2011-05-11T17:33:14-05:00 2010-06-30 SCHNEIDER DOWNS & CO INC 1133 PENN AVENUE PITTSBURGH PA 15222 990 2009-07-01 250969449 CARNEGIE MELLON UNIVERSITY CARN 4122685904 5000 Forbes Avenue Pittsburgh PA 15213 Deborah J Moon 4122685904 2011-05-11 1 Susan M Kirsch 4122613644 2009 2016-02-24 21:20:13Z Jared L Cohon 5000 Forbes Avenue Pittsburgh PA 15213 1872630229 0 X www.cmu.edu X 1900 PA HIGHER EDUCATION AND RESEARCH. 58 49 12933 98 -1544238 -2800401 370065017 391154194 514553151 547725811 -97479425 68588246 18840450 20268805 805979193 1027737056 115772647 124506370 0 549260940 565285750 469556 565387 15872983 265245964 272276553 930749107 962634060 -124769914 65102996 1925849911 2012199842 720413381 709245302 1205436530 1302954540 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 482176913 103823184 472630843 Instruction - Includes seven colleges and schools offering degree programs and more than 90 majors and minors to approximately 11,371 undergraduate, graduate and doctoral students. Instruction includes academic support and student services. 294634634 20683186 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. 85080840 0 55133833 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. 14912688 0 19273554 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. 14912688 19273554 876805075 1 1 0 1 0 0 1 0 1 1 0 1 1 1 1 1 1 1 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 1 1 0 0 1 16638 0 1 12933 1 1 1 1 AS GM QA CJ BD JE MP UK VI 0 0 0 0 0 0 0 1 58 49 1 0 1 0 0 1 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 PA CA NY DC VA X Elizabeth A Milavec 4122685904 5000 Forbes Avenue Pittsburgh PA 15213 ARTHUR H ARONSON 2.00 X 0 0 0 JOHN R BERTUCCI 2.00 X 0 0 0 ERROLL B DAVIS JR 0.30 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 EDWARD H FRANK 2.00 X 0 0 0 HENRY J GAILLIOT 5.00 X 0 0 0 IRA J GUMBERG 1.00 X 0 0 0 RICHARD D HAMILTON 1.00 X 0 0 0 TORRENCE M HUNT JR 2.00 X 0 0 0 TOD S JOHNSON 2.00 X 0 0 0 DAVID M KIRR 3.00 X 0 0 0 JILL GANSMAN KRAUS 1.00 X 0 0 0 RAYMOND J LANE 2.00 X 0 0 0 JOHN E MCGRATH 4.00 X 0 0 0 REGINA GOUGER MILLER 1.00 X 0 0 0 AMBAR PAUL 1.00 X 0 0 0 E KEARS POLLOCK 1.00 X 0 0 0 JAMES E ROHR 1.00 X 0 0 0 DAVID S SHAPIRA 1.00 X 0 0 0 JAMES C STALDER 4.00 X 0 0 0 DONALD E STITZENBERG 5.00 X 0 0 0 MARY ANN ULISHNEY 1.00 X 0 0 0 SUNIL WADHWANI 1.00 X 0 0 0 HOWARD L ELLIN 5.00 X 0 0 0 YOSHIAKI FUJIMORI 1.00 X 0 0 0 BRUCE M MCWILLIAMS 1.00 X 0 0 0 ATTILA MOLNAR 1.00 X 0 0 0 J LEA HILLMAN SIMONDS 1.00 X 0 0 0 MANOJ P SINGH 1.00 X 0 0 0 DAVID A TEPPER 2.00 X 0 0 0 PAULA KAUFFMAN WAGNER 3.00 X 0 0 0 JOEL ADAMS 1.00 X 0 0 0 FRANK BRUNCKHOORST 3.00 X 0 0 0 FRANCISCO D'SOUZA 1.00 X 0 0 0 WILLIAM ELLIS 1.00 X 0 0 0 TERESA HEINZ 1.00 X 0 0 0 LARRY JENNINGS JR 4.00 X 0 0 0 ROBERT KELLY 1.00 X 0 0 0 JONATHAN M ROTHBERG 1.00 X 0 0 0 LUKE SKURMAN 5.00 X 0 0 0 RONALD R BIANCHINI JR 1.00 X 0 0 0 MARCO DELGADO 3.00 X 0 0 0 EVAN S FRAZIER 1.00 X 0 0 0 ROY W HALEY 1.00 X 0 0 0 OSCAR HARRIS JR 1.00 X 0 0 0 PATRICIA ASKWITH KENNER 1.00 X 0 0 0 SULAJJA FIRODIA MOTWANI 1.00 X 0 0 0 ROHET TOLANI 1.00 X 0 0 0 PATRICK WILSON 1.00 X 0 0 0 RICHARD T CREECH 1.00 X 0 0 0 LUKE RAVENSTAHL 1.00 X 0 0 0 DOUG SHIELDS 1.00 X 0 0 0 JOHN MACKEY 40.00 X 72977 0 21122 MARILYN TAFT THOMAS 40.00 X 118752 0 22188 JARED L COHON 40.00 X X 746208 0 70518 Jay S Calhoun 40.00 X 24897 0 2524 Mary Jo Dively 40.00 X 371939 0 38971 edward grefenstette 40.00 X 295552 0 37903 cheryl m hays 40.00 X 200288 0 24122 MARK S KAMLET 40.00 X 487942 0 33595 CHARLES KENNEDY 40.00 X 191411 0 35044 ROBBEE B KOSAK 40.00 X 373402 0 37345 RICHARD D MCCULLOUGH 40.00 X 371552 0 42124 DEBORAH J MOON 40.00 X 298124 0 37731 ELIZABETH A MILAVEC 40.00 X 176157 0 31250 MICHAEL C MURPHY 40.00 X 233516 0 33146 RANDAL E BRYANT 40.00 X 303370 0 39723 PRADEEP K KHOSLA 40.00 X 451422 0 35415 PAUL D NIELSEN 40.00 X 414613 0 23888 MOHAMMED A DOBASHI 40.00 X 539179 0 32797 RICHARD C GREEN 40.00 X 386427 0 30541 RAMAYYA KRISHNAN 40.00 X 385576 0 34910 ROBERT MONROE 40.00 X 514665 0 30007 CHARLES THORPE 40.00 X 608959 0 46011 DAVID DZOMBAK 40.00 X 174815 0 35674 VIVIAN LOFTNESS 40.00 X 123076 0 18118 KENNETH DUNN 40.00 X 280161 0 19980 WILLIAM F ELLIOT 40.00 X 149439 0 11832 FREDERICK J GILMAN 40.00 X 320695 0 37220 JOHN P LEHOCZKY 40.00 X 318820 0 31453 JAMES H MORRIS 40.00 X 293806 0 35507 HILARY ROBINSON 40.00 X 219723 0 24621 GLORIANA ST CLAIR 40.00 X 210923 0 22117 MARK WESSEL 40.00 X 226271 0 28021 9884657 0 1005418 1046 1 1 0 PJ DICK INC PO BOX 98100 PITTSBURGH PA 15227 CONSTRUCTION 33605551 ISS FACILITY SERVICES INC 425 SIXTH AVENUE SUITE 1640 PITTSBURGH PA 15219 CLEANING SERVICES 6067324 PARKHURST DINING SERVICES 285 E WATERFRONT DRIVE PITTSBURGH PA 15230 CATERING SERVICES 4833945 MBM CONTRACTING 4999 OLD CLAIRTON ROAD PITTSBURGH PA 15236 CONSTRUCTION 4173049 JENDOCO CONSTRUCTION 2000 LINCOLN ROAD PITTSBURGH PA 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999136 10527715 9616264 598811 312640 10751677 10405709 345968 48738359 46516024 2222335 848753 453805 394948 food service operations 13352664 13304986 47678 0 INFORMATION RESOURCES 7701824 6966048 680167 55609 grant Subcontract Servi 5540461 5540461 0 0 NON-CAPITAL EQUIPMENT 4947043 4648302 289138 9603 FABRICATED EQUIPMENT 4298524 4291046 7478 0 18614919 11230575 6585501 798843 962634060 876805075 69956002 15872983 69920 66439 127192339 127063813 91836738 83347523 31695939 28919375 421140 328657 2449425 2559747 8080003 8693248 1273625579 588439227 658714769 685186352 558171717 534503259 413935475 505345546 33282446 36185883 1925849911 2012199842 97736961 87965962 91517871 84565769 414614084 420617599 50382567 44950588 66161898 71145384 720413381 709245302 X 503334195 572526413 245675356 259025885 456426979 471402242 1205436530 1302954540 1925849911 2012199842 X 0 1 1 X 1 1 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 396056 396056 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, STATE AND LOCAL TAXES PAYABLE 211513 MISC. OTHER LIABILITIES 16249 CAPITALIZED LEASE OBLIGATIONS 917347 mccune recoverable loan fund 893239 71145384 1027737056 962634060 65102996 48222587 24907 -15832480 32415014 97518010 987480416 48222588 11822095 0 6886218 66930901 920549515 107187541 107187541 1027737056 874227172 11822094 0 0 16324092 28146186 846080986 0 116553074 116553074 962634060 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. Part V, Line 4: Description of Intended Use of Endowment Funds: 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 DONOR STIPULATIONS, THE PRINCIPAL OF THIS POOL REMAINS INTACT. IN ACCORDANCE WITH PENNSYLVANIA ACT 141 AND DONOR INTENT, THE UNIVERSITY SPENDS A PORTION OF ENDOWMENT INCOME EACH YEAR ON FACULTY SUPPORT, STUDENT SUPPORT, AND GENERAL UNIVERSITY SUPPORT. Part X: Description of Uncertain Tax Positions Under FIN 48: CARNEGIE MELLON PERFORMS AN ANNUAL FIN 48 (ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES) ANALYSIS TO ANALYZE ALL TAX POSITIONS AS REQUIRED. FOR THE FISCAL YEAR ENDED JUNE 30, 2010, 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 $(14,613,524) other adjustments $(1,218,956) PART XII, LN 2D LOSS ON SALE OF ASSETS $960,937 COST OF GOODS SOLD $3,308,254 SUBSIDIARY REVENUES $2,086,183 RENTAL EXPENSE $530,847 PART XII, LN 4B FINANCIAL AID $103,823,184 INVESTMENT MANAGEMENT FEES $3,364,357 PART XIII, LN 2D LOSS ON SALE OF ASSETS $960,937 COST OF GOODS SOLD $12,673,787 SUBSIDIARY EXPENSES $2,158,521 RENTAL EXPENSES $530,847 PART XIII, LN 4B FINANCIAL AID $103,823,184 INVESTMENT MANAGEMENT FEES $3,364,357 INTERNAL SALES REVENUE $9,365,533 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 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. 1 1 1 1 0 0 0 0 0 0 0 0 1 0 MONETARY GRANTS WERE RECEIVED FROM FEDERAL AND STATE AGENCIES TO PROVIDE ASSISTANCE TO STUDENTS ATTENDING CARNEGIE MELLON UNIVERSITY. 1 1 Central America and the Caribbean 0 PROGRAM SERVICES Education 13298 Central America and the Caribbean FOREIGN INVESTMENTS East Asia and the Pacific 3 37 PROGRAM SERVICES Education 5699016 East Asia and the Pacific UBI/ADMIN SERVICES 63202 Europe (Including Iceland & Greenland) 1 4 PROGRAM SERVICES Education 3605029 Europe (Including Iceland & Greenland) FOREIGN INVESTMENTS Middle East and North Africa 1 167 PROGRAM SERVICES Education 43325627 North America 3 PROGRAM SERVICES Education 353170 Russia & the Newly Independent States PROGRAM SERVICES Education 25453 South America PROGRAM SERVICES Education 157079 South Asia PROGRAM SERVICES Education 280695 Sub-Saharan Africa 3 PROGRAM SERVICES Education 251057 Sub-Saharan Africa FOREIGN INVESTMENTS East Asia and the Pacific GRANTMAKING 3729795 Europe (Including Iceland & Greenland) GRANTMAKING 3031693 North America GRANTMAKING 237521 Sub-Saharan Africa GRANTMAKING 41723 Middle East and North Africa GRANTMAKING 547725 East Asia and the Pacific FOREIGN INVESTMENTS North America FOREIGN INVESTMENTS 5 214 61362083 X East Asia and the Pacific Subcontracts 5000 cash; electronic fund transfer Europe (Including Iceland & Greenland) Subcontracts 342266 cash; electronic fund transfer North America Subcontracts 237521 cash; electronic fund transfer Sub-Saharan Africa Subcontracts 41723 cash; electronic fund transfer 2 5 Student Scholarships East Asia and the Pacific 292 3724795 check; Electronic fund transfer; posting to student acct. Student Scholarships Europe (Including Iceland & Greenland) 158 2689427 check; Electronic fund transfer; posting to student acct. Student Scholarships Middle East and North Africa 31 547725 check; Electronic fund transfer; posting to student acct. 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. IN ADDITION TO CMU'S FINANCIAL AID, THERE ARE SCHOLARSHIPS PROVIDED TO STUDENTS AT THE INTERNATIONAL LOCATIONS THAT ARE FUNDED BY A SPONSOR. IN SOME SUCH SITUATIONS, THE SPONSOR MAY SELECT THE STUDENTS WHO ARE TO RECEIVE SCHOLARSHIPS FUNDED BY THE SPONSOR. IN OTHER INSTANCES, SCHOLARSHIP FUNDS ARE PROVIDED TO CMU BY THE SPONSOR AND THEN APPLIED TO STUDENT ACCOUNTS USING THE PROCESS DESCRIBED ABOVE. CMU PERIODICALLY INVOICES SPONSORS FOR SUCH SCHOLARSHIP FUNDS AND IS USUALLY REQUIRED TO PROVIDE DETAIL REGARDING THE SCHOLARSHIPS AWARDED. MOST SPONSORS REQUIRE A SEPARATE FINANCIAL STATEMENT AUDIT AND/OR REPORTING WHICH WOULD INCLUDE REVIEW OF SCHOLARSHIP 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. 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75130 EDUCATION/RESEARCH SUBCONTRACTS TENNESSE STATE UNIVERSITY 3500 JOHN A MERRIT BLVD NASHVILLE TN 37209 620786119 501 (c)(3) 42133 EDUCATION/RESEARCH SUBCONTRACTS 93 0 CMU SCHOLARSHIPS 5111 84266989 ENDOWED STUDENT SCHOLARSHIPS 1436 8622653 EXTERNAL DONOR OR CORPORATE FUNDED SCHOLARSHIPS 387 2061685 FEDERAL GRANT 730 2111224 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: 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 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 0 0 0 0 0 0 0 0 JARED L COHON 589657 0 0 0 156551 0 19600 0 50918 0 816726 0 0 0 Mary Jo Dively 352476 0 0 0 19463 0 19600 0 19371 0 410910 0 0 0 edward grefenstette 294523 0 0 0 1029 0 19600 0 18303 0 333455 0 0 0 cheryl m hays 181326 0 0 0 18962 0 16133 0 7989 0 224410 0 0 0 MARK S KAMLET 467134 0 0 0 20808 0 19600 0 13995 0 521537 0 0 0 CHARLES KENNEDY 189234 0 0 0 2177 0 16000 0 19044 0 226455 0 0 0 ROBBEE B KOSAK 369088 0 0 0 4314 0 19600 0 17745 0 410747 0 0 0 RICHARD D MCCULLOUGH 352422 0 0 0 19130 0 19600 0 22524 0 413676 0 0 0 DEBORAH J MOON 296732 0 0 0 1392 0 19600 0 18131 0 335855 0 0 0 ELIZABETH A MILAVEC 174463 0 0 0 1694 0 14638 0 16612 0 207407 0 0 0 MICHAEL C MURPHY 216207 0 0 0 17309 0 19200 0 13946 0 266662 0 0 0 RANDAL E BRYANT 294182 0 0 0 9188 0 19600 0 20123 0 343093 0 0 0 PRADEEP K KHOSLA 432146 0 0 0 19276 0 19600 0 15815 0 486837 0 0 0 PAUL D NIELSEN 410848 0 0 0 3765 0 19600 0 4288 0 438501 0 0 0 MOHAMMED A DOBASHI 180103 0 0 0 359076 0 13721 0 19076 0 571976 0 0 0 RICHARD C GREEN 383078 0 0 0 3349 0 23961 0 6580 0 416968 0 0 0 RAMAYYA KRISHNAN 383866 0 0 0 1710 0 19600 0 15310 0 420486 0 0 0 ROBERT MONROE 219563 0 0 0 295102 0 16684 0 13323 0 544672 0 0 0 CHARLES THORPE 313452 0 0 0 295507 0 19600 0 26411 0 654970 0 0 0 DAVID DZOMBAK 170071 0 0 0 4744 0 14400 0 21274 0 210489 0 0 0 VIVIAN LOFTNESS 120346 0 0 0 2730 0 10927 0 7191 0 141194 0 0 0 KENNETH DUNN 277400 0 0 0 2761 0 19600 0 380 0 300141 0 0 0 WILLIAM F ELLIOT 146188 0 0 0 3251 0 6380 0 5452 0 161271 0 0 0 FREDERICK J GILMAN 306492 0 0 0 14203 0 19600 0 17620 0 357915 0 0 0 JOHN P LEHOCZKY 298556 0 0 0 20264 0 19600 0 11853 0 350273 0 0 0 JAMES H MORRIS 293106 0 0 0 700 0 20510 0 14997 0 329313 0 0 0 HILARY ROBINSON 219133 0 0 0 590 0 17739 0 6882 0 244344 0 0 0 GLORIANA ST CLAIR 206993 0 0 0 3930 0 16661 0 5456 0 233040 0 0 0 MARK WESSEL 153082 0 0 0 73189 0 11909 0 16112 0 254292 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 AND THE INSTITUTION'S POLICIES AND PROCEDURES. THEY ARE ALSO SUBJECT TO THE UNIVERSITY'S ACCOUNTABLE PLAN RULES. 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. Allegheny County Higher Education Building Authority 251650137 01728RES4 2008-04-10 120820000 SEE SCHEDULE O - REFUNDING OF TAX EXEMPT BONDS DATED 12/12/2006 & 3/1/2007 0 0 Pennsylvania Higher Education Facilities Authority 232243852 70917RXJ9 2009-08-20 183259641 SEE SCHEDULE O -CAPITAL PROJECTS & REFUNDING OF TAX EXEMPT BONDS 10/26/1995 0 0 120820000 526336 237734 1 0 1 1 183259641 5119302 1250508 1571781 9880698 2011 1 0 0 1 0 0 0 0 1 0.00900 0.00000 0.00900 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 PNC BANK J. ROHR-CMU LIFE TRUSTEE-CHAIRMAN/CEO OF PNC BANK, A CARNEGIE MELLON VENDOR 689965 SEE SCH. O - PAYMENTS MADE TO/RECEIVED FROM PNC BANK FOR BANKING AND MERCHANT SERVICES 0 ACCENTURE D. DUBLON-CMU LIFE TRUSTEE-DIRECTOR OF ACCENTURE, A CARNEGIE MELLON VENDOR 145800 SEE SCH. O - PAYMENTS MADE TO/RECEIVED FROM ACCENTURE FOR LICENSING/ROYALTY AGREEMENTS & SPONSORED RESEARCH 0 MICROSOFT INC D. DUBLON-CMU LIFE TRUSTEE-DIRECTOR OF MICROSOFT, A CARNEGIE MELLON VENDOR 285734 SEE SCH. O - PAYMENTS MADE TO/RECEIVED FROM MICROSOFT FOR RESEARCH, SUPPLIES & FEES 0 KLEINER PERKINS CAUFIELD BYERS R. LANE-CMU LIFE TRUSTEE-MANAGING PARTNER OF KPC&B, CARNEGIE MELLON INV. 4556223 SEE SCH. O - PAYMENTS MADE TO/RECEIVED FROM KLEINER PERKINS CAUFIELD & BYERS FOR LIMITED PARTNERSHIP CAPITAL GAINS AND CAPITAL CALLS. 0 BNY MELLON INC R. KELLY-CMU TERM TRUSTEE-CEO OF THE BNY MELLON, A CARNEGIE MELLON VENDOR 5612506 SEE SCH. O - PAYMENTS MADE TO/RECEIVED FROM BNY MELLON FOR BANKING AND MERCHANT SERVICES 0 DELOITTE LLP M. SINGH-CMU TERM TRUSTEE-MANAGING PARTNER OF DELOITTE, A CMU VENDOR 172035 SEE SCH. O - PAYMENTS MADE TO/RECEIVED FROM DELOITTE FOR PROFESSIONAL SERVICES 0 KOSAK DESIGN T. KOSAK-SPOUSE OF ROBBEE BAKER KOSAK, A CARNEGIE MELLON OFFICER 131805 SEE SCH. O - PAYMENT TO T. KOSAK, A CARNEGIE MELLON VENDOR 0 APPLE INC E. FRANK-CMU LIFE TRUSTEE-VP OF APPLE, INC., CARNEGIE MELLON VENDOR 2360077 SEE SCH. O - PAYMENTS MADE/TO RECEIVED FROM APPLE, INC. FOR COMPUTER SUPPLIES & COMMISSIONS. 0 GENERAL ELECTRIC CO INC Y. FUJIMORI-CMU TERM TRUSTEE-CHAIRMAN, PRES., & CEO OF GE JAPAN, CMU VENDOR 108732 SEE SCH. O - PAYMENTS MADE TO/RECEIVED FROM GE FOR EQUIPMENT, SPONSORED RESEARCH & FEES. 0 COGNIZANT TECHNOLOGY SOLUTIONS F. D'SOUZA-CMU TERM TRUSTEE-PRES. & CEO OF COGNIZANT TECHNOLOGY, CMU VENDOR 194812 SEE SCH. O - PAYMENTS MADE TO/RECEIVED FROM COGNIZANT FOR LICENSING & FEES. 0 GIANT EAGLE INC D. SHAPIRA-CMU LIFE TRUSTEE-CHAIRMAN, PRES., & CEO OF GIANT EAGLE 124845 PAYMENTS MADE TO/RECEIVED FROM GIANT EAGLE FOR SUPPLIES AND FEES. 0 X 1 739 Fair Market Value X 41 FAIR MARKET VALUE X 1 1000 FAIR MARKET VALUE X 305 5531526 FAIR MARKET VALUE X COMPUTER EQUIPMENT 21 430197 FAIR MARKET VALUE X SCIENTIFIC EQUIPMENT 4 114000 FAIR MARKET VALUE X COMPUTER SOFTWARE 1 85000 FAIR MARKET VALUE X STATUES 1 16400 APPRAISAL X ALUMNI ASSOC. GIK 14 13430 FAIR MARKET VALUE X FURNITURE 2 11029 FAIR MARKET VALUE X ALUMNI ASSOC. GIK CREDIT 16 8853 FAIR MARKET VALUE X COSTUMES 1 4810 FAIR MARKET VALUE X PIANO 1 1050 FAIR MARKET VALUE X ANTIQUE CAMERA EQUIPMENT 1 850 FAIR MARKET VALUE X VOLUNTEER GIK CREDIT 1 382 FAIR MARKET VALUE X STUDENT ORGANIZATION GIK CREDIT 2 264 FAIR MARKET VALUE 1 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 ARTHUR H. ARONSON AND JAMES STALDER ARE BOTH TRUSTEES OF CARNEGIE MELLON (IN FY2010) AND HAVE A BUSINESS RELATIONSHIP WITH EACH OTHER Form 990, Part VI, Section A, line 2 IRA J. GUMBERG, JAMES ROHR, AND DAVID SHAPIRA ARE ALL TRUSTEES OF CARNEGIE MELLON (IN FY2010) AND HAVE A BUSINESS RELATIONSHIP WITH EACH OTHER Form 990, Part VI, Section A, line 4 THE EXECUTIVE COMMITTEE VOTED TO APPROVE CHANGES TO THE UNIVERSITYS' BYLAWS AT THEIR JANUARY 22, 2010 AND MAY 17, 2010 MEETINGS. A SYNOPSIS OF THE CHANGES FOLLOWS: 1) ARTICLE III, SECTION 3.6 & ARTICLE IV, SECTION 4.5 - BECAUSE THE POSITIONS OF TREASURER AND CHIEF INVESTMENT OFFICER ARE NOW HELD BY SEPARATE INDIVIDUALS, THE ADMINISTRATION RECOMMENDED THAT THE AUTHORITY ACCORDED IN THESE ARTICLES OF THE UNIVERSITY BYLAWS ALSO BE GRANTED TO THE CHIEF INVESTMENT OFFICER. 2) THE BOARD APPROVED CHANGING THE NAME OF THE NOMINATING COMMITTEE TO THE NOMINATING AND GOVERNANCE COMMITTEE IN THE UNIVERSITY BYLAWS. 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 EXPECTED 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 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 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. PART VII, SECTION A, COL 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 IV LINE 12, AND PART XI, LINE 2 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. 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 ARE 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. GEORGE A. ROBERTS DAVID M. 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 S. 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