2022-05-10T16:40:50-05:00 2021-06-30 ERNST & YOUNG US LLP 7676 FORSYTH BLVD STE 2600 CLAYTON MO 63105 990 2020-07-01 150532082 Cornell University % UNIVERSITY CONTROLLER CORN 6072553790 377 PINE TREE ROAD ITHACA NY 14850 JOANNE M DESTEFANO EVP & CFO 6072545898 2022-04-26 true JOANNE M DESTEFANO 999009999 JENNIFER L RICHTER P00366526 3142901000 2022-04-26 2 2020 2022-09-23 18:48:47Z X MARTHA E POLLACK PRESIDENT 377 PINE TREE ROAD ITHACA NY 14850 11211146968 false X WWW.CORNELL.EDU X 1865 NY EDUCATION, RESEARCH, MEDICAL SERVICES AND OTHER PUBLIC SERVICES. 63 58 40978 670 -30069578 0 511045032 660310439 4280021515 4627366695 298866002 780113839 36760767 37666938 5126693316 6105457911 708896520 736285004 0 0 2964660801 3040297665 1037421 626400 38161143 1504310640 1614883052 5178905382 5392092121 -52212066 713365790 14446875157 17400544171 4426053301 4356037016 10020821856 13044507155 X SEE SCHEDULE O false false 1512006000 491826211 1237739377 CORNELL UNIVERSITY IS RENOWNED FOR ITS ACADEMIC RIGOR, INTELLECTUAL VIBRANCY, ENTREPRENEURIAL CHARACTER, AND THE DIVERSITY AND QUALITY OF ITS CURRICULA AND AREAS OF MULTIDISCIPLINARY RESEARCH AND STUDY. THE UNIVERSITY'S UNDERGRADUATE, GRADUATE, PROFESSIONAL, POST-DOCTORAL, AND CONTINUING EDUCATION PROGRAMS HAVE A GLOBAL REPUTATION FOR EXCELLENCE AND INNOVATION. CORNELL'S MAIN CAMPUS IS IN ITHACA, NEW YORK, WITH THE CAMPUSES OF WEILL CORNELL MEDICAL COLLEGE AND CORNELL TECH IN NEW YORK CITY. CONTINUE ON SCHEDULE O 1376195000 0 1176195098 MEDICAL SERVICES, INCLUDING THE TRAINING AND EDUCATION OF PHYSICIANS, IS A PRIMARY COMPONENT OF THE UNIVERSITY'S MISSION. CORNELL IS COMMITTED TO EXCELLENCE IN PATIENT CARE, SCIENTIFIC DISCOVERY, AND THE EDUCATION OF FUTURE PHYSICIANS IN NEW YORK CITY AND AROUND THE WORLD. THE DOCTORS AND SCIENTISTS OF WEILL CORNELL MEDICINE -FACULTY FROM WEILL CORNELL MEDICAL COLLEGE, WEILL CORNELL GRADUATE SCHOOL OF MEDICAL SCIENCES, AND THE WEILL CORNELL PHYSICIAN ORGANIZATION- PROVIDE CLINICAL CARE AND RESEARCH THAT CONNECT PATIENTS TO THE LATEST TREATMENT INNOVATIONS AND PREVENTION STRATEGIES. 924353165 244458793 924353165 CORNELL HAS A LONG TRADITION OF COMBINING SCHOLARLY WORK AND LEADERSHIP IN RESEARCH -BOTH BASIC AND APPLIED- WITH PUBLIC SERVICE AND ENGAGEMENT IN NEW YORK STATE AND AROUND THE WORLD. REVENUES FROM SPONSORED AWARDS INCLUDE $723,783,000 IN DIRECT SUPPORT AND $199,281,000 IN INDIRECT COST RECOVERY. REVENUES ALSO INCLUDE GRANT AND CONTRACT REVENUE TO SUPPORT PUBLIC OUTREACH AND INSTRUCTION, THE SINGLE LARGEST PORTION IS RELATED TO RESEARCH. 1244839812 0 1289079055 5057393977 true true false true false false false true false true true true false false true true false true true true true true true true true false false true true true true false false false false false false false false true true true true false false true true true true true false true 40294 0 true 40978 true true true true UK AS IT HK QA CH IN false false false true true true 3 false false false true false X 63 58 false false true false false true false true true false false true true true true true true true true true true AL AK AR CA CO CT DC FL GA HI IL KS KY LA ME MD MA MI MN MS MO NV NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV X UNIVERSITY CONTROLLER 6072545898 377 PINE TREE ROAD ITHACA NY 14850 ZEV ROSENWARKS MD Academic Professor 55.0 0.0 X 7643320 0 89065 HEY-JOO KANG MD ASSOCIATE PROFESSOR - CLINICAL 55.0 0.0 X 4719958 0 103395 LEONARD GIRARDI MD Academic Chair 55.0 0.0 X 4057179 0 94300 PHILIP STIEG MD Academic Chair 55.0 0.0 X 3826547 0 92920 STEVEN SPANDORFER MD ASSOCIATE PROFESSOR - CLINICAL 55.0 0.0 X 3393241 0 119042 AUGUSTINE MK CHOI MD PROVOST FOR MEDL AFFRS & DEAN 55.0 0.0 X 2261498 0 94920 ROBERT J MIN MD PRES. & CEO OF PHYSICIAN ORG 55.0 0.0 X 2084258 0 95441 KENNETH M MIRANDA CHIEF INVESTMENT OFFICER 55.0 0.0 X 1644547 0 48505 STEPHEN COHEN EXEC. 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ROOM & BOARD 900099 109525944 109525944 1036007874 956723326 101083 79183465 4627366695 79932572 -35447077 115379649 0 31475800 31475800 5065510 3387213 1678297 0 1678297 136949 1541348 5789558000 485538 5069371000 20491271 720187000 -20005733 700181267 4407529 695773738 67264 457700 317870 -250606 -250606 0 0 0 16885150 12121703 4763447 731938 4031509 0 6105457911 4438556203 -30069578 1036660847 X 86150141 86150141 491826211 491826211 158308652 158308652 0 11653850 8306321 3114452 233077 302950 302950 2377330217 2309842020 48562565 18925632 111586789 108419037 2279423 888329 428507541 401742936 16481863 10282742 110916318 107767600 2265727 882991 0 12931235 12891063 40172 1900516 1900516 537552 537552 626400 626400 36952901 36952901 412491697 401861841 8811509 1818347 0 55305755 49831633 3820443 1653679 39267608 35340847 3926761 22382133 22382133 228534471 223198387 2692260 2643824 6842374 6831071 4510 6793 0 4284595 3806735 422971 54889 82439730 82439730 0 300458036 270412232 30045804 58871243 52984119 5887124 MAINTENANCE 71766644 66963483 4761556 41605 MEDICAL SUPPLIES 92453612 92453612 LAB & COMPUTER SUPLIES 63311913 57206301 6043186 62426 STUDENT AND CAMPUS SERVICES 76578829 76265640 312952 237 47572208 47572208 5392092121 5057393977 296537001 38161143 X 152323371 208686965 425374755 522923956 754894541 751345090 442343582 544934746 0 0 0 0 63210942 55161420 17934305 9570092 69307544 76543983 8582655837 4392502506 4157617744 4190153331 1288044050 1832540753 6302601208 8441917787 0 0 0 0 773223115 766766048 14446875157 17400544171 803459715 772613828 45419066 30026780 229981780 239394021 1046580000 945410000 0 0 0 0 4841506 4451067 614890000 689890000 1680881234 1674251320 4426053301 4356037016 X 3091336585 3878274744 6929485271 9166232411 10020821856 13044507155 14446875157 17400544171 X 713365790 2139983804 170335705 X false true X true true true X 605956875 437550675 420726543 511045032 660310439 2635589564 0 62628802 58400898 56804157 52165785 55106065 285105707 668585677 495951573 477530700 563210817 715416504 2920695271 55683318 2865011953 98801455 99108684 98628577 90796982 116473882 503809580 0 271446475 280199892 283271222 250300652 206111003 1291329244 4715834095 20616282978 0.60753 0.60087 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED true true false true 3780 false false true 533772 false true 537552 false SCHEDULE C, PART I-A, LINE 1 THE UNIVERSITY DOES NOT PARTICIPATE DIRECTLY OR INDIRECTLY IN ANY POLITICAL CAMPAIGN AND REMINDS THE UNIVERSITY COMMUNITY, AT THE BEGINNING OF THE FALL AND SPRING SEMESTERS, ABOUT THE PROHIBITION AGAINST UNIVERSITY PARTICIPATION. THE MESSAGE MAKES CLEAR THAT THIS PROHIBITION DOES NOT IN ANY WAY AFFECT AN INDIVIDUAL'S PERSONAL ACTIVITIES. UNIVERSITY POLICY 4.18 "POLITICAL CAMPAIGN ACTIVITY" PREVENTS THE USE OF UNIVERSITY RESOURCES FOR POLITICAL CAMPAIGN PURPOSES. SCHEDULE C, PART II-B, LINE 1A CORNELL ESTABLISHED THE CORNELL ADVOCACY PROGRAM IN JANUARY 2020 TO ENCOURAGE INTERESTED CORNELL ALUMNI VOLUNTEERS TO LOBBY CONGRESS ON UNIVERSITY PRIORITIES, INCLUDING STUDENT FINANCIAL AID, FUNDING FOR RESEARCH, AND UNIVERSITY ENDOWMENTS. SCHEDULE C, PART II-B, LINE 1B CORNELL'S LOBBYING EFFORTS WERE HANDLED THROUGH THE UNIVERSITY RELATIONS OFFICES LOCATED IN ALBANY AND WASHINGTON DC PRIMARILY BY SIX REGISTERED LOBBYISTS. THROUGHOUT THE FISCAL YEAR ENDING JUNE 30, 2021 LOBBYING EFFORTS CENTERED ON HIGHER EDUCATION MATTERS, STATE AND FEDERAL BUDGETS, UNIVERSITY-BASED RESEARCH PROPOSALS, AND LEGISLATIVE BILLS AND REGULATIONS AFFECTING CORNELL STUDENTS, FACULTY AND STAFF. CORNELL IS A PAYING MEMBER OF SEVERAL STATE AND FEDERAL ASSOCIATIONS THAT DO DIRECT LOBBYING AND PUBLIC ADVOCACY ON BEHALF OF PUBLIC AND PRIVATE NOT-FOR-PROFIT HIGHER EDUCATION, RESEARCH, COLLEGE ATHLETICS, AND UNIVERSITY OPERATIONS INCLUDING STUDENT HEALTH INSURANCE, ENERGY, AND FINANCIAL PLANNING. SCHEDULE C, PART II-B, LINE 1D CORNELL ADMINISTRATORS AND FACULTY SENT OCCASIONAL LETTERS AND ELECTRONIC MAIL TO THE NEW YORK CONGRESSIONAL DELEGATION AND TO STATE LEGISLATORS IN ALBANY. EXPENSES WERE MINIMAL. SCHEDULE C, PART II-B, LINE 1G CORNELL UNIVERSITY STAFF LOBBIED LEGISLATORS, LEGISLATIVE STAFF AND GOVERNMENT OFFICIALS IN WASHINGTON, ALBANY, AND TOMPKINS COUNTY DURING THE FISCAL YEAR ENDING JUNE 30, 2021. TOPICS INCLUDED: FUNDING FOR CONTRACT COLLEGES AND PROGRAMS, AGRICULTURE TESTING AND RESEARCH PROGRAMS, ENVIRONMENTAL PROTECTION PROGRAMS, ALTERNATIVE ENERGY PRODUCTION AND SERVICES, COVID-19 RELIEF FUNDING, COVID-19 REGULATIONS, HIGHER EDUCATION INSTRUCTION, STATE AND FEDERAL FUNDING FOR STUDENT FIANANCIAL AID AND RESEARCH, FUNDING FOR OPERATIONS AND FACILITIES, STUDENT FINANCIAL AID PROGRAMS, STUDENT LOAN AND LOAN FORGIVENESS PROGRAMS, TITLE IX AND SEXUAL HARASSMENT POLICIES, ECONOMIC DEVELOPMENT PROGRAMS, IMMIGRATION, INTERNATIONAL EDUCATION, RESEARCH SECURITY AND INTEGRITY, GRADUATE MEDICAL EDUCATION, CAMPUS SAFETY INICIATIVES, PATENT REFORM, SCIENCE AND TECHNOLOGY INITIATIVES, HEALTH CARE, AND AGENCY RE-AUTHORIZATIONS. 135847 106396617 X X X X false 6678526938 212788526 2704871491 58390650 242703854 64776030 9230316421 6783134979 201134263 111917735 56918850 312135584 48605605 6678526938 6702170986 119794469 343343472 56152080 281692233 44329635 6783134979 6335520329 142594770 639735017 56780770 316655728 42242632 6702170986 5584197786 387247101 683220281 58471312 216531449 44142078 6335520329 0.19000 0.76000 0.05000 true true true 101784621 101784621 5563615982 2663082332 2900533650 780415161 510573787 269841374 1031116940 745765910 285351031 1105723133 473080477 632642655 4190153331 24625882 F DOMESTIC EQUITIES 346860994 F FOREIGN EQUITIES 892802671 F HEDGED EQUITIES 1508293 F PRIVATE EQUITIES 3203808079 F FIXED INCOME ASSET BACKED SEC 12881951 F FIXED INCOME CORPORATE BONDS 82781642 F FIXED INCOME EQUITY PSHIPS 737734351 F FIXED INCOME & MARKETABLE SEC. 3138913924 F 8441917787 0 OBLIGATIONS UNDER SPLIT INT AGRMNT 137098938 DEFERRED BENEFITS 687448671 FUNDS HELD IN TRUST FOR OTHERS 133409515 BOND PREMIUMS 135871760 OPERATING LEASE LIABILITIES 458473851 FINANCE LEASE LIABILITIES 121948585 1674251320 X 4591559887 -754242872 -754242872 5345802759 759655152 759655152 6105457911 4504141115 35204270 35204270 4468936845 923155276 923155276 5392092121 SCHEDULE D, PART III, LINE 4 ART COLLECTION: THE HERBERT F. JOHNSON MUSEUM OF ART IS PARTICULARLY NOTED FOR ITS COLLECTION IN THE AREA OF ASIAN ART, 19TH AND 20TH CENTURY AMERICAN ART AND THE GRAPHIC ARTS. THE COLLECTION IS USED FOR TEACHING, RESEARCH, AND PUBLIC OUTREACH. THE MUSEUM'S CALENDAR OF EVENTS IS AVAILABLE ON ITS WEB SITE AND PROVIDES INFORMATION TO ENCOURAGE USE OF THE COLLECTION BY THE PUBLIC. SCHEDULE D, PART V, LINE 4 ENDOWMENT FUNDS: THE UNIVERSITY'S ENDOWMENT CONSISTS PRIMARILY OF PERMANENT ENDOWMENT AND BOARD DESIGNATED ENDOWMENT (I.E., FUNDS FUNCTIONING AS ENDOWMENT). THE INCOME FROM THE ENDOWMENT PROVIDES CRITICAL SUPPORT FOR ENDOWED FACULTY CHAIRS, STUDENT FINANCIAL AID, AND SUPPORT FOR VARIOUS INSTITUTIONAL PROGRAMS FOR TEACHING, RESEARCH, AND PUBLIC OUTREACH. SCHEDULE D, PART X, LINE 2 FIN 48(ASC 740) FOOTNOTE THE UNIVERSITY IS A NOT-FOR-PROFIT ORGANIZATION AS DESCRIBED IN SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE AND IS GENERALLY EXEMPT FROM INCOME TAXES ON RELATED INCOME PURSUANT TO THE APPROPRIATE SECTIONS OF THE INTERNAL REVENUE CODE. IN ACCORDANCE WITH THE ACCOUNTING STANDARDS, THE UNIVERSITY EVALUATES ITS INCOME TAX POSITION EACH FISCAL YEAR TO DETERMINE WHETHER IT IS MORE LIKELY THAN NOT TO BE SUSTAINED IF EXAMINED BY THE APPLICABLE TAXING AUTHORITY. THIS REVIEW HAD NO MATERIAL IMPACT ON THE UNIVERSITY'S CONSOLIDATED FINANCIAL STATEMENTS. SCHEDULE D, PART XI, LINE 2D DECONSOLIDATION OF SUBSIDIARIES $ 40,391,303 INVESTMENT RETURN, DISTRIBUTED $ (794,634,175) -------------- TOTAL $ (754,242,872) Schedule D, Part XI, Line 4B Reclass of financial aid $ 451,257,856 State Appropriations $ 285,716,023 Restricted Gifts $ 22,681,273 -------------- TOTAL $ 759,655,152 SCHEDULE D, PART XII, LINE 2D DECONSOLIDATION OF SUBSIDIARIES $ 35,204,270 ------------ TOTAL $ 35,204,270 SCHEDULE D, PART XII, LINE 4B RECLASS OF FINANCIAL AID $ 451,257,856 PROGRAM SERVICES $ 444,729,685 INTEREST EXPENSE $ 27,167,735 -------------- TOTAL $ 923,155,276 true true true true true true true false false false false false false false false true false true SCHEDULE E, PART I, LINE 3 THE UNIVERSITY, ORGANIZED IN THE 1860'S, INCLUDED IN ITS CHARTER A COMMITMENT TO NON-DISCRIMINATION BASED ON RELIGION. FROM ITS EARLIEST HISTORY, THE UNIVERSITY ADMITTED A DIVERSE STUDENT BODY IN TERMS OF RACE, GENDER, AND RELIGION. THE STATISTICS ABOUT THE COMPOSITION OF FACULTY, STAFF, AND STUDENTS, AS WELL AS THE UNIVERSITY'S ONGOING EFFORTS TO INCREASE DIVERSITY, REFLECT THE STRONG COMMITMENT TO NON-DISCRIMINATION. Cornell University is committed to providing a safe, inclusive, and respectful learning, living, and working environment for its students, faculty, and staff and does not discriminate on the basis of protected status, including race, in the education programs and activities it operates. The University prohibits discrimination in admission, hiring, employment, and in other activities in which the University operates. The University has a policy, Policy 6.4 "Prohibited Bias, Discrimination, Harassment, and Sexual and Related Misconduct" that outlines this prohibition, as well as a formal process and procedure for individuals to address bias, discrimination, harassment, and sexual and related misconduct. Policy 6.4 is made available to the general public on the University's Policy website as well as on the Office of Institutional Equity and Title IX's website. Identities protected under University Policy 6.4 are those protected under federal, state, and local equal education and employment laws and regulations. These include race, ethnic or national origin, citizenship and immigration status, color, sex/gender, pregnancy or pregnancy-related conditions, age, creed, religion, actual or perceived disability (including persons associated with such a person), arrest and/or conviction record, military or veteran status, sexual orientation, gender expression and/or identity, an individual's genetic information, domestic violence victim status, familial status, marital status, and any other legally protected status. SCHEDULE E, PART I, LINE 6A CORNELL RECEIVES ASSISTANCE FROM BOTH THE FEDERAL GOVERNMENT AND NEW YORK STATE. THE FEDERAL GOVERNMENT PROVIDES SUPPORT FOR LOANS, STUDENT EMPLOYMENT, AND GRANTS. THE MAJOR LOAN PROGRAMS ARE W.D. FORD SUBSIDIZED AND UNSUBSIDIZED LOANS, PERKINS LOANS, AND DIRECT PLUS LOANS. EMPLOYMENT INCLUDES FUNDS FOR FEDERAL WORK-STUDY. THE MAJOR GRANTS ARE PELL GRANTS AND SUPPLEMENTAL EDUCATIONAL OPPORTUNITY ASSISTANCE PROGRAM (TAP). true Central America and the Caribbean 0 20 Program Services Education & Research 650374 East Asia and the Pacific 1 29 Program Services Education & Research 1877470 Europe (Including Iceland and Greenland) 11 86 Program Services Education & Research 3930579 Middle East and North Africa 0 9 Program Services Education & Research 195054 North America 0 14 Program Services Education & Research 311113 Russia and the Newly Independent States 0 1 Program Services Education & Research 2517 South America 0 14 Program Services Education & Research 656418 South Asia 1 9 Program Services Education & Research 731089 Sub-Saharan Africa 1 7 Program Services Education & Research 1643099 Central America and the Caribbean 0 0 Investments 1449854525 Europe (Including Iceland and Greenland) 0 0 Investments 163827329 North America 0 0 Investments 68748519 Sub-Saharan Africa 0 0 Investments 13671250 Central 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& Services 111778 EFT FMV Middle East and North Africa Medical Research & Services 16110 EFT FMV Europe (Including Iceland and Greenland) Medical Research & Services & Research-Agricultura 226797 EFT FMV Europe (Including Iceland and Greenland) Medical Research & Services 148735 EFT FMV South Asia Medical Research & Services 24974 EFT FMV Europe (Including Iceland and Greenland) Medical Research & Services 13012 EFT FMV Europe (Including Iceland and Greenland) Medical Research & Services 252481 EFT FMV South America Medical Research & Services 144821 EFT FMV North America Medical Research & Services 6508 EFT FMV North America Medical Research & Services 112806 EFT FMV North America Medical Research & Services 60940 EFT FMV North America Medical Research & Services 81694 EFT FMV Europe (Including Iceland and Greenland) Medical Research & Services 14391 EFT FMV Sub-Saharan Africa Medical Research & Services 80000 EFT FMV Europe (Including Iceland and Greenland) Medical Research & 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Research Cornell Coop Extension of Monroe County 2449 St Paul Blvd Rochester NY 14617 166072886 501(C)(3) 41996 Other-Psychology Cornell Coop Ext Tompkins Cty 615 Willow Avenue Ithaca NY 148503555 166072897 501(C)(3) 56140 Research-Psychology Cornell Coop Extension Franklin Cty 355 West Main St Suite 150 Malone NY 129531870 146037203 501(C)(3) 39996 Other-Psychology Cornell Coop Ext of Jefferson Cty 203 N Hamilton Street Watertown NY 136012597 166072882 501(C)(3) 8406 Other-Psychology Cornell Coop Ext of Orange Cty 18 Seward Ave Ste 300 Middletown NY 10940 146036889 501(C)(3) 42251 Other-Psychology Cornell Coop Extension Chemung Cty 425 Pennsylvania Ave Elmira NY 149041766 166072875 501(C)(3) 5624 Other-Psychology 230 17 FINANCIAL AID - UNDERGRADUATE 7322 300305514 FMV NONE FINANCIAL AID - GRADUATE 6195 140648714 FMV NONE MEDICAL SCHOOL - UNDERGRADUATE 241 19677263 FMV NONE MEDICAL SCHOOL - GRADUATE 432 31194720 FMV NONE SCHEDULE I, PART I, LINE 2 THE UNIVERSITY REPORTS ALL GRANT RECIPIENTS, INCLUDING SUB-GRANTEES, OF WHICH IT IS AWARE. THIS INCLUDES SUB-RECIPIENT AWARDS, PRIMARILY FOR RESEARCH, TO GOVERRNMENT AGENCIES, ORGANIZATIONS EXEMPT UNDER 501(C)(3) AND FOR-PROFIT ENTITIES FOR WHICH NO AUTHORITY FOR EXEMPTION IS PROVIDED. X X X X X X X true true X X X X false true false false false false false true false ZEV ROSENWARKS MD Academic Professor 330555 0 0 7312765 0 61115 0 27950 0 7732385 0 0 0 HEY-JOO KANG MD ASSOCIATE PROFESSOR - CLINICAL 64700 0 0 4655258 0 63615 0 39780 0 4823353 0 0 0 LEONARD GIRARDI MD Academic Chair 436960 0 2500 0 3617719 0 80615 0 13685 0 4151479 0 0 0 PHILIP STIEG MD Academic Chair 362056 0 9600 0 3454891 0 80615 0 12305 0 3919467 0 0 0 STEVEN SPANDORFER MD ASSOCIATE PROFESSOR - CLINICAL 76852 0 924996 0 2391393 0 80615 0 38427 0 3512283 0 0 0 AUGUSTINE MK CHOI MD PROVOST FOR MEDL AFFRS & DEAN 926931 0 89264 0 1245303 0 80615 0 14305 0 2356418 0 0 0 ROBERT J MIN MD PRES. & CEO OF PHYSICIAN ORG 354105 0 92000 0 1638153 0 80615 0 14826 0 2179699 0 0 0 KENNETH M MIRANDA CHIEF INVESTMENT OFFICER 809290 0 706344 0 128913 0 48000 0 505 0 1693052 0 0 0 STEPHEN COHEN EXEC. VICE PROV. FOR ADM & FIN 1248958 0 138608 0 5460 0 100115 0 32195 0 1525336 0 0 0 MARTHA E POLLACK PRESIDENT 1122827 0 0 90388 0 48000 0 17200 0 1278415 0 0 0 MICHAEL I KOTLIKOFF PROVOST 700250 0 0 18560 0 81583 0 23641 0 824034 0 0 0 JOANNE M DESTEFANO CFO & EVP 695772 0 0 29360 0 61755 0 14188 0 801075 0 0 0 MADELYN F WESSEL UNIV. COUNSEL & SECRETARY 566143 0 0 26267 0 48000 0 18980 0 659390 0 0 0 MELISSA A HINES TRUSTEE & PROFESSOR 207394 0 0 0 16045 0 8150 0 231589 0 0 0 REGINALD H WHITE Employee & Trustee 148957 0 0 0 14501 0 14903 0 178361 0 0 0 ABIGAIL C COHN Employee & Trustee 139378 0 0 0 10290 0 26393 0 176061 0 0 0 Hunter R Rawlings III FORMER PRESIDENT 146160 0 0 0 10625 0 17200 0 173985 0 0 0 SCHEDULE J, PART I, LINE 1A AND 2 THE POSITIONS OF PRESIDENT OF CORNELL UNIVERSITY AND THE DEAN OF MEDICINE AT WEILL CORNELL MEDICAL COLLEGE RECEIVE THE BENEFITS STATED IN SCHEDULE J,PART I, LINE 1A. AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY, BOTH THE PRESIDENT OF THE UNIVERSITY AND THE INDIVIDUAL SERVING AS DEAN AND PROVOST OF MEDICINE ARE REQUIRED TO LIVE IN UNIVERSITY-PROVIDED HOUSING. EXPENSES FOR USE OF THEIR RESPECTIVE HOMES FOR THE UNIVERSITY'S BUSINESS PURPOSES ARE PAID OR REIMBURSED BY THE UNIVERSITY. TAXABLE HOUSING BENEFITS ARE SHOWN IN SCHEDULE J FOR ZEV ROSENWAKS AND KEN MIRANDA. POTENTIALLY TAXABLE BENEFITS, SUCH AS USE OF AN AUTOMOBILE, PROVIDING A CORNELL EMPLOYEE AS A DRIVER, CLUB AND ASSOCIATION MEMBERSHIPS USED FOR BUSINESS PURPOSES, DISCRETIONARY SPENDING ACCOUNTS, PERSONAL SERVICES, AND PAYMENT OF PROFESSIONAL ADVISORS HAVE BEEN INCLUDED WHERE RELEVANT IN SCHEDULE J, PART II. WHERE BENEFITS ARE TAXABLE, SUCH AMOUNTS ARE INCLUDED AS TAXABLE WAGES ON THE EMPLOYEES' RESPECTIVE FORMS W-2. PAYMENT OR REIMBURSEMENT OF THE EXPENSES DESCRIBED IN LINE 1A ARE COVERED BY THE UNIVERSITY'S TRAVEL POLICIES OR SPECIFIC EMPLOYMENT CONTRACTS AND INCLUDES THE UNIVERSITY'S IMPLEMENTATION OF AN ACCOUNTABLE PLAN. THERE IS OCCASIONALLY UNIT DISCRETION. EMPLOYEES MAY UPGRADE THEIR CLASS OF SERVICE AT THEIR OWN EXPENSE USING THEIR OWN MEANS OF PAYMENT OR THEIR FREQUENT-FLYER MILES. PREMIUM CLASS (E.G., BUSINESS CLASS, FIRST CLASS, ETC) MUST NOT BE PURCHASED USING SPONSORED FUNDS OR FEDERAL APPROPRIATIONS, UNLESS SPECIFICALLY APPROVED IN THE AWARD DOCUMENTS. Pursuant to an individual's employment agreement and/or benefits package, tax gross-ups have been provided for certain benefits that have resulted in imputed income. SCHEDULE J, PART I, LINE 4B HUNTER R. RAWLINGS PARTICIPATED IN A BOARD-AUTHORIZED IRC SECTION 457(F) DEFERRED COMPENSATION PLAN WHILE SERVING THE UNIVERSITY. FOLLOWING HIS SECOND RETIREMENT FROM THE UNIVERSITY, PAYMENTS UNDER THE IRC SECTION 457(F) PLAN RESUMED IN JULY, 2017. THE CURRENT PRESIDENT DOES NOT CURRENTLY PARTICIPATE IN A 457(F) PLAN. SCHEDULE J, PART I, LINE 7 ALL BONUS PAYMENTS INCLUDED ABOVE ARE NON-FIXED AND ARE PROVIDED TO INDIVIDUALS IN RECOGNITION OF ACCOMPLISHME NTS OF SPECIFIC GOALS OR OVERALL PERFORMANCE, EXCEPT CHIEF INVESTMENT OFFICER WHOSE BONUS IS DETERMINED ACCORDING TO A PREDETERMINED FORMULA. ADDITIONAL INFORMATION ON BOARD OF TRUSTEES. THE CORNELL BOARD INCLUDES FACULTY, STAFF AND STUDENTS. FACULTY MEMBERS ELECT TWO (2) MEMBERS; THE STUDENT BODY ELECTS TWO (2) MEMBERS; THE 'EMPLOYEE ASSEMBLIES' ELECT ONE (1) MEMBER. SCHEDULE J, PART II, COLUMN B(II) BONUS AND INCENTIVE PAY IS ANY PAYMENT RECEIVED RELATED TO THE SCHEDULE J, PART I, LINE 7 DISCLOSURE. THE FOLLOWING INDIVIDUALS RECEIVED BONUS AND INCENTIVE PAY: AUGUSTINE M.K. CHOI, STEPHEN COHEN, ROBERT MIN AND KENNETH M. MIRANDA. SCHEDULE J, PART II, COLUMN B(III) OTHER REPORTABLE COMPENSATION REPORTED ON SCHEDULE J IS MADE UP OF ONE, OR A VARIETY OF THE FOLLOWING ITEMS: PENSION RESTORATION BENEFITS, SUPPLEMENTAL WAGES, WHICH INCLUDES WAGES EARNED FOR CLINICAL SERVICES AT THE HOSPITAL, AND OTHER TAXABLE BENEFITS OR REIMBURSEMENTS RECEIVED, SUCH AS A HOUSING ALLOWANCE. THE FOLLOWING INDIVIDUALS RECEIVED SUPPLEMENTAL WAGES FOR CLINICAL SERVICES: ROBERT MIN, ZEV ROSENWAKS, HEY-JOO KANG, LEONARD GIRARDI, PHILIP STIEG AND STEVEN SPANDORFER. THE FOLLOWING INDIVIDUALS RECEIVED TAXABLE HOUSING ALLOWANCES: KENNETH M. MIRANDA AND ZEV ROSENWAKS. SCHEDULE J, PART II, COLUMNS C AND D CORNELL UNIVERSITY PROVIDES A WIDE VARIETY OF BENEFITS TO ITS EMPLOYEES. BENEFITS ARE TREATED AS A NON-TAXABLE BENEFIT, A PRE-TAX EMPLOYEE DEDUCTION, A POST-TAX EMPLOYEE DEDUCTION, OR OTHERWISE RECORDED AS TAXABLE INCOME. CORNELL CONTRIBUTES ON BEHALF OF THE EMPLOYEE ON A TAX-FREE BASIS, FOR A PORTION OF THEIR HEALTH, DENTAL, AND LIFE INSURANCE. EMPLOYEES CONTRIBUTE TO THOSE BENEFITS ON A PRE-TAX BASIS, ALONG WITH OTHER PRE-TAX BENEFITS SUCH AS VISION, A FLEXIBLE SPENDING ACCOUNT, DEPENDENT GROUP LIFE INSURANCE, AND RETIREMENT ACCOUNTS. A DASNY (SERIES 2000AB) 146000293 2015-12-16 101130000 SEE SUPPLEMENTAL INFORMATION false false false B TCIDA (SERIES 2002A) 161214039 2016-01-20 35765000 SEE SUPPLEMENTAL INFORMATION false false false C DASNY (SERIES 2004AB) 146000293 64983TRF2 2004-05-27 92100000 SEE SUPPLEMENTAL INFORMATION false false false D DASNY (SERIES 2016A) 146000293 64990BG49 2016-05-17 153651986 SEE SUPPLEMENTAL INFORMATION false false false A 34895000 0 101130000 0 0 0 0 0 0 0 101130000 0 2016 true false true true B 11560000 0 35765000 0 0 0 0 0 0 0 35765000 0 2016 true false true true C 39025000 0 92663883 0 0 0 842345 0 0 50376296 41445242 0 2006 true false true true D 24050000 0 153651986 0 0 0 660938 0 0 0 152991048 0 2016 true false true true A 0 B 0 C false true true true true true 0 false false false true D false true true true true true 0 false false false true A false false true false true false 0 false 0 false true B false false true false true false 0 false 0 false true C false false false true true false 0 false 0 false true D false false true false false false 0 false 0 false true A true B true C true D true SERIES 2000A&B PART I (F) REFUNDED 2000A&B DASNY BONDS (ISSUED 3/28/2000) PART III THE PRE-2003 ISSUANCE RULES APPLY, THEREFORE, PART III IS NOT REQUIRED. PART IV, QUESTION 2 SERIES 2000A&B BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION. SERIES 2002A PART I (F) REFUNDED 2002A TCIDA BONDS (ISSUED 2/14/2002) PART III THE PRE-2003 ISSUANCE RULES APPLY, THEREFORE, PART III IS NOT REQUIRED. PART IV, QUESTION 2 SERIES 2002A BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION. SERIES 2004A&B PART I (F) REFUNDED 1998 TAX EXEMPT COMMERCIAL PAPER ($40,805,000) AND FINANCED NEW PROJECTS. PART II, LINE 3: AMOUNT LISTED FOR TOTAL PROCEEDS OF THE ISSUE EXCEED ISSUE PRICE DUE TO INVESTMENT INCOME ON THE CONSTRUCTION FUND. PART IV, QUESTION 2 ARBITRAGE REBATE CALCULATION COMPLETED 7/24/2007. CORNELL HAS VERIFIED THAT ALL REQUIRED ARBITRAGE REBATE REPORTS WERE FILED AS FINAL, AND NO ADDITIONAL REPORTS ARE REQUIRED DUE TO THE FACT THERE CAN BE NO IRS INSTALLMENT PAYMENTS OR LIABILITY SINCE ALL BOND PROCEEDS WERE UTILIZED OR SPENT PRIOR TO EACH FINAL ARBITRAGE FILING. PART VI NONE OF TAX EXEMPT BONDS: WITH THE IMPLEMENTATION OF THE MIXED USE RULES, THE UNIVERSITY HAS SEEN A REDUCTION IN REPORTABLE PRIVATE USE DUE TO UNIVERSITY EQUITY AND GIFTS. SERIES 2016A PART I (F) REFUNDED 2006 DASNY BONDS (ISSUES 5/11/2006) PART IV, QUESTION 2 SERIES 2016A BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION. A DASNY (2019ABC) 146000293 64990GMF6 2019-04-25 306733618 SERIES 2019A AND TECP REFUND false false false B DASNY (2019D) 146000293 64990GSL7 2019-09-19 161446050 SEE SUPPLEMENTAL INFORMATION false false false C DASNY (2020A) 146000293 64990GB43 2020-04-02 292657467 REFUND 2010A DASNY BONDS false false false D DASNY (2020A-2) 146000293 64990GF56 2020-05-12 102090381 REFUND 2008BC REOFFERING BONDS false false false A 18315000 0 306733618 0 0 0 1207989 0 0 0 305525629 0 2019 true false true true B 0 0 163875862 0 10826171 0 617745 0 0 152431946 0 0 2021 false false true true C 0 0 292657467 0 0 0 819381 0 0 0 291838086 0 2020 true false true true D 0 0 102090381 0 0 0 422905 0 0 0 101667476 0 2020 true false true true A false true true true true true 0 false false false true B false false true true false 0 false false false true C false true true true true true 0 false false false true D false true true true true true 0 false false false true A false false true false true false 0 false 0 false true B false false false true false false 0 false 0 false true C false false true false false false 0 false 0 false true D false false true false false false 0 false 0 false true A true B true C true D true SERIES 2019A, B, C PART I (F) REFUNDED $253,625,000 OF SERIES 2009A BONDS (ISSUED 04/22/2009) AND $52,890,000 OF TAX-EXEMPT CP. PART IV, QUESTION 2 SERIES A, B, C BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION. SERIES 2019D PART I (F) CONSTRUCTION OF NEW MONEY PROJECT. PART II, LINE 3 THE AMOUNT LISTED FOR TOTAL PROCEEDS OF THE ISSUE EXCEEDS THE AMOUNT LISTED IN PART I, (E) DUE TO INVESTMENT PROCEEDS EARNED ON THE CONSTRUCTION ACCOUNT. PART IV, LINE 2 ARBITRAGE REBATE CALCULATION COMPLETED 10/11/2021. SERIES 2020A PART I (F) REFUNDED DASNY SERIES 2010A BONDS (ISSUED 06/09/2010). PART IV, LINE 2 SERIES 2020A BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION. SERIES 2020A-2 PART I (F) REFUNDED DASNY SERIES 2008BC REISSUANCE BONDS (ISSUED 05/03/2010). PART IV, LINE 2 SERIES 2020A-2 BONDS REFINANCED EXISTING DEBT WITH NO NEW MONEY COMPONENT. EXEMPT FROM REBATE CALCULATION. Peter Destefano OFFICER - SPOUSE 16004 compensation false Carolyn McDaniel OFFICER - SPOUSE 112961 Compensation false Mary E Choi OFFICER - SPOUSE 454346 COMPENSATION false South Hill Business Campus LLC TRUSTEE - EZRA CORNELL 288190 BUSINESS TRANSACTION - RENT false X 28 4074285 Appraisal; FMV X 2475 FMV X 589 12067383 FMV X 1 196000 FMV X 12401 38598 FMV X Equipment 3633 697966 Appraisal; FMV X Horses 9 106006 Appraisal 25 false true false SCHEDULE M, PART I, COLUMN B COLUMN B REPRESENTS THE NUMBER OF ITEMS RECEIVED. FORM 990, PART III, LINE 1 ORGANIZATION'S MISSION THE MISSION OF CORNELL UNIVERSITY IS TO PROVIDE UNDERGRADUATE, GRADUATE, AND PROFESSIONAL DEGREE PROGRAMS; TO DISCOVER, PRESERVE, AND DISSEMINATE KNOWLEDGE; PRODUCE CREATIVE WORK; AND PROMOTE A CULTURE OF BROAD INQUIRY THROUGHOUT AND BEYOND THE UNIVERSITY COMMUNITY. CORNELL ALSO AIMS, THROUGH PUBLIC SERVICE, TO ENHANCE THE LIVES AND LIVELIHOODS OF STUDENTS, THE CITIZENS OF NEW YORK STATE, AND OTHERS AROUND THE WORLD. FORM 990, PART III, LINE 4A (CONTINUED) THE UNIVERSITY HAS A SIGNIFICANT INTERNATIONAL EDUCATIONAL PRESENCE, INCLUDING WEILL CORNELL MEDICAL COLLEGE'S CAMPUS IN DOHA, QATAR. DURING THE REPORTING YEAR, THE UNIVERSITY GRANTED THE FOLLOWING DEGREES: UNDERGRADUATE (3,849); MASTERS (3,082); D.V.M. (107); J.D. (194), and Ph.D., J.D., and D.M.A. (539). FORM 990, PART III, LINE 4D OTHER PROGRAM SERVICE ACCOMPLISHMENTS INCLUDE, BUT ARE NOT LIMITED TO, CORNELL'S LAND-GRANT MISSION, ACADEMIC CONFERENCES, PUBLICATIONS, AND ROOM AND BOARD FOR STUDENTS. FORM 990, PART VI, LINE 1A The Board of Trustees consists of 64 members. However, for the tax year ending June 30, 2021, only 63 positions were filled as of the last day of the tax year. David S. Cohen resigned from the board of trustees on January 19, 2021 and his vacancy was not filled until July 1, 2021. EXECUTIVE COMMITTEE ARTICLE III OF THE BY-LAWS PROVIDES THAT THE EXECUTIVE COMMITTEE IS COMPRISED OF THE CHAIRPERSON AND VICE CHAIRPERSONS OF THE BOARD, THE PRESIDENT OF THE UNIVERSITY, AND THE CHAIRPERSONS OF THE TWO BOARDS OF THE MEDICAL COLLEGE AND CORNELL TECH, EACH EX OFFICIO, TOGETHER WITH TRUSTEES AND EMERITUS TRUSTEES TO BE ELECTED BY THE BOARD PURSUANT TO SECTION 712 OF THE NOT-FOR-PROFIT CORPORATION LAW. A MAJORITY OF THE VOTING MEMBERSHIP OF THE COMMITTEE SHALL CONSTITUTE A QUORUM. DURING THIS REPORTING YEAR, ALL MEMBERS OF THE EXECUTIVE COMMITTEE WERE TRUSTEES. THE EXECUTIVE COMMITTEE IS AUTHORIZED TO: (I) REVIEW THE BUDGET AND FINANCIAL PLAN FOR CORNELL UNIVERSITY, EXCEPT FOR WEILL CORNELL MEDICAL COLLEGE, AND TO SUBMIT THE PLAN, WITH RECOMMENDATIONS, FOR FULL BOARD REVIEW; (II) REVIEW THE PRESIDENT'S PLAN FOR THE UNIVERSITY'S PROPERTIES AND INVESTMENTS; (III) REVIEW AND APPROVE THE PRESIDENT'S COMPENSATION; (IV) REVIEW AND APPROVE COMPENSATION AND BENEFIT POLICIES FOR ALL UNIVERSITY PERSONNEL; (V) ELECT THE DEANS, DIRECTORS AND OTHER HEADS OF THE COLLEGES, SCHOOLS OR OTHER ACADEMIC UNITS, ALL UPON RECOMMENDATION OF THE PROVOST OR PROVOST FOR MEDICAL AFFAIRS, AS APPROPRIATE, AND WITH THE CONCURRENCE OF THE PRESIDENT; (VI) PRESCRIBE THE DUTIES OF SUCH OFFICERS AND ADJUST THEIR COMPENSATION, EXCEPT FOR WEILL CORNELL MEDICAL COLLEGE; AND (VII) EXERCISE THE POWERS OF THE BOARD IN ALL MATTERS, EXCEPT THOSE WHICH REQUIRE ACTION BY THE FULL BOARD, BETWEEN MEETINGS OF THE BOARD OF TRUSTEES. FORM 990, PART VI, LINE 4 SIGNIFICANT CHANGES TO GOVERNING DOCUMENTS CHANGES MADE TO THE UNIVERSITY BY-LAWS WERE APPROVED BY THE BOARD ON THE FOLLOWING DATES: October 9, 2020 - University Bylaws Article Articles VI 1. 4., VIII 3., IX, and X and the Table of Contents. Amendments include a change in title of the University Counsel and Secretary of the Corporation to Vice President and General Counsel and removes the title of the Secretary of the Corporation into two separate positions. Additionally, approved a change in the name of the Cornell NYC Tech Board of Overseers to the Cornell Tech Council with members to be called "Councilors". Also approved amendments to the Resolution Regarding Governance of Cornell NYC Tech. December 10, 2020 - University Bylaws Article II 2.b. Amendments include a change to the student-elected trustee voting process. Additionally, approved a change in name from the Weill Cornell Medicine Board of Overseers to the Weill Cornell Medicine Board of Fellows. Authorized the administration at Ithaca and WCM to make all necessary amendments to the University Bylaws, Resolution Regarding Governance for Weill Cornell Medicine, and all other official documents. Medicine, and all other official documents. FORM 990, PART VI, LINE 7A POWER TO ELECT OR APPOINT MEMBERS PURSUANT TO THE UNIVERSITY'S CHARTER, THE BOARD OF TRUSTEES CONSISTS OF 64 MEMBERS. OF THIS NUMBER, THE GOVERNOR, THE TEMPORARY PRESIDENT OF THE SENATE, THE SPEAKER OF THE ASSEMBLY, AND THE PRESIDENT OF THE UNIVERSITY ARE EX OFFICIO TRUSTEES DURING THEIR TERMS OF OFFICE. FURTHER, THE ELDEST LINEAL DESCENDANT OF EZRA CORNELL IS APPOINTED AS A TRUSTEE FOR HIS OR HER LIFE. THE GOVERNOR ALSO APPOINTS THREE TRUSTEES. ADDITIONALLY, ACADEMIC FACULTY APPOINT TWO MEMBERS, THE STUDENT BODY APPOINTS TWO MEMBERS, AND THE NON-ACADEMIC STAFF APPOINT ONE MEMBER AND THE ALUMNI ELECT EIGHT MEMBERS, AND THE GOVERNOR APPOINTS THREE MEMBERS. ALL REMAINING TRUSTEES ARE ELECTED BY THE BOARD OF TRUSTEES. FORM 990, PART VI, LINE 11B PROCESS USED TO REVIEW THE FORM 990 IN ADVANCE OF FILING, THE UNIVERSITY PRESENTS A DRAFT OF FORM 990 TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES AT THEIR SPRING MEETING WHICH GENERALLY OCCURS IN MARCH OF EACH YEAR. FURTHER, PRIOR TO THE SPRING AUDIT COMMITTEE MEETING, ALL VOTING MEMBERS OF THE BOARD OF TRUSTEES ARE NOTIFIED OF MATERIALS BEING REVIEWED BY THE COMMITTEE AND A DRAFT FROM 990 IS INCLUDED IN THIS NOTIFICATION. IF ANY CHANGES ARE MADE, PRIOR TO FILING, THE FINAL 990 IS POSTED TO THE BOARD OF TRUSTEE'S PASSWORD-PROTECTED WEBSITE. AN EMAIL NOTIFICATION IS SENT TO ALL VOTING MEMBERS OF THE BOARD OF TRUSTEES INFORMING THEM THAT CHANGES HAVE BEEN MADE WITH A LINK TO THE SECURE WEBSITE. FORM 990, PART VI, LINE 12C MONITORING AND ENFORCEMENT OF COMPLIANCE WITH CONFLICT OF INTEREST POLICY INFORMATION ON MONITORING CONFLICT OF INTEREST: UNDER THE UNIVERSITY'S CONFLICT OF INTEREST POLICY, OFFICERS, DIRECTORS, AND OTHER KEY EMPLOYEES AND FACULTY MEMBERS MUST FILE AN ANNUAL CONFLICT OF INTEREST STATEMENT. ANY CONFLICT IDENTIFIED IS REPORTED TO THE APPROPRIATE OFFICE RESPONSIBLE FOR MANAGING THE CONFLICT, SUCH AS THE REAL ESTATE OFFICE FOR REAL ESTATE MATTERS. THIS PROCEDURE IS DESIGNED TO HELP ENSURE THAT SUCH TRANSACTIONS ARE SUBJECT TO ADDITIONAL REVIEW AND AUTHORIZATION. ANY MEMBER OF THE BOARD OF TRUSTEES, BOARD OF FELLOWS, AN OFFICER OF THE CORPORATION, OR OTHER SENIOR ADMINISTRATOR MUST REPORT ANNUALLY, IN WRITING, ANY EXTERNAL INTERESTS, OR THOSE OF A FAMILY MEMBER OR ASSOCIATE, TO THE VICE PRESIDENT AND GENERAL COUNSEL AND THE SECRETARY OF THE CORPORATION. THE VICE PRESIDENT AND GENERAL COUNSEL WILL ADVISE THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES REGARDING SUCH MATTERS AS NECESSARY INCLUDING DETERMINING WHETHER A CONFLICT OF INTEREST EXISTS AND HOW CORNELL UNIVERSITY SHOULD BEST MANAGE A CONFLICT OF INTEREST. AN INDIVIDUAL IS CONSIDERED TO HAVE A CONFLICT OF INTEREST WHEN HE OR SHE, A MEMBER OF HIS OR HER FAMILY, OR AN ASSOCIATE (TO HIS OR HER PRESENT KNOWLEDGE) EITHER: (1) HAS AN EXISTING OR POTENTIAL SIGNIFICANT FINANCIAL INTEREST OR OTHER MATERIAL INTEREST OR RELATIONSHIP THAT IMPAIRS OR MIGHT APPEAR TO IMPAIR THE INDIVIDUAL'S INDEPENDENCE AND OBJECTIVITY IN THE DISCHARGE OF HIS OR HER RESPONSIBILITIES TO THE UNIVERSITY; OR (2) MAY RECEIVE A FINANCIAL OR OTHER MATERIAL BENEFIT FROM INFORMATION CONFIDENTIAL TO THE UNIVERSITY. TYPICALLY, A CONFLICT OF INTEREST MAY ARISE WHEN AN INDIVIDUAL HAS THE OPPORTUNITY TO INFLUENCE THE UNIVERSITY'S BUSINESS, ADMINISTRATIVE, ACADEMIC, OR OTHER DECISIONS IN WAYS THAT COULD LEAD TO PERSONAL GAIN OR ADVANTAGE OF ANY KIND. UPON FULL REPORTING, THE UNIVERSITY MAY APPROVE A TRANSACTION OR AFFILIATION, PROVIDED THAT THE CONFLICT CAN BE MANAGED. IN MANY CASES, THE CONFLICT CAN BE MANAGED THROUGH DISCLOSURE. IN SOME CASES, THE INDIVIDUAL MAY BE REQUIRED TO REPORT ON THE CONFLICT ANNUALLY. THE UNIVERSITY WILL DISAPPROVE THE TRANSACTION OR AFFILIATION IF A CONFLICT OF INTEREST IS INVOLVED THAT CANNOT BE MANAGED. FORM 990, PART VI, LINES 12-14 CORNELL UNIVERSITY HAS ADOPTED POLICIES COVERING THE SUBJECTS OF CONFLICTS OF INTEREST, WHISTLEBLOWERS, AND DOCUMENT RETENTION AND DESTRUCTION, AS WELL AS OTHER SIGNIFICANT POLICIES, EACH OF WHICH IS POSTED ON ITS WEBSITE AT POLICY.CORNELL.EDU. THE CORNELL UNIVERSITY POLICY PROMULGATION PROCESS WAS ESTABLISHED IN 1991. THE CURRENT POLICY PROMULGATION PROCESS DOES NOT REQUIRE THAT EACH SPECIFIC POLICY BE APPROVED BY THE BOARD OF TRUSTEES OR THAT THE LITERAL AUTHORITY TO PROMULGATE POLICY WAS DELEGATED; HOWEVER, CORNELL TAKES A SUBSTANTIATED POSITION THAT THE AUTHORITY TO PROMULGATE POLICIES WAS DELEGATED TO EACH EXECUTIVE BY THE AUDIT COMMITTEE IN 1991. FORM 990, PART VI, LINE 15 PROCESS FOR DETERMINING COMPENSATION THE UNIVERSITY HAS FORMAL PROCEDURE TO AUTHORIZE AND MANAGE COMPENSATION ISSUES. THE PROCEDURES IDENTIFIED BELOW APPLY TO ALL OFFICERS; ALL FORMER OFFICERS WHO CONTINUE TO PROVIDE SERVICES TO THE INSTITUTION AS A WHOLE; AND ALL EMPLOYEES WHOSE COMPENSATION EXCEEDS A PRE-ESTABLISHED THRESHOLD. THE VICE PRESIDENT AND CHIEF HUMAN RESOURCES OFFICER (VP) DEVELOPS THE LIST OF INDIVIDUALS SUBJECT TO REVIEW AND OBTAINS COMPARATIVE DATA FROM EXTERNAL, INDEPENDENT CONSULTING FIRMS. ANY PROPOSED COMPENSATION THAT EXCEEDS MARKET BENCHMARKS IS REVIEWED BY A SEPARATE CONSULTING FIRM FOR REASONABLENESS AND THESE OPINION LETTERS, AS WELL AS THE MARKET DATA, ARE SHARED WITH THE COMPENSATION COMMITTEE. THE VP AND HER INTERNAL STAFF DEVELOP FORMAL PRESENTATIONS FOR THE COMPENSATION COMMITTEE AND THE EXECUTIVE COMMITTEE OF THE BOARD. THE COMPENSATION COMMITTEE REVIEWS THE INFORMATION, MODIFIES IT IF DEEMED APPROPRIATE, APPROVES CASES PER ITS DELEGATED AUTHORITY, AND INFORMS THE EXECUTIVE COMMITTEE OF THOSE APPROVALS. THE COMPENSATION COMMITTEE RECOMMENDS COMPENSATION FOR CASES EXCEEDING ITS AUTHORITY FOR FINAL REVIEW AND APPROVAL TO THE EXECUTIVE COMMITTEE OF THE BOARD. IN ADDITION, THE UNIVERSITY MAINTAINS CONTEMPORANEOUS WRITTEN RECORDS OF THE PROCEDURES THAT, TOGETHER WITH THE FOREGOING, GIVE RISE TO A REBUTTABLE PRESUMPTION OF REASONABLENESS. NOTE: COMPENSATION PROPOSALS WHICH OCCUR OUTSIDE THE SPRING TIMELINE AND REQUIRE COMPENSATION COMMITTEE AND/OR EXECUTIVE COMMITTEE APPROVAL ARE PRESENTED FOR REVIEW AND APPROVAL IN PRIVATE SESSION OF THE APPROPRIATE COMMITTEE. IF THERE IS DISCRETIONARY COMPONENT OF COMPENSATION, IT IS LIMITED BY AMOUNT, PERCENTAGE, OR OTHER CLEARLY SPECIFIED CRITERIA. FORM 990, PART VI, LINE 16A PROCEDURES FOR PARTICIPATION IN JOINT VENTURES THE UNIVERSITY HAS NUMEROUS CONTROLS IN PLACE TO ENSURE THAT ANY INVESTMENT IN, CONTRIBUTION OF ASSETS TO, OR PARTICIPATION IN A JOINT VENTURE OR SIMILAR ARRANGEMENT WITH A TAXABLE OR NON-TAXABLE ENTITY ARE IN FULL COMPLIANCE WITH UNIVERSITY POLICIES, INCLUDING, BUT NOT LIMITED TO, THE POLICIES ON 1) TRANSACTION AUTHORITY AND PAYMENT APPROVAL AND 2) UNRELATED BUSINESS INCOME TAX. COMPLIANCE WITH THE UNIVERSITY'S POLICIES SERVES TO PROTECT THE ORGANIZATIONS EXEMPT STATUS. FORM 990, PART VI, LINE 19 PROCESS FOR MAKING DOCUMENTS AVAILABLE TO THE PUBLIC THE UNIVERSITY'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND AUDITED FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC VIA THE UNIVERSITY'S WEBSITE. FORM 990, PART VIII, PART IX AND PART X CURRENT YEAR REVENUE AND EXPENSE PRESENTS DATA OF CORNELL UNIVERSITY DECONSOLIDATED ON EACH LINE FROM ITS RELATED ORGANIZATIONS THAT ARE INCLUDED IN CORNELLS CONSOLIDATED FINANCIAL STATEMENTS. BOTH THE BEGINNING OF YEAR AND END OF YEAR BALANCE SHEETS FOR CORNELL UNIVERSITY HAVE BEEN PRESENTED DECONSOLIDATED FROM THE RELATED ORGANIZATIONS INCLUDED IN CORNELLS CONSOLIDATED FINANCIAL STATEMENTS. FORM 990, PART VIII, LINE 1H THE CORNELL UNIVERSITY FOUNDATION IS A DONOR ADVISED FUND PROVIDING A SERVICE FOR CORNELL ALUMNI AND FRIENDS WHO WISH TO MAKE CHARITABLE GIFTS THROUGH THE STRUCTURE OF A DONOR-ADVISED FUND. AMOUNTS GRANTED FROM THIS FOUNDATION TO CORNELL UNIVERSITY HAVE BEEN INCLUDED IN THE CONTRIBUTION TOTAL FOR CORNELL UNIVERSITY BEGINNING WITH THE 2014 FORM 990. FORM 990, PART XI, LINE 9 OTHER CHANGES TO NET ASSETS: Pension and post retirement changes 63,177,215 Gain on swap termination 70,238,802 Changes in FMV of split interest 36,919,688 ------------- TOTAL 170,335,705 CORNELL UNIVERSITY FOUNDATION UK LTD 19 NORCOTT ROAD LONDON UK N16 78J UK DONATIONS UK 467505 2866 CORNELL UNIV LLENROC GLOBAL LLC 300 CCC BLDG235 GARDEN AV ITHACA NY 14853 475629659 SUPPORTING NY -2504 18255 CORNELL UNIV WEILL CORNELL INTERNATIONAL LLC 445 E69TH STREET NEW YORK NY 10021 841768308 SUPPORT ORG NY 0 0 CORNELL UNIV CORNELL GRADUATE HOTEL MEZZ LENDER LLC 377 PINE TREE RD ITHACA NY 14850 832647810 SUPPORT ORG DE 1359992 17823285 CORNELL UNIV CORNELL CENTER OF NEW YORK 6 EAST 44TH ST NEW YORK NY 10017 161301416 SOCIAL CLUB NY 501(c)(7) CORNELL UNIV true MRSI MANAGEMENT INC 575 LEXINGTON AVE NEW YORK NY 10022 133366821 MEDICAL SERV NY 501(c)(3) 12B TYPE II CORNELL UNIV true CORNELL REAL PROPERTY SERVICES INC 15 THORNWOOD DR ITHACA NY 14850 161450535 PROPERTY SERV NY 501(c)(3) 12D TYPEIII CORNELL UNIV true CORNELL RESEARCH FOUNDATION INC CORNELL UNIV DAY HALL ITHACA NY 14850 166050703 HOLDS IP PROP NY 501(c)(2) CORNELL UNIV true SAMUEL CURTIS JOHNSON FOUNDATION 130 SENECA PLACE ITHACA NY 14850 222572815 SUPPORT ORG NY 501(c)(3) 12A TYPE I CORNELL UNIV true CORNELL UNIVERSITY FOUNDATION 130 SENECA PLACE ITHACA NY 14850 222848738 SUPPORT ORG NY 501(c)(3) 12A TYPE I CORNELL UNIV true ROBERT J MIN MD PC 575 LEXINGTON AVE NEW YORK NY 10022 133366820 MEDICAL SERV NY 501(c)(3) 10 CORNELL UNIV true THE FRNDS OF THE CORNELL LAB OF ORN INC 1209 ORANGE ST WILMINGTON DE 19801 461979945 SUPPORT ORG DE 501(c)(3) 12A TYPE I NA false NY WEILL CORNELL MEDICAL CTR FUND INC 575 LEXINGTON AVENUE SUITE 9TH FL NEW YORK NY 10022 136094042 SUPPORT ORG NY 501(C)(3) 12A TYPE I CORNELL UNIV true CORNELL MEDICAL BENEFITS TRUST 10 S DEARBORN IL1-0117 CHICAGO IL 60603 161457001 SUPPORT ORG IL 501(c)(3) 12A TYPE I CORNELL UNIV true CORNELL EDUCATION RESEARCH FOUNDATION 4th fl DLF Pl Dist Ctr Saket New Delhi IN 110017 SUPPORT ORG IN 501(C)(3) N/A false Cornell University Fdn Hong Kong LTD 8/F 220-248 Texaco Road Tsuen Wan HK SUPPORT ORG HK 501(C)(3) CORNELL UNIV true ITHACA LP IFC 5 ST HELIER JE JE1 1ST 981180963 INVESTMENTS JE CORNELL UNIV RELATED -2106571 0 false 0 false 0.91917 Hudson Cornell Residential JV 826 Broadway NY NY 10003 Real Estate NY Cornell Univ RELATED 9283360 120216306 false 0 false 0.87000 Cayuga 1993 LP 555 Main St Racine WI 53403 391759702 Investments WI Cornell Univ RELATED 1077008 13137877 false 0 false 0.62950 ARTEMIS REAL ESTATE PARTNERS I&G SIDECAR 5404 WISCONSIN AVENUE SUITE 1150 CHEVY CHASE MD 20815 853393572 INVESTMENTS MD CORNELL UNIV EXCLUDED -75816 15083377 false 0 false 0.62827 Lenroc Real Estate Brokerage Inc 15 THORNWOOD DR ITHACA NY 14850 161450466 REAL ESTATE NY CORNELL UNIV C Corp 18500 68830 1.00000 true UNIVERSITY VETERINARY SPECIALISTS INC 800 CANAL ST STAMFORD CT 06902 272461725 VET SERVICES CT CORNELL UNIV C Corp 21071731 12272596 1.00000 true Ezra Beijing Business Consulting Co Ltd 12th FL Bldg 8 Jianguomenwai St Beijing CH SUPPORT ORG CH NA C CORP 965998 768696 1.00000 true Cornell in India Private Limited 4th fl DLF Pl Dist Ctr Saket New Delhi IN 110017 SUPPORT ORG IN NA C CORP 167756 116788 1.00000 true Tower Innovative Learning Solutions Inc 950 DANBY ROAD ITHACA NY 14850 161593492 DIST LEARNING NY CORNELL UNIV C Corp 0 0 1.00000 true CHARITABLE REMAINDER TRUSTS (46) INVESTMENT NY CORNELL UNIV 0 0 true CHARITABLE LEAD TRUST (6) INVESTMENT NY CORNELL UNIV 0 0 0.00000 true false false true false false true false false false false true true true false true false true false true Cornell University Foundation C 22382366 FMV Cornell Real Property Services Inc S 500000 FMV Samuel Curtis Johnson Foundation C 2823655 FMV University Veterinary Specialists Inc F 1900000 FMV Friends of the Lab of Ornithology C 1900000 FMV Hudson Cornell Residential JV LLC K 1400970 FMV Hudson Cornell Residential JV LLC O 53866 FMV Hudson Cornell Residential JV LLC S 1696015 FMV Hudson Cornell Residential JV LLC Q 258499 FMV Ezra (Beijing) Business Consulting Co LTD M 939570 FMV Cornell in India Private Limited M 206329 FMV