND PROJECTS. ACCENTURE D. DUBLON-CMU LIFE TRUSTEE-DIRECTOR OF ACCENTURE-CARNEGIE MELLON VENDOR 117798 SEE PART V PAYMENTS MADE TO/RECEIVED FROM ACCENTURE FOR FEES/LICENSING INCOME 0 APPLE INC E. FRANK-CMU LIFE TRUSTEE-VICE PRESIDENT OF APPLE-CARNEGIE MELLON VENDOR 3700486 SEE PART V PAYMENTS MADE TO/RECEIVED FROM APPLE, INC. FOR COMPUTER PRODUCTS, COMMISIONS AND SERVICES 0 BANK OF NEW YORK MELLON R. KELLY-CMU TERM TRUSTEE-CHAIRMAN/CEO OF BNY MELLON-CARNEGIE MELLON VENDOR 11463803 SEE PART V PAYMENTS MADE TO/RECEIVED FROM BNY MELLON FOR INTEREST AND BOND FEES 0 COGNIZANT TECHNOLOGY SOLUTIONS F. D'SOUZA-CMU TERM TRUSTEE-PRES/CEO OF COGNIZANT-CARNEGIE MELLON VENDOR 117350 SEE PART V PAYMENTS MADE TO/RECEIVED FROM COGNIZANT TECHNOLOGY SOLUTIONS FOR FEES/EXTERNAL SERVICES 0 HEWLETT-PACKARD COMPANY R. LANE-CMU LIFE TRUSTEE-EXECUTIVE CHAIRMAN OF HP, A CARNEGIE MELLON VENDOR 149186 SEE PART V COMPUTER PRODUCTS, FEES & LICENSE/MEMBERSHIP REVENUE 0 KLEINER PERKINS CAUFIELD & BYERS R. LANE-CMU LIFE TRUSTEE-MANAGING PARTNER OF KPC&B-CARNEGIE MELLON INVEST. 1818026 SEE PART V PAYMENTS MADE TO/RECEIVED FROM KLEINER PERKINS CAUFIELD & BYERS FOR LIMITED PARTNERSHIP CAPITAL GAINS DISTRIBUTIONS 0 MICROSOFT INC D. DUBLON-CMU LIFE TRUSTEE-DIRECTOR OF MICROSOFT-CARNEGIE MELLON VENDOR 460138 SEE PART V PAYMENTS MADE TO/RECEIVED FROM MICROSOFT FOR CONFERENCE AND SERVICE FEES 0 PNC FINANCIAL SERVICES GROUP J. ROHR-CMU LIFE TRUSTEE-CHAIRMAN/CEO OF PNC-CARNEGIE MELLON VENDOR 24825656 SEE PART V PAYMENTS MADE TO/RECEIVED FROM PNC FOR PURCHASING CARD PAYMENTS, BANK CARD REVENUE AND FEES 0 UPMC HEALTH NETWORK INC D. MOON-CMU OFFICER-BOARD MEMBER OF UPMC HEALTH NETWORK, INC.-CMU VENDOR 666883 SEE PART V PAYMENTS MADE TO UPMC HEALTH NETWORK, INC., HEALTH INSURANCE COVERAGE 0 X 46140 APPRAISALS X 1 300 FAIR MARKET VALUE X 169 9653404 FAIR MARKET VALUE X COMPUTER EQUIPMENT 9 844498 FAIR MARKET VALUE X PHOTOGRAPHY EQUIPMENT 1 1387 FAIR MARKET VALUE X COMPUTER SOFTWARE 1 1410 FAIR MARKET VALUE X HARPSICHORD 1 4500 FAIR MARKET VALUE 3 0 1 1 THIRD PARTY USE: PART I, LINE 32B: CARNEGIE MELLON USES THIRD PARTIES TO TRADE AND SELL CONTRIBUTIONS OF PUBLICLY TRADED SECURITIES. FORM 990, PART VI, SECTION A, LINE 2 EDWARD FRANK AND BRUCE MCWILLIAMS ARE TRUSTEES OF CARNEGIE MELLON AND HAVE A BUSINESS RELATIONSHIP WITH EACH OTHER AS A MEMBER OF THE BOARD OF DIRECTORS FOR SUVOLTA, INC., AND AS AN OFFICER OF SUVOLTA, INC., RESPECTIVELY. ARTHUR H. ARONSON AND JAMES STALDER ARE TRUSTEES OF CARNEGIE MELLON AND HAVE A BUSINESS RELATIONSHIP WITH EACH OTHER. IRA GUMBERG AND JAMES E. ROHR ARE TRUSTEES OF CARNEGIE MELLON AND HAVE A BUSINESS RELATIONSHIP WITH EACH OTHER. IRA GUMBERG AND DAVID SHAPIRA ARE TRUSTEES OF CARNEGIE MELLON AND HAVE A BUSINESS RELATIONSHIP WITH EACH OTHER. EVAN FRAZIER AND LINDA DICKERSON ARE TRUSTEES OF CARNEGIE MELLON AND HAVE A BUSINESS RELATIONSHIP WITH EACH OTHER. FORM 990, PART VI, SECTION A, LINE 7A CARNEGIE MELLON HAS SIX EX-OFFICIO TRUSTEES WHO ARE MEMBERS OF THE BOARD OF TRUSTEES BY HOLDING THE FOLLOWING OFFICES: MAYOR OF THE CITY OF PITTSBURGH PRESIDENT OF COUNCIL OF THE CITY OF PITTSBURGH PRESIDENT OF CARNEGIE MELLON UNIVERSITY PRESIDENT OF CARNEGIE MELLON ALUMNI ASSOCIATION PRESIDENT OF THE ANDREW CARNEGIE SOCIETY OF CARNEGIE MELLON CHAIRMAN OF CARNEGIE MELLON FACULTY SENATE EX-OFFICIO TRUSTEES ARE FULL VOTING MEMBERS WITH ALL RIGHTS AND RESPONSIBILITES THERETO EXCEPT THAT THE PRESIDENT OF CARNEGIE MELLON UNIVERSITY HAS NO VOTING RIGHTS WHEN SERVING AS A MEMBER OF THE AUDIT COMMITTEE OF THE BOARD. FORM 990, PART VI, SECTION B, LINE 11 CARNEGIE MELLON'S TAX OFFICE IS RESPONSIBLE FOR GATHERING RELEVANT INFORMATION AND PREPARING THE ANNUAL FORM 990. ONCE THE FORM IS COMPLETE IN DRAFT STATUS, IT IS REVIEWED WITH CMU'S INDEPENDENT CERTIFIED PUBLIC ACCOUNTING FIRM. UPON COMPLETION OF INDEPENDENT REVIEW BY THE CPA FIRM, THE FORM IS REVIEWED BY THE CONTROLLER, CFO, PRESIDENT, SENIOR MANAGMENT TEAM OF CMU, AND EXTERNAL LEGAL COUNSEL AND THEN PRESENTED TO AND REVIEWED WITH THE CHAIR AND VICE CHAIR OF THE AUDIT COMMITTEE. FINALLY, A COMPLETED COPY OF THE FORM IS PROVIDED TO THE BOARD OF TRUSTEES FOR THEIR REVIEW PRIOR TO FILING FORM 990 WITH THE IRS. FORM 990, PART VI, SECTION B, LINE 12C CARNEGIE MELLON REQUIRES EACH TRUSTEE, OFFICER, AND MEMBER OF SENIOR MANAGMENT TO DISCLOSE ANNUALLY THE EXISTENCE OF ANY CIRCUMSTANCES THAT MIGHT CONSTITUTE A CONFLICT OF INTEREST WITH THE INSTITUTION. THE PROCESS IS INITIATED EACH FISCAL YEAR BY THE SECRETARY OF THE UNIVERSITY SENDING A CONFLICT OF INTEREST QUESTIONNAIRE TO THE ABOVE NOTED INDIVIDUALS. COMPLETED QUESTIONNAIRES ARE RETURNED TO THE SECRETARY FOR EVALUATION OF ACTUAL OR PERCEIVED CONFLICTS BY THE INSTITUTION AND ANNUAL REPORTING IS PROVIDED TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES. ALL OFFICERS AND MEMBERS OF THE BOARD ARE REQUIRED TO DISCLOSE CONFLICTS AS THEY ARISE THROUGHOUT THE YEAR. FORM 990, PART VI, SECTION B, LINE 15 THE COMPENSATION COMMITTEE ANNUALLY REVIEWS AND RECOMMENDS TO THE EXECUTIVE COMMITTEE FOR APPROVAL THE PRESIDENT'S SALARY, COMPENSATION, AND BENEFIT PACKAGE AND REVIEWS AND APPROVES THE SALARY OF THE PROVOST, VICE PRESIDENTS, AND DEANS. THE COMMITTEE OBTAINS APPROPRIATE ANALYSES AND STUDIES PREPARED BY THE ADMINISTRATION AND INDEPENDENT EXTERNAL SOURCES WITH RESPECT TO COMPENSATION OF SIMILAR ORGANIZATIONS TO AID IN EVALUATING COMPENSATION AND BENEFIT PLAN LEVELS, PRACTICES AND STRATEGIES TO ENSURE THAT THE UNIVERSITY'S COMPENSATION PRACTICES ARE COMPARABLE TO SIMLILAR ORGANIZATIONS AND APPROPRIATE TO ATTRACT, OBTAIN AND RETAIN QUALIFIED PERSONNEL. THIS INCLUDES REVIEWING SURVEY DATA FOR SIMILAR POSITIONS AMONG A SELECT GROUP OF PEER INSTITUTIONS. THE COMMITTEE SUBMITS ITS RECOMMENDATIONS FOR THE PRESIDENT'S SALARY AND COMPENSATION PACKAGE TO THE EXECUTIVE COMMITTEE FOR REVIEW AND APPROVAL. THE EXECUTIVE COMMITTEE RECEIVES AN ANNUAL REPORT FROM THE UNIVERSITY'S COMPENSATION COMMITTEE INCLUDING SIGNIFICANT COMPENSATION AND BENEFIT PLAN POLICY CHANGES. IT REPORTS TO THE FULL BOARD ON THIS AND THE COMPETITIVENESS OF THE UNIVERSITY'S COMPENSATION LEVELS AND BENEFIT PLANS IN RELATION TO PEER INSTITUTIONS. FORM 990, PART VI, SECTION C, LINE 19 FORM 990, PART VI, SECTION C, LINE 19: CARNEGIE MELLON'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS ARE AVAILABLE FOR PUBLIC INSPECTION. THE DOCUMENTS ARE AVAILABLE UPON REQUEST OR CAN BE OBTAINED BY VISITING THE WEBSITE AT WWW.CMU.EDU. FORM 990, PART VII, SECTION A, COLUMN B: FOR EACH PERSON LISTED IN COLUMN A WHO IS AN EMPLOYEE OF CARNEGIE MELLON UNIVERSITY, THE AVERAGE NUMBER OF HOURS PER WEEK STATED IS 40 HOURS PER WEEK; HOWEVER, THE ACTUAL NUMBER OF HOURS WORKED VARIES BETWEEN 40-80 HOURS PER WEEK. FORM 990, PART VII, SECTION A, LINE 1A: EMERITUS LIFE TRUSTEES ARE WELCOME AT ALL MEETINGS, RECEIVE ALL NOTICES, MINUTES AND REPORTS OF MEETINGS, AND ARE FREE TO PARTICIPATE IN ALL DISCUSSIONS, BUT ARE NOT ENTITLED TO VOTE ON ANY MATTER. THE FOLLOWING INDIVIDUALS WERE MEMBERS OF CARNEGIE MELLON'S BOARD OF TRUSTEES IN THE CAPACITY OF EMERITUS LIFE TRUSTEES: PAUL A. ALLAIRE CAROL R. BROWN ROBERT M. BROWN III FRANK V. CAHOUET LUCIAN CASTE ROBERT A. CHARPIE DOUGLAS D. DANFORTH W. LOGAN DICKERSON EDWARD DONLEY CYNTHIA FRIEDMAN CLAIRE W. GARGALLI WILLIAM GOLDSMITH WILTON A. HAWKINS ORION L. HOCH T. JEROME HOLLERAN W. LEE HOSKINS JUSTIN M. JOHNSON WILLIAM H. KNOELL HANS W. LANGE EDWARD E. LUCENTE THOMAS A. MCCONOMY LINDSAY J. MORGENTHALER ALESSANDRO OVI NORMAN F. PARKER HENRY POSNER, JR. CHARLES J. QUEENAN, JR. ESQ JOHN G. RANGOS, SR. DAVID RODERICK VINCENT A. SARNI JOYCE B. SCOTT RAYMOND W. SMITH WILLIAM P. SNYDER III W. LOWELL STEINBRENNER JAMES W. TAYLOR JAMES M. WALTON KONRAD M. WEIS CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED GAINS ON INVESTMENTS: 134,411,835. PRIOR PERIOD ADJUSTMENTS: -41,582. CHANGE IN SWAP VALUE -1,220,461. TRANSLATION ADJUSTMENTS 110,689. DECONSOLIDATION OF NET ASSETS -70,033. TOTAL TO FORM 990, PART XI, LINE 5: 133,190,448. FORM 990, PART XII, FINANCIAL STATEMENTS AND REPORTING: CARNEGIE MELLON HAS AN AUDIT COMMITTEE OF THE BOARD OF TRUSTEES THAT IS RESPONSIBLE FOR OVERSEEING THE AUDIT OF THE FINANCIAL STATEMENTS AND THE SELECTION OF A CERTIFIED INDEPENDENT ACCOUNTING FIRM THAT AUDITS THE STATEMENTS. CARNEGIE MELLON'S FINANCIAL STATEMENTS ARE CONSOLIDATED. THIS PROCESS HAS NOT CHANGED FROM THE PRIOR YEAR. 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