2016-04-06T15:18:15-05:00 2015-05-31 135565207 KPMG LLP 300 North Greene Street Suite 400 Greensboro NC 27401 990 2014-06-01 590624458 University of Miami UNIV 3052844877 PO Box 248106 Coral Gables FL 331242912 Joseph T Natoli Senior VP & CFO 3052843800 2016-04-05 Allison H Franklin P00448640 3362753394 2014 2016-08-17 19:52:53Z Julio Frenk 1252 Memorial Dr Rm 230 CG FL 33146 3757493392 0 X WWW.MIAMI.EDU X 1925 FL The University of Miami's mission is to educate and nurture students, to create knowledge through its comprehensive research programs, and to provide patient care services to our community and beyond. 66 59 23985 1003 7447795 1574345 645431640 695504873 2284232891 2438916697 61037750 106929658 9988334 18584268 3000690615 3259935496 420236626 420640246 0 0 1494370838 1596878935 414944 547690 24449458 1008145641 1053781348 2923168049 3071848219 77522566 188087277 3438736549 3621404251 1705131403 1810868250 1733605146 1810536001 X See Form 990, Part I, Line 1, Description of Organization Mission. 0 0 1032362601 367162791 757807091 See Schedule OInstruction, academic support, student services:The University of Miami (UM) is a private not-for-profit institution with more than 16,000 students. The University's 11 colleges and schools offer the following degree options: 116 undergraduate, 105 masters, and 63 doctoral (59 research/scholarship and 4 professional practice).The School of Architecture, founded in 1983, offers accredited professional undergraduate and graduate degrees in architecture and several post-professional graduate degrees. Programs include the professional Bachelor of Architecture (B.Arch) and the Master of Architecture (M.Arch); the post-professional Master of Science in Architecture in 5 tracks; the Master of Urban Design (M.U.D); and the Master of Real Estate Development and Urbanism (MRED+U), an interdisciplinary one-year graduate program that draws on the real-life experience of Developers-in-Residence and faculty support from the Schools of Business Administration and Law as well as Architecture. In 2012, the School appeared for the first time among the top twenty architecture programs in the Design Intelligence annual survey.The College of Arts and Sciences enrolls over 4,100 undergraduate and 600 graduate students in 20 departments and 10 interdisciplinary programs. Sixteen departments offer graduate degrees in the fine arts, natural sciences, humanities, and social sciences.The College of Engineering comprises five departments that offer degrees in aerospace, architectural, biomedical, civil, computer, electrical, environmental, industrial, and mechanical engineering, as well as engineering science. The College of Engineering offers a five-year B.S./M.S. degree program for our undergraduates, as well as traditional master's and doctoral degrees in a number of disciplines, with several specializations in each field of study. Consistent with the tradition of collaboration among the University of Miami schools and colleges, engineering students participate in a number of interdisciplinary programs, including partnerships between the biomedical engineering program and the School of Medicine (premedical concentration); the architectural engineering program and the School of Architecture; the audio engineering program and the School of Music; and the industrial engineering program and the School of Business Administration. Consisting of over 1,100 undergraduate students and over 230 graduate students, the College boasts an impressively diverse student body, consisting of students from 45 different countries including 29% Hispanic and 7% Black. Females represent 28% of the students (compared to an 18% national average, according to the most recent statistics from the American Society for Engineering Education).The School of Law presently enrolls nearly 1,070 candidates for either J.D., LL.M. or dual degrees, and has over 20,000 alumni worldwide. The J.D. program enrolls approximately 935 students from more than 120 colleges and universities throughout the United States. Of the entering J.D. students, approximately 50% are women, 41% are members of minority groups, and 44% are from outside Florida. Close to 61% speak more than one language. The School offers graduate programs in International Law (specializations in Inter-American Law, General International Law, and U.S. and Transnational Law for Foreign Lawyers), International Arbitration, Ocean and Coastal Law, Entertainment, Art and Sports, Taxation, Taxation of Cross Border Investments, Estate Planning, and Real Property Development, the latter 2 offer courses online as well as on-campus. The graduate program in International Law and its three different specializations enroll over 45 foreign lawyers from nearly 20 nations. The School also offers several joint degree programs. It is the only law school to offer a J.D./Master's in Music Business, in addition to J.D./M.B.A., J.D./M.P.S. in Marine Affairs, J.D./M.P.H. in Public Health, J.D./M.A. in Law and Communications, J.D./M.D., J.D./M.P.A. in Public Administration, J.D./LL.M. in Tax, International Law, Ocean and Coastal Law, Estate Planning or Real Property Development, and a J.D./M.B.A./LL.M. in Tax, Real Property Development or Estate Planning. The School is regularly ranked among the top law schools by U.S. News and World Report for Tax Programs, and its alumni are regularly featured in Super Lawyers Magazine.The Leonard M. Miller School of Medicine has grown rapidly in both size and reputation, earning international acclaim for research, clinical care, and biomedical innovations. The school has more than 1,400 full-time clinical and basic science faculty members and an additional 1,500 professionals from the community serving as voluntary faculty in various departments. Along with the M.D. degree, the school offers two specialized B.S./M.D. programs, a combined M.D./Ph.D. program, an M.D./M.B.A. program, a 4-year and a 5-year M.D./M.P.H. program and 4-year M.D./M.S. in Genomic Medicine, a six-year M.D./J.D. program, graduate degrees in ten areas, postdoctoral programs, and continuing medical education courses. 329919398 30032789 102079168 See Schedule OResearch and Public Service:UM has been classified by the Carnegie Commission as a Very High Research University. The School of Architecture's areas of focus include the Internet of Things, smart cities, digital fabrication, new urbanism, classical and traditional architecture, and contemporary modernism. They also include health and the built environment, with health care design studios and courses and a continuing research partnership with faculty in the Miller School of Medicine; tropical and subtropical coastal design, building on faculty experience in locations such as Santo Domingo, Mumbai, Cape Town, and Barranquilla.The College of Arts and Sciences provides numerous community outreach activities, including student musical theatre and drama productions at the Jerry Herman Ring Theatre and Alvin Sherman Family Stage; student, faculty, and visiting artist exhibitions in the College of Arts and Sciences Gallery and the Project Space in the design district of downtown Miami; lectures and other educational programs sponsored by the Center for the Humanities; volunteer activities in the public schools, hospitals and community clinics for developmentally disabled children; technology workshops for Miami-Dade public school teachers sponsored by the Department of Modern Languages Laboratory; and a series of programs, hosted by several departments and funded by various federal agencies and private foundations, to enhance the diversity of students pursuing scientific careers through research opportunities for pre-college and undergraduate students; and career development opportunities for high-school and community-college faculty.The School of Law offers two externship programs and foreign exchange programs in Argentina, Belgium, Brazil, China, Colombia, France, Germany, Ireland, Israel, Spain, and Switzerland. The School's award-winning clinics, currently ten focusing on different areas of the law, offer exceptional training grounds and give students practical, hands-on lawyering while also helping needy and underrepresented individuals. The School is also home to LawWithoutWalls (LWOW), an innovative academic model that brings together students, faculty, practitioners, and entrepreneurs from around the country and the world to explore innovation in legal education and practice.The Rosenstiel School of Marine & Atmospheric Science is one of the leading oceanographic research and education institutions in the nation. Known originally as the University's marine laboratory, it was founded in 1943. It evolved into the Institute for Marine Science in 1961, and eight years later became the Rosenstiel School of Marine & Atmospheric Science (RSMAS) within the University of Miami. The Virginia Key campus has grown to include modern research and teaching facilities, a dedicated academic library, and an internationally recognized Marine Invertebrate Museum. RSMAS also operates a state-of-the-art 96-foot catamaran research vessel, the F.G. Walton Smith, and pioneered the first-ever marine and atmospheric laboratory aboard a cruise ship, Royal Caribbean Cruise Lines' Explorer of the Seas. CSTARS (Center for Southeastern Tropical Advanced Remote Sensing), located on the Richmond campus in south Miami-Dade county was launched in 2003, and conducts research with remotely sensed data received from earth-orbiting satellite systems. This state-of-the-art real-time reception and analysis facility provides data for environmental monitoring from 16 commercial satellites, available 24/7. The predictive power concentrated on this 78-acre campus is helping to provide vital, life-saving information regarding earthquakes, hurricanes, typhoons, freak waves and other natural and manmade disasters, including monitoring of the earthquakes in Haiti and Chile, and the Deepwater Horizon oil spill.The Leonard M. Miller School of Medicine has been designated a Center for AIDS Research (CFAR), the only such center in Florida, and is leading the University's prestigious Clinical and Translational Science Institute (CTSI), awarded by the NIH. Other clinical and research programs include the John P. Hussman Institute for Human Genomics, the Interdisciplinary Stem Cell Institute, the Dr. John T. Macdonald Foundation Biomedical Nanotechnology Institute, the Miami Transplant Institute, The Miami Project to Cure Paralysis, the Diabetes Research Institute, the Mailman Center for Child Development, and many more. 1199552345 17122 1469196957 See Schedule OHealth Care:Located north of downtown Miami near the Civic Center in the Miami Health District, the Leonard M. Miller School of Medicine's campus consists of approximately 72-acres of owned and leased land within the 153-acre University of Miami/Jackson Memorial Medical Center complex. Each year the University of Miami Health System's nearly 1,000 physicians have nearly two million scheduled patient encounters and represent more than 100 medical specialties and sub-specialties. University of Miami Hospital is the flagship hospital of the University of Miami Health System (UHealth). The University also owns two other hospitals: Sylvester Comprehensive Cancer Center/UMHC - University of Miami Hospital & Clinics and Anne Bates Leach Eye Hospital, home of Bascom Palmer Eye Institute. For the twelfth year in a row, Bascom Palmer was named the number one eye hospital in the country by U.S. News & World Report in its annual "America's Best Hospitals" issue. Three additional specialties were rated high-performing. Seven pediatric specialties made the list of "America's Best Children's Hospitals." In addition to the three University-owned hospitals, there are also three primary hospitals affiliated with UHealth: Jackson Memorial Hospital, the primary teaching hospital for the medical school; Holtz Children's Hospital; and the Miami VA Healthcare System. There are also more than a dozen outpatient clinics across Miami-Dade, Broward, Palm Beach, and Collier counties including multi-disciplinary clinics at UHealth at Kendall and UHealth at Plantation. 245113566 23427544 235751287 Expenses primarily represent auxiliary enterprises, including intercollegiate athletics, parking, student housing and student dining. Other program services revenues primarily represent auxiliary enterprises revenue, investment income, and investment losses. 245113566 23427544 235751287 2806947910 1 1 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 0 1 0 1 1 1 1 1 0 1 1 1 1 1 1 1 0 0 0 0 0 1 0 1 0 1 1 0 0 1 1 1 1 0 0 1 24932 0 1 23985 1 1 1 1 BD 0 0 0 1 1 1 2 0 0 0 0 X 66 59 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 FL X Gabriel G Eszterhas Associate VP & Controller 3052844877 1320 S Dixie Highway Suite 150 Coral Gables FL 331462912 X Leonard Abess Trustee 20.00 X 0 0 0 Stuart A Miller Trustee & Chair 5.00 X 0 0 0 Wayne E Chaplin Trustee 2.00 X 0 0 0 William L Morrison Trustee 2.00 X 0 0 0 Aaron S Podhurst Trustee 5.00 X 0 0 0 Albert Vara Trustee 0.00 X 0 0 0 Alex E Rodriguez Trustee 1.00 X 0 0 0 Alfred R Camner Trustee 4.00 X 0 0 0 Allan M Herbert Trustee 20.00 X 0 0 0 Arthur H Hertz Trustee 10.00 X 0 0 0 Arva Parks McCabe Trustee 5.00 X 0 0 0 Barbara Hecht Havenick Trustee 2.00 X 0 0 0 Bernard J Kosar Jr Trustee 1.00 X 0 0 0 Betty G Amos Trustee 3.00 X 0 0 0 Brenda Yester Baty Trustee 2.00 X 0 0 0 Carlos M de la Cruz Sr Trustee 4.00 X 0 0 0 Carlos M Gutierrez Trustee 2.00 X 0 0 0 Charles E Cobb Trustee 3.00 X 0 0 0 David Kraslow Trustee 1.00 X 0 0 0 David L Epstein Trustee 3.00 X 0 0 0 David R Weaver Trustee 10.00 X 0 0 0 Doyle Beneby Trustee 0.00 X 0 0 0 E Roe Stamps IV Trustee 2.00 X 0 0 0 Fred Berens Trustee 5.00 X 0 0 0 G Ed Williamson Trustee 2.00 X 0 0 0 George Feldenkreis Trustee 1.00 X 0 0 0 HT Smith Jr Trustee 5.00 X 0 0 0 Edward A Dauer Trustee / Faculty Member 40.00 X 89542 0 27679 Hilarie Bass Trustee & Vice Chair 2.00 X 0 0 0 Jayne Sylvester Malfitano Trustee 5.00 X 0 0 0 Joaquin F Blaya Trustee 7.00 X 0 0 0 John E Calles Trustee 1.00 X 0 0 0 Jon Batchelor Trustee 2.00 X 0 0 0 Jorge M Perez Trustee 2.00 X 0 0 0 Jose P Bared Trustee 4.00 X 0 0 0 Joseph Echevarria Trustee 2.00 X 0 0 0 Judi Prokop Newman Trustee 1.00 X 0 0 0 Laurie S Silvers Trustee 1.00 X 0 0 0 Lois Pope Trustee 2.00 X 0 0 0 M Anthony Burns Trustee 5.00 X 0 0 0 Manuel Kadre Trustee 4.00 X 0 0 0 Marc Buoniconti Trustee 10.00 X 0 0 0 Marilyn J Holifield Trustee 1.00 X 0 0 0 Michael I Abrams Trustee 1.00 X 0 0 0 Michael Piechoski Trustee 2.00 X 0 0 0 Nicholas A Buoniconti Trustee 10.00 X 0 0 0 Patricia W Toppel Trustee 2.00 X 0 0 0 Paul J DiMare Trustee 4.00 X 0 0 0 Phillip Frost Trustee 0.00 X 0 0 0 Phillip T George Trustee 4.00 X 0 0 0 Richard D Fain Trustee & Vice Chair 2.00 X 0 0 0 Robert A Mann Trustee 10.00 X 0 0 0 Ronald G Stone Trustee 10.00 X 0 0 0 Rose Ellen Greene Trustee 0.00 X 0 0 0 Stanley H Arkin Trustee 0.00 X 0 0 0 Steven J Green Trustee 0.00 X 0 0 0 Steven J Saiontz Trustee 2.00 X 0 0 0 Steven Sonberg Trustee 5.00 X 0 0 0 Thelma VA Gibson Trustee 2.00 X 0 0 0 Thomas D Wood Trustee 1.00 X 0 0 0 Tracey Berkowitz Trustee 5.00 X 0 0 0 Alfred A Bunge Trustee 0.00 X 0 0 0 Susan Lytle Lipton Trustee 0.00 X 0 0 0 Daniela Lorenzo Trustee 0.00 X 0 0 0 Amy Halpern Trustee 0.00 X 0 0 0 Donna E Shalala President 80.00 X X 1206598 0 380846 Thomas J LeBlanc Executive VP & Provost 50.00 X 789298 0 36678 P Goldschmidt-Clermont Sr VP Medical Affairs-Dean Sch Med 90.00 X 1277879 0 76969 Joseph T Natoli Sr VP Business & Finance and CFO 70.00 X 1283889 0 36106 Sergio M Gonzalez Sr VP, Advancement & External Affair 50.00 X 656123 0 97009 John G Haller VP, Enrollment Management 1.00 X 166297 0 5240 John R Shipley VP & Treasurer 55.00 X 418610 0 38860 Rodolfo Fernandez VP for Government Affairs 55.00 X 258363 0 74079 Larry D Marbert VP for Real Estate & Facilities 65.00 X 394146 0 26404 Jacqueline R Menendez VP for University Communications 60.00 X 304355 0 65266 Aileen M Ugalde VP, General Counsel, University Sec 60.00 X 573451 0 44108 Patricia A Whitely VP for Student Affairs 75.00 X 412868 0 55023 Nerissa Morris VP for Human Resources 65.00 X 432049 0 26773 Leslie Dellinger Aceituno Assistant University Secretary 60.00 X 111215 0 26315 Stephen Cawley VP for Information Technology 80.00 X 437430 0 28961 Mark Diaz VP of Budget and Planning 70.00 X 824087 0 57133 Rudolph Rudy Green VP & Chief Compliance Officer 60.00 X 301661 0 44957 Alfred J Golden Head Coach, Football 84.00 X 2691066 0 36237 James J Larranaga Head Coach, Basketball 80.00 X 1295327 0 44231 Nestor de la Cruz-Munoz Associate Professor Dept of Surgery 60.00 X 1478424 0 34889 Dipen J Parekh Professor, Urology 80.00 X 1102135 0 35137 Lee D Kaplan Professor, Orthopaedics 71.00 X 1483566 0 40586 Theresa L Ashman fmr Associate VP & Controller 60.00 X 264590 0 33863 David A Lubarsky fmr Chief Med & System Integration Offcr 80.00 X 1138076 0 60794 Alan S Livingstone MDfmr Chief Exec, UHealth Clinical 90.00 X 865696 0 34589 Steven Falcone fmr Chief Executive, UHealth Clinical 70.00 X 712913 0 84534 John Sory fmr Chief Exec,UHealth Regional Alliance 62.00 X 441226 0 40718 Daniel J Snyder fmr CEO, Univ of Miami Hospital 80.00 X 230929 0 1282 Richard Ballard fmr CEO, Univ of Miami Hosp & Clinics 48.00 X 416479 0 35977 Michael Gittelman fmr CEO, Anne Bates Leach Eye Hospital 60.00 X 368406 0 34325 22426694 0 1665568 2321 1 1 0 Arellano Construction Co 7255 NW 19 St Suite B Miami FL 33126 Construction Services 12308152 Skanska USA Building Inc 4950 W Kennedy Blvd Suite 600 Tampa FL 33609 Construction Services 10330463 DTZ Inc 275 Grove St Suite 3-200 Auburndale MA 02466 Facilities Operations 9494751 GCA Education Services Inc 4702 Western Ave Suite 101 Knoxville TN 37921 Maintenance & Repair Services 8880048 Chartwells PO Box 50196 Los Angeles CA 90074 Food Services 8579554 487 1002200 2464900 409074165 282963608 16224350 695504873 Hospitals and Clinics 900099 1052074830 1052074830 Tuition and Fees 900099 701834405 701834405 Medical Prof Practice 900099 386070643 385358185 712458 Local Grants and Contr 900099 142487878 142487878 Auxiliary Enterprises 900099 126886918 54329308 3757995 68799615 29562023 28211740 1350283 2438916697 20393874 20393874 8991793 8991793 7969834 2056 2864184 387 5105650 1669 5107319 1669 5105650 557770089 22404161 475320970 18317496 82449119 4086665 86535784 1534867 85000917 359471 2464900 1051657 -692186 -692186 5151 3202 1949 1949 Advertising 541800 47574 47574 Other Revenue 531390 41000 41000 5086819 5086819 5175393 3259935496 2364296346 7447795 192686482 28681459 28681459 387166661 387166661 4792126 4792126 18543660 1645759 14302033 2595868 1203093317 1096961825 94005468 12126024 93808829 86681172 5994170 1133487 207345995 155658847 49003968 2683180 74087134 66838512 6176567 1072055 6389933 429686 5960247 808012 6365 801647 263184 263184 547690 547690 9826069 9826069 195781684 163186454 31903700 691530 12979651 12539109 316168 124374 69813112 64102214 4754527 956371 21703476 17885607 3817869 1287477 1287477 118213333 111452704 6517948 242681 25525815 24282528 841352 401935 22088314 18871539 1728769 1488006 37182729 35794096 1388633 131381974 125597451 5784523 43447468 41084238 2361808 1422 Medical Supplies 293214777 293214777 Miscellaneous 62765890 58961235 3419820 384835 UBIT Income Tax 1108450 1108450 3071848219 2806947910 240450851 24449458 30239296 39411303 73018005 124293702 137095993 199507271 274209883 309391795 64595310 60083569 21482052 25679360 31932111 34440870 3072423485 1408287859 1591940201 1664135626 177526956 124016412 957937805 976560029 1127000 1127000 77631937 62757314 3438736549 3621404251 176324098 227361414 73562699 106770424 794544555 781596843 109543929 169311900 551156122 525827669 1705131403 1810868250 X 874065032 857247413 416287211 474873295 443252903 478415293 1733605146 1810536001 3438736549 3621404251 X 188087277 -57722872 -53433550 X 0 1 X 1 1 1 X 668320066 664112561 665082826 645431640 695504873 3338451966 668320066 664112561 665082826 645431640 695504873 3338451966 3338451966 61014907 62841566 67787860 70328911 118800048 380773292 1084829 1083998 1555052 1151702 1574344 6449925 3725675183 11013324346 0.89610 0.90670 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 263184 263184 3065964107 3066227291 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 300005 301917 273233 263184 1138339 250000 250000 250000 250000 1000000 1500000 671850 55723592 X X X X X public ed & outreach programs 0 0 865434666 32562542 26787748 -6981057 -30474584 887329315 777946842 25884017 96424339 -6545053 -28275479 865434666 678694294 22091982 109828176 -6177708 -26489902 777946842 719851550 21377588 -32451356 -5541013 -24542475 678694294 618236320 15963186 116702475 -5675165 -25375267 719851550 0.20600 0.46900 0.32500 0 0 87356788 87356788 1800141517 820846246 979295271 49826485 32920804 16905681 714915193 448364856 266550337 420183502 106155953 314027549 1664135626 -4436859 F Limited Partnerships 620447444 F Mutual Funds 284718519 F Other 75830925 F 976560029 Medical Self-Insurance Reserves 97182947 Refundable Deposits 479746 Accrued Postretirement Benefit Cost 217643198 Annuities Payable 8834298 Refundable Federal Student Loans 23229637 Other Liabilities 178457843 525827669 X 2816994350 -57722872 -50635 -57773507 2874767857 9826069 375341570 385167639 3259935496 2686680580 0 2686680580 9826069 375341570 385167639 3071848219 Part III, Line 4: Part III, Line 4: Art Collection: The mission of the Lowe Art Museum, the art museum of the University of Miami, is to serve the University, the Greater South Florida communities, and national and international visitors as a teaching and exhibiting resource through its permanent and borrowed collections. The Museum: collects original, quality works of art primarily from Asia, Africa, Europe and the Americas; exhibits and preserves the permanent collection according to the highest professional standards; researches the permanent collection and publishes new findings in exhibition catalogues and articles; organizes traveling exhibitions and loans of individual works from the permanent collection to expand knowledge and appreciation of art both regionally and nationally; enhances the appreciation of the permanent collection through borrowed and organized traveling exhibitions and loans of individual works; and, supports, extends and enriches the mission of the University of Miami for students, faculty, scholars, residents, and visitors to South Florida to appreciate and more fully comprehend art and its history. More information on the Museum can be found on its website at www.miami.edu/lowe. Part V, Line 4: Part V, Line 4: Endowment Funds: The University's endowment is used to support the University's mission which is to educate and nurture students, to create knowledge through its comprehensive research programs, and to provide patient care services to its community and beyond. Distributions from the University's endowment are mainly used for student scholarships and fellowships, endowed chairs, research, school/college support, academic program support, library support, and general University support. Part X, Line 2: Fin 48 Footnote: The University is exempt from federal income taxes under section 501(c)(3) of the Internal Revenue Code. Accordingly, no provision for income taxes is made in the financial statements. At May 31, 2015, there were no uncertain tax positions. The University files tax returns with U.S. federal and other tax authorities for which the statute of limitations may go back to the year ended May 31, 2012. Part XI, Line 2d - Other Adjustments: Refunds of Program service Rev. - Hospitals.& Clinics - 0 Refunds of Contributions - $50,635 Part XI, Line 4b - Other Adjustments: See Part XI Part XII, Line 4b - Other Adjustments: See Part XI Part XI and XII, Line 4b: Other Revenue and Expense Reconciling Items: Tuition discounting $213,259,071, grants and contracts pass-through transactions from sponsoring agencies $166,164,461. Less: non-program related rental expenses $2,864,570; cost of sales of inventories/other assets $119,530; and direct expenses related to fundraising events $1,051,657 and various others $46,205. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 Schedule E, Part I, Line 3 The University publishes its Equal Opportunity Policy and Non-discrimination Policy Statement in the following publications: * Workplace Equity & Performance Web site * All UM web sites state our Non-discrimination policy under a link for "Privacy Statement and Legal Notices" * Students Rights and Responsibilities Handbook * Academic Bulletin * Student Handbook distributed at Orientation * Faculty Manual * Employee Handbook * Various public bulletin boards located throughout the various campuses, in contracts with other vendors, during University employee orientation, University Career Website, etc. Schedule E, Part I, Line 6 The University provides financial assistance in the form of grants to award scholarships and fellowships to students attending the University. In addition, government agencies award grants to the University for research. 1 Central America & the Caribbean 0 0 Program Services Grants to Recipients 817091 East Asia & the Pacific 0 0 Program Services Grants to Recipients 25012 Europe 0 0 Program Services Grants to Recipients 681555 Middle East & North Africa 0 0 Program Services Grants to Recipients 189208 North America 0 0 Program Services Grants to Recipients 216660 South America 0 0 Program Services Grants to Recipients 382936 South Asia 0 0 Program Services Grants to Recipients 6015 Sub-Saharan Africa 0 0 Program Services Grants to Recipients 752219 Central American and the Caribbean 0 0 Program Services Travel - Institutional Research and Education 218496 East Asia & the Pacific 0 0 Program Services Travel - Institutional Research and Education 473403 Europe 0 0 Program Services Travel - Institutional Research and Education 1218534 Middle East & North Africa 0 0 Program Services Travel - Institutional Research and Education 78419 North America 0 0 Program Services Travel - Institutional Research and Education 256555 Russia and Neighboring States 0 0 Program Services Travel - Institutional Research and Education 31789 South America 0 0 Program Services Travel - Institutional Research and Education 472186 South Asia 0 0 Program Services Travel - Institutional Research and Education 45054 Sub-Saharan Africa 0 0 Program Services Travel - Institutional Research and Education 83189 Central America and the Caribbean 0 0 Investments N/A 70290045 Central America and the Caribbean 0 2 Program Services Independent Contractors-Institutional Research and Education 18259 East Asia and the Pacific 0 5 Program Services Independent Contractors-Institutional Research and Education 56237 Europe 0 26 Program Services Independent Contractors-Institutional Research and Education 1676220 Middle East and North Africa 0 2 Program Services Independent Contractors-Institutional Research and Education 11098 North America 0 12 Program Services Independent Contractors-Institutional Research and Education 484004 South America 0 5 Program Services Independent Contractors-Institutional Research and Education 13510 South Asia 0 2 Program Services Independent Contractors-Institutional Research and Education 41004 Sub-Saharan Africa 0 1 Program Services Independent Contractors-Institutional Research and Education 3016 0 0 0 55 0 55 3070696 75471018 78541714 Central America & the Caribbean Research 22703 Wire Transfer N/A N/A Central America & the Caribbean Research 794389 Wire Transfer N/A N/A East Asia & the Pacific Research 12581 Check N/A N/A East Asia & the Pacific Research 12431 Wire Transfer N/A N/A Europe Research 31294 Check N/A N/A Europe Research 97311 Check N/A N/A Europe Research 225802 Check N/A N/A Europe Research 47778 Check N/A N/A Europe Research 86383 Check N/A N/A Europe Research 35411 Check N/A N/A Europe Research 23925 Check N/A N/A Europe Research 25200 Wire Transfer N/A N/A Europe Research 73728 Wire Transfer N/A N/A Europe Research 24723 Wire Transfer N/A N/A Europe General Support 10000 Wire Transfer N/A N/A Middle East & North Africa Research 33734 Check N/A N/A Middle East & North Africa Research 58540 Check N/A N/A Middle East & North Africa Research 96934 Wire Transfer N/A N/A North America Research 194877 Check N/A N/A North America Research 16173 Check N/A N/A North America Research 5610 Check N/A N/A South America Research 6000 Check N/A N/A South America Research 19566 Check N/A N/A South America Research 57000 Wire Transfer N/A N/A South America Research 107292 Wire Transfer N/A N/A South America Research 33813 Wire Transfer N/A N/A South America Research 55251 Wire Transfer N/A N/A South America Research 89000 Wire Transfer N/A N/A South America General Support 15015 Wire Transfer N/A N/A South Asia General Support 6015 Wire Transfer N/A N/A Sub-Saharan Africa Research 294176 Wire Transfer N/A N/A Sub-Saharan Africa Research 100000 Check N/A N/A Sub-Saharan Africa Research 187542 Wire Transfer N/A N/A Sub-Saharan Africa Research 26850 Check N/A N/A Sub-Saharan Africa Research 143650 Wire Transfer N/A N/A 3 28 Scholarships, Fellowship Grants Central America and the Caribbean 6 60302 Check 0 N/A N/A Scholarships, Fellowship Grants East Asia and the Pacific 48 745627 Check 0 N/A N/A Scholarships, Fellowship Grants Europe 29 296842 Check 0 N/A N/A Scholarships, Fellowship Grants Middle East and North Africa 4 69438 Check 0 N/A N/A Scholarships, Fellowship Grants North America 16 129146 Check 0 N/A N/A Scholarships, Fellowship Grants Russia and Neighboring States 3 46704 Check 0 N/A N/A Scholarships, Fellowship Grants South America 13 118572 Check 0 N/A N/A Scholarships, Fellowship Grants South Asia 14 215977 Check 0 N/A N/A Scholarships, Fellowship Grants Sub-Saharan Africa 8 38822 Check 0 N/A N/A 1 0 1 1 1 1 Part I, Line 2: Procedures for Monitoring Grants Outside the United States: The University awards grants as subcontracts to foreign organizations for the purpose of conducting research and research training. Prior to the University awarding the subcontract, the organization is required to submit the proposed scope of work and a budget. Once reviewed and approved, a formal subcontract is issued with the terms and conditions of the award. To comply with terms and conditions of the subcontract, the foreign organization must submit an invoice together with supporting documentation. Upon receipt of the invoice, the faculty member at the University responsible for the grant or his/her designee approves the invoice for payment. In addition, monitoring of the science is conducted by the University faculty member responsible for the grant via site visits, correspondence, phone calls, etc. Reports required under the terms and conditions of the subcontract are submitted by the grantee. Part I, line 3: Activity Expenditures: Expenditures are recorded based on the accrual method of accounting and are recorded when incurred. X 1 RuffaloCody LLC 65 Kirkwood N Rd SW Cedar Rapids IA 52404 Campaign Management 0 592556 547690 44866 592556 547690 44866 MD Dinner Gala 1273138 1183087 90051 0 511 12800 7881 249017 179201 Dinner Gala 376950 339819 37131 0 1386 3632 60020 9948 11708 9 1174283 941994 232289 500 1006 47115 253722 90685 122525 2824371 2464900 359471 500 2903 63547 321623 349650 313434 1051657 -692186 1 1 X 1 X 0 1 1 0 0 9057000 9057000 0.00290 117171108 116875058 296050 0.00010 126228108 116875058 9353050 0.00300 3614320 2847678 766642 0.00020 19386507 3927126 15459381 0.00500 1395413 1395413 168032743 164138378 3894365 0.00130 106440 100000 6440 0.00000 192535423 172408595 20126828 0.00650 318763531 289283653 29479878 0.00950 1833602 1611518 222084 0.00010 1833602 1611518 222084 0.00010 1 76570336 236572929 276644870 -40071941 X 1 1 3 1 University of Miami Hospital 1400 NW 12 Avenue Miami FL 33136 umiamihospital.com #4109 X X X X 2 University of Miami Hospital & Clinics 1475 NW 12 Avenue Miami FL 33136 sylvester.org #4074 X X 3 Anne Bates Leach Eye Hospital 900 NW 17 Street Miami FL 33136 bascompalmer.org #4040 X X University of Miami Hospital 1 0 0 1 X X X X X X X X 12 1 0 0 1 X 1 12 0 1 0 1 X 200.000000000000 X X X X X 1 1 X X 1 X X 1 X 0 X X X X 1 X 0 0 University of Miami Hospital & Clinics 2 0 0 1 X X X X X X X X X 12 1 0 0 1 X sylvester.org 1 12 0 1 0 1 X 200.000000000000 400.000000000000 X X X 1 1 X X X X 1 X uhealthsystem.com/billing/ X X X 1 X 0 X X 0 X X 0 0 Anne Bates Leach Eye Hospital 3 0 0 1 X X X X X X X X X 12 1 0 0 1 X bascompalmer.org 1 13 0 1 0 1 X 200.000000000000 400.000000000000 X X X 1 1 X X X X 1 X uhealthsystem.com/billing/ X X X 1 X 0 X X 1 X 0 0 University of Miami Hospital Part V, Section B, Line 5: The organization conducted focus groups to gather information about health concerns from particular interest groups in Miami-Dade County to add richness to the quantitative data collected. At University of Miami Hospital, three focus groups were conducted during December 4-6, 2012; two consultants from Carnahan Group facilitated each session at UMH. A total of 26 individuals participated in the focus groups, one of which consisted of Spanish-speaking adults, another of African American community members and one general group of adult community members. Community members consulted: Gepsie Metellus, Director, Sant La Haitian Neighborhood Center; Dr. Reynald Jean, Director, Tuberculosis Program, Miami-Dade County Health Department; Tori Gabriel, Director, Education and Prevention, Florida Heart Research Institute; Kathleen Ducasse, CEO, Florida Heart Research Institute; Pamela Toomer, Director, School Health Program, Miami-Dade County Health Department; Dr. Lillian Rivera, Administrator, Miami-Dade County Health Department; Betty Gomez-Galan, Specialist, American Diabetes Association; Angenys Gonzalez-Eilert, Executive Director, Colombian American Service Association; Helene Good, President and CEO, CCDH (formerly Community Committee for Developmental Handicaps); Dr. Erin Kobetz, Assistant Research Professor, Dept. of Epidemiology and Public Health, UM Miller School of Medicine, Director, SCCC Disparities and Community Outreach Core Resource, Director, Jay Weiss Center for Social Medicine and Health Equity; Dr. Noella Dietz, Research Assistant Professor, Dept. of Epidemiology and Public Health, UM Miller School of Medicine; Ann-Karen Weller, Director, Office of Community Health and Planning, Miami-Dade County Health Department; Dr. David Lubarsky, Chair, Dept. of Anesthesiology, Perioperative Medicine and Pain Management, University of Miami Hospital; Dr. Dan Brady, Executive Director, Douglas Gardens Community Mental Health Center of Miami Beach. University of Miami Hospital & Clinics Part V, Section B, Line 5: At University of Miami Hospital & Clinics, a focus group consisting of cancer patients, cancer survivors and caregivers was conducted on December 4, 2012 at Sylvester Comprehensive Cancer Center; the session was facilitated by two consultants from Carnahan Group. Community leaders consulted: Dr. Jerry Goodwin, Chief Medical Officer, SCCC; Dr. Teresa Neira, Social Worker, Courtelis Center, SCCC; Dr. Erin Kobetz, Assistant Research Professor, Dept. of Epidemiology and Public Health, UM Miller School of Medicine, Director, SCCC Disparities and Community Outreach Core Resource, Director, Jay Weiss Center for Social Medicine and Health Equity; Dr. Noella Dietz, Research Assistant Professor, Dept. of Epidemiology and Public Health, UM Miller School of Medicine; Dr. Ana Espinosa, Director of Outpatient Clinics, SCCC, Director, Ask for Ana Program, SCCC; Vivi Carreras, Nurse Navigator, SCCC; Dawn Albright, Nurse Navigator, SCCC; Dr. Jill MacKinnon, Project Director, Florida Cancer Data System; Richard Ballard, Chief Executive Officer, SCCC; Lazara Barreras-Pagan, Chief Operating and Nursing Officer, SCCC; Alyssia Crews, Director of Clinical Operations, SCCC; Antonieta Sauerteig, Associate Director of Administration, SCCC; Harry Rohrer, Chief Financial Officer, SCCC. Anne Bates Leach Eye Hospital Part V, Section B, Line 5: At Anne Bates Leach Eye Hospital, a focus group was conducted on December 6, 2012 at Bascom Palmer Eye Institute; the session was facilitated by two consultants from Carnahan Group. A total of 10 individuals participated in the focus group, which consisted of adult community members living with various eye conditions. Community leaders consulted: Betty Gomez-Galan, Specialist, American Diabetes Association; Charles Pappas, Chief Operations Officer, BPEI; Harry Rohrer, Chief Financial Officer, BPEI; Marla Bercuson, Director of Business Operations, BPEI. University of Miami Hospital Part V, Section B, Line 11: The hospital has engaged the health enterprise medical leadership and resources to raise community awareness regarding the importance of preventive screenings through marketing, targeted education in certain clinics, and sensitivity training to the medical staff concerning the needs of the at-risk populations in the hospital's primary services area. University of Miami Hospital & Clinics Part V, Section B, Line 11: There are various resources available that are both sponsored and provided by UMHC to provide education and support as well as raise awareness about breast cancer. There are support groups for both patients and caregivers; these provide informational and emotional support, including how to alter your lifestyle to better adjust to cancer treatments and the stress experienced by all affected. The Look Good Feel Better program is aimed to improve cancer patients' self-image and appearance through complimentary group, individual, and self-help beauty sessions that create a sense of support, confidence, courage, and community. While there is also a support group for men with prostate cancer at UMHC, it appears there is a lack of support for patients and survivors in that county; therefore, UMHC provides access to free colon cancer screenings. There are resources throughout UMHC providing emotional and informational support for patients, caregivers, and family members. These resources include on-site counseling, but also the provision of information on other resources in the community. Anne Bates Leach Eye Hospital Part V, Section B, Line 11: ABLEH has identified a need to have more brochures available in community agencies. The hospital has improved the services to the visually disabled population by changing from a doctor setting, where patients were required to make an appointment and charged a fee, to a walk-in setting at no cost where patients are able to receive education and use devices. If patients choose to purchase these devices, a generous refund policy has been put into place. The hospital also intends to amplify its already excellent relationship with the Miami Lighthouse for the Blind. While Press Ganey surveys indicate that the scores earned from the indigent population were essentially the same as the general population, improvement in wait times for patients were part of the improvement initiatives. At ABLEH, approximately 30% of emergency department visits are charity cases. University of Miami Hospital Part V, Section B, Line 16i: At UMH, patient Access provides information on the FAP program on an individual basis to uninsured patients or other patients seeking information on the program. Not applicable at UMHC and ABLEH. University of Miami Hospital Part V, Section B, Line 22d: All patients are charged the same price for goods and services received at the hospital, regardless to insurance. Charges or list prices are determined by various factors, including reimbursement methodologies, competitive pressures, and infrastructure cost. Uninsured patients not meeting charity guidelines receive a 40% discount from those charges. University of Miami Hospital & Clinics Part V, Section B, Line 22d: Low income patients are charged based on FPG, and self-pay patients are entitled to a 30-40% discount for prompt payment. Anne Bates Leach Eye Hospital Part V, Section B, Line 22d: Low income patients are charged based on FPG, and self-pay patients are entitled to a 30-40% discount for prompt payment. Part V, Section B, Line 16 Financial Assistance Policy Website Availability University of Miami Hospital & Clinics Part V, Section B, line 16c website: uhealthsystem.com/billing/ Anne Bates Leach Eye Hospital Part V, Section B, line 16c website: uhealthsystem.com/billing/ Part I, Line 3c: Although each of the organization's three hospitals determine eligibility for discounted care differently (as seen in Schedule H's Part V section B) we have answered the question in Part I line 3b using the organization's largest bed hospital's policy (UMH). At UMH an uninsured patient not qualifying for any federal assistance programs or charity write-off automatically is eligible for discounted emergency care. Part I, Line 6a: The organization did not prepare a community benefit report during the tax year. Part I, Line 7: The Medicare cost report was used. Part II, Community Building Activities: Community building activities include child abuse protection programs. Part III, Line 2: Total bad debt expense is determined using the hospital's patient accounting records. Part III, Line 3: Patients who render sufficient financial information to make a determination of eligibility under the hospitals' financial assistance policy are either treated as charity care (if they qualify) or given a "self- pay" discount (if they do not qualify as charity care). Part III, Line 4: The hospitals' financial statements do not contain a footnote concerning bad debt. The University's financial statements account for bad debt as a reduction of revenue. Part III, Line 8: The source of this information is the Medicare Cost Report data, which uses a "cost to charge" ratio methodology. The University of Miami Hospital and Anne Bates Leach Eye Hospital are reimbursed under the Medicare Prospective Payment System (PPS). For inpatient services, the reimbursement methodology is the Inpatient Prospective Payment System (IPPS), which uses the Diagnostic Related Groups (DRGS) methodology to reimburse the hospital. The DRG amounts are updated by the Medicare program annually by an updating factor. However, the amount of the updating factor is always significantly less than the actual healthcare inflation factor because the Medicare program includes a "budget neutrality" factor for the overall Medicare program. Thus, the hospital does not receive full reimbursement of its cost for inpatient services. For outpatient services, the reimbursement methodology is the Outpatient Prospective Payment System (OPPS), which uses ambulatory payment classifications (APCS) to reimburse the hospital. The APC amounts are updated by the Medicare program annually by an updating factor. However, the amount of the updating factor is always significantly less than the actual healthcare inflation factor because the Medicare program includes a "budget neutrality" factor for the overall Medicare program. Thus, the hospital does not receive full reimbursement for its cost for outpatient services. The University of Miami Hospital and Clinics is a cancer specialty hospital and, as such, is cost based reimbursed for both inpatient and outpatient services. For inpatient services, the limit is the TEFRA target limit. The hospital, on occasion, exceeds the target rate and does not receive full cost reimbursement. The TEFRA target amount is updated by the Medicare program annually by the TEFRA updating factor. However, the amount of the TEFRA updating factor is always significantly less than the actual healthcare inflation factor because the Medicare program includes a "budget neutrality" factor for the overall Medicare program. For outpatient services, the limit is the payment to cost ratio (PCR). The PCR was established using a base year, which was 1996, at a rate of 85.5% of cost. The PCR for all exempt cancer centers was 89% through 12/31/14, and then 90% from 1/1/15 to 5/31/15; therefore, the hospital currently does not receive payment for a range of 9% to 10% of its outpatient cost. Part III, Line 9b: The Hospital provides care to patients who are financially unable to pay for the hospital services they receive, and because the Hospital does not pursue collection of amounts determined to qualify as charity care, they are not reported in revenue. Part VI, Line 2: Needs assessment: The communities' healthcare needs are assessed by the organization in collaboration with the Miami-Dade County Public Health Trust (PHT). Part VI, Line 3: Patient education of eligibility for assistance: The organization informs and educates patients through public service announcements, advertising, and development activities. Further, patients are assisted with qualifying for Medicaid and other state programs. Part VI, Line 4: Community information: The community served by the organization is Miami-Dade County, Broward County and the Palm Beaches, which are large urban areas. Since these South Florida counties have a large immigrant population, many patients are uninsured, under-insured, or Medicaid recipients. The national economic crisis and the high level of unemployment have exacerbated this issue. Part VI, Line 5: Promotion of community health: (1) A majority of the Hospital's governing body is comprised of persons who reside in the Hospital's primary service area who are neither employees nor contractors of the Hospital, nor family members thereof. (2) The Hospital extends medical staff privileges to all qualified physicians in its community for some or all of its departments. (3) In order to improve patient care and access to the specialized healthcare services, the organization applies a significant portion of any surplus to new technology, new medical equipment, building renovations, and other betterments & improvements. Part VI, Line 6: Affiliated health care system: The organization has an affiliation agreement with Miami-Dade County's Public Health Trust (PHT) to provide teaching physicians who supervise PHT's interns and residents at Jackson Memorial Hospital. 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State of TX 57779 0 N/A N/A Research TEXAS A&M UNIVERSITY CORPUS CHRISTI 6300 OCEAN DRIVE CORPUS CHRISTI TX 78412 741760663 State of TX 156330 0 N/A N/A Research THE REGENTS OF THE UNIV OF CA AT BERKELEY 2850 TELEGRAPH AVE STE 500 BERKELEY CA 94705 946002123 State of CA 9235 0 N/A N/A Research THE REGENTS OF THE UNIV OF CALIFORNIA SANTA BARBARA 3227 CHEADLE HALL SANTA BARBARA CA 93106 956006145 State of CA 124271 0 N/A N/A Research THE REGENTS OF THE UNIV OF MICHIGAN PO BOX 223131 PITTSBURGH PA 15251 386006309 501(c)(3) 61844 0 N/A N/A Research THE REGENTS OF UNIV OF CALIFORNIA BOX 957089 1125 MURPHY HALL LOS ANGELES CA 90095 956006143 State of CA 50622 0 N/A N/A Research THE ROCKEFELLER UNIVERSITY 1230 YORK AVENUE BOX 259 NEW YORK NY 10065 131624158 501(c)(3) 207891 0 N/A N/A Research THE UNIVERSITY OF MONTANA 32 CAMPUS DRIVE MISSOULA MT 59812 816001713 State of MT 208900 0 N/A N/A Research THE VILLAGE 169 E FLAGLER ST STE 1300 MIAMI FL 33131 591452736 501(c)(3) 27702 0 N/A N/A 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N/A N/A Research UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DRIVE CHICAGO IL 60693 916001537 State of WA 10229 0 N/A N/A Research UNIVERSITY OF WISCONSIN UW-MADISON OFF RESEARCH SPONSORED PROG DRAWER 538 MILWAUKEE WI 53278 391805963 501(c)(3) 1228439 0 N/A N/A Research VACCINE & GENE THERAPY INSTITUTE 9801 SW DISCOVERY WAY PORT ST LUCIE FL 34987 364631835 501(c)(3) 67086 0 N/A N/A Research VANDERBILT UNIVERSITY MEDICAL PO BOX 121236 DEPT 1236 DALLAS TX 75312 620476822 501(c)(3) 137934 0 N/A N/A Research VIRGINIA INSTITUTE OF MARINE SCIENCES PO BOX 1346 GLOUCESTER PT VA 23062 546001802 161399 0 N/A N/A Research WAKE FOREST UNIVERSITY FINANCIAL SVCS/GRANTS MGMT MEDICAL CENTER BLVD WINSTONSALEM NC 27157 560532138 501(c)(3) 121188 0 N/A N/A Research WHITE RIVER TECHNOLOGIES INC 1242 CHESTNUT STREET NEWTON MA 02464 461150759 20249 0 N/A N/A Research WOODS HOLE OCEANOGRAPHIC INST MAIL STOP 8 WOODS HOLE MA 02543 042105850 501(c)(3) 27419 0 N/A N/A Research YALE UNIVERSITY PO BOX 1873 NEW HAVEN CT 06508 060646697 501(c)(3) 161807 0 N/A N/A Research AMERICAN CANCER SOCIETY 8095 NW 12 ST SUITE 200 DORAL FL 33126 131788491 501(c)(3) 64500 0 N/A N/A General Support GILDA'S CLUB OF SOUTH FLORIDA 119 ROSE DRIVE FT LAUDERDALE FL 33316 650528626 501(c)(3) 50000 0 N/A N/A General Support LEADERSHIP BROWARD FOUNDATION 1640 W OAKLAND PARK BLVD SUITE 400 FT LAUDERDALE FL 33311 650387636 501(c)(3) 16000 0 N/A N/A General Support LSU HEALTH SCIENCES CENTER FOUNDATION 2000 TULANE AVENUE 4TH FLOOR NEW ORLEANS LA 70112 721115391 501(c)(3) 5040 0 N/A N/A General Support NATIONAL NEUROTRAUMA SYMPOSIUM 9037 RON DEN LANE WINDERMERE FL 34786 200097245 501(c)(3) 10000 0 N/A N/A General Support SOUTH FLORIDA HOSPITAL AND HEALTHCARE ASSOCIATION 1855 GRIFFIN ROAD SUITE A-415 DANIA BEACH FL 33004 590979494 501(c)(6) 10000 0 N/A N/A General Support THE ALS RECOVERY FUND ONE GROVE ISLE DRIVE UNIT 1602 COCONUT GROVE FL 33133 650265802 501(c)(3) 15000 0 N/A N/A General Support THE MIAMI FOUNDATION 200 SOUTH BISCAYNE BOULEVARD MIAMI FL 33131 650350357 501(c)(3) 5075 0 N/A N/A General Support WPBT CHANNEL 2 PO BOX 610002 MIAMI FL 33261 590737868 501(c)(3) 10000 0 N/A N/A General Support 135 24 Scholarships for tuition housing meals and books 13554 387153761 N/A N/A Grants and Other Assistance - Research 1 12900 N/A N/A Part I, Line 2: Procedure for Monitoring Grants: Grants to organizations and individuals awarded for the purpose of conducting research are monitored as follows: Subcontracts are issued with a defined scope of work and a budget and include other terms and conditions such as frequency of required reporting. The faculty member at the University of Miami responsible for the grant monitors the scientific progress via site visits, correspondence, reports, etc. Invoices submitted for payments by the outside organization or by an individual are approved by the University of Miami Faculty member responsible for the grant. Schedule I, Part III: Assistance to the University students in the form of scholarships are awarded for the purpose of aiding with the cost of attending the University (i.e., for tuition, housing and meals). Scholarships are based on need and academic achievement. Total scholarships, grants and loans cannot exceed the total cost of attendance. The University publishes criteria for the eligibility requirements needed to award a scholarship. The amount of aid awarded is based on a need analysis formula developed by the federal government and includes verification of the information submitted by the student. X X X X X 1 1 X X 0 0 0 0 0 0 0 0 0 Donna E Shalala President 1095833 0 0 0 110765 0 16683 0 364163 0 1587444 0 0 0 Thomas J LeBlanc Executive VP & Provost 714673 0 0 0 74625 0 16683 0 19995 0 825976 0 0 0 P Goldschmidt-Clermont Sr VP Medical Affairs-Dean Sch Med 1159999 0 0 0 117880 0 16683 0 60286 0 1354848 0 0 0 Joseph T Natoli Sr VP Business & Finance and CFO 769544 0 0 0 514345 0 15166 0 20940 0 1319995 0 0 0 Sergio M Gonzalez Sr VP, Advancement & External Affair 599759 0 0 0 56364 0 20581 0 76428 0 753132 0 0 0 John G Haller VP, Enrollment Management 100059 0 0 0 66238 0 0 0 5240 0 171537 0 0 0 John R Shipley VP & Treasurer 398002 0 0 0 20608 0 17333 0 21527 0 457470 0 0 0 Rodolfo Fernandez VP for Government Affairs 217209 0 0 0 41154 0 25619 0 48460 0 332442 0 0 0 Larry D Marbert VP for Real Estate & Facilities 377245 0 0 0 16901 0 18922 0 7482 0 420550 0 0 0 Jacqueline R Menendez VP for University Communications 303941 0 0 0 414 0 23166 0 42100 0 369621 0 0 0 Aileen M Ugalde VP, General Counsel, University Sec 529972 0 0 0 43479 0 27883 0 16225 0 617559 0 0 0 Patricia A Whitely VP for Student Affairs 350485 0 0 0 62383 0 33646 0 21377 0 467891 0 0 0 Nerissa Morris VP for Human Resources 411101 0 0 0 20948 0 17333 0 9440 0 458822 0 0 0 Stephen Cawley VP for Information Technology 430596 0 0 0 6834 0 15874 0 13087 0 466391 0 0 0 Mark Diaz VP of Budget and Planning 405737 0 116250 0 302100 0 21085 0 36048 0 881220 0 0 0 Rudolph Rudy Green VP & Chief Compliance Officer 299965 0 0 0 1696 0 25166 0 19791 0 346618 0 0 0 Alfred J Golden Head Coach, Football 153458 0 0 0 2537608 0 16000 0 20237 0 2727303 0 0 0 James J Larranaga Head Coach, Basketball 255488 0 0 0 1039839 0 25778 0 18453 0 1339558 0 0 0 Nestor de la Cruz-Munoz Associate Professor Dept of Surgery 597500 0 755845 0 125079 0 15166 0 19723 0 1513313 0 0 0 Dipen J Parekh Professor, Urology 757252 0 0 0 344883 0 15166 0 19971 0 1137272 0 0 0 Lee D Kaplan Professor, Orthopaedics 683003 0 421519 0 379044 0 17997 0 22589 0 1524152 0 0 0 Theresa L Ashman fmr Associate VP & Controller 263876 0 0 0 714 0 16565 0 17298 0 298453 0 0 0 David A Lubarsky fmr Chief Med & System Integration Offcr 669990 0 110000 0 358086 0 16683 0 44111 0 1198870 0 0 0 Alan S Livingstone MDfmr Chief Exec, UHealth Clinical 785194 0 0 0 80502 0 16683 0 17906 0 900285 0 0 0 Steven Falcone fmr Chief Executive, UHealth Clinical 552321 0 0 0 160592 0 16683 0 67851 0 797447 0 0 0 John Sory fmr Chief Exec,UHealth Regional Alliance 441136 0 0 0 90 0 26232 0 14486 0 481944 0 0 0 Daniel J Snyder fmr CEO, Univ of Miami Hospital 214783 0 0 0 16146 0 0 0 1282 0 232211 0 0 0 Richard Ballard fmr CEO, Univ of Miami Hosp & Clinics 392851 0 0 0 23628 0 15166 0 20811 0 452456 0 0 0 Michael Gittelman fmr CEO, Anne Bates Leach Eye Hospital 348983 0 0 0 19423 0 15166 0 19159 0 402731 0 0 0 Part I, Line 1a First Class Travel: First class travel was provided to Rodolfo Fernandez, Sergio Gonzalez, President, Donna E. Shalala, John Shipley, David Lubarsky, James J. Larranaga, Dipen Parekh, and Lee Kaplan. The amounts were not included in taxable income. House and Household Assistance: A house and household assistance is provided to the President, Donna E. Shalala, at the convenience of the employer as a condition of employment. The amounts were not included in taxable income. Travel for Companions: Companion travel was provided for James J. Larranaga. Amount was included in taxable income. Club Dues: Club dues were provided for Pascal Goldschmidt, Sergio M. Gonzalez, Thomas J. Leblanc, Joseph T. Natoli, Donna E. Shalala, James J. Larranaga and Alfred J. Golden. The amounts were included in taxable income. Social Club Dues: Social club dues were provided for Sergio M. Gonzalez and Donna E. Shalala. The amounts were not included in taxable income. A Miami-Dade Co Educ Fac Authority 596000573 59333AFW6 2007-04-26 473302567 See Schedule K, Part VI 0 0 0 B Miami-Dade Co Educ Fac Authority 596000573 59333AJW2 2008-05-08 293597924 See Schedule K, Part VI 0 0 0 C Miami-Dade Co Educ Fac Authority 596000573 59333ALR0 2012-12-12 106138985 See Schedule K, Part VI 0 0 0 A 57095000 478963291 16255508 303488136 3097405 3351958 152770284 2009 1 1 1 1 B 294961513 5500732 2148447 287312335 2009 1 0 1 1 C 106148514 1362175 929658 25082030 78216017 558633 2014 1 0 0 1 A 0 1 1 1 1 1 0.00250 0.00610 0.00860 0 0 1 B 0 1 1 1 1 1 0.00650 0.00650 0 1 0.00380 0 1 C 0 1 1 1 1 1 0.01100 0.01100 0 0 1 A 1 0 0 1 Bayerische Landesbank 2.100000000000 1 1 1 B 0 0 0 1 0 0 1 AEGONTransamerica Occidential Life 2.400000000000 1 1 C 0 1 0 0 0 0 0 0 1 A 1 B 1 C 1 Schedule K, Part I - Line A, Column F: Acquire, construct, equip and renovate University facilities and refunding of the following: Series 1993- Issue Date January 5, 1994; Series 1996A- Issue Date March 13, 1996; Series 1996B - Issue Date October 1, 1996; Series 1997A - Issue Date January 10, 1997; Series 1997B - Issue Date April 1, 1997; Series 2000A - Issue Date December 7, 1999; Series 2000B - Issue Date February 3, 2000; Series 2004A - Issue Date January 28, 2004. Schedule K, Part I - Line B, Column F: Acquire, construct, equip, and renovate University facilities and refunding of: Promissory Note - Executed November 28, 2008. Schedule K, Part I - Line C, Column F: Acquire, construct, equip, and renovate University facilities and refund working capital. Schedule K, Part II - Line 3, Column A: Variance of $5,660,724 when compared to Part I - Line A, Column (e) is due to interest earnings. Schedule K, Part II - Line 3, Column B: Variance of $1,364,116 when compared to Part I - Line B, Column (e) is due to interest earnings. Schedule K, Part II - Line 3, Column C: Variance of $9,529 when compared to Part I - Line C, Column (e) is due to additional allocation of unspent issuance cost and interest earnings. Schedule K, Part III - Line 7, Column A, B, & C: Analysis of the private security and payment test results that the bond issue does not meet the test. Schedule K, Part IV - Line 1, Column A: Form 8038-T filed on 7/21/2011 for the Series 2007A. The next computation date is 5/31/2016. Schedule K, Part IV - Line 2c, Column B: Series 2008A rebate computation was performed in June 2012, but no rebate due. The next computation date is 5/31/2017. Schedule K, Part IV - Line 2a, Column C: Series 2012A rebate computation is scheduled for 5/31/2017. Schedule K, Part III - Line 8a-c, Column B: Series 2008A property (parcel) was sold on June 19, 2014 for $1.1M. The sale of the property did not require remedial action under 1.141-12(a)(1) because the private business use threshold was not exceeded. 136059 Disct Tuition Tuition Asst Brian LeBlanc See Part V 49315 See Part V 0 Rosemarie Ugalde See Part V 120000 See Part V 0 Jennifer McCafferty See Part V 25573 See Part V 0 Marlena Diaz See Part V 120857 See Part V 0 Sonia Mora See Part V 107508 See Part V 0 Eric Winter See Part V 82284 See Part V 0 Gino DiMare See Part V 136903 See Part V 0 Ryan Dandes See Part V 45970 See Part V 0 Jeanette Gonzalez-Calles See Part V 18078 See Part V 0 George Williamson III See Part V 12375 See Part V 0 Carolyn Rubenstein-Spoont See Part V 16875 See Part V 0 Leo Ramos Jr See Part V 46140 See Part V 0 Nicholas Ramos See Part V 40546 See Part V 0 Schedule L, Part IV - Lines 6 - 11, Col D Family member of trustee. Schedule L, Part IV - Lines 1 - 5, 12,13 Col B Family member of officer. Schedule L, Part IV - Lines 1-13, Col D Family member employment. X 767 846053 Fair Market Value X 206 15157505 Fair Market Value X Equipment 142 220792 Fair Market Value X Auction Items 434 0 See Part II 14 0 1 1 Part I, Line 32b: Third Party or Related Organizations Utilized: The University utilizes external brokers to sell securities when the donated securities are not deemed to fit into the University's investment portfolio. Part I, Line 33: Items Included On Schedule M Not In Revenue: b. Part I, Line 26 - Auction items: Columns B and C include items donated for sale at fundraising event auctions (such as gift certificates, etc.) which are subsequently sold at fundraising event auctions but which are not included on form 990, Part VIII, Line 1(g). Form 990, Part VI, Section A, line 2 Family and Business Relationships: Stuart Miller - Trustee, and Steven Saiontz - Trustee - Family Relationship; Stuart Miller - Trustee, and Steven Saiontz - Trustee - Business Relationship; George Feldenkreis - Trustee, Joseph Natoli - Officer - Business Relationship; Manuel Kadre - Trustee, Donna Shalala - Officer, Pascal Goldschmidt - Officer - Business Relationship; Charles Cobb-Trustee, Jorge Perez - Trustee - Business Relationship; Phillip T. Frost - Trustee, Phillip T. George - Trustee - Business Relationship; Marc Buoniconti - Trustee, Nicolas Buoniconti - Trustee, Paul DiMare - Trustee, Donna Shalala - Officer, Pascal Goldschmidt - Officer, Sergio Gonzalez - Officer - Business Relationship; Marc Buoniconti - Trustee, Nicolas Buoniconti - Trustee - Family Relationship Form 990, Part VI, Section B, line 11 Board Review of Form 990: Process by which the governing body was provided a copy of form 990 prior to filing: Form 990 is prepared by the University's Office of the Controller and reviewed by KPMG, LLP. Due to schedule constraints of committee chairs and members, the meeting dates for the Audit and Compliance Committee fluctuate from year to year. The University provides Form 990 to the Committee prior to filing. If the Committee's meeting dates do not coincide with the availability of the return, it is provided to the Committee electronically with time provided for questions and comments. Subsequent to the Committee's review a copy of the final return is shared with all voting members of the Board prior to filing. Form 990, Part VI, Section B, line 12c Monitoring and Compliance with Conflict of Interest Policy: The Office of the Secretary of the Board of Trustees sends an annual conflict of interest questionnaire together with the policy adopted by the Board to all trustees, officers and key employees. Once replies are received, they are reviewed by the Vice President and Chief Compliance Officer and the Chair of The Conflict of Interest Sub-Committee. When apparent conflicts arise, the Sub-Committee reviews and makes recommendations to the Executive Committee for management or denial of the relationship or proposal creating the conflict. Form 990, Part VI, Section B, line 15 Process for Review of Compensation of Officers and Key Employees: The Compensation Review Sub-Committee of the Executive Committee reviews a summary of proposed compensation and survey data for any offer to a new officer or key employee of the University, including the President and trustees who are employees of the University. Once the compensation is approved, it is provided to the payroll office as a record of the committee's approval. Minutes of the meeting of the Compensation Review Sub-Committee of the Executive Committee are written and recorded by the Office of the Secretary. The following process is performed annually, typically at the April/May meeting of the Compensation Review Sub-Committee of the Executive Committee to approve compensation for the President, Executive Vice President and Provost, Senior Vice President for Business and Finance and Chief Financial Officer, Senior Vice President for Advancement and External Affairs, Senior Vice President for Medical Affairs, the Vice President, General Counsel and Secretary, the Vice President for Medical administration, Vice President for Human Resources, Vice President and Chief Compliance Officer, the Intercollegiate Athletic Director, and employees who are current trustees and former trustees for up to 5 years following conclusion of their service on the board: each officer's supervisor completes a written performance review and proposes a salary increase, prior to the meeting. The University participates in an annual comprehensive compensation survey compiled by an actuarial firm. The actuarial firm produces a survey of universities across the United States and, separately, data from for-profit corporations for positions that have a for-profit equivalent. The Compensation Review Sub-Committee of the Executive Committee receives the performance appraisals for each officer, key employee and trustee/employee, the completed survey prepared by the actuary, and the current and proposed salaries and other cash compensation for each officer and key employee, including the President and trustees who are employees of the University. After review and discussion, the Compensation Review Sub-Committee of the Executive Committee approves the compensation for those officers listed above, including the President, who is excused while deliberation about his/her compensation is discussed, and trustees who are employees of the University. Once the compensation is approved, it is provided to the payroll office as a record of the committee's approval. Minutes of the meeting of the Compensation Review Sub-Committee of the Executive Committee are recorded and written by the Office of the Secretary. The sub-committee reviews executive compensation in April/May as described above, except the compensation for the Senior Vice President for Medical Affairs and the Dean of the Miller School of Medicine, which is reviewed in the fall. Form 990, Part VI, Section C, line 19 Governing Documents, Conflict of Interest Policy and Financial Statements Made Available to the General Public: The State of Florida, Department of State, Division of Corporations requires an annual registration filing, including any changes to organizational documents. Once filed, the documents can be viewed on the State of Florida web site. Financial statements of the university are made available on the University's website. The University's financial statements are also made available to the general public on the federal government's census bureau website. The Board's Conflict of Interest Policy is not made available to the public. Form 990, Part VII, Section A, Officers, Directors, Trustees: Edward A. Dauer is a Trustee and also serves as Research Associate Professor in the College of Engineering. Average hours per week estimate of 40 hours is based on a full time teaching load. Form 990, Part XI, line 9: Pension related changes other than Net Periodic Benefit Cost -53,382,915. Refunds of Contributions - $50,635 -50,635. Biscayne View Properties LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 590624458 Real Estate FL 0 0 University of Miami Crestre LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 37956 699870 Biscayne View Properties LLC 1509 Venture LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 0 1800914 Biscayne View Properties LLC East Urban LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 29743 1083331 Biscayne View Properties LLC Tripop LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 0 4317438 Biscayne View Properties LLC 7th Avenue Market LLC 1320 South Dixie Hwy Suite 705 Coral Gables FL 33146 202458426 Real Estate FL 1556 3024899 Biscayne View Properties LLC Equi Terra LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 590624458 Real Estate FL 0 0 University of Miami Ten Bor LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 273025289 Real Estate FL 0 0 Equi Terra LLC PT Property Holding LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 273025289 Real Estate FL 0 0 Equi Terra LLC University of Miami Preservation LLC 1252 Memorial Drive Room 230 Coral Gables FL 33146 590624458 Hold UM Designated Easement FL 0 0 University of Miami WVUM Inc PO Box 248191 Coral Gables FL 33124 591729614 Edu Radio FL 501(C)(3) Line 7 N/A 1 University Rathskeller Inc 1330 Miller Drive Coral Gables FL 33146 591410632 Student Food & Beverage FL 501(C)(3) Line 5 N/A 1 Friends of the School of Music 12394 SW 82 Avenue Miami FL 33156 650201227 Fundraising FL 501(C)(3) Line 9 N/A 0 Ophthalmology Research Foundation Inc PO Box 015869 Miami FL 33101 237081974 Fundraising FL 501(C)(3) Line 11c, III-FI N/A 0 The Buoniconti Fund to Cure Paralysis 1095 NW 14th Terrace Miami FL 33136 650244316 Fundraising FL 501(C)(3) Line 7 N/A 0 CRAT (2) Charitable Remainder Annuity Trust FL N/A 0 CRUT (7) Charitable Remainder Unitrust FL N/A 0 Perpetual (2) Perpetual Trust FL N/A 0 University of Miami Insurance Co Ltd Clarendon House 2 Church St HM 11 BD Insurance BD UM C 1.00000 1 0 0 0 0 0 0 0 0 0 0 1 0 0 1 1 0 0 1 1 WVUM Inc R 150453 See Part VII Form 990 - Schedule, R, Part V, Line 2 Method used to determine the transaction amounts with controlled organizations is based on cash provided to, or received from each controlled organization.