2015-04-13T17:01:52-05:00 2014-05-31 135565207 KPMG LLP 300 North Greene Street Suite 400 Greensboro NC 27401 990 2013-06-01 590624458 University of Miami UNIV 3052844877 PO Box 248106 Coral Gables FL 331242912 John R Shipley VP of Fin & Treasurer 3052846297 2015-04-09 Allison H Franklin P00448640 3362753394 2013 2016-02-25 16:41:14Z Donna E Shalala 1252 Memorial Dr Rm 230 CG FL 33146 4000192005 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. 69 62 22969 1591 6850314 596213 665082826 645431640 2222586241 2284232891 58409005 61037750 9934921 9988334 2956012993 3000690615 422663616 420236626 0 0 1447200087 1494370838 0 414944 23069361 1030882631 1008145641 2900746334 2923168049 55266659 77522566 3338566084 3438736549 1785472291 1705131403 1553093793 1733605146 X See Form 990, Part I, Line 1, Description of Organization Mission. 0 0 992191834 366713062 720513498 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: 115 undergraduate, 104 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 post-graduate degrees in architecture, urban design and real estate development. New programs include the Certificate in Historic Preservation and the Certificate in Classical Architecture; the post-professional Master of Science in Architecture; 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 4,300 undergraduate and over 650 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 250 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 1,150 candidates for either J.D., LL.M. or dual degrees, and has over 20,000 alumni worldwide. The J.D. program enrolls over 1,170 students from more than 100 colleges and universities throughout the United States. Of the entering J.D. students, approximately 46% are women, 42% are members of minority groups, and 38% are from outside Florida. Close to 59% speak more than one language. The School offers graduate programs in International Law (specializations in Inter-American Law, International Arbitration, International Law, and U.S. and Transnational Law for Foreign Lawyers), Ocean and Coastal Law, Taxation, Estate Planning, and Real Property Development, the latter offered 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, or Real Property Development, and a J.D./M.B.A./LL.M. in Tax. The School is regularly ranked among the top law schools by Hispanic Business Magazine and 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 1,300 full-time clinical and basic science faculty members and an additional 1,310 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. 357378647 36402149 100447004 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 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 numerous domestic and international externship programs and foreign exchange programs in 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. 1125655505 14017 1366381673 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 more than 900 faculty physicians have more than one million scheduled patient encounters in primary care and 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 eleventh 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. 231183143 17107398 167916800 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. 231183143 17107398 167916800 2706409129 1 0 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 0 1 0 1 1 0 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 26327 0 1 22969 1 1 1 1 BD 0 0 0 1 1 1 23 0 0 0 X 69 62 1 0 1 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 FL X John R ShipleyVP of Fin & Treasurer &Interim 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 Adrienne Arsht Trustee 1.00 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 Amy Halpern Trustee 0.00 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 A Weintraub 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 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 Dany Garcia - Rienzi Trustee 1.00 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 Edward A Dauer Trustee / Faculty Member 40.00 X 86629 0 26520 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 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 Piechowski 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 Robert C Strauss Trustee 0.00 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 Brodie Trustee 3.00 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 T Kendall Hunt Trustee 1.00 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 Donna E Shalala President 80.00 X X 994430 0 342948 Thomas J LeBlanc Executive VP & Provost 50.00 X 739195 0 46948 P Goldschmidt-Clermont Sr VP Medical Affairs-Dean Sch Med 90.00 X 1299866 0 46994 Joseph T Natoli Sr VP Business & Finance and CFO 70.00 X 895628 0 44645 Sergio M Gonzalez Sr VP, Advancement & External Affairs 50.00 X 604745 0 57443 John R Shipley VP & Treasurer 55.00 X 399480 0 42465 Rodolfo Fernandez VP for Government Affairs 55.00 X 231851 0 36365 Larry D Marbert VP for Real Estate & Facilities 65.00 X 374693 0 34675 Jacqueline R Menendez VP for University Communications 60.00 X 270389 0 55028 Aileen M Ugalde VP, General Counsel, University Sec 60.00 X 534747 0 37973 Patricia A Whitely VP for Student Affairs 75.00 X 365130 0 54178 Nerissa Morris VP for Human Resources 65.00 X 379802 0 37652 Leslie Dellinger Aceituno Assistant University Secretary 60.00 X 110023 0 24150 Jonathan Jack T Lord VP and Chief Operating Officer 55.00 X 525061 0 30678 Theresa L Ashman Associate VP & Controller 60.00 X 259776 0 33691 Stephen Cawley VP for Information Technology 80.00 X 416483 0 39576 Mark Diaz VP of Budget and Planning 70.00 X 591505 0 80317 Rudolph Rudy Green VP & Chief Compliance Officer 60.00 X 444383 0 18570 David A Lubarsky Chief Med & System Integration Offcr 80.00 X 1256060 0 48246 Alan S Livingstone MD Chief Exec, UHealth Clinical (fmr) 90.00 X 908634 0 44925 Steven Falcone Chief Executive, UHealth Clinical 70.00 X 682198 0 98191 John Sory Chief Exec,UHealth Regional Alliance 62.00 X 503113 0 31106 Daniel J Snyder CEO, Univ of Miami Hospital 80.00 X 416348 0 46056 Richard Ballard CEO, Univ of Miami Hosp & Clinics 48.00 X 405118 0 53769 Michael Gittelman CEO, Anne Bates Leach Eye Hospital 60.00 X 427107 0 47399 Alfred J Golden Head Coach, Football 84.00 X 2504338 0 34977 James J Larranaga Head Coach, Basketball 80.00 X 1496123 0 48055 Nestor de la Cruz-Munoz Associate Professor Dept of Surgery 60.00 X 1521381 0 44111 Dipen J Parekh Professor, Urology 80.00 X 1265198 0 44234 Lee D Kaplan Professor, Orthopaedics 71.00 X 1130035 0 43875 22039469 0 1675760 2321 0 1 0 Suffolk Construction 80 Southwest 8th Street Suite 2710 Miami FL 33130 Construction Services 24047818 Arrellano Construction Co 7255 NW 19 St Suite B Miami FL 33126 Construction Services 16667563 DTZ Inc 275 Grove St Suite 3-200 Auburndale MA 02466 Facilities Operations 16112921 Moss and Associates LLC 2101 N Andrews Avenue Fort Lauderdale FL 33311 Construction Services 15791878 Central Shared Services LLC 155 Franklin Road Suite 300 Brentwood TN 37207 Medical Supplies Services 9343432 436 1037215 2340574 424986846 217067005 10046922 645431640 Hospitals and Clinics 900099 932534617 932534617 Tuition and Fees 900099 677553059 677553059 Medical Prof Practice 900099 394328019 393715844 612175 Local Grants and Contr 900099 138342590 138342590 Auxiliary Enterprises 900099 119921553 52779514 3629795 63512244 21553053 19641882 1911171 2284232891 20873072 20873072 5 5 8431420 8431420 5298898 3069729 2228348 821 2229169 2229169 1034767929 644843 994966193 281906 39801736 362937 40164673 590818 39573855 400293 2340574 1178903 -778610 -778610 8692 4659 4033 4033 Other Revenue 531390 56050 56050 Advertising 541800 46272 46272 102322 3000690615 2214567506 6850314 133841155 35265983 35265983 381820876 381820876 3149767 3149767 18929770 7689818 10934658 305294 1135750969 1064880942 57272017 13598010 98795763 90417757 7003993 1374013 148185929 119135093 26437565 2613271 92708407 59768787 31951536 988084 4190751 643996 3546438 317 772943 13710 759233 273233 118632 147016 7585 414944 414944 10103197 10103197 214655411 188121598 26483776 50037 9581294 9041911 383006 156377 68422258 65376453 1748178 1297627 25295269 18888698 6406432 139 1302262 1302262 121082349 113785750 7073426 223173 24059367 23105419 603867 350081 20647313 18306692 1140020 1200601 38997895 37594540 1403355 125104010 119677371 5426639 39331560 36886234 2436393 8933 Medical Supplies 248926306 248926306 Miscellaneous 55400223 52387337 2532011 480875 2923168049 2706409129 193689559 23069361 45164001 30239296 104245076 73018005 146633529 137095993 232481767 274209883 300000 0 72690049 64595310 20770174 21482052 38066193 31932111 2892234407 1300294206 1536149349 1591940201 227772081 177526956 849905985 957937805 1127000 1127000 63260880 77631937 3338566084 3438736549 184030478 176324098 81103205 73562699 823598716 794544555 100180292 109543929 596559600 551156122 1785472291 1705131403 X 769398516 874065032 367660735 416287211 416034542 443252903 1553093793 1733605146 3338566084 3438736549 X 77522566 70290530 32698257 X 0 1 X 1 1 1 X 485983518 668320066 664112561 665082826 645431640 3128930611 485983518 668320066 664112561 665082826 645431640 3128930611 3128930611 55256119 61014907 62841566 67787860 70328911 317229363 1084829 1083998 1299709 1151702 4620238 3450780212 10463557510 0.90670 X 0 273233 273233 2917188702 2917461935 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 312283 300005 301917 273233 1187438 250000 250000 250000 250000 1000000 1500000 680351 54989537 0 0 X X X X X public ed & outreach programs 0 0 777946842 25884017 96424339 -6545053 -28275479 865434666 678694294 22091982 109828176 6177708 26489902 777946842 719851550 21377588 -32451356 5541013 24542475 678694294 618236320 15963186 116702475 5675165 25375267 719851550 538605730 25696152 86621587 5993766 26693383 618236320 0.21520 0.44680 0.33800 0 0 86630474 86630474 1743542697 757147172 986395525 48944818 29695869 19248949 654670242 412072266 242597976 358446176 101378899 257067277 1591940201 -4096679 F Limited Partnerships 724700302 F Mutual Funds 146741828 F Other 90592354 F 957937805 Medical Self-Insurance Reserves 96990169 Refundable Deposits 540684 Accrued Postretirement Benefit Cost 244917778 Annuities Payable 9897320 Refundable Federal Student Loans 22543438 Other Liabilities 176266733 551156122 X 2693255339 70290530 -108199 70182331 2623073008 10103197 367514410 377617607 3000690615 2545550442 0 2545550442 10103197 367514410 377617607 2923168049 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, 2014, 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, 2011. Part XI, Line 2d - Other Adjustments: Refunds of Program service Rev. - Hospitals.& Clinics - 0 Refunds of Contributions - $108,199 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 $204,326,201, grants and contracts pass-through transactions from sponsoring agencies $167,490,079, and gain on sale of fixed assets $362,937. Less: non-program related rental expenses $3,069,729; cost of sales of inventories/other assets $416,175; and direct expenses related to fundraising events $1,178,903. 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 East Asia and the Pacific 0 0 Program Services Grants to Recipients 105224 Europe 0 0 Program Services Grants to Recipients 515651 North America 0 0 Program Services Grants to Recipients 243730 South America 0 0 Program Services Grants to Recipients 324388 Central America and the Caribbean 0 0 Program Services Grants to Recipients 1266331 Sub-Saharan Africa 0 0 Program Services Grants to Recipients 534946 Middle East and North Africa 0 0 Program Services Grants to Recipients 159497 Antarctica 0 0 Program Services Travel - Institutional Research and Education 707 East Asia and the Pacific 0 0 Program Services Travel - Institutional Research and Education 471650 Europe 0 0 Program Services Travel - Institutional Research and Education 1150044 North America 0 0 Program Services Travel - Institutional Research and Education 239851 South America 0 0 Program Services Travel - Institutional Research and Education 490365 South Asia 0 0 Program Services Travel - Institutional Research and Education 39564 Central America and the Caribbean 0 0 Program Services Travel - Institutional Research and Education 299319 Sub-Saharan Africa 0 0 Program Services Travel - Institutional Research and Education 94303 Middle East and North Africa 0 0 Program Services Travel - Institutional Research and Education 79564 Russia and the Newly Ind States 0 0 Program Services Travel - Institutional Research and Education 6716 Central America and the Caribbean 0 0 Investments N/A 98103688 Central America and the Caribbean 0 5 Program Services Independent Contractors-Institutional Research and Education 32350 East Asia and the Pacific 0 9 Program Services Independent Contractors-Institutional Research and Education 80965 Europe 0 34 Program Services Independent Contractors-Institutional Research and Education 3014019 Middle East and North Africa 0 4 Program Services Independent Contractors-Institutional Research and Education 67426 North America 0 16 Program Services Independent Contractors-Institutional Research and Education 356326 Russia and Neighboring States 0 1 Program Services Independent Contractors-Institutional Research and Education 9000 South America 0 5 Program Services Independent Contractors-Institutional Research and Education 9021 South Asia 0 2 Program Services Independent Contractors-Institutional Research and Education 32800 Sub-Saharan Africa 0 1 Program Services Independent Contractors-Institutional Research and Education 5000 0 0 0 77 0 77 3150474 104581971 107732445 Central America & the Caribbean Research 36015 Check N/A N/A Central America & the Caribbean Research 1207852 Wire Transfer N/A N/A Central America & the Caribbean Research 8090 Wire Transfer N/A N/A Central America & the Caribbean Research 9374 Wire Transfer N/A N/A East Asia & the Pacific Research 105224 Check N/A N/A Europe Research 61858 Check N/A N/A Europe Research 24465 Check N/A N/A Europe Research 25641 Check N/A N/A Europe Research 30634 Check N/A N/A Europe Research 40500 Check N/A N/A Europe Research 236462 Check N/A N/A Europe Research 57211 Wire Transfer N/A N/A Europe Research 12960 Wire Transfer N/A N/A Europe Research 25920 Wire Transfer N/A N/A Middle East & North Africa Research 13011 Check N/A N/A Middle East & North Africa Research 101538 Check N/A N/A Middle East & North Africa Research 44948 Wire Transfer N/A N/A North America Research 11701 Check N/A N/A North America Research 207253 Check N/A N/A North America Research 5763 Check N/A N/A North America Research 5763 Check N/A N/A North America Research 13250 Check N/A N/A South America Research 20650 Wire Transfer N/A N/A South America Research 25152 Check N/A N/A South America Research 110776 Check N/A N/A South America Research 17300 Check N/A N/A South America Research 17400 Wire Transfer N/A N/A South America Research 28528 Wire Transfer N/A N/A South America Research 98567 Wire Transfer N/A N/A South America General Support 6015 Wire Transfer N/A N/A Sub-Saharan Africa General Support 5000 Wire Transfer N/A N/A Sub-Saharan Africa Research 100000 Wire Transfer N/A N/A Sub-Saharan Africa Research 9991 Check N/A N/A Sub-Saharan Africa Research 322422 Wire Transfer N/A N/A sub-Saharan Africa Research 102533 Wire Transfer N/A N/A 3 28 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 546442 414944 131498 546442 414944 131498 AL AR CT GA HI KS KY ME MN MS MO NM NC ND PA RI TN UT VA MD Dinner Gala 802341 672810 129531 0 0 9585 6050 13000 390998 Dinner Gala 506143 479222 26921 0 10238 1849 125265 524 48864 11 1432383 1188542 243841 1000 5362 50701 311302 33894 170271 2740867 2340574 400293 1000 15600 62135 442617 47418 610133 1178903 -778610 1 1 X 1 X 0 1 1 0 0 17524000 813750 16710250 0.00570 77100798 69108009 7992789 0.00270 94624798 69921759 24703039 0.00840 4486984 3960688 526296 0.00020 18211626 4032544 14179082 0.00490 1628805 1628805 183943152 183808612 134540 0.00000 275531 100000 175531 0.00010 208546098 193530649 15015449 0.00520 303170896 263452408 39718488 0.01360 1589452 1365853 223599 0.00010 1589452 1365853 223599 0.00010 1 60451883 0 215588675 238135694 -22547019 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 1 X X X X X X X X 12 1 0 1 X X X X X X X 1 0 1 1 200.000000000000 0 1 X X X X X X X X 1 1 X 1 0 X X X X 1 X 0 0 University of Miami Hospital & Clinics 2 1 X X X X X X X X X 12 1 0 1 X sylvester.org X X X X X X 1 0 1 1 200.000000000000 1 400.000000000000 1 X X X X 1 1 X 1 0 X X 0 X X 0 0 Anne Bates Leach Eye Hospital 3 1 X X X X X X X X X 12 1 0 1 X bascompalmer.org X X X X X X 1 0 1 1 200.000000000000 1 400.000000000000 1 X X X X 1 1 X 1 0 X X 1 X 0 0 University of Miami Hospital Part V, Section B, Line 3: 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 3: 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 3: At Anne Bates Leach Eye Hospital, a focus group was conducted on December 6, 2012 at Bascom Palmer Eye Institute; the session was faciliated 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; Marla Bercuson, Director of Business Operations, BPEI. University of Miami Hospital Part V, Section B, Line 11: At UMH an uninsured patient receiving non-elective care not meeting charity criteria is treated as uninsured and receives a 40% discount from charges. Not applicable at UMHC and ABLEH. University of Miami Hospital Part V, Section B, Line 16e: At UMH the hospital's policy allows the following actions to be taken against an individual, only after making reasonable efforts to determine the patient's eligibility under the FAP: Reporting to credit agency, lawsuits, liens on residences. These reasonable efforts are made in the front-end prior to discharge and/or in the back-end. These efforts are identified in Part V, section B line 18. University of Miami Hospital & Clinics Part V, Section B, Line 16e: At UMHC the hospital's policy allows the following actions to be taken against an individual, only after making reasonable efforts to determine the patient's eligibility under the FAP: Reporting to credit agency. These reasonable efforts are made in the front-end prior to discharge and/or in the back-end. These efforts are identified in Part V, section B line 18. Anne Bates Leach Eye Hospital Part V, Section B, Line 16e: At ABLEH the hospital's policy allows the following actions to be taken against an individual, only after making reasonable efforts to determine the patient's eligibility under the FAP: Reporting to credit agency. These reasonable efforts are made in the front-end prior to discharge and/or in the back-end. These efforts are identified in Part V, section B line 18. University of Miami Hospital Part V, Section B, Line 17e: At UMH the hospital performed the following actions against an individual, only after making reasonable efforts to determine the patient's eligibility under the FAP: Reporting to credit agency, lawsuits, liens on residences. These reasonable efforts are made in the front-end prior to discharge and/or in the back-end. These efforts are identified in Part V, section B line 18. University of Miami Hospital & Clinics Part V, Section B, Line 17e: At UMHC the hospital performed the following actions against an individual, only after making reasonable efforts to determine the patient's eligibility under the FAP: Reporting to credit agency. These reasonable efforts are made in the front-end prior to discharge and/or in the back-end. These efforts are identified in Part V, section B line 18. Anne Bates Leach Eye Hospital Part V, Section B, Line 17e: At ABLEH the hospital performed the following actions against an individual, only after making reasonable efforts to determine the patient's eligibility under the FAP: Reporting to credit agency. These reasonable efforts are made in the front-end prior to discharge and/or in the back-end. These efforts are identified in Part V, section B line 18. University of Miami Hospital Part V, Section B, Line 20d: Based upon 75% of the contracted managed care PPO payers for the hospital. University of Miami Hospital & Clinics Part V, Section B, Line 20d: 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 20d: Low income patients are charged based on FPG, and self-pay patients are entitled to a 30-40% discount for prompt payment. 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 7: The Medicare cost report was used. Part II, Community Building Activities: Community building activities include child abuse protection programs. Part III, Line 4: (2) Total bad debt expense is determined using the hospital's patient accounting records. (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). (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 91% through 12/31/13, and then 89% from 1/1/14 to 5/31/14; therefore, the hospital currently does not receive payment for a range of 9% to 11% 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: The communities' healthcare needs are assessed by the organization in collaboration with the Miami-Dade County Public Health Trust (PHT). Part VI, Line 3: 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: 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: (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: 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. 1 ALGYNOMICS INC 208 N COLUMBIA STREET CHAPEL HILL NC 27514 203217603 150199 0 N/A N/A Research ALLOGY INTERACTIVE LLC 3625 E AMELIA STREET ORLANDO FL 32803 270305949 685000 0 N/A N/A Research AMERICAN HEART ASSOCIATION PO BOX 841750 DALLAS TX 75284 135613797 501(c)(3) 745634 0 N/A N/A Research ARAPAHOE HOUSE INC 3530 WEST LEHIGH AVE DENVER CO 80236 840705495 501(c)(3) 92194 0 N/A N/A Research ARGONNE NATIONAL LABORATORY PO BOX 87916 CAROL STREAM IL 60188 680628477 US Dept of Energy 50059 0 N/A N/A Research ARIZONA STATE UNIVERSITY PO BOX 876401 TEMPE AZ 85287 860196696 State of AZ 6736 0 N/A N/A Research BANYAN BIOMARKERS INC 13400 PROGRESS BLVD ALACHUA FL 32615 201449566 26412 0 N/A N/A Research BATTELLE MEMORIAL INSTITUTE PO BOX 84262 SEATTLE WA 98124 314379427 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501(c)(3) 22553 0 N/A N/A Research RESEARCH FOUNDATION SUNY 230 WEST 41ST STREET 7TH FLOOR NEW YORK NY 10036 141368361 501(c)(3) 173912 0 N/A N/A Research RUSH UNIVERSITY MEDICAL CENTER 1700 W VAN BUREN STREET CHICAGO IL 60612 362174823 501(c)(3) 77231 0 N/A N/A Research SAN JOSE STATE UNIVERSITY 210 N FOURTH STREET 4TH FLOOR SAN JOSE CA 95112 946017638 501(c)(3) 1625524 0 N/A N/A Research SANFORD-BURNHAM MEDICAL RESEARCH 10901 NORTH TORREY PINES ROAD LA JOLLA CA 92037 510197108 501(c)(3) 462038 0 N/A N/A Research SCHILLINGER GENETICS INC 4401 WESTOWN PKWY SUITE 225 W DES MOINES IA 50266 421496452 43375 0 N/A N/A Research SCHOOL BOARD OF BROWARD COUNTY 600 SW 3 AVE 5TH FLOOR FT LAUDERDALE FL 33301 596000530 Broward County 62236 0 N/A N/A Research SEATTLE CHILDRENS RESEARCH INSTITUTE PO BOX 24728 SEATTLE WA 98124 910564748 501(c)(3) 14111 0 N/A N/A Research SHEPHERD CENTER INC 2020 PEACHTREE ROAD NW ATLANTA GA 30309 510141601 501(c)(3) 197540 0 N/A N/A Research SIMPSON WEATHER 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Research THE SCRIPPS RESEARCH INST 10550 NORTH TORREY PINES RD TPC-7 LA JOLLA CA 92037 330435954 501(c)(3) 430081 0 N/A N/A Research THE UNIVERSITY OF MONTANA 32 CAMPUS DRIVE MISSOULA MT 59812 816001713 State of MT 182500 0 N/A N/A Research THE VILLAGE 169 E FLAGLER STREET 13TH FLOOR MIAMI FL 33131 591452736 501(c)(3) 56790 0 N/A N/A Research THERAPY AND LEARNING CORP 621 NE 13 STREET HOMESTEAD FL 33030 830471851 16550 0 N/A N/A Research THERAPY FOR TODAY INC 7210 SW 57TH AVE SUITE 203 SOUTH MIAMI FL 33143 204979540 8280 0 N/A N/A Research TOLEDO CHILDRENS HOSPITAL 2142 N COVE BLVD TOLEDO OH 43606 344428256 501(c)(3) 7293 0 N/A N/A Research TRANSLATIONAL GENOMICS RESEARCH 445 NORTH FIFTH STREET SUITE 600 PHOENIX AZ 85004 753065445 501(c)(3) 174908 0 N/A N/A Research TRUSTEES OF DARTMOUTH COLLEGE 11 ROPE FERRY ROAD 6210 HANOVER NH 03755 020222111 501(c)(3) 12742 0 N/A N/A Research TULANE UNIVERSITY 100 JONES HALL NEW ORLEANS LA 70118 720423889 501(c)(3) 220388 0 N/A N/A Research UNIV OF PUERTO RICO MEDICAL SCIENCES CAMPUS PO BOX 365067 SAN JUAN PR 00936 660433762 Gov't of PR 24029 0 N/A N/A Research UNIV OF ROCHESTER 910 GENESEE ST SUITE 200 ROCHESTER NY 14611 160743209 501(c)(3) 83514 0 N/A N/A Research UNIVERSITY CITY SCIENCE CENTER 3711 MARKET STREET SUITE 800 PHILADELPHIA PA 19104 231645908 501(c)(3) 158701 0 N/A N/A Research UNIVERSITY CORPORATION FOR ATMOSPHERIC RESEARCH PO BOX 3000 BOULDER CO 80307 840412668 501(c)(3) 20126 0 N/A N/A Research UNIVERSITY HOSPITALS OF CLEVELAND PO BOX 74420 CLEVELAND OH 44194 341567805 501(c)(3) 19100 0 N/A N/A Research UNIVERSITY OF ALABAMA AT BIRMINGHAM 619 SOUTH 19TH STREET BIRMINGHAM AL 35233 636005396 State of AL 14728 0 N/A N/A Research UNIVERSITY OF ARIZONA 1303 E UNIVERSITY BLVD BOX 3 TUCSON AZ 85719 866004791 State of AZ 252060 0 N/A N/A Research UNIVERSITY OF CALIFORNIA 109 WILSHIRE BLVD SUITE 1200 LOS ANGELES CA 90024 952226406 State of CA 9989 0 N/A N/A Research UNIVERSITY OF CENTRAL FLORIDA PO BOX 160118 ORLANDO FL 32826 592924021 State of FL 515955 0 N/A N/A Research UNIVERSITY OF CHICAGO 6054 SOUTH DREXEL AVENUE SUITE 300 CHICAGO IL 60637 362177139 501(c)(3) 13644 0 N/A N/A Research UNIVERSITY OF DELAWARE 116 STUDENT SERVICES BLDG NEWARK DE 19716 516000297 501(c)(3) 149343 0 N/A N/A Research UNIVERSITY OF FLORIDA PO BOX 113001 GAINESVILLE FL 32611 596002052 State of FL 1077084 0 N/A N/A Research UNIVERSITY OF HAWAII 2440 CAMPUS ROAD BOX 368 HONOLULU HI 96822 990085260 State of HI 318227 0 N/A N/A Research UNIVERSITY OF ILLINOIS LIBRARY PO BOX 4610 SPRINGFIELD IL 62708 376000511 501(c)(3) 1168356 0 N/A N/A Research UNIVERSITY OF IOWA 200 HAWKINS DRIVE IOWA CITY IA 52242 426004813 State of IA 159450 0 N/A N/A Research UNIVERSITY OF MARYLAND PO BOX 41428 BALTIMORE MD 21203 526002033 State of MD 65456 0 N/A N/A Research UNIVERSITY OF MINNESOTA NW 5957 PO BOX 1450 MINNEAPOLIS MN 55485 416007513 State of MN 233630 0 N/A N/A Research UNIVERSITY OF NORTH CAROLINA CAMPUS BOX 7295 CHAPEL HILL NC 27599 566001393 State of NC 193767 0 N/A N/A Research UNIVERSITY OF PENNSYLVANIA PO BOX 785541 PHILADELPHIA PA 19178 231352685 501(c)(3) 309595 0 N/A N/A Research UNIVERSITY OF PITTSBURGH PO BOX 371220 PITTSBURGH PA 15251 250965591 501(c)(3) 106040 0 N/A N/A Research UNIVERSITY OF SOUTH FLORIDA PO BOX 864568 ORLANDO FL 32886 592959590 501(c)(3) 615763 0 N/A N/A Research UNIVERSITY OF SOUTHERN CALIFORNIA SPONSORED PROJECTS ACCOUNTING FILE NO 52095 LOS ANGELES CA 90074 951642394 501(c)(3) 261422 0 N/A N/A Research UNIVERSITY OF TEXAS AT AUSTIN PO BOX 7159 AUSTIN TX 78713 746000203 State of TX 221586 0 N/A N/A Research UNIVERSITY OF UTAH 201 S PRESIDENTS CIRCLE RM 406 SALT LAKE CITY UT 84112 876000525 State of UT 12297 0 N/A N/A Research UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DRIVE CHICAGO IL 60693 916001537 State of WA 182087 0 N/A N/A Research UNIVERSITY OF WISCONSIN UW-MADISON OFF RESEARCH SPONSORED PROG DRAWER 538 MILWAUKEE WI 53278 391805963 501(c)(3) 1719999 0 N/A N/A Research US TREASURY 699 DYER RD HALLIGAN H RM 226 MONTEREY CA 93943 571000830 US Govt 133476 0 N/A N/A Research UT HEALTH SCIENCE CENTER 7703 FLOYD CURL DRIVE MC 7845 SAN ANTONIO TX 78229 741586031 State of TX 58679 0 N/A N/A Research VACCINE & GENE THERAPY INSTITUTE 9801 SW DISCOVERY WAY PORT ST LUCIE FL 34987 364631835 501(c)(3) 88215 0 N/A N/A Research VANDERBILT UNIVERSITY MEDICAL PO BOX 121236 DALLAS TX 75312 620476822 501(c)(3) 444990 0 N/A N/A Research WAKE FOREST UNIVERSITY HEALTH SERVICES - MEDICAL CENTER BLVD WINSTONSALEM NC 27157 560532138 501(c)(3) 89578 0 N/A N/A Research WALSH COLLEGE 3838 LIVERNOIS ROAD PO BOX 7006 TROY MI 48007 381308480 501(c)(3) 275000 0 N/A N/A Research WASHINGTON UNIV SCHOOL OF MEDICINE 700 ROSEDALE AVE ST LOUIS MO 63112 430653611 501(c)(3) 96417 0 N/A N/A Research WAYNE STATE UNIVERSITY 275 E HANCOCK RM 020 MOTT CENTER DETROIT MI 48201 386028429 State of MI 275000 0 N/A N/A Research WOODS HOLE OCEANOGRAPHIC INST ACCOUNTS RECEIVABLE MS NO 14 WOODS HOLE MA 02543 042105850 501(c)(3) 34755 0 N/A N/A Research YALE UNIVERSITY PO BOX 1873 NEW HAVEN CT 06508 060646973 501(c)(3) 209820 0 N/A N/A Research AMERICAN HEART ASSOCIATION PO BOX 841750 DALLAS TX 75284 135613797 501(c)(3) 45000 0 N/A N/A General Support DAILY BUSINESS REVIEW 1 SE 3RD AVENUE MIAMI FL 33131 133273851 8500 0 N/A N/A General Support FLORIDA INTERNATIONAL UNIVERSITY 11200 SW 8TH STREET MIAMI FL 33199 650177616 State of FL 14175 0 N/A N/A General Support INTERNATIONAL SOCIETY FOR HEART RESEARCH INC 5890 PARK ROAD CINCINNATI OH 45243 237055675 501(c)(3) 37568 0 N/A N/A General Support LATCRIT INC PO BOX 248243 CORAL GABLES FL 33124 593557150 501(c)(3) 40000 0 N/A N/A General Support LIFT 1428 LLC 1658 HILLCREST ROAD CHATTANOOGA TN 37405 461192005 15000 0 N/A N/A General Support WAYNE STATE UNIVERSITY 3901 BEAUBIEN STREET SUITE 1K40 DETROIT MI 48201 386028429 State of MI 605297 0 N/A N/A General Support 134 19 Scholarships for tuition housing meals and books 14520 381764931 N/A N/A Grants and Other Assistance - Research 3 45945 N/A N/A Grants and Other Assistance - General Support 1 10000 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 X X 0 0 0 0 0 1 0 0 0 Donna E Shalala President 904167 0 0 0 90263 0 28050 0 314898 0 1337378 0 0 0 Thomas J LeBlanc Executive VP & Provost 679894 0 0 0 59301 0 28050 0 18898 0 786143 0 0 0 P Goldschmidt-Clermont Sr VP Medical Affairs-Dean Sch Med 1108967 0 90334 0 100565 0 28050 0 18944 0 1346860 0 0 0 Joseph T Natoli Sr VP Business & Finance and CFO 672985 0 0 0 222643 0 25500 0 19145 0 940273 0 0 0 Sergio M Gonzalez Sr VP, Advancement & External Affair 553552 0 0 0 51193 0 21314 0 36129 0 662188 0 0 0 John R Shipley VP & Treasurer 385506 0 0 0 13974 0 26050 0 16415 0 441945 0 0 0 Rodolfo Fernandez VP for Government Affairs 212044 0 0 0 19807 0 23782 0 12583 0 268216 0 0 0 Larry D Marbert VP for Real Estate & Facilities 363005 0 0 0 11688 0 26035 0 8640 0 409368 0 0 0 Jacqueline R Menendez VP for University Communications 269975 0 0 0 414 0 27114 0 27914 0 325417 0 0 0 Aileen M Ugalde VP, General Counsel, University Sec 499756 0 0 0 34991 0 24551 0 13422 0 572720 0 0 0 Patricia A Whitely VP for Student Affairs 322493 0 0 0 42637 0 34680 0 19498 0 419308 0 0 0 Nerissa Morris VP for Human Resources 370733 0 0 0 9069 0 28701 0 8951 0 417454 0 0 0 Jonathan Jack T Lord VP and Chief Operating Officer 444333 0 0 0 80728 0 20174 0 10504 0 555739 0 0 0 Theresa L Ashman Associate VP & Controller 259062 0 0 0 714 0 17311 0 16380 0 293467 0 0 0 Stephen Cawley VP for Information Technology 416081 0 0 0 402 0 26167 0 13409 0 456059 0 0 0 Mark Diaz VP of Budget and Planning 315603 0 116250 0 159652 0 19219 0 61098 0 671822 0 0 0 Rudolph Rudy Green VP & Chief Compliance Officer 292285 0 0 0 152098 0 0 0 18570 0 462953 0 0 0 David A Lubarsky Chief Med & System Integration Offcr 657290 0 225000 0 373770 0 28050 0 20196 0 1304306 0 0 0 Alan S Livingstone MD Chief Exec, UHealth Clinical (fmr) 771991 0 62156 0 74487 0 28050 0 16875 0 953559 0 0 0 Steven Falcone Chief Executive, UHealth Clinical 540910 0 67500 0 73788 0 28050 0 70141 0 780389 0 0 0 John Sory Chief Exec,UHealth Regional Alliance 431304 0 71719 0 90 0 18382 0 12724 0 534219 0 0 0 Daniel J Snyder CEO, Univ of Miami Hospital 359840 0 56250 0 258 0 31500 0 14556 0 462404 0 0 0 Richard Ballard CEO, Univ of Miami Hosp & Clinics 345689 0 54000 0 5429 0 34435 0 19334 0 458887 0 0 0 Michael Gittelman CEO, Anne Bates Leach Eye Hospital 361596 0 54058 0 11453 0 29477 0 17922 0 474506 0 0 0 Alfred J Golden Head Coach, Football 153847 0 0 0 2350491 0 16000 0 18977 0 2539315 0 0 0 James J Larranaga Head Coach, Basketball 199938 0 120000 0 1176185 0 30556 0 17499 0 1544178 0 0 0 Nestor de la Cruz-Munoz Associate Professor Dept of Surgery 597500 0 804292 0 119589 0 25500 0 18611 0 1565492 0 0 0 Dipen J Parekh Professor, Urology 717794 0 101875 0 445529 0 25500 0 18734 0 1309432 0 0 0 Lee D Kaplan Professor, Orthopaedics 803359 0 90000 0 236676 0 22669 0 21206 0 1173910 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. Part I, Line 6 Bonus/Incentives: Based on School of Medicine (MSOM) performance metric. Target represents 100% payment expected under the bonus program if all goals are achieved and financial performance is on plan; additional bonus payments may be earned if MSOM operating income exceeds budget; no bonus is earned if budgeted operating income is not achieved. 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 45995000 478963291 16255508 303488136 3097405 3351958 152770284 2009 1 1 1 1 B 294962040 5500732 2148447 287312862 2009 1 0 1 1 C 106138985 1362175 949210 25082030 74895734 3849835 2014 1 0 0 1 A 0 1 1 1 1 1 0.00250 0.00920 0.01170 0 0 1 B 0 1 1 1 1 1 0.01640 0.01640 0 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 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 May 2012, but no rebate due. The next computation date is 5/31/2017. 91266 Disct Tuition Tuition Asst 25000 Stipend Educ Asst Susan Dandes See Part V 99296 See Part V 0 Brian LeBlanc See Part V 56651 See Part V 0 Rosemarie Ugalde See Part V 48936 See Part V 0 Lori Shipley See Part V 89124 See Part V 0 Jennifer McCafferty See Part V 264000 See Part V 0 Marlena Diaz See Part V 118744 See Part V 0 Sonia Mora See Part V 105400 See Part V 0 Jeanette Gonzalez-Calles See Part V 17811 See Part V 0 Eric Winter See Part V 76375 See Part V 0 Gino DiMare See Part V 118241 See Part V 0 Schedule L, Part IV - Lines 1, 8-10 Col B Family member of trustee. Schedule L, Part IV - Lines 2-7, Col B Family member of officer. Schedule L, Part IV - Lines 1-10, Col D Family member employment. X 4079 828258 Fair Market Value X 112 7115730 Fair Market Value X Equipment 233 596435 Fair Market Value X Auction Items 603 0 See Part II 0 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: a. Part I, Line 17 - Real Estate Property: The University of Miami's policy is to record the value of donated real estate for accounting purposes at $1 if the University is not able to use the asset in its exempt mission. At such time as the real estate is sold, the proceeds of the sale are recorded as contribution 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 A, line 4 Significant Changes to Governing Documents: The governing body increased the maximum number of years that a trustee can serve per committee. In rare cases, extensions to the maximum terms served per committee can be granted by approval from the Chairman of the Board. 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 Chair of The Conflict of Interest Review Sub-Committee. When there are apparent conflicts, the Sub-Committee Chair ensures the conflict is managed. Trustees who may have conflict, recuse themselves from deliberations and voting. Form 990, Part VI, Section B, line 15 Process for Review of Compensation of Officers and Key Employees: 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 all officers, key employees of the University, including the President, and trustees who are employees of the University: 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, 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 the officers, key employees, including the President, and trustees who are employees of the University, who is excused while deliberation about his/her compensation is discussed. 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 all executive compensation in April, 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 32,806,456. Refunds of Contributions - $108,199 -108,199. 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 31038 721590 Biscayne View Properties LLC 1509 Venture LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 0 1802245 Biscayne View Properties LLC East Urban LLC 200 E Las Olas Boulevard Suite 2100 Fort Lauderdale FL 33301 202458426 Real Estate FL 22747 1077534 Biscayne View Properties LLC Tripop LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 0 4320659 Biscayne View Properties LLC 7th Avenue Market LLC 1320 South Dixie Hwy Suite 705 Coral Gables FL 33146 202458426 Real Estate FL 0 3027963 Biscayne View Properties LLC Equi Terra LLC 200 E Las Olas Boulevard Suite 2100 Fort Lauderdale FL 33301 590624458 Real Estate FL 0 0 University of Miami Ten Bor LLC 200 E Las Olas Boulevard Suite 2100 Fort Lauderdale FL 33301 273025289 Real Estate FL 0 0 Equi Terra LLC PT Property Holding LLC 200 E Las Olas Boulevard Suite 2100 Fort Lauderdale FL 33301 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 Mi FL 33101 237081974 Fundraising FL 501(C)(3) Line 11c, III-FI N/A 0 CRAT (5) 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 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 0 1 1 WVUM Inc R 79890 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.