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CAL POLY POMONA FOUNDATION, INC. CALIFORNIA STATE POLYTECHNIC UNIVERSITY, POMONA

Meeting of the Board of Directors, Number 358

February 20, 2014

2:00 pm – Garden Vista Room @ Kellogg West Conference Center & Lodge

AGENDA

ANNUAL MEETING

Roll Call Dr. J. Michael Ortiz, Chair

Norman Priest Scholarship Award Presentation Dr. J. Michael Ortiz, Chair -Angela Beal -Benjamin Tunigold

Introduction of new Designated (Ex-Officio) Board Members Dr. J. Michael Ortiz, Chair -Steven Garcia-VP for Administrative Affairs -Michelle Stoddard-Interim VP for Advancement

Vice Chair Election-replacement for Ed Barnes’ vacated position Dr. J. Michael Ortiz, Chair

I. PRESIDENT’S REPORT Dr. J. Michael Ortiz, President II. CONSENSUS ITEMS Page

Consensus Items: Items in this section are considered to be routine and acted on by the committee in one motion. Each item of the Consent agenda approved by the committee shall be deemed to have been considered in full and adopted as recommended. Any committee member may request that a consent item be removed from the consent agenda to be considered as a separate action item. If no additional information is requested, the approval vote will be taken without discussion. An “A” distinguishes items requiring approval.

A. Reading of Minutes 357 Dr. J. Michael Ortiz 1 - 4 (ATTACHMENT 358-II-A) A Chair

B. Financial Highlights–2nd Quarter 2013-14 David Prenovost 5 - 16 (ATTACHMENT 358-II-B) Senior Managing Dir./CFO III. ACTION ITEMS

A. Ag Aid to Instruction Capital Budget Request-AVS Equipment G. Paul Storey 17 - 19 (ATTACHMENT 358-III-A) Executive Director

B. CPP Spadra Farm revised Precinct Plan and EIR G. Paul Storey 20 - 23

(ATTACHMENT 358-III-B) Executive Director

C. Tax Return Form 990 Review David Prenovost 24 - 80 (ATTACHMENT 358-III-C) Senior Managing Dir./CFO

D. Guidelines for Accepting Unusual Securities S Stock David Prenovost 81 - 92

and Policy #120 Update Senior Managing Dir./CFO (ATTACHMENT 358-III-D)

E. Investment Report–2nd Quarter 2013-14 David Prenovost 93 - 111 (ATTACHMENT 358-III-E) Senior Managing Dir./CFO

F. Morgan Stanley Proposal for General Investment-Equity David Prenovost 112 - 138 and Policy #131 Update Senior Managing Dir./CFO

(ATTACHMENT 358-III-F) IV. DISCUSSION ITEMS

None

Board of Directors Meeting #358 February 20, 2014

Page 2 of 2

V. INFORMATION ITEMS

The following items provide information and reports by management staff to the committee. Staff and committee may engage in discussion on any item if requested by committee member or staff member.

A. Executive Director’s Report G. Paul Storey -403 Labs PCI DSS Compliance Report Executive Director 139 - 146

-Research Service Support Report 147 - 151 -Technology Transfer and Industry Advisory Board 152

V. OPEN FORUM

Norman J. Priest Scholarship--2013-2014 Winners This award is given to Foundation full-time student employees who embody the ideals of former Foundation Board member Norman J. Priest through their community service, leadership skills, and involvement in the Foundation. Submitted applications are reviewed by Mrs. Halo Priest, her son James Priest, and a Foundation Scholarship Committee. Selection is based on one’s resume, a recommendation from both a supervisor and a Foundation staff member, plus an essay on how the Cal Poly Pomona Foundation has helped them with their educational goals and how the award will help them achieve their career/educational goals. The essay should also highlight how participation and leadership in campus activities and community service will help them achieve their goals.

The two 2013-2014 winners are Angela Beal, Grants and Contracts, and Ben Tunigold, University Village Housing employee.

Angela will earn her Bachelor of Science in Biotechnology in 2014 with academic honors. She currently does undergraduate research in immunology with Dr. Jill Adler-Moore at Cal Poly Pomona and Dr. Ellen Collisson at Western University of Health Sciences. Her research involves developing novel vaccines for influenza viruses in two different animal models. She is enthusiastic about the promise of stem cell research for both regenerative medicine as well as toxicology testing. Therefore, she is in the process of applying for the CIRM Bridges to Stem Cells program, which is a 6 month stem cell research internship, hosted by Cal Poly Pomona. In 2012 she received the Howell-CSUPERB Research Scholars Award for her immunological research project. She also received the Matthew Myers Memorial Scholarship in 2013 for maintaining a good academic standing, community involvement, and moral responsibility. Her career goal is to become a PhD in neuroscience so she can teach at a University level and develop novel drugs. Angela is an alumni member of the United States Pony Club where she achieved a high level rating for her equestrian knowledge and riding skills. Through this youth organization she volunteers her time giving horseback riding lessons to children and young adults. She also enjoys outdoor activities, which include hiking, camping, cycling, and rock climbing. Ben is on track to complete his double major in Architecture and Business Management in 2016. In addition he is completing a minor in Regenerative Studies and is active with the American Institute of Architecture Students and the US Green Building Council on Campus. His career goal is become a project manager and to work on large scale construction projects. Ben serves his community through the Boy Scouts of America, Habitat for Humanity, Disney VoluntEARs, and other organizations in L.A. and Orange Counties. In addition to school, Ben recently completed a professional internship with the Walt Disney Company and works for the University Village as a Sustainability Advisor. He is excited to continue next year with the University Village as Student Coordinator.

Introduction of new Designated Board Members

Steven N. Garcia

Steven Garcia was appointed as the next vice president for administrative affairs. Garcia, who began Jan. 6, has ten years of leadership experience in the CSU and other universities. He succeeds Dr. Ed Barnes, who retired on Dec. 1 after more than 30 years here at Cal Poly Pomona.

Dr. Garcia was the senior vice president for finance and administration at Claremont Graduate University. In addition to CGU, his career includes overseeing administrative and financial services for Cal State LA and the University of Northern Colorado, as well as analyzing higher education legislation and issues for the governor’s office in Washington state.

Michelle Stoddard

Michelle Stoddard, former Associate Vice President for University Advancement, has been appointed Acting Vice President for University Advancement. Michelle is a Cal Poly Alumna and has served as an Advancement employee since 2005. She succeeds Scott Warrington, who accepted an assignment at the CSU Chancellor’s Office and left Cal Poly Pomona in December 2013.

CALIFORNIA STATE POLYTECHNIC UNIVERSITY, POMONA

Office of the President

Date: February 3, 2014

To: Cal Poly Pomona Foundation Board of Directors Membership

From: J. Michael Ortiz, ChairCal Poly Pomona Foundation Board of Directors

Subject: Nomination of Vice Chair to complete unfilled term

The position of Vice-Chair for the Cal Poly Pomona Board of Directors has beenvacated by the retirement of Edwin Barnes in November of 2013, necessitatingthe nomination and election of a new Vice-Chair.

I propose to nominate Douglas Freer, Vice President for Student Affairs. Thiswould be presented at the next Cal Poly Pomona Board of Directors meeting onFebruary 20, 2014.

Article VI, Section 2, of the Cal Poly Pomona Foundation, Inc., Bylaws providesthat:

"Vacancies may be filled or new offices created and filledat any meeting of the Board of Directors ..."

If Dr. Freer is elected, he would be completing the remainder of Ed Barnes' one-year term as Board Vice-Chair to conclude June 30, 2014.

3801 West Temple Avenue, Pomona, CA 91768 Telephone (909) 869-2290 Fax (909) 869-4535 E-mail jmo@csupomona.edu

THE CALIFORNIA STATE UNIVERSITY Bakersfield, Channel Islands, Chico, Dotniuguez Hills, Last Bay, Fresno, Fullerton, Humboldt, Lone Beach, Los Angeles,

Maritime Academy, Monterey Bay, Northridge, Pomona, Sacramento, San Bernardino, San Diego, San Francisco, San Jose, San Luis Obispo, San Marcos, Sonoma, Stanislaus

CALIFORNIA STATE POLYTECHNIC UNIVERSITY , POMONA

Office of the President

Date: February 3, 2014

To: Cal Poly Pomona Foundation Board of Directors Membership

From: Q~~

J. Michael Ortiz, Chair Cal Poly Pomona Foundation Board of Directors

Subject: Nomination of Vice Chair to complete unfilled term

The position of Vice-Chair for the Cal Poly Pomona Board of Directors has been vacated by the retirement of Edwin Barnes in November of 2013, necessitating the nomination and election of a new Vice-Chair.

I propose to nominate Douglas Freer, Vice President for Student Affairs. This would be presented at the next Cal Poly Pomona Board of Directors meeting on February 20, 2014.

Article VI , Section 2, of the Cal Poly Pomona Foundation , Inc. , Bylaws provides that:

"Vacancies may be filled or new offices created and filled at any meeting of the Board of Directors ... "

If Dr. Freer is elected , he would be completing the remainder of Ed Barnes' one­year term as Board Vice-Chair to conclude June 30, 2014.

3801 West Temple Avenue. Pomona, CA 91768 Telephone (909) 869-2290 Fax (909) 869-4535 E-mail jmo@csupomona.edu T 11 E c A L 1 F 0 R N 1 t\ s T t\ T E u N 1 v E R S 1 T y &kcrifitld, Channrl Islands, C/,ico, Dominguez Hills, East Bn_v, Frrsno, f,.l/rrton, J-l,.mboldt, Long Brarh, Los A•.grlrs,

Mantimr Aradrm_v, Montrrry Ba_v, No rthridgr, Pomona, Sarrammto, San Bmwrdino, San Dirgo, San Frannsro, Sa n j osr, Sa n L111s Obispo, Sa n Marros, Sonoma, StawslaHS

CAL POLY POMONA FOUNDATION, INC.California State Polytechnic University, Pomona

MINUTES OF MEETING NO. 357OF THE

BOARD OF DIRECTORSNovember 13, 2013

Pursuant to a written order by Dr. J. Michael Ortiz, delivered to each member of the Board of Directors on October 9, 2013, the Board ofDirectors of the CAL POLY POMONA FOUNDATION, INC. assembled and held a meeting on the campus of the California StatePolytechnic University, Pomona, California, at 2:00 p.m. on November 13, 2013.

Present were; Dr. Ed Barnes, Dr. Marten denBoer, Ms. Susie Diaz, Ms. Rachel Dominguez, Dr. Sep Eskandari, Dr. Doug Freer, Mr. TomGoff, Mr. Devon Graves, Ms. Christine Hall, Dr. Richard Lapidus, Mr. John McGuthry, Mr. Johndaniel Morales, Dr. J. Michael Ortiz, Mr.Lowell Overton, Mr. James Priest, Mr. Oliver Santos, Mr. Mickey Segal via Web Ex, Dr. David Speak, Ms. Kathy Tully, Mr. ScottWarrington and Ms. Cynthia Williams.

Absent were; Ms. Mei Lien Chang, Dr. Winny Dong and Mr. Jack Kulp.

Mr. Mike Lutosky with DBS, Ms. Anne McLoughlin, Mr. Dennis Miller, Mr. Aaron Neilson, Mr. David Prenovost, Mr. G. Paul Storey andMs. Sandy Vaughan-Acton were invited guests.

Dr. Ortiz called the meeting to order at 2:00.

The President presented the Foundation Resolution of Appreciation for Board Member Ed Barnes who is retiring in December 2013.

I. PRESIDENT'S REPORT

1. This year is the 75th Anniversary for Cal Poly Pomona.2. The budget is more user friendly this year as California Governor Brown is not cutting the CSU budget.3. Cal Poly Pomona's Comprehensive Campaign has reached $135 million of its $150 million goal.4. Recognition received from the Sierra Club ranked us 48th of cool schools for green institutions and we are the highest

ranking CSU.

5. A $7.7 million grant was received for the Math and Science Departments as a new model of science education for PomonaUnified School District.

6. Hilda Solis the former U.S. Secretary of Labor and Cal Poly Pomona Alumna will be joining us as a Scholar in Residenceand will be working with the campus.

II. CONSENSUS ITEMS

A. Reading of Board Meeting Minutes # 356.

B. Investment Report 1st Quarter 2013-14

C. Financial Highlights 1st Quarter 2013-14

Dr. Ortiz stated the Consensus Items are approved by consent.

III ACTION ITEMS

A. Health Benefit Plans Open Enrollment

Dennis Miller stated that Open Enrollment went very well. The Foundation brought in Kaiser Permanente and US Health Worksto assist employees with any questions they have regarding their health plans. Dennis then introduced Mike Lutosky withDiscovery Benefits Solutions to the Board and he gave a brief presentation on the Foundation's Self Insured Health Plan.

Dennis further explained Foundation management recommends its monthly contribution toward the 2014 health plan premiumsas follows; Employee (or Annuitant) only, $380, Employee (or Annuitant) plus one $720, Employee (or Annuitant) plus two or

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Minutes - Board of Director's MeetingNovember 13, 2013Page 2

more $920. These contributions are based on the 5% annual increase cap previously approved by the Board of Directors. Therecommended 2014 health plan premiums include no material changes to benefit plan features.

A motion was made by David Speak to approve the Foundation's 5% increase to the monthly contribution to the 2014 healthplan premiums up to $ 380 for employee or annuitant, $720 for an employee or annuitant enrolled for self and one familymember, and $920 for an employee or annuitant enrolled for self and two or more family members. The motion was secondedby Marten denBoer and approved, 21 Ayes, 0-Abstentions, 0-Nays.

B. Designated Gift - Rose Float workers' lodging.

Paul Storey explained the Foundation has received a special first time request for funds to house Cal Poly San Luis Obispostudents who will come to the Cal Poly Pomona campus in December of 2013 in order to complete construction of the RoseFloat. There will be twenty to thirty students requesting housing from December 14th through December 23rd on the campus.The Foundation would cover the costs of the needed hotel rooms at Kellogg West for a total of $7700.

A motion was made by Tom Goff to approve a one-time budget amendment to the existing 2013-2014 Designated Gifts line itemof $7700 to house Rose Float student workers during December 2013. The motion was seconded by James Priest andapproved, 21 Ayes, 0-Abstentions, 0-Nays.

C. CEU Capital Budget Request - office renovations

Paul Storey stated the College of the Extended University is requesting a capital budget amount of $50,000 for the redesign andinstallation of new work stations in suites # 203 and 207 including panels and desks.

A motion was made by Ed Barnes to approve a capital budget request of $50,000 for the redesign and installation of new workstations in suites # 203 and 207 including panels and desks. The motion was seconded by Doug Freer and approved, 21 Ayes,0-Abstentions, 0-Nays.

D. Investment Policy 130 Endowment Update

David Prenovost explained several proposed changes to the Endowment Investment Policy #130. The proposed changesinclude; 1). responsibility for the target asset allocation within the Board approved ranges be delegated to the InvestmentCommittee; 2). the asset allocation targets adjusted to reflect a 5% increase in Real Assets and a 5% decrease in DomesticEquities; and 3). the portfolio will not directly invest in stocks of the top 200 fossil fuel companies, by carbon in proven oil, gasand coal reserves, although it may hold some fossil fuel stocks in commingled funds or mutual funds.

A motion was made by David Speak to approve the suggested changes to the Foundation's Endowment Investment Policy#130. The motion was seconded by Scott Warrington and approved, 21 Ayes, 0-Abstentions, 0-Nays.

E. Investment Policy 131 General Update

David Prenovost explained several proposed changes to the General Investment Policy #131. The proposed changes include;1). responsibility for the target asset allocation within the Board approved ranges be delegated to the Investment Committee; 2).the asset allocation targets adjusted to reflect 5% increases in the Common Fund Equities and the Fixed Income Securities and5% decreases in the Cash and Common Fund Real Estate portfolio positions; and 3). the portfolio will not directly invest instocks of the top 200 fossil fuel companies, by carbon in proven oil, gas and coal reserves, although it may hold some fossil fuelstocks in commingled funds or mutual funds.

A motion was made by Scott Warrington to approve the suggested changes to the Foundation's General Investment Policy#131. The motion was seconded by Oliver Santos and approved, 21 Ayes, 0-Abstentions, 0-Nays.

F. Salary Scale Revision

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Minutes - Board of Director's MeetingNovember 13, 2013Page 3

Dennis Miller explained recent California legislation has increased the minimum wage in two phases; the first phase from $8 perhour to $9 per hour, effective July 1, 2014, and the second phase from $9 per hour to $10 on January 1, 2016. To

accommodate the first phase minimum wage increase the Foundation's salary structure is being modified accordingly. For asmooth integration of the first phase, we are proposing a phase in period of 6 months, which would start January 1, 2014, andend July 1, 2014.

A motion was made by Johndaniel Morales to approve the Salary Grade chart to be fully effective July 1, 2014. The motion wasseconded by James Priest and approved, 21 Ayes, 0-Abstentions, 0-Nays.

G. Flex Dollars Amendment

Dennis Miller explained the Foundation is requesting to increase the monthly amount of Flex Dollars from $50 to $55, an annualincrease of $60 for each eligible employee. The Flex Dollars Program gives full time benefited employees an amount of $50 permonth to be used at the employee's discretion to reduce a portion of their healthcare premiums, parking fees, and/or to enhancethe amount received under the tuition reimbursement program.

A motion was made by Cynthia Williams to approve the increase in the Flex Dollars Program from $50 to $55 per month pereligible employee. The motion was seconded by Marten denBoer and approved, 21 Ayes, 0-Abstentions, 0-Nays.

H. Holiday Time Off Schedule for Year End

Dennis Miller stated the University will be closed starting on Wednesday, December 25th and return to work Monday, January6th. Foundation plans to be closed on Monday and Tuesday prior to Christmas and will require the employees to use a vacationday or unpaid day on December 23rd. Foundation management is requesting to add December 24, 2013 as a paid FoundationHoliday.

A motion was made by Tom Goff to approve adding on paid Foundation Holiday on December 24, 2013. The motion wasseconded by Scott Warrington and approved, 21 Ayes, 0-Abstentions, 0-Nays.

IV. DISCUSSION ITEMS

None

V. INFORMATION ITEMS

A. Annual Risk Management/Insurance Report

David Prenovost reviewed the insurance program coverage and deductibles with the Auxiliary Organization Risk ManagementAlliance (AORMA) and summarized the status of risk management issues regarding property and liability; no property losses infiscal year 2012-13 and one claim (sidewalk railing damaged from a vehicle accident) from policy year ended June 2012 and noproperty claims for the prior two years. There were no general liability losses in fiscal year 2012-13 and two claims (illness fromeating and a slip and fall) from policy year ended June 2012, one claim from policy year ended June 2011 and two claims inpolicy year ended June 2010.

B. PRA Request

Dennis Miller explained the Foundation has received two Public Record Act requests; one from KCBS for records and includesrequests from eleven other auxiliaries which is ongoing and coordinated through the Chancellor's Office. The second requestwas for 990-T tax returns for the past three years.

C. Webcast Mini-Library for Employment Services

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Minutes - Board of Director's MeetingNovember 13, 2013Page 4

Dennis Miller stated a webcast mini-library is being created to assist with employment processes at the Foundation and should beavailable on the Foundation's employment services website by the end of January.

D. Innovation Village Update-Real Estate Services

Sandy Vaughan-Acton stated Cal Poly Pomona Foundation, Inc., Innovation Village was awarded an outstanding project awardby the Association of University Real Estate Officials (AUREO). The award recognizes an institution for an innovative, costeffective project which has had a significant positive impact on a university and is a model for others to follow.

The Innovation Village is located on 65 acres of university-owned land and has 500,000 sq. ft. of class A offices, research &development, and wet lab facilities.

E. Executive Director's Report

a. Ed Barnes retirement party is at the Manor House immediately following this meeting.b. The next Board meeting is on February 20, 2014.c. Paul thanked the Board Members for their support wished everyone a great holiday.

OPEN FORUM

Meeting adjourned at 3:30 p.m.

Res ectfully subiiitted,.

Rachel DominguezSecretary/Treasurer

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4

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Cal Poly Pomona

Foundation

Memorandum Date: February 3, 2014 To: Board of Directors Cal Poly Pomona Foundation, Inc.

From: David F. Prenovost, Senior Managing Director/CFO Subject: UNRESTRICTED FINANCIAL HIGHLIGHTS – DECEMBER 2013 Following are the year-to-date financial statement Surplus/(Deficit) amounts:

Budget Actual VarianceGeneral Activities (251,019)$ 1,122,649$ 1,373,668$ Enterprise Activities (609,297) (239,075) 370,222 Use of Designated (706,003) (389,849) 316,154 Other Activities 609,972 789,737 179,765 Endowments 7,247,874 12,363,271 5,115,397 Foundation Programs Unrestricted - 1,858,979 1,858,979 Assets transferred to University - (764,461) (764,461) Foundation Total 6,291,527$ 14,741,251$ 8,449,724$ For the fiscal quarter ended December 2013 unrestricted revenues of $24.0 million exceed the budget by 3.2% or $749,819 mainly due to investment equity gains, Dining Services and Foundation Unrestricted Programs offset by Continuing Education and Kellogg West Conference Center. Unrestricted expenditures of $22.7 million are 94% or $1.5 short of budget generating an unrestricted surplus of $1.3 million versus an unrestricted budgeted deficit of $956,347. The variance is explained in the following analysis of each activity.

GENERAL ACTIVITIES

Budget Actual VarianceAdministration (872,077)$ (712,074)$ 160,003$ Real Estate Development 187,624 272,705 85,081 Investments 369,172 1,505,488 1,136,316 Building Rental 64,262 56,530 (7,732) Total General Fund (251,019)$ 1,122,649$ 1,373,668$ General activities surplus exceeded budget mainly due to unrealized gains in equities and savings in Administrative operations, see detail analysis of real estate activities for further information.

5

ENTERPRISES ACTIVITIES

Surplus/(Deficit)

Budget Actual Variance(609,297)$ (239,075)$ 370,222$

Enterprise revenues of $14.4 million are 98% or $293,116 short of budget and expenditures of $14.7 million are 95.7% or $663,338 resulting in a deficit less than budget. Following is the summary of each Enterprise Activities:

BOOKSTORE

Surplus/(Deficit)

Budget Actual Variance(62,831)$ (39,983)$ 22,848$

Bookstore revenues are 27% of Enterprise Activities and are 90% or $434,728 short of budget mainly due to hardware sales and textbooks. Textbook sales and rental books are 95% or $147,737 short of budget and 88% or $348,267 short of prior year due to the later start to the winter quarter. The expanded textbook rental program includes approximately 375 editions or 10,000 textbooks in core classes and generated sales of $496,029 compared to $399,649 in prior year, a 24% increase. The Computer Store sales were 61% or $375,707 short of budget and 58% or $431,851 short of prior year. Cost of goods is 72% versus 75%; expenditures are 28% versus 25% of budget generating a deficit less than budgeted. We continue to focus on used and rental books as well as digital textbook options to reduce the increasing costs for textbooks. The Presidential Order also continues to support the sales in the bookstore.

DINING SERVICES

Surplus/(Deficit)

Budget Actual Variance(351,690)$ 122,081$ 473,771$

Dining Service revenues are 46% of Enterprise Activities and exceed budget by 7% or $446,479, cost of goods is 33% versus 36% of budget and payroll and expenditures are 65% versus 69% of budget. Retail Operations - This reporting unit includes the retail units at Campus Center Marketplace and Bronco Student Center, convenient stores, vending, Kellogg West Catering/Conference Foods and commission vending. Our retail operation revenues are in line with budget and 37% or $984,173 greater than prior year with a market penetration of approximately 54%. Cost of goods is 34.1% versus 37.8% of budget and payroll and expenditures are 69.7% versus 70.3% of budget generating a deficit of $140,574 versus a budgeted deficit of $300,202. Board Operations - This reporting unit includes the Board Operations at Los Olivos, Denny’s Diner and Vista Cafe. Revenues exceed budget by 17.4% or $450,058, food costs are 31.8% versus 33.4% of budget, payroll and expenditures are 59.4% versus 68.1% of budget generating a surplus of $267,045 versus a budgeted deficit of $45,546.

6

KELLOGG WEST

Surplus/(Deficit)

Budget Actual Variance(59,592)$ (129,125)$ (69,533)$

Kellogg West Conference Center & Lodge Kellogg West includes room and conference center activities and revenues are 4% of Enterprise Activities and are 85% or $101,094 short of budget; payroll and expenditures are 123% versus 109% of budget generating a deficit greater than budgeted and $75,472 greater than prior year. We have experienced decreases in conference revenues due to the hotel closure during renovation, clients downsizing, local competition for conference business, and cost increases of repairs and maintenance of the Center & Lodge.

UNIVERSITY VILLAGE

Surplus/(Deficit)

Budget Actual Variance(196,148)$ (5,927)$ 190,221$

University Village - Revenues are 23% of Enterprise Activities and are 94% or $203,772 short of budget due to lower occupancy and closure of the laundry room over the summer along with a miscalculation on the timing of the facility fee income. During the academic year, occupancy has been approximately 100% versus 95% budgeted. We continue to increase our outreach to area colleges and universities, payroll and expenditures are 106% versus 104% budgeted resulting in a deficit greater than budget.

DESIGNATED FUND

Surplus/(Deficit)

Budget Actual Variance(706,003)$ (256,870)$ 449,133$

Designated fund expenditures include development, alumni affairs, public relations, publications, athletics and other and generated a deficit less than budgeted.

OTHER ACTIVITIES

Budget Actual VarianceSponsored Research 22,775 12,576 (10,199) Agriculture-Aid-to-Instruction 186,388 194,825 8,437 Continuing Education 400,809 316,696 (84,113) Campus Programs-Unrestricted - 265,640 265,640 Total Other Activities 609,972$ 789,737$ 179,765$

7

Research Office year to date 2013-14 generated a surplus of $12,576 versus a budget of $22,777; indirect revenues exceeded budget due to an effective rate of 11.3% versus the budgeted rate of 10%, direct grant expenditures were under budget by 1.07% or $51,491. Agriculture-Aid-to-Instruction year-to-date 2013-14 revenues are 93% or $123,402 short of budget, cost of goods is 18% versus 22% of budget and payroll and expenditures are 72% versus 68% of budget generating a surplus less than budgeted due to the activities in Agronomy Farm, Pine Tree Ranch, Arabian Horse Center and Sheep and Beef Programs. Continuing Education includes nine programs from the College of the Extended University, College of Engineering and College of Science. Revenues for the fiscal year 2013-14 are 93% or $128,925 short of budget; payroll and expenditures are 86% versus 79% of budget generating a surplus less than budgeted due to CPELI Standard. Foundation Programs-Unrestricted includes the activities that are not third party donor imposed stipulations. Revenues for the fiscal year 2013-14 exceed budget by 22% or $87,853 and exceed prior year 22%; expenditures (excluding Transfers to the University # 7344) are 58% or $166,494 short of budget and exceed prior year by 2% generating a surplus versus a zero budget.

RESTRICTED ACTIVITIES Budget Actual Variance

Endowment/Investments 7,247,874 12,363,271 5,115,397 Foundation Programs - 1,858,979 1,858,979 Grants and Contracts - - - Transfers to the University - (764,461) (764,461) Total Other Activities 7,247,874$ 13,457,789$ 6,209,915$ Endowments/Investments include the permanent endowments restricted by third party donor imposed stipulations. Revenues for the fiscal year 2013-14 exceed budget by 44% or $5.0 million and exceed prior year 21% or $2.8 million due to better than expected return on investments; expenditures are 96% or $147,766 short of budget and exceed prior year by 85% or $1.7 million due to the endowment earnings distribution generating a surplus of $12.4 million versus a budgeted surplus of $7.2 million. Foundation Programs includes the activities that are third party donor imposed restrictions and are not budgeted. Revenues are 96% or $275,090 short of prior year and expenditures exceed prior year by 35% or $1.2 million generating a surplus of $1.8 million versus prior year surplus of $3.4 million. Grants and Contracts include the activities of sponsored research and revenues and expenditures exceed budget by 10% or $482,042. Transfers to the University are assets purchased by the respective Foundation program which are transferred to the University to better serve the intended purpose of the asset.

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d '1° IIV% P.m

Foundation LE

Unrestricted RestrictedFoundation Auxiliary Sponsored Foundation

General Designated Programs Activities Total Programs Programs Endowment Total Current Year June 30, 2013Fund Fund Fund Fund Unrestricted Fund Fund Fund Restricted Total Total

CURRENT ASSETS:Cash:On hand and in commercial accounts 1,366,570 900 1,400 51,574 1,420,444 0 8,025 0 8,025 1,428,469 (563,113)Due to/(from) (75,858,010) 18,815,314 2,540,578 22,485,769 (32,016,349) 3,408,589 28,398,423 209,337 32,016,349 0 0Investments 6,066,403 182,062 0 0 6,248,465 0 379,364 2,438,315 2,817,679 9,066,144 9,270,977Marketable securities 36,052,153 0 0 0 36,052,153 0 1,573,749 79,421,136 80,994,885 117,047,038 101,370,206

Total cash and cash equivalent (32,372,884) 18,998,276 2,541,978 22,537,343 11,704,713 3,408,589 30,359,561 82,068,788 115,836,938 127,541,651 110,078,070Receivables:Accounts and notes receivable 1,922,591 17,699 49,444 923,263 2,912,997 412,817 6,711,188 5,909 7,129,914 10,042,911 14,226,096Interfund loans (net) 2,543,381 0 0 0 2,543,381 0 52,500 0 52,500 2,595,881 2,908,457

4,465,972 17,699 49,444 923,263 5,456,378 412,817 6,763,688 5,909 7,182,414 12,638,792 17,134,553Less-Allowance for doubtful accounts 0 0 0 (173,903) (173,903) 0 (65,949) 0 (65,949) (239,852) (222,942)

Total receivables 4,465,972 17,699 49,444 749,360 5,282,475 412,817 6,697,739 5,909 7,116,465 12,398,940 16,911,611

Inventories 265,000 0 0 3,418,713 3,683,713 0 24,306 0 24,306 3,708,019 2,556,811Prepaid expenses and deferred charges 200,328 13,468 0 106,023 319,819 500 0 0 500 320,319 208,798

Total current assets (27,441,584) 19,029,443 2,591,422 26,811,439 20,990,720 3,821,906 37,081,606 82,074,697 122,978,209 143,968,929 129,755,290

FIXED ASSETSLand 14,531,207 1,700 0 212,000 14,744,907 0 325,383 0 325,383 15,070,290 15,070,290Buildings and improvements 16,263,588 0 532,412 51,058,109 67,854,109 0 357,044 0 357,044 68,211,153 68,366,817Equipment, furniture and fixtures 1,867,471 0 27,408 11,381,792 13,276,671 0 397,362 0 397,362 13,674,033 13,311,616Orchards 0 0 0 131,863 131,863 0 0 0 0 131,863 131,863Construction in progress 365,676 0 0 1,703,100 2,068,776 0 887,994 0 887,994 2,956,770 1,432,794

33,027,942 1,700 559,820 64,486,864 98,076,326 0 1,967,783 0 1,967,783 100,044,109 98,313,380Less-Accumulated depreciation (9,926,939) 0 (314,362) (33,432,506) (43,673,807) 0 (551,161) 0 (551,161) (44,224,968) (42,332,244)

Total fixed assets 23,101,003 1,700 245,458 31,054,358 54,402,519 0 1,416,622 0 1,416,622 55,819,141 55,981,136

Restricted - Grant Funds 0 0 0 0 0 170,721 0 0 170,721 170,721 186,194

Total assets (4,340,581) 19,031,143 2,836,880 57,865,797 75,393,239 3,992,627 38,498,228 82,074,697 124,565,552 199,958,791 185,922,620

DEFERRED OUTFLOWS OF RESOURCES:Advance refunding 2013A-Univ Village 647,519 647,519 647,519

CAL POLY POMONA FOUNDATION, INC.STATEMENTS OF FINANCIAL POSITION

for period ended December 31, 2013

9

Unrestricted RestrictedFoundation Auxiliary Sponsored Foundation

General Designated Programs Activities Total Programs Programs Endowment Total Current Year June 30, 2013Fund Fund Fund Fund Unrestricted Fund Fund Fund Restricted Total Total

CAL POLY POMONA FOUNDATION, INC.STATEMENTS OF FINANCIAL POSITION

for period ended December 31, 2013

LIABILITIES:Accounts payable 150,528 121,729 10,200 1,152,034 1,434,491 77,883 99,620 163 177,666 1,612,157 2,312,822Accrued liabilities 843,458 284,563 1,295 593,007 1,722,323 110,467 24,041 216,808 351,316 2,073,639 2,841,363Receipts in excess of expenditures on 0 specific sponsored programs 0 0 0 0 0 3,804,278 0 0 3,804,278 3,804,278 2,089,149Deferred income 734,667 0 0 612,131 1,346,798 0 5,626 0 5,626 1,352,424 1,209,234Deposits held in custody for others 0 0 0 0 0 0 583,861 0 583,861 583,861 570,139Inter-fund loans 2,346,414 0 0 0 2,346,414 0 243,912 0 243,912 2,590,326 2,908,457

Total current liabilities 4,075,067 406,292 11,495 2,357,172 6,850,026 3,992,628 957,060 216,971 5,166,659 12,016,685 11,931,164

Long-term liabilities:Notes and contracts payable 0 0 0 0 0 0 0 0 0 0 0Unitrust liability 0 0 0 0 0 0 1,002,434 0 1,002,434 1,002,434 1,001,426Lease obligations 2,937,990 0 0 25,865,567 28,803,557 0 0 0 0 28,803,557 28,947,651

Total long-term liabilities 2,937,990 0 0 25,865,567 28,803,557 0 1,002,434 0 1,002,434 29,805,991 29,949,077

Total liabilities 7,013,057 406,292 11,495 28,222,739 35,653,583 3,992,628 1,959,494 216,971 6,169,093 41,822,676 41,880,241

Net Assets Beginning (8,612,056) 14,850,017 2,562,286 30,353,650 39,153,897 47,847 35,670,856 69,169,781 104,888,484 144,042,381 127,390,762

Change in Net Position (2,741,583) 3,774,834 263,100 (63,073) 1,233,278 (47,847) 867,875 12,687,945 13,507,973 14,741,251 16,651,618

Total Liabilities and Net Assets (4,340,582) 19,031,143 2,836,881 58,513,316 76,040,758 3,992,628 38,498,225 82,074,697 124,565,550 200,606,308 185,922,621

10

Cal Poly Pomona

Foundation,Z

REVENUES EXPENSES SURPLUS/(DEFICIT)

FY 12-13 FY 13-14 YTD FY 12-13 FY 13-14 YTD FY 12-13 FY 13-14 YTD FY 12-13 FY 13-14 YTD Budget

Descr iption YTD Actual Budget Actual YTD Actual Budget Actual YTD Actual Budget Actual Actual Budget (Not) Realized

General Activities: Administration 1,578,621 1,772,116 1,886,049 2,283,267 2,644,193 2,596,740 (704,646) (872,077) (712,074) (1,015,393) (918,069) 205,995

Real Estate 1,097,310 1,177,992 1,153,944 919,796 990,368 881,239 177,514 187,624 272,705 175,561 264,331 8,374

Investments 711,794 393,734 1,531,609 11,557 24,562 26,121 700,237 369,172 1,505,488 1,049,413 453,381 1,052,107

Building Rentals 382,500 389,850 388,255 334,621 325,588 331,725 47,879 64,262 56,530 154,829 126,882 (70,352)

TOTAL GENERAL 3,770,225 3,733,692 4,959,857 3,549,241 3,984,711 3,835,825 220,984 (251,019) 1,122,649 364,410 (73,475) 1,196,124

Enterpr ises: Bookstores 4,312,614 4,382,930 3,948,202 4,351,330 4,445,761 3,988,185 (38,716) (62,831) (39,983) 279,661 312,216 (352,199)

Car l's/ Salad Bar /Taco Bell 283,138 281,276 294,857 262,435 262,647 289,619 20,703 18,629 5,238 122,360 125,817 (120,579)

Panda Express 44,579 46,600 33,662 3,014 4,938 2,681 41,565 41,662 30,981 113,540 114,692 (83,711)

C-Store's(incl. Starbucks,sce,Einstein,cba,poly trolley 1,233,005 1,452,268 1,430,855 1,152,941 1,383,288 1,370,726 80,064 68,980 60,129 490,536 474,548 (414,419)

Vending & Car ts 40,652 142,203 41,316 28,947 123,377 30,446 11,705 18,826 10,870 25,278 47,627 (36,757)

Los Olivos 1,963,573 1,884,429 2,278,406 1,856,609 1,884,606 1,954,552 106,964 (177) 323,854 606,197 400,551 (76,697)

Vista Café 434,435 407,858 458,117 444,259 421,882 457,394 (9,824) (14,024) 723 108,960 30,897 (30,174)

Vista Diner -Denny's 290,503 300,960 306,782 362,945 332,305 364,313 (72,442) (31,345) (57,531) (42,746) (2,007) (55,524)

Geneva Café 0 0 0 3,291 0 0 (3,291) 0 0 (1,987) 0 0

Bronco Student Center 791,611 826,461 884,610 708,014 733,974 760,401 83,597 92,487 124,209 321,007 325,230 (201,021)

FS M gt/Overhead 927 0 8 431,714 512,833 450,298 (430,787) (512,833) (450,290) (916,240) (999,122) 548,832

Total Dining Services 5,082,423 5,342,055 5,728,613 5,254,169 5,659,850 5,680,430 (171,746) (317,795) 48,183 826,905 518,233 (470,050)

Cater ing/Conference Foods 799,093 886,675 946,595 881,535 920,570 872,697 (82,442) (33,895) 73,898 (129,911) (95,448) 169,346

K .W Conference Cntr . 621,180 660,846 559,752 650,960 720,438 688,877 (29,780) (59,592) (129,125) (38,710) 4,098 (133,223)

University Village 3,413,517 3,444,777 3,241,005 3,419,444 3,579,961 3,433,053 (5,927) (135,184) (192,048) 1,046,578 1,412,915 (1,604,963)

TOTAL ENTERPRISE 14,228,827 14,717,283 14,424,167 14,557,438 15,326,580 14,663,242 (328,611) (609,297) (239,075) 1,984,523 2,152,014 (2,391,089)

TOTAL GEN & ENTERPRISE 17,999,052 18,450,975 19,384,024 18,106,679 19,311,291 18,499,067 (107,627) (860,316) 883,574 2,348,933 2,078,539 (1,194,965)

Uses of Designated Funds: Development 0 0 0 20,513 36,000 20,814 (20,513) (36,000) (20,814) (54,589) Alumni Affairs 2,135 0 300 22,386 32,250 21,161 (20,251) (32,250) (20,861) (60,461) Public Relations 1,858 0 722 165,808 314,500 163,217 (163,950) (314,500) (162,495) (348,508) Publications 446 0 0 29,502 92,800 48,105 (29,056) (92,800) (48,105) (165,871) Athletics 0 0 0 0 27,500 46,161 0 (27,500) (46,161) (55,000) Other 2,786 0 2,082 25,886 202,953 93,495 (23,100) (202,953) (91,413) (323,103)TOTAL DESIGNATED USES 7,225 0 3,104 264,095 706,003 392,953 (256,870) (706,003) (389,849) (1,007,532) 1,626,664 (2,016,513)

Other Activities: Research Office 573,060 575,068 542,133 560,484 552,293 529,557 12,576 22,775 12,576 45,152 45,596 (33,020)

Agr iculture 1,581,933 1,906,151 1,782,749 1,632,747 1,719,763 1,587,924 (50,814) 186,388 194,825 16,320 75,548 119,277

Continuing Education 2,102,138 1,939,117 1,810,192 1,498,887 1,538,308 1,493,496 603,251 400,809 316,696 1,032,100 913,760 (597,064)

Fdn. Program-Unrestr icted 396,652 396,654 495,582 225,261 396,654 229,942 171,391 - 265,640 (88,011) 265,640

TOTAL OTHER 4,653,783 4,816,990 4,630,656 3,917,379 4,207,018 3,840,919 736,404 609,972 789,737 1,005,561 1,034,904 (245,167)

TOTAL SURPLUS (DEFICIT) 22,660,060 23,267,965 24,017,784 22,288,153 24,224,312 22,732,939 371,907 (956,347) 1,283,462 2,346,962 4,740,107 (3,456,645)

LO Surplus 1% 0 0 0

TOTAL FOUNDATION Net 14,192,499 23,267,965 24,017,784 22,288,153 24,224,312 22,732,939 371,907 (956,347) 1,283,462 2,346,962 4,740,107 (3,456,645)

CAL POLY POM ONA FOUNDATION, INC.Statement of Activities

For per iod ending December 31, 2013 and 2012

11

REVENUES EXPENSES SURPLUS/(DEFICIT)

FY 12-13 FY 13-14 YTD FY 12-13 FY 13-14 YTD FY 12-13 FY 13-14 YTD FY 12-13 FY 13-14 YTD Budget

Descr iption YTD Actual Budget Actual YTD Actual Budget Actual YTD Actual Budget Actual Actual Budget (Not) Realized

CAL POLY POM ONA FOUNDATION, INC.Statement of Activities

For per iod ending December 31, 2013 and 2012

Restr icted:

Endowments/Investments 13,371,485 11,172,312 16,139,943 2,038,483 3,924,438 3,776,672 11,333,002 7,247,874 12,363,271 14,042,218 9,484,652 (2,878,619)

Foundation Programs 6,890,072 0 6,614,982 3,511,134 0 4,756,003 3,378,938 0 1,858,979 3,937,672 0 (1,858,979)

TOTAL RESTRICTED 20,261,557 11,172,312 22,754,925 5,549,617 3,924,438 8,532,675 14,711,940 7,247,874 14,222,250 17,979,890 9,484,652 (4,737,598)

Grants and Contracts 5,445,293 4,816,222 5,298,264 5,445,293 4,816,222 5,298,264 0 0 0 47,847 0 0

Transfers to the University 0 0 0 201,451 0 764,461 (201,451) 0 (764,461) 3,780,173 0 0

TOTAL FOUNDATION NET 39,899,349 39,256,499 52,070,973 # 33,484,514 32,964,972 37,328,339 14,882,396 6,291,527 14,741,251 24,154,872 14,224,759 (8,194,243)

12

REAL ESTATESURPLUS/(DEFICIT) BUDGET COMPARISON SUMMARYFOR THE FISCAL YEAR

DESCRIPTION

2011-12 Actual

2011-12 Forecast

2011-12 Approved

Budget2012-13 Actual

2012-13 Forecast

2012-13 Approved

Budget

2013-14 YTD Actual

12/31/13

2013-14 YTD Approved

Budget

REAL ESTATE DEVELOPMENT220080 Center for Training Technology & Incubation (113,796) (41,288) (36,215) (219,595) (220,172) (140,204) 30,670 26,502 220010 Innovation Village - see Note 1 433,548 428,332 443,447 437,156 433,079 418,789 260,263 259,060 220050 Innovation Village/American Red Cross (3,461) - - 630 - - 4,519 - 220052 Innovation Village/Trammel Crow (443) - - (134) - - 1,063 - 220070 Innovation Village Common Areas - - 1 - 1 6 (60,280) (32,391) 220250 Trammel Crow/I.V. Phase IV 60 - - (1,346) - - 1,098 - 459540 Spadra Solar Farm - - - - - - - -

Total Real Estate Development 315,908 387,044 407,233 216,711 212,908 278,591 237,333 253,171

RENTAL Buildings200660 Building # 66 - Classrooms & Offices 109,055 93,630 118,601 127,157 111,384 110,359 47,466 54,936

190970 Building # 97 - Offices 109,579 116,018 112,998 134,982 126,446 113,316 63,333 60,564

200220 CTTi Building # 220A - College of ENV Studio (103,052) (93,154) (96,199) (107,311) (101,308) (96,199) (54,270) (51,238)

190330 Downtown Pomona Building (275) - - - - - - -

Total Rental Buildings 115,307 116,494 135,400 154,828 136,522 127,476 56,529 64,262

FACULTY/STAFF HOUSINGFund 11 Faculty/Staff Housing (72,220) (25,653) (148,557) (41,149) (78,196) (100,079) 35,370 (65,547)

Total Faculty/Staff Housing (72,220) (25,653) (148,557) (41,149) (78,196) (100,079) 35,370 (65,547)

GRAND TOTAL REAL ESTATE 358,995 477,885 394,076 330,390 271,234 305,988 329,232 251,886

13

AGRICULTURE FUNDSSURPLUS/(DEFICIT) BUDGET COMPARISON SUMMARYFOR THE FISCAL YEAR

DESCRIPTION

2011-12 Actual

2011-12 Forecast

2011-12 Approved

Budget2012-13 Actual

2012-13 Forecast

2012-13 Approved

Budget

2013-14 YTD

Actual 12/31/13

2013-14 YTD

Approved Budget

016200 Agronomy Farms 190,668 96,310 25,889 630 10,034 62,691 89,574 34,656

260200 Arabian Horse Show (32,421) 770 (3,470) (94,200) 21,770 2,170 (33,247) 86,790

020010 Beef Unit (6,857) (1,488) (6,269) 4,258 4,086 (1,206) 2,014 2,856

022500 Beef Show Sale Project - - - - - - - -

027190 Consignment Sales - - - - - - - -

340010 Fruit Industry (32,306) 583 (2,996) (5,248) 500 4,036 4,309 16,682

300010 Meat Lab 6,402 5,590 (202) 10,451 5,590 2,734 (1,297) (188)

320300 Ornamental Horticulture (4,152) (7,743) (1,166) 10,453 4,611 6,449 (7,086) (6,636)

193040 Pine Tree Ranch 16,682 11,288 5,434 107,116 16,772 6,073 77,614 37,066

420010 Sheep Unit (13,373) (5,240) (14,775) (2,313) (1,636) (4,888) 7,345 772

430010 Swine Unit (14,347) (4,990) (24,967) (4,433) (7,691) (2,980) (8,303) (7,896)

428460 Vet Clinic - - - - - - 16,163 6,923

428540 AG 505 Sheep Project 94 - - - - - - - -

428550 LA Fair Swine Show Team - - - - - - - -

260220 Farm Store at Kellogg Ranch 95,022 19,718 14,024 (12,933) 6,402 28,953 47,657 15,363

460360 Danny's Farm 207 - - 6,394 - - 80 -

350810 Truck and Trailer (6,500) - - (4,000) - - - -

350820 Pomona Organics St Project (800) - - 145 - - - -

Total 198,225 114,798 (8,498) 16,320 60,438 104,032 194,823 186,388

14

CONTINUING EDUCATION PROGRAMSSURPLUS/(DEFICIT) BUDGET COMPARISON SUMMARYFOR THE FISCAL YEAR

DESCRIPTION 2011-12 Actual

2011-12 Forecast

2011-12 Approved

Budget2012-13 Actual

2012-13 Forecast

2012-13 Approved

Budget

2013-14 YTD Actual

12/31/13

2013-14 YTD

Approved Budget

COLLEGE OF EXTENDED UNIVERSITY - Programs283500 Administration 5,496 (55,395) 658 65,206 (21,700) 4,344 208,978 165,304 283071 Computer Programs (244) - - - - - - - 283072 Certificate Programs 27,144 20,800 32,368 33,699 5,383 23,106 (696) - 283080 English Language Inst. 647,303 278,045 300,925 801,940 526,911 268,294 - - 283600 CEU International Training 149,435 90,241 30,505 66,456 99,824 70,500 - - 283610 Int'l Workshop and Training - - - - - - - - 283620 Six Sigma Program 35,883 29,501 3,972 19,888 35,865 36,486 8,283 17,568 283630 Professional Project Management Program 8,589 4,890 3,223 10,954 8,564 8,886 5,340 4,418 283790 On Site Training Programs 21,169 15,172 841 19,198 18,101 18,310 2,756 (5,142) 283060 Start-Up Programs 7,698 1,666 2,500 (850) 209 3,501 (10,901) - 283076 Technical Programs (515) - 4,553 11,780 4,657 - 26,728 4,614 283073 Test Prep Programs 702 5 14,461 8,013 3,133 4,586 12,804 2,698 460280 SUMMER SUPPORT @ CEU (1,659) - - (852) - - (518) - 460920 Business Comm & Grant Writing - - - - - 286 - 286 460930 Accounting & Finance - - - - - 223 - 223 460940 Math & Science - - - 1,313 - - (2,919) 1,685 460950 Hospitality & Service Industry - - - 1,418 - - 6,803 1,240 460960 Supply Chain Management - - - - - - 1,197 306 460970 Human Resources Management - - - 1,527 - - 6,843 1,180 460980 Building & Construction Management - - - 372 - - 3,659 4,658 460990 Ed2Go - - - - - - (75,456) (45,166) 461000 Art, Media, & Design - - - - - - - 1,524 461010 Global Ed Programs Standard - - - (471) - - (44,011) 5,827 461020 Global Ed Programs Camps - - - - - - - - 461030 CPELI Camps - - - (3,311) - - 132,928 106,003 461040 CPELI Standard - - - (2,628) - - 38,356 123,329

Total College of Extended Univ Programs 901,001 384,925 394,006 1,033,652 680,947 438,522 320,174 390,555

15

CONTINUING EDUCATION PROGRAMSSURPLUS/(DEFICIT) BUDGET COMPARISON SUMMARYFOR THE FISCAL YEAR

DESCRIPTION 2011-12 Actual

2011-12 Forecast

2011-12 Approved

Budget2012-13 Actual

2012-13 Forecast

2012-13 Approved

Budget

2013-14 YTD Actual

12/31/13

2013-14 YTD

Approved Budget

COLLEGE OF ENGINEERING381500 Non-Credit Learning Admin (762) - (5,092) 678 48 (5,150) (157) (80) 381675 Civil Engineering Review (1,895) 3,602 9,188 4,533 4,333 2,217 1,798 2,167 381673 Land Surveyor Review - - - - - - - -

Total College of Engineering (2,657) 3,602 4,096 5,211 4,381 (2,933) 1,641 2,087

COLLEGE OF SCIENCE406440 Chemistry Agilent Project (5,026) 18,487 - (2,415) 4,624 16,596 (1,046) 8,166

Total College of Science (5,026) 18,487 - (2,415) 4,624 16,596 (1,046) 8,166

COLLEGE OF LETTERS, ARTS, AND SOCIAL SCIENCES362030 GIS Certificate Program (9,547) - - (5,132) - - - -

Total College of Letters, Arts, and Social Sciences (9,547) - - (5,132) - - - -

COLLEGE OF ENVIRONMENTAL DESIGN

460200 CCLAWS CERTIFICATE L+RS (18,471) (300) - (4,077)

Total College of Environmental Design (18,471) - - (300) - - (4,077) -

GRAND TOTAL CONTINUING EDUCATION 865,300 407,014 398,102 1,031,016 689,952 452,185 316,692 400,808

16

Memorandum

Date January 22, 2014

To: Board of DirectorsCal Poly Pomona Foundation. Inc.

From: G. Paul StoreyExecutive Director

AdelCal Poly Pomona

Foundation

Subject: Agricultural Aid-to-Instruction - Capital Budget Request

We have received two capital budget requests from Dr. Broc Sandelin, Chair, Animal andVeterinary Science, please see the attached memo approved by Dr. Les Young, Dean of theCollege of Agriculture. A portion of the funding to purchase this equipment will come from theAgriculture State Share Program Reserve, $15,000.

The 2013-2014 Board approved capital improvement budget included $3,824,500 in 2013-14 fornew capital improvement requests, and $488,503 in capital improvement carry forward fromprior years. If approved, the capital improvement budget will be amended to include theseamounts.

The following resolution is recommended for approval:

NOW, THEREFORE, the Foundation Board of Directors approves the capital budget request for$50,000 for a feed mixing wagon and $40,000 for a vehicle.

RESOLVED, the Board of Directors approves a capital budget request of $50,000 for a feedmixing wagon and $40,000 vehicle to support the Agricultural units as part of the Foundationoperations in Agricultural Aid-to-Instruction.

PASSED AND ADOPTED THIS 20th DAY OF February 2014

By:

Rachel Dominguez, SecretBoard of Directors

17

'.n.v-

.c!a--

.fr- .I.(F-

-

Memorandum

Date:

To:

From:

January 22,2014

Board of DirectorsCal Poly Pomona Foundation, Inc.

14 fi nI't-G. Paul Storey iExecutive Director u

Cd PW Pomonr

Founilrtlon

Subject: Agricultural Aid-to-lnstruction - Capital Budget Request

We have received two capital budget requests from Dr. Broc Sandelin, Chair, Animal andVeterinary Science, please see the attached memo approved by Dr. Les Young, Dean of theCollege of Agriculture. A portion of the funding to purchase this equipment will come from theAgriculture State Share Program Reserve, $15,000.

The 201 3-2014 Board approved capital improvement budget included $3,824,500 in 2013-14 fornew capital improvement requests, and $488,503 in capital improvement carry fonrvard fromprior years. lf approved, the capital improvement budget will be amended to include theseamounts.

The following resolution is recommended for approval:

NOW, THEREFORE, the Foundation Board of Directors approves the capital budget request for$50,000 for a feed mixing wagon and $40,000 for a vehicle.

RESOLVED, the Board of Directors approves a capital budget request of $50,000 for a feedmixing wagon and $40,000 vehicle to support the Agricultural units as part of the Foundationoperations in Ag ricu ltu ra I Aid-to- | nstruction.

PASSED AND ADOPTED THIS 20th DAY OF February 2014

By:Rachel Dominguez,Board of Directors

rrCALIFORNIA STATE POLYTECHNIC UNIVERSITY, POMONA

Animal & Veterinary Sciences

College of Agriculture

MEMORANDUMJanuary, 9, 2014

TO: Mr. Paul Storey CC Les YoungExecutive Director Cal Poly Pomona Foundation

oFROM: Dr. Broc Sande lin

Chair, Animal and Veterina( cience

Re: AVS Equipment Purchase Request

This memo is to request emergency replacement for two vital pieces of farm equipment.

Item #1Purchase (replacement) of feed mixing wagon for use to feed Cal Poly Foundation ownedLivestock. Our current mixing wagon is 30 plus years old, and has been deemed non-repairableby campus farm mechanic and staff. The approximate cost of this equipment is $50,000. Thisequipment drastically cuts down on labor costs and feed loss due to in-adequate mixing of feed.

Item #2Purchase (replacement) for Vehicle 129. Peter Graves, Supervisor Auto Shop, has stated thisvehicle has outlived its usable life and the manufacturer has stopped supported this product andmany safety related parts are no longer available. The estimated costs for this vehicle is $40,000.

See attached email from Mr. Graves regarding status of this vehicle-

We are in the process of getting three quotes per the Board Approved Policy for Purchasing andCapitalization #157 and will follow all other guidelines per this document.

If you have any questions regarding these two purchase requests please contact me.

3801 West Temple Avenue, Pomona, CA 91768 Telephone (909) 869-2216 Fax (909) 869-2099

THE CALIFORNIA STATE UNIVERSITY Bakersfield channel Islands, CLus, Dominguez Hills, Last Bay, Fresno, Fullerton, Humboldt, Long Beach, Los Angeles,Maritime Academy, Al.,aterey Bay, Northridge, Pomona, Si crainento, S(in Bernardino. San Diego, Siin Francisco, San lose, San Luis Obispo, San Marcos, Sonoma, Stanislaus

18

Thursday, January 9, 2014 2:02:57 PM Pacific Standard Time

Subject: RE: Van.

Date: Wednesday, December 11, 2013 11:34:41 AM Pacific Standard Time

From: Peter Graves

To: Broc A. Sande lin

Broc,

Vehicle number 129 has outlived its useful service life. The manuiderurer na- topped supporting thiproduct and many safety related parts are no longer available.

Pete

From: Broc A. Sande linSent: Wednesday, December 11, 2013 11:21 AMTo: Peter GravesSubject: Re: Van.

Also can you write me a quick email support letter stating the need to replace the Ranger due to lack of parts etc etc-This may help me in the process of approval

Broc

Broc Sande lin, Ph.DAssociate Professor & ChairAssociate Director Cal Poly FarmDept of Animal & Veterinary ScienceCal Poly Pomona909-869-2095

From: Peter Graves <Date: Wednesday, December 11, 2013 11:17 AMTo: Cal Poly Pomona <Subject: Van.

We got your van running, a lot of rat damage under the hood. We did have to spend some time repairingwiring and such, had to change out the oil because it was contaminated with fuel, so we do have some timein it. It needs a laundry list of things, where do you want to go with it now?

Peter GravesSupervisor, Automotive/Equipment ServicesCalifornia State Polytechnic University, Pomona3801 West Temple AvenuePomona, CA 91768Office: 909-869-3055Cell: 909-518-5358Fax: 909-869-3692

Page 1 of 219

Memorandum

Date: January 27, 2014

To: Board of DirectorsCal Poly Pomona Foundation, Inc.

From: Sandra Vaughan-ActonDirector, Real Estate Services

Subject: 2013-14 Capital Budget Request -CEQA Consultant Fees for Spadra Farm Land

AZIse.-Cal Poly Pomona

Foundation

The University desires to begin overall planning of the 165 acres of land referred to as the Spadra Farm. The project,which is encompasses land along Pomona Blvd., is currently utilized by the College of Agriculture. With input from theFacilities Planning, Design and Construction Department at the University, it has been determined that a mixed-usedevelopment concept including approximately 28 acres to be zoned for rental student/faculty/special needs housing, 7acres for ancillary support retail, and 90 acres to be zoned for public-private partnership commercial developmentsimilar to Innovation Village. The remaining 40 acres is essentially land-locked as it was impacted by the installationof the rail line by Union Pacific in their realignment of their rail service to and from Los Angeles. This parcel has alsobeen identified for public/private commercial/warehouse; however, it has limited potential due to its location andconstrained access.

The next step in our process is to hire a consultant to conduct the Environmental Impact Report necessary to obtainentitlements and to prepare an ALTA survey. It is expected to take from 12 - 18 months to complete the report andsurvey.

The estimated cost for the consultant and engineer is $285,000.

Recommended Action: the members of the Board of Directors approve a capital budget request of $285,000 tocomplete the Environmental Impact Report and ALTA survey of the 165 acre parcel on Pomona Boulevard.

RESOLVED, the Board of Directors approves a capital budget request of $285,000 to complete the EnvironmentalImpact Report and ALTA survey of the 165 acre parcel on Pomona Boulevard.

PASSED AND ADOPTED THIS 20th PAY OF February, 2014

By: 1:tact.-ZRachel Dominguez, SecretaryBoard of Directors

20

Memorandum

Date:

To:

From:

Hl tfU Pommr

FoundrtlonJanuary 27,2014

Board of DirectorsCal Poly Pomona Foundation, Inc.

-\., /." 'i.r''Sandra Vaughan-Acton'Director, Real Estate Services

2013-14 Capital Budget Request -CEQA Consultant Fees for Spadra Farm Land

Subject:

The University desires to begin overall planning of the 165 acres of land referred to as the Spadra Farm. The project,which is encompasses land along Pomona Blvd., is currently utilized by the College of Agriculture. With input from theFacilities Planning, Design and Construction Department at the University, it has been determined that a mixed-usedevelopment concept including approximately 28 acres to be zoned for rental studenUfaculty/special needs housing, 7acres for ancillary support retail, and 90 acres to be zoned for public-private partnership commercial developmentsimilar to lnnovation Village. The remaining 40 acres is essentially land-locked as it was impacted by the installationof the rail line by Union Pacific in their realignment of their rail service to and from Los Angeles. This parcel has alsobeen identified for public/private commercial/warehouse; however, it has limited potential due to its location andconstrained access.

The next step in our process is to hire a consultant to conduct the Environmental lmpact Report necessary to obtainentitlements and to prepare an ALTA survey. lt is expected to take from 12 - 18 months to complete the report andsurvey.

The estimated cost for the consultant and engineer is $285,000.

Recommended Action: the members of the Board of Directors approve a capital budget request of $285,000 tocomplete the Environmental lmpact Report and ALTA survey of the 165 acre parcel on Pomona Boulevard.

RESOLVED, the Board of Directors approves a capital budget request of $285,000 to complete the Environmentallmpact Report and ALTA survey of the 165 acre parcel on Pomona Boulevard.

THIS 20th DAY OF February, 2014

Rachel Dominguez, SecretaryBoard of Directors

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VEHICULAR STREET

z CAL POLY POMONA SPADRA FARM PRECINCT PLAN 12118/13

RBB ARCHITECTS INC 1

LAND USE MAP Solis: 1" = *00'

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(40 Acres)

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23

Memorandum

Date:

To:

From:

January 22, 2014

Board of DirectorsCal Poly Pomona Foundation, Inc.

David F. Prenovos1,4,...c&:;-..4,Chief Financial Officer

Cal Poly Pomona

Foundation

Subject: INCOME TAX RETURN FORM 990 Review

As you may recall, the Foundation annually prepares the following Federal returns:

Form 990 Return of Organization Exempt from Income Tax

In addition, the Foundation prepares the Form 990-T Exempt Organization Business Income Tax Return andcorresponding State returns (Form 199 and Form 109) as well as the Form RRF-1 Annual RegistrationRenewal Fee Report To Attorney General of California.

In the Federal return Form 990 under Part VI Governance, Management and Disclosure the Service isrequesting the following information under Section B Policies question 11a and 11b:

11a. Has the organization provided a complete copy of this Form 990 to all members of its governingbody before filing the form?

11b. Describe in Schedule 0 the process, if any, used by the organization to review this Form 990.

Accordingly we have provided a complete copy of Form 990 and all supporting schedules along with theFoundation's Form 990 Review Policy # 124 for your reference.

We will review and discuss the 990 return with the members of the Board before finalizing and filing theFederal and State returns.

Recommended Action: The members of the Board of Directors approves the filing of the Foundation's 990Tax return for 2012-2013.

Now therefore be it resolved that the Board of Directors approves the filing of the Foundation's 990 Taxreturn for 2012-2013.

PASSED AND ADOPTED THIS 20th DAY OF FEBRUARY 2014.

By:Rachel Dominguez, SecretaryBoard of Directors

24

Memorandum

Date:

To:

From:

January 22,2014

Board of DirectorsCal Poly Pomona Foundation, Inc.

David F. Prenwgsfg Lfud

8d Pt Prn$rFounilatlon

Chief Financial Officer

Subject: INCOME TAX RETURN FORM 990 Review

As you may recall, the Foundation annually prepares the following Federal returns:

Form 990 Return of Organization Exempt from Income Tax

In addition, the Foundation prepares the Form 990-T Exempt Organization Business Income Tax Return andcorresponding State returns (Form 199 and Form 109) as well as the Form RRF-1 Annual RegistrationRenewal Fee Report To Attorney General of California.

In the Federal return Form 990 under Part Vl Governance, Management and Disclosure the Service isrequesting the following information under Section B Policies question 1 1a and 1 1 b:

1 1a. Has the organization provided a complete copy of this Form 990 to all members of its governingbody before filing the form?

1 1b. Describe in Schedule O the process, if any, used by the organization to review this Form 990.

Accordingly we have provided a complete copy of Form 990 and all supporting schedules along with theFoundation's Form 990 Review Policy # 124 for your reference.

We will review and discuss the 990 return with the members of the Board before finalizing and filing theFederal and State returns.

Recommended Action: The members of the Board of Directors approves the filing of the Foundation's 990Tax return for 2012-2013.

Now therefore be it resolved that the Board of Directors approves the filing of the Foundation's 990 Taxreturn for 2012-2013.

PASSED AND ADOPTED THIS 20th DAY OF FEBRUARY 2014.

By:

Other changes

Net Asset / Fund Balance at Beginning of Year

Other income

Capital gain / lossSpecial events:

Contributions

Total expenses

Revenue

Program service revenueInvestment income

Gross revenue

Net incomeDirect expenses

Net Asset / Fund Balance at End of Year

Donated servicesUnrealized gains

Total revenue per financial statementsReconciliation of Revenue

RecoveriesOther

OtherInvestment expenses

Total revenue per return

Less:

Plus: Plus:

Less:

Total expenses per return

Investment expensesOther

OtherLosses

Reconciliation of Expenses

Total expenses per financial statements

Donated servicesPrior year adjustments

Differences

Return / extended due date

Miscellaneous Information

Failure to file penalty

Excess / (deficit)

Balance Sheet

Beginning Ending

AssetsLiabilitiesNet assets

, and ending

Forms 990 / 990-EZ Return Summary

Total revenue

Expenses

Program servicesManagement and generalFundraising

Amended return

For calendar year 2012, or tax year beginning 07/01/12 06/30/13

CAL POLY POMONA FOUNDATION, INC95-2417645

127,390,762

29,049,60317,502,2523,384,411-243,387

369,053342,960

26,09315,356,190

64,594,004

46,848,0555,588,220

931,92053,368,195

11,225,809

132,816,571

144,042,380

84,765,686

5,425,809

14,745,873

64,594,004

68,114,068

14,745,873

53,368,195

168,033,586 184,309,33040,642,824 40,266,950

127,390,762 144,042,380 16,651,618

02/18/14

09413690002 01/21/2014 8:02 AM

25

Regular tax

Refund

Balance due

Proxy taxAlternative minimum tax

Estimated tax payments

Tax withheldOther credits / paymentsEstimated tax penalty

Additions to Tax

Overpayment applied to next year's tax

Tax

Interest on late paymentsFailure to file penaltyFailure to pay penalty

Income

Total deductions

Form 990-T Return Summary

, and ending

Gross profit

Unrelated debt-financed incomeCapital gain / loss

All other income

Unrelated business taxable income

Total nonrefundable credits

Prior year minimum tax credit

Other creditsGeneral business credits

Foreign tax credit

Other taxes

Paid with extension

All other deductionsSalaries

Net operating loss

Officer compensationDeductions

Specific deduction

Total income

Return / extended due date

Miscellaneous Information

Total tax

Next Year's Estimates

1st quarter2nd quarter3rd quarter4th quarterTotal

Payments / penalty / application

Net tax due

Taxes / Credits / Payments

Total additions

Amended return

For calendar year 2012, or tax year beginning 07/01/12 06/30/13

CAL POLY POMONA FOUNDATION, INC95-2417645

766,057

1,165,0691,931,126

787,1211,236,284

2,023,405-92,279

05/15/14

09413690002 01/21/2014 8:02 AM

26

Form

check the box on line 1a, 2a, 3a, 4a, or 5a, below, and the amount on that line for the return being filed with this form was blank, thenleave line 1b, 2b, 3b, 4b, or 5b, whichever is applicable, blank (do not enter -0-). But, if you entered -0- on the return, then enter -0- on the applicable line below. Do not complete more than 1 line in Part I.

to send the organization’s return to the IRS and to receive from the IRS (a) an acknowledgement of receipt or reason for rejection of

I authorize to enter my PIN as my signature

on the organization’s tax year 2012 electronically filed return. If I have indicated within this return that a copy of the return is

As an officer of the organization, I will enter my PIN as my signature on the organization’s tax year 2012 electronically filed return.If I have indicated within this return that a copy of the return is being filed with a state agency(ies) regulating charities as part of

I certify that the above numeric entry is my PIN, which is my signature on the 2012 electronically filed return for the organizationindicated above. I confirm that I am submitting this return in accordance with the requirements of Pub. 4163, Modernized e-File (MeF)

OMB No. 1545-1878

For calendar year 2012, or fiscal year beginning . . . . . . . . . . . . . . . . . . . , 2012, and ending . . . . . . . . . . . . . . , 20 . . . . . .

Department of the TreasuryInternal Revenue ServiceName of exempt organization

Name and title of officer

Officer's signature Date

ERO's signature Date

Form 8879-EO (2012)

DAA

}

ERO firm name Enter five numbers, but

do not enter all zeros

the transmission, (b) the reason for any delay in processing the return or refund, and (c) the date of any refund. If applicable, I

Information for Authorized IRS e-file Providers for Business Returns.

4a

5a

Form 990-PF check hereForm 8868 check here

b

b

Tax based on investment income (Form 990-PF, Part VI, line 5) . . . . . . . . . . . . . . . . . . .Balance Due (Form 8868, Part I, line 3c or Part II, line 8c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4b

5b

being filed with a state agency(ies) regulating charities as part of the IRS Fed/State program, I also authorize the aforementionedERO to enter my PIN on the return’s disclosure consent screen.

the IRS Fed/State program, I will enter my PIN on the return’s disclosure consent screen.

u Do not send to the IRS. Keep for your records.

8879-EO

2012

IRS e-file Signature Authorizationfor an Exempt Organization

Part I Type of Return and Return Information (Whole Dollars Only)

Part II Declaration and Signature Authorization of Officer

Part III Certification and Authentication

ERO Must Retain This Form—See Instructions

Do Not Submit This Form To the IRS Unless Requested To Do So

Employer identification number

1a Form 990 check here b Total revenue, if any (Form 990, Part VIII, column (A), line 12) . . . . . . . . . . . . . . . . . . . . . . . . 1b

2a Form 990-EZ check here b Total revenue, if any (Form 990-EZ, line 9) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2b

3a Form 1120-POL check here b Total tax (Form 1120-POL, line 22) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3b

Officer's PIN: check one box only

ERO's EFIN/PIN. Enter your six-digit electronic filing identification

For Paperwork Reduction Act Notice, see back of form.

}

}}

do not enter all zeros

number (EFIN) followed by your five-digit self-selected PIN.

Check the box for the return for which you are using this Form 8879-EO and enter the applicable amount, if any, from the return. If you

Under penalties of perjury, I declare that I am an officer of the above organization and that I have examined a copy of theorganization’s 2012 electronic return and accompanying schedules and statements and to the best of my knowledge and belief, theyare true, correct, and complete. I further declare that the amount in Part I above is the amount shown on the copy of theorganization’s electronic return. I consent to allow my intermediate service provider, transmitter, or electronic return originator (ERO)

authorize the U.S. Treasury and its designated Financial Agent to initiate an electronic funds withdrawal (direct debit) entry to thefinancial institution account indicated in the tax preparation software for payment of the organization’s federal taxes owed on thisreturn, and the financial institution to debit the entry to this account. To revoke a payment, I must contact the U.S. Treasury FinancialAgent at 1-888-353-4537 no later than 2 business days prior to the payment (settlement) date. I also authorize the financial institutionsinvolved in the processing of the electronic payment of taxes to receive confidential information necessary to answer inquiries andresolve issues related to the payment. I have selected a personal identification number (PIN) as my signature for the organization’selectronic return and, if applicable, the organization’s consent to electronic funds withdrawal.

7/01 6/30 13

CAL POLY POMONA FOUNDATION, INC 95-2417645G. PAUL STOREYEXECUTIVE DIRECTOR

X 64,594,004

X DAVID F. PRENOVOST, CPA 95541

10/31/13

33572081657

09413690002 01/21/2014 8:02 AM

27

Other expenses (Part IX, column (A), lines 11a–11d, 11f–24e) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total expenses. Add lines 13–17 (must equal Part IX, column (A), line 25) . . . . . . . . . . . . . . . . . . . . .

Gross receipts

Check if applicable:For the 2012 calendar year, or tax year beginning

Application pending

City, town or post office, state, and ZIP code

Amended return

Terminated

Room/suiteNumber and street (or P.O. box if mail is not delivered to street address)Initial return

Name change

Address change

Name of organization

u The organization may have to use a copy of this return to satisfy state reporting requirements.Internal Revenue ServiceDepartment of the Treasury

OMB No. 1545-0047

Form

Telephone numberE

Employer identification numberDCB

, and endingA

benefit trust or private foundation) Open to PublicUnder section 501(c), 527, or 4947(a)(1) of the Internal Revenue Code (except black lung

Return of Organization Exempt From Income Tax2012990Inspection

Doing Business As

G $F Name and address of principal officer:

H(a)

H(b)

H(c)

Is this a group return for affiliates?

Are all affiliates included?

If "No," attach a list. (see instructions)

Group exemption number u

Yes No

NoYes

I

J

K

Tax-exempt status:

Website: u

Form of organization:

501(c) 4947(a)(1) or 527( ) t (insert no.)

Corporation Trust Association Other u L Year of formation: M State of legal domicile:SummaryPart I

1

2

3

4

5

6

7a

b

Briefly describe the organization's mission or most significant activities: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Check this box uNumber of voting members of the governing body (Part VI, line 1a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Number of independent voting members of the governing body (Part VI, line 1b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total number of individuals employed in calendar year 2012 (Part V, line 2a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total number of volunteers (estimate if necessary) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total unrelated business revenue from Part VIII, column (C), line 12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Net unrelated business taxable income from Form 990-T, line 34 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7b

7a

6

5

4

3

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .if the organization discontinued its operations or disposed of more than 25% of its net assets.

8

9

10

11

12

Contributions and grants (Part VIII, line 1h) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Program service revenue (Part VIII, line 2g) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Investment income (Part VIII, column (A), lines 3, 4, and 7d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Other revenue (Part VIII, column (A), lines 5, 6d, 8c, 9c, 10c, and 11e) . . . . . . . . . . . . . . . . . . . . . . . . .Total revenue – add lines 8 through 11 (must equal Part VIII, column (A), line 12) . . . . . . . . . . . . .

Prior Year Current Year

13

14

15

16a

b

17

18

19

Grants and similar amounts paid (Part IX, column (A), lines 1–3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Benefits paid to or for members (Part IX, column (A), line 4) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Salaries, other compensation, employee benefits (Part IX, column (A), lines 5–10) . . . . . . . . . . . . .Professional fundraising fees (Part IX, column (A), line 11e) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total fundraising expenses (Part IX, column (D), line 25) u . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Revenue less expenses. Subtract line 18 from line 12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

20

21

22

Beginning of Current Year End of Year

Total assets (Part X, line 16) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total liabilities (Part X, line 26) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Net assets or fund balances. Subtract line 21 from line 20 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

DAAForm 990 (2012)

SignHere

Paid

Preparer

Use Only

Under penalties of perjury, I declare that I have examined this return, including accompanying schedules and statements, and to the best of my knowledge and belief, it istrue, correct, and complete. Declaration of preparer (other than officer) is based on all information of which preparer has any knowledge.

Signature of officer Date

Type or print name and title

CheckPreparer's signature Date PTIN

self-employed

Firm's name Firm's EIN }

Firm's address Phone no.

For Paperwork Reduction Act Notice, see the separate instructions.

Part II Signature Block

May the IRS discuss this return with the preparer shown above? (see instructions) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . NoYes

Acti

vit

ies &

Go

vern

an

ce

Reven

ue

Exp

en

ses

Net

Ass

ets

orFu

nd B

alan

ces

501(c)(3)

ifPrint/Type preparer's name

}

}

07/01/12 06/30/13

CAL POLY POMONA FOUNDATION, INC

3801 WEST TEMPLE AVE. BLDG # 55

POMONA CA 91768-4038

95-2417645

909-869-2948

G. PAUL STOREY3801 WEST TEMPLE AVE. BLDG # 55POMONA CA 91768-4038

128,725,464

X

Xfoundation.csupomona.edu

X 1966 CA

See Schedule O

241119063000

1,931,126-92,279

22,269,253 29,049,60318,261,908 17,502,252

669,250 2,685,95915,021,324 15,356,19056,221,735 64,594,0047,054,167 6,847,478

021,491,575 21,480,646

0931,920

23,332,941 25,040,07151,878,683 53,368,1954,343,052 11,225,809

168,033,586 184,309,33040,642,824 40,266,950

127,390,762 144,042,380

G. PAUL STOREY EXECUTIVE DIRECTOR

DAVID F. PRENOVOST 01/21/14 P00434118

DAVID F. PRENOVOST, CPA3801 W. TEMPLE AVE., BLDG # 55POMONA, CA 91768-4038 909-869-2948

X

09413690002 01/21/2014 8:02 AM

28

Form 990 (2012) Page 2Part III Statement of Program Service Accomplishments

1 Briefly describe the organization's mission:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Did the organization undertake any significant program services during the year which were not listed on the2

prior Form 990 or 990-EZ? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If "Yes," describe these new services on Schedule O.

3

4

Did the organization cease conducting, or make significant changes in how it conducts, any programservices? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If "Yes," describe these changes on Schedule O.Describe the organization's program service accomplishments for each of its three largest program services, as measured byexpenses. Section 501(c)(3) and 501(c)(4) organizations are required to report the amount of grants and allocations to others,the total expenses, and revenue, if any, for each program service reported.

4a (Code: . . . . . . . . . ) (Expenses $ . . . . . . . . . . . . . . . . . . . . . . . . . . . including grants of $ . . . . . . . . . . . . . . . . . . . . . . . . . . ) (Revenue $ . . . . . . . . . . . . . . . . . . . . . . . . . . )

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)$ . . . . . . . . . . . . . . . . . . . . . . . . . .(Revenue)$ . . . . . . . . . . . . . . . . . . . . . . . . . .including grants of$ . . . . . . . . . . . . . . . . . . . . . . . . . . .) (Expenses(Code: . . . . . . . . .4b

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4c (Code: . . . . . . . . .

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$ . . . . . . . . . . . . . . . . . . . . . . . . . . . including grants of $ . . . . . . . . . . . . . . . . . . . . . . . . . . )) (Expenses $ . . . . . . . . . . . . . . . . . . . . . . . . . . )(Revenue

.

4d Other program services. (Describe in Schedule O.)(Revenue )$(Expenses )$including grants of$

4e Total program service expenses u

Form 990 (2012)DAA

NoYes

Yes No

Check if Schedule O contains a response to any question in this Part III . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ..

CAL POLY POMONA FOUNDATION, INC 95-2417645

X

See Schedule O

X

X

10,845,299 1,447,471 12,174,130RESEARCH ACTIVITIES - POST AWARD ADMINISTRATION FOR EXTERNALLYFUNDED GRANTS AND CONTRACTS.

7,424,693 1,737,215 6,830,129INSTRUCTIONALLY RELATED PROGRAMS AND ACTIVITIES - INCLUDING SCHOLARSHIPS,WORKSHOPS AND CONFERENCES.

8,274,714 9,899,902DINING SERVICES - PROVIDE DINING VENUES FOR THE CONVENIENCE OF STUDENTS,FACULTY AND STAFF

20,303,349 3,662,792 29,359,38146,848,055

09413690002 01/21/2014 8:02 AM

29

1

Checklist of Required SchedulesPart IVPage 3Form 990 (2012)

2

3

4

5

6

7

Is the organization described in section 501(c)(3) or 4947(a)(1) (other than a private foundation)? If “Yes,”complete Schedule A . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Is the organization required to complete Schedule B, Schedule of Contributors (see instructions)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization engage in direct or indirect political campaign activities on behalf of or in opposition tocandidates for public office? If “Yes,” complete Schedule C, Part I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Section 501(c)(3) organizations. Did the organization engage in lobbying activities, or have a section 501(h)election in effect during the tax year? If "Yes," complete Schedule C, Part II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Is the organization a section 501(c)(4), 501(c)(5), or 501(c)(6) organization that receives membership dues,assessments, or similar amounts as defined in Revenue Procedure 98-19? If "Yes," complete Schedule C,

Did the organization maintain any donor advised funds or any similar funds or accounts for which donorshave the right to provide advice on the distribution or investment of amounts in such funds or accounts? If“Yes,” complete Schedule D, Part I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization receive or hold a conservation easement, including easements to preserve open space,the environment, historic land areas, or historic structures? If “Yes,” complete Schedule D, Part II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

8

9

10

11

12a

13

14a

b

15

16

Did the organization maintain collections of works of art, historical treasures, or other similar assets? If “Yes,”complete Schedule D, Part III . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization report an amount in Part X, line 21, for escrow or custodial account liability; serve as acustodian for amounts not listed in Part X; or provide credit counseling, debt management, credit repair, ordebt negotiation services? If “Yes,” complete Schedule D, Part IV . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization, directly or through a related organization, hold assets in temporarily restricted

If the organization's answer to any of the following questions is “Yes,” then complete Schedule D, Parts VI,VII, VIII, IX, or X as applicable.

Did the organization obtain separate, independent audited financial statements for the tax year? If “Yes,” completeSchedule D, Parts XI and XII . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Is the organization a school described in section 170(b)(1)(A)(ii)? If “Yes,” complete Schedule E . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization maintain an office, employees, or agents outside of the United States? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization have aggregate revenues or expenses of more than $10,000 from grantmaking,fundraising, business, investment, and program service activities outside the United States, or aggregate

Did the organization report on Part IX, column (A), line 3, more than $5,000 of grants or assistance to anyorganization or entity located outside the United States? If “Yes,” complete Schedule F, Parts II and IV . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization report on Part IX, column (A), line 3, more than $5,000 of aggregate grants or assistanceto individuals located outside the United States? If “Yes,” complete Schedule F, Parts III and IV . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

17

18

19

20a

Did the organization report a total of more than $15,000 of expenses for professional fundraising services on

Did the organization report more than $15,000 total of fundraising event gross income and contributions on

Did the organization report more than $15,000 of gross income from gaming activities on Part VIII, line 9a?

Did the organization operate one or more hospital facilities? If “Yes,” complete Schedule H . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes No

19

18

17

16

15

14b

14a

13

10

9

8

7

6

5

4

3

2

1

DAA

Form 990 (2012)

endowments, permanent endowments, or quasi-endowments? If “Yes,” complete Schedule D, Part V . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Did the organization report an amount for land, buildings, and equipment in Part X, line 10? If "Yes,"complete Schedule D, Part VI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

of its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VII . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Did the organization report an amount for investments—other securities in Part X, line 12 that is 5% or more

Did the organization report an amount for investments—program related in Part X, line 13 that is 5% or moreof its total assets reported in Part X, line 16? If "Yes," complete Schedule D, Part VIII . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

reported in Part X, line 16? If "Yes," complete Schedule D, Part IX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Did the organization report an amount for other assets in Part X, line 15 that is 5% or more of its total assets

Did the organization report an amount for other liabilities in Part X, line 25? If "Yes," complete Schedule D, Part X . . . . . . . . . . . . . . . . . . . . .Did the organization's separate or consolidated financial statements for the tax year include a footnote that addressesthe organization's liability for uncertain tax positions under FIN 48 (ASC 740)? If "Yes," complete Schedule D, Part X . . . . . . . . . . . . . . . . .

the organization answered "No" to line 12a, then completing Schedule D, Parts XI and XII is optional . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Was the organization included in consolidated, independent audited financial statements for the tax year? If "Yes," and if

Part IX, column (A), lines 6 and 11e? If “Yes,” complete Schedule G, Part I (see instructions) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Part VIII, lines 1c and 8a? If "Yes," complete Schedule G, Part II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

If "Yes," complete Schedule G, Part III . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Part III . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

a

b

c

d

e

f

11a

11b

11c

11d

11e

11f

b

12a

12b

b If “Yes” to line 20a, did the organization attach a copy of its audited financial statements to this return? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

20a

20b

foreign investments valued at $100,000 or more? If “Yes,” complete Schedule F, Parts I and IV . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

XX

X

X

X

X

X

X

X

X

X

X

X

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X

X

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X

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X

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Form 990 (2012)

DAA

NoYes

Form 990 (2012) Page 4Part IV Checklist of Required Schedules (continued)

28

a

b

c

29

30

31

32

33

34

35a

36

37

Was the organization a party to a business transaction with one of the following parties (see Schedule L,

A current or former officer, director, trustee, or key employee? If "Yes," complete Schedule L, Part IV . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .A family member of a current or former officer, director, trustee, or key employee? If "Yes," completeSchedule L, Part IV . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .An entity of which a current or former officer, director, trustee, or key employee (or a family member thereof)was an officer, director, trustee, or direct or indirect owner? If “Yes,” complete Schedule L, Part IV . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization receive more than $25,000 in non-cash contributions? If “Yes,” complete Schedule M . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization receive contributions of art, historical treasures, or other similar assets, or qualifiedconservation contributions? If “Yes,” complete Schedule M . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization liquidate, terminate, or dissolve and cease operations? If “Yes,” complete Schedule N,Part I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization sell, exchange, dispose of, or transfer more than 25% of its net assets? If "Yes,"complete Schedule N, Part II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization own 100% of an entity disregarded as separate from the organization under Regulationssections 301.7701-2 and 301.7701-3? If “Yes,” complete Schedule R, Part I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Was the organization related to any tax-exempt or taxable entity? If “Yes,” complete Schedule R, Parts II, III,or IV, and Part V, line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization have a controlled entity within the meaning of section 512(b)(13)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If "Yes" to line 35a, did the organization receive any payment from or engage in any transaction with a

Section 501(c)(3) organizations. Did the organization make any transfers to an exempt non-charitablerelated organization? If “Yes,” complete Schedule R, Part V, line 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization conduct more than 5% of its activities through an entity that is not a related organizationand that is treated as a partnership for federal income tax purposes? If “Yes,” complete Schedule R,

37

36

35a

34

33

32

31

30

29

28a

28b

28c

Part VI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

21

22

23

24a

24b

24c

24d

25a

25b

26

27

substantial contributor or employee thereof, a grant selection committee member, or to a 35% controlledDid the organization provide a grant or other assistance to an officer, director, trustee, key employee,disqualified person outstanding as of the end of the organization’s tax year? If “Yes,” complete Schedule L, Part II . . . . . . . . . . . . . . . . . . . .

Was a loan to or by a current or former officer, director, trustee, key employee, highest compensated employee, or

year, and that the transaction has not been reported on any of the organization's prior Forms 990 or 990-EZ?Is the organization aware that it engaged in an excess benefit transaction with a disqualified person in a prior with a disqualified person during the year? If “Yes,” complete Schedule L, Part I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section 501(c)(3) and 501(c)(4) organizations. Did the organization engage in an excess benefit transactionDid the organization act as an “on behalf of” issuer for bonds outstanding at any time during the year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

to defease any tax-exempt bonds? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Did the organization maintain an escrow account other than a refunding escrow at any time during the yearDid the organization invest any proceeds of tax-exempt bonds beyond a temporary period exception? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

through 24d and complete Schedule K. If “No,” go to line 25 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$100,000 as of the last day of the year, that was issued after December 31, 2002? If “Yes,” answer lines 24bDid the organization have a tax-exempt bond issue with an outstanding principal amount of more than

organization's current and former officers, directors, trustees, key employees, and highest compensatedDid the organization answer “Yes” to Part VII, Section A, line 3, 4, or 5 about compensation of the

Did the organization report more than $5,000 of grants and other assistance to individuals in the United States

Did the organization report more than $5,000 of grants and other assistance to any government or organization

27

26

b

25a

d

c

b

24a

23

22

21

in the United States on Part IX, column (A), line 1? If “Yes,” complete Schedule I, Parts I and II . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

on Part IX, column (A), line 2? If "Yes," complete Schedule I, Parts I and III . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

employees? If "Yes," complete Schedule J . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

If "Yes," complete Schedule L, Part I . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

entity or family member of any of these persons? If “Yes,” complete Schedule L, Part III . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Part IV instructions for applicable filing thresholds, conditions, and exceptions):

38 Did the organization complete Schedule O and provide explanations in Schedule O for Part VI, lines 11b and3819? Note. All Form 990 filers are required to complete Schedule O . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

b

controlled entity within the meaning of section 512(b)(13)? If “Yes,” complete Schedule R, Part V, line 2 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35b

CAL POLY POMONA FOUNDATION, INC 95-2417645

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X

X

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XX

X

X

X

X

X

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X

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Statements Regarding Other IRS Filings and Tax CompliancePart VPage 5Form 990 (2012)

Yes No

DAA Form 990 (2012)

1a

b

c

2a

b

3a

b

4a

b

5a

b

Enter the number reported in Box 3 of Form 1096. Enter -0- if not applicable . . . . . . . . . . . . . . . . . . . . . . . . .Enter the number of Forms W-2G included in line 1a. Enter -0- if not applicable . . . . . . . . . . . . . . . . . . . . . .Did the organization comply with backup withholding rules for reportable payments to vendors andreportable gaming (gambling) winnings to prize winners? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Enter the number of employees reported on Form W-3, Transmittal of Wage and TaxStatements, filed for the calendar year ending with or within the year covered by this return . . . . . . . . . .If at least one is reported on line 2a, did the organization file all required federal employment tax returns? . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Note. If the sum of lines 1a and 2a is greater than 250, you may be required to e-file (see instructions)Did the organization have unrelated business gross income of $1,000 or more during the year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If “Yes,” has it filed a Form 990-T for this year? If “No,” provide an explanation in Schedule O . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .At any time during the calendar year, did the organization have an interest in, or a signature or other authorityover, a financial account in a foreign country (such as a bank account, securities account, or other financialaccount)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If “Yes,” enter the name of the foreign country: u . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .See instructions for filing requirements for Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts.Was the organization a party to a prohibited tax shelter transaction at any time during the tax year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did any taxable party notify the organization that it was or is a party to a prohibited tax shelter transaction? . . . . . . . . . . . . . . . . . . . . . . . . . . . .

c

6a

b

7

a

b

c

d

e

f

g

h

8

9

a

b

10

a

b

11

a

b

12a

b

If “Yes” to line 5a or 5b, did the organization file Form 8886-T? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Does the organization have annual gross receipts that are normally greater than $100,000, and did the

If “Yes,” did the organization include with every solicitation an express statement that such contributions orgifts were not tax deductible? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Organizations that may receive deductible contributions under section 170(c).

Did the organization receive a payment in excess of $75 made partly as a contribution and partly for goods

If “Yes,” did the organization notify the donor of the value of the goods or services provided? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization sell, exchange, or otherwise dispose of tangible personal property for which it wasrequired to file Form 8282? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

If “Yes,” indicate the number of Forms 8282 filed during the year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization receive any funds, directly or indirectly, to pay premiums on a personal benefit contract? . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization, during the year, pay premiums, directly or indirectly, on a personal benefit contract? . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If the organization received a contribution of qualified intellectual property, did the organization file Form 8899 as required? . . . . . . . . . .If the organization received a contribution of cars, boats, airplanes, or other vehicles, did the organization file a Form 1098-C? . . . . . . .Sponsoring organizations maintaining donor advised funds and section 509(a)(3) supporting

organizations. Did the supporting organization, or a donor advised fund maintained by a sponsoringorganization, have excess business holdings at any time during the year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Sponsoring organizations maintaining donor advised funds.

Did the organization make any taxable distributions under section 4966? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization make a distribution to a donor, donor advisor, or related person? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Section 501(c)(7) organizations. Enter:Initiation fees and capital contributions included on Part VIII, line 12 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Gross receipts, included on Form 990, Part VIII, line 12, for public use of club facilities . . . . . . . . . . . . . . .Section 501(c)(12) organizations. Enter:Gross income from members or shareholders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Gross income from other sources (Do not net amounts due or paid to other sourcesagainst amounts due or received from them.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Section 4947(a)(1) non-exempt charitable trusts. Is the organization filing Form 990 in lieu of Form 1041? . . . . . . . . . . . . . . . . . . . . . . . .If “Yes,” enter the amount of tax-exempt interest received or accrued during the year . . . . . . . . . . . . . . . .

1c

2b

3a

3b

4a

5a

5b

5c

6a

6b

7a

7b

7c

7e

7f

7g

7h

8

9a

9b

12a

1a

1b

7d7d

10a

10b

11a

11b

12b

2a

.

and services provided to the payor? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

organization solicit any contributions that were not tax deductible as charitable contributions? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Check if Schedule O contains a response to any question in this Part V . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

13aa

13 Section 501(c)(29) qualified nonprofit health insurance issuers.

b

Is the organization licensed to issue qualified health plans in more than one state? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Note. See the instructions for additional information the organization must report on Schedule O.Enter the amount of reserves the organization is required to maintain by the states in whichthe organization is licensed to issue qualified health plans . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Enter the amount of reserves on hand . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .c 13c

13b

14a

14bb

14a Did the organization receive any payments for indoor tanning services during the tax year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If "Yes," has it filed a Form 720 to report these payments? If "No," provide an explanation in Schedule O . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

5070

X

1906X

XX

X

XX

X

XX

X

XX

X

09413690002 01/21/2014 8:02 AM

32

Section C. Disclosure

1b

1a

2

Form 990 (2012)DAA

NoYes

Form 990 (2012) Page 6Part VI Governance, Management, and Disclosure For each "Yes" response to lines 2 through 7b below, and for a "No"

response to line 8a, 8b, or 10b below, describe the circumstances, processes, or changes in Schedule O. See instructions.

Section A. Governing Body and Management

1a

b

2

3

4

5

6

7a

b

8

a

b

9

10a

11a

Enter the number of voting members of the governing body at the end of the tax year . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Enter the number of voting members included in line 1a, above, who are independent . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did any officer, director, trustee, or key employee have a family relationship or a business relationship withany other officer, director, trustee, or key employee? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization delegate control over management duties customarily performed by or under the directsupervision of officers, directors, or trustees, or key employees to a management company or other person? . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization make any significant changes to its governing documents since the prior Form 990 was filed? . . . . . . . . . . . . . . . . . . .Did the organization become aware during the year of a significant diversion of the organization’s assets? . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization have members or stockholders? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization have members, stockholders, or other persons who had the power to elect or appointone or more members of the governing body? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Are any governance decisions of the organization reserved to (or subject to approval by) members,

Did the organization contemporaneously document the meetings held or written actions undertaken during the year by the following:The governing body? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Each committee with authority to act on behalf of the governing body? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Did the organization have local chapters, branches, or affiliates? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If “Yes,” did the organization have written policies and procedures governing the activities of such chapters,affiliates, and branches to ensure their operations are consistent with the organization's exempt purposes? . . . . . . . . . . . . . . . . . . . . . . . . . . .

Has the organization provided a complete copy of this Form 990 to all members of its governing body before filing the form? . . . . . . . . .

Is there any officer, director, trustee, or key employee listed in Part VII, Section A, who cannot be reached atthe organization’s mailing address? If “Yes,” provide the names and addresses in Schedule O . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3

4

5

6

7a

7b

8a

8b

9

10a

11a

Yes No

12a

b

c

13

14

15

a

b

16a

b

Section B. Policies (This Section B requests information about policies not required by the Internal Revenue Code.)

Did the organization have a written conflict of interest policy? If “No,” go to line 13 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Were officers, directors, or trustees, and key employees required to disclose annually interests that could give rise to conflicts? . . . . . .Did the organization regularly and consistently monitor and enforce compliance with the policy? If “Yes,”describe in Schedule O how this was done . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization have a written whistleblower policy? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization have a written document retention and destruction policy? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the process for determining compensation of the following persons include a review and approval byindependent persons, comparability data, and contemporaneous substantiation of the deliberation and decision?The organization’s CEO, Executive Director, or top management official . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Other officers or key employees of the organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If “Yes” to line 15a or 15b, describe the process in Schedule O (see instructions).Did the organization invest in, contribute assets to, or participate in a joint venture or similar arrangementwith a taxable entity during the year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If “Yes,” did the organization follow a written policy or procedure requiring the organization to evaluate itsparticipation in joint venture arrangements under applicable federal tax law, and take steps to safeguard theorganization’s exempt status with respect to such arrangements? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

12a

12b

12c

13

14

15a

15b

16a

16b

17

18

19

20

List the states with which a copy of this Form 990 is required to be filed u . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Section 6104 requires an organization to make its Forms 1023 (or 1024 if applicable), 990, and 990-T (Section 501(c)(3)s only)available for public inspection. Indicate how you made these available. Check all that apply.

Describe in Schedule O whether (and if so, how), the organization made its governing documents, conflict of interest policy,and financial statements available to the public during the tax year.State the name, physical address, and telephone number of the person who possesses the books and records of theorganization: u

Own website Another's website Upon request

Check if Schedule O contains a response to any question in this Part VI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

b

10b

b Describe in Schedule O the process, if any, used by the organization to review this Form 990.

stockholders, or persons other than the governing body? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

If there are material differences in voting rights among members of the governing body, orif the governing body delegated broad authority to an executive committee or similarcommittee, explain in Schedule O.

Other (explain in Schedule O)

CAL POLY POMONA FOUNDATION, INC 95-2417645

X

24

11

X

XXXX

X

X

XX

X

X

X

XX

XXX

XX

X

X

CA

X X

DAVID F. PRENOVOST CPA 3801 W. TEMPLE AVEPOMONA CA 91768 909-869-2948

09413690002 01/21/2014 8:02 AM

33

compensation

organization

compensation from

Section A.

Independent ContractorsCompensation of Officers, Directors, Trustees, Key Employees, Highest Compensated Employees, andPart VII

Page 7Form 990 (2012)

DAA Form 990 (2012)

Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees

Complete this table for all persons required to be listed. Report compensation for the calendar year ending with or within the1a

List all of the organization's current officers, directors, trustees (whether individuals or organizations), regardless of amount ofcompensation. Enter -0- in columns (D), (E), and (F) if no compensation was paid.

List all of the organization's current key employees, if any. See instructions for definition of "key employee."

who received reportable compensation (Box 5 of Form W-2 and/or Box 7 of Form 1099-MISC) of more than $100,000 from theorganization and any related organizations.

List all of the organization's former officers, key employees, and highest compensated employees who received more than $100,000 of reportable compensation from the organization and any related organizations.

List all of the organization’s former directors or trustees that received, in the capacity as a former director or trustee of theorganization, more than $10,000 of reportable compensation from the organization and any related organizations.List persons in the following order: individual trustees or directors; institutional trustees; officers; key employees; highestcompensated employees; and former such persons.

Check this box if neither the organization nor any related organizations compensated any current officer, director, or trustee.

(A) (B) (C) (D) (E) (F)

Name and Title Position

relatedcompensation

Reportable

organizationsorganization

(W-2/1099-MISC)

Reportableamount ofEstimated

from the

otherfromthe

organizationsand related

(W-2/1099-MISC)Individual trusteeor director

employeeHighest compensated

Institutional trustee

Officer

Key em

ployee

Form

er

•organization's tax year.

List the organization's five current highest compensated employees (other than an officer, director, trustee, or key employee)••

••

Check if Schedule O contains a response to any question in this Part VII . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

organizationsbelow dotted

week

hours for

Averagehours per

related

(list any

line)

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

officer and a director/trustee)box, unless person is both an(do not check more than one

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

J. MICHAEL ORTIZ

CHAIRMAN0.5040.00 X 0 307,048 73,142

EDWIN BARNES III

DESIGNATED DIRECTOR0.5040.00 X 0 217,416 55,796

MARTIN DENBOER

DESIGNATED DIRECTOR0.5040.00 X 0 217,404 56,354

RICHARD LAPIDUS

DEAN MEMBER0.5040.00 X 0 205,146 58,767

SCOTT WARRINGTON

DESIGNATED DIRECTOR0.5040.00 X 0 183,318 54,488

DOUGLAS FREER

DESIGNATED DIRECTOR0.5040.00 X 0 181,590 50,745

JOHN MCGUTHRY

DESIGNATED DIRECTOR0.5040.00 X 0 175,098 53,345

EDWARD MERITT

FACULTY DIRECTOR0.5040.00 X 0 121,764 35,672

DAVID SPEAK

DESIGNATED DIRECTOR0.5040.00 X 0 115,649 38,815

WINNY DONG

FACULTY DIRECTOR0.5040.00 X 0 104,660 35,525

CASSANDRA REYES

STAFF DIRECTOR0.5040.00 X 0 50,431 22,398

09413690002 02/12/2014 7:54 AM

34

Form 990 (2012)DAA

Form 990 (2012) Page 8Part VII Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued)

d Total (add lines 1b and 1c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . u

2 Total number of individuals (including but not limited to those listed above) who received more than $100,000 inreportable compensation from the organization u

3

4

5

Yes No

5

4

3Did the organization list any former officer, director, or trustee, key employee, or highest compensatedemployee on line 1a? If “Yes,” complete Schedule J for such individual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .For any individual listed on line 1a, is the sum of reportable compensation and other compensation from theorganization and related organizations greater than $150,000? If “Yes,” complete Schedule J for suchindividual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individualfor services rendered to the organization? If “Yes,” complete Schedule J for such person . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section B. Independent Contractors

1 Complete this table for your five highest compensated independent contractors that received more than $100,000 ofcompensation from the organization. Report compensation for the calendar year ending with or within the organization's tax year.

2 Total number of independent contractors (including but not limited to those listed above) whoreceived more than $100,000 of compensation from the organization u

(A)Name and business address Description of services

(B) (C)Compensation

Individual trusteeor director

Institutional trustee

Officer

Key employee

employee

Former

Highest compensated

and relatedorganizations

thefrom other

from the

Estimatedamount of

(W-2/1099-MISC)organization

Reportablecompensation

Name and title(F)(E)(D)(C)(B)(A)

organization

compensation

line)

(list any

related

hours perAverage

hours for

week

below dottedorganizations

(W-2/1099-MISC)

Reportable

organizationsrelated

compensation from

uTotal from continuation sheets to Part VII, Section A . . . . . . . . . . .c

1b Sub-total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . u

(12)

(13)

(14)

(15)

(16)

(17)

(18)

(19)

(do not check more than onebox, unless person is both anofficer and a director/trustee)

Position

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

RACHEL DOMINGUEZ

DESIGNATED DIRECTOR40.000.00 X 45,198 0 7,662

SUSIE DIAZ

STAFF DIRECTOR0.500.00 X 0 42,456 23,554

EVIN COUKOS

STUDENT DIRECTOR0.500.00 X 0 0 0

LOWELL OVERTON

COMMUNITY DIRECTOR0.500.00 X 0 0 0

MEI LEIN CHANG

MEMBER AT LARGE0.500.00 X 0 0 0

OLIVER SANTOS

COMMUNITY DIRECTOR0.500.00 X 0 0 0

CHRISTOPHER OSUALA

DESIGNATED DIRECTOR0.500.00 X 0 0 0

JORDAN KITTLESON

STUDENT DIRECTOR0.500.00 X 0 0 0

45,198 1,921,980 566,263980,149 195,870

1,025,347 1,921,980 762,133

7

X

X

X

HMC Architects 3546 Concours StreetOntario CA 91764 Construction 388,710

Calico Building Services Inc 15550 - C Rockfield BlvdIrvine CA 92618 Custodial 252,156

Coastal Building Services Inc. 1295 N. Tustin AveAnaheim CA 92807 Custodial 233,847

Nu/Age Development In.c 3940-A Prospect Ave.Yorba Linda CA 92686 Construction 214,789

Alonco Construction 2584 Fender Ave. Unit HFullerton CA 92831 Construction 179,721

6

09413690002 01/21/2014 8:02 AM

35

Form 990 (2012)DAA

Form 990 (2012) Page 8Part VII Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued)

d Total (add lines 1b and 1c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . u

2 Total number of individuals (including but not limited to those listed above) who received more than $100,000 inreportable compensation from the organization u

3

4

5

Yes No

5

4

3Did the organization list any former officer, director, or trustee, key employee, or highest compensatedemployee on line 1a? If “Yes,” complete Schedule J for such individual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .For any individual listed on line 1a, is the sum of reportable compensation and other compensation from theorganization and related organizations greater than $150,000? If “Yes,” complete Schedule J for suchindividual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individualfor services rendered to the organization? If “Yes,” complete Schedule J for such person . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section B. Independent Contractors

1 Complete this table for your five highest compensated independent contractors that received more than $100,000 ofcompensation from the organization. Report compensation for the calendar year ending with or within the organization's tax year.

2 Total number of independent contractors (including but not limited to those listed above) whoreceived more than $100,000 of compensation from the organization u

(A)Name and business address Description of services

(B) (C)Compensation

Individual trusteeor director

Institutional trustee

Officer

Key employee

employee

Former

Highest compensated

and relatedorganizations

thefrom other

from the

Estimatedamount of

(W-2/1099-MISC)organization

Reportablecompensation

Name and title(F)(E)(D)(C)(B)(A)

organization

compensation

line)

(list any

related

hours perAverage

hours for

week

below dottedorganizations

(W-2/1099-MISC)

Reportable

organizationsrelated

compensation from

uTotal from continuation sheets to Part VII, Section A . . . . . . . . . . .c

1b Sub-total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . u

(12)

(13)

(14)

(15)

(16)

(17)

(18)

(19)

(do not check more than onebox, unless person is both anofficer and a director/trustee)

Position

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

WILLIAM PRIEST

COMMUNITY DIRECTOR0.500.00 X 0 0 0

THOMAS GOFF

MEMBER AT LARGE0.500.00 X 0 0 0

MICKEY SEGAL

MEMBER AT LARGE0.500.00 X 0 0 0

KATHY TULLY

MEMBER AT LARGE0.500.00 X 0 0 0

MICHAEL FERGUSON

MEMBER AT LARGE0.500.00 X 0 0 0

G. PAUL STOREY

EXEC DIRECTOR40.000.00 X 174,153 0 47,274

DAVID PRENOVOST

CHIEF FIN OFFICER40.000.00 X 136,489 0 34,648

BALZER ROBERT

CAMPAIGN DIRECTOR40.000.00 X 234,042 0 32,075

544,684 113,997

09413690002 01/21/2014 8:02 AM

36

Form 990 (2012)DAA

Form 990 (2012) Page 8Part VII Section A. Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees (continued)

d Total (add lines 1b and 1c) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . u

2 Total number of individuals (including but not limited to those listed above) who received more than $100,000 inreportable compensation from the organization u

3

4

5

Yes No

5

4

3Did the organization list any former officer, director, or trustee, key employee, or highest compensatedemployee on line 1a? If “Yes,” complete Schedule J for such individual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .For any individual listed on line 1a, is the sum of reportable compensation and other compensation from theorganization and related organizations greater than $150,000? If “Yes,” complete Schedule J for suchindividual . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did any person listed on line 1a receive or accrue compensation from any unrelated organization or individualfor services rendered to the organization? If “Yes,” complete Schedule J for such person . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section B. Independent Contractors

1 Complete this table for your five highest compensated independent contractors that received more than $100,000 ofcompensation from the organization. Report compensation for the calendar year ending with or within the organization's tax year.

2 Total number of independent contractors (including but not limited to those listed above) whoreceived more than $100,000 of compensation from the organization u

(A)Name and business address Description of services

(B) (C)Compensation

Individual trusteeor director

Institutional trustee

Officer

Key employee

employee

Former

Highest compensated

and relatedorganizations

thefrom other

from the

Estimatedamount of

(W-2/1099-MISC)organization

Reportablecompensation

Name and title(F)(E)(D)(C)(B)(A)

organization

compensation

line)

(list any

related

hours perAverage

hours for

week

below dottedorganizations

(W-2/1099-MISC)

Reportable

organizationsrelated

compensation from

uTotal from continuation sheets to Part VII, Section A . . . . . . . . . . .c

1b Sub-total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . u

(12)

(13)

(14)

(15)

(16)

(17)

(18)

(19)

(do not check more than onebox, unless person is both anofficer and a director/trustee)

Position

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

DENNIS MILLER

CHIEF EMPLYMNT OFF40.000.00 X 111,557 0 16,852

SANDRA VAUGHAN-ACTON

REAL ESTATE DIRECTOR40.000.00 X 109,625 0 35,587

RICARDO QUINTERO

PROJECT DIRECTOR40.000.00 X 109,059 0 18,997

KENNETH FISHER

HOUSING DIRECTOR40.000.00 X 105,224 0 10,437

435,465 81,873

09413690002 01/21/2014 8:02 AM

37

Form 990 (2012)

DAA

Form 990 (2012) Page 9Part VIII Statement of Revenue

(A) (B) (C) (D)

Total revenue Related or Unrelated Revenueexemptfunctionrevenue

businessrevenue

excluded from taxunder sections

512, 513, or 514

1a

b

c

d

e

f

g

h

Federated campaigns . . . . . .Membership dues . . . . . . . . . .Fundraising events . . . . . . . . .Related organizations . . . . . .Government grants (contributions) . . .All other contributions, gifts, grants,and similar amounts not included above

Noncash contributions included in lines 1a-1f:Total. Add lines 1a–1f . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1a

1b

1c

1d

1e

1f

u

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2a

g

f

e

d

c

b

All other program service revenue . . . . . . . . . .

$ . . . . . . . . . . . . . . . . . . . . .

uTotal. Add lines 2a–2f . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Co

ntr

ibu

tio

ns,

Gif

ts,

Gra

nts

an

d O

ther

Sim

ilar

Am

ou

nts

Pro

gram

Ser

vice

Rev

enue

3

4

5

6a

b

c

d

Investment income (including dividends, interest,and other similar amounts) . . . . . . . . . . . . . . . . . . . . . . . . . . .Income from investment of tax-exempt bond proceedsRoyalties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Gross rentsLess: rental exps.Rental inc. or (loss)Net rental income or (loss) . . . . . . . . . . . . . . . . . . . . . . . . . . .

u

u

u

Busn. Code

u

(i) Real (ii) Personal

(ii) Other(i) Securities

ud

c

b

7a Gross amount fromsales of assetsother than inventoryLess: cost or otherbasis & sales exps.Gain or (loss)Net gain or (loss) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

u

a

b

8a

b

c

Gross income from fundraising events(not includingof contributions reported on line 1c).See Part IV, line 18 . . . . . . . . . . . . . . . .

$ . . . . . . . . . . . . . . . . . . . . . .

Less: direct expenses . . . . . . . . . .Net income or (loss) from fundraising events . . . . . . . . .

Gross income from gaming activities.See Part IV, line 19 . . . . . . . . . . . . . . . .Less: direct expenses . . . . . . . . . .Net income or (loss) from gaming activities . . . . . . . . . .

Gross sales of inventory, lessreturns and allowances . . . . . . . . .Less: cost of goods sold . . . . . . . .Net income or (loss) from sales of inventory . . . . . . . . .

11a

b

c

d

e

Total revenue. See instructions. . . . . . . . . . . . . . . . . . . . . .

10a

9a

b

b

c

c

b

a

a

b

u

u

12

All other revenue . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Total. Add lines 11a–11d . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Busn. CodeMiscellaneous Revenue

u

Oth

er

Reven

ue

u

Check if Schedule O contains a response to any question in this Part VIII. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

159,114

8,464,208

20,426,2811,000,834

29,049,603

STUDENT HOUSING 8,344,009 8,344,009

UNIVERSITY PROGRAM SUPPORT 3,929,417 3,929,417

CONTINUING EDUCATION 3,904,899 3,904,899

UBIT - CONFER CENTER & LODGE 721000 1,157,119 1,157,119

CONFERENCE CENTER & LODGE 158,858 158,8587,950 7,950

17,502,252

2,929,346 2,929,346

2,662,0962,207,031455,065

455,065 455,065

46,565,431 1,020,000

46,788,828 1,039,990-223,397 -19,990

-243,387 -19,990 -223,397

159,114

345,936340,375

5,561

23,1172,585

20,532 20,532

28,627,68313,752,651

14,875,032 14,108,975 766,057

64,594,004 30,901,765 1,931,126 2,705,949

09413690002 01/21/2014 8:02 AM

38

Statement of Functional ExpensesPart IXPage 10Form 990 (2012)

DAA Form 990 (2012)

Section 501(c)(3) and 501(c)(4) organizations must complete all columns. All other organizations must complete column (A).

Do not include amounts reported on lines 6b,

7b, 8b, 9b, and 10b of Part VIII.

1

2

3

4

5

6

7

8

9

10

11

a

b

c

d

e

f

g

12

13

14

15

16

17

18

19

20

21

22

23

24

a

b

c

d

e

25

26

Grants and other assistance to governments andorganizations in the U.S. See Part IV, line 21 . . . . . .Grants and other assistance to individuals inthe U.S. See Part IV, line 22 . . . . . . . . . . . . . . . . .Grants and other assistance to governments,organizations, and individuals outside theU.S. See Part IV, lines 15 and 16 . . . . . . . . . . . .Benefits paid to or for members . . . . . . . . . . . . .Compensation of current officers, directors,trustees, and key employees . . . . . . . . . . . . . . . .Compensation not included above, to disqualifiedpersons (as defined under section 4958(f)(1)) andpersons described in section 4958(c)(3)(B) . . . . . . . .Other salaries and wages . . . . . . . . . . . . . . . . . . .Pension plan accruals and contributions (includesection 401(k) and 403(b) employer contributions)Other employee benefits . . . . . . . . . . . . . . . . . . . . .Payroll taxes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Fees for services (non-employees):Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Legal . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Accounting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Lobbying . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Professional fundraising services. See Part IV, line 17Investment management fees . . . . . . . . . . . . . . .Other. (If line 11g amount exceeds 10% of line 25, column

Advertising and promotion . . . . . . . . . . . . . . . . . . .Office expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Information technology . . . . . . . . . . . . . . . . . . . . . .Royalties . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Occupancy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Travel . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Payments of travel or entertainment expensesfor any federal, state, or local public officialsConferences, conventions, and meetings . . .Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Payments to affiliates . . . . . . . . . . . . . . . . . . . . . . . .Depreciation, depletion, and amortization . . .Insurance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Other expenses. Itemize expenses not coveredabove (List miscellaneous expenses in line 24e. Ifline 24e amount exceeds 10% of line 25, column(A) amount, list line 24e expenses on Schedule O.)

All other expenses . . . . . . . . . . . . . . . . . . . . . . . . . . .Total functional expenses. Add lines 1 through 24e . . . . .

fundraising solicitation. Check here u if

organization reported in column (B) joint costsfrom a combined educational campaign and

following SOP 98-2 (ASC 958-720) . . . . . . . . . . . . . . .

(A) (B) (C) (D)Total expenses Program service Management and

general expensesexpensesFundraisingexpenses

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Check if Schedule O contains a response to any question in this Part IX . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Joint costs. Complete this line only if the

(A) amount, list line 11g expenses on Schedule O.) . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

3,662,792 3,662,792

3,184,686 3,184,686

392,564 392,564

16,093,043 14,116,224 1,970,928 5,891

1,574,387 1,348,591 225,7962,608,425 1,604,066 999,642 4,717

812,227 695,490 116,447 290

105,799 29,510 18,635 57,654137,596 7,528 126,088 3,980

59,889 19,940 39,949

3,310,820 2,993,245 228,447 89,128301,214 162,441 56,733 82,040

4,556,276 4,117,775 241,965 196,536376,752 211,546 163,728 1,478436,093 436,093988,708 938,214 45,542 4,952

1,026,916 937,714 17,157 72,045

130,785 104,083 9,130 17,5721,462,900 1,462,367 533

2,799,804 2,675,945 123,859245,773 260,606 46,065 -60,898

Endowment Transfers 1,976,744 1,976,744Miscellaneous 1,866,851 1,521,012 74,138 271,701Utilities 1,239,428 1,191,362 48,066Meals & Entertainment 1,146,696 949,334 15,194 182,168

2,871,027 2,240,747 627,614 2,66653,368,195 46,848,055 5,588,220 931,920

09413690002 01/21/2014 8:02 AM

39

Form 990 (2012)

DAA

Form 990 (2012) Page 11Part X Balance Sheet

(A) (B)

Beginning of year End of year

1

2

3

4

5

6

7

8

9

10a

b

11

12

13

14

15

16

17

18

19

20

21

22

23

24

25

26

27

28

29

30

31

32

33

34

22

21

20

19

18

17

16

15

14

13

12

11

10c

9

8

7

6

5

4

3

2

1

29

28

27

26

25

24

23

34

33

32

31

30

Cash—non-interest bearing . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Savings and temporary cash investments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Pledges and grants receivable, net . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Accounts receivable, net . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Loans and other receivables from current and former officers, directors,trustees, key employees, and highest compensated employees.

Loans and other receivables from other disqualified persons (as defined under section4958(f)(1)), persons described in section 4958(c)(3)(B), and contributing employers and

Notes and loans receivable, net . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Inventories for sale or use . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Prepaid expenses and deferred charges . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Land, buildings, and equipment: cost or

Less: accumulated depreciation . . . . . . . . . . . . . . . . . . . . . . . .Investments—publicly traded securities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Investments—other securities. See Part IV, line 11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Investments—program-related. See Part IV, line 11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Intangible assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Other assets. See Part IV, line 11 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total assets. Add lines 1 through 15 (must equal line 34) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Accounts payable and accrued expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Grants payable . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Deferred revenue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Tax-exempt bond liabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Escrow or custodial account liability. Complete Part IV of Schedule D . . . . . . . . . . . . . . . . . . .Loans and other payables to current and former officers, directors,trustees, key employees, highest compensated employees, and disqualified persons. Complete Part II of Schedule L . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Secured mortgages and notes payable to unrelated third parties . . . . . . . . . . . . . . . . . . . . . . . .Unsecured notes and loans payable to unrelated third parties . . . . . . . . . . . . . . . . . . . . . . . . . . .Other liabilities (including federal income tax, payables to related third

Total liabilities. Add lines 17 through 25 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Organizations that follow SFAS 117 (ASC 958), check here u

complete lines 27 through 29, and lines 33 and 34.

and

Unrestricted net assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Temporarily restricted net assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Permanently restricted net assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

complete lines 30 through 34.

Organizations that do not follow SFAS 117 (ASC 958), check here u

Capital stock or trust principal, or current funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Paid-in or capital surplus, or land, building, or equipment fund . . . . . . . . . . . . . . . . . . . . . . . . . . .Retained earnings, endowment, accumulated income, or other funds . . . . . . . . . . . . . . . . . . .Total net assets or fund balances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total liabilities and net assets/fund balances . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Assets

Lia

bilit

ies

Net

Assets

or

Fu

nd

Bala

nces

10a

10b

Complete Part II of Schedule L . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

other basis. Complete Part VI of Schedule D . . . . . . . . . . .

and

sponsoring organizations of section 501(c)(9) voluntary employees' beneficiaryorganizations (see instructions). Complete Part II of Schedule L . . . . . . . . . . . . . . . . . . . . . . . . .

of Schedule D . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

parties, and other liabilities not included on lines 17-24). Complete Part X

Check if Schedule O contains a response to any question in this Part X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

2,630,464 5,043,5239,392,901 1,271,829

11,033,363 10,119,8933,793,170 4,178,428

1,978,683 1,844,311154,744 208,798

96,904,71141,857,511 56,540,313 55,047,200

80,620,164 104,948,910

1,198,567 933,938691,217 712,500

168,033,586 184,309,3305,401,590 5,154,1862,982,287 3,384,3161,101,951 1,209,234

29,730,533 28,929,218

1,426,463 1,589,99640,642,824 40,266,950

X

38,034,105 39,153,89738,254,244 35,616,62251,102,413 69,271,861

127,390,762 144,042,380168,033,586 184,309,330

09413690002 01/21/2014 8:02 AM

40

OtherAccrualCash

3b

3a

2c

2b

2a

NoYes

If “Yes,” did the organization undergo the required audit or audits? If the organization did not undergo thethe Single Audit Act and OMB Circular A-133? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

As a result of a federal award, was the organization required to undergo an audit or audits as set forth in

of the audit, review, or compilation of its financial statements and selection of an independent accountant? . . . . . . . . . . . . . . . . . . . . . . . . . . .

If “Yes” to line 2a or 2b, does the organization have a committee that assumes responsibility for oversight

Were the organization's financial statements audited by an independent accountant? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Were the organization's financial statements compiled or reviewed by an independent accountant? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Accounting method used to prepare the Form 990:

b

3a

c

b

2a

1

Part XII Financial Statements and Reporting

Page 12Form 990 (2012)

DAA

Form 990 (2012)

If the organization changed its method of accounting from a prior year or checked “Other,” explain inSchedule O.

If the organization changed either its oversight process or selection process during the tax year, explain inSchedule O.

required audit or audits, explain why in Schedule O and describe any steps taken to undergo such audits . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Reconciliation of Net AssetsPart XICheck if Schedule O contains a response to any question in this Part XI . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

11 Total revenue (must equal Part VIII, column (A), line 12) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total expenses (must equal Part IX, column (A), line 25) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2 2

3

4

9

10

Check if Schedule O contains a response to any question in this Part XII . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

3 Revenue less expenses. Subtract line 2 from line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Net assets or fund balances at beginning of year (must equal Part X, line 33, column (A)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Other changes in net assets or fund balances (explain in Schedule O) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Net assets or fund balances at end of year. Combine lines 3 through 9 (must equal Part X, line33, column (B)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4

5

6

5

6

7

88

7

9

10

Net unrealized gains (losses) on investments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Donated services and use of facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Investment expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Prior period adjustments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

If "Yes," check a box below to indicate whether the financial statements for the year were compiled orreviewed on a separate basis, consolidated basis, or both:

Separate basis Consolidated basis Both consolidated and separate basis

Both consolidated and separate basisConsolidated basisSeparate basisseparate basis, consolidated basis, or both:If "Yes," check a box below to indicate whether the financial statements for the year were audited on a

CAL POLY POMONA FOUNDATION, INC 95-2417645

64,594,00453,368,19511,225,809

127,390,7625,425,809

144,042,380

X

X

X

X

X

X

X

09413690002 01/21/2014 8:02 AM

41

Employer identification number

DAA

Name of the organization

Internal Revenue ServiceDepartment of the Treasury

OMB No. 1545-0047

For Paperwork Reduction Act Notice, see the Instructions for

u Attach to Form 990 or Form 990-EZ.

Complete if the organization is a section 501(c)(3) organization or a section

(Form 990 or 990-EZ)

Reason for Public Charity Status (All organizations must complete this part.) See instructions.Part I

SCHEDULE A Public Charity Status and Public Support2012

(i) Name of supported

Open to Public

Inspection

The organization is not a private foundation because it is: (For lines 1 through 11, check only one box.)1

2

3

4

5

6

7

A church, convention of churches, or association of churches described in section 170(b)(1)(A)(i).

A school described in section 170(b)(1)(A)(ii). (Attach Schedule E.)A hospital or a cooperative hospital service organization described in section 170(b)(1)(A)(iii).

A medical research organization operated in conjunction with a hospital described in section 170(b)(1)(A)(iii). Enter the hospital's name,city, and state: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .An organization operated for the benefit of a college or university owned or operated by a governmental unit described insection 170(b)(1)(A)(iv). (Complete Part II.)A federal, state, or local government or governmental unit described in section 170(b)(1)(A)(v).

An organization that normally receives a substantial part of its support from a governmental unit or from the general publicdescribed in section 170(b)(1)(A)(vi). (Complete Part II.)A community trust described in section 170(b)(1)(A)(vi). (Complete Part II.)8

9 An organization that normally receives: (1) more than 33 1/3% of its support from contributions, membership fees, and grossreceipts from activities related to its exempt functions—subject to certain exceptions, and (2) no more than 33 1/3% of itssupport from gross investment income and unrelated business taxable income (less section 511 tax) from businessesacquired by the organization after June 30, 1975. See section 509(a)(2). (Complete Part III.)

10

11

An organization organized and operated exclusively to test for public safety. See section 509(a)(4).

An organization organized and operated exclusively for the benefit of, to perform the functions of, or to carry out thepurposes of one or more publicly supported organizations described in section 509(a)(1) or section 509(a)(2). See section

509(a)(3). Check the box that describes the type of supporting organization and complete lines 11e through 11h.a Type I Type IIb c Type III–Functionally integrated Type III–Non-functionally integratedd

e By checking this box, I certify that the organization is not controlled directly or indirectly by one or more disqualified personsother than foundation managers and other than one or more publicly supported organizations described in section 509(a)(1)or section 509(a)(2).

f If the organization received a written determination from the IRS that it is a Type I, Type II, or Type III supportingorganization, check this box . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

g Since August 17, 2006, has the organization accepted any gift or contribution from any of thefollowing persons?(i) A person who directly or indirectly controls, either alone or together with persons described in (ii) and

(iii) below, the governing body of the supported organization? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(ii) A family member of a person described in (i) above? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .(iii) A 35% controlled entity of a person described in (i) or (ii) above? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

h Provide the following information about the supported organization(s).

organization(ii) EIN (iii) Type of organization

(described on lines 1–9above or IRC section governing document?

in col. (i) listed in your(iv) Is the organization

col. (i) of yourthe organization in(v) Did you notify

U.S.?

organization in col.(vi) Is the

(i) organized in the

Yes No NoYes Yes No

(vii) Amount of monetarysupport

11g(i)

11g(ii)

11g(iii)

Yes No

Total

Schedule A (Form 990 or 990-EZ) 2012

4947(a)(1) nonexempt charitable trust.

u See separate instructions.

(see instructions)) support?

Form 990 or 990-EZ.

(E)

(D)

(C)

(B)

(A)

CAL POLY POMONA FOUNDATION, INC 95-2417645

X

XX

X

XXX

CALIFORNIA STATE POLYTECHNIC UNIVERSITY, POMONA95-4255659 5 X X X 1,007,532

1,007,532

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42

(Explain in Part IV.) . . . . . . . . . . . . . . . . . . . . . .

governmental unit or publicly

Section A. Public Support

Total support. Add lines 7 through 10

loss from the sale of capital assetsOther income. Do not include gain or

is regularly carried on . . . . . . . . . . . . . . . . . . .

activities, whether or not the businessNet income from unrelated business

rents, royalties and income from similarpayments received on securities loans,Gross income from interest, dividends,

line 1 that exceeds 2% of the amountsupported organization) included on

each person (other than aThe portion of total contributions byTotal. Add lines 1 through 3 . . . . . . . . . . . .

The value of services or facilities

to or expended on its behalf . . . . . . . . . . . .

organization's benefit and either paidTax revenues levied for the

First five years. If the Form 990 is for the organization’s first, second, third, fourth, or fifth tax year as a section 501(c)(3)Gross receipts from related activities, etc. (see instructions) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Amounts from line 4 . . . . . . . . . . . . . . . . . . . . .

Public support. Subtract line 5 from line 4.

include any "unusual grants.") . . . . . . . . . . .

membership fees received. (Do notGifts, grants, contributions, and

Page 2Schedule A (Form 990 or 990-EZ) 2012

13

12

11

9

8

6

4

3

2

1

(e) 2012(d) 2011(c) 2010(b) 2009(a) 2008

(Complete only if you checked the box on line 5, 7, or 8 of Part I or if the organization failed to qualify underSupport Schedule for Organizations Described in Sections 170(b)(1)(A)(iv) and 170(b)(1)(A)(vi)Part II

Calendar year (or fiscal year beginning in) u (f) Total

furnished by a governmental unit to theorganization without charge . . . . . . . . . . . . .

5

Section B. Total Support

7

sources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

10

organization, check this box and stop here . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section C. Computation of Public Support Percentage

12

14 Public support percentage for 2012 (line 6, column (f) divided by line 11, column (f)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Public support percentage from 2011 Schedule A, Part II, line 14 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .15

16a 33 1/3% support test—2012. If the organization did not check the box on line 13, and line 14 is 33 1/3% or more, check thisbox and stop here. The organization qualifies as a publicly supported organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

b 33 1/3% support test—2011. If the organization did not check a box on line 13 or 16a, and line 15 is 33 1/3% or more,check this box and stop here. The organization qualifies as a publicly supported organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .10%-facts-and-circumstances test—2012. If the organization did not check a box on line 13, 16a, or 16b, and line 14 is17a

10% or more, and if the organization meets the “facts-and-circumstances” test, check this box and stop here. Explain inPart IV how the organization meets the “facts-and-circumstances” test. The organization qualifies as a publicly supported

b 10%-facts-and-circumstances test—2011. If the organization did not check a box on line 13, 16a, 16b, or 17a, and line

Explain in Part IV how the organization meets the “facts-and-circumstances” test. The organization qualifies as a publicly15 is 10% or more, and if the organization meets the “facts-and-circumstances” test, check this box and stop here.

18 Private foundation. If the organization did not check a box on line 13, 16a, 16b, 17a, or 17b, check this box and see

14

15

%

%

DAA

Schedule A (Form 990 or 990-EZ) 2012

Calendar year (or fiscal year beginning in) u (f) Total

Part III. If the organization fails to qualify under the tests listed below, please complete Part III.)

(a) 2008 (b) 2009 (c) 2010 (d) 2011 (e) 2012

shown on line 11, column (f) . . . . . . . . . . . .

organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

supported organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

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43

Section B. Total Support

unrelated trade or business under section 513

Part III Support Schedule for Organizations Described in Section 509(a)(2)(Complete only if you checked the box on line 9 of Part I or if the organization failed to qualify under Part II.

1

2

3

6

8

Schedule A (Form 990 or 990-EZ) 2012 Page 3

Gifts, grants, contributions, and membershipfees received. (Do not include any "unusual

Public support (Subtract line 7c from

Gross receipts from admissions, merchandisesold or services performed, or facilitiesfurnished in any activity that is related to the

Gross receipts from activities that are not an

Total. Add lines 1 through 5 . . . . . . . . . . . .

Section A. Public Support

organization’s tax-exempt purpose . . . . . . . . . . .

Tax revenues levied for the4

organization's benefit and either paidto or expended on its behalf . . . . . . . . . . . . .

organization without charge . . . . . . . . . . . . .

furnished by a governmental unit to the5 The value of services or facilities

Amounts included on lines 1, 2, and 37areceived from disqualified persons . . . . . .

Amounts included on lines 2 and 3breceived from other than disqualifiedpersons that exceed the greater of $5,000or 1% of the amount on line 13 for the year . . . .

c Add lines 7a and 7b . . . . . . . . . . . . . . . . . . . . .

Amounts from line 6 . . . . . . . . . . . . . . . . . . . . .9

royalties and income from similar sources . . . . .

payments received on securities loans, rents,10a Gross income from interest, dividends,

Unrelated business taxable income (lessbsection 511 taxes) from businessesacquired after June 30, 1975 . . . . . . . . . . . .

c Add lines 10a and 10b . . . . . . . . . . . . . . . . . .

Net income from unrelated business11activities not included in line 10b, whetheror not the business is regularly carried on . . . . .

(Explain in Part IV.) . . . . . . . . . . . . . . . . . . . . . .

loss from the sale of capital assets12 Other income. Do not include gain or

Total support. (Add lines 9, 10c, 11,13

14 First five years. If the Form 990 is for the organization’s first, second, third, fourth, or fifth tax year as a section 501(c)(3)organization, check this box and stop here . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Section C. Computation of Public Support Percentage

Public support percentage from 2011 Schedule A, Part III, line 15 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

15 Public support percentage for 2012 (line 8, column (f) divided by line 13, column (f)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .16

Section D. Computation of Investment Income Percentage

18

Investment income percentage for 2012 (line 10c, column (f) divided by line 13, column (f)) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .17

Investment income percentage from 2011 Schedule A, Part III, line 17 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

17 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization . . . . . . . . . . . . . . . . . . . . . .

33 1/3% support tests—2012. If the organization did not check the box on line 14, and line 15 is more than 33 1/3%, and line19a

b 33 1/3% support tests—2011. If the organization did not check a box on line 14 or line 19a, and line 16 is more than 33 1/3%, andline 18 is not more than 33 1/3%, check this box and stop here. The organization qualifies as a publicly supported organization . . . . . . . . . . . . . . . . . .

20 Private foundation. If the organization did not check a box on line 14, 19a, or 19b, check this box and see instructions . . . . . . . . . . . . . . . . . . . . . . . . . . .

%%

16

15

17

18

%%

DAA

Schedule A (Form 990 or 990-EZ) 2012

(f) Total(a) 2008 (b) 2009 (c) 2010 (d) 2011 (e) 2012

(f) Total

line 6.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Calendar year (or fiscal year beginning in) u

Calendar year (or fiscal year beginning in) u

and 12.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

If the organization fails to qualify under the tests listed below, please complete Part II.)

(e) 2012(d) 2011(c) 2010(b) 2009(a) 2008

grants.") . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

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Page 4Schedule A (Form 990 or 990-EZ) 2012

Part II, line 17a or 17b; and Part III, line 12. Also complete this part for any additional information. (SeeSupplemental Information. Complete this part to provide the explanations required by Part II, line 10;Part IV

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Schedule A (Form 990 or 990-EZ) 2012DAA

instructions).

CAL POLY POMONA FOUNDATION, INC 95-2417645

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45

DAA

Internal Revenue ServiceDepartment of the Treasury

OMB No. 1545-0047

Schedule C (Form 990 or 990-EZ) 2012

(Form 990 or 990-EZ)

For Organizations Exempt From Income Tax Under section 501(c) and section 527

SCHEDULE C Political Campaign and Lobbying Activities

2012Open to Public

Inspection

If the organization answered “Yes,” to Form 990, Part IV, line 3, or Form 990-EZ, Part V, line 46 (Political Campaign Activities), then

Section 501(c)(3) organizations: Complete Parts I-A and B. Do not complete Part I-C.Section 501(c) (other than section 501(c)(3)) organizations: Complete Parts I-A and C below. Do not complete Part I-B.Section 527 organizations: Complete Part I-A only.

If the organization answered “Yes,” to Form 990, Part IV, line 4, or Form 990-EZ, Part VI, line 47 (Lobbying Activities), then

Section 501(c)(3) organizations that have filed Form 5768 (election under section 501(h)): Complete Part II-A. Do not complete Part II-B.Section 501(c)(3) organizations that have NOT filed Form 5768 (election under section 501(h)): Complete Part II-B. Do not complete Part II-A.

If the organization answered “Yes,” to Form 990, Part IV, line 5 (Proxy Tax) or Form 990-EZ, Part V, line 35c (Proxy Tax), then

Section 501(c)(4), (5), or (6) organizations: Complete Part III.

Employer identification numberName of organization

Part I-A Complete if the organization is exempt under section 501(c) or is a section 527 organization.

Enter the amount of any excise tax incurred by the organization under section 4955 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Enter the amount of any excise tax incurred by organization managers under section 4955 . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If the organization incurred a section 4955 tax, did it file Form 4720 for this year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Was a correction made? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If “Yes,” describe in Part IV.

Provide a description of the organization’s direct and indirect political campaign activities in Part IV.Political expenditures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Volunteer hours . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1

2

3

Part I-B Complete if the organization is exempt under section 501(c)(3).

3

2

1

4a

b

Part I-C Complete if the organization is exempt under section 501(c), except section 501(c)(3).

Enter the amount directly expended by the filing organization for section 527 exempt functionactivities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Enter the amount of the filing organization’s funds contributed to other organizations for section527 exempt function activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total exempt function expenditures. Add lines 1 and 2. Enter here and on Form 1120-POL,line 17b . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the filing organization file Form 1120-POL for this year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Enter the names, addresses and employer identification number (EIN) of all section 527 political organizations to which the filingorganization made payments. For each organization listed, enter the amount paid from the filing organization’s funds. Also enterthe amount of political contributions received that were promptly and directly delivered to a separate political organization, suchas a separate segregated fund or a political action committee (PAC). If additional space is needed, provide information in Part IV.

4

1

2

3

5

Yes No

NoYes

Yes No

(a) Name (b) Address (c) EIN (d) Amount paid fromfiling organization’s

funds. If none, enter -0-.

(e) Amount of politicalcontributions received and

promptly and directlydelivered to a separatepolitical organization. If

none, enter -0-.

For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ.

$ . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$ . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$ . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$ . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$ . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$ . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

u Complete if the organization is described below. u Attach to Form 990 or Form 990-EZ.

u

u

u

u

u

u

u See separate instructions.

•••

••

•

(1)

(2)

(3)

(4)

(5)

(6)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

09413690002 01/21/2014 8:02 AM

46

section 501(h)).Complete if the organization is exempt under section 501(c)(3) and filed Form 5768 (election underPart II-A

Schedule C (Form 990 or 990-EZ) 2012 Page 2

Schedule C (Form 990 or 990-EZ) 2012

DAA

A Check

CheckB

if the filing organization belongs to an affiliated group (and list in Part IV each affiliated group member's

if the filing organization checked box A and “limited control” provisions apply.Limits on Lobbying Expenditures

(The term “expenditures” means amounts paid or incurred.)

(a) Filingorganization's totals

(b) Affiliatedgroup totals

Total lobbying expenditures to influence public opinion (grass roots lobbying) . . . . . . . . . . . . . . . . . . . . . .Total lobbying expenditures to influence a legislative body (direct lobbying) . . . . . . . . . . . . . . . . . . . . . . . .Total lobbying expenditures (add lines 1a and 1b) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Other exempt purpose expenditures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total exempt purpose expenditures (add lines 1c and 1d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Lobbying nontaxable amount. Enter the amount from the following table in bothcolumns.If the amount on line 1e, column (a) or (b) is:

Not over $500,000

Over $500,000 but not over $1,000,000

Over $1,000,000 but not over $1,500,000

Over $1,500,000 but not over $17,000,000

The lobbying nontaxable amount is:

20% of the amount on line 1e.

$100,000 plus 15% of the excess over $500,000.

$175,000 plus 10% of the excess over $1,000,000.

$225,000 plus 5% of the excess over $1,500,000.

Over $17,000,000 $1,000,000.

1a

b

c

d

e

f

g

h

i

j

Grassroots nontaxable amount (enter 25% of line 1f) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Subtract line 1g from line 1a. If zero or less, enter -0- . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Subtract line 1f from line 1c. If zero or less, enter -0- . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If there is an amount other than zero on either line 1h or line 1i, did the organization file Form 4720reporting section 4911 tax for this year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes No

4-Year Averaging Period Under Section 501(h)(Some organizations that made a section 501(h) election do not have to complete all of the five

columns below. See the instructions for lines 2a through 2f on page 4.)

Lobbying Expenditures During 4-Year Averaging Period

Calendar year (or fiscal yearbeginning in) (a) 2009 (b) 2010 (c) 2011 (d) 2012 (e) Total

2a

b

c

d

e

f

Lobbying nontaxable amount

Lobbying ceiling amount(150% of line 2a, column(e))

Total lobbying expenditures

Grassroots nontaxable amount

Grassroots ceiling amount(150% of line 2d, column (e))

Grassroots lobbying expenditures

u

u

name, address, EIN, expenses, and share of excess lobbying expenditures).

CAL POLY POMONA FOUNDATION, INC 95-2417645

5,775

5,77566,090,66366,096,438

1,000,000

250,00000

1,000,000 1,000,000

1,500,000

5,775 5,775

250,000 250,000

375,000

5,775 5,775

09413690002 01/21/2014 8:02 AM

47

Page 3Schedule C (Form 990 or 990-EZ) 2012

Part II-B Complete if the organization is exempt under section 501(c)(3) and has NOT filed Form 5768(election under section 501(h)).

AmountNo

(a) (b)

Yes

During the year, did the filing organization attempt to influence foreign, national, state or locallegislation, including any attempt to influence public opinion on a legislative matter orreferendum, through the use of:Volunteers? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Paid staff or management (include compensation in expenses reported on lines 1c through 1i)? . . . . . . . . . . . . . . . . . .Media advertisements? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Mailings to members, legislators, or the public? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Publications, or published or broadcast statements? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Grants to other organizations for lobbying purposes? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Direct contact with legislators, their staffs, government officials, or a legislative body? . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Rallies, demonstrations, seminars, conventions, speeches, lectures, or any similar means? . . . . . . . . . . . . . . . . . . . . . .Other activities? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total. Add lines 1c through 1i . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the activities in line 1 cause the organization to be not described in section 501(c)(3)? . . . . . . . . . . . . . . . . . . . . . . . .If “Yes,” enter the amount of any tax incurred under section 4912 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If “Yes,” enter the amount of any tax incurred by organization managers under section 4912 . . . . . . . . . . . . . . . . . . . . . .If the filing organization incurred a section 4912 tax, did it file Form 4720 for this year? . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1

a

b

c

d

e

f

g

h

i

j

2a

b

c

d

Part III-A Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section501(c)(6).

Yes No

Part III-B

Were substantially all (90% or more) dues received nondeductible by members? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization make only in-house lobbying expenditures of $2,000 or less? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization agree to carry over lobbying and political expenditures from the prior year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1

2

3

Complete if the organization is exempt under section 501(c)(4), section 501(c)(5), or section501(c)(6) and if either (a) BOTH Part III-A, lines 1 and 2, are answered “No,” OR (b) if Part III-A, line 3, isanswered “Yes.”

Dues, assessments and similar amounts from members . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Section 162(e) nondeductible lobbying and political expenditures (do not include amounts of

political expenses for which the section 527(f) tax was paid).

Aggregate amount reported in section 6033(e)(1)(A) notices of nondeductible section 162(e) dues . . . . . . . . . . . . . . . . . . . . .

Current year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Carryover from last year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

If notices were sent and the amount on line 2c exceeds the amount on line 3, what portion of theexcess does the organization agree to carryover to the reasonable estimate of nondeductible lobbyingand political expenditure next year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2

3

4

Taxable amount of lobbying and political expenditures (see instructions) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .5

1

a

b

c

Supplemental InformationPart IV

3

2

1

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Complete this part to provide the descriptions required for Part I-A, line 1; Part I-B, line 4; Part I-C, line 5; Part II-A (affiliated grouplist); Part II-A, line 2; and Part II-B, line 1. Also, complete this part for any additional information.

Schedule C (Form 990 or 990-EZ) 2012DAA

1

2a

3

2b

2c

4

5

For each "Yes," response to lines 1a through 1i below, provide in Part IV a detailed description of the lobbying activity.

CAL POLY POMONA FOUNDATION, INC 95-2417645

Schedule C, Part II-A, Explanation of Four Year Averaging

This is the 1st year in which a section 501(h) election was made.

09413690002 01/21/2014 8:02 AM

48

Part IV Supplemental Information (continued)Schedule C (Form 990 or 990-EZ) 2012 Page 4

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DAA

Schedule C (Form 990 or 990-EZ) 2012

CAL POLY POMONA FOUNDATION, INC 95-2417645

09413690002 01/21/2014 8:03 AM

49

u Attach to Form 990. u See separate instructions.

Schedule D (Form 990) 2012

Conservation Easements. Complete if the organization answered “Yes” to Form 990, Part IV, line 7.

Does each conservation easement reported on line 2(d) above satisfy the requirements of section 170(h)(4)(B)

Number of states where property subject to conservation easement is located u . . . . . . . . . .

If the organization received or held works of art, historical treasures, or other similar assets for financial gain, provide the

2012Supplemental Financial StatementsSCHEDULE D

Part I Organizations Maintaining Donor Advised Funds or Other Similar Funds or Accounts. Complete if the

(Form 990)

Part IV, line 6, 7, 8, 9, 10, 11a, 11b, 11c, 11d, 11e, 11f, 12a, or 12b.

Employer identification number

OMB No. 1545-0047

Department of the TreasuryInternal Revenue Service

Name of the organization

u Complete if the organization answered “Yes,” to Form 990,

(a) Donor advised funds (b) Funds and other accounts

a

b

c

d

Total number of conservation easements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total acreage restricted by conservation easements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Number of conservation easements on a certified historic structure included in (a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Number of conservation easements included in (c) acquired after 8/17/06, and not on a

Assets included in Form 990, Part X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Revenues included in Form 990, Part VIII, line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Assets included in Form 990, Part X . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Held at the End of the Tax Year

organization answered “Yes” to Form 990, Part IV, line 6.

works of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance ofpublic service, provide, in Part XIII, the text of the footnote to its financial statements that describes these items.If the organization elected, as permitted under SFAS 116 (ASC 958), to report in its revenue statement and balance sheetworks of art, historical treasures, or other similar assets held for public exhibition, education, or research in furtherance ofpublic service, provide the following amounts relating to these items:(i)

(ii)

Revenues included in Form 990, Part VIII, line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1

2

3

4

5

6

Total number at end of year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Aggregate contributions to (during year) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Aggregate grants from (during year) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Aggregate value at end of year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization inform all donors and donor advisors in writing that the assets held in donor advisedfunds are the organization’s property, subject to the organization’s exclusive legal control? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Did the organization inform all grantees, donors, and donor advisors in writing that grant funds can be usedonly for charitable purposes and not for the benefit of the donor or donor advisor, or for any other purpose

Yes

Yes

No

No

Part II

Complete lines 2a through 2d if the organization held a qualified conservation contribution in the form of a conservation

Purpose(s) of conservation easements held by the organization (check all that apply).

2

1

easement on the last day of the tax year.

Preservation of land for public use (e.g., recreation or education)Protection of natural habitatPreservation of open space

Preservation of a certified historic structurePreservation of an historically important land area

Open to PublicInspection

tax year u . . . . . . . . . . . . . . . .

3 Number of conservation easements modified, transferred, released, extinguished, or terminated by the organization during the

4

5 Does the organization have a written policy regarding the periodic monitoring, inspection, handling ofviolations, and enforcement of the conservation easements it holds? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Staff and volunteer hours devoted to monitoring, inspecting, and enforcing conservation easements during the year6

7 Amount of expenses incurred in monitoring, inspecting, and enforcing conservation easements during the year

8

(i) and section 170(h)(4)(B)(ii)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

balance sheet, and include, if applicable, the text of the footnote to the organization’s financial statements that describes the9 In Part XIII, describe how the organization reports conservation easements in its revenue and expense statement, and

organization’s accounting for conservation easements.

NoYes

Yes No

Complete if the organization answered “Yes” to Form 990, Part IV, line 8.Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets.Part III

If the organization elected, as permitted under SFAS 116 (ASC 958), not to report in its revenue statement and balance sheet1a

b

2

following amounts required to be reported under SFAS 116 (ASC 958) relating to these items:a

b

$ . . . . . . . . . . . . . . . . . . . . . . . . . . . .$ . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$ . . . . . . . . . . . . . . . . . . . . . . . . . . . .$

DAAFor Paperwork Reduction Act Notice, see the Instructions for Form 990.

conferring impermissible private benefit? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

2a

2b

2c

2d

u . . . . . . . . . . . . . . . .

u $ . . . . . . . . . . . . . . . . . . . . . . . . . . .

u

u

u

u

historic structure listed in the National Register . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

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50

(a) Current year

Provide the estimated percentage of the current year end balance (line 1g, column (a)) held as:

Are there endowment funds not in the possession of the organization that are held and administered for the

Schedule D (Form 990) 2012

DAA

Schedule D (Form 990) 2012

line 9, or reported an amount on Form 990, Part X, line 21.

Amount

Organizations Maintaining Collections of Art, Historical Treasures, or Other Similar Assets (continued)Part IIIPage 2

Public exhibition

Using the organization’s acquisition, accession, and other records, check any of the following that are a significant use of its3

a

collection items (check all that apply):

Scholarly researchPreservation for future generations

b

c

e Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

d Loan or exchange programs

XIII.4 Provide a description of the organization’s collections and explain how they further the organization’s exempt purpose in Part

During the year, did the organization solicit or receive donations of art, historical treasures, or other similar5

assets to be sold to raise funds rather than to be maintained as part of the organization’s collection? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . NoYes

Part IV Escrow and Custodial Arrangements. Complete if the organization answered “Yes” to Form 990, Part IV,

Yes Noincluded on Form 990, Part X? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1a Is the organization an agent, trustee, custodian or other intermediary for contributions or other assets not

b If “Yes,” explain the arrangement in Part XIII and complete the following table:

Beginning balance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .c

d Additions during the year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Distributions during the year . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .e

f Ending balance . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Did the organization include an amount on Form 990, Part X, line 21? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2a

If “Yes,” explain the arrangement in Part XIII. Check here if the explanation has been provided in Part XIII . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .b

NoYes

Endowment Funds. Complete if the organization answered “Yes” to Form 990, Part IV, line 10.Part V

Contributions . . . . . . . . . . . . . . . . . . . . . . . . . . . .b

Beginning of year balance . . . . . . . . . . . . . . .1a

c Net investment earnings, gains, and

Grants or scholarships . . . . . . . . . . . . . . . . . . .d

e Other expenditures for facilities and

Administrative expenses . . . . . . . . . . . . . . . . .f

g End of year balance . . . . . . . . . . . . . . . . . . . . .

programs . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(b) Prior year (c) Two years back (d) Three years back (e) Four years back

c Temporarily restricted endowment u . . . . . . . . . . . . . . . . .

Permanent endowment u . . . . . . . . . . . . . . .b

2

a Board designated or quasi-endowment u . . . . . . . . . . . . . . . .%%

%

3a

organization by:(i)

(ii)

unrelated organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .related organizations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

If “Yes” to 3a(ii), are the related organizations listed as required on Schedule R? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .b

4 Describe in Part XIII the intended uses of the organization’s endowment funds.

Yes No

3a(i)

3a(ii)

3b

Part VI Land, Buildings, and Equipment. See Form 990, Part X, line 10.

1a

b

c

d

e

Land . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Buildings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Leasehold improvements . . . . . . . . . . . . . . . . . . . .Equipment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Total. Add lines 1a through 1e. (Column (d) must equal Form 990, Part X, column (B), line 10(c).) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(d) Book value(c) Accumulated(b) Cost or other basis(a) Cost or other basis

(investment) (other)

Description of property

1c

1d

1e

1f

u

losses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

depreciation

The percentages in lines 2a, 2b, and 2c should equal 100%.

CAL POLY POMONA FOUNDATION, INC 95-2417645

55,570,8589,451,215

6,688,965

35,321224,525

69,280,068

55,517,676

263,195

13,472196,541

55,402,155

87.0013.00

XX

6,471,542 6,471,54276,989,690 31,266,654 45,723,036

131,863 128,616 3,24713,311,616 10,462,241 2,849,375

55,047,200

09413690002 01/21/2014 8:03 AM

51

Cost or end-of-year market value

(b) Book value (c) Method of valuation:

Page 3Part VII Investments—Other Securities. See Form 990, Part X, line 12.

Schedule D (Form 990) 2012

Schedule D (Form 990) 2012

(a) Description of security or category

(including name of security)

Financial derivatives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Closely-held equity interests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Other . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Total. (Column (b) must equal Form 990, Part X, col. (B) line 12.)

(a) Description of investment type

Investments—Program Related. See Form 990, Part X, line 13.Part VIII(c) Method of valuation:(b) Book value

Cost or end-of-year market value

(b) Book value

Other Assets. See Form 990, Part X, line 15.(a) Description

Part IX

DAA

Part X(a) Description of liability

Other Liabilities. See Form 990, Part X, line 25.(b) Book value

FIN 48 (ASC 740) Footnote. In Part XIII, provide the text of the footnote to the organization’s financial statements that reports the organization'sliability for uncertain tax positions under FIN 48 (ASC 740). Check here if the text of the footnote has been provided in Part XIII . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Federal income taxes

u

uTotal. (Column (b) must equal Form 990, Part X, col. (B) line 13.)

Total. (Column (b) must equal Form 990, Part X, col. (B) line 15.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . u

Total. (Column (b) must equal Form 990, Part X, col. (B) line 25.) u

1.

2.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(1)

(A)(B)(C)(D)(E)(F)(G)(H)

(10)(9)(8)(7)(6)(5)(4)(3)(2)(1)

(1)(2)(3)(4)(5)(6)(7)(8)(9)

(10)

(10)(9)(8)(7)(6)(5)(4)(3)(2)(1)

(11)

(I). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)(2)

CAL POLY POMONA FOUNDATION, INC 95-2417645

UNITRUST LIABILITY 1,001,426DEPOSITS HELD IN CUSTODY FOR OTHERS 570,139LEASE OBLIGATIONS 18,431

1,589,996

X

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52

Reconciliation of Expenses per Audited Financial Statements With Expenses per Return

Reconciliation of Revenue per Audited Financial Statements With Revenue per Return

DAASchedule D (Form 990) 2012

Schedule D (Form 990) 2012Part XI

Page 4

Part XII

a

1 Total revenue, gains, and other support per audited financial statements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2

b

c

d

e

b

c

a

3

4

5

Amounts included on line 1 but not on Form 990, Part VIII, line 12:Net unrealized gains on investments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Donated services and use of facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Recoveries of prior year grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Other (Describe in Part XIII.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Add lines 2a through 2d . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Amounts included on Form 990, Part VIII, line 12, but not on line 1:

Investment expenses not included on Form 990, Part VIII, line 7b . . . . . . . . . . . . . . . . . . . . .Other (Describe in Part XIII.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Subtract line 2e from line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Add lines 4a and 4b . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Total revenue. Add lines 3 and 4c. (This must equal Form 990, Part I, line 12.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1

2a

2b

2c

2d

2e

3

4a

4b

4c

5

1

Add lines 4a and 4b . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Subtract line 2e from line 1 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Other (Describe in Part XIII.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Investment expenses not included on Form 990, Part VIII, line 7b . . . . . . . . . . . . . . . . . . . . .

Amounts included on Form 990, Part IX, line 25, but not on line 1:

Add lines 2a through 2d . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Other (Describe in Part XIII.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Other losses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Donated services and use of facilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Amounts included on line 1 but not on Form 990, Part IX, line 25:

5

4

3

a

c

b

e

Prior year adjustments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .c

b

2

Total expenses and losses per audited financial statements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .1

a

5

4c

4b

d

4a

3

2e

2d

2c

2b

2a

Part XIIIComplete this part to provide the descriptions required for Part II, lines 3, 5, and 9; Part III, lines 1a and 4; Part IV, lines 1b and 2b;Part V, line 4; Part X, line 2; Part XI, lines 2d and 4b; and Part XII, lines 2d and 4b. Also complete this part to provide any additional

Total expenses. Add lines 3 and 4c. (This must equal Form 990, Part I, line 18.) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

information.

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Supplemental Information

CAL POLY POMONA FOUNDATION, INC 95-2417645

84,765,686

5,425,809

14,745,87320,171,68264,594,004

64,594,004

68,114,068

14,745,87314,745,87353,368,195

53,368,195

Part X - FIN 48 Footnote

The Foundation is organized under the nonprofit public benefit laws of

California and is recognized as an exempt organization for both federal

and California purposes under Section SOI(c) (3) and 2370l(d),

respectively. The Foundation has evaluated its tax positions and the

certainty as to whether those tax positions will be sustained in the event

of an audit by taxing authorities at the federal and state levels. The

primary tax positions evaluated are related to the Foundation's continued

qualification as a tax­ exempt organization and whether there is

unrelated business income activities conducted that would be taxable.

Management has determined that all income tax positions are more likely

than not of being sustained upon potential audit or examination; therefore,

no disclosures of uncertain income tax positions are required. The

Foundation files informational tax returns in the U.S. federal

jurisdictions and the state of California. With few exceptions, the

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53

Page 5Part XIII Supplemental Information (continued)

Schedule D (Form 990) 2012

Schedule D (Form 990) 2012

DAA

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CAL POLY POMONA FOUNDATION, INC 95-2417645

statute of limitations for federal and California state purposes is

generally three and four years, respectively.

Part XI, Line 2d - Revenue Amounts Included in Financials - Other

RENTAL EXPENSES $ 2,207,031

FUNDRAISING EXPENSES $ 340,375

GAMING EXPENSES $ 2,585

COST OF GOODS SOLD $ 13,752,651

VARIOUS AMOUNTS $ -1,556,769

Part XII, Line 2d - Expense Amounts Included in Financials - Other

RENTAL EXPENSES $ 2,207,031

FUNDRAISING EXPENSES $ 340,375

GAMING EXPENSES $ 2,585

COST OF GOODS SOLD $ 13,752,651

VARIOUS AMOUNTS $ -1,556,769

Part XIII - Supplemental Financial Information

Permanent endowments are funds received from donors with the stipulation

that the principal remains intact and invested in perpetuity to produce

income that will be distributed and expended for purposes specified by the

donor.

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54

Internal Revenue ServiceDepartment of the Treasury

OMB No. 1545-0047

Employer identification number

u Attach to Form 990 or Form 990-EZ. u See separate instructions.

(Form 990 or 990-EZ)SCHEDULE G

Fundraising or Gaming ActivitiesSupplemental Information Regarding

Name of the organization

organization entered more than $15,000 on Form 990-EZ, line 6a.

2012Open to PublicInspection

Part IFundraising Activities. Complete if the organization answered “Yes” to Form 990, Part IV, line 17.

1 Indicate whether the organization raised funds through any of the following activities. Check all that apply.

Mail solicitations

Internet and email solicitations

Phone solicitations

In-person solicitations

Special fundraising events

Solicitation of government grants

Solicitation of non-government grants

2a Did the organization have a written or oral agreement with any individual (including officers, directors, trusteesor key employees listed in Form 990, Part VII) or entity in connection with professional fundraising services? . . . . . . . . . . . . . . . . . . . . . . . . . Yes No

compensated at least $5,000 by the organization.If “Yes,” list the ten highest paid individuals or entities (fundraisers) pursuant to agreements under which the fundraiser is to beb

(i) Name and address of individualor entity (fundraiser) (ii) Activity

NoYes

custody or

contributions?from activity

raiser have(iv) Gross receipts

fundraiser listed in(or retained by)

(v) Amount paid to (vi) Amount paid to(or retained by)

organization

Total . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

registration or licensing.List all states in which the organization is registered or licensed to solicit contributions or has been notified it is exempt from3

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

.

.

...

..Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Schedule G (Form 990 or 990-EZ) 2012DAA

control of

(iii) Did fund-

col. (i)

a

b

c

d

e

f

g

Complete if the organization answered “Yes” to Form 990, Part IV, lines 17, 18, or 19, or if the

Form 990-EZ filers are not required to complete this part.

1

2

3

6

5

4

8

9

10

7

CAL POLY POMONA FOUNDATION, INC 95-2417645

09413690002 01/21/2014 8:03 AM

55

Gaming. Complete if the organization answered “Yes” to Form 990, Part IV, line 19, or reported more

Schedule G (Form 990 or 990-EZ) 2012 Page 2

Fundraising Events. Complete if the organization answered “Yes” to Form 990, Part IV, line 18, or reportedPart II

events with gross receipts greater than $5,000.(a) Event #1 (b) Event #2 (c) Other events

(d) Total events

(add col. (a) through

(event type) (event type) (total number)

Rev

enue

Dire

ct E

xpen

ses

Gross receipts . . . . . . . . .1

2

3

4

5

Less: Contributions . . . .Gross income (line 1 minusline 2) . . . . . . . . . . . . . . . . . . .

Rent/facility costs . . . . . .

Noncash prizes . . . . . . . .

Cash prizes . . . . . . . . . . . .

Other direct expenses

Net income summary. Combine line 3, column (d), and line 10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Direct expense summary. Add lines 4 through 9 in column (d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

6

7

8

9

than $15,000 on Form 990-EZ, line 6a.Part III

Dire

ct E

xpen

ses

Rev

enue

8

7

6

5

4

3

2

1

Net gaming income summary. Combine line 1, column d, and line 7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Direct expense summary. Add lines 2 through 5 in column (d) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Rent/facility costs . . . . . .

Other direct expenses

Volunteer labor . . . . . . . .

Noncash prizes . . . . . . . .

Cash prizes . . . . . . . . . . . .

Gross revenue . . . . . . . . .

(a) Bingo(b) Pull tabs/instant

(c) Other gaming(d) Total gaming (add

col. (a) through col. (c))bingo/progressive bingo

Yes . . . . . . . . . . . . . . . .No

% %No

Yes . . . . . . . . . . . . . . . . %No

Yes . . . . . . . . . . . . . .

9

a

b

10a

b

Enter the state(s) in which the organization operates gaming activities: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Is the organization licensed to operate gaming activities in each of these states? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If “No,” explain:

Were any of the organization’s gaming licenses revoked, suspended or terminated during the tax year? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If “Yes,” explain:

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

DAA Schedule G (Form 990 or 990-EZ) 2012

col. (c))

( )

)(

10

11

Food and beverages . .

Entertainment . . . . . . . . .

Yes No

NoYes

more than $15,000 of fundraising event contributions and gross income on Form 990-EZ, lines 1 and 6b. List

CAL POLY POMONA FOUNDATION, INC 95-2417645

HOSPITALITY UNC TASTING AND AUC None

419,773 85,277 505,050

122,078 37,036 159,114

297,695 48,241 345,936

234,954 105,421 340,375

340,3755,561

23,117 23,117

2,585 2,585X 100.00

X X

2,585

20,532

CAX

X

09413690002 01/21/2014 8:03 AM

56

NoYes

Page 3Schedule G (Form 990 or 990-EZ) 2012

13

a

b

14

15a

b

c

16

17

a

b

Indicate the percentage of gaming activity operated in:The organization’s facility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .An outside facility . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Enter the name and address of the person who prepares the organization’s gaming/special events books andrecords:

Name u . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Address u . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Does the organization have a contract with a third party from whom the organization receives gamingrevenue? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .If “Yes,” enter the amount of gaming revenue received by the organization uamount of gaming revenue retained by the third party uIf “Yes,” enter name and address of the third party:

Gaming manager information:

Gaming manager compensation u

Description of services provided u . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Director/officer Employee Independent contractor

Mandatory distributions:Is the organization required under state law to make charitable distributions from the gaming proceeds toretain the state gaming license? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Enter the amount of distributions required under state law to be distributed to other exempt organizations orspent in the organization’s own exempt activities during the tax year u

%%

13a

13b

$ . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Schedule G (Form 990 or 990-EZ) 2012

DAA

$

$ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

$ . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . and the

Address u . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Name u . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Name u . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

.

Yes No

columns (iii) and (v), and Part III, lines 9, 9b, 10b, 15b, 15c, 16, and 17b, as applicable. Also complete thisPart IV Supplemental Information. Complete this part to provide the explanations required by Part I, line 2b,

part to provide any additional information (see instructions).

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes No

NoYes

formed to administer charitable gaming? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Is the organization a grantor, beneficiary or trustee of a trust or a member of a partnership or other entityDoes the organization operate gaming activities with nonmembers? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

12

11

CAL POLY POMONA FOUNDATION, INC 95-2417645X

X

100.00

DAVID F. PRENOVOST CPA3801 W. TEMPLE AVE BUILDING # 55POMONA CA 91768

X

X

09413690002 01/21/2014 8:03 AM

57

Name of the organization

Internal Revenue ServiceDepartment of the Treasury

OMB No. 1545-0047SCHEDULE I

Open to Public

Grants and Other Assistance to Organizations,

2012 Complete if the organization answered "Yes" to Form 990, Part IV, line 21 or 22.

Employer identification number

Inspection

Governments, and Individuals in the United States(Form 990)

Part I General Information on Grants and Assistance1

2

Does the organization maintain records to substantiate the amount of the grants or assistance, the grantees’ eligibility for the grants or assistance, andthe selection criteria used to award the grants or assistance? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . Yes NoDescribe in Part IV the organization’s procedures for monitoring the use of grant funds in the United States.

Grants and Other Assistance to Governments and Organizations in the United States. Complete if the organization answered “Yes” to Form 990,Part IIPart IV, line 21, for any recipient that received more than $5,000. Part II can be duplicated if additional space is needed.

1 (a) Name and address of organizationor government

(b) EIN (c) IRC

if applicable(d) Amount of cash (e) Amount of non-

cash assistance

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule I (Form 990) (2012)DAA

2

3

Enter total number of section 501(c)(3) and government organizations listed in the line 1 table . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Enter total number of other organizations listed in the line 1 table . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

u . . . . . . . . . . . . . . . . . . . . . . . . . . . .

u

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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(f) Method of valuation(book, FMV, appraisal,

other) non-cash assistance(g) Description of (h) Purpose of grant

or assistance

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

section

u Attach to Form 990.

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

grant

CAL POLY POMONA FOUNDATION, INC 95-2417645

X

CAL POLY POMONA UNIVERSITY3801 W. TEMPLE AVE.

POMONA CA 91768 95-4255659 3,662,792 BOOK EQUIPMENTSUPPORT UNIVERSITY

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58

FMV, appraisal, other)(e) Method of valuation (book,(d) Amount of

cash grant(c) Amount of(b) Number of(a) Type of grant or assistance

Grants and Other Assistance to Individuals in the United States. Complete if the organization answered “Yes” to Form 990, Part IV, line 22.Part IIIPart III can be duplicated if additional space is needed.

Schedule I (Form 990) (2012) Page 2

recipients non-cash assistance(f) Description of non-cash assistance

Part IV Supplemental Information. Complete this part to provide the information required in Part I, line 2, Part III, column (b), and any other additional

Schedule I (Form 990) (2012)DAA

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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1

2

3

4

5

6

7

information.

CAL POLY POMONA FOUNDATION, INC 95-2417645

GRANTS/CONTRACTS 1971 1,447,471

SCHOLARSHIPS 1568 1,426,119

STIPENDS 846 311,096

Part I, Line 2 - Procedures for Monitoring the Use of Grant Funds

All scholarship and other financial assistance payments are monitored by

the Financial Aid Department of California State Polytechnic University,

Pomona. The Foundation verifies and approves all eligibility requirements

relating to specific programs to assure compliance with project terms and

conditions and donor restrictions. Financial Aid also maintains records of

all financial assistance payments paid during the fiscal period. The

Foundation maintains all records associated with stipend payments.

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59

Check the appropriate box(es) if the organization provided any of the following to or for a person listed in Form1a

Questions Regarding CompensationPart I

InspectionOpen to Public

2012

u Attach to Form 990. u See separate instructions.

Name of the organization

Compensation InformationSCHEDULE J(Form 990)

Part IV, line 23.

Employer identification number

OMB No. 1545-0047

Department of the TreasuryInternal Revenue Service

Compensated Employeesu Complete if the organization answered "Yes" to Form 990,

Yes No

990, Part VII, Section A, line 1a. Complete Part III to provide any relevant information regarding these items.First-class or charter travelTravel for companionsTax indemnification and gross-up paymentsDiscretionary spending account Personal services (e.g., maid, chauffeur, chef)

Health or social club dues or initiation feesPayments for business use of personal residenceHousing allowance or residence for personal use

b If any of the boxes on line 1a are checked, did the organization follow a written policy regarding paymentor reimbursement or provision of all of the expenses described above? If "No," complete Part III to

directors, trustees, and the CEO/Executive Director, regarding the items checked in line 1a? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Did the organization require substantiation prior to reimbursing or allowing expenses incurred by all officers,2

1b

2

3 Indicate which, if any, of the following the filing organization uses to establish the compensation of theorganization’s CEO/Executive Director. Check all that apply. Do not check any boxes for methods used by a

Written employment contractCompensation survey or studyApproval by the board or compensation committeeForm 990 of other organizations

Independent compensation consultantCompensation committee

4 During the year, did any person listed in Form 990, Part VII, Section A, line 1a, with respect to the filing

Receive a severance payment or change-of-control payment? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .a

b Participate in, or receive payment from, a supplemental nonqualified retirement plan? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Participate in, or receive payment from, an equity-based compensation arrangement? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .c

4a

4b

4c

If "Yes" to any of lines 4a–c, list the persons and provide the applicable amounts for each item in Part III.

Only section 501(c)(3) and 501(c)(4) organizations must complete lines 5–9.

compensation contingent on the revenues of:For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any5

Any related organization? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .b

a The organization? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

If “Yes” to line 5a or 5b, describe in Part III.

Any related organization? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .b

a The organization? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

For persons listed in Form 990, Part VII, Section A, line 1a, did the organization pay or accrue any6

compensation contingent on the net earnings of:

5b

5a

6a

6b

payments not described in lines 5 and 6? If “Yes,” describe in Part III . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7 For persons listed in Form 990, Part VII, Section A, line 1a, did the organization provide any non-fixedIf “Yes” to line 6a or 6b, describe in Part III.

Were any amounts reported in Form 990, Part VII, paid or accrued pursuant to a contract that was subject8

to the initial contract exception described in Regulations section 53.4958-4(a)(3)? If “Yes,” describein Part III . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

7

8

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule J (Form 990) 2012

DAA

For certain Officers, Directors, Trustees, Key Employees, and Highest

9Regulations section 53.4958-6(c)? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

9 If "Yes" to line 8, did the organization also follow the rebuttable presumption procedure described in

explain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

organization or a related organization:

related organization to establish compensation of the CEO/Executive Director, but explain in Part III.

CAL POLY POMONA FOUNDATION, INC 95-2417645

XX

XXX

XX

XX

X

X

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60

DAA

Schedule J (Form 990) 2012

(A) Name and Title(B) Breakdown of W-2 and/or 1099-MISC compensation

Part II Officers, Directors, Trustees, Key Employees, and Highest Compensated Employees. Use duplicate copies if additional space is needed.Page 2Schedule J (Form 990) 2012

For each individual whose compensation must be reported in Schedule J, report compensation from the organization on row (i) and from related organizations, described in theinstructions, on row (ii). Do not list any individuals that are not listed on Form 990, Part VII.Note. The sum of columns (B)(i)–(iii) for each listed individual must equal the total amount of Form 990, Part VII, Section A, line 1a, applicable column (D) and (E) amounts for that individual.

(i) Basecompensation compensation

(ii) Bonus & incentive

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(iii) Otherreportable

(C) Retirement and

compensationbenefits

(D) Nontaxable (E) Total of columns(B)(i)–(D) reported as deferred in

(F) Compensation

prior Form 990

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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compensation

other deferred

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

(i)

(ii)

(ii)

(i)

(i)

(ii)

(ii)

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CAL POLY POMONA FOUNDATION, INC 95-2417645

J. MICHAEL ORTIZ 0 0 0 0 0 0 0CHAIRMAN 292,000 0 15,048 55,903 17,239 380,190 0EDWIN BARNES III 0 0 0 0 0 0 0DESIGNATED DIRECTOR 217,020 0 396 41,549 14,247 273,212 0MARTIN DENBOER 0 0 0 0 0 0 0DESIGNATED DIRECTOR 217,008 0 396 41,546 14,808 273,758 0RICHARD LAPIDUS 0 0 0 0 0 0 0DEAN MEMBER 205,008 0 138 39,349 19,418 263,913 0SCOTT WARRINGTON 0 0 0 0 0 0 0DESIGNATED DIRECTOR 183,180 0 138 35,070 19,418 237,806 0DOUGLAS FREER 0 0 0 0 0 0 0DESIGNATED DIRECTOR 181,500 0 90 34,748 15,997 232,335 0JOHN MCGUTHRY 0 0 0 0 0 0 0DESIGNATED DIRECTOR 175,008 0 90 33,505 19,840 228,443 0EDWARD MERITT 0 0 0 0 0 0 0FACULTY DIRECTOR 121,764 0 0 20,971 14,701 157,436 0DAVID SPEAK 0 0 0 0 0 0 0DESIGNATED DIRECTOR 115,649 0 0 19,082 19,733 154,464 0G. PAUL STOREY 174,153 0 0 33,954 13,320 221,427 0EXEC DIRECTOR 0 0 0 0 0 0 0DAVID PRENOVOST 136,489 0 0 32,929 1,719 171,137 0CHIEF FIN OFFICER 0 0 0 0 0 0 0BALZER ROBERT 234,042 0 0 26,952 5,123 266,117 0CAMPAIGN DIRECTOR 0 0 0 0 0 0 0

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61

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Schedule J (Form 990) 2012 Page 3Supplemental InformationPart III

Schedule J (Form 990) 2012

Complete this part to provide the information, explanation, or descriptions required for Part I, lines 1a, 1b, 3, 4a, 4b, 4c, 5a, 5b, 6a, 6b, 7, and 8, and for Part II.Also complete this part for any additional information.

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DAA

CAL POLY POMONA FOUNDATION, INC 95-2417645

09413690002 01/21/2014 8:03 AM

62

For Paperwork Reduction Act Notice, see the Instructions for Form 990.

DAA

Schedule K (Form 990) 2012

(a) Issuer name (b) Issuer EIN

.

behalf of(h) On

issuer

Part I Bond Issues

explanations, and any additional information in Part VI.

Employer identification numberName of the organization

Internal Revenue ServiceDepartment of the Treasury

OMB No. 1545-0047

u Complete if the organization answered "Yes" to Form 990, Part IV, line 24a. Provide descriptions,(Form 990)SCHEDULE K Supplemental Information on Tax-Exempt Bonds

Open to PublicInspection

A

(c) CUSIP # (d) Date issued (e) Issue price (f) Description of purpose (g) Defeased

Yes No NoYes

B .

.C

D .ProceedsPart II

1

2

3

4

5

6

7

8

9

10

11

12

Total proceeds of issue . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Gross proceeds in reserve funds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Proceeds in refunding escrows . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Other unspent proceeds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Issuance costs from proceeds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Working capital expenditures from proceeds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Capital expenditures from proceeds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Year of substantial completion . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Were the bonds issued as part of a current refunding issue? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Were the bonds issued as part of an advance refunding issue? . . . . . . . . . . . . . . . . . . . . . . . . . . .

Has the final allocation of proceeds been made? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Does the organization maintain adequate books and records to support the final allocation of proceeds?

Yes No

A B C D

Yes No NoYes Yes No

Part III Private Business UseDCBA

NoYesYes NoNoYesNoYes

Are there any lease arrangements that may result in private business use of2

1 Was the organization a partner in a partnership, or a member of an LLC,

2012u Attach to Form 990. u See separate instructions.

Amount of bonds legally defeased . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Amount of bonds retired . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

which owned property financed by tax-exempt bonds? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

17

16

15

14

13

bond-financed property? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Capitalized interest from proceeds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Credit enhancement from proceeds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Other spent proceeds . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes No

(i) Pooledfinancing

CAL POLY POMONA FOUNDATION, INC 95-2417645

CAL POLY POMONA FOUNDATION 95-2417645 03/14/07 3,350,000 During the 2006-07 f X X X

3,535,0003,535,000

192,320244,697

3,749,78310,101

27,133

2002

XXXX

X

X

CAL POLY POMONA FOUNDATION 95-2417645 04/14/05 28,570,000 During the 2003-04 f X X X

1,199,710

303,199

28,189,000174,741

2005

XX

XX

X

X

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Page 2Schedule K (Form 990) 2012

Private Business Use (Continued)Part III

1

3 Is the bond issue a variable rate issue? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

ArbitragePart IV

Schedule K (Form 990) 2012DAA

NoYesYes NoNoYesNo

Are there any research agreements that may result in private business use of

b

3a

bond-financed property? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

business use of bond-financed property? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Are there any management or service contracts that may result in private Yes

DCBA

outside counsel to review any research agreements relating to the financed property? . . . . . . .

c

If "Yes" to line 3c, does the organization routinely engage bond counsel or other

Enter the percentage of financed property used in a private business use by entities4

other than a section 501(c)(3) organization or a state or local government . . . . . . . . . . . . . . . . .

another section 501(c)(3) organization, or a state or local government . . . . . . . . .

result of unrelated trade or business activity carried on by your organization,5 Enter the percentage of financed property used in a private business use as a

Total of lines 4 and 5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .6

Has the organization established written procedures to ensure that all9

A B C D

Yes No Yes No NoYes Yes No

Has the organization or the governmental issuer entered into a qualifiedhedge with respect to the bond issue? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

4a

b Name of provider . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Term of hedge . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .c

u

u

Has the issuer filed Form 8038-T? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

%%

% %

%% %

%

% %

%%

d Was the hedge superintegrated? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Was the hedge terminated? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .e

If "Yes" to line 3a, does the organization routinely engage bond counsel or other outsidecounsel to review any management or service contracts relating to the financed property?

d

requirements under Regulations sections 1.141-12 and 1.145-2? . . . . . . . . . . . . . . .

rebate computation was performed . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

If you checked "No rebate due" in line 2c, provide in Part VI the date thec No rebate due? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Exception to rebate? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .b

a Rebate not due yet? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

If "No" to line 1, did the following apply? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .2

nonqualified bonds of the issue are remediated in accordance with the

c

sections 1.141-12 and 1.145-2? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

If “Yes” to line 8a, was any remedial action taken pursuant to Regulations

If “Yes” to line 8a, enter the percentage of bond-financed property sold ordisposed of . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

b

Has there been a sale or disposition of any of the bond-financed property to anongovernmental person other than a 501(c)(3) organization since the bonds were issued?

8a

7 Does the bond issue meet the private security or payment test? . . . . . . . . . . . . . . . . .

%%%%

CAL POLY POMONA FOUNDATION, INC 95-2417645

X

X

X

X

X

X

XXX

X

X

X

X

X

X

X

X

XXX

X

X

09413690002 01/21/2014 8:03 AM

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Part VI

DAA Schedule K (Form 990) 2012

Part IV Arbitrage (Continued)Schedule K (Form 990) 2012 Page 3

Supplemental Information. Complete this part to provide additional information for responses to questions on Schedule K (see instructions).under applicable regulations?

Procedures To Undertake Corrective ActionPart V

voluntary closing agreement program if self-remediation is not available

NoYesYes NoNoYesNoYes

DCBA

Has the organization established written procedures to ensure that violationsof federal tax requirements are timely identified and corrected through the

7 Has the organization established written procedures to monitor the

GIC satisfied? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Was the regulatory safe harbor for establishing the fair market value of thed

Were any gross proceeds invested beyond an available temporary period? . . . . .6

b Name of provider . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Term of GIC . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .c

Were gross proceeds invested in a guaranteed investment contract (GIC)? . . . . .5a

A B C D

Yes No Yes No NoYes Yes No

requirements of section 148? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

X

X

X

X

X

X

X

X

Schedule K - Purpose of Issue Description CAL POLY POMONA FOUNDATIONfacilities lease agreement (Capital Lease) with the State of California,acting through the Board of Trustees of the California State University(Board) to refund and defease a portion of the 2000 Series Bonds. TheBoard assisted the Foundation by issuing its System Revenue Bonds in 2006-07 and applied the proceeds totaling $3,749,783 of such Bonds to redeem the2000 series bonds maturing on and after 2013 through 2025 callable onFebruary 1, 2011. The Board leased the Project to the Foundation pursuantto the Capital Lease, subject to the following general terms andconditions: (i) the maximum annual debt service under the Capital Lease is$332,750 and the scheduled term of the Capital Lease is 18 years from March2007 through May 2025.

CAL POLY POMONA FOUNDATIONfacilities lease agreement (Capital Lease) with the State of California,acting through the Board of Trustees of the California State University(Board) and agreed to undertake the financing of certain capital costs withrespect to the University Village Phase III construction by the Board of anadditional 466 bed-spaces (the "Project") at the University Village studenthousing complex located at California State Polytechnic University, Pomona. The Board assisted the Foundation by issuing its System Revenue Bonds in2004-05 and applied the proceeds totaling $29,866,650 of such Bonds to theconstruction and acquisition of the Project by the Board; and leasing theProject to the Foundation pursuant to the Capital Lease, subject to thefollowing general terms and conditions: (i) the maximum annual debt serviceunder the Capital Lease is $1,830,625 and the scheduled term of the Capital

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DAA Schedule K (Form 990) 2012

Part VISchedule K (Form 990) 2012 Page 4

Supplemental Information. Complete this part to provide additional information for responses to questions on Schedule K (see instructions) (Continued)CAL POLY POMONA FOUNDATION, INC 95-2417645

Lease is 31 years from completion of the construction of the Project inSeptember 2005.

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66

Employer identification numberName of the organization

Internal Revenue ServiceDepartment of the Treasury

OMB No. 1545-0047

990, Part IV, lines 29 or 30.

(Form 990)

Types of PropertyPart I

u Complete if the organizations answered “Yes” on Form

SCHEDULE MNoncash Contributions

InspectionOpen To Public

2012

(a) (b)(c)

(d)

Check if

applicable

Number of contributions orNoncash contribution

Form 990, Part VIII, line 1g

Method of determining

noncash contribution amounts

1

2

3

4

5

6

7

8

9

10

11

12

13

14

15

16

17

18

19

20

21

22

23

25

24

26

27

28

Clothing and household

Cars and other vehicles . . . . . . . . . .

Art—Works of art . . . . . . . . . . . . . . . . .Art—Historical treasures . . . . . . . . . .Art—Fractional interests . . . . . . . . . .Books and publications . . . . . . . . . . .

Boats and planes . . . . . . . . . . . . . . . . .Intellectual property . . . . . . . . . . . . . . .Securities—Publicly traded . . . . . . .Securities—Closely held stock . . .Securities—Partnership, LLC,

goods . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

or trust interests . . . . . . . . . . . . . . . . . .Securities—Miscellaneous . . . . . . .Qualified conservationcontribution—Historicstructures . . . . . . . . . . . . . . . . . . . . . . . . .Qualified conservationcontribution—Other . . . . . . . . . . . . . . .Real estate—Residential . . . . . . . . .Real estate—Commercial . . . . . . . .Real estate—Other . . . . . . . . . . . . . . .Collectibles . . . . . . . . . . . . . . . . . . . . . . .Food inventory . . . . . . . . . . . . . . . . . . . .Drugs and medical supplies . . . . . .Taxidermy . . . . . . . . . . . . . . . . . . . . . . . .Historical artifacts . . . . . . . . . . . . . . . . .Scientific specimens . . . . . . . . . . . . . .Archeological artifacts . . . . . . . . . . . .Other u )

Number of Forms 8283 received by the organization during the tax year for contributions for29

which the organization completed Form 8283, Part IV, Donee Acknowledgement . . . . . . . . . . . . . . . . 29

30a During the year, did the organization receive by contribution any property reported in Part I, lines 1–28 thatYes No

30a

it must hold for at least three years from the date of the initial contribution, and which is not required to beused for exempt purposes for the entire holding period? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

b If “Yes,” describe the arrangement in Part II.Does the organization have a gift acceptance policy that requires the review of any non-standard31

contributions? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

contributions? . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

32a Does the organization hire or use third parties or related organizations to solicit, process, or sell noncash

If “Yes,” describe in Part II.b

If the organization did not report an amount in column (c) for a type of property for which column (a) is checked,33

describe in Part II.

31

32a

For Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule M (Form 990) (2012)

DAA

u Attach to Form 990.

( . . . . . . . . . . . . . . . . . . . . . . . . . . .( . . . . . . . . . . . . . . . . . . . . . . . . . . . )Other u

Other u )( . . . . . . . . . . . . . . . . . . . . . . . . . . .( . . . . . . . . . . . . . . . . . . . . . . . . . . .)Other u

items contributedamounts reported on

CAL POLY POMONA FOUNDATION, INC 95-2417645

X 2 1,000,834 MARKET PRICE

X

X

X

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67

DAA

Schedule M (Form 990) (2012)

Part II Supplemental Information. Complete this part to provide the information required by Part I, lines 30b, 32b,Schedule M (Form 990) (2012) Page 2

number of items received, or a combination of both. Also complete this part for any additional information.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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and 33, and whether the organization is reporting in Part I, column (b), the number of contributions, the

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

Part I, Line 32b - Third Party Used to Process Noncash Contributions

Securities broker, auction co., real estate agent

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68

Form 990 or 990-EZ or to provide any additional information.

Employer identification numberName of the organization

Internal Revenue ServiceDepartment of the Treasury

OMB No. 1545-0047

Complete to provide information for responses to specific questions on(Form 990 or 990-EZ)

SCHEDULE O Supplemental Information to Form 990 or 990-EZ2012

Open to PublicInspection

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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For Paperwork Reduction Act Notice, see the Instructions for Form 990 or 990-EZ. Schedule O (Form 990 or 990-EZ) (2012)

DAA

u Attach to Form 990 or 990-EZ.

CAL POLY POMONA FOUNDATION, INC 95-2417645

Form 990 - Organization's Mission or Most Significant Activities

The Cal Poly Pomona Foundation, Inc., established in 1966, is an integral

component of the educational mission of California State Polytechnic

University, Pomona,(University). In pursuit of this mission, the Foundation

is a partner in the University community which includes students, faculty,

staff, administrators, alumni and members of the larger community. The

Foundation exists to provide the highest level of service to these

constituencies. The role of the Foundation is to provide appropriate goods

and services at a reasonable and competitive price, to promote and

celebrate the cultural diversity of the University, to help foster and

maintain an effective learning environment, to provide educational

opportunities, to reflect an institutional image of competence and quality,

to encourage cooperative relations within the University community, to

provide advice on services and resources appropriate to educational needs,

to generate income that can augment University resources, to strengthen

University identity and to recognize and provide visibility for the

achievements of members of the University community. The Foundation is a

recognized auxiliary of the California State University System and conforms

to the California Code of Regulations, Title 5, Section 42400 et seq.

established by the Trustees of the California State University. The

University's administrative organization supervises the Foundation, as

required by Title 5, California Code of Regulations, Section 42402.

Form 990, Part III, Line 4d - All Other Accomplishment

STUDENT HOUSING - PROVIDE STUDENT HOUSING FOR THE

09413690002 01/21/2014 8:03 AM

69

DAA

Page 2Schedule O (Form 990 or 990-EZ) (2012)

DAA

Schedule O (Form 990 or 990-EZ) (2012)

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Name of the organization Employer identification number

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CAL POLY POMONA FOUNDATION, INC 95-2417645

CONVENIENCE OF STUDENTS AND RESIDENT LIFE ACTIVITIES

A. PROVIDE CONFERENCE CENTER AND LODGE FOR EDUCATIONALLY

RELATED ACTIVITIES

B. PROVIDE BOOKS, SUPPLIES, ETC. THROUGH THE BOOKSTORE

C. PROVIDE NON-CREDIT EDUCATIONALY RELATED COURSES

D. PROVIDE AGRICULTURAL-AID-TO-INSTRUCTION COURSES

Form 990, Part VI, Line 11b - Organization's Process to Review Form 990

At least two weeks prior to filing of the annual form 990, the Chief

Financial Officer shall distribute the final draft of the form to each

member of the Foundations' Board of Directors for their review and comment.

Comments or changes suggested by such Board member shall be forwarded to

the Foundation's Chief Financial Officer, who shall revise the form if

necessary and therafter submit it to the Internal Revenue Service for

filing.

Form 990, Part VI, Line 12c - Enforcement of Conflicts Policy

Per the Foundation's Conflict of Interest - Board of Directors Policy # 221

each year Board members are required to review the applicable portion of

the California Education and attest that they do not have any conflicting

financial interests.

If at any time, a Board member determines that a conflict of interest

exists, he/she will disclose the circumstances to the Executive Director of

the Cal Poly Pomona Foundation, Inc., immediately.

If any member of the Board of Directors is found to be in violation of this

Policy or the Financial Interest section of the California Education Code,

that member will be given a reasonable period of time to resolve the

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Name of the organization Employer identification number

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CAL POLY POMONA FOUNDATION, INC 95-2417645

conflict. In the event that the conflict can not be resolved in a manner

compliant with the California Education Code, the Director must resign from

the Board.

Per the Foundation's Conflict of Interest - Employees Policy # 222 all

management and other employees (including employees of California State

Polytechnic University, Pomona, independent contractors,

subcontractors, consultants, etc.) that have been designated as in

positions of decision making authority related to Foundation business

activities, are required to annually review the applicable portion of the

California Education Code and attest that they do not have any conflicting

financial interests.

Form 990, Part VI, Line 15a - Compensation Process for Top Official

The compensation (including benefits) of the organization's Executive

Director and Chief Financial Officer is subject to the Foundation's

Executive Compensation Policy # 126.

The Board of Directors shall review the compensation of the Executive

Director and Chief Financial Officer as follows:

1.The Board shall consider the compensation of comparable employment

positions paid by comparable organizations. The Board shall also take into

account any other relevant information and factors in determining the

reasonableness of executive compensation. The minutes shall reflect the

consideration of the Board as to the issue of executive compensation.

2.Only those members of the Board who are free of conflicts of interest may

be involved in evaluation of executive compensation.

3.The Board shall undertake this review process upon the hiring of a new

employee for executive director and chief financial officer, and upon the

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Name of the organization Employer identification number

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CAL POLY POMONA FOUNDATION, INC 95-2417645

modification of the compensation for such position, but in no case less

than annually.

Form 990, Part VI, Line 15b - Compensation Process for Officers

All employees have a written job description for which their performance is

measured annually using a point system. Both the employee and reporting

supervisor have an opportunity to provide input on the annual evaluation,

and a review of each evaluation is completed by an uninterested third party

within Employment Services. The overall point value determines the rate of

increase, if any. Compensation comparability is completed by using the AOA

Compensation Survey, which includes positions from as many as 50 other CSU

auxiliaries, and also includes a review of the published CSU Salary Letters

and their respective written job descriptions. Together we use this data

along with our own historical practices to develop our salary ranges, and

this analysis and the associated salary framework is conducted

independently within Employment Services, and ultimately reviewed and

approved by the Board of Directors, and documented accordingly.

Form 990, Part VI, Line 19 - Governing Documents Disclosure Explanation

The Foundation's govering documents, conflict of interest policy # 206 and

audited financial statements are available to the public on the

Foundation's website and upon request.

Form 990, Part XI, Line 9 - Reconciliation of Changes - Other

RENTAL EXPENSES $ 2,207,031

FUNDRAISING EXPENSES $ 340,375

GAMING EXPENSES $ 2,585

09413690002 01/21/2014 8:03 AM

72

DAA

Page 2Schedule O (Form 990 or 990-EZ) (2012)

DAA

Schedule O (Form 990 or 990-EZ) (2012)

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Name of the organization Employer identification number

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

CAL POLY POMONA FOUNDATION, INC 95-2417645

COST OF GOODS SOLD $ 13,752,651

VARIOUS AMOUNTS $ -1,556,769

RENTAL EXPENSES $ -2,207,031

FUNDRAISING EXPENSES $ -340,375

GAMING EXPENSES $ -2,585

COST OF GOODS SOLD $ -13,752,651

VARIOUS AMOUNTS $ 1,556,769

09413690002 01/21/2014 8:03 AM

73

Identification of Disregarded Entities (Complete if the organization answered "Yes" to Form 990, Part IV, line 33.)Part I

(Form 990)Related Organizations and Unrelated Partnerships

Employer identification number

Complete if the organization answered "Yes" to Form 990, Part IV, line 33, 34, 35, 36, or 37.

SCHEDULE R

Department of the TreasuryInternal Revenue Service

Name of the organization

See separate instructions.

Part II Identification of Related Tax–Exempt Organizations (Complete if the organization answered "Yes" to Form 990, Part IV, line 34 because it had

DAAFor Paperwork Reduction Act Notice, see the Instructions for Form 990. Schedule R (Form 990) 2012

OMB No. 1545-0047

Open to Public

2012Inspection

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(f)

Direct controllingentity

End-of-year assets(e)(d)

Total incomeor foreign country)

Legal domicile (state(c)(b)

Primary activityName, address, and EIN (if applicable) of disregarded entity(a)

(a)

Name, address, and EIN of related organization Primary activity(b) (c)

Legal domicile (stateor foreign country)

Exempt Code section(d) (e)

Public charity statusentity

Direct controlling(f)

(if section 501(c)(3))

Attach to Form 990.

one or more related tax-exempt organizations during the tax year.)

(1)

(2)

(3)

(4)

(5)

(5)

(4)

(3)

(2)

(1)

(g)Section 512(b)(13)controlled entity?

Yes No

CAL POLY POMONA FOUNDATION, INC 95-2417645

California State Polytechnic Univer3801 W. Temple Ave.,Pomona CA 91768

95-4255659State Univ CA 115 2 N/A X

09413690002 01/21/2014 8:03 AM

74

Schedule R (Form 990) 2012 Page 2

(e)(d)(c)(b)(a) (f)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Name, address, and EIN of Primary activity Legaldomicile(state orforeigncountry)

Direct controllingentity

Predominantincome (related,

unrelated,

Share of totalportionate

alloc.?

General ormanagingpartner?

Yes No NoYes

(g) (h)

.

Share of end-of-year assets

Dispro-

Part III Identification of Related Organizations Taxable as a Partnership (Complete if the organization answered "Yes" to Form 990, Part IV, line 34

(i)

of Schedule K-1

Code V—UBI(j)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Identification of Related Organizations Taxable as a Corporation or Trust (Complete if the organization answered "Yes" to Form 990, Part IV,Part IV

(g)(f)(a) (b) (c) (d) (e) (h)

Name, address, and EIN of related organization Primary activity Legal domicile(state or

foreign country)

Direct controllingentity

Type of entity(C corp, S corp,

or trust)

Share of total Share ofend-of-year assets

Percentageownership

Schedule R (Form 990) 2012DAA

amount in box 20

(Form 1065)

because it had one or more related organizations treated as a partnership during the tax year.)

excluded fromtax under

sections 512-514)

line 34 because it had one or more related organizations treated as a corporation or trust during the tax year.)

(4)

(3)

(2)

(1)

(1)

(2)

(3)

(4)

ownershipPercentage

(k)

income

income

related organization

512(b)(13)Section

(i)

entity?

Yes No

controlled

CAL POLY POMONA FOUNDATION, INC 95-2417645

09413690002 01/21/2014 8:03 AM

75

DAA

Transactions With Related Organizations (Complete if the organization answered “Yes” to Form 990, Part IV, line 34, 35b, or 36.)Part V

Page 3Schedule R (Form 990) 2012

Note. Complete line 1 if any entity is listed in Parts II, III, or IV of this schedule.1

a

b

c

d

e

f

g

h

i

j

k

l

m

n

o

p

q

s

During the tax year, did the organization engage in any of the following transactions with one or more related organizations listed in Parts II–IV?Receipt of (i) interest (ii) annuities (iii) royalties or (iv) rent from a controlled entity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Gift, grant, or capital contribution to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Gift, grant, or capital contribution from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Loans or loan guarantees to or for related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Loans or loan guarantees by related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Sale of assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Purchase of assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Exchange of assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Lease of facilities, equipment, or other assets to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Lease of facilities, equipment, or other assets from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Performance of services or membership or fundraising solicitations for related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Performance of services or membership or fundraising solicitations by related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Sharing of facilities, equipment, mailing lists, or other assets with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Sharing of paid employees with related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Reimbursement paid to related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Reimbursement paid by related organization(s) for expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Other transfer of cash or property to related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .Other transfer of cash or property from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1a

1b

1c

1d

1e

1f

1g

1h

1i

1j

1k

1l

1m

1n

1o

1p

1q

1s

Yes No

2 If the answer to any of the above is “Yes,” see the instructions for information on who must complete this line, including covered relationships and transaction thresholds.

Name of other organization Transactiontype (a–s)

Amount involved(c)(b)(a)

(1)

(2)

(3)

(4)

(5)

(6)

Schedule R (Form 990) 2012

(d)

Method of determining amount involved

Dividends from related organization(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

1rr

CAL POLY POMONA FOUNDATION, INC 95-2417645

XX

XXX

XXXX

X

XX

XX

X

XX

XX

Calif. State Polytechnic University j 764,999

Calif. State Polytechnic University p 10,657,142

Calif. State Polytechnic University q 11,623,476

Calif. State Polytechnic University b 3,662,792

09413690002 01/21/2014 8:03 AM

76

Schedule R (Form 990) 2012

Schedule R (Form 990) 2012 Page 4

Part VI Unrelated Organizations Taxable as a Partnership (Complete if the organization answered "Yes" to Form 990, Part IV, line 37.)

DAA

Provide the following information for each entity taxed as a partnership through which the organization conducted more than five percent of its activities (measured by total assetsor gross revenue) that was not a related organization. See instructions regarding exclusion for certain investment partnerships.

Name, address, and EIN of entity Primary activity Legaldomicile(state or

Are all partnerssection

501(c)(3)organizations?

Share ofend-of-year

assets

Disproportionateallocations?

Code V—UBIamount in box 20of Schedule K-1

General ormanagingpartner?

(a) (b) (c) (e) (g) (h) (i) (j)

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Yes No Yes No Yes No

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(Form 1065)

(1)

(2)

(3)

(4)

(5)

(6)

(7)

(8)

(9)

(10)

(11)

(d)

unrelated, excludedincome (related,

Predominant

from tax undersection 512-514)

foreigncountry)

(f)

total incomeShare of

(k)

ownershipPercentage

CAL POLY POMONA FOUNDATION, INC 95-2417645

09413690002 01/21/2014 8:03 AM

77

Supplemental InformationPart VIIPage 5Schedule R (Form 990) 2012

Complete this part to provide additional information for responses to questions on Schedule R (seeinstructions).

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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DAA Schedule R (Form 990) 2012

CAL POLY POMONA FOUNDATION, INC 95-2417645

09413690002 01/21/2014 8:03 AM

78

$75

Gross Annual Revenue

Between $1,000,001 and $10 millionBetween $10,000,001 and $50 millionGreater than $50 million

$225$150

Fee

$300

REGISTRATION RENEWAL FEE REPORTMAIL TO:

TO ATTORNEY GENERAL OF CALIFORNIA

PART A - ACTIVITIES

PART B - STATEMENTS REGARDING ORGANIZATION DURING THE PERIOD OF THIS REPORT

Registry of Charitable TrustsP.O. Box 903447

Sections 12586 and 12587, California Government CodeSacramento, CA 94203-447011 Cal. Code Regs. sections 301-307, 311 and 312Telephone: (916) 445-2021

WEB SITE ADDRESS:

http://ag.ca.gov/charities/

Check if:

State Charity Registration Number Change of address

Amended report

Note: If you answer "yes" to any of the questions below, you must attach a separate sheet providing an explanation and details for each "yes"

response. Please review RRF-1 instructions for information required.

Yes No

I declare under penalty of perjury that I have examined this report, including accompanying documents, and to the best of my knowledge and

belief, it is true, correct and complete.

ANNUAL REGISTRATION RENEWAL FEE SCHEDULE (11 Cal. Code Regs. sections 301-307, 311 and 312)

For your most recent full accounting period (beginning ending ) list:

Gross annual revenue $ Total assets $

1.

2.

3.

4.

5.

6.

7.

8.

Organization's area code and telephone number

Organization's e-mail address

Signature of authorized officer Printed Name Title Date

Name of Organization

Address (Number and Street)

City or Town, State and ZIP Code

During this reporting period, were there any contracts, loans, leases or other financial transactions between the organization and any officer,

director or trustee thereof either directly or with an entity in which any such officer, director or trustee had any financial interest?

During this reporting period, was there any theft, embezzlement, diversion or misuse of the organization's charitable prop. or funds?

During this reporting period, did non-program expenditures exceed 50% of gross revenues?

During this reporting period, were any organization funds used to pay any penalty, fine or judgment? If you filed a Form 4720 with the

Internal Revenue Service, attach a copy.

During this reporting period, were the services of a commercial fundraiser or fundraising counsel for charitable purposes used? If "yes,"

provide an attachment listing the name, address, and telephone number of the service provider.

During this reporting period, did the organization receive any governmental funding? If so, provide an attachment listing the name of

the agency, mailing address, contact person, and telephone number.

During this reporting period, did the organization hold a raffle for charitable purposes? If "yes," provide an attachment indicating the

number of raffles and the date(s) they occurred.

Does the organization conduct a vehicle donation program? If "yes," provide an attachment indicating whether the program is operatedby the charity or whether the organization contracts with a commercial fundraiser for charitable purposes.

034

Failure to submit this report annually no later than four months and fifteen days after the

end of the organization's accounting period may result in the loss of tax exemption and

the assessment of a minimum tax of $800, plus interest, and/or fines or filing penalties

as defined in Government Code section 12586.1. IRS extensions will be honored.

Corporate or Organization No.

Federal Employer I.D. No.

RRF-1 (3-05)

ANNUAL

reporting period?Did your organization have prepared an audited financial statement in accordance with generally accepted accounting principles for this9.

Make Check Payable to Attorney General's Registry of Charitable Trusts

Gross Annual Revenue Fee

Less than $25,000Between $25,000 and $100,000

0$25

Gross Annual Revenue

Between $100,001 and $250,000Between $250,001 and $1 million

Fee

$50

8241

CAL POLY POMONA FOUNDATION, INC

3801 WEST TEMPLE AVE. BLDG # 55

POMONA CA 91768-40380505207

95-2417645

07/01/12 06/30/1364,594,004 184,309,330

X

X

X

X

X

Stmt 1 X

Stmt 2 X

X

X

909-869-2948

dfprenovost@csupomona.com

G. PAUL STOREY EXECUTIVE DIRECTOR

09413690002 01/21/2014 8:03 AM

79

09413690002 CAL POLY POMONA FOUNDATION, INC 1/21/2014 8:02 AM95-2417645 California StatementsFYE: 6/30/2013

Statement 1 - Form RRF-1, Part B, Line 6 - Governmental Funding

DescriptionBakersfield City School District 37,897California Air Resources Board 80,279California Department of Education 606,915California Department of Transportation 13,229California State University Fresno Foundation 93,037California State Univ Fullerton Auxiliary Services, Corp 38,647California State Uuniversity San Marcos Foundation 45,941Jet Propulsion Laboratory 33,256Lehigh University 8,840Molecular Express, Inc. 40,031Mt San Antonio College 114,848NASA/Glenn Research Center 28,806National Institute of Health 1,621,772National Science Foundation 1,335,817National Space Grant Foundation 29,427Pasadena City College 332,614Regents of the University of Colorado 27,340San Jose State University Research Foundation 49,320South Coast Air Quality Mgmt Dist. 54,885The Regents of the University of California, Davis 216,836The Regents of the University of California (UCLA) 39,515The Trustees of the Indiana University 108,584Trustees of the California State University 13,658University Enterprises, Inc. 66,924University of California, Office of the President 127,352University of North Dakota 14,106University of Texas, San Antonio 13,723US Department of Agriculture 237,563US Department of Defense - US Army 9,560US Department of Education 2,828,525US Department of Justice 72,881US Environmental Protection Agency 14,405US Geological Service 5,146Walnut Valley Unified School District 102,529Total 8,464,209

Statement 2 - Form RRF-1, Part B, Line 7 - Raffle for Charitable Purposes

DescriptionTHERE WAS ONE RAFFLE IN SEPTEMBER 2012, ONE RAFFLE IN JANUARY2013, TWO RAFFLES IN FEBRUARY 2013, TWO RAFFLES IN APRIL 2013,AND TWO RAFFLES IN JUNE 2013 THAT WERE CONDUCTED AND PROPERLYREGISTERED AND REPORTED.

1-2

80

Date:

To:

From:

CAL POLY POMONA FOUNDATION, INC.

Memorandum

January 22, 2014

Board of DirectorsCal Poly Pomona Foundation,fLnc.

David F. PrenovoitChief Financial Officer

Subject: In-Kind Donations Policy 120

Cal Poly Pomona

Foundation

Foundation management is requesting the Board of Directors consideration and review of the suggestedchanges to the Foundation's In-Kind Donations Policy, specifically closely held securities. These types ofsecurities, more specifically S Corporation stock will require the examination and evaluation on a case bycase basis with an analysis of the facts that may involve restrictions that could prevent conversion to cash,marketability, unrelated business taxable income (UBTI) and potentially any undesirable consequences ofownership. Tax related issues and strategies related to S Corporate securities were discussed andreviewed with Jeffrey Davine, attorney with the law firm of Mitchell Siberbery & Knupp.

Policy 120 - In-Kind Donations Policy

With these changes to the In-Kind Donation Policy, the Foundation, in concert with the Division ofDevelopment, will be in a better position to pursue and evaluate these types of donations.

Recommended Action: The members of the Board of Directors approve the suggested changes to theFoundation's In-Kind Donation Policy # 120.

Now therefore be it resolved that the Board of Directors approves the suggested changes to theFoundation's In-Kind Donation Policy # 120.

PASSED AND ADOPTED THIS 20th DAY OF FEBRUARY 2014.

By: idaa_Rachel Dominguez, SecretaryBoard of Directors

81

Date:

To:

From:

CAL POLY POMONA FOUNDATION, INC.

Memorandum

January 22,2014

Board of DirectorsCal Poly Pomona Foundation,Jnc.

'-"g'&4'*,*>David F. Prenovo6t2Chief Financial Officer

By:

hlPW Pomonr

Founililinn

Subject: ln-Kind Donations Policy 120

Foundation management is requesting the Board of Directors consideration and review of the suggestedchanges to the Foundation's In-Kind Donations Policy, specifically closely held securities. These types ofsecurities, more specifically S Corporation stock will require the examination and evaluation on a case bycase basis with an analysis of the facts that may involve restrictions that could prevent conversion to cash,marketability, unrelated business taxable income (UBTI) and potentially any undesirable consequences ofownership. Tax related issues and strategies related to S Corporate securities were discussed andreviewed with Jeffrey Davine, attorney with the law firm of Mitchell Siberbery & Knupp.

Policy 120 - In-Kind Donations Policy

With these changes to the In-Kind Donation Policy, the Foundation, in concert with the Division ofDevelopment, will be in a better position to pursue and evaluate these types of donations.

Recommended Action: The members of the Board of Directors approve the suggested changes to theFoundation's In-Kind Donation Policy # 120.

Now therefore be it resolved that the Board of Directors approves the suggested changes to theFoundation's In-Kind Donation Policy # 120.

PASSED AND ADOPTED THIS 2oth DAY OF FEBRUARY 2014.

Rachel Dominguez, SecretaryBoard of Directors

81

CAL POLY POMONA FOUNDATION, INC.

POLICIES AND PROCEDURES Subject: In-Kind Donations

Reference: 305-11-B, 346-111-D

Policy No. Date: Revision:

120 12/10/01 02/16/11

PURPOSE:

The purpose of this policy is to provide guidelines for in-kind donations specifically to the Cal Poly Pomona Foundation, Inc. for its use and disposition. In-kind gifts made to the university but processed through the Foundation will be governed by the in-kind gift policies of the university as contained in the university's "Development Policies and Procedures Manual."

GIFTS-IN-KIND

All gifts-in-kind (art objects, equipment, securities, real estate, etc.) to Cal Poly Pomona Foundation (Foundation), shall be reviewed by the Office of University Development in conjunction with the Project Director whose project is designated to receive the gift, the Executive Director of the Foundation and Foundation counsel as necessary. Gifts-in-kind should be reviewed with special care to ensure that acceptance will not involve financial commitments in excess of budgeted items or other obligations disproportionate to the use of the gift. Consideration should be given to the cost of maintenance, cataloging, delivery, insurance, display, and any space requirements for exhibition or storage.

The in-kind policy of the Cal Poly Pomona Foundation is intended to follow the in-kind policies of the campus as they appear in the "Development Policies and Procedures Manual" of the university and maintained by the Division of University Advancement. In the current Manual, in-kind policy is featured as Section Nine. From time to time, the university's in-kind procedures are revised to reflect IRS regulations, new systemwide directives, professional practices, etc. As these changes occur, Foundation in-kind policies may be subject to review and revision for purposes of conformity.

A. Gift Appraisals

When gifts-in-kind are given to the Foundation with the intent of the donor to receive a tax deduction, it is the responsibility of the donor, not the Foundation to obtain an appraisal of the gift for tax purposes. Internal Revenue Service policy does not allow the receipting charity to become involved in the appraisal process.

B. IRS Forms 8282 and 8283

It is an IRS requirement that an individual making a property gift in excess of $500 must file a copy of form 8283 with the IRS. For gifts in excess of $5,000, the donor must include a written appraisal with the filing of their return, verifying the value of the gift and a receipt of the gift (Acknowledgement) from the Foundation. Should the Foundation decide to sell or dispose of the gift which was valued at over $500 and recorded on form 8283 within a twothree-year period

82

from the date of receipt, the Foundation is required to complete and submit a corresponding form 8282 with the IRS stating date of disposition and value received.

A tickler system will be maintained by the Foundation to assure that the 8282 requirements are met.

IRS Forms 8282 and 8283 can be downloaded at: http://www.irs.ustreas.gov/prod/forms_pubs/instruct/i8283.html

C. Determining the date of a gift

The date of any contribution may be simply defined as the date the donor irrevocably relinquishes control of the property and is accepted by the Foundation. Since determining that date may be difficult, the guidelines shown in APPENDIX A will be used.

D. Gift valuation

For reporting purposes, gifts should be valued by the Foundation on the date the donor relinquished control of the asset to the Foundation. The amounts reported should be arrived at without regard to the donor's personal estimation of the gift's value, the worth and date of the gift as reported by the donor to the IRS, or the value placed on it by the IRS in reference to the individual's personal tax return. In cases of gifts made with securities, real or personal property, in trust, through insurance policies, or bearing some real or implied obligation on the part of the Foundation, guidelines shown in APPENDIX B shall be observed.

E. Gift-in-kind acknowledgment letters

It is the Foundation's policy to exclude the listing of a dollar value of a gift in the receipt letter for any gift-in-kind. In the case of an item donated for a benefit auction, the letter may reaffirm the donor's stated value for the auction listing only but this should not be taken as a statement of value (See APPENDIX D).

F. Gifts of computer hardware and software

Proposed major (e.g. to equip a laboratory, outfit a study room, represent a major new server or dedicated system, etc.) computer-related gifts for use by university programs must meet campus baseline standards as specified in the campus technology planning guide and be approved in advance by the Vice President for Instructional andUniversity’s Chief Information Officer Technology and the Executive Director of the Foundation. The Executive Director of the Foundation must approve major gifts (over $50,000) of computer hardware and software for use by the Foundation prior to solicitation. Consistent with systemwide directives, any gift of software intended for university program use must be valued (for recording purposes) according to systemwide software valuation guidelines and have such valuation approved by the Office of the Vice President for University Advancement. Please refer to the Gifts of Software-Policy and Procedures from the Chancellor's Office for valuing gifts of software. (APPENDIX B, Section 10.6)

83

G. Gifts of hazardous materials

Proposed gifts of hazardous materials may not be accepted without the prior approval from the Environmental Health and Safety Department. Only donations that meet the criteria shown in APPENDIX C will be approved:

H. Gifts of Foundation-issued scrip

Scrip, including ride share scrip, issued by the Foundation may occasionally be donated back to the University. The University should treat it as a gift-in-kind.

IH. Gifts of Securities

1. Publicly traded securities

Securities that are traded on all major U.S. Exchanges and NASDAQ shall be accepted by the Foundation. Such securities may be sold immediately unless other instructions are in place. No employee or volunteer working on behalf of the Foundation may commit to a donor that a particular security will be held by the Foundation, sold through a specific broker or traded on instruction of the donor without the approval of the Executive Director of the Foundation. The value of all securities will be determined by the methods shown in APPENDIX B.

2. Closely held securities

Closely held non-publicly traded securities include but are not limited to, debt and equity positions in non-publicly traded companies, interests in limited partnerships and limited liability companies, stock options and S corporation stock. Acceptance of closely held non-publicly traded securities shall be examined and evaluated on a case by case basis with an analysis of the facts by the University Gift Acceptance Committee which will consider any restrictions that would prevent conversion to cash, marketability, unrelated business taxable income (UBTI) and potential for any undesirable consequences of ownership. If approved by the University Gift Acceptance Committee, a representative of the University Gift Acceptance Committee shall present to the Finance Committee who shall review and take action accordingly as delegated by the Board of Directors. If approved by the Finance Committee, the Finance Committee shall have the option to present to the Board of Directors who shall review and take action accordingly. The Executive Director and or designee shall be authorized and directed accordingly to take any and all action as may be necessary to effectuate the acceptance of the gift of closely held securities.may be accepted and may be subsequently sold only after approval of the Executive Director of the Foundation.

3. Restricted securities

Restricted securities (also known as unregistered securities, investment-letter stock, control stock or private placement stock) are infrequently given as gifts because of the difficulty in transferring ownership and determining fair market value. No gift of this nature will be accepted without the prior approval of the Executive Director of the Foundation.

4. Mutual Funds

Mutual funds can be accepted with the prior approval of the Executive Director of the Foundation.

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JI. Gifts of Real Estate

1. No gift of real estate (residential or commercial) shall be accepted without prior

approval of the President of the University, the Executive Director of the Foundation and a current appraisal by a qualified appraiser.

2. In addition, the Foundation will not accept any real estate unless waived by the

Executive Director of the Foundation without:

a) A title search and title policy;

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b) A marketability check; c) An on-site evaluation by the Real Estate Development Manager Director or Executive

Director of the Foundation or his/her designee; d) An environmental study report and or any State mandated disclosures of

the property to ascertain if it is subject to environmental restrictions, sanctions, toxic wastes or otherwise encumbered in such a manner to cause present or future economic liabilities for the Foundation; and

e) Conveyance by warrantee deed or trustees deed preferred to Quit Claim deed.

4. All property will be valued by the methods shown in APPENDIX B.

KJ. Gifts of tangible personal property

1. Gifts of jewelry, artwork, collections, and other personal property will be accepted only upon approval of the Executive Director of the Foundation.

2. Before the Foundation accepts such gifts, donors will be informed of IRS regulations

on such gifts as well as Foundation policy to sell the property not used by the Foundation for the best available price as soon as possible.

3. The Executive Director of the Foundation may express to the donor that the property

will or will not be held by the Foundation for a requisite period of time or for purposes related to the gifts' tax exempt status.

LK. Gifts of other personal property

Other property of any description, and including but not limited to: mortgages, notes, copyrights, royalties, easements, whether real or personal, may be accepted only by approval of the Executive Director of the Foundation.

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APPENDIX A Determining the

Date of the Gift The following guidelines will be used to determine the date of a gift:

A. Physical Delivery: If cash/check, or property is delivered to the Foundation in person, the

date of delivery is the date of the gift. The relevant DOD or the Office of University Advancement on the AG form should indicate this.

B. U.S. Postal Service: For gifts of cash/check or securities, the postmark date on the

envelope used to mail the completed gift is the date of the gift. (See Section G below.)

C. Other Delivery Services: For property, or cash/checks sent by means other than U.S. Postal Service (e.g., Federal Express, UPS), the gift date is the date on which the cash or property arrives at the Foundation.

D. Credit Cards: Gifts are deemed complete on the day the donor's account is debited.

E. Personal Property: Gifts of tangible personal property, no matter how delivered, are deemed complete when they are officially accepted by the Foundation or are officially accepted on behalf of the Foundation.

F. Real Estate: A gift of real estate is completed at a time a properly executed deed to the

property is delivered by the donor to the Foundation or the date the deed is recorded in the Office of Recorder of Deeds (or similar office) in the Country in which property is located, whichever is first.

G. Securities: Unlike most other gifts, gifts of securities may be completed in several ways

that will directly impact the time involved to affect the transfer of ownership. This may have a critical effect if the "gift date" and the transfer of ownership straddle a fiscal year end or if there is a rapidly changing market. Therefore, it is imperative that the Foundation and the Office of University Advancement be directly involved in all gifts of securities to the Foundation. There are three possible ways to determine the gift date:

1. The date the stock certificate is mailed (using postmark date of U.S. Postal Service

only). However, note that stock certificates without an endorsement are not completed gifts. If the (unsigned) certificate and a properly executed stock power form are sent separately, the date on which the last of these documents is sent defines the gift date.

2. The date the stock is transferred into a brokerage account in the name of the

Foundation by the donor's agent or cooperating corporation.

3. If hand delivered, the date the stock certificate is transferred and received by the appropriate Foundation agent.

H. Mutual Funds: Gifts of mutual funds are received on the date the funds are actually

transferred into the Foundation mutual fund account. (Typically, these transfers require an account to be opened at the corresponding mutual fund company in order to receive the fund transfer. This may require several days to process.)

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APPENDIX B Gift Valuation

The following guidelines will be observed in valuing gifts:

10.1 Securities

A. Publicly traded securities

The value of the gift is the average market value on the date the donor relinquished control of the asset to the university. (See Appendix A) Additional detail may be found in IRS Publication 561. Neither losses nor gains realized from the sale of the securities after their receipt and net of brokerage fees associated with this transaction will affect the value of the gift.

The value of the gift of listed securities is the mean between the highest and the lowest quoted selling price on the valuation date (date of the gift). If there were no sales of the listed security on the valuation date but there were sales within a reasonable period before or after the valuation date, the value is the weighted average of the means between the highest and lowest sales on the nearest date before and the nearest date after the valuation date. This average is weighted inversely by the respective number of trading days between the selling date and valuation date.

B. Closely held securities: IRS Bulletin No. 561 will be consulted in valuing this type of

security. The value of unlisted closely held securities may be determined by the last sale or trade if it occurred recently. In the absence of a recent sale, an accepted authority should determine a fair market value.

C. Restricted Securities: Consult the current IRS ruling when valuing these securities.

D. Mutual fund shares: The fair market value of mutual fund shares can be determined by the

share's public redemption price on the valuation date. In absence of a recent sale, an acceptable authority should determine a fair market value.

10.2 Real and personal property

Gifts over $5,000 of real and personal property such as land, houses, paintings, antiques, rare books, and intangible properties will be valued at the fair market value placed on them by an independent expert appraiser. Generally, gifts made for auction purposes will be treated as any other property gift and will be valued when and as received, not when they are auctioned off for more or less than their appraised value. However, when dollar amounts are relatively small, the auction proceeds will be considered the value.

10.3 Charitable Remainder Trusts/Charitable Gift Annuities

Gifts irrevocably made to establish charitable remainder trusts/charitable gift annuities are generally credited a present dollar value whether the trust is administered by the Foundation or not. Actual value may be calculated utilizing the planned giving software on file at the Office of University Advancement.

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10.4 Charitable Lead Trusts

Only the income received from the trust in the recording year is considered a gift.

10.5 Life Insurance

A. If the Foundation is both beneficiary and owner of a life insurance policy, the value of the

gift is the cash surrender value of the policy when given, not the face value. If the donor pays further premiums, these payments are also considered gifts. According to Voluntary Support for Education (VSE), the difference between the cash value at the time of the gift and the insurance company's settlement at the time of death is not considered an additional gift but rather a gain on investment.

B. If the Foundation is the beneficiary, but not the owner of an insurance policy, only the full

amount received upon the death of the donor can be recorded as the value of the gift.

1 0.6 Gifts of Software (Chancellor's Office, Nov. 22, 1999)

Policy

It is the intent of this guideline to protect the importance and value of gifts of software while at the same time valuing and reporting on such gifts in a manner that is standardized and consistent among the CSU campuses as well as with other colleges and universities.

Establish a reasonable valuation that closely follows the CASE guidelines by booking the educational discount price. If the educational discount price is not provided by the donor, the recipient is to independently determine the actual price that would be paid for the software if it were to be purchased directly. The recipient must ascertain and compare the actual software configurations for which the price is being determined.

Only the license value is to be booked. The number of seats is not to be considered in determining the value.

Any fee charged to the campus or department for the license is to be deducted from the total gift value booked.

No software gift should be booked for more than three years when received as a multi-year gift.

If the donors provide IRS Form 8283, book the gift according to the Form, unless the amount is known to be more than the educational discount.

In the rare instances where one campus serves as the lead campus in obtaining software gifts, prior approval must be obtained from the system office, by written request and declaration of the valuation of the total gift and the disbursements for each involved campus. In addition, there must be written agreements among the chief advancement officers of the involved campuses regarding the receipt, valuation, booking, and reporting of such gifts.

In reporting year-end voluntary support to the Chancellor's Office, all campuses will include an additional line that separately indicates software gifts received. This report by campus will appear in the annual report submitted to the CSU Trustee effective FY 1999-2000.

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Procedure

All campuses shall create a Gift Policy Committee, whose role will be to implement the system-wide policies for accepting, valuing, and reporting gifts of software and review and approve the valuations as determined by the campus for gifts of software.

The Campus Gift Policy Committee will be comprised of the Chief Advancement Officer, representatives from Business and Finance and/or the Foundation. If appropriate, the development officer representing the recipient department or unit shall participate.

The software license gift should be incorporated into an existing gift acceptance form. If there is no existing form, the Software License Gift Acceptance Form should be developed. The form should be submitted to the Campus Gift Policy Committee for review and approval of the valuation for the gift based upon CSU policy guidelines.

The Gift Acceptance Form is to be completed by the recipient of the gift, who is responsible for supporting documentation concerning the valuation of the gift.

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Criteria for the Acceptance of Hazardous Materials

Proposed gifts of hazardous materials may not be accepted without the prior approval from the Executive Director of the Foundation and the Director of Environmental Health and Safety Department. Only donations that meet the criteria below will be approved:

A. Containers are sealed, unopened, undamaged, and properly labeled original containers

(manufacturer's label is usually the best certification that the contents are accurately identified.)

B. Material Safety Data Sheets for all hazardous material are provided prior to receipt.

C. Storage location where the materials will be safely and securely stored is identified.

D. The material will be used within one year, unless legal requirements specify a shorter time period.

E. Department manager approves of the donation.

F. Requests for approval of hazardous material donations shall be submitted to the Executive

Director of the Foundation and the Director of Environmental Health and Safety.

G. The Project Manager will be responsible for any material that is not used and disposed of as hazardous waste. This will discourage people from accepting hazardous materials that are junk in order to get the good hazardous materials. This is important because the Foundation is liable for its hazardous waste forever.

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Sample Thank You letter for Gift-in-Kind

On behalf of the students, faculty and staff of California State Polytechnic University, Pomona, I am pleased to acknowledge your gift to the Cal Poly Pomona Foundation, Inc. of the (gift-in-kind) to be used in (Mechanical Engineering Lab, etc.). We are grateful to have your donation and verify that no goods or services were received in return for your generous contribution. This letter will serve as your official tax receipt of your gift.

Your gift enables us to continue a high quality academic program at Cal Poly Pomona at a

relatively low student fee, making post-secondary education accessible to a greater number of students. We appreciate your participating in helping us maximize the educational opportunities offered to our students.

Thank you for investing in the future of tomorrow's leaders at Cal Poly Pomona.

Sincerely

On behalf of the students, faculty, and staff of California State Polytechnic University, Pomona, I am pleased to officially acknowledge your contribution of «TRN_COMMENTS» in support of the «FUND NAME».

Each fall, Cal Poly Pomona publishes their Annual Honor Roll of Donors online, which features the names of all alumni and friends who have made a gift of $100 or more during the previous fiscal year. If you would like to opt-out of being mentioned in this electronic publication, please email our office.

Again, thank you for your very generous support. You are directly touching the lives of future generations.

This letter will serve as your official tax receipt. No goods or services were received for your generous contribution.

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Cal Poly Pomona

Foundation

Memorandum

Date: January 30, 2014

To: Board of Directors

Cal Poly Pomona Foundation, Inc. From: David F. Prenovost

Senior Managing Director/CFO Subject: INVESTMENT HIGHLIGHTS – Second Quarter 2013-14

GENERAL INVESTMENT PORTFOLIO

The General Investment Portfolio includes equity, fixed income, private capital and real estate investments along with an alternative investment in the first phase infrastructure of Innovation Village. The Portfolio has a current market value of $39,105,424 and the current allocation is 24% in equities versus the target of 25%, 70% in fixed income versus the target of 60%, 0% in cash versus the target of 0%, 0% in real estate versus the target of 5% and 6% in alternative investments versus the target of 10%.

Following is the program and scholarship funds that are stratified into three durations, short term being 1 to 3 years, medium term being 4 to 7 years and long term being greater than 7 years. As of December 31st and September 30th the short term balances are $17.4 million and $17.1 million, medium term balances are $4.2 million and $4.1 million and long term balances $9.1 million and $9.3 million respectively.

For the rolling one year the Portfolio’s total return net of fees is 9.1% compared to the performance benchmark Higher Education Price Index (HEPI) of 1.6% plus 2% or 3.6% per the Foundation’s General Investment Policy #131. The HEPI index is used to measure the absolute objective of the portfolio as measured in terms of preserving purchasing power. The fixed income portfolio of $27.5 million earned a total return of 0.58% for the quarter compared to the Barclays Intermediate US Government Credit that lost 0.02% (one year returns are not available as Graystone began managing the fixed income portfolio in February 2013). The duration of the fixed income portfolio is 2.91 versus the Barclays Intermediate Government Credit index of 3.77.

Per the Foundation’s Policy # 133, only the annualized yield is distributed; for the first quarter the yield is 0.37% and the scholarship programs received $10,622 and the Foundation programs received $91,947; for the second quarter the yield is 0.31% and the scholarship programs received $13,117 and the Foundation programs received $78,207.

The Common Fund Multi-Strategy Equity Fund is $8.5 million and earned 9.38% for the quarter and 30.06% for the one year compared to the S & P 500 index which earned 10.51% and earned 32.39% respectively.

The Common Fund Real Estate Fund value is $6,775 as of September 2013 and the Foundation has received $281,643 and is expected to receive approximately the remaining value of the fund in 2013-14.

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The Foundation has received capital call notices and has contributed $200,625 against itscommitment of $250,000 to Capital Partners IV and $544,500 against its commitment of$750,000 to Capital Private Equity Partners VII. The value of the Non-Marketable Investments is$743,113 as of September 2013.

The Alternative Investment in Innovation Way infrastructure is $2.3 million and fiscal year to datewas charged $21,665 per the terms of the investment. This alternative investment repaid$300,000 in the first quarter of fiscal year 2013-14.

ENDOWMENT INVESTMENT PORTFOLIO

The Endowment Investment Portfolio (Portfolio) includes securities managed by investmentmanagers selected by Graystone Consulting, a division of Morgan Stanley Private WealthManagement which provides investment advisory and reporting services for the endowmentinvestment portfolio. The Portfolio has a market value of $82,065,769 at December 31, 2013;the portfolio's asset allocation is no more than 1.1% less than or greater than the investmentpolicy asset allocation and earned 4.38% versus 5.88% for the quarter and earned 13.09%versus 18.60% for the rolling one year. The underperformance is mainly due to the global,International and Emerging Market Equities offset by the domestic equities and fixed incomesecurity manager's performance. See asset allocation and performance report for further details.

LIFE INCOME TRUST PORTFOLIO

The Life Income Trust Portfolio has six charitable remainder trusts with a current market valueof $1.7 million; all the trusts reported positive earnings for the quarter and the year.

Recommended Action: The Foundation's Endowment and General Investment Policies 130and 131 requires a comprehensive quarterly report of the investment portfolios performance beprovided to the Investment Committee and Board of Directors at a regularly scheduled meeting.Foundation management believes that the quarterly investment reports are in compliance withthe investment policies and recommends the quarterly investment reports be approved by theBoard of Directors.

PASSED AND ADOPTED 1HIS 20th DAY OF FEBRUARY 2014.

By: gI1Rachel Dominguez, SecretaryBoard of Directors

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The Foundation has received capital call notices and has contributed $200,625 against itscommitment of $250,000 to Capital Partners lV and $544,500 against its commitment of$750,000 to Capital Private Equity Partners Vll. The value of the Non-Marketable Investments is

$743,113 as of September 2013.

The Alternative Investment in Innovation Way infrastructure is $2.3 million and fiscal year to datewas charged $21,665 per the terms of the investment. This alternative investment repaid

$300,000 in the first quarter of fiscal year 2013-14.

ENDOWMENT I NVESTM ENT PORTFOLIO

The Endowment Investment Portfolio (Portfolio) includes securities managed by investmentmanagers selected by Graystone Consulting, a division of Morgan Stanley Private WealthManagement which provides investment advisory and reporting services for the endowmentinvestment portfolio. The Portfolio has a market value of $82,065,769 at December 31, 2013',the portfolio's asset allocation is no more than 1 .1% less than or greater than the investmentpolicy asset allocation and earned 4.38o/o versus 5.88% for the quarter and earned 13.09%versus 18.60% for the rolling one year. The underperformance is mainly due to the global,International and Emerging Market Equities offset by the domestic equities and fixed incomesecurity manager's performance. See asset allocation and performance report for further details.

LIFE INCOME TRUST PORTFOLIO

The Life Income Trust Portfolio has six charitable remainder trusts with a current market valueof $1.7 million; all the trusts reported positive earnings for the quarter and the year.

Recommended Action: The Foundation's Endowment and General Investment Policies 130and 131 requires a comprehensive quarterly report of the investment portfolios performance beprovided to the Investment Committee and Board of Directors at a regularly scheduled meeting.Foundation management believes that the quarterly investment reports are in compliance withthe investment policies and recommends the quarterly investment reports be approved by theBoard of Directors.

PASSED AND TDOPTED \Hls 20tll DAY oF FEBRUARY 2014.

By: ,6rJ.-t-L-n ro:, )..Rachel Dominguez, SecretaryBoard of Directors

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CAL POLY POMONA FOUNDATION, INC.INVESTMENT SUMMARY AS OF DECEMBER 31, 2013

Policy Range Policy RangeAsset Class Minimum Maximum Policy Target Portfolio Allocation Portfolio Amount

Common Fund Multi-Strategy Equity Fund 10% 65% 25% 24% 9,337,371 Mutual Funds-Equity 10% 65% 0% 0% - Fixed Income (Domestic and International) 40% 85% 60% 70% 27,457,895 Mutual Funds-Debt 40% 85% 0% 0%Cash Equivalents 0% 20% 0% 0% 14,295 Common Fund Real Estate 0% 10% 5% 0% 6,775 Alternative Investments Innovation Way Road 0% 25% 10% 6% 2,289,088

100% 100% 39,105,424

Current Calendar One Three

Performance (net of fees) Quarter YTD Year(rolling)Year Calendar (Annualized)

Common Fund Multi-Strategy Equity Fund 9.38% 30.06% 30.06% 12.71% S & P 500 Index 10.51% 32.39% 32.39% 16.18%

Fixed Income (Domestic and International) 0.58% N/A N/A N/A Barclays Intermediate US Government Credit In -0.02% -0.86% -0.86% 2.91%Mutual Funds-DebtCash Equivalents 0.00% 0.00% 0.00% 0.00%Common Fund Private Capital 4.17% 15.56% 15.56% 13.03% Real Estate 0.00% N/A N/A -100.00% Targeted Long Term Return 11-15% 11-15%

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CAL POLY POMONA FOUNDATION, INC.INVESTMENTS AS OF DECEMBER 31, 2013

GENERAL INVESTMENT PORTFOLIO

SECURITY MARKET DIVIDENDTYPE Allocation VALUE YIELD % Asset ClassTotal FundsPIMCO Low Duration Fixed Income 79.9% 21,959,115 0.79% Short Duration Fixed IncomeJP Morgan Strategic Income Opportunities 6.0% 1,653,436 2.72% Global Unconstrained CreditDoubleline Total Return 8.0% 2,185,668 6.01% Mortgage Backed SecuritiesBrandywine Global Opportunistic 4.0% 1,105,367 3.59% Global Fixed IncomeNuveen Symphony Credit Opportunity Fund 2.0% 554,309 5.90% Global High Yield/Floating RateCash & Equivalents 0.1% 14,295 0.00%Fixed income portfolio managed by Graystone Consulting 27,472,190 1.54%

EQUITIES, ALTERNATIVE INVESTMENTS, PRIVATE CAPITAL & REAL ESTATE Value DateCommon Fund Multi-Strategy Equity Fund ** 8,594,258 12/31/2013Alternative Investment - Innovation Village Infrastructure ** 2,289,088 12/31/2013Common Fund Private Capital (valued as of prior quarter) ** & *** 743,113 9/30/2013Common Fund Real Estate (valued as of the prior quarter) ** & *** 6,775 9/30/2013Total Portfolio 39,105,424$ ** Excluded from the quarterly return of the portfolio***Market Value as of prior quarter Prior Year Prior Year Current Year Current Year Annual

FOURTH QTR THIRD QTR SECOND QTR FIRST QTR Net Yield

Quarter Average-Annualized - General Investment Portfolio 1.39% 2.44% 3.00% 2.03% 9.15%Quarter Average - Annualized Fixed Income Portfolio (see ** of investments excluded from returns) 0.42% 0.14% 0.31% 0.37% 1.24%

LIFE INCOME TRUST PORTFOLIOPrior Year Prior Year Current Year Current Year Current Year

CURRENT MARKET VALUE NET OF MANAGEMENT FEES FOURTH QTR THIRD QTR SECOND QTR FIRST QTR AnnualMARKET VALUE CORP/TREAS MONEY TOTAL NET EARNINGS NET EARNINGS NET EARNINGS NET EARNINGS NET EARNINGS

Investment Manager 9/30/2013 BONDS MARKET EQUITIES 12/31/2013 RATE RATE RATE RATE RATE

Clifford Swan 404,246 160,794 50,431 194,286 405,511 1.62% 3.79% 0.27% 1.40% 7.24%Clifford Swan 39,365 13,744 297 25,111.00 39,152 -0.19% 7.03% 0.30% 3.76% 11.18%Clifford Swan 22,047 10,137 220 12,035 22,392 -0.09% 5.64% 0.33% 2.89% 8.95%Morgan Stanley 360,964 129,795 - 241,067 370,862 -1.39% 4.96% 2.09% 4.24% 10.15%Morgan Stanley 588,723 194,253 2 414,200 608,455 -2.12% 1.67% 3.56% 5.08% 8.29%Ameriprise 276,475 183,388 2,544 87,409 273,341 -0.61% 3.08% -0.52% 0.10% 2.02%Wells Fargo 206 182 182 N/A N/A N/A N/A N/A Total Portfolio 1,692,026$ 692,111$ 53,676$ 974,108$ 1,719,895$ % of Total 40.2% 3.1% 56.6% 100.0%

Note - the quarterly and annual returns exclude the distributions to the beneficiaries when calculating the returns.

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Graystone Consultingsm

Cal Poly Pomona FoundationShort Term Portfolio

Investment Resultsas of December 31, 2013

Graystone Consulting

Andrew Price, CIMA®Executive DirectorInstitutional Consulting Director

Todd Au, CIMA®Second Vice PresidentSenior Investment Management Consultant

Tim Skelly, CIMA®Senior Vice PresidentInstitutional Consulting Director

J.P. SzaboConsulting Group Analyst

Address:1999 Avenue of the StarsSuite 2400Los Angeles, CA 90067

Phones:Main Line 310-788-2043Toll-Free 800-786-0048Fax 310-961-3180

E-Mail:andrew.price@morganstanleygraystone.com todd.au@morganstanleygraystone.comtim.skelly@morganstanleygraystone.comjp.szabo@morganstanleygraystone.com

97

Graystone Consulting- A business of Mogan San*

Total Fund

($) (%)

Short Duration Fixed Income $21,959,115 79.9%

PIMCO Low Duration $21,959,115 79.9%

Global Unconstrained Credit $1,653,436 6.0%

JP Morgan Strategic Income Credit Opp. $1,653,436 6.0%

Mortgage Backed Securities $2,185,668 8.0%

DoubleLine Total Return $2,185,668 8.0%

Global Fixed Income $1,105,367 4.0%

Brandywine Global Opportunistic $1,105,367 4.0%

Global High Yield / Floating Rate $554,309 2.0%

Nuveen Symphony Cred Opportunity $554,309 2.0%

Cash & Equivalents $14,295 0.1%

Total Short Term Portfolio $27,472,189 100.0%

Market Current

Value Allocation

($000) (%)

Short Duration Fixed Income $21,959,115.11 79.9%

Global Unconstrained Credit $1,653,435.71 6.0%

Mortgage Backed Securities $2,185,667.92 8.0%

Global Fixed Income $1,105,366.95 4.0%

Global High Yield / Floating Rate $554,309.15 2.0%

Cash & Equivalents $14,294.53 0.1%

Asset Allocation

Cal Poly Pomona FoundationShort Term Portfolio

Balances and Asset AllocationDecember 31, 2013

The information contained herein was prepared by the undersigned for informational purposes only and does not represent an official statement of your account at the Firm. Please refer to your monthly statements for a complete record of your transactions, holdings and balances. Graystone Consulting is a business of Morgan Stanley Smith Barney.

e

December 31, 2013: $27,472,189

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Performance Summary

Gain/Loss Summary

AllocationMarketValue

($)

Performance(%)Quarter

ToDate

YTD 1Year

3Years

5Years

SinceInception 2012 2011 2010 2009 2008 Inception

Date

Short-Term Portfolio Strategy 27,472,189 0.58 N/A N/A N/A N/A 0.43 N/A N/A N/A N/A N/A 03/07/2013BC Int Gov/Credit -0.02 -0.86 -0.86 2.91 3.96 -1.01 3.90 5.80 5.89 5.24 5.07Difference 0.60 N/A N/A N/A N/A 1.44 N/A N/A N/A N/A N/A

QuarterTo

DateYTD

SinceInception

InceptionDate

Short-Term Portfolio Strategy 03/07/2013 Beginning Market Value 23,327,722 - 24,301,287 Net Contributions 4,002,327 - 3,157,866 Fees/Expenses -13,453 - -42,691 Income 133,835 - 582,334 Gain/Loss 21,758 - -526,607 Ending Market Value 27,472,189 - 27,472,189

Cal Poly Pomona Foundation

Report SummaryAs of December 31, 2013

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Portfolio Summary

Asset Class Investment Manager AllocationValues as of

12/31/13

Average Credit

Quality

Duration (Years)

Yield

Short Duration Fixed Income PIMCO Low Duration Fixed Income 80.00% 21,959,115 AA- 2.79 0.79%

Global Unconstrained Credit JP Morgan Strategic Income Opportunities 6.00% 1,653,436 BBB 0.89 2.72%

Mortgage Backed Securities Doubleline Total Return 8.00% 2,185,668 A 4.11 6.01%

Global Fixed Income Brandywine Global Opportunistic Fixed Income 4.00% 1,105,367 A+ 6.12 3.59%

Global High Yield / Floating Rate Nuveen Symphony Credit Opportunity Fund 2.00% 554,309 B 2.61 5.90%

Totals* 100.00% 27,472,189 AA- 2.91 1.54%

Barclays US 1-3 Year Treasury Index 1.84 0.30%

Barclays Intermediate Government/Credit Index 3.77 1.73%

*Account contained a cash balance of $14,294.53Yield and duration totals are weighted averages. Source: Investment ManagersData as of 12/31/13

Global High Yield / Floating Rate2%

Global Fixed Income4%

Mortgage Backed Securities8%

Global Unconstrained Credit6%

Short Duration Fixed Income80%

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ENDOWMENT FUNDS

General Fund

Capital Partners IV 6.22 15.84 15.84 13.36 5.01 N/A -1.93 09/30/070.00

Private Equity Partners VII 3.34 15.44 15.44 12.85 5.28 N/A -0.98 09/30/070.00

Private Capital 4.17 15.56 15.56 13.03 5.18 N/ATotal -1.34 12/31/070.00

Realty Investors 2004-12 (Tranche) 0.00 N/A N/A 0.00 -100.00 N/A -100.00 12/31/040.00

Real Estate 0.00 N/A N/A 0.00 -100.00 N/ATotal -100.00 09/30/050.00

General Fund 4.13 14.54 14.54 10.76 -8.74 -1.81 -0.59 09/30/03Total 0.00

ENDOWMENT FUNDS 4.13 14.54 14.54 10.76 -8.74 -1.81TOTAL 2.54 01/31/960.00

OPERATING FUNDS

General Fund

Multi-Strategy Equity Fund 9.38 30.06 30.06 12.71 17.02 7.84 8.92 09/30/032.90

S&P 500 Index 10.51 32.39 32.39 16.18 17.94 7.41 8.432.53

Equity 9.38 30.06 30.06 N/A N/A N/ATotal 13.59 06/30/112.90

General Fund 9.38 29.71 29.71 N/A N/A N/A 13.56 06/30/11Total 2.90

OPERATING FUNDS 9.38 29.71 29.71 N/A N/A N/ATOTAL 9.09 02/29/962.90

TOTAL INSTITUTION 8.95 28.24 28.24 12.79 -7.73 -1.27 2.93 01/31/962.67

Detailed Consolidated Investment Performance ReportFor All Selected Accounts

As Of 12/31/2013Time Weighted Returns After Fees

CURQTD

CALENDARYTD

1YEAR

3YEAR

5YEAR

10YEAR

SINCEINCEPTION

PERF.INCEPTION

CURMONTH

Cal Poly Pomona Foundation101/13/14 12:44:23 PM

83482

101

Account TitleMarketable Securities

Equity Fixed IncomeNon-Marketable SecuritiesPrivate Real EstateCash Equivalents

General Fund-06 $8,594,258.17 $743,113.00 $6,775.20$8,594,258.17 $743,113.00 $6,775.20Total Cal Poly Pomona Foundation

91.98% 7.95% 0.07%% Allocation*

Cal Poly Pomona Foundation Total Market Value

Marketable InvestmentsPrivate ProgramsReal Estate

Market Value Value Date*$8,594,258.17

$743,113.00$6,775.20

12/31/1309/30/1309/30/13

Market Value % Allocation$749,888.20

$8,594,258.178.03%

91.97%Endowment/Plan PoolOperating Pool

$9,344,146.37

Institution SummaryAs of 12/31/13

* Investments in Programs of Commonfund Capital and Commonfund Realty are carried as of the most recent valuation date which may not correspond to the marketable securities valuation dates.

Cal Poly Pomona Foundation01/13/14 10:43:00 AM 1

102

(a) Multi-Strategy Equity Fund(b) Private Equity Partners VII(c) Capital Partners IV(d) Realty Investors 2004-12 (Tranche)

$8,594,258 91.97%$524,797 5.62%$218,316 2.34%

$6,775 0.07%

Market ValuePercentOf Total**

Investment Portfolio by Commonfund FundFor All AccountsAs of 12/31/13 Total Portfolio Value: $9,344,146

* Investments in Programs of Commonfund Capital and Commonfund Realty are carried as of the most recent valuation date which may not correspond to this date.** Due to rounding, percentages may not total to 100%.For the Short Term and Evergreen Funds, reported values include transactions pending at current month end.

Cal Poly Pomona Foundation 01/13/14 10:43:15 AM 1

103

Market Value Of Total**Percent

(a) Domestic Equity $6,617,579 70.81%(b) Marketable Alternatives $1,375,081 14.72%(c) Domestic Private Equity $524,797 5.62%(d) International Equity $343,770 3.68%(e) Emerging Markets $257,828 2.76%(f) Multi- Asset $218,316 2.34%(g) Private Real Estate $6,775 0.07%

Investment Portfolio by Asset ClassFor All AccountsAs of 12/31/13 Total Portfolio Value: $9,344,146

* Investments in Programs of Commonfund Capital and Commonfund Realty are carried as of the most recent valuation date which may not correspond to this date.** Due to rounding, percentages may not total to 100%.*** For the Short Term and Evergreen Funds, reported values include transactions pending at current month end.

Cal Poly Pomona Foundation 01/13/14 10:43:15 AM 2

104

VintageYear

CapitalCommitted Capital Called Capital

Distributions Capital BalanceOverallReturn

MultipleRemaining

Capital to beCalled Value DateIRR

General Fund-06Private Capital

Multi AssetCCP IV 250,000 200,625 34,931 218,31649,375 1.26 09/30/132007

Total Multi Asset 250,000 200,625 34,931 218,31649,375 1.26U. S. Private Equity

CEP VII 750,000 544,500 137,875 524,797205,500 1.22 09/30/132007Total U. S. Private Equity 750,000 544,500 137,875 524,797205,500 1.22

Total Private Capital 1,000,000 745,125 172,806 743,113254,875 1.23Real Estate

RI200412 1,500,000 1,500,000 281,643 1,3550 0.19 12/31/132005 -26.29Total Real Estate 1,500,000 1,500,000 281,643 1,3550 0.19 -26.29

2,500,000 2,245,125 454,449 744,468Grand Total 0.53254,875 -26.29

Non-Marketable Investments Account SummaryInception Through December 31, 2013For All Accounts

CCP IV - Capital Partners IV CEP VII - Private Equity Partners VII RI200412 - Realty Investors 2004-12 (Tranche)

01/29/14 08:06:54 PM 1 Cal Poly Pomona Foundation

105

Cal Poly Pomona FoundationInvestment Results

as of December 31, 2013

Graystone Consulting

Andrew Price, CIMA®Executive DirectorInstitutional Consulting Director

Todd Au, CIMA®Second Vice PresidentSenior Investment Management Consultant

Tim Skelly, CIMA®Senior Vice PresidentInstitutional Consulting Director

J.P. SzaboConsulting Group Analyst

Address:1999 Avenue of the StarsSuite 2400Los Angeles, CA 90067

Phones:Main Line 310-788-2043Toll-Free 800-786-0048Fax 310-961-3180

E-Mail:andrew.price@morganstanleygraystone.com todd.au@morganstanleygraystone.comtim.skelly@morganstanleygraystone.comjp.szabo@morganstanleygraystone.com

106

Cal Poly Pomona FoundationExecutive Summary

Type of Fund Endowment

Time Horizon Perpetuity

Investment Horizon Over 10 Years

Target Return Greater Los Angeles Area CPI + 5%

Normal Policy Allocation 40% S&P 500 / 30% EAFE / 30% BC Aggregate

Asset Allocation Guidelines

Asset Class Allocation

Total Equities 60.0%Domestic Equity 30.0%International Equity 30 0%International Equity 30.0%

Fixed Income includes MBS 30.0%Domestic and International 30.0%

Real Assets 10.0%Cash Equivalents 0.0%

107

December 31, 2013 : $82,065,769

Market Value($)

Allocation(%)

Domestic Equities 18,106,089 22.06¢£

Global Equities 14,940,357 18.21¢£

International and EM Equities 17,178,938 20.93¢£

Fixed Income 23,891,381 29.11¢£

Real Assets 7,810,980 9.52¢£

Cash & Equivalents 138,022 0.17¢£

Total Fund

($) %

All/Large Cap Equities 14,639,648 17.84

Touchstone All Cap Growth 7,422,773 9.04Aristotle Large Cap Value 7,216,875 8.79

Small/Mid Cap Equities 3,466,441 4.22

Keeley SMID Value* 1,715,879 2.09Apex SMID Cap Growth* 1,750,562 2.13

International and EM Equities 17,178,938 20.93

William Blair International Growth 6,285,740 7.66Harbor International Equity 6,148,658 7.49DuPont Emerging Markets 4,744,540 5.78

Global Equities 14,940,357 18.21

First Eagle 7,360,620 8.97Delaware Focus Global Growth 7,579,737 9.24

Total Public Equities 50,225,385 61.20

Domestic Fixed Income 17,907,324 21.82

PIMCO Total Return* 3,559,409 4.34Met West Total Return 3,578,247 4.36JP Morgan Strategic Income 6,743,476 8.22Nuveen Symphony Credit Opportunities 4,026,192 4.91

Global Fixed Income 5,984,058 7.29

Brandywine Global Fixed Income 2,962,512 3.61Templeton Global Bond Fund 3,021,546 3.68

Total Fixed Income 23,891,381 29.11

Real Assets 7,810,980 9.52

PIMCO AAAA 3,932,175 4.79RS Global Natural Resources 3,878,806 4.73

Cash & Equivalents 138,022 0.17

Cash Holding Account 138,022 0.17

Cal Poly Pomona Foundation Total Fund** 82,065,769 100.00

December 31, 2013

Allocation Differences

0.0% 1.0% 2.0%-1.0 %-2.0 %

Cash & Equivalents

Real Assets

Fixed Income

Global Equities

International Equities

Domestic Equities

0.2%

-0.5 %

-0.9 %

0.2%

-0.1 %

1.1%

December 31, 2013Market Value

($)Allocation

(%)Target

(%)

Domestic Equities 18,106,089 22.06 21.00International Equities 17,178,938 20.93 21.00Global Equities 14,940,357 18.21 18.00Fixed Income 23,891,381 29.11 30.00Real Assets 7,810,980 9.52 10.00Cash & Equivalents 138,022 0.17 0.00Total Fund 82,065,769 100.00 100.00

Cal Poly Pomona FoundationBalances and Asset Allocation

December 31, 2013

*Value includes dividend accruals not shown on statement**Value includes residuals from liquidated accounts due to trade date near month end 108

AllocationMarketValue

($)%

Performance(%)Quarter

ToDate

YTD 1Year

3Years

5Years

SinceInception 2012 2011 2010 2009 2008 Inception

Date

Cal Poly Pomona Foundation Total Fund 82,065,769100.00 4.38 13.09 13.09 8.30 13.28 8.57 14.26 -1.69 15.82 26.76 N/A 10/01/2008

Cal Poly Pomona Blended Benchmark 5.88 18.60 18.60 10.07 12.61 8.90 13.01 -0.51 11.58 21.70 N/ADifference -1.50 -5.51 -5.51 -1.77 0.67 -0.33 1.25 -1.18 4.24 5.06 N/A

70% S&P 500 / 30% BC Aggregate 7.32 21.29 21.29 12.51 14.16 10.23 12.54 4.33 12.98 20.49 N/A 10/01/2008

Public Equities 50,225,385 61.20 7.10 21.37 21.37 10.16 16.22 9.49 16.40 -5.39 18.50 33.87 N/A 10/01/2008

MSCI AC World Net 7.32 22.84 22.84 9.74 14.92 8.79 16.13 -7.36 12.67 34.63 -42.21Difference -0.22 -1.47 -1.47 0.42 1.30 0.70 0.27 1.97 5.83 -0.76 N/A

Domestic Equities 18,106,089 22.06 10.15 33.65 33.65 15.54 18.69 11.82 15.78 -0.32 18.78 28.56 N/A 10/01/2008

Russ 3000 Index 10.11 33.58 33.58 16.25 18.71 12.09 16.43 1.02 16.93 28.34 -37.31Difference 0.04 0.07 0.07 -0.71 -0.02 -0.27 -0.65 -1.34 1.85 0.22 N/A

Touchstone Westfield All Cap Growth 7,422,773 9.04 11.75 38.84 38.84 N/A N/A 18.73 21.47 N/A N/A N/A N/A 08/01/2011

Russ 3000 Growth 10.25 34.24 34.24 16.48 20.56 18.14 15.22 2.18 17.64 37.01 -38.44Difference 1.50 4.60 4.60 N/A N/A 0.59 6.25 N/A N/A N/A N/A

Aristotle Large Cap Value 7,216,875 8.79 8.87 N/A N/A N/A N/A 15.16 N/A N/A N/A N/A N/A 06/01/2013

S&P 500 Index 10.52 32.41 32.41 16.18 17.94 14.76 16.00 2.11 15.06 26.46 -37.00Difference -1.65 N/A N/A N/A N/A 0.40 N/A N/A N/A N/A N/A

Keeley SMID Value 1,715,879 2.09 9.18 39.72 39.72 N/A N/A 22.15 28.37 N/A N/A N/A N/A 08/01/2011

Russ 2500 Value 8.65 33.08 33.08 15.31 19.56 18.31 19.22 -3.36 24.82 27.68 -31.99Difference 0.53 6.64 6.64 N/A N/A 3.84 9.15 N/A N/A N/A N/A

Apex SMID Cap Growth 1,750,562 2.13 10.37 39.37 39.37 N/A N/A 20.61 22.21 N/A N/A N/A N/A 08/01/2011

Russ 2500 Growth 8.19 40.26 40.26 17.04 23.96 18.69 16.13 -1.57 28.86 41.65 -41.50Difference 2.18 -0.89 -0.89 N/A N/A 1.92 6.08 N/A N/A N/A N/A

Global Equities 14,940,357 18.21 6.27 16.16 16.16 N/A N/A 9.63 12.76 N/A N/A N/A N/A 08/01/2011

MSCI AC World Net 7.32 22.84 22.84 9.74 14.92 10.88 16.13 -7.36 12.67 34.63 -42.21Difference -1.05 -6.68 -6.68 N/A N/A -1.25 -3.37 N/A N/A N/A N/A

First Eagle 7,360,620 8.97 4.92 15.66 15.66 N/A N/A 9.44 12.77 N/A N/A N/A N/A 08/01/2011

MSCI AC World Net 7.32 22.84 22.84 9.74 14.92 10.88 16.13 -7.36 12.67 34.63 -42.21Difference -2.40 -7.18 -7.18 N/A N/A -1.44 -3.36 N/A N/A N/A N/A

Cal Poly Pomona Foundation

Asset Allocation & Performance

As of December 31, 2013

*Cal Poly Pomona Blended Benchmark consists of 40% S&P 500/30% EAFE/30% BC Aggregate

109

Cal Poly Pomona Foundation

Asset Allocation & Performance

As of December 31, 2013Allocation

MarketValue

($)%

Performance(%)Quarter

ToDate

YTD 1Year

3Years

5Years

SinceInception 2012 2011 2010 2009 2008 Inception

Date

Delaware Focus Global Growth 7,579,737 9.24 7.63 N/A N/A N/A N/A 7.63 N/A N/A N/A N/A N/A 10/01/2013

MSCI AC World Net 7.32 22.84 22.84 9.74 14.92 7.32 16.13 -7.36 12.67 34.63 -42.21Difference 0.31 N/A N/A N/A N/A 0.31 N/A N/A N/A N/A N/A

International and EM Equities 17,178,938 20.93 4.71 11.45 11.45 4.27 14.29 7.52 19.00 -14.52 17.70 46.11 N/A 10/01/2008

MSCI AC Wd xUS (Net) 4.76 15.29 15.29 5.15 12.82 6.90 16.84 -13.71 11.15 41.45 -45.53Difference -0.05 -3.84 -3.84 -0.88 1.47 0.62 2.16 -0.81 6.55 4.66 N/A

William Blair International Growth 6,285,740 7.66 7.32 18.82 18.82 8.17 16.35 9.44 24.33 -14.32 20.14 40.23 N/A 10/01/2008

MSCI EAFE (net) 5.72 22.79 22.79 8.17 12.44 7.17 17.32 -12.14 7.75 31.78 -43.38Difference 1.60 -3.97 -3.97 0.00 3.91 2.27 7.01 -2.18 12.39 8.45 N/A

Harbor International 6,148,658 7.49 4.74 16.75 16.75 7.92 14.20 8.32 21.16 -11.14 11.64 38.44 N/A 10/01/2008

MSCI EAFE (net) 5.72 22.79 22.79 8.17 12.44 7.17 17.32 -12.14 7.75 31.78 -43.38Difference -0.98 -6.04 -6.04 -0.25 1.76 1.15 3.84 1.00 3.89 6.66 N/A

DuPont Emerging Markets 4,744,540 5.78 1.41 -6.67 -6.67 N/A N/A -2.79 20.03 N/A N/A N/A N/A 08/01/2011

MSCI EM (net) 1.83 -2.60 -2.60 -2.07 14.79 -2.73 18.22 -18.42 18.88 78.51 -53.33Difference -0.42 -4.07 -4.07 N/A N/A -0.06 1.81 N/A N/A N/A N/A

Fixed Income 23,891,381 29.11 1.11 0.25 0.25 4.69 7.60 7.57 9.98 4.07 9.44 14.88 N/A 10/01/2008

BC Agg Bond Index -0.14 -2.02 -2.02 3.26 4.44 5.12 4.22 7.84 6.54 5.93 5.24Difference 1.25 2.27 2.27 1.43 3.16 2.45 5.76 -3.77 2.90 8.95 N/A

PIMCO Total Return 3,559,409 4.34 -0.28 -3.03 -3.03 2.86 6.03 6.40 7.15 4.74 7.66 14.38 N/A 10/01/2008

BC Agg Bond Index -0.14 -2.02 -2.02 3.26 4.44 5.12 4.22 7.84 6.54 5.93 5.24Difference -0.14 -1.01 -1.01 -0.40 1.59 1.28 2.93 -3.10 1.12 8.45 N/A

Met West Total Return 3,578,247 4.36 0.79 0.63 0.63 N/A N/A 5.27 11.17 N/A N/A N/A N/A 08/01/2011

BC Agg Bond Index -0.14 -2.02 -2.02 3.26 4.44 2.25 4.22 7.84 6.54 5.93 5.24Difference 0.93 2.65 2.65 N/A N/A 3.02 6.95 N/A N/A N/A N/A

JP Morgan Strategic Income 6,743,476 8.22 0.91 2.96 2.96 N/A N/A 3.88 7.77 N/A N/A N/A N/A 08/01/2011

BC Agg Bond Index -0.14 -2.02 -2.02 3.26 4.44 2.25 4.22 7.84 6.54 5.93 5.24Difference 1.05 4.98 4.98 N/A N/A 1.63 3.55 N/A N/A N/A N/A

*Cal Poly Pomona Blended Benchmark consists of 40% S&P 500/30% EAFE/30% BC Aggregate

110

Cal Poly Pomona Foundation

Asset Allocation & Performance

As of December 31, 2013Allocation

MarketValue

($)%

Performance(%)Quarter

ToDate

YTD 1Year

3Years

5Years

SinceInception 2012 2011 2010 2009 2008 Inception

Date

Brandywine Global Fixed Income 2,962,512 3.61 -0.64 -4.54 -4.54 N/A N/A 3.47 13.11 N/A N/A N/A N/A 08/01/2011

Citigrp Wl Govt Bd UH -1.09 -4.00 -4.00 1.25 2.28 -1.02 1.65 6.35 5.17 2.55 10.89Difference 0.45 -0.54 -0.54 N/A N/A 4.49 11.46 N/A N/A N/A N/A

Templeton Global Bond Fund 3,021,546 3.68 2.68 2.07 2.07 N/A N/A 3.86 16.48 N/A N/A N/A N/A 08/01/2011

Citigrp Wl Govt Bd UH -1.09 -4.00 -4.00 1.25 2.28 -1.02 1.65 6.35 5.17 2.55 10.89Difference 3.77 6.07 6.07 N/A N/A 4.88 14.83 N/A N/A N/A N/A

Nuveen Symphony Credit Opportunities 4,026,192 4.91 3.13 N/A N/A N/A N/A 3.13 N/A N/A N/A N/A N/A 10/01/2013

CS Leveraged Loan VL 1.82 6.15 6.15 5.76 13.51 1.82 9.43 1.82 9.97 44.86 -28.75Difference 1.31 N/A N/A N/A N/A 1.31 N/A N/A N/A N/A N/A

Real Assets 7,810,980 9.52 -1.88 -7.65 -7.65 N/A N/A 1.84 16.92 N/A N/A N/A N/A 08/01/2011

RS Global Natural Resources 3,878,806 4.73 -2.85 N/A N/A N/A N/A -2.85 N/A N/A N/A N/A N/A 10/01/2013

SP Natural Resource 5.26 16.49 16.49 3.33 13.44 5.26 2.21 -7.35 23.86 37.51 -42.56Difference -8.11 N/A N/A N/A N/A -8.11 N/A N/A N/A N/A N/A

PIMCO AAAA 3,932,175 4.79 -0.91 -5.04 -5.04 N/A N/A 3.14 16.94 N/A N/A N/A N/A 08/01/2011

S&P 500 Index 10.52 32.41 32.41 16.18 17.94 N/A 16.00 2.11 15.06 26.46 -37.00 01/01/1961

BC Agg Bond Index -0.14 -2.02 -2.02 3.26 4.44 7.91 4.22 7.84 6.54 5.93 5.24 01/01/1976

HFRI Fund of Funds 3.49 8.74 8.74 2.42 4.83 7.35 4.77 -5.72 5.70 11.47 -21.37 01/01/1990

*Cal Poly Pomona Blended Benchmark consists of 40% S&P 500/30% EAFE/30% BC Aggregate

111

ee//41"Cal Poly Pomona

Foundation

Memorandum Date: January 31, 2014 To: Board of Directors Cal Poly Pomona Foundation, Inc. From: David F. Prenovost Senior Managing Director/CFO Subject: EQUITY PROPOSAL - GENERAL INVESTMENT PORTFOLIO As you may know, in the November 2013 Investment Committee meeting, the members of the Committee received a presentation from Andrew Price, CIMA, Institutional Consulting Director with Graystone Consulting of Morgan Stanley Smith Barney. In General, Andrew’s presentation provided various asset allocations for us to consider for the equity portion of general investment portfolio (currently $9.3 million) in an effort to improve the quality of the portfolio’s investment and provide optional asset classes while limiting downside potential through diversification as follows:

Core Equity o Globally Diversified, Multi-strategy Equity o Returns and volatility characteristics in-line with the MSCI All Country World Index

Optional Characteristics o Real Assets:

Globally Diversified, Multi-strategy liquid Real Assets Returns and volatility characteristics in-line with a 65% MSCI All Country World

Index 35% Citi World Government Bond Index Total Portfolio Considerations

o Globally Diversified o Liquid

Potential Portfolios o All Equity o 95% Equity 5% Real Assets o 90% Equity 10% Real Assets o 85% Equity 15% Real Assets

To accommodate this proposal, Foundation management is requesting the Board of Director’s consideration and review of the suggested changes to the Foundation’s General Investment Policy. Policy 131 – Foundation General Investment Policy The proposal for Graystone Consulting to manage the equity portion of general investment portfolio and the suggested changes to Policy 131 – Foundation General Investment Policy have been reviewed and accepted by the Investment Committee. Recommended Action: The members of the Board of Directors believe it is in the Foundation’s best interest to retain Graystone Consulting as the investment advisor for the equity portion of the general investment portfolio to manage these investments and the suggested changes to Policy 131 - Foundation General Investment Policy.

112

Now therefore be it resolved that the Foundation Board of Directors approves to retain GraystoneConsulting as the investment advisor for the equity portion of the general investment portfolio to managerthese investments and the suggested changes to the General Investment Portfolio policy # 131.

PASSED AND ADOPTED THI 20th DAY OF FEBRUARY 2014.,

By: ,ieL141--Rachel Dominguez, SecretaryBoard of Directors

113

Now therefore be it resolved that the Foundation Board of Directors approves to retain GraystoneConsulting as the investment advisor for the equity portion of the general investment portfolio to managerthese investments and the suggested changes to the General Investment Portfolio policy # 131.

PASSED AND ADOPTED TH 20th DAY OF FEBRUARY 2014.

Rachel Dominguez, SecretaryBoard of Directors

1'13

Cal Poly Pomona FoundationMulti-Strategy Equity Portfolio Proposal

Graystone Consulting

Andrew Price, CIMA®Executive DirectorInstitutional Consulting Director

Todd Au, CIMA®

Second Vice President

Senior Investment Management Consultant

Tim Skelly, CIMA®Senior Vice PresidentInstitutional Consulting Director

J.P. SzaboConsulting Group Analyst

Address:

10960 Wilshire Blvd.Suite 2000Los Angeles, CA 90024

Phones:Main Line 310-443-0530Toll-Free 800-648-3833Fax 310-443-0566

E-Mail:

andrew.price@morganstanleygraystone.com

todd.au@morganstanleygraystone.com

tim.skelly@morganstanleygraystone.com

jp.szabo@morganstanleygraystone.com

114

Graystone Consultingsm

Table of Contents

»Portfolio Recommendation & Performance Analysis Section 1

» Investment Manager Executive Sum maries Section 2

»Disclosures Section 3

2

115

Portfolio Recommendation & Performance Analysis

116

Case Parameters

»Total Portfolio Size� $10 Million

»Desired Characteristics� Core Equity:

» Globally Diversified, Multi-strategy Equity» Returns and volatility characteristics in-line with the MSCI All Country World Index

»Optional Char acteristics� Real Assets:

» Globally Diversified, Multi-strategy liquid Real Assets » Returns and volatility characteristics in-line with a 65% MSCI All Country World

Index 35% Citi World Government Bond Index

»Total Portfolio Considerations� Globally Diversified� Liquid

4

117

Recommendation Detail

»Create a portfolio either entirely of equity or create a blend between the equity and real assets buckets

»Potential Portfolios� All Equity� 95% Equity 5% Real Assets� 90% Equity 10% Real Assets � 85% Equity 15% Real Assets

»Benefits of incorporating real assets� Diversify the portfolio� Potential hedge against inflation

5

118

Graystone Consultingsm

Economic, Financial, and Geopolitical Scenario Elements m

Economic Growth

S&P Profits

AilI Mare Bullish 1

Robust Economic Expansion

2 Better-than-Expected

Economic Growth

NO Base Case 3

Subpar, Sluggish Growth

4 Stagnation and/or

Stagflation

More Bearish 5

Recession External or Internal Shock

US and global economic US and global growth US and global GDP grow Below-trend growth The economy retrenches, A highly unfavorable growth picks up smartly modestly accelerates at below-average rates persists for several

quarters with housing wealmess and higher unemployment

event or events negatively affects global confidence

Profits inatase decidedly Profit growth meets Earnings.percentage Profits experience a Profits decline Profits decline in consensus forecasts increase ts low single

digits, perhaps negative shortfall vs. 2012 meaningfully the short-temi

... , ,., . - ,, . , illnat1011

US Treasury Interest Rates

Currency Markets

Geopolitics

Economic Projections

US Real GDP US CPI Inflation Rate

numunnary pressures show signs of emerging

Interest rates rise more than expected

The US dollar strengthens due to rising interest rates

Geopolitical concerns are not a hindrance to growth

2013

+2.2% +21%

2014

+13% +2.6%

MUM expectations rieaanne Mallon remams 11111all011 Is low, DUI womes Some aella11011 sets m, ror venal-1M ream anse tam begin to rise muted periodically appear parts of the year later, inflation fears)

Interest rates increase Interest rate movements Short-tenn interest rates Excess liquidity and Interest rates thll and credit are benign rise, long-term more policy keep rates low spreads widen

The US dollar US dollar: strong vs. Yen; The US dollar is relatively The US dollar weakens Currency volatility strengthens modestly weak vs. EM currencies stable picks up

Quiescent geopolitics aid US domestic political trends Global tensions show few Protectionist trade policies Unsettled geopolitical economic growth remain inconclusive signs of easing may begin to emerge conditions may pertain

2013 2014 2013 2014 2013 2014 2013 2014 2013 2014

+1.8% +3.0% +1.4% +2.7% +0.5% +1.9% - 0.3% +1.1% - 1.5% 0.0% +1g% +21% +1 3% +1 a +2 1% +7 4% +1_0% +10% + 00% + 10%

S&P 500 Earnings World Real GDP

+15.0% + 20.0% +39% +4.6%

+10.0% +12.0% +3.4% +4.3%

-1.3% +3.1%

+11.0% +4.0%

- 5.0% 0.0% +2.5% +3.4%

- 15.0% - 5.0% +10% +18%

- 20.0% + 1.5%

Potential Capital Markets Outcomes

Year-ahead UST 10-Yr la Ratesrn

Year-ahead UST 30-Yr ht. RatesM

US Equities Tot. Return (S&P 5003)

UST 10-Yr Tot. Return (2)

1JST 30-Yr Tot. Return (21

Projected Scenario Probabilities

125% 4.25%

2.75%

3.75%

2.24%

3.49%

2.10%

3.20%

1.75%

2.75%

1.50%

2.50% + 20.00% + 15.00% + 5.00% - 10.00% - 20.00% - 30.00%

- 6.01% - 2.11% + 2.05% + 323% + 6.24% + 8.45% - 1713% - 9.84% - 5.22% + 0.16% + 9.33% + 14.95%

10% 20% 45% 10% 10% 5%

Outlook & Positioning

Base Case & Better is a 75% probability

Source: Morgan Stanley – Global Investment Committee 2013

6

119

Fed's $ trillions $3.51n

Balance Sheet: Assets Money M2 10x

Multiplier / Monetary Base

$3.0tn - I. Other 9x

$2.5tn - U.S. Treasuries 8x

CV) Ain Aaencv MBS a iisritaill 7x

$1.5tn

$1.0tn

$0.5tn

$0.0tn '03 04 '05 '07 '08 '09 '10 '12

6x

5x

4x

3x

2x

Dec. 2012: 3.9x

'03 '04 r '05 r '06 r '07 r '08 r '09 10 11 12

Manufacturing Wages Nomina , average USD per month

$4,000 Developed Countries

$3,500

$3,000

$2,5120

$2,000

81,500

$1,000

$500

$0

!PR

1

2001* Latest

Emerging Countries 110. $2,000

$1,750

$1,500

$1,250

$1,000

$750

$500

$250

$52

U S Germany Japan Brazil Mexico Gana Thailand Vietnam Indonesia $0

Civilian Unemployment Rate Seasonally adjusted

1296-

3%

Noy. 2012: 7.7%

50-yr. avg.: 6.1%

.60

Start to prepare for Inflation

Source: JP Morgan Guide to Markets Q1 2013

7

120

Recommendation Summary

Manager Target %

Touchstone All Cap Growth 14.00%Aristotle Large Value 14.00%Apex SMID Cap Growth 3.00%Keeley SMID Cap Value 3.00%Harbor International Equity 15.50%William Blair International Growth Equity 15.50%Dupont Emerging Markets 5.00%First Eagle Global 15.00%Delaware Focused Global Growth 15.00%Total 100.00%

Manager Target %

PIMCO All Asset All Authority 16.50%DJP UBS ETF 13.50%RS Global Natural Resources 13.50%Nuveen Symphony Credit Opportunities 23.50%Cohen and Steers Listed Infrastructure 16.50%REMS REIT 16.50%Total 100.00%

Real AssetsEquity

8

121

Real Assets

»Despite record amounts of central bank stimulus, and historically easy monetary policy across the globe, inflationary pressures have stayed relatively subdued.� Money supply growth has yet to take place, despite a significant increase in the size of

bank balance sheets.� Wage inflationary pressures (an important driver of CPI) also remain subdued.

»The Fed however remains committed to maintaining easy monetary policy until labor market slack tightens, and inflation reaches the targeted 2-2.5% level.� Continued monetary stimulus will continue to complicate the eventual reduction in the

size of the Fed’s balance sheet.

»Global growt h concerns in Emerging Markets (particularly China) and Europe have kept Real Asset prices low in the midst of a global equity rally.� As we enter the 4th quarter, global growth synchronization from the four key pillars

(U.S., Europe, China, and Japan) are likely to be a tailwind for inflationary assets in general.

»Currently, real assets offer protection against global inflation for a relatively cheap prem ium, given that inflationary pressures remain low.� We believe now is the time for investors to start building exposure to inflationary

assets

9

122

Pomona EquityAlpha vs. Market Benchmark/Time

12-Quarter Moving Windows, Computed QuarterlyOctober 2003 - September 2013

Alp

ha

-1%

0%

1%

2%

3%

4%

TimeQ3 2006 Q4 2007 Q4 2008 Q4 2009 Q4 2010 Q4 2011 Q4 2012 Q3 2013

Pomona Equity Recommendation Market Benchmark:MSCI ACWI

Annualized Excess Return / Standard Deviation of Excess Return12-Quarter Moving Windows, Computed Quarterly

October 2003 - September 2013

Exc

ess

Ret

urn

-6%

-4%

-2%

0%

2%

4%

6%

8%

Tracking Error0% 1% 2% 3% 4% 5% 6% 7%

October 2003 - September 2013: Summary Statistics

Pomona Equity Recommendation

MSCI ACWI

Return Std. Deviation Sharpe Alpha Beta R-Squared Correlation Excess Return Tracking Error Info Ratio

10.82% 18.52% 0.50 2.39% 0.98 98.06% 0.99 2.41% 2.61% 0.92

8.41% 18.69% 0.36 0.00% 1.00 100.00% 1.00 0.00% 0.00% 0.00

October 2003 - September 2013: Summary Statistics

Pomona Equity Recommendation

MSCI ACWI

Max Drawdown Up Periods Down Periods Average Up Average Down Best Period Return Worst Period Return Batting Averag Up Capture Down Capture

-44.41% 27 13 7.90% -7.08% 21.17% -19.82% 65.00% 108.71% 93.69%

-48.88% 27 13 7.31% -7.57% 22.54% -22.25% 0.00% 100.00% 100.00%

Histogram of ReturnsOctober 2003 - September 2013

Per

cent

age

of Q

uart

ers

(%)

0

5

10

15

20

25

Returns Range (%)< -23 -23 to -19 -19 to -15 -15 to -11 -11 to -7 -7 to -3 -3 to 1 1 to 5 5 to 9 9 to 13 13 to 17 17 to 21 > 21

Pomona Equity RecommendationMSCI ACWI

Calendar Year Return

Pomona Equity Recommendation

MSCI ACWI

YTD 2012 2011 2010 2009 2008 2007 2006 2005 2004

14.88% 19.10% -7.24% 19.40% 39.60% -40.50% 17.18% 20.95% 15.18% 18.30%

14.92% 16.80% -6.86% 13.21% 35.41% -41.85% 12.18% 21.53% 11.37% 15.75%

Manager vs Benchmark: Return through September 2013

1 year 3 years 5 years 7 years 10 years

19.72% 11.64% 11.14% 7.14% 10.82%

18.37% 10.81% 8.30% 4.54% 8.41%

10

123

Pomona Real AssetsAlpha vs. Market Benchmark/Time

12-Quarter Moving Windows, Computed QuarterlyOctober 2003 - September 2013

Alp

ha

-4%

-2%

0%

2%

4%

6%

8%

10%

TimeQ3 2006 Q4 2007 Q4 2008 Q4 2009 Q4 2010 Q4 2011 Q4 2012 Q3 2013

Pomona Real Assets Market Benchmark:65% ACWI/ 35% WGBI

Annualized Excess Return / Standard Deviation of Excess Return12-Quarter Moving Windows, Computed Quarterly

October 2003 - September 2013

Exc

ess

Ret

urn

-6%

-4%

-2%

0%

2%

4%

6%

8%

Tracking Error0% 1% 2% 3% 4% 5% 6% 7%

October 2003 - September 2013: Summary Statistics

Pomona Real Assets

65% ACWI/ 35% WGBI

Return Std. Deviation Sharpe Alpha Beta R-Squared Correlation Excess Return Tracking Error Info Ratio

8.73% 14.41% 0.49 1.21% 1.02 80.04% 0.89 1.12% 6.47% 0.17

7.61% 12.70% 0.47 0.00% 1.00 100.00% 1.00 0.00% 0.00% 0.00

October 2003 - September 2013: Summary Statistics

Pomona Real Assets

65% ACWI/ 35% WGBI

Max Drawdown Up Periods Down Periods Average Up Average Down Best Period Return Worst Period Return Batting Averag Up Capture Down Capture

-37.68% 29 11 5.59% -6.09% 19.13% -21.14% 55.00% 106.91% 97.57%

-31.99% 29 11 4.94% -5.58% 15.87% -11.77% 0.00% 100.00% 100.00%

Histogram of ReturnsOctober 2003 - September 2013

Per

cent

age

of Q

uart

ers

(%)

0

5

10

15

20

25

30

Returns Range (%)

< -22 -22 to -19-19 to -16 -16 to -13 -13 to -10 -10 to -7 -7 to -4 -4 to -1 -1 to 2 2 to 5 5 to 8 8 to 11 11 to 14 14 to 17 17 to 20 > 20

Pomona Real Assets65% ACWI/ 35% WGBI

Calendar Year Return

Pomona Real Assets

65% ACWI/ 35% WGBI

YTD 2012 2011 2010 2009 2008 2007 2006 2005 2004

3.74% 14.50% -1.07% 17.55% 33.73% -29.80% 10.54% 11.02% 14.41% 15.82%

8.46% 11.53% -1.84% 10.74% 23.52% -25.63% 11.90% 16.06% 4.74% 13.89%

Manager vs Benchmark: Return through September 2013

1 year 3 years 5 years 7 years 10 years

5.08% 8.40% 7.82% 6.04% 8.73%

9.94% 7.67% 7.56% 5.36% 7.61%

11

124

CAL POLY POMONA FOUNDATION, INC.

POLICIES AND PROCEDURES

Subject: General Investment Policy Policy No. 131 Old No. 1994-2

Reference: 263-II-B, 273-II-B; 300-II-D; 311-II-A; Date: 12/09/94 320-III-B; 329-III-D;337-III-A-2;348-III-F, Revision: 03/07/96; 12/19/00; 354-III-C; 357-III-E 02/18/03; 02/17/05;

02/22/07; 11/17/08 09/27/11; 2/20/13;

11/13/13, [Date]

I. POLICY

This Statement of Investment Policy is intended to provide guidelines for the prudent investment of the Foundation's (see Scope, Section III) asset general investment portfolio and outline the policies for maximizing the effectiveness and efficiency of the Cal Poly Pomona Foundation, Inc. ("Foundation") investment management program. The goal of this general investment policy is twofold, one is to enhance the economic status of the Foundation while preserving its capital resources; the second is to establish a clear understanding between the Foundation and their Investment Manager(s) regarding investment objectives and policy guidelines. The Foundation's Statement ofgeneral Investment Policy is to be governed by Sections 5210 and 5231 of the California Corporations Code, and California Probate Code Section 18500 et seq. (Uniform Prudent Management of Institutional Funds Act).

II. OBJECTIVE

The Foundation's investment management program is designed to monitor and forecast expenditures and revenues, thus enabling the Foundation to invest its asset portfolio to the fullest extent possible. The Foundation attempts to obtain the highest yield available, while investments meet the criteria established for safety (preservation of capital), liquidity and yield.

A. SAFETY

Asset portfolio safety is the foremost objective of the Foundation. Each investment transaction shall seek to ensure portfolio losses are avoided, whether from securities default, rating downgrades, broker/dealer defaults, or erosion of market value. Cal Poly Pomona Foundation, Inc. shall seek the preservation of its portfolio by managing two types of risk: credit risk and market risk.

1. Credit Risk - is the risk of loss due to failure of the issuer and is managed

by proper due diligence prior to investing and on an ongoing basis, and diversifying the general investment portfolio so the failure of any one issuer would not materially affect the cash flow of the Foundation.

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131 General Investment Policy

2. Market Risk - is the risk of investment value fluctuations due to changes

in the general level of interest rates or the issuer’s individual or industry sector performance. This risk shall be managed by limiting the average maturity of the fixed income portion of the Foundation's g e n e r a l investment portfolio to five years and the maximum maturity of any one security to ten years, with the exception of Mortgage-Backed Securities (MBS), the maximum maturity of which shall be limited to thirty years. Market risk shall also be managed by structuring the portfolio so fixed income securities maturing match cash outflows, eliminating the need to sell securities prior to their maturity. It is recognized that within a diversified portfolio, occasional measured losses are inevitable and must be considered within the context of the overall return on the investment.

B. RETURN ON INVESTMENT

The Foundation’s g e n e r a l investment portfolio shall be designed to attain or exceed a target rate of return throughout economic cycles consistent with risk limitations and prudent investment principles. The target rate of return shall be measured in “absolute”, “relative” and “comparative” terms as determined by the Investment Committee. See Performance Evaluation Section VIII of this Genera l Investment Policy for further details.

C. LIQUIDITY

Cal Poly Pomona Foundation, Inc.'s general investment portfolio will remain satisfactorily liquid to enable the Foundation to meet anticipated operating and cash flow requirements. Historical and cash flow needs are to be analyzed continuously.

III. SCOPE

The funds identified in this section and entrusted to the Foundation will be pooled in an actively managed portfolio. The Foundation shall oversee management of the portfolio within the content of the "Uniform Prudent Management Investment Funds Act of 2008" section 18503 (b) which states:

"…each person responsible for managing and investing an institutional fund shall manage and invest the fund in good faith and with the care an ordinarily prudent person in a like position would exercise under similar circumstances."

This policy is applicable, but not limited to all funds listed below:

• General Fund • Sponsored Programs Fund • Designated Fund • Enterprise Fund • Agricultural-Aid-To-Instruction Fund • Campus Program Fund • Scholarship Fund • Continuing Education Fund • Real Estate Fund

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IV. DELEGATION AND GRANTS OF AUTHORITY

Responsibility for the investment program has been delegated by the Foundation Board of Directors to the Investment Committee, in concert with the authorized investment manager and/or advisor, to monitor and adjust from time to time, the target weighting within the asset allocation ranges allowed per the Target Asset Mix Table, (see section VIII – Performance Evaluation). Any changes to the target weighting within the asset allocation ranges will be reported to the full Foundation Board at its next regularly scheduled meeting. A report on portfolio performance will be provided to the full Foundation Board on a quarterly basis at a regularly scheduled Board meeting.

The authority to execute investment transactions affecting the Foundation's portfolio shall be under the general direction of the Executive Director and the CFO.

V. ETHICS AND CONFLICT OF INTEREST

All Foundation Board members and investment personnel including family members shall refrain from personal business activity which could create a conflict in fact or in appearance with proper execution of the investment program, or which could impair their ability to execute impartial investment decisions. All such personnel shall disclose to the Executive Director any material financial interests in financial institutions which conduct business within the jurisdiction and shall disclose any material financial investment positions which could be related in a conflicting manner to the performance of the Foundation's g e n e ra l investment portfolio. The Executive Director shall report in writing to the full Board at least annually all issues, which could influence the performance of the Foundation's investments.

VI. CRITERIA FOR SELECTION OF INVESTMENT MANAGERS

In order to retain investment management organizations that have demonstrated competence in executing one or more investment strategies consistent with the established policy, the following criteria will be applied in retaining existing firms and selecting new investment managers:

A. Demonstrated performance in one or more of the asset categories defined in

sections X.

B. A sound research program;

C. A disciplined consistent and measurable approach to the construction and monitoring of portfolios;

D. Established investment control procedures with operating management

information to assure regular review of the portfolio manager’s decisions;

E. Ability to trade at the competitive rates and consistently secure best price execution;

F. Primary business purpose will be investment management and will have

sufficient experience with educational endowment investment assets;

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131 General Investment Policy

G. Demonstrated ability to manage its affairs in a business like manner and with a high degree of financial stability;

H. An experienced, highly competent professional staff, recognized as such within

the industry. Continuity of such personnel will be considered;

I. No conflict of interest with the policy, objectives, or organization of the investment portfolio nor any conflict which would interfere with prudent management of the portfolio’s assets;

J. Capability to report accounting and performance data in a timely manner;

K. Competitive fee structure.

VII. AUTHORIZED FINANCIAL DEALERS AND INSTITUTIONS

The Foundation shall transact business only with banks, savings and loan institutions and registered investment securities dealers. The dealers should be primary dealers authorized to buy and sell government securities in direct dealings with the Federal Reserve Bank of New York and qualify under the U.S. Securities and Exchange Commission Rule 15C3-1 (uniform net capital rule).

The CFO shall send a copy of the current statement of investment policy to all dealers approved to do business with the Foundation. Confirmation of the dealer's understanding of the Foundation's genera l investment policy shall be provided in writing by the dealer.

The CFO shall examine financial institutions which wish to perform business with the Foundation, in order to confirm whether the participating financial institutions are satisfactorily capitalized, are market makers in securities appropriate to the Foundation's financial investment universe and agree to comply by the conditions set forth in this Statement ofGeneral Investment Policy.

Any authorized investments (contained in Section X) can be purchased directly from the issuer.

All financial institutions and broker/dealers who qualify to perform investment transactions for the Foundation must supply the CFO the following:

A. Audited financial statements*

B. Proof of National Association of Security Dealers certification**

C. Proof of registration with the SEC and a copy of their ADVII***

D. Proof of state registration

E. Completed broker/dealer questionnaires

F. Certificate of reviewing and understanding the Cal Poly Pomona Foundation, Inc.'s general investment policy

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131 General Investment Policy

G. Certificate of understanding the delivery versus payment instructions for custody

H. Conflict of interest certification statement

* Custodians and brokers only ** Brokers only *** Investment advisors only

A review of the financial condition and registration of the qualified broker/dealers and other bidders will be conducted by the CFO at least every three (3) years. This review shall be reported to the Investment Committee as an "information item only."

VIII. PERFORMANCE EVALUATION

Performance will be reviewed for purposes of determining adherence to appropriate risk levels, and for comparison of returns to the established objectives and specific goals.

It is recognized that investment results can fluctuate through market cycles. Achievement of total rate of return within the risk levels identified will be the primary basis upon which to evaluate manager performance. Each manager’s portfolio will be monitored and reported quarterly to the Investment Committee. A comprehensive quarterly report accepted by the Investment Committee will be presented to the full Board of Directors.

IX. RETURN OBJECTIVE

The purpose of the Foundation’s general investment portfolio is to support the University and its mission over the long term. Accordingly, the purpose of this statement is to establish a written procedure for the investment of the Foundation’s general investment portfolio to ensure that the future growth of the portfolio is sufficient to offset normal inflation plus reasonable spending, thereby preserving the constant dollar value and purchasing power of the portfolio. This statement will establish appropriate risk and return objectives in light of the fund’s risk tolerance and investment time horizon. These objectives, as well as asset allocation guidelines and suitable investments are outlined below.

The return objectives of the Foundation’s general investment portfolio shall be viewed from three perspectives as follows: Absolute - Real (i.e., net of inflation) rate-of-return Relative - Time-weighted rates of return versus capital market indices; and Comparative - Performance of the Investment Manager(s) as compared to a universe of similar investment funds.

1. The Absolute Objective of the Foundation’s general investment portfolio is to

seek an average total annual return of 2.0% plus the percentage change in the greater Higher Education Price Index (HEPI). This objective shall be measured over rolling one, three, five and ten year time periods; The intent of this objective is to measure, over time, the return on the portfolio as measured in inflation adjusted terms.

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131 General Investment Policy

2. The Relative Objective of the Foundation’s general investment portfolio is to

seek competitive investment performance versus appropriate capital market benchmarks or indices. This objective shall be measured primarily by comparing investment results over an annualized three year period, to:

a) The Russell 3000 Index as a benchmark for the Domestic Equity componentThe Standard and Poor’s 500 for the Equity component; b) The MSCI EAFE/Emerging Index (in US dollars) for the International

Equity componentThe Lehman Aggregate Bond Index for the Common Fund Fixed income component and the Merrill Lynch 1-3 year treasury as a benchmark for the other Fixed Income component;

c) The Barclays Intermediate Government Credit as a benchmark for the Fixed Income component;The 90-Day Treasury Bill Index as the benchmark for the Cash and Equivalent component. d) The National Counsel of Real Estate Investment Fiduciaries (NCREIF) for the Common Fund Real Estate component. 90-Day Treasury Bill Index as the benchmark for the Cash and Equivalent component; e) A comparable Index for the Real Assets component f) A comparable REIT Index for Real Estate component eg) Alternative Investments shall be benchmarked against an

authorized investment vehicle of the Foundation.

3. The Comparative performance objective of the Foundation’s general investment portfolio is to achieve a total rate of return that is above the median performance of universe of similar portfolios.

The Foundation’s assets have a long-term, indefinite time horizon that runs concurrent with the endurance of the University. As such, these funds can assume a time horizon that extends well beyond a normal market cycle, and can assume an above-average level of return volatility (as measured by the standard deviation of annual returns) in exchange for an expected higher level of returns over the longer time horizon. It is expected, however, that both professional management and sufficient portfolio diversification will smooth volatility and help to assure a reasonable consistency of return.

X TARGET ASSET ALLOCATION

To achieve its return objectives, the Foundation’s general investment portfolio shall be allocated among a number of asset classes. These asset classes may include: domestic and international equity, domestic and international fixed income, international equity, international fixed income, cash, real assets, real estate and cashalternative investments. The purpose of allocating among asset classes is to ensure the proper level of diversification within the Foundation’s general investment portfolio. It is understood that assets may temporarily be placed in a cash equivalent account prior to investing in longer term instruments.

Formatted: Indent: Left: 1.07", Line spacing: Exactly 12.35 pt

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131 General Investment Policy

The following Target Asset Mix Table defines the Foundation’s general investment portfolio target asset allocation.

Target Asset Mix Table

Asset Class Equities

Range 10-65%

Target Wt. 23%

Representative Index

Domestic Russell 3000 International (Developed and Emerging) MSCI EAFE/Emerging Index

Fixed Income 40-85% 65% Barclays Intermediate Gov’t/Credit

Cash Equivalents 0-20% 0% 90-Day Treasury Rate Real Assets 0-10% 2% Comparable Index Real Estate 0-10% 0% Comparable REIT Index Alternative Investments 0-25% 10% Authorized investment vehicle

Target Asset Mix Table

Asset Class Common Fund Equities

Range 10-65%

Target Wt. 25%

Representative Index Reported by Common Fund

Mutual Funds-Equity 10-65% 0% Reported by Mutual Fund Fixed Income

(Domestic and International) 40-85% 65% Barclays Intermediate Gov’t/Credit

Mutual Funds-Debt 40-85% 0% Reported by Mutual Fund Cash Equivalents 0-20% 0% 90-Day Treasury Rate Common Fund Real Estate 0-10% 0% Reported by Common Fund Alternative Investments 0-25% 10% Authorized investment vehicle

No more than 5 percent of the asset class may be invested in any single equity or fixed income issuer, excluding U.S. Treasury Securities, U. S. Government Agency Securities and Mortgage Back Securities, at time of purchase.

Exposure to any industry sector shall generally be limited to 20 percent of the asset class, excluding U.S. Treasury Securities, U.S. Government Agency Securities and Mortgage Back Securities, at time of purchase. This sector limitation is applicable to both debt and equity.

All limitations expressed on a market value basis.

The general investment policy shall be to diversify investments among both equity and fixed income securitiesassets classes so as to provide a balance that will enhance total return while avoiding undue risk concentration in any single asset class or investment category.

Investments (both debt and equity) in international issues shall be U.S. dollar denominated or appropriately hedged so as to eliminate fluctuations in value attributable to changes in currency exchange rates.

ACCEPTABLE INSTRUMENTS

1. Money Market Funds

Formatted: Centered

Formatted: Indent: Left: 0"

Formatted: Font: 11 pt

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131 General Investment Policy

2. Certificates of Deposit 3. U.S. Government or Government Agency Obligations, 4. International Bonds 5. Mortgage Backed Securities – Agency 6. Mortgage Backed Securities – Non-Agency 7. Corporate Debt 8. Repurchase Agreements 9. Mutual Funds (Debt or Equity) 10. Common Funds (Debt, Equity and Real Estate)Real Estate 11. Real Assets 1112. Alternative Investments

With respect to the above listed investments, the following limitations will apply:

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Policy No. Subject: Page 9

131 General Investment Policy

• Money Market Funds including the Local Agency Investment Fund (LAIF). No more than 5% of the market value of the total portfolio may be invested in any fund. All funds utilized must be pre-approved by the Finance Committee.

• Certificates of Deposit. Investments in certificates of deposit in any insured bank

or savings institution shall be limited to the FDIC insurance maximum.

• U.S. Government or U.S. Government Agency Obligations. There is no limitation within the asset class as to the percentage of the portfolio, which can be invested in U.S. Government obligations.

• International Bonds. These are debt securities issued by non-U.S. governments

and corporations.

• Mortgage Backed Securities – Agency. These are mortgage backed securities guaranteed by GNMA, FNMA and FHLMC. There is no limitation within the asset class as to the percentage of the portfolio, which can be invested in MBS.

• Mortgage Backed Securities – Non-Agency. These are issued by private

institutions (not by government or quasi-government agencies); their underlying collateral generally consists of mortgages which do not conform to the requirements for inclusion in mortgage-backed securities issued by agencies such as Ginnie Mae, Fannie Mae or Freddie Mac. Types of non-agency MBS include: Prime, Alternative-A, Option ARMs & Subprime.

• Corporate Debt, including Commercial Paper. No more than 5% of the market

value of the asset class may be invested in debt issued by any domestic or international corporation. Corporate debt must carry an investment grade rating by at least two of three rating agencies (i.e. Moody, S&P and Fitch) at time of purchase. In the case of securities where the rating is split between investment grade and non-investment grade, the higher rating shall define the quality of the security. Rating downgrades subsequent to purchase shall be managed on a case-by-case basis. This policy authorizes investment of up to 10% of the market value of the asset class in non-investment grade debt provided that all such investments shall be made through mutual funds so as to diversify risk. The average credit rating of the total asset class shall be maintained at AA or above.

• Repurchase Agreements. The Foundation may invest in repurchase agreements

with banks and Primary Dealers in U.S. Government Securities with which the Foundation has entered into a Public Securities Association (PSA) repurchase contract, which specifies terms and conditions of repurchase agreements. The maturity of repurchase agreements shall not exceed 30 days. The market value of securities used as collateral for repurchase agreements shall be monitored daily by the Foundation's staff and will not be allowed to fall below 102% of the value of the repurchase agreement. Repurchase agreements cannot exceed 20 percent of the total market value of the asset class.

• Mutual Funds. For purposes of this Policy, mutual funds shall be considered and

treated as investments in common and preferred stocks and therefore subject to the same limitations.

• The Common FundReal Estate. I n v e s t m e n t s i n r e a l e s t a t e s h a l l

b e l i m i t e d t o s e c u r i t i e s ( e . g . R E I T s ) f o r w h i c h t h e r e i s a r e a d y a n d a c t i v e m a r k e t . The Foundation may invest in any fund of The Common Fund and therefore subject to the same limitations. The

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Policy No. Subject: Page 10

131 General Investment Policy

Commonfund/Manager will typically take into account, amongst many other investment aspects and

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Policy No. Subject: Page 11

131 General Investment Policy

fundamentals of a company, the environmental impact of the company in which it invests or hires investment managers to invest in on behalf of Cal Poly Pomona Foundation.

• Real Assets. Investments in public/private real estate, natural resources,

commodities, infrastructure, timber and inflation-linked securities (TIPS).

• Alternative Investments that meet the “mission of the University” for the benefit of the University and are authorized by Foundation Board resolution and supported by appropriate and documented “due diligence” analysis. The value of these alternative investments shall be benchmarked against an authorized investment vehicle of the Foundation. The target value of these investments will be 10% to 15% and the total value shall not exceed 25% of the portfolio. The alternative investments will diversify and reduce volatility of the portfolio.

• The Foundation will not directly invest in stocks of the top 200 fossil fuel companies,

by carbon in proven oil, gas and coal reserves,. Aalthough it may hold some fossil fuel stocks in commingled funds or mutual funds.

XI. REBALANCING

The portfolio shall be rebalanced at least annually in accordance with market fluctuations, so it remains within ten (10) percentage points of the ranges of targeted asset allocations and the planned distribution among investment managers, keeping in mind that rebalancing is a function of expected returns, volatility, and return correlations of the portfolio. Rebalancing should also be weighed against the additional costs of frequent trading and internal resources.

Formal asset allocation studies will be conducted at least every three years, with evaluations of the validity of the adopted asset allocation.

XII. SAFEKEEPING AND CUSTODY AGREEMENTS

To protect against potential losses caused by collapse of individual securities dealers, all securities owned by the Foundation shall be kept in safekeeping by a third party bank trust department, acting as agent for the Foundation under the terms of a custody agreement or PSA agreement (Purchase Service Agreement). All securities will be received and delivered using standard delivery versus payment procedures with the Foundation's custodial bank and evidenced by safekeeping receipts. Custodial statements are reconciled monthly to transaction schedules.

XIII. INTERNAL CONTROLS

The CFO has developed a system of internal investment and accounting controls while establishing a segregation of responsibilities of investment functions to ensure an adequate system of internal controls over the investment function. The internal controls are identified in a separate document entitled "Investment Practices and Procedures" that identifies the responsibilities for safekeeping, record keeping and reconciliation of the investments and is reviewed annually by the Foundation’s independent accountants.

XIV. INVESTMENT POLICY REVIEW

This Statement ofGeneral Investment Policy shall be reviewed by the Investment Committee at least every three (3) years to ensure consistency with the overall objectives of the preservation of capital, liquidity and return of the investment portfolio. The Statement ofGeneral Investment Policy shall also be reviewed to ensure its compliance and relevance to the current law, financial and economic trends, and to meet the cash

Formatted: Indent: Left: 0.76", Hanging: 0.24"

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131 General Investment Policy

flow requirements of the Foundation. The general investment portfolio is audited annually by the Foundation's independent accountants for internal controls and balances.

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131 General Investment Policy

Cal Poly Pomona Foundation

Investment Practices and Procedures

1. Is authorization for purchases and sales of investments and derivatives

vested with the governing board or other responsible committee or official?

Are all investment and derivative transactions reviewed and approved by the governing board?

2. Does a responsible official or investment committee determine that investments and derivatives are of the type permitted by funding sources or donors and that the investment income and gains are used only for purposes authorized by laws, donors, or the governing board?

3. Are employees with investment responsibilities required to take vacations and are other employees required to perform those functions when an employee is absent?

Safekeeping 4. Are securities adequately protected, preferably in a safe, safety deposit

box, or on deposit with a trustee or financial institution?

5. Is it necessary for more than one person to authorize their release from safekeeping or to have access to the safety deposit box?

6. Are such persons authorized by the governing board?

7. Are such persons bonded?

8. Are such persons prohibited from having access to the accounting records?

9. Is access to computerized investment records limited to those with a logical need for such access?

10. Are all securities held in the name of the nonprofit organization? Recordkeeping

11. Are detail records maintained that include the following information:

Description of investment or derivative?

Date of acquisition and purchase price (or fair market value at date of donation)?

Physical location of item; for example, safety deposit box, etc.?

Interest/dividend/income rates and accrual/receipt dates?

Restrictions on segregation or pooling and on disposition or use of income or proceeds?

Lapse date of any restrictions?

Yes No N/A Comments X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

X

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Policy No. Subject: Page 14

131 General Investment Policy

12. Are recordkeeping functions for securities and investment income

performed by employees who have no access to the securities, cannot authorize security transactions, and have no duties in the cash area?

13. As investment income is received, is it deposited in the proper bank

account, completely and accurately posted to the investment records, and posted on a timely basis?

14. Are schedules of investments showing all income received prepared monthly and reviewed by a responsible person?

15. Are investment earnings recorded in the proper class of net assets?

16. W ith respect to restricted investments:

Is physical segregation of any securities required?

Are all acquisitions and disposals reviewed by the governing board and approved for compliance with restrictions?

Does the governing board review and determine the use of income from investments and proceeds in compliance with any restrictions?

17. Are procedures adequate to identify, record, and segregate investments received under split-interest agreements?

Reconciliation

18. Are periodic surprise counts of evidence of ownership made and reconciled to detail records and other controls? Not really applicable – all investments held with brokers

19. Are periodic statements from outsiders or data resulting from

independent request by the governing board (such as broker’s position listing, etc.) promptly reconciled to detail records?

20. Is adequate physical control exercised over securities written down to zero?

Yes No N/A Comments

X

X

X

X

X

X

X

X

X

X

X

Executive Director and Senior Managing Director/CFO both have to agree and sign for security decisions. This is done through the brokers. Senior Managing Director/CFO has access to the accounting records.

Investments are reconciled on a quarterly monthly basis and the Senior Managing Director/CFO reviews and the Executive Director approves them. There are no surprise counts.

138

Memorandum Date: January 27, 2014 To: Board of Directors Cal Poly Pomona Foundation, Inc. From: G. Paul Storey Executive Director Subject: PCI DSS Compliance Gap Assessment Report In August 2013, the Cal Poly Pomona Foundation, Inc. engaged 403 Labs to perform a compliance gap assessment of its payment card acceptance environment and practices against the Payment Card Industry Data Security Standards (PCI DSS). The compliance gap assessment included all Foundation’s operations that facilitated payment card transactions. The 403 Labs report detailed 8 findings and recommendations that related to the Foundation’s PCI DSS compliance:

• PCI DSS scope is unnecessarily wide • Payment cards are accepted on fao.csupomona.edu • Payment workstations have unlimited access to the internet • Full primary account number (PAN) data is available to some users • Pan data is potentially being stored on campus • PAN is accepted via email • Card Verification Value (CW2) data is potentially being stored on paper • Cal Poly Pomona Foundation or the University may be acting as a PCI Service Provider

The Foundation has taken steps towards the remediation of these findings to minimize the risk of a cardholder data breach and is working on the ultimate goal of meeting PCI DSS compliance standards. Attached for your review is an executive summary of the report with a follow-up on the recommendations and actions that have been taken to date by the Foundation.

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PCI DSS Gap Assessment - Recommendations and Actions 2/20/2014

Recommendations Actions Build and Maintain an Isolated and Secure Environment for all Credit Card Processing Activities

Cal Poly Pomona Foundation has met with all applicable point-of-sale vendors to research and analyze vendor-proposed solutions. Based on this research and analysis, Cal Poly Pomona Foundation is in the process of developing a plan to isolate the Cal Poly Pomona Foundation’s credit card processing environment from the campus network via point to point encryption and cellular network services.

Remove Unnecessary Storage of Cardholder Data

Cal Poly Pomona Foundation determined that credit card account information is being stored on payment application servers at the campus bookstore. Cal Poly Pomona Foundation is working with the vendor to identify and implement a point to point encryption service that will discontinue the storage of credit card account numbers on application servers at the campus bookstore.

Remove Storage of Sensitive Authentication Data

Kellogg West Hotel and Conference Center has ceased the practice of requiring a photocopy of the customer’s credit card. Cal Poly Pomona Foundation reports that the staff training program has been modified to exclude this practice and to emphasize the importance of destroying all credit card and sensitive account data. Cal Poly Pomona Foundation further reports that all stored paper copies of this data have been destroyed.

Secure all Payment Card Processing and Payment Applications

Cal Poly Pomona Foundation reports that the credit card primary account number (PAN) is no longer being accepted at https://cppfsrweb.fao.csupomona.edu/StarRezPortal/Modules/Account. Additionally, staff members at the Farm Store are now using devices centrally managed by the Cal Poly Pomona Foundation for remote events.

Monitor and Control Access to all Payment Systems

The directors of the Commercial Operations indicated in the findings have been instructed to individualize all authentication credentials as per the current Cal Poly Pomona Foundation policy. Additionally, instructions have been made to enhance the existing training system to include this issue.

140

Remedy Unintended Service Provider Condition and Verify Self-Assessment Questionnaire (SAQ) Reporting Requirements

Cal Poly Pomona Foundation worked with Panda Express to remove all credit card processing activity for Panda Express from the university network via implementation of cellular network services. The work was completed December 15, 2013. In addition the Foundation is contracting with 403 Labs to provide external scanning and Self-Assessment support to maintain perpetual PCI compliance through existing policy.

Create an Interdisciplinary PCI Compliance Team

Cal Poly Pomona Foundation is developing a team comprising commercial operations, IT, QSA (Qualified Security Assessor) and vendors to monitor and manage ongoing PCI compliance.

Develop Strategic Plan for Achieving and Maintaining PCI Compliance

Cal Poly Pomona Foundation has begun developing a Strategic Plan to achieve and maintain PCI Compliance on a permanent basis.

141

403 Labs

REPORT

PCI DSS Compliance Gap Assessment Report Cal Poly Pomona Foundation, Inc.

Jano Kray, QSA

Manager, Higher Education

jkray@403labs.com

877.403.LABS (5227) x223

Created October 30, 2013

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PCI DSS COMPLIANCE GAP ASSESSMENT REPORT

Copyright © 2013 403 Labs, LLC. All rights reserved. The information contained within this report may contain information 3 that is privileged, confidential, or otherwise protected from disclosure and is only authorized to be used and viewed by Cal Poly Pomona Foundation, Inc. Distribution or copying is strictly prohibited.

Executive Summary Cal Poly Pomona Foundation provides merchant services to vendors, departments and colleges

wishing to process credit card payments both in person, utilizing campus POS systems, and

online via Web-hosted payment services. The University’s Instructional and Information

Technology Division (Campus I&IT) provides technology services to the Cal Poly Pomona

Foundation, thereby enabling credit card payment processing on the University’s network.

The PCI DSS is a complex standard with more than 280 requirements and sub-requirements. The

standard applies to any organization that stores, processes or transmits payment card data. Since

the Cal Poly Pomona Foundation is a payment card merchant, its people, processes and the

systems related to accepting payment cards are “in scope” for PCI compliance. The easiest path

to becoming PCI DSS compliant – and the strategy 403 Labs recommends – involves minimizing

PCI DSS scope.

This scope reduction strategy does not by itself make Cal Poly Pomona Foundation compliant, but

it reduces the compliance and validation effort greatly. For example, by leveraging network

segmentation to isolate systems that handle cardholder data, Cal Poly Pomona Foundation and

the University avoid extensive and expensive security controls required to bring non-payment

systems into compliance. Isolating systems that handle cardholder data, then, should be a goal.

Another strategy to minimize the compliance effort is to help Commercial Operations merchants

qualify to use a shortened Self-Assessment Questionnaire (SAQ). The use of a shortened SAQ can

reduce the cost and effort required to validate a merchant’s compliance. Having as many

Commercial Operations merchants as possible use shortened SAQs should be an element of the

Cal Poly Pomona Foundation PCI compliance strategy. 403 Labs wants to reinforce that Cal Poly

Pomona Foundation should look carefully at all the requirements for each shortened SAQ. If the

description does not fit the merchant exactly, then that SAQ may not be appropriate.

At its core, PCI compliance is a business issue: the risks are financial (e.g., fines, financial losses)

and reputational. Achieving PCI DSS compliance at the Cal Poly Pomona Foundation requires

both senior management support and a significant commitment of business and information

technology resources. We observed that the Cal Poly Pomona Foundation Information Technology

team has been working on PCI compliance, devoting time and effort to understanding and

interpreting the PCI DSS and raising awareness of the importance of PCI compliance to senior

management. The team has taken a proactive approach in addressing PCI compliance and has

made considerable progress toward educating Commercial Operations merchants in the

understanding and practice of secure card-handling processes. These actions aid in helping

reduce the risk of a damaging cardholder data breach at Cal Poly Pomona Foundation. We also

observed support from senior management for the development of a strategic path forward for Cal

Poly Pomona Foundation to:

Improve information security

Reduce PCI DSS scope

Simplify PCI DSS-validation processes

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PCI DSS COMPLIANCE GAP ASSESSMENT REPORT

Copyright © 2013 403 Labs, LLC. All rights reserved. The information contained within this report may contain information 4 that is privileged, confidential, or otherwise protected from disclosure and is only authorized to be used and viewed by Cal Poly Pomona Foundation, Inc. Distribution or copying is strictly prohibited.

Our detailed findings and recommendations can be found in the body of this report. 403 Labs

notes, in particular, the following high-priority findings that impact Cal Poly Pomona Foundation's

PCI DSS compliance:

PCI DSS scope is unnecessarily wide

Payment cards are accepted on fao.csupomona.edu

Payment workstations have unlimited access to the Internet

Full primary account number (PAN) data is available to some users

PAN data is potentially being stored on campus

PAN is accepted via email

Card Verification Value (CVV2) data is potentially being stored on paper

Cal Poly Pomona Foundation or the University may be acting as a PCI Service Provider

Additionally, this report contains supporting documentation on the results from the 403 Labs

Merchant Questionnaires and final prioritized strategic recommendations for working towards PCI

DSS compliance.

403 Labs thanks Cal Poly Pomona Foundation and its business and IT professionals for their

extraordinary cooperation and support in this PCI DSS compliance gap assessment project. We

look forward to the opportunity to assist Cal Poly Pomona Foundation in its PCI DSS remediation

efforts, with the ultimate goal of validating its PCI DSS compliance and minimizing the risk (both to

the Cal Poly Pomona Foundation and to the University) of a cardholder data breach.

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PCI DSS COMPLIANCE GAP ASSESSMENT REPORT

Copyright © 2013 403 Labs, LLC. All rights reserved. The information contained within this report may contain information 21 that is privileged, confidential, or otherwise protected from disclosure and is only authorized to be used and viewed by Cal Poly Pomona Foundation, Inc. Distribution or copying is strictly prohibited.

Attachments: Supporting Documentation 403 Labs compiled the following documentation as part of the PCI DSS compliance gap

assessment:

Consolidated responses to 403 Labs Merchant Questionnaires

403 Labs Consolidated Merchant Questionnaire -- Cal Poly Pomona Foundation

2013.10.30.xls

Merchant List by MID

Cal Poly Pomona Foundation MID List -- 2013.10.30.xls

Report Follow-up In a follow-up phone conversation on December 5, 2013, Cal Poly Pomona Foundation reported

that the actions listed below have been taken subsequent to the completion of the PCI DSS

Compliance Gap Assessment. Please note that the actions are listed below as stated by Cal Poly

Pomona Foundation and have not been assessed or verified by 403 Labs.

Recommendation 1: Cal Poly Pomona Foundation has met with all applicable point-of-sale

vendors to research and analyze vendor-proposed solutions. Based on this research and analysis,

Cal Poly Pomona Foundation is in the process of developing a plan to isolate the Cal Poly

Pomona Foundation’s credit card processing environment from the campus network.

Recommendation 2: Cal Poly Pomona Foundation determined that credit card account

information is being stored on payment application servers at the campus bookstore. Cal Poly

Pomona Foundation is working with the vendor to identify and implement a solution that will

discontinue the storage of credit card account numbers on application servers at the campus

bookstore.

Please note that, per the verification of credit card account storage on bookstore servers, 403

Labs further recommends that the Cal Poly Pomona Foundation conduct an audit of all devices

connected to the servers, including workstations and backup devices, in order to remove all

possible storage of credit card account numbers from the bookstore card processing

environment.

Recommendation 3: Kellogg West Hotel and Conference Center has ceased the practice of

requiring a photocopy of the customer’s credit card. Cal Poly Pomona Foundation reports that the

145

PCI DSS COMPLIANCE GAP ASSESSMENT REPORT

Copyright © 2013 403 Labs, LLC. All rights reserved. The information contained within this report may contain information 22 that is privileged, confidential, or otherwise protected from disclosure and is only authorized to be used and viewed by Cal Poly Pomona Foundation, Inc. Distribution or copying is strictly prohibited.

staff training program has been modified to exclude this practice and to emphasize the

importance of destroying all credit card and sensitive account data. Cal Poly Pomona Foundation

further reports that all stored paper copies of this data have been destroyed.

Recommendation 4: Cal Poly Pomona Foundation reports that the credit card primary account

number (PAN) is no longer being accepted at

https://cppfsrweb.fao.csupomona.edu/StarRezPortal/Modules/Account. Additionally, staff

members at the Farm Store are now using devices centrally managed by the Cal Poly Pomona

Foundation for remote events.

Recommendation 5: The directors of the Commercial Operations indicated in the findings have

been instructed to individualize all authentication credentials as per the current Cal Poly Pomona

Foundation policy. Additionally, instructions have been made to enhance the existing training

system to include this issue. These actions are currently pending verification by Cal Poly Pomona

Foundation senior management.

Recommendation 6: Cal Poly Pomona Foundation is working with Panda Express to remove all

credit card processing activity for Panda Express from the university network. Cal Poly Pomona

Foundation anticipates that this change will be complete by December 15, 2013.

146

Memorandum Date: January 29, 2014 To: Board of Directors Cal Poly Pomona Foundation, Inc. From: G. Paul Storey Executive Director Subject: College of Science Research Support Task Force Report

Summary In Spring 2013, a task force was created in the College of Science consisting of research-active faculty analyzing issues relating to University’s support for research. A report was presented to Foundation management on September 9, 2013 by the Provost summarizing recommendations for improvements which will enhance the relationships and increase post-award support for principal investigators. Foundation has made improvements to its Post-Award services, and has provided comments to these recommendations contained in this report. The attached report details the issues and these recommendations.

147

College of Science Research Support Task Force Report Summary 

2013 September 9 

Research activity is central to the University’s teacher‐scholar model and its strategic mission and vision.  A task force consisting of 

research‐active  faculty  was  designated  in  Spring  2013  by  the  dean  of  the  College  of  Science  to  report  on  issues  related  to 

University’s  support  for  research.    The  report  highlighted  perceived  challenges  to  grant  funded  projects,  and made  several 

recommendations  for  change.  This  report  summary  is  presented  in  the  hope  that  the  identified  needs  and  recommended 

improvements  will  enhance  relationships  and  increase  post‐award  support  for  principal  investigators,  benefiting  them,  our 

students, and the University as a whole, strengthening its teacher‐scholar model. 

Several major system‐level concerns were identified: 

1. The need for customer‐service oriented administrative support at the post‐award level 

‐ The focus of Grants & Contracts  (G&C) on compliance sometimes results  in delays  in requests by PI’s  for  information or 

assistance in grant management; 

o When  there  is a compliance question relating  to expenditure being submitted  to Foundation  for processing, Post 

Award  will  work  with  the  faculty  member  in  resolving  the  issue.    Unfortunately,  this  will  result  in  delays  in 

processing  the payment.   A  thorough  review  is  conducted of all grant activity  to assure all  expenditures are  in 

compliance with the terms and conditions of the funding and the expenses can be defended in an audit protecting 

both the faculty member in charge of the program and the Institution.  

‐ Paper forms are awkward and documentation is duplicative; 

o There are four main forms for Grant and Contract account accounts.  These documents are presented in the forms 

section of the Grants and Contracts website.   

o There is a Quick Reference Guide explaining each form, a searchable Grants Training Manual on the explanation of 

each form, and a WebEx Grants Training Session on how to process these forms available to the faculty. 

‐ Only one person is able to handle grant expenditure requests. There is no backup; 

o The Grants Specialist processes all expenditure documents for Grant and Contract accounts.  If the Grants Specialist 

is unavailable to process expenditure requests, the Manager of Grants and Contracts performs this function while 

the individual is out.  

‐ Hiring under G&C is time‐consuming. 

o The process used for hiring employees is the same process used in all areas.  Over the past 6 years this process has 

been refined and redundant steps eliminated, and it benefits all concerned to have an efficient and effective hiring 

process.     Also, see  item  (2) below regarding  the ETF routing process.   ETF submission  is   directly related  to  the 

hiring process and by removing one of the steps we will reduce the amount of time  it takes to route the ETF to 

Employment Services. 

Recommendations: 

‐ Train secondary staff members to provide services if primary staff are unavailable; 

‐ Provide a list of staff and their respective responsibilities; 

‐ Create a link between G&C  and HR with regard to hiring under grants; 

‐ Review and simplify required forms; 

‐ Create and maintain a shared filing system, preferably electronic, accessible by ORSP, PI’s and post‐award staff. 

 

2. The need for increased transparency with respect to information at the post‐award level 

‐ Communication among PI’s, granting agencies, ORSP, and G&C is often inefficient; 

o Post award reviews all grant proposals and associated budgets prepared by the Office of Research and Sponsored 

Programs on an interval basis.  This review is sometimes conducted before the proposal has been submitted but is 

often after submission.  Comments are made by Post Award at this time for items relating to compliance issues that 

148

need  to be  reviewed and  resolved prior  to acceptance of  the award and  subsequent opening of  the account by 

Foundation.   

o Foundation meets with the management of the Office of Research and Sponsored Programs on a routine basis to 

discuss issues relating to sponsored programs. 

‐ Grant management workshops are a good start, but need development; 

o Foundation  is  compiling  a  Frequently  Asked  Questions  document  for  our  website.  This  document  will  contain 

current questions from active grant project directors and the related answers to those questions.   

‐ Website is difficult to navigate; 

o Foundation has  redesigned  their website  to  include a section  for Grant and Contract Account Holders only.   This 

website  contains  various  training guides  relating  to  the post award administration,  forms  specific  to grant and 

contract accounts,  links  to post award staff contact  information, Kronos  login, Foundation Employment Services, 

and Office of Research and Sponsored Programs. 

‐ Purchasing of supplies cannot be appropriately delegated; 

o Foundation offers a credit card program that is available to all faculty administering grant and contract accounts.  

This credit card can be provided to administrative staff making purchases on behalf of the program to pay for these 

items needed to conduct their research.   On a monthly basis, the project director  is responsible to reviewing and 

approving all credit card transactions and submitting the documentation to Post Award to review.  

‐ Leave/vacation time for G&C staff is not well‐coordinated with research needs, which tend to peak in summer and winter 

break; 

o Email  communications have been  sent  to  the Grant and Contract account holders when  the  Foundation will be 

closed.  

‐ The accounting system does not produce reports that are useful to PI’s; 

‐ Access  to  Foundation  dashboards  is  too  limited.  In  the  past,  regular  budget‐tracking  reports  were  generated  by 

Foundation. Dashboards have now replaced reports, but not all PI’s have access to the dashboards.  

o At the December 2013 Focus Group Meeting, Foundation gave a presentation on the Online Grants and Contracts 

Reporting System and how to process and read the Budget to Actual reports and Expenditure Detail Reports.    

o Foundation has sent emails to the grant project director which includes the step by step manual on how to use the 

online Grants and Contracts Reports System and communicated that every grant project director has access to this 

system. This manual is also sent with every new account that is established by Foundation. 

o Foundation has provided online WebEx training sessions on how to  log  into this system and how to navigate the 

system in order to process grant activity reports.     

Recommendations: 

‐ Increase thoroughness and improve organization of training manual and make it searchable; 

‐ Re‐design website with input from users and maintain its currency; 

‐ Provide introductory, intermediate, and advanced workshops; 

‐ Provide Foundation Dashboard access to all PI’s; 

‐ Adopt online tracking system for ETF’s. 

o Foundation  does  not  initiate  the  ETF  process  –  the  process  is  initiated  by  those who  use  the  ETF  to  inform 

Foundation of  changes  in  employment  related  information –  such  as  starting or ending  employment,  changing 

project numbers for employees, updating rates of pay, etc.    As such, adopting an online tracking mechanism for 

all  Foundation  areas who utilize  the  ETF would be  expensive  and  impractical,  especially when  considering  any 

benefits.   However,  the current human  resources  information system used  to administer employment data and 

associated transactions allows for significantly more automation than is currently used on campus.  If we used this 

platform more effectively,  the ETF could be eliminated altogether  (over  time).   We have  initiated dialogue with 

faculty affairs on this topic and they are currently considering the implications associated with this approach.  

o Employment  Services  has  been  given  approval  from  Faculty  Affairs  to  discontinue  routing  ETF’s  through  that 

department.   Faculty Affairs will still receive email notification  from Employment Services  to ensure appropriate 

149

tracking of  faculty overload.   Communications about  the updated ETF  routing process  for hiring  faculty  through 

Foundation will be sent out the first week of March.    

 

3. The need for more efficient pre‐ and post‐award communication 

‐ Contract and grant approval is sometimes delayed due to time‐consuming negotiation between ORSP and G&C; 

o Foundation cannot open a grant account until the preaward phase has been completed. 

‐ It might make sense to have pre‐ and post‐award staff in one location. 

o Foundation will be providing web‐access to Office of Research and Sponsored Program staff for all electronic post 

award grant files which include award documents/contracts, budgets, and related communications. 

o Foundation has provided  access  to  the Office  of Research and  Sponsored Program  staff  to process  expenditure 

activity reports for all active grant accounts. 

 

4. The need for a more collaborative culture at the post‐award level 

‐ The perception of some PI’s that the relationship with G&C is not always supportive; 

o Foundation  has  a  responsibility  to  assure  that  all  expenditure  activity  is  in  compliance  with  the  terms  and 

conditions of  the agency.   A  thorough  review  is conducted of all grant activity  to assure all expenditures can be 

defended in an audit which also protects both the faculty member in charge of the program and the Institution.  

‐ More flexibility is desirable, especially with small amounts of funding or changes in budget. For example, Foundation rules 

make it difficult to adjust spending on grants even when this is approved by the funding agency; 

o Foundation must comply with the terms and conditions of the funding relating to budget revisions.  Many agencies 

have  restrictions  relating  to budget  realignment  that  require agency approval.  Foundation must  receive written 

authorization that supports the agency’s approval of these budget modifications.    

‐ There is a perception that the Foundation adds requirements to contract negotiations, especially for sub‐awards, that go 

beyond  the practice at most academic  institutions, and  that  these are  interpreted more stringently  than at comparable 

institutions; 

o Due  to  Subrecipient monitoring  requirements of  Federal Compliance Regulation OMB Circular A‐133 and  recent 

audits  performed  by  the  CSU  Chancellor’s  Office,  this  area  is  of  high  risk  to  the  Foundation.    Due  diligence 

procedures must be performed  including a thorough review of the entity  including reviewing recent A‐133 audits, 

relating findings in those audits, and corrective action plans for these audit findings to determine how the findings 

were resolved by increased internal control procedures. There must be a determination on whether the entity can 

properly administer federal funds and can be a subcontractor on a Foundation grant project.  

‐ Many PI’s have difficulties with the Foundation accounting and Kronos HR systems.   

o At the December 2013 Focus Group Meeting, Foundation gave a presentation on the Online Grants and Contracts 

Reporting System and how to process and read the Budget to Actual reports and Expenditure Detail Reports.    

o Foundation has submitted emails to the grant project director which  includes the step by step manual on how to 

use the online Grants and Contracts Reports System. This manual is also attached to every new grant account that 

is opened by Foundation. 

o Foundation has provided online WebEx training sessions on how to  log  into this system and how to navigate the 

system in order to process grant activity reports.     

Recommendations: 

‐ G&C and PI’s work together to communicate the G&C mission and responsibilities; 

‐ G&C to review and adopt best practices of post‐award entities at similar institutions; 

‐ Develop a plan to “empower” PI’s; 

‐ Express as a key goal providing “the most customer service.”  

 

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SUMMARY OF ITEMS IMPLEMENTED BY FOUNDATION POST AWARD: 

Foundation has redesigned their website to  include a section for Grant and Contract Account Holders only.   This website contains 

various training guides relating to the post award administration, forms only relating to grant and contract accounts, links to post 

award staff contact information, WebEx’s video’s on how to login to ONESolution, Kronos login, Foundation Employment Services, 

and Office of Research and Sponsored Programs. 

Foundation will be providing web‐access to Office of Research and Sponsored Program staff for all electronic post award grant files 

which include award documents/contracts, budgets, and related communications. 

At the December 2013 Focus Group Meeting, Foundation gave a presentation on the Online Grants and Contracts Reporting System 

and how to process and read the Budget to Actual reports and Expenditure Detail Reports.  

Foundation has submitted emails  to  the grant project director which  includes  the step by step manual on how  to use  the online 

Grants and Contracts Reports System and communicated that every grant project director has access to this system. WebEx’s are 

also available to watch and learn how to login and run reports. 

Foundation is compiling a Frequently Asked Questions document for our website. This document will contain current questions from 

active grant project directors and the related answers to those questions.   

Foundation modified  the  Grants  Training Manual  by  adding  a  Table  of  Contents  so  the  project  director  can  go  directly  to  a 

particular section making the document searchable. 

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Memorandum Date: January 29, 2014 To: Board of Directors Cal Poly Pomona Foundation, Inc. From: G. Paul Storey Executive Director Subject: New Technology Transfer Office and Industry Clinic In June 2013, the Technology Transfer and Industry Clinic (TTO) at California State Polytechnic University, Pomona began operating to conduct technology transfer, patenting, an licensing operations for the university. The office was established to assist faculty, students, staff and administration with intellectual property issues, protection, patenting, and commercialization of research developed at the university. The Cal Poly Pomona Foundation is participating in a partnership role be providing startup support and funding to the TTO through a budget allocation as part of the 2013-2014 Foundation budget. Dr. Marie Talnack, Director of the TTO, will provide an update and discus the plans for the clinic.

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