2013-05-14T13:05:21-05:00 2012-06-30 990 2011-07-01 042103634 TRUSTEES OF TUFTS COLLEGE TRUS 6176273264 169 HOLLAND STREET ATTN TAX DEPT SOMERVILLE MA 02144 THOMAS S MCGURTY 6176273264 2013-05-13 2011 2016-02-24 21:20:13Z ANTHONY P MONACO 169 HOLLAND STREET ATTN TAX DEPT SOMERVILLE MA 02144 1553591079 0 X WWW.TUFTS.EDU X 1852 MA EDUCATION AND RESEARCH 42 41 11446 0 -140074 -2259410 236685651 205879619 527263363 559144472 85228964 37260018 2530559 3579690 851708537 805863799 105752923 125208139 0 0 400734000 436242443 1252054 1341302 19551632 260233072 261492262 767972049 824284146 83736488 -18420347 2718084090 2873083496 668645597 924254950 2049438493 1948828546 X TUFTS UNIVERSITY'S FOCUS ON INNOVATION AND PROGRESSIVE THINKING TOOK ROOT AT ITS FOUNDING AS A LIBERAL ARTS COLLEGE IN 1852. TODAY, TUFTS UNDERGRADUATE, GRADUATE AND PROFESSIONAL SCHOOLS ARE RECOGNIZED FOR THEIR DEDICATION TO EDUCATING NEW LEADERS FOR OUR CHANGING WORLD, AND TUFTS IS RECOGNIZED AMONG THE MOST SELECTIVE ACADEMIC AND RESEARCH UNIVERSITIES IN THE UNITED STATES. SUPERB TEACHING AND WORLD-CLASS RESEARCH EQUIP TUFTS GRADUATES TO ADDRESS MULTI-FACETED CHALLENGES AROUND THE GLOBE. CREATIVE CROSS-SCHOOL COLLABORATIONS AND MULTIDISCIPLINARY CENTERS ENGAGE STUDENTS IN SEEKING SOLUTIONS TO COMPLEX ECONOMIC, HEALTH, POLITICAL AND ENVIRONMENTAL ISSUES EVEN BEFORE THEY GRADUATE.A GROWING NUMBER OF INNOVATIVE RESEARCH INITIATIVES AND JOINT DEGREE PROGRAMS ARE AVAILABLE FOR BOTH UNDERGRADUATE AND GRADUATE STUDENTS IN LIBERAL ARTS, SCIENCES AND ENGINEERING AND THE UNIVERSITY'S GRADUATE AND PROFESSIONAL SCHOOLS. 0 0 417969843 94043806 408542843 INSTRUCTION - DURING THE 2011-2012 ACADEMIC YEAR, THE FOLLOWING DEGREES WERE CONFERRED: 1,377 UNDERGRADUATE, 1,251 GRADUATE AND 448 PROFESSIONAL. 264800430 17551050 99787800 RESEARCH - THERE WERE 1,421 GOVERNMENT AND 652 NON-GOVERNMENT GRANTS ACTIVE IN FISCAL YEAR 2012. SPONSORED RESEARCH AT TUFTS WAS PERFORMED IN THE MEDICAL, DENTAL, AND VETERINARY SCHOOLS AS WELL AS IN THE BASIC SCIENCE DEPARTMENTS OF ARTS & SCIENCE & ENGINEERING. RESEARCH IS ALSO BEING PERFORMED AT THE USDA HUMAN NUTRITION RESEARCH CENTER ON AGING. ALSO, CLINICAL AND OTHER RESEARCH ACTIVITIES INCLUDE 30 CLINICS THAT ARE OPERATED BY THE DENTAL AND VETERINARY SCHOOLS TO TRAIN STUDENTS AND SUPPORT THEIR RESEARCH. OTHER EDUCATIONAL ACTIVITIES INCLUDE, AMONG OTHERS, VETERINARY SCHOOL NEWSLETTERS AND CONTINUING EDUCATION PROGRAMS FOR HEALTH SCHOOL PROFESSIONALS. 51075934 0 50813829 AUXILLIARY ENTERPRISES - ACTIVITIES PRIMARILY CONSIST OF SERVICES FOR STUDENTS, INCLUDING STUDENT HOUSING, DINING SERVICES AND HEALTH SERVICES. DURING THE 2012 FISCAL YEAR THERE WERE 43 RESIDENCE HALLS HOUSING 3,551 STUDENTS. APPROXIMATELY 4,097 MEAL PLANS WERE SOLD TO STUDENTS EACH SEMESTER. 733846207 1 0 0 1 0 0 0 1 1 1 1 1 0 0 1 0 0 1 1 1 1 1 1 1 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 1 1 1 1 0 0 1 1 1 1 1 0 1 X 2110 0 1 11446 1 1 1 1 UK FR GM SP GH CI HK 0 0 0 1 1 1 2 0 0 0 X 42 41 1 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 MA CA LA ND OK X THOMAS S MCGURTYVP FINTREASURER 6176273264 169 HOLLAND STREETROOM 318 SOMERVILLE MA 02144 ANTHONY P MONACO 40.00 X X 321400 0 55012 LAWRENCE S BACOW 40.00 X X 2147127 0 76625 THOMAS M ALPERIN 3.00 X 0 0 0 ROBERT R BENDETSON 3.00 X 0 0 0 ALISON M BREED 3.00 X 0 0 0 BETSY BUSCH 3.00 X 0 0 0 A DANA CALLOW JR 3.00 X 0 0 0 ANTHONY D CORTESE 3.00 X 0 0 0 JEANNIE H DIEFENDERFER 3.00 X 0 0 0 DANIEL J DOHERTY III 3.00 X 0 0 0 PETER R DOLAN 3.00 X X 0 0 0 FARES I FARES 3.00 X 0 0 0 LAURIE A GABRIEL 3.00 X 0 0 0 STEVEN M GALBRAITH 3.00 X 0 0 0 STEVEN A GOLDSTEIN 3.00 X 0 0 0 VARNEY J HINTLIAN 3.00 X 0 0 0 DEBORAH R JOSPIN 3.00 X 0 0 0 BRIAN H KAVOOGIAN 3.00 X 0 0 0 JEFFREY B KINDLER 3.00 X 0 0 0 DEBRA S KNEZ 3.00 X 0 0 0 DANIEL A KRAFT 3.00 X 0 0 0 ELLEN J KULLMAN 3.00 X 0 0 0 ANDREW LIVERIS 3.00 X 0 0 0 KATHLEEN A MCCARTNEY 3.00 X 0 0 0 SETH I MERRIN 3.00 X 0 0 0 IOANNIS MIAOULIS 3.00 X 0 0 0 JEFFREY M MOSLOW 3.00 X 0 0 0 KATHLEEN O'LOUGHLIN 3.00 X 0 0 0 WILLIAM R O'REILLY JR 3.00 X X 0 0 0 KAREN M PRITZKER 3.00 X 0 0 0 DAVID B RONE 3.00 X 0 0 0 HUGH R ROOME III 3.00 X 0 0 0 ANDREW SAFRAN 3.00 X 0 0 0 JANIS SAVIN-WILLIAMS 3.00 X 0 0 0 NEAL B SHAPIRO 3.00 X 0 0 0 JAMES A STERN 3.00 X X 0 0 0 TINA SURH 3.00 X 0 0 0 EDWARD M SWAN JR 3.00 X 0 0 0 ALFRED I TAUBER 3.00 X 0 0 0 JONATHAN M TISCH 3.00 X X 0 0 0 TERI COLEMAN VOLPERT 3.00 X 0 0 0 GLORIA WHITE-HAMMOND 3.00 X 0 0 0 JAMES J WONG 3.00 X 0 0 0 MICHAEL A BAENEN 40.00 X 146629 0 27284 PATRICIA L CAMPBELL 40.00 X 421432 0 62699 KATHLEEN CRONIN 40.00 X 202011 0 49650 MARY R JEKA 40.00 X 312286 0 47281 ERIC C JOHNSON 40.00 X 241378 0 52575 DAVID J KAHLE 40.00 X 274602 0 59389 DARLEEN PATRICIA KARP 40.00 X 159689 0 28338 BRIAN K LEE 40.00 X 400789 0 91299 THOMAS S MCGURTY 40.00 X 312054 0 61663 MARGARET E NEWELL 40.00 X 341633 0 39683 RICHARD REYNOLDS 40.00 X 240108 0 30419 PAUL J TRINGALE 40.00 X 117758 0 19363 LINDA M ABRIOLA 40.00 X 274666 0 52825 JOANNE E BERGER-SWEENEY 40.00 X 289727 0 62190 HARRIS A BERMAN 40.00 X 422008 0 47393 DEBORAH T KOCHEVAR 40.00 X 229138 0 50685 LONNIE NORRIS 40.00 X 246715 0 41097 NAOMI ROSENBERG 40.00 X 238568 0 48114 HUW THOMAS 40.00 X 156246 0 25239 STEPHEN W BOSWORTH 40.00 X 343399 0 32878 SALLY DUNGAN 40.00 X 580637 0 194274 NAUSHIRWAN R MEHTA 40.00 X 400291 0 47828 RENEE R NADLER 40.00 X 384085 0 131387 MARIA PAPAGEORGE 40.00 X 552573 0 89604 JAMSHED BHARUCHA 40.00 X 241671 0 48851 9998620 0 1573645 680 1 1 0 BARR & BARR INC 260 COCHITUATE ROAD FRAMINGHAM MA 01701 CONSTRUCTION 10539023 SHAWMUT DESIGN & CONSTRUCTION 560 HARRISON AVENUE BOSTON MA 02118 CONSTRUCTION 8999992 ABM JANITORIAL SERVICES-NORTHEAST INC PO BOX 1534 NEW YORK NY 10008 CLEANING 7256305 STANMAR INC 321 COMMONWEALTH ROAD WAYLAND MA 01778 CONSTRUCTION 6886186 COLUMBIA CONSTRUCTION CO 100 RIVERPARK DRIVE NORTH READING MA 01864 CONSTRUCTION 6668914 168 140931055 64948564 4332548 205879619 INSTRUCTION 900099 408542843 408542843 CLINICAL AND OTHER EDU 541900 99787800 97973905 1813895 AUXILLIARY ENTERPRISES 900099 50813829 50659532 154297 559144472 14366843 14366843 3022316 3022316 2249978 1692604 557374 557374 557374 768927851 746034676 22893175 22893175 -2108266 25001441 805863799 557176280 -140074 42947974 15141990 15141990 106650071 106650071 3416078 3416078 8737962 2331689 4608988 1797285 342566761 296285361 36797323 9484077 24915222 20998900 3108966 807356 39151337 32917541 4790904 1442892 20871161 17343124 2818227 709810 4916670 3616591 1299822 257 434385 26625 407760 402965 402965 1341302 1341302 842389 842389 38348709 31287936 6972520 88253 16767 16767 64556426 59850152 2431192 2275082 9118379 6593911 2354832 169636 3760682 3760682 35104887 34037492 938514 128881 12134512 11013422 668008 453082 4333637 3130441 760366 442830 20316306 19698571 543147 74588 37032539 35906532 990049 135958 BOOKS 9249597 9045322 35405 168870 SUBSIDIARY EXPENSE-TVET 7118611 7118611 EQUIPMENT PURCHASES 6039317 5938304 94194 6819 GOODS AND SERVICES 5922881 5917494 550 4837 1842603 1819367 20186 3050 824284146 733846207 70886307 19551632 59457952 47103042 71350399 64208791 18229444 9996686 60765181 59809271 433473 413855 4631384 7063984 1283442728 531263760 700084314 752178968 249528448 371829668 1405401328 1421170510 24137372 24566685 124064795 114742036 2718084090 2873083496 135505244 119918438 64297994 57623315 400404600 637599568 1831174 1917357 66606585 107196272 668645597 924254950 X 1089468279 1019939798 442352522 404006824 517617692 524881924 2049438493 1948828546 2718084090 2873083496 X -18420347 -82189600 X 0 1 1 X 1 1 X X 0 0 402965 402965 402965 402965 804329549 846396318 804732514 846799283 1000000 1000000 250000 250000 0 0 0 0 1000000 1000000 1000000 1000000 4000000 6000000 329730 345173 328735 402965 1406603 250000 250000 250000 250000 1000000 1500000 1200 7431836 X X X 0 0 1 1445680252 8004599 8206782 14978246 56013800 4202629 1386696958 1252970860 24333842 227385906 15794246 39266184 3949926 1445680252 1142107003 18523742 134334800 7965044 31027541 3002100 1252970860 1492298121 15551217 -326872018 9676147 26139694 3054476 1142107003 0.39800 0.36400 0.23800 0 0 42130111 42130111 1083373735 437821900 645551835 157938882 93441860 64497022 752178968 650090342 F PRIVATE EQUITIES 406021397 F REAL ESTATE 143296625 F COMMON TRUST EQUITY INDEX FUNDS 168356036 F FUNDS HELD UNDER BOND AGREEMENTS 44 F NATURAL RESOURCES 42430494 F OTHER INVESTMENTS 7736569 F UNSETTLED INVESTMENTS 3239003 F 1421170510 GOVERNMENT ADVANCES 27104175 INTEREST RATE AGREEMENTS 76971097 UNFUNDED STATUS OF POST RETIREMENT PLAN 3121000 107196272 805863799 824284146 -18420347 -42377141 -39812459 -82189600 -100609947 711877729 -94705023 -94705023 806582752 -718953 -718953 805863799 812487675 42377140 54688535 97065675 715422000 108862146 108862146 824284146 PART III, LINE 4: THE TRUSTEES OF TUFTS COLLEGE'S COLLECTIONS INCLUDE PRIMARILY ART, BOOKS AND ARTIFACTS WHICH ARE PUT TO USE IN THE ORGANIZATION'S INSTRUCTION AND ACADEMIC RESEARCH. PART IV, LINE 2B: TUFTS UNIVERSITY IS THE FISCAL AGENT FOR NUMEROUS UNIVERSITY SPONSORED ACTIVITIES. THE UNIVERSITY HOLDS THESE FUNDS, BUT DOES NOT OWN THEM. AS A RESULT OF THIS ARRANGEMENT THE UNIVERSITY RECORDS A LIABILITY EQUAL TO THE FUNDS BEING HELD IN ESCROW. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: THE TRUSTEES OF TUFTS COLLEGE INTEND TO USE THE ORGANIZATION'S ENDOWMENT FUNDS TO PROVIDE FUTURE RESOURCES TO SUPPORT THE UNIVERSITY'S ACTIVITIES. PART XI, LINE 8 - OTHER ADJUSTMENTS: CHANGE IN SPLIT INTEREST AGREEMENTS -732,984. NET INCOME FROM CONSOLIDATED ENTITIES 868,819. CUMULATIVE EFFECT OF ACCOUNTING CHANGE -3,145,000. CHANGE IN FAIR VALUE OF INTEREST RATE AGREEMENTS -37,585,035. INVESTMENT IN TUFTS SHARED SERVICES,INC F/K/A T-NEMC,A RELATED ORGANIZATION 781,741. TOTAL TO SCHEDULE D, PART XI, LINE 8: -39,812,459. PART XII, LINE 2D - OTHER ADJUSTMENTS: CONSOLIDATED ENTITIES REVENUES 11,685,944. TUITION DISCOUNT -107,172,708. INVESTMENT IN TUFTS SHARED SERVICES,INC F/K/A T-NEMC 781,741. PART XII, LINE 4B - OTHER ADJUSTMENTS: RENTAL EXPENSE NETTED WITH RENTAL INCOME -1,692,604. INTERDEPARTMENTAL REQUISITION REVENUE 973,651. PART XIII, LINE 2D - OTHER ADJUSTMENTS: RENTAL EXPENSE NETTED WITH RENTAL INCOME 1,692,604. INTERDEPARTMENTAL REQUISITION REVENUE 715,785. CONSOLIDATED ENTITIES EXPENSES 10,817,127. CUMULATIVE EFFECT OF ACCOUNTING CHANGE SFAS 158 3,145,000. CHANGE IN SPLIT INTEREST AGREEMENT 732,984. CHANGE IN FAIR VALUE OF INTEREST RATE AGREEMENTS 37,585,035. PART XIII, LINE 4B - OTHER ADJUSTMENTS: TUITION DISCOUNT 107,172,708. CONSOLIDATED ENTITIES EXPENSES 1,689,438. PART XI - XIII, THE TRUSTEES OF TUFTS COLLEGE FINANCIAL STATEMENTS WERE AUDITED ON A CONSOLIDATED BASIS. 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 EXPLANATION OF NONDISCRIMINATORY POLICY PUBLICATION SCHEDULE E, PART I, LINE 3 AS PERMITTED UNDER SEC. 4.03 OF REV. PROC. 75-50, TRUSTEES OF TUFTS COLLEGE SATISFIES THE PUBLICITY REQUIREMENT BY COMPLYING WITH SECTION 4.02 BECAUSE THE TRUSTEES OF TUFTS COLLEGE "CUSTOMARILY DRAWS A SUBSTANTIAL PERCENTAGE OF ITS STUDENTS NATIONWIDE OR WORLDWIDE...AND FOLLOWS A RACIALLY NONDISCRIMINATORY POLICY AS TO THE STUDENTS." EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 THE TRUSTEES OF TUFTS COLLEGE RECEIVES ASSISTANCE IN THE FORM OF FEDERAL PERKINS LOANS, HEALTH PROFESSIONS LOAN AND SCHOLARSHIP FUNDS, PELL GRANTS, ACG GRANTS, SMART GRANTS, SUPPLEMENTAL EDUCATION OPPORTUNITY GRANTS, AND FEDERAL WORK STUDY FUNDS. STUDENTS ENROLLED AT THE TRUSTEES OF TUFTS COLLEGE ALSO RECEIVE LOAN FUNDS THROUGH THE FFEL LOAN PROGRAM AND RECEIVE GRANTS AND FELLOWSHIPS FROM A VARIETY OF FEDERAL AGENCIES SUCH AS THE NSF, THE NIH AND NASA. 1 EUROPE (INCLUDING ICELAND & GREENLAND) 5 6 PROGRAM SERVICES STUDY-ABROAD EDUCATION PROGRAM 3899814 EAST ASIA AND THE PACIFIC 3 2 PROGRAM SERVICES STUDY-ABROAD EDUCATION PROGRAM 625298 SOUTH AMERICA 1 1 PROGRAM SERVICES STUDY-ABROAD EDUCATION PROGRAM 322354 SUB-SAHARAN AFRICA 1 1 PROGRAM SERVICES STUDY-ABROAD EDUCATION PROGRAM 201775 CENTRAL AMERICA AND THE CARIBBEAN 0 0 GRANT-MAKING 99189 EAST ASIA AND THE PACIFIC 0 0 GRANT-MAKING 262136 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 GRANT-MAKING 673473 MIDDLE EAST AND NORTH AFRICA 0 0 GRANT-MAKING 122697 NORTH AMERICA 0 0 GRANT-MAKING 4500 RUSSIA & THE NEWLY INDEPENDENT STATES 0 0 GRANT-MAKING 17925 SOUTH AMERICA 0 0 GRANT-MAKING 256362 SOUTH ASIA 0 0 GRANT-MAKING 606109 SUB-SAHARAN AFRICA 0 0 GRANT-MAKING 1373687 CENTRAL AMERICA AND THE CARIBBEAN 0 0 INVESTMENTS 415322000 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 INVESTMENTS 75639000 NORTH AMERICA 0 0 INVESTMENTS 10731000 SUB-SAHARAN AFRICA 0 0 INVESTMENTS 3232000 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES TRAVEL FOR MISSION RELATED ACTIVITIES 112992 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES TRAVEL FOR MISSION RELATED ACTIVITIES 683421 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 PROGRAM SERVICES TRAVEL FOR MISSION RELATED ACTIVITIES 1428143 MIDDLE EAST AND NORTH AFRICA 0 0 PROGRAM SERVICES TRAVEL FOR MISSION RELATED ACTIVITIES 206925 NORTH AMERICA 0 0 PROGRAM SERVICES TRAVEL FOR MISSION RELATED ACTIVITIES 218228 RUSSIA & THE NEWLY INDEPENDENT STATES 0 0 PROGRAM SERVICES TRAVEL FOR MISSION RELATED ACTIVITIES 11686 SOUTH AMERICA 0 0 PROGRAM SERVICES TRAVEL FOR MISSION RELATED ACTIVITIES 151294 SOUTH ASIA 0 0 PROGRAM SERVICES TRAVEL FOR MISSION RELATED ACTIVITIES 357776 SUB-SAHARAN AFRICA 0 0 PROGRAM SERVICES TRAVEL FOR MISSION RELATED ACTIVITIES 630102 CENTRAL AMERICA AND THE CARIBBEAN 0 0 FUNDRAISING 214 EAST ASIA AND THE PACIFIC 0 0 FUNDRAISING 50753 EUROPE (INCLUDING ICELAND & GREENLAND) 0 0 FUNDRAISING 153262 MIDDLE EAST AND NORTH AFRICA 0 0 FUNDRAISING 1753 NORTH AMERICA 0 0 FUNDRAISING 5281 RUSSIA & THE NEWLY INDEPENDENT STATES 0 0 FUNDRAISING 22698 SOUTH AMERICA 0 0 FUNDRAISING 2566 SOUTH ASIA 0 0 FUNDRAISING 29725 10 10 0 0 10 10 6206736 511249402 517456138 SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 32750 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACT RESEARCH GRANT 192404 WIRE SOUTH AMERICA SUBCONTRACT RESEARCH GRANT 6480 WIRE SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 205899 WIRE SOUTH ASIA SUBCONTRACT RESEARCH GRANT 21519 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACT RESEARCH GRANT 166261 WIRE EAST ASIA AND THE PACIFIC SUBCONTRACT RESEARCH GRANT 9970 WIRE SOUTH ASIA SUBCONTRACT RESEARCH GRANT 11218 CHECK SOUTH ASIA SUBCONTRACT RESEARCH GRANT 26967 WIRE MIDDLE EAST AND NORTH AFRICA SUBCONTRACT RESEARCH GRANT 89579 CHECK SOUTH ASIA SUBCONTRACT RESEARCH GRANT 53837 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACT RESEARCH GRANT 19000 WIRE EAST ASIA AND THE PACIFIC SUBCONTRACT RESEARCH GRANT 15826 CHECK EAST ASIA AND THE PACIFIC SUBCONTRACT RESEARCH GRANT 21429 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACT RESEARCH GRANT 60143 CHECK SOUTH ASIA SUBCONTRACT RESEARCH GRANT 5650 WIRE SOUTH ASIA SUBCONTRACT RESEARCH GRANT 76478 WIRE SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 6381 WIRE SOUTH AMERICA SUBCONTRACT RESEARCH GRANT 12090 CHECK SOUTH AMERICA SUBCONTRACT RESEARCH GRANT 229971 WIRE SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 242909 WIRE SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 27138 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACT RESEARCH GRANT 80654 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACT RESEARCH GRANT 14542 WIRE CENTRAL AMERICA AND THE CARIBBEAN SUBCONTRACT RESEARCH GRANT 50256 WIRE SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 59792 WIRE CENTRAL AMERICA AND THE CARIBBEAN SUBCONTRACT RESEARCH GRANT 27952 WIRE SOUTH ASIA SUBCONTRACT RESEARCH GRANT 14728 WIRE SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 142666 WIRE SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 19164 WIRE SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 22683 WIRE SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 18279 WIRE SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 16264 WIRE SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 25000 WIRE SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 10034 WIRE SOUTH ASIA SUBCONTRACT RESEARCH GRANT 8334 CHECK SOUTH ASIA SUBCONTRACT RESEARCH GRANT 16650 WIRE EAST ASIA AND THE PACIFIC SUBCONTRACT RESEARCH GRANT 97826 WIRE SUB-SAHARAN AFRICA SUBCONTRACT RESEARCH GRANT 9930 WIRE EUROPE (INCLUDING ICELAND & GREENLAND) SUBCONTRACT RESEARCH GRANT 41266 WIRE EAST ASIA AND THE PACIFIC SUBCONTRACT RESEARCH GRANT 13485 WIRE EAST ASIA AND THE PACIFIC SUBCONTRACT RESEARCH GRANT 24867 CHECK SOUTH ASIA SUBCONTRACT RESEARCH GRANT 153442 WIRE EAST ASIA AND THE PACIFIC SUBCONTRACT RESEARCH GRANT 27500 WIRE 44 0 FELLOWSHIPS EUROPE (INCLUDING ICELAND & GREENLAND) 1 1000 CHECK FELLOWSHIPS SOUTH ASIA 1 1900 CHECK FELLOWSHIPS SOUTH ASIA 1 2000 WIRE TRANSFER INTERNATIONAL PROGRAM ADVANCES EUROPE (INCLUDING ICELAND & GREENLAND) 1 23622 ELECTRONIC FUNDS TRANSFER INTERNATIONAL PROGRAM ADVANCES SUB-SAHARAN AFRICA 6 303472 WIRE TRANSFER SCHOLARSHIPS EAST ASIA AND THE PACIFIC 8 44880 CHECK SCHOLARSHIPS EUROPE (INCLUDING ICELAND & GREENLAND) 7 64009 CHECK SCHOLARSHIPS MIDDLE EAST AND NORTH AFRICA 3 33118 CHECK SCHOLARSHIPS RUSSIA & THE NEWLY INDEPENDENT STATES 1 15116 CHECK SCHOLARSHIPS SOUTH AMERICA 1 1163 CHECK SCHOLARSHIPS SOUTH ASIA 16 162154 CHECK SCHOLARSHIPS SUB-SAHARAN AFRICA 10 150930 CHECK SCHOLARSHIPS SUB-SAHARAN AFRICA 1 1000 WIRE TRANSFER STUDENT PRIZES CENTRAL AMERICA AND THE CARIBBEAN 2 4281 CHECK STUDENT PRIZES EAST ASIA AND THE PACIFIC 5 6353 CHECK STUDENT PRIZES EUROPE (INCLUDING ICELAND & GREENLAND) 1 2571 CHECK STUDENT PRIZES NORTH AMERICA 1 1000 CHECK STUDENT PRIZES RUSSIA & THE NEWLY INDEPENDENT STATES 1 2809 CHECK STUDENT PRIZES SOUTH ASIA 3 9459 CHECK STUDENT PRIZES SUB-SAHARAN AFRICA 1 400 CHECK STUDENT STIPENDS EUROPE (INCLUDING ICELAND & GREENLAND) 1 3500 CHECK STUDENT STIPENDS NORTH AMERICA 1 3500 CHECK STUDENT STIPENDS SOUTH ASIA 1 3500 CHECK SUBCONTRACT RESEARCH GRANT CENTRAL AMERICA AND THE CARIBBEAN 1 16700 WIRE TRANSFER SUBCONTRACT RESEARCH GRANT SOUTH AMERICA 1 2951 WIRE TRANSFER SUBCONTRACT RESEARCH GRANT SOUTH ASIA 1 29909 WIRE TRANSFER SUBCONTRACT RESEARCH GRANT SUB-SAHARAN AFRICA 2 78166 WIRE TRANSFER 1 1 1 1 1 1 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: PROCEDURES FOR MONITORING GRANT FUNDS DUE TO THE VARIOUS TYPES OF GRANT FUND EXPENDITURES THE UNIVERSITY USES MULTIPLE INTERNAL CONTROL PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS AND ASSISTANCE OUTSIDE THE UNITED STATES. FOR FELLOWSHIPS, PRIZES AND STIPENDS, PAYMENTS ARE MADE THROUGH OUR FINANCIAL SERVICES, ACCOUNTS PAYABLE DEPARTMENT. THE PROCESS REQUIRES PRE-APPROVAL BY A PARTICULAR DEPARTMENT-HEAD AND SPECIFIC DOCUMENTATION AND AUTHORIZATIONS ARE NECESSARY IN ORDER TO PROCESS A PAYMENT. FOR INTERNATIONAL PROJECT ADVANCES, A MAJORITY OF THE PAYMENTS ARE WIRED DIRECTLY TO A DESIGNATED FOREIGN BANK ACCOUNT. THE UNIVERSITY HAS REPRESENTATIVES IN THE SPECIFIC REGION WHO MAINTAIN THE CASH FOR EXPENDITURES AND THEIR INTENDED PURPOSES. FOR SCHOLARSHIPS, ALL FOREIGN ADDRESS STUDENTS ARE PROVIDED WITH A CHECK PAYMENT THAT IS PROCESSED FROM THE ACCOUNTS PAYABLE DEPARTMENT. THE FINANCIAL AID OFFICE ADMINISTERS THE LISTING OF PAYEES AND THE FINANCIAL SERVICES OFFICE RECORDS THE TRANSACTIONS AFTER ALL REQUIRED DOCUMENTATION HAS BEEN RECEIVED. FOR SUBCONTRACT RESEARCH GRANTS, A PRINCIPAL INVESTIGATOR (PI) IS RESPONSIBLE FOR ALL ASPECTS OF A GRANT ALONG WITH THE COMPLIANCE ACTIVITIES. ALL OF THESE PROCEDURES ENSURE THAT GRANT FUNDS USED OUTSIDE THE UNITED STATES ARE BEING PROPERLY MONITORED. 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SUBCONTRACT GRANT AWARD BAYSTATE MEDICAL CENTER PO BOX 1369 SPRINGFIELD MA 01101 042790311 501 (C ) (3) 295992 SUBCONTRACT GRANT AWARD BETH ISRAEL DEACONESS MEDICAL CENTER 330 BROOKLINE AVE RM 262 BOSTON MA 02215 042103881 501 (C ) (3) 76092 SUBCONTRACT GRANT AWARD TRUSTEES OF BOSTON COLLEGE 140 COMMONWEALTH AVE CHESTNUT HILL MA 02467 042103545 501 (C ) (3) 152656 SUBCONTRACT GRANT AWARD BOSTON MEDICAL CENTER GAMBRO BLDG 2ND FL/660 HARRISON AVE AVE BOSTON MA 02118 043314093 501 (C ) (3) 498493 SUBCONTRACT GRANT AWARD BOSTON PUBLIC HEALTH COMMISSION 1010 MASSACHUSETTS AVE 6TH FL BOSTON MA 02118 043316655 501 (C ) (3) 25308 SUBCONTRACT GRANT AWARD BOSTON UNIVERSITY 25 BUICK ST 2ND FL BOSTON MA 021151301 042103547 501 (C ) (3) 1003365 SUBCONTRACT GRANT AWARD BOSTON VA RESEARCH INSTITUTE 150 S HUNTINGTON AVE 151B BOSTON MA 02130 043081524 501 (C ) (3) 20000 SUBCONTRACT GRANT AWARD BRAZILIAN WOMEN'S GROUP 569 CAMBRIDGE ST ALLSTON MA 02134 043549382 501 (C ) (3) 18750 SUBCONTRACT GRANT AWARD BRIGHAM & WOMEN'S HOSPITAL PO BOX 3887 BOSTON MA 02241 042312909 501 (C ) (3) 64830 SUBCONTRACT GRANT AWARD BUNKER HILL COMMUNITY COLLEGE 250 NEW RUTHERFORD AVE BOSTON MA 021292925 046002284 501 (C ) (3) 14839 SUBCONTRACT GRANT AWARD CHILDREN'S HOSPITAL BOSTON PO BOX 414413 BOSTON MA 022414413 431987409 501 (C ) (3) 24718 SUBCONTRACT GRANT AWARD TRUSTEES OF COLUMBIA UNIVERSITY PO BOX 29789 NEW YORK NY 10087 135598093 501 (C ) (3) 401082 SUBCONTRACT GRANT AWARD COMMUNITY ACTION AGENCY OF SOMERVILLE 66-70 UNION SQ 104 SOMERVILLE MA 02143 042740838 501 (C ) (3) 14512 SUBCONTRACT GRANT AWARD COMMUNITY TEAMWORK INC 155 MERRIMACK ST LOWELL MA 01852 042382027 501 (C ) (3) 110049 SUBCONTRACT GRANT AWARD CORNELL UNIVERSITY PO BOX 22 ITHACA NY 148510022 150532082 501 (C ) (3) 30284 SUBCONTRACT GRANT AWARD CTR FOR COMM HEALTH EDUC RES AND SERVICE 716 COLUMBUS AVE STE 398 BOSTON MA 02120 043286409 501 (C ) (3) 124637 SUBCONTRACT GRANT AWARD DARTMOUTH COLLEGE 11 ROPE FERRY RD 6210 HANOVER NH 037551404 020222111 501 (C ) (3) 339988 SUBCONTRACT GRANT AWARD DEVELOPMENT ALTERNATIVES INC 7600 WISCONSIN AVE STE 200 BETHESDA MD 20814 520904808 501 (C ) (3) 155356 SUBCONTRACT GRANT AWARD DUKE UNIVERSITY 2200 W MAIN ST SUITE 300 DURHAM NC 27705 560532129 501 (C ) (3) 17043 SUBCONTRACT GRANT AWARD FLORIDA HOSPITAL 301 E PRINCETON ST ORLANDO FL 32804 593069793 501 (C ) (3) 10654 SUBCONTRACT GRANT AWARD GLOBAL FOOD & NUTRITION INC 1300 L ST NW 920 WASHINGTON DC 20005 521931539 501 (C ) (3) 138102 SUBCONTRACT GRANT AWARD HAITIAN COALITION 268 R POWDERHOUSE BLVD APT 17C SOMERVILLE MA 02145 043324363 501 (C ) (3) 13786 SUBCONTRACT GRANT AWARD HARVARD UNIVERSITY PO BOX 415649 BOSTON MA 022415649 042103580 501 (C ) (3) 289292 SUBCONTRACT GRANT AWARD INDIANA UNIVERSITY PO BOX 66057 INDIANAPOLIS IN 462666057 356001673 501 (C ) (3) 37180 SUBCONTRACT GRANT AWARD INNOVATIONS FOR POVERTY ACTION 101 WHITNEY AVE NEW HAVEN CT 06510 061660068 501 (C ) (3) 83230 SUBCONTRACT GRANT AWARD INTERCULTURAL CTR RESEARCH IN EDUCATION 366 MASSACHUSETTS AVE ARLINGTON MA 02474 043108268 501 (C ) (3) 67792 SUBCONTRACT GRANT AWARD INTERNATIONAL NUTRITION FOUNDATION 150 HARRISON AVE RM 232 BOSTON MA 02111 042761215 501 (C ) (3) 13821 SUBCONTRACT GRANT AWARD INTERNATIONAL CONSERVATION AND EDUCATION FUND 236 11TH ST SE WASHINGTON DC 200022124 800109071 501 (C ) (3) 99652 SUBCONTRACT GRANT AWARD JOHNS HOPKINS UNIVERSITY 12529 COLLECTIONS CENTER DR CHICAGO IL 60693 520595110 501 (C ) (3) 151561 SUBCONTRACT GRANT AWARD LAHEY CLINIC INC 41 MALL RD BURLINGTON MA 01805 042704683 501 (C ) (3) 157500 SUBCONTRACT GRANT AWARD LEHIGH UNIVERSITY 526 BROADHEAD AVE BETHLEHEM PA 18015 240795445 501 (C ) (3) 5762 SUBCONTRACT GRANT AWARD LOS ANGELES BIOMEDICAL RESEARCH INSTITUTE PO BOX 60637 - TERMINAL ANNEX LOS ANGELES CA 90060 952138184 501 (C ) (3) 6890 SUBCONTRACT GRANT AWARD MAINE MEDICAL CENTER 22 BRAMHALL ST PORTLAND ME 04102 010238552 501 (C ) (3) 27337 SUBCONTRACT GRANT AWARD MARINE BIOLOGICAL LABORATORY 7 MBL ST WOODS HOLE MA 025431015 042104690 501 (C ) (3) 12732 SUBCONTRACT GRANT AWARD MASS GENERAL HOSPITAL PO BOX 3829 BOSTON MA 022413829 042697983 501 (C ) (3) 110906 SUBCONTRACT GRANT AWARD MASS INSTITUTE OF TECHNOLOGY 77 MASSACHUSETTS AVE CAMBRIDGE MA 02139 042103594 501 (C ) (3) 25446 SUBCONTRACT GRANT AWARD MICHIGAN STATE UNIVERSITY 301 ADMINISTRATION BLDG E LANSING MI 488241226 386005984 501 (C ) (3) 129631 SUBCONTRACT GRANT AWARD MICROBIOTIX INC ONE INNOVATION DRIVE WORCESTER MA 01605 061538344 501 (C ) (3) 214910 SUBCONTRACT GRANT AWARD THE MIRIAM HOSPITAL 593 EDDY ST - RES ADMIN PROVIDENCE RI 02903 050258905 501 (C ) (3) 123623 SUBCONTRACT GRANT AWARD NAMI SOUTHWESTERN PENNSYLVANIA 105 BRAUNLICH DRIVE STE 200 PITTSBURGH PA 15237 251477291 501 (C ) (3) 33989 SUBCONTRACT GRANT AWARD NORTHEASTERN UNIVERSITY 360 HUNTINGTON AVE BOSTON MA 02115 041679980 501 (C ) (3) 19883 SUBCONTRACT GRANT AWARD NUVERA BIOSCIENCES INC 400 W CUMMINGS PK STE 5350 WOBURN MA 01801 043492701 501 (C ) (3) 44948 SUBCONTRACT GRANT AWARD PARLANCE CORP 400 W CUMMINGS PK STE 200 WOBURN MA 01801 043334185 501 (C ) (3) 17700 SUBCONTRACT GRANT AWARD PENNINGTON BIOMEDICAL RESEARCH CENTER 6400 PERKINS RD BATTON ROUGE LA 708084124 726000848 501 (C ) (3) 6019 SUBCONTRACT GRANT AWARD THE PENNSYLVANIA STATE UNIVERSITY 227 W BEAVER AVE SUITE 401 STATE COLLEGE PA 168014819 246000376 501 (C ) (3) 100127 SUBCONTRACT GRANT AWARD PINE MANOR COLLEGE 400 HEATH ST CHESTNUT HILL MA 024672332 042321292 501 (C ) (3) 6539 SUBCONTRACT GRANT AWARD PURDUE UNIVERSITY 23510 NETWORK PL CHICAGO IL 606731235 356002041 501 (C ) (3) 103966 SUBCONTRACT GRANT AWARD RENSSELAER POLYTECHNIC INSTITUTE PO BOX 33375 HARTFORD CT 061503375 141340095 501 (C ) (3) 30078 SUBCONTRACT GRANT AWARD RESEARCH INST NATIONWIDE CHILDRENS HOSP PO BOX 715245 COLUMBUS OH 432715245 316056230 501 (C ) (3) 6540 SUBCONTRACT GRANT AWARD SAN JOSE STATE UNIVERSITY 210 N FOURTH ST SAN JOSE CA 95112 946017638 501 (C ) (3) 128781 SUBCONTRACT GRANT AWARD SAVE THE CHILDREN 54 WILTON RD WESTPORT CT 06880 060726487 501 (C ) (3) 229801 SUBCONTRACT GRANT AWARD THE SCRIPPS RESEARCH INSTITUTE 10550 N TORREY PINES RD LA JOLLA CA 92037 330435954 501 (C ) (3) 28721 SUBCONTRACT GRANT AWARD SHARED TECHNOLOGIES FAIRCHILD PO BOX 4869 HOUSTON TX 772104869 521192851 501 (C ) (3) 401734 SUBCONTRACT GRANT AWARD SOMERVILLE COMMUNITY CORP 337 SOMERVILLE AVE2ND FL SOMERVILLE MA 02143 237293380 501 (C ) (3) 48628 SUBCONTRACT GRANT AWARD SPAULDING REHABILITATION HOSPITAL PO BOX 3903 BOSTON MA 021143903 042551124 501 (C ) (3) 42839 SUBCONTRACT GRANT AWARD STANFORD UNIVERSITY PO BOX 44253 SAN FRANCISCO CA 941444253 941156365 501 (C ) (3) 276566 SUBCONTRACT GRANT AWARD THE CHARLES STARK DRAPER LAB INC PO BOX 3484 BOSTON MA 02241 042505372 501 (C ) (3) 211375 SUBCONTRACT GRANT AWARD SYNAPTIC RESEARCH LLC 1448 SOUTH ROLLING ROAD BALTIMORE MD 21227 205487221 501 (C ) (3) 186700 SUBCONTRACT GRANT AWARD TBMS 1600 BOSTON-PROVIDENCE HWY WALPOLE MA 02081 593828470 501 (C ) (3) 34200 SUBCONTRACT GRANT AWARD TECHNICAL EDUCATION RESEARCH CENTER INC 2067 MASSACHUSETTS AVE CAMBRIDGE MA 02140 046134355 501 (C ) (3) 213262 SUBCONTRACT GRANT AWARD TEXAS A&M UNIVERSITY 1470 WILLIAM D FITCH PKWY COLLEGE STATION TX 778454645 746000531 501 (C ) (3) 51486 SUBCONTRACT GRANT AWARD TUFTS MEDICAL CENTER 750 WASHINGTON ST BOSTON MA 02111 043400617 501 (C ) (3) 5965246 SUBCONTRACT GRANT AWARD TUSKEGEE UNIVERSITY KRESGE CENTER RM 204 TUSKEGEE INST AL 36068 630288878 501 (C ) (3) 46010 SUBCONTRACT GRANT AWARD UNIV OF CALIFORNIA REGENTS BOX 951432 LOS ANGELES CA 900959000 946002123 501 (C ) (3) 13862 SUBCONTRACT GRANT AWARD UNIV OF MEDICINE & DENTISTRY OF NEW JERSEY PO BOX 2685 NEW BRUNSWICK NJ 089032685 221980408 501 (C ) (3) 313524 SUBCONTRACT GRANT AWARD UNIV OF NEW MEXICO 1 UNIVERSITY OF NEW MEXICO ALBUQUERQUE NM 87131 856000642 501 (C ) (3) 100000 SUBCONTRACT GRANT AWARD UNIV OF NORTH CAROLINA AT CHAPEL HILL PO BOX 402420 ATLANTA GA 303842420 566001393 501 (C ) (3) 155832 SUBCONTRACT GRANT AWARD UNIVERSITY OF CALIFORNIA SAN DIEGO 9500 GILMAN DR LA JOLLA CA 920930009 956006144 501 (C ) (3) 22291 SUBCONTRACT GRANT AWARD UNIVERSITY OF ILLINOIS PO BOX 20787 SPRINGFIELD IL 627080787 376000511 501 (C ) (3) 127768 SUBCONTRACT GRANT AWARD UNIVERSITY OF MARYLAND CHESAPEAKE BLDG ROOM 4101 COLLEGE PARK MD 207423141 526002033 501 (C ) (3) 47022 SUBCONTRACT GRANT AWARD UNIVERSITY OF MASSACHUSETTS 285 OLD WESTPORT RD NORTH DARTMOUTH MA 02747 043167352 501 (C ) (3) 390924 SUBCONTRACT GRANT AWARD REGENTS OF THE UNIVERSITY OF MICHIGAN BOX 223131 PITTSBURGH PA 152512131 386006309 501 (C ) (3) 41868 SUBCONTRACT GRANT AWARD UNIVERSITY OF NEBRASKA 312 N 14TH ST ALEXANDER WEST BLDG LINCOLN NE 685880430 470049123 501 (C ) (3) 32064 SUBCONTRACT GRANT AWARD UNIVERSITY OF NEW HAMPSHIRE 51 COLLEGE RD DURHAM NH 038243585 026000937 501 (C ) (3) 35366 SUBCONTRACT GRANT AWARD TRUSTEES OF THE UNIVERSITY OF PENNSYLVANIA PO BOX 785541 PHILADELPHIA PA 191785541 231352685 501 (C ) (3) 32809 SUBCONTRACT GRANT AWARD UNIVERSITY OF ROCHESTER 910 GENESEE ST SUITE 200 ROCHESTER NY 146113847 160743209 501 (C ) (3) 24931 SUBCONTRACT GRANT AWARD UNIVERSITY OF TENNESSEE 210 STUDENT SERVICES BUILDING KNOXVILLE TN 379960225 626001636 501 (C ) (3) 22488 SUBCONTRACT GRANT AWARD UNIVERSITY OF TEXAS PO BOX 841765 DALLAS TX 752841765 741761309 501 (C ) (3) 30200 SUBCONTRACT GRANT AWARD UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DR CHICAGO IL 60693 916001537 501 (C ) (3) 213645 SUBCONTRACT GRANT AWARD WASHINGTON UNIVERSITY 700 ROSEDALE AVE ST LOUIS MO 631121408 430653611 501 (C ) (3) 10823 SUBCONTRACT GRANT AWARD THE WELCOME PROJECT 530 MYSTIC AVE 111 SOMERVILLE MA 02145 043088140 501 (C ) (3) 10000 SUBCONTRACT GRANT AWARD YESHIVA UNIVERSITY 1300 MORRIS PARK AVE BRONX NY 10461 131624225 501 (C ) (3) 17515 SUBCONTRACT GRANT AWARD 85 SCHOLARSHIPS 6304 101529494 FELLOWSHIPS 415 4181185 STUDENT PRIZES 597 617112 STUDENT STIPENDS 222 322279 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: DUE TO THE VARIOUS TYPES OF GRANT FUND EXPENDITURES THE UNIVERSITY USES MULTIPLE INTERNAL CONTROL PROCEDURES FOR MONITORING THE USE OF U.S. GRANT FUNDS AND ASSISTANCE. FELLOWSHIPS, PRIZES AND STIPEND PAYMENTS ARE MADE THROUGH OUR FINANCIAL SERVICES AND ACCOUNTS PAYABLE DEPARTMENT. THE PROCESS REQUIRES PRE-APPROVAL BY A PARTICULAR DEPARTMENT-HEAD AND SPECIFIC DOCUMENTATION AND AUTHORIZATIONS ARE NECESSARY IN ORDER TO PROCESS A PAYMENT. A MAJORITY OF PAYMENTS ARE MADE VIA CHECK. FOR DOMESTIC SCHOLARSHIPS, THE FINANCIAL AID OFFICE (FAO) MAINTAINS AN INDEPENDENT FINANCIAL AID ACCOUNTING SYSTEM. THE FAO ADMINISTERS THE LISTING OF AWARD RECIPIENTS AND RECONCILES, ON A MONTHLY BASIS, THE CORRESPONDING EXPENSES WITH THE UNIVERSITY GENERAL LEDGER SYSTEM. THE CASH GRANTS ARE ALSO REFLECTED ON EACH INDIVIDUAL STUDENT ACCOUNT. THE FINANCIAL SERVICES OFFICE INDEPENDENTLY RECORDS THE TRANSACTIONS AFTER ALL REQUIRED SYSTEM-FEED DOCUMENTATION HAS BEEN RECEIVED. ADDITIONALLY, ALL FEDERAL SCHOLARSHIP ACTIVITIES ARE MONITORED SEPARATELY BY THE SPONSORED ACCOUNTING DEPARTMENT (SPA). FOR SUBCONTRACT RESEARCH GRANTS, THE UNIVERSITY MAINTAINS A SPONSORED RESEARCH ACCOUNTING (SPA) DEPARTMENT WHICH HAS FINANCIAL OVERSIGHT FOR ALL GRANT AND CONTRACT ACTIVITY. THE PRINCIPAL INVESTIGATOR (PI) IS RESPONSIBLE FOR ALL ASPECTS OF A GRANT ALONG WITH THE COMPLIANCE ACTIVITIES. SPECIFIC GRANT-RELATED EXPENDITURE ACTIVITIES ARE PROCESSED BY THE UNIVERSITY ACCOUNTS PAYABLE DEPARTMENT. SUB-RECIPIENT MONITORING: A PRINCIPAL INVESTIGATOR (PI) NEGOTIATES SUBCONTRACTS WITH SUB-RECIPIENTS THROUGH THE OFFICE OF THE VICE PROVOST. WHEN AN AGREEMENT IS FULLY EXECUTED, IT MUST BE SUBMITTED TO THE OFFICE OF SPONSORED PROGRAMS ACCOUNTING (SPA) ALONG WITH A COMPLETED CONSULTANT PAYMENT FORM. ANY ISSUES REGARDING SUB-RECIPIENT PERFORMANCE ARE REPORTED TO THE OFFICE OF THE VICE PROVOST AND SPA. ALSO, SPA IS RESPONSIBLE FOR ENSURING THAT ALL SUB-RECIPIENTS ARE IN COMPLIANCE WITH OMB CIRCULAR A-133 REQUIREMENTS. X X X X X 1 1 X X X X X 1 1 0 1 0 1 0 1 0 ANTHONY P MONACO 250170 0 0 0 71230 0 34348 0 20664 0 376412 0 0 0 LAWRENCE S BACOW 373687 0 0 0 1773440 0 41035 0 35590 0 2223752 0 0 0 MICHAEL A BAENEN 145995 0 0 0 634 0 16693 0 10591 0 173913 0 0 0 PATRICIA L CAMPBELL 418470 0 0 0 2962 0 47910 0 14789 0 484131 0 0 0 KATHLEEN CRONIN 184678 0 0 0 17333 0 26355 0 23295 0 251661 0 0 0 MARY R JEKA 301179 0 0 0 11107 0 39030 0 8251 0 359567 0 0 0 ERIC C JOHNSON 231476 0 7326 0 2576 0 30953 0 21622 0 293953 0 0 0 DAVID J KAHLE 274321 0 0 0 281 0 36735 0 22654 0 333991 0 0 0 DARLEEN PATRICIA KARP 157982 0 0 0 1707 0 18857 0 9481 0 188027 0 0 0 BRIAN K LEE 346929 0 50000 0 3860 0 45915 0 45384 0 492088 0 0 0 THOMAS S MCGURTY 310658 0 0 0 1396 0 42166 0 19497 0 373717 0 0 0 MARGARET E NEWELL 337567 0 0 0 4066 0 31410 0 8273 0 381316 0 0 0 RICHARD REYNOLDS 237250 0 0 0 2858 0 30248 0 171 0 270527 0 0 0 LINDA M ABRIOLA 273461 0 0 0 1205 0 31410 0 21415 0 327491 0 0 0 JOANNE E BERGER-SWEENEY 289038 0 0 0 689 0 31410 0 30780 0 351917 0 0 0 HARRIS A BERMAN 415794 0 0 0 6214 0 31410 0 15983 0 469401 0 0 0 DEBORAH T KOCHEVAR 228173 0 0 0 965 0 30104 0 20581 0 279823 0 0 0 LONNIE NORRIS 216261 0 0 0 30454 0 29778 0 11319 0 287812 0 0 0 NAOMI ROSENBERG 237032 0 0 0 1536 0 31200 0 16914 0 286682 0 0 0 HUW THOMAS 154757 0 0 0 1489 0 21253 0 3986 0 181485 0 0 0 STEPHEN W BOSWORTH 312759 0 0 0 30640 0 31410 0 1468 0 376277 0 0 0 SALLY DUNGAN 339388 0 239372 0 1877 0 170174 0 24100 0 774911 0 0 0 NAUSHIRWAN R MEHTA 194206 0 203667 0 2418 0 25940 0 21888 0 448119 0 0 0 RENEE R NADLER 248651 0 134858 0 576 0 113017 0 18370 0 515472 0 0 0 MARIA PAPAGEORGE 175497 0 376366 0 710 0 22745 0 66859 0 642177 0 0 0 JAMSHED BHARUCHA 225953 0 0 0 15718 0 39660 0 9191 0 290522 0 0 0 PART I, LINE 1A FIRST-CLASS TRAVEL : VARIOUS OFFICERS AND SENIOR STAFF TRAVEL ABROAD PERIODICALLY ON SCHOOL BUSINESS. THE AIRLINE ACCOMODATIONS MAY INCLUDE FIRST-CLASS SEATING WHEN THE TRAVEL IS FOR A PERIOD OF SIX HOURS OR MORE. THIS BENEFIT IS NOT TAXABLE AS THIS IS A BUSINESS EXPENSE. TRAVEL FOR COMPANIONS: THE PRESIDENT TRAVELS FOR UNIVERSITY BUSINESS WITH HIS SPOUSE ON A LIMITED BASIS. SPOUSAL TRAVEL EXPENSES ARE FOR A BONA FIDE BUSINESS PURPOSE AND ARE NOT INCLUDED IN TAXABLE COMPENSATION. THE DEAN OF THE FLETCHER SCHOOL TRAVELS FREQUENTLY WITH HIS SPOUSE AS PART OF THE FOREIGN RELATIONS WORK FOR THE UNIVERSITY. THE SPOUSAL PORTION IS TAXED TO THE EMPLOYEE. TAX INDEMNIFICATION & GROSS-UP PAYMENTS: THE UNIVERSITY MAY INDEMNIFY AND PROVIDE TAX GROSS-UP AMOUNTS TO REIMBURSE OFFICERS AND SENIOR MANAGEMENT EMPLOYEES WHERE ADDITIONAL PERSONAL INCOME TAXES ARE INCURRED FROM AN INCLUSION OF A TAXABLE FRINGE BENEFIT. HOUSING ALLOWANCE OR RESIDENCE FOR PERSONAL USE: AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF TUFTS UNIVERSITY, THE UNIVERSITY PRESIDENT IS REQUIRED TO RESIDE ON CAMPUS. THE VALUE OF HOUSING IS NOT INCLUDED IN TAXABLE COMPENSATION BUT IS REFLECTED IN SCHEDULE J, PART II, COLUMN (D). PERSONAL SERVICES (E.G. MAID, CHAUFFEUR, CHEF): THE UNIVERSITY PROVIDED HOUSECLEANING SERVICES TO THE PRESIDENT OF WHICH THE PRESIDENT REIMBURSES THE UNIVERSITY FOR THE MARKET VALUE OF PERSONAL HOUSECLEANING SERVICES. AS A RESULT, NO AMOUNT OF THIS BENEFIT WAS TREATED AS TAXABLE COMPENSATION. PART I, LINES 4A-B PART I, LINES 4A-B: LINE 4A - LAWRENCE S. BACOW: AFTER SERVING AS THE TWELFTH PRESIDENT OF THE UNIVERSITY FOR 10 YEARS, LAWRENCE S. BACOW STEPPED DOWN AS PRESIDENT ON JULY 31, 2011. DURING HIS TENURE AS PRESIDENT, THE UNIVERSITY SOLIDIFIED ITS POSITION AS A LEADER IN TEACHING, RESEARCH AND PUBLIC SERVICE AND CIVIC ENGAGEMENT, BOTH NATIONALLY AND INTERNATIONALLY. IN ADDITION, PRESIDENT BACOW WORKED TO STRENGTHEN THE UNIVERSITY THROUGH EFFECTIVE OUTREACH TO ALUMNI, PARENTS AND FRIENDS; THE UNIVERSITY BENEFITED FROM UNPRECEDENTED DONOR GENEROSITY AND COMPLETED ITS HISTORIC BEYOND BOUNDARIES CAMPAIGN, WHICH RAISED $1.2 BILLION TO SUPPORT TUFTS' HIGHEST ACADEMIC PRIORITIES. UNDER HIS LEADERSHIP, THE UNIVERSITY ALSO STRENGTHENED RELATIONSHIPS WITH ITS HOST COMMUNITIES. UPON RETIRING, PRESIDENT EMERITUS BACOW RECEIVED AN END-OF-SERVICE COMPENSATION PACKAGE THAT INCLUDED A ONE-TIME LUMP-SUM PAYMENT. LINE 4B - SALLY DUNGAN,CHIEF INVESTMENT OFFICER AND RENEE NADLER, DIRECTOR OF INVESTMENTS FOR THE UNIVERSITY BOTH PARTICIPATE IN AN INCENTIVE COMPENSATION PLAN THAT IS BASED OFF OF JOB AND PORTFOLIO PERFORMANCE AND ALLOWS FOR UP TO 100% AND 80%, RESPECTIVELY, OF THEIR BASE SALARY EARNINGS. THE INCENTIVE PAYOUT VESTING SCHEDULE IS OVER THREE YEARS AND ALLOWS FOR 50% IN YEAR ONE AND 25% FOR THE REMAINING TWO YEARS. PAYMENTS ARE MADE IN THE QUARTER FOLLOWING THE CLOSE OF THE FISCAL YEAR TO WHICH THE INCENTIVE PAYMENT APPLIES. TOTAL CURRENT-YEAR EARNED INCOME DEFERRAL AMOUNTS ARE INCLUDED ON SCHEDULE J, PART II, COLUMN C. PART I, LINE 5 DR. MARIA PAPAGEORGE IS A FULL-TIME FACULTY MEMBER OF TUFTS UNIVERSITY SCHOOL OF DENTAL MEDICINE AND PARTICIPATES IN THE GROUP DENTAL PRACTICE CALLED TUFTS DENTAL ASSOCIATES (TDA) WHERE SHE PRACTICES DENTISTRY. AS A MEMBER OF TDA, SHE HAS A NON-FIXED PAYMENT INCENTIVE CONTRACT THAT IS PAID ANNUALLY OVER 24 PAY PERIODS. DURING 2011, INCENTIVE PAYMENTS TOTALED $376,366 AND WERE BASED ON NET COLLECTIONS FOR HER PRACTICE. PART I, LINE 6 SALLY DUNGAN, CHIEF INVESTMENT OFFICER, PARTICIPATES IN AN ANNUAL INCENTIVE PROGRAM FOR MANAGING THE UNIVERSITY ENDOWMENT FUND ASSETS. A BONUS ACCRUAL AMOUNT OF $104,072 WAS MADE IN FYE 06/30/11 AND LATER PAID IN AUGUST, 2011. THE INCENTIVE PROGRAM IS BASED ON THE PORTFOLIO RETURNS, MINIMIZING INVESTMENT EXPENSES, AS WELL AS MANAGING INVESTMENT AND OPERATIONAL RISK. THIS AMOUNT IS A COMPONENT OF THE TOTAL REPORTABLE AMOUNT AS EXPLAINED ON SCHEDULE J,LINE 4(B). DR. NAUSHIRWAN R. MEHTA, IS A FULL-TIME FACULTY MEMBER OF TUFTS UNIVERSITY SCHOOL OF DENTAL MEDICINE AND PARTICIPATES IN THE GROUP DENTAL PRACTICE CALLED TUFTS DENTAL ASSOCIATES (TDA). AS A MEMBER OF TDA, HE MANAGES THE DENTAL CLINIC AND IS ENTITLED TO AN INCENTIVE CONTRACT THAT IS PAID OVER 24 PAY PERIODS. DURING 2011, HE RECEIVED AN INCENTIVE PAYMENT TOTALING $203,667 BASED ON NET EARNINGS FOR HIS PRACTICE. RENEE NADLER, DIRECTOR OF INVESTMENTS, PARTICIPATES IN AN ANNUAL INCENTIVE PROGRAM FOR MANAGING THE UNIVERSITY ENDOWMENT FUND ASSETS. AN INCENTIVE PAYOUT OF $61,205 WAS MADE IN 2011. THE INCENTIVE PROGRAM IS BASED ON THE PORTFOLIO RETURNS, MINIMIZING INVESTMENT EXPENSES, AS WELL AS MANAGING INVESTMENT AND OPERATIONAL RISK. THIS AMOUNT IS A COMPONENT OF THE TOTAL REPORTABLE AMOUNT AS EXPLAINED ON SCHEDULE J,LINE 4(B). PART I, LINE 7 BRIAN K. LEE, FORMER SR. V.P., UNIVERSITY ADVANCEMENT, RECEIVED A PERFORMANCE BONUS OF $50,000 FOR THE SUCCESSFUL COMPLETION OF A MAJOR UNIVERSITY FUNDRAISING CAMPAIGN. ERIC C. JOHNSON, V.P., UNIVERSITY ADVANCEMENT, RECEIVED A DISCRETIONARY BONUS OF $7,325 FOR OUTSTANDING PERFORMANCE. SALLY DUNGAN, CHIEF INVESTMENT OFFICER, PARTICIPATES IN A DISCRETIONARY INCENTIVE PLAN AND RECEIVED A NON-FIXED PAYMENT OF $34,691 FOR HER INDIVIDUAL JOB PERFORMANCE AND ACHIEVING CERTAIN GOALS AND OBJECTIVES. THIS AMOUNT IS PART OF THE SAME PLAN AS DESCRIBED ON LINE 4(B). RENEE NADLER, DIRECTOR OF INVESTMENTS, PARTICIPATES IN A DISCRETIONARY INCENTIVE PLAN AND RECEIVED A NON-FIXED PAYMENT OF $20,402 FOR HER INDIVIDUAL JOB PERFORMANCE AND ACHIEVING CERTAIN GOALS AND OBJECTIVES. THIS AMOUNT IS PART OF THE SAME PLAN AS DESCRIBED ON LINE 4(B). SUPPLEMENTAL INFORMATION PART III 990, SCH J, PART II, CLM. D NONTAXABLE BENEFITS NONTAXABLE BENEFIT AMOUNTS INCLUDE THE VALUE OF HOUSING FOR PERSONAL USE FOR FORMER PRESIDENT BACOW AND NEW PRESIDENT ANTHONY MONACO. TUITION REMISSION BENEFITS WERE INCLUDED FOR BRIAN K. LEE, JOANNE BERGER-SWEENEY, AND DR. MARIA PAPAGEORGE. MHEFA SERIES N 042456011 57586CV36 2008-03-27 140600000 REFUNDED AUG-04; JAN-06 0 0 0 MHEFA SERIES O 042456011 57586EBG5 2008-11-13 83752144 CONST & EQUIP FACILITY 0 0 0 MHEFA SERIES M 042456011 57586EJT9 2009-06-11 66548467 REFUNDED MAY-1998 0 0 0 MDFA SERIES P 043431814 57583R7L3 2011-02-08 50532192 REFUNDED APR-2001 0 0 0 1134020 140600000 600000 139400000 1 0 1 1 1200000 83830604 752144 83099001 2010 0 0 1 1 6072849 66548484 536881 66009586 1 0 1 1 10458 50532211 532192 50000009 1 0 1 1 0 1 1 1 1 1 0.00920 0.00190 0.01110 1 0 1 1 1 1 1 0.02900 0.00040 0.02940 1 0 1 1 1 1 1 1 0 1 1 1 1 1 1 0 1 1 DEUTSCHE BANK AND BANK OF AMERICA 30.000000000000 1 0 0 0 1 0 0 0 0 0 1 0 0 0 0 0 1 0 1 1 BARCLAYS BNY MELLON 25.000000000000 0 0 0 0 1 X MARIA GOVE TRINGALE CURR.OFFICER SPOUSE 174022 EMPLOYMENT 0 JAMES NEWELL CURR.OFFICERBROTHER 93495 EMPLOYMENT 0 CHARLES RIVER LABORATORIES KEY-EE IS BD MEMBER 637591 LAB SERVICES 0 MORTON B ROSENBERG CURR.KEY EE SPOUSE 193064 EMPLOYMENT 0 X 1 1200 FMV X 140 FMV X 6375 FMV X 154 2740817 FMV X 1 67810 FMV X 6 572455 FMV X MEDICAL EQUIP. 3 730501 FMV X INSTRUMENTS 1 9733 FMV X DINNER EVENTS 5 19732 COST X COMPUTERS 1 183785 FMV 0 1 0 METHOD FOR DETERMINING NUMBER OF CONTRIBUTORS: PART I, COLUMN (B): THE UNIVERSITY IS REPORTING THE NUMBER OF NON-CASH FISCAL-YEAR CONTRIBUTIONS BASED ON EACH GIFT RECEIVED. NUMBER OF VOLUNTEERS FORM 990, PART I, LINE 6 TUFTS UNIVERSITY HAS NUMEROUS VOLUNTEERS INCLUDING ITS TRUSTEES AND ALUMNI WHO DEDICATE THEIR TIME, EXPERIENCE, AND EFFORTS TO THE UNIVERSITY. DUE TO THE LARGE VOLUME OF VOLUNTEERS IT IS NOT FEASIBLE TO FORMALLY TRACK THE ACTUAL NUMBER AND ACCURATELY ESTIMATE THE NUMBER OF VOLUNTEERS. NUMBER OF EMPLOYEES PER W-3 FORM 990, PART V, LINE 2A THE UNIVERSITY PAYROLL DEPARTMENT HAS REPORTED 11,446 EMPLOYEES ON FORM W-3 FOR THE CALENDAR-YEAR 2011. THIS AMOUNT INCLUDES FULL-TIME STAFF,FACULTY, AS WELL AS STUDENTS WHO MAY WORK PART-TIME AND/OR ON A SHORT-TERM BASIS. FORM 990, PART VI, SECTION A, LINE 2 THOMAS M. ALPERIN BRIAN KAVOOGIAN BUSINESS RELATIONSHIP FORM 990, PART VI, SECTION B, LINE 11 THE UNIVERSITY'S IN-HOUSE TAX DEPARTMENT PREPARED THE TAX RETURN. THE UNIVERSITY ALSO ENGAGED PRICEWATERHOUSECOOPERS LLP AS A CONSULTANT TO REVIEW SPECIFIC AREAS OF THE TAX RETURN. A COMPREHENSIVE DRAFT FORM 990 WAS REVIEWED BY MANAGEMENT AND THE AUDIT COMMITTEE BEFORE THE RETURN WAS FINALIZED. THE RETURN WAS THEN PROVIDED AS FILED WITH THE IRS, TO THE FULL GOVERNING BODY PRIOR TO IT BEING FILED. FORM 990, PART VI, SECTION B, LINE 12C THE TRUSTEES OFFICE AT TUFTS UNIVERSITY MAINTAINS A STATEMENT OF COMPLIANCE AND DISCLOSURE FORM WHICH IS USED TO DISCLOSE ANY CONFLICTS OF INTEREST FOR OFFICERS, KEY EMPLOYEES, AND GOVERNING BOARD MEMBERS. THIS DOCUMENT IS SENT OUT ANNUALLY AFTER FISCAL YEAR END. AFTER READING THE CONFLICT OF INTEREST POLICY, EACH MEMBER IS REQUIRED TO DISCLOSE ANY POTENTIAL OR REAL CONFLICTS IN A STATEMENT THAT IS SIGNED AND DATED, AND RETURNED TO THE TRUSTEES OFFICE. FURTHER, AS PART OF THE ANNUAL MONITORING PROCESS, CONFLICTS OF INTEREST DISCLOSURES ARE REPORTED TO THE AUDIT COMMITTEE, THROUGH THE SECRETARY OF THE CORPORATION. THE AUDIT COMMITTEE IS NOTIFIED AND REVIEWS SUCH DISCLOSURES AND ADVISES ANY ACTIONS. THE INDIVIDUAL BOARD MEMBER THEN CONFIRMS THAT THEY WILL NOT PARTICIPATE IN ANY DECISIONS RELATING TO THE SPECIFIC DISCLOSED CONFLICT. FORM 990, PART VI, SECTION B, LINE 15 THE PROCESS FOR DETERMINING COMPENSATION FOR EXECUTIVES IS DONE SO BY THE TRUSTEE COMPENSATION COMMITTEE WHICH USES A MULTITUDE OF RESOURCES AND INFORMATION. THE COMPENSATION COMMITTEE CONSISTS OF THE CHAIRMAN OF THE BOARD OF TRUSTEES, ALSO SERVING AS THE CHAIR, ALONG WITH FOUR OTHER MEMBERS, EACH SERVING A TERM OF 3 YEARS. THESE INDIVIDUALS ARE CHOSEN FOR THEIR PARTICULAR EXPERTISE WITH COMPENSATION ISSUES. THE COMMITTEE MEETS AT THE END OF EACH FISCAL YEAR AND USES SURVEY DATA FROM HUMAN RESOURCES WHICH WAS GATHERED FROM AN EXTERNAL GLOBAL PROFESSIONAL SERVICES COMPANY, CALLED TOWERS WATSON. THE EXECUTIVE COMPENSATION SURVEY INCLUDES PEER INSTITUTIONS DATA IN THE LARGER COMPETITIVE MARKETPLACE. ALSO, WHEN CERTAIN DATA IS UNAVAILABLE, HUMAN RESOURCES GATHERS INFORMATION FROM THE CUPA ADMINISTRATIVE COMPENSATION ANNUAL SURVEY. ADDITIONALLY, SALARY RECOMMENDATIONS AND PERFORMANCE REVIEWS ARE PROVIDED TO THE COMPENSATION COMMITTEE TO ASSIST THEM IN THE DECISION MAKING PROCESS. THE COMPENSATION COMMITTEE DELIBERATES AND VOTES WHILE CONTEMPORANEOUSLY DOCUMENTING ITS DECISIONS RELATING TO COMPENSATION IN THE MINUTES. REGARDING THE COLLEGE PRESIDENT, AFTER HAVING COLLECTED FEEDBACK FROM TRUSTEES IN THE APRIL-MAY, 2012 TIMEFRAME, THE CHAIRMAN OF THE COMPENSATION COMMITTEE CONDUCTED AN ANNUAL PERFORMANCE REVIEW IN JUNE, 2012. FOR OTHER EXECUTIVES, INCLUDING SENIOR OFFICERS AND KEY EMPLOYEES, THE COMPENSATION COMMITTEE ALSO RECEIVED WRITTEN PERFORMANCE EVALUATIONS DURING THE SAME TIME PERIOD ALONG WITH RECOMMENDATIONS FROM THE PRESIDENT AND PROVOST. FORM 990, PART VI, SECTION C, LINE 19 TRUSTEES OF TUFTS COLLEGE MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC. ALL ARE AVAILABLE UPON REQUEST. IN ADDITION, AUDITED FINANCIAL STATEMENTS AND THE CONFLICT OF INTEREST/BUSINESS CONDUCT POLICIES ARE AVAILABLE ON THE TUFTS UNIVERSITY WEBSITE AT WWW.TUFTS.EDU. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -42,377,141. CHANGE IN SPLIT INTEREST AGREEMENTS -732,984. NET INCOME FROM CONSOLIDATED ENTITIES 868,819. CUMULATIVE EFFECT OF ACCOUNTING CHANGE -3,145,000. CHANGE IN FAIR VALUE OF INTEREST RATE AGREEMENTS -37,585,035. INVESTMENT IN TUFTS SHARED SERVICES,INC F/K/A T-NEMC,A RELATED ORGANIZATION 781,741. TOTAL TO FORM 990, PART XI, LINE 5: -82,189,600. 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