2013-05-10T13:00:15-05:00 2012-06-30 134008324 PRICEWATERHOUSECOOPERS LLP 2001 MARKET ST SUITE 1700 PHILADELPHIA PA 19103 990 2011-07-01 341018992 CASE WESTERN RESERVE UNIVERSITY CASE 2163682126 10900 EUCLID AVENUE CLEVELAND OH 441067006 JOHN F SIDERAS 2013-02-11 true P00460263 2673303000 2011 2016-02-24 21:20:13Z BARBARA R SNYDER 10900 EUCLID AVENUE CLEVELAND OH 441067006 3611975582 false X HTTP://WWW.CASE.EDU X 1826 OH CASE WESTERN RESERVE UNIVERSITY IS AN INDEPENDENT, RESEARCH-ORIENTED UNIVERSITY WITH BROADLY BASED STRENGTHS IN HEALTH, INCLUDING MEDICINE, NURSING AND DENTISTRY; IN ENGINEERING; IN THE ARTS AND SCIENCES; AND IN LAW, MANAGEMENT AND SOCIAL WORK. THE UNIVERSITY'S COMMITMENT IS TO EXCELLENCE IN TEACHING, RESEARCH AND SCHOLARSHIP. THE UNIVERSITY BRINGS TOGETHER HIGHLY QUALIFIED FACULTY, STUDENTS AND STAFF TO: 1) OFFER UNDERGRADUATE EDUCATION THAT PRESERVES THE STRENGTHS OF TRADITIONAL THE ARTS AND SCIENCES, AND THE PROFESSIONS, 2) PREPARE STUDENTS FOR POSITIONS OF LEADERSHIP IN PROFESSIONS THAT ARE IMPORTANT TO SOCIETY, AND, 3) ADVANCE, THROUGH RESEARCH AND SCHOLARSHIP, THE UNDERSTANDING OF ITS CHOSEN DISCIPLINES AND THEIR APPLICATIONS. 44 40 9996 517 4822825 0 529888677 508711824 404900834 419738774 116844349 7791796 1231731 1589841 1052865591 937832235 124624367 121616119 0 0 409075871 411648005 0 0 15136138 443597774 441764390 977298012 975028514 75567579 -37196279 2740563308 2645405127 767021559 820756003 1973541749 1824649124 CASE WESTERN RESERVE UNIVERSITY IS AN INDEPENDENT, RESEARCH-ORIENTED UNIVERSITY WITH BROADLY BASED STRENGTHS IN HEALTH, INCLUDING MEDICINE, NURSING AND DENTISTRY; IN ENGINEERING; IN THE ARTS AND SCIENCES; AND IN LAW, MANAGEMENT AND SOCIAL WORK. THE UNIVERSITY'S COMMITMENT IS TO EXCELLENCE IN TEACHING, RESEARCH AND SCHOLARSHIP. THE UNIVERSITY BRINGS TOGETHER HIGHLY QUALIFIED FACULTY, STUDENTS AND STAFF TO: (1) OFFER UNDERGRADUATE EDUCATION THAT PRESERVES THE STRENGTHS OF TRADITIONAL DISCIPLINARY MAJORS WHILE INTEGRATING CONTENTS AND METHODS FROM TECHNOLOGY, THE ARTS AND SCIENCES, AND THE PROFESSIONS, (2) PREPARE STUDENTS FOR POSITIONS OF LEADERSHIP IN PROFESSIONS THAT ARE IMPORTANT TO SOCIETY, AND (3) ADVANCE, THROUGH RESEARCH AND SCHOLARSHIP, THE UNDERSTANDING OF ITS CHOSEN DISCIPLINES AND THEIR APPLICATIONS. false false 365319819 13243995 CASE WESTERN RESERVE UNIVERSITY IS CLASSIFIED AS A RESEARCH UNIVERSITY (VERY HIGH RESEARCH ACTIVITY) - EXTENSIVE BY THE CARNEGIE COMMISSION ON HIGHER EDUCATION. THIS CLASSIFICATION GIVEN TO THOSE INSTITUTIONS THAT TRAIN THE GREATEST NUMBER OF FUTURE RESEARCHERS (USUALLY MEASURED BY THE NUMBER OF PH.D. STUDENTS) AND TO THOSE INSTITUTIONS THAT RECEIVE THE MOST FEDERAL FUNDS. IN ADDITION TO FEDERAL SOURCES, RESEARCH IN THE SCIENCES, THE HUMANITIES AND THE HEALTH SCIENCES AREA IS FUNDED BY GIFTS AND GRANTS FROM PRIVATE FOUNDATIONS, CORPORATIONS AND INDIVIDUALS. 287155712 67472623 317861237 THE ACADEMIC PROGRAMS OF CASE WESTERN RESERVE UNIVERSITY ARE ADMINISTERED THROUGH ITS SCHOOLS AND COLLEGES. CURRENTLY 10,344 STUDENTS ARE ENROLLED IN PROGRAMS LEADING TO UNDERGRADUATE, GRADUATE AND PROFESSIONAL DEGREES ADMINISTERED THROUGH THE UNIVERSITY'S NINE SCHOOLS: THE CASE SCHOOL OF ENGINEERING, THE COLLEGE OF ARTS AND SCIENCES, THE MANDEL SCHOOL OF APPLIED SOCIAL SCIENCES, THE SCHOOL OF DENTAL MEDICINE, THE SCHOOL OF GRADUATE STUDIES, THE SCHOOL OF LAW, THE WEATHERHEAD SCHOOL OF MANAGEMENT, THE SCHOOL OF MEDICINE AND THE FRANCES PAYNE BOLTON SCHOOL OF NURSING. 61077923 40899501 99280338 THE AUXILIARY PROVIDES SEVERAL SERVICES WHICH, ALTHOUGH NOT DIRECTLY RELATED TO ITS ACADEMIC MISSION, ARE NEVERTHELESS AN INTEGRAL PART OF THE OVERALL EDUCATIONAL EXPERIENCE OF ITS STUDENTS. THE PROVISION OF CAMPUS HOUSING AND BOARD PLANS, AND PHONE SERVICES ARE EXAMPLES OF CURRENT AUXILIARY SERVICES. 177287691 943918 OTHER SPONSORED PROGRAMS: THE UNIVERSITY'S LIBRARY SYSTEM IS COMPOSED OF FOUR PRIMARY UNITS:' THE UNIVERSITY LIBRARY, THE CLEVELAND HEALTH SCIENCES LIBRARY, THE SCHOOL OF LAW LIBRARY AND THE LILLIAN & MILFORD HARRIS LIBRARY IN THE MANDEL SCHOOL OF APPLIED SOCIAL SCIENCES. THE LIBRARIES OF THE UNIVERSITY SUPPORT THE UNDERGRADUATE, GRADUATE AND PROFESSIONAL PROGRAMS AND CONTAIN 2.75 MILLION VOLUMES. CASE WESTERN RESERVE UNIVERSITY OFFERS ASSISTANCE TO ITS STUDENTS TO HELP MEET FINANCIAL NEED OR TO RECOGNIZE OUTSTANDING ACADEMIC ACHIEVEMENT AND PROMISE. ACADEMIC EXCELLENCE IS RECOGNIZED BY THE ACADEMIC AWARDS PROGRAM AND OTHER SCHOLARSHIP PROGRAMS OF THE UNDERGRADUATE COLLEGES AND BY VARIOUS ASSISTANTSHIPS, FELLOWSHIPS, SCHOLARSHIPS AND OTHER AWARDS OF INDIVIDUAL DEPARTMENTS IN THE SCHOOL OF GRADUATE STUDIES AND SEVERAL OF THE PROFESSIONAL SCHOOLS. CASE WESTERN RESERVE UNIVERSITY ACTIVELY PROMOTES THE DEVELOPMENT OF SERVICES AND PROGRAMS TO SUPPORT THE PHYSICAL, EMOTIONAL AND INTELLECTUAL WELL-BEING OF ITS STUDENTS.' THE PROGRAMS AND SERVICES ARE AVAILABLE TO UNDERGRADUATE, GRADUATE AND PROFESSIONAL STUDENTS ALIKE AND ARE DESIGNED TO PROVIDE POSITIVE, DEVELOPMENTAL OPPORTUNITIES BOTH TO SUPPLEMENT THE ACADEMIC EXPERIENCE AND ENRICH CAMPUS LIFE. 177287691 943918 890841145 true false false true false false true false true true true false true true true false true true true true true false false false false false false true true true false true false false false false false false true true true true false false true true true true false false true 14280 0 true 9996 true true true true AS BC BR CA CH CS EC ET FR GM IN IT JA KE LU NL NU PP PE SF SP SW SZ UG UK false false false true true false false false false X 44 40 false false false false false false false true true false false true true true true true true true true false AZ AR CO DC KS ME MD MA MI NH NY OH OK PA SC WA X X BRADLEY W FRALIC CPA 2163682126 10900 EUCLID AVENUE CLEVELAND OH 441067006 BARBARA SNYDER 80.00 X X 845769 0 183079 ALAN L 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285755892 2740563308 2645405127 57832791 66376088 550292838 540866722 19885766 19111658 139010164 194401535 767021559 820756003 215901194 146716353 883118244 793988884 874522311 883943887 1973541749 1824649124 2740563308 2645405127 X -37196279 -111696346 X false true true X true true X true true false true 241777 false false true 293378 false false 535155 false Description of the activities reported on Lines 1a through 1i Schedule C, Part II-B, Line 1 STATE RELATIONS JULY 2011 - SEPTEMBER 2011 *JENNIFER RUGGLES CONDUCTED TELEPHONE CONFERENCES WITH CALFEE AND THE GOVERNOR'S OFFICE REGARDING THE PROPOSED MEDICAL CORRIDOR. *JENNIFER RUGGLES ATTENDED MEETINGS OF THE THIRD FRONTIER COMMISSION. *DISCUSSION WITH MEL BORKAN AND MARK VIDMAR OF THE OHIO DEPARTMENT OF JOB AND FAMILY SERVICES REGARDING THE CLINICAL AND TRANSLATIONAL SCIENCE COLLABORATIVE (CTSC). *JENNIFER RUGGLES ATTENDED A MEETING WITH THE OHIO DEPARTMENT OF ALCOHOL AND DRUG ADDICTION SERVICES (ODADAS) REGARDING GAMBLING ADDICTION SERVICES. OCTOBER 2011 - DECEMBER 2011 *JENNIFER RUGGLES ATTENDED MEETINGS OF THE THIRD FRONTIER COMMISSION. *DISCUSSIONS WITH JEN CARLSON OF OSU REGARDING JOINT LETTER ON FEDERAL FUNDING FOR THE PREVENTION RESEARCH CENTERS. JOINT LETTER SENT TO FEDERAL DELEGATION ON OCTOBER 31, 2011. *ODADAS OFFICIALS MET WITH CWRU REGARDING A POSSIBLE GAMBLING ADDICTION CENTER. *DISCUSSION WITH MATT CARLE AND TRACY INTHAR REGARDING THE GOVERNOR'S POSITION ON HIGHER EDUCATION FOR ILLEGAL IMMIGRANTS. JANUARY 2012 - MARCH 2012 *DISCUSSIONS WITH PUBLIC UTILITIES COMMISSION OF OHIO REGARDING SUPPORT FOR CWRU/DRAPER/OSU GRID MANAGEMENT PROJECT. *DISCUSSION WITH OHIO DEPARTMENT OF DEVELOPMENT REGARDING FEDERAL FUNDING FOR VA AND ARMED SERVICES COMMITTEE. *JENNIFER RUGGLES ATTENDED MEETINGS OF THE THIRD FRONTIER COMMISSION. *JENNIFER RUGGLES DISCUSSED THE ESTABLISHMENT OF A GAMBLING ADDICTION CENTER WITH THE OHIO CASINO CONTROL COMMISSION AND ODADAS. FOLLOW UP CONFERENCE CALL ON MARCH 20, 2012. *CWRU REPRESENTATIVES PRESENT TESTIMONY AT GENERAL ASSEMBLY CANCER CAUCUS MEETING ON MARCH 14, 2012. *MARCH 22, 2012 - PRESIDENT SNYDER SENT A LETTER TO REPRESENTATIVE RON AMSTUTZ, CHAIR OF THE HOUSE FINANCE AND APPROPRIATIONS COMMITTEE, REGARDING INCLUSION OF FUNDING FOR THE SIM CENTER AND ENERGY CENTER IN SENATE BILL 312, THE CAPITAL REAPPROPRIATIONS BILL. APRIL 2012 - JUNE 2012 *JENNIFER RUGGLES ATTENDED MEETINGS OF THE THIRD FRONTIER COMMISSION. *JENNIFER RUGGLES AND LEAH PAPPAS PORNER MET WITH JOHN CONLEY OF THE OHIO BOARD OF REGENTS REGARDING OHIOLINK. *DISCUSSION WITH DAWN LARZELERE OF THE GOVERNOR'S OFFICE AND THE OHIO DEPARTMENT OF DEVELOPMENT ABOUT THE FEDERAL PILOT PROJECT REGARDING ADVANCED MANUFACTURING. *JENNIFER RUGGLES AND LEAH PAPPAS PORNER MET WITH NORM CHAGNON AND ANTHONY HOWARD OF THE OHIO DEPARTMENT OF DEVELOPMENT REGARDING ADDITIVE MANUFACTURING. *CWRU DISCUSSED THE ESTABLISHMENT OF A GAMBLING ADDICTION CENTER WITH THE OHIO CASINO CONTROL COMMISSION AND ODADAS ON JUNE 4, 2012. *ELIZABETH LITTMAN MET WITH OFFICIALS FROM THE OHIO DEPARTMENT OF HEALTH REGARDING DATA INTEGRATION AND HEALTHCARE DATA SYMPOSIUM. FEDERAL RELATIONS JULY 2011 - SEPTEMBER 2011 * LISA CAMP - DISCUSSED VIA EMAIL W/ US REPRESENTATIVE MARCIA FUDGE'S STAFF REGARDING LANGUAGE FOR AMENDMENT. * LISA CAMP - DISCUSSED VIA EMAIL W/ US REPRESENTATIVE BETTY SUTTON'S STAFF REGARDING MATERIALS SUMMIT AT CWRU. * DAVID FLESHLER - MET US SENATOR SHERROD BROWN'S STAFF AT A CITY CLUB LUNCHEON. OCTOBER 2011 - DECEMBER 2011 * DAVID FLESHLER - MET WITH US REPRESENTATIVE STEVE AUSTRIA'S STAFF RE: FUNDS FOR INTERNATIONAL EDUCATION. * DAVID FLESHLER - MET WITH US REPRESENTATIVE STEVE ROTHMAN'S STAFF RE: FUNDS FOR INTERNATIONAL EDUCATION. * DAVID FLESHLER - MET WITH US SENATOR SHERROD BROWN'S STAFF RE: FUNDS FOR INTERNATIONAL EDUCATION. * LISA CAMP - MET WITH US REPRESENTATIVE MARCY KAPTUR'S STAFF RE: ENERGY TECHNOLOGY ISSUES. * LISA CAMP - MET WITH US REPRESENTATIVE MARCIA FUDGE'S STAFF RE: ENERGY TECHNOLOGY ISSUES. * LISA CAMP - MET WITH US SENATOR ROB PORTMAN'S STAFF RE: SCHOOL OF ENGINEERING UPDATE. * LISA CAMP - MET WITH US SENATOR SHERROD BROWN'S STAFF RE: SCHOOL OF ENGINEERING UPDATE. JANUARY 2012 - MARCH 2012 * JULIE REHM & JENN RUGGLES - MET WITH US SENATOR ROB PORTMAN'S DC STAFF REGARDING TRANSPORTATION AUTHORIZATION BILL * JULIE REHM & JENN RUGGLES - MET WITH US SENATOR SHERROD BROWN'S DC STAFF REGARDING TRANSPORTATION AUTHORIZATION BILL. * JULIE REHM & JENN RUGGLES - MET WITH US REPRESENTATIVE MARCIA FUDGE'S DC STAFF REGARDING TRANSPORTATION AUTHORIZATION BILL * JULIE REHM & JENN RUGGLES - MET WITH US REPRESENTATIVE MARCY KAPTUR'S DC STAFF REGARDING TRANSPORTATION AUTHORIZATION BILL * JULIE REHM & JENN RUGGLES - MET WITH US REPRESENTATIVE STEVE LATOURETTE'S DC STAFF REGARDING TRANSPORTATION AUTHORIZATION BILL * JULIE REHM & JENN RUGGLES - MET WITH US SENATOR ROB PORTMAN'S DC STAFF REGARDING LHHS APPROPRIATIONS BILL (FINANCIAL AID, CDC, AND NIH) + LOCAL STAFF REGARDING LHHS APPROPRIATIONS BILL (FINANCIAL AID, CDC, AND NIH), TRANSPORTATION APPROPRIATIONS BILL, DEFENSE APPROPRIATIONS BILL, ENERGY APPROPRIATIONS BILL, AND CJS APPROPRIATIONS BILL * JULIE REHM & JENN RUGGLES - MET WITH US SENATOR SHERROD BROWN'S DC STAFF REGARDING LHHS APPROPRIATIONS BILL (FINANCIAL AID, CDC, AND NIH) + LOCAL STAFF REGARDING LHHS APPROPRIATIONS BILL (FINANCIAL AID, CDC, AND NIH), TRANSPORTATION APPROPRIATIONS BILL, DEFENSE APPROPRIATIONS BILL, ENERGY APPROPRIATIONS BILL, AND CJS APPROPRIATIONS BILL * JULIE REHM & JENN RUGGLES - MET WITH US REPRESENTATIVE STEVE LATOURETTE'S DC STAFF REGARDING LHHS APPROPRIATIONS BILL (FINANCIAL AID, CDC, AND NIH) + LOCAL STAFF REGARDING LHHS APPROPRIATIONS BILL (FINANCIAL AID, CDC, AND NIH), TRANSPORTATION APPROPRIATIONS BILL, DEFENSE APPROPRIATIONS BILL, ENERGY APPROPRIATIONS BILL, AND CJS APPROPRIATIONS BILL * JULIE REHM & JENN RUGGLES - MET WITH MARCIA FUDGE'S DC STAFF REGARDING LHHS APPROPRIATIONS BILL (FINANCIAL AID, CDC, AND NIH) + LOCAL STAFF REGARDING LHHS APPROPRIATIONS BILL (FINANCIAL AID, CDC, AND NIH), TRANSPORTATION APPROPRIATIONS BILL, DEFENSE APPROPRIATIONS BILL, ENERGY APPROPRIATIONS BILL, AND CJS APPROPRIATIONS BILL * JULIE REHM & JENN RUGGLES - MET WITH MARCY KAPTUR'S DC STAFF REGARDING LHHS APPROPRIATIONS BILL (FINANCIAL AID, CDC, AND NIH) + LOCAL STAFF REGARDING LHHS APPROPRIATIONS BILL (FINANCIAL AID, CDC, AND NIH), TRANSPORTATION APPROPRIATIONS BILL, DEFENSE APPROPRIATIONS BILL, ENERGY APPROPRIATIONS BILL, AND CJS APPROPRIATIONS BILL * ELIZABETH LITTMAN - MET WITH US SENATOR SHERROD BROWN'S DC STAFF FOR NATIONAL CHILDREN'S STUDY AND NATIONAL PRION DISEASE SURVEILLANCE CENTER DISCUSSION. * ELIZABETH LITTMAN - MET WITH US REPRESENTATIVE MARCIA FUDGE'S DC STAFF FOR PREVENTION RESEARCH CENTER DISCUSSION APRIL 2012 - JUNE 2012 * JENN RUGGLES - MET WITH US SENATOR SHERROD BROWN'S STAFF REGARDING NEXT GENERATION MANUFACTURING * JENN RUGGLES - MET WITH US SENATOR ROB PORTMAN'S STAFF REGARDING NEXT GENERATION MANUFACTURING * JENN RUGGLES - PHONE CONVERSATIONS WITH US REPRESENTATIVE TIM RYAN'S LOCAL STAFF RE: NEXT GENERATION MANUFACTURING * JENN RUGGLES - PHONE CONVERSATIONS WITH US REPRESENTATIVE MARCIA FUDGE'S STAFF RE: NEXT GENERATION MANUFACTURING * JENN RUGGLES - PHONE CONVERSATIONS WITH US REPRESENTATIVE STEVE LATOURETTE'S STAFF RE: NEXT GENERATION MANUFACTURING * JENN RUGGLES - PHONE CONVERSATIONS WITH US REPRESENTATIVE MARCY KAPTUR'S STAFF RE: NEXT GENERATION MANUFACTURING * JENN RUGGLES - PHONE CONVERSATIONS WITH US REPRESENTATIVE BETTY SUTTON'S STAFF RE: NEXT GENERATION MANUFACTURING * JENN RUGGLES - PHONE CONVERSATIONS WITH US REPRESENTATIVE JIM RENACCI'S STAFF RE: NEXT GENERATION MANUFACTURING * ELIZABETH LITTMAN - MET WITH US REPRESENTATIVE MARCIA FUDGE'S DC STAFF RE: HHS ITEMS * ELIZABETH LITTMAN - MET WITH US REPRESENTATIVE STEVE LATOURETTE'S DC STAFF RE: HHS ITEMS * ELIZABETH LITTMAN - MET WITH US SENATOR ROB PORTMAN'S DC STAFF RE: HHS ITEMS * ELIZABETH LITTMAN - MET WITH US SENATOR SHERROD BROWN'S DC STAFF RE: HHS ITEMS * BARBARA SNYDER - MET WITH US REPRESENTATIVE MARCIA FUDGE RE: UNIVERSITY PRIORITIES * BARBARA SNYDER - MET WITH US REPRESENTATIVE STEVE LATOURETTE RE: UNIVERSITY PRIORITIES * BARBARA SNYDER - MET WITH US REPRESENTATIVE MARCY KAPTUR RE: UNIVERSITY PRIORITIES * BARBARA SNYDER - MET WITH US REPRESENTATIVE BETTY SUTTON RE: UNIVERSITY PRIORITIES * BARBARA SNYDER - MET WITH US REPRESENTATIVE JIM RENACCI RE: UNIVERSITY PRIORITIES * BARBARA SNYDER - MET WITH US SENATOR SHERROD BROWN RE: UNIVERSITY PRIORITIES * BARBARA SNYDER - MET WITH US SENATOR ROB PORTMAN RE: UNIVERSITY PRIORITIES X X false 1300019447 22870000 -16774824 35655563 43734884 2831176 1223893000 1154155253 23396273 201358951 21677211 54813191 2400628 1300019447 1170870419 11149026 53604809 23649955 55384686 2434360 1154155253 1498231342 27066427 -266866616 22043489 63846220 1671025 1170870419 0.43400 0.56600 true false 38358906 38358906 1160598805 553873764 606725041 4270719 1149039 3121680 266343044 201536927 64806117 37067302 19441458 17625844 730637588 159466548 F 806450000 F EQUITY REAL ESTATE 101405000 F 1067321548 FUNDS HELD BY OTHERS 285755892 285755892 0 DEFERRED INCOME AND OTHER LIABILITIES 61120206 ANNUITIES PAYABLE 41453854 PENSION LIABILITY 63291218 REFUNDABLE FEDERAL STUDENT LOANS 23088254 REFUNDABLE ADVANCES 5448003 194401535 937832235 975028514 -37196279 -45393116 -2853907 -63449323 -111696346 -148892625 892439119 -45393116 0 -45393116 937832235 0 0 937832235 1041331744 1680362 64622868 66303230 975028514 0 0 975028514 Collections of art - financial statement footnote Schedule D, Part III, Line 1a THE UNIVERSITY'S COLLECTIONS OF HISTORICALLY SIGNIFICANT ARTIFACTS, SCIENTIFIC SPECIMENS, AND ART OBJECTS ARE HELD FOR EDUCATION, RESEARCH, SCIENTIFIC INQUIRY, AND PUBLIC EXHIBITION. THEIR VALUE IS NOT REFLECTED IN THE UNIVERSITY'S CONSOLIDATED FINANCIAL STATEMENTS. Collections of art - description of collections Schedule D, Part III, Line 4 THE UNIVERSITY'S COLLECTION OF HISTORICALLY SIGNIFICANT ARTIFACTS, SCIENTIFIC SPECIMENS, AND ART OBJECTS ARE HELD FOR EDUCATION, RESEARCH, SCIENTIFIC INQUIRY AND PUBLIC EXHIBITION. Intended uses of endowment funds Schedule D, Part V, Line 4 THE UNIVERSITY'S ENDOWMENTS AND OTHER DONOR RESTRICTED INVESTMENTS ARE SPENT IN ACCORDANCE WITH THE WISHES OF THE DONOR. SUCH WISHES ARE TYPICALLY DIVIDED BETWEEN THE NEEDS OF THE UNIVERSITY (UNRESTRICTED IN ITS USE, PLANT FUNDS, PROFESSORSHIPS OR INSTRUCTIONAL, ETC.) AND THE NEEDS OF THE STUDENTS (SCHOLARSHIPS, AWARDS AND PRIZES, ETC.). FIN 48 (ASC 740) footnote Schedule D, Part X, Line 2 THE UNIVERSITY IS EXEMPT FROM FEDERAL INCOME TAX TO THE EXTENT PROVIDED UNDER SECTION 501(C)(3) OF THE INTERNAL REVENUE CODE. THE UNIVERSITY IS CLASSIFIED AS AN ORGANIZATION THAT IS NOT A PRIVATE FOUNDATION UNDER SECTION 509(A) OF THE INTERNAL REVENUE CODE BECAUSE IT IS DESCRIBED IN SECTIONS 509(A)(1) AND 170(B)(1)(A)(II) AND, AS SUCH, GIFTS TO THE UNIVERSITY QUALIFY FOR DEDUCTION AS CHARITABLE CONTRIBUTIONS. THE UNIVERSITY IS EXEMPT FROM FEDERAL INCOME TAX HOWEVER; IT IS REQUIRED TO PAY FEDERAL INCOME TAX ON UNRELATED BUSINESS INCOME. THE UNIVERSITY DID NOT HAVE ANY MATERIAL INCOME TAX LIABILITIES FOR THE YEARS ENDED JUNE 30, 2012 AND 2011. ASC 740, "INCOME TAXES," PRESCRIBES A RECOGNITION THRESHOLD AND MEASUREMENT REQUIREMENTS FOR FINANCIAL STATEMENT RECOGNITION AND MEASUREMENT OF A TAX POSITION TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. IN ADDITION, ASC 740 PROVIDES GUIDANCE ON RECOGNITION, CLASSIFICATION AND DISCLOSURE REQUIREMENTS FOR UNCERTAIN TAX PROVISIONS. THE UNIVERSITY HAS NO FINANCIAL REPORTING REQUIREMENTS ASSOCIATED WITH ASC 740 FOR THE YEARS ENDED JUNE 30, 2012 AND 2011. Other changes in net assets Schedule D, Part XI, Line 8 PENSION PLAN ACTUARIAL ADJUSTMENTS - -57296998; LIFE INCOME ACTUARIAL ADJUSTMENTS - -4471963; LOSS ON DISPOSAL - -1680362; Other expenses in audited financial statements not in form 990 Schedule D, Part XIII, Line 2d PENSION PLAN ACTUARIAL ADJUSTMENT - 57296998; LIFE INCOME ACTUARIAL ADJUSTMENT - 4471963; INVESTMENT EXPENSES - 2853907; true true true true true true true false false false false false false false false true false true Financial aid or assistance from a governmental agency Schedule E, Line 6a THE UNIVERSITY PROVIDES FINANCIAL AID, WHICH IS FUNDED BY GIFTS, ENDOWMENT INCOME AND EXTERNALLY SPONSORED AID (INCLUDING FEDERAL AND STATE GOVERNMENTAL SOURCES), TO STUDENTS BASED ON DEMONSTRATED FINANCIAL NEED OR ACADEMIC MERIT. GOVERNMENT ADVANCES TO QUALIFIED STUDENTS ARE FUNDED PRINCIPALLY WITH FEDERAL LOANS TO THE UNIVERSITY UNDER THE PERKINS, NURSING AND HEALTH PROFESSIONS STUDENT LOAN PROGRAMS. true CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 97073 EAST ASIA AND THE PACIFIC 0 2 GRANTMAKING RESEARCH 242862 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDENT EXCHANGE PROGRAM 18350 EAST ASIA AND THE PACIFIC 0 0 INVESTMENTS 34834584 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 GRANTMAKING RESEARCH 224896 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD 99959 SOUTH AMERICA 0 0 GRANTMAKING RESEARCH 88933 SOUTH ASIA 0 0 GRANTMAKING RESEARCH 10010 NORTH AMERICA (CANADA & MEXICO ONLY) 0 0 GRANTMAKING RESEARCH 830 SUB SAHARAN AFRICA 5 4 GRANTMAKING RESEARCH 4093433 SUB SAHARAN AFRICA 1 7 PROGRAM SERVICES RESEARCH, TRAINING AND STUDY ABROAD 298040 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 INVESTMENTS 57698888 SOUTH AMERICA 0 0 INVESTMENTS 21247973 6 13 118955831 EAST ASIA AND THE PACIFIC RESEARCH 6514 WIRE TRANSFER 0 BOOK EAST ASIA AND THE PACIFIC RESEARCH 7138 WIRE TRANSFER 0 BOOK EAST ASIA AND THE PACIFIC RESEARCH 36460 WIRE TRANSFER 0 BOOK EUROPE (INCLUDING ICELAND AND GREENLAND) RESEARCH 17276 WIRE TRANSFER 0 BOOK EUROPE (INCLUDING ICELAND AND GREENLAND) RESEARCH 99140 WIRE TRANSFER 0 BOOK EUROPE (INCLUDING ICELAND AND GREENLAND) RESEARCH 14050 WIRE TRANSFER 0 BOOK EUROPE (INCLUDING ICELAND AND GREENLAND) RESEARCH 54596 WIRE TRANSFER 0 BOOK EUROPE (INCLUDING ICELAND AND GREENLAND) RESEARCH 23000 WIRE TRANSFER 0 BOOK EUROPE (INCLUDING ICELAND AND GREENLAND) RESEARCH 14743 WIRE TRANSFER 0 BOOK SOUTH AMERICA RESEARCH 10000 WIRE TRANSFER 0 BOOK SUB SAHARAN AFRICA RESEARCH 473963 WIRE TRANSFER 0 BOOK SUB SAHARAN AFRICA RESEARCH 28442 WIRE TRANSFER 0 BOOK SUB SAHARAN AFRICA RESEARCH 1078789 WIRE TRANSFER 0 BOOK SUB SAHARAN AFRICA RESEARCH 510918 WIRE TRANSFER 0 BOOK SUB SAHARAN AFRICA RESEARCH 861241 WIRE TRANSFER 0 BOOK SUB SAHARAN AFRICA RESEARCH 380983 WIRE TRANSFER 0 BOOK SUB SAHARAN AFRICA RESEARCH 5247 WIRE TRANSFER 0 BOOK SUB SAHARAN AFRICA RESEARCH 37613 WIRE TRANSFER 0 BOOK SUB SAHARAN AFRICA RESEARCH 45326 WIRE TRANSFER 0 BOOK SUB SAHARAN AFRICA RESEARCH 6250 WIRE TRANSFER 0 BOOK SUB SAHARAN AFRICA RESEARCH 15740 WIRE TRANSFER 0 BOOK SUB SAHARAN AFRICA RESEARCH 36964 WIRE TRANSFER 0 BOOK SUB SAHARAN AFRICA RESEARCH 5320 WIRE TRANSFER 0 BOOK 0 23 true false false true true false Procedures for monitoring use of grant funds Schedule F, Part I, Line 2 THE UNIVERSITY REQUIRES ITEMIZED RECEIPTS AND/OR INVOICES FOR ALL EXPENDITURES. TRANSACTIONS ARE REVIEWED AND APPROVED ON MULTIPLE LEVELS. THIS ENABLES MONITORING OF THE TYPES AND AMOUNTS OF FUNDS WHICH ARE EXPENDED OUTSIDE OF THE UNITED STATES. ACCOUNTING METHOD FOR PART I, LINE 3 SCHEDULE F, PART I, LINE 3 THE ACCOUNTING METHOD USED TO ACCOUNT FOR EXPENDITURES ON THE UNIVERSITY'S FINANCIAL STATEMENTS IS THE ACCRUAL METHOD. INVESTMENTS ARE VALUED AT FAIR MARKET VALUE. ACCOUNTING METHOD FOR PART II, LINE 1 SCHEDULE F, PART II, LINE 1 THE METHOD USED TO ACCOUNT FOR GRANTS ON THE UNIVERSITY'S FINANCIAL STATEMENTS IS THE ACCRUAL METHOD. true TUITION AND FEES 4664 79777364 0 N/A N/A FELLOWS - TUITION AND FEES 2892 37010978 0 N/A N/A STIPENDS AND ALLOWANCES 780 1363999 0 N/A N/A Procedures for monitoring use of grant funds Schedule I, Part I, Line 2 THE OFFICE OF SPONSORED PROJECTS ADMINISTRATION DIRECTS AND FACILITATES PRE- AND POST-AWARD PROCESSES BY ENSURING COMPLIANCE WITH FEDERAL, STATE AND UNIVERSITY GUIDELINES. IT ALSO OVERSEES REGULATORY COMPLIANCE ACTIVITIES TO ENSURE SAFE, ETHICAL AND RESPONSIBLE CONDUCT OF RESEARCH. IN ADDITION, THE OFFICE IS RESPONSIBLE FOR ENHANCING THE RESEARCH INFRASTRUCTURE OF THE INSTITUTION AS WELL AS DEVELOPING AND MONITORING POLICIES RELATED TO THE STEWARDSHIP OF RESEARCH ACTIVITIES. X X X X X true true X X X X X X false true false false false false false true false BARBARA SNYDER 617697 0 100000 0 128072 0 156264 0 26815 0 1028848 0 56250 0 WILLIAM BAESLACK 442452 0 0 0 14130 0 43764 0 23586 0 523932 0 0 0 ROBERT BROWN 208246 0 0 0 0 0 24099 0 11940 0 244285 0 0 0 JOHN SIDERAS 392583 0 50000 0 4653 0 43764 0 12823 0 503823 0 0 0 SALLY STALEY 292706 0 220807 0 216 0 43764 0 5551 0 563044 0 0 0 JOHN WHEELER 372136 0 0 0 0 0 27264 0 9660 0 409060 0 0 0 JEROLD GOLDBERG 391628 0 0 0 9191 0 27264 0 10001 0 438084 0 0 0 BRUCE LOESSIN 441252 0 40000 0 4191 0 43764 0 10001 0 539208 0 0 0 PAMELA DAVIS 585909 0 58000 0 3564 0 41264 0 7447 0 696184 0 0 0 GROVER GILMORE 250839 0 0 0 0 0 27264 0 10075 0 288178 0 0 0 RICHARD JAMIESON 183986 0 0 0 0 0 20110 0 319 0 204415 0 0 0 MOHAN REDDY 377567 0 0 0 0 0 43764 0 12938 0 434269 0 0 0 CYRUS TAYLOR 306838 0 5000 0 1242 0 27264 0 12823 0 353167 0 0 0 NORMAN TIEN 283921 0 0 0 21346 0 27264 0 50796 0 383327 0 0 0 MAY WYKLE 279020 0 0 0 0 0 27264 0 9754 0 316038 0 0 0 NATHAN BERGER 372883 0 0 0 4944 0 43764 0 14086 0 435677 0 0 0 PIERLUIGI GAMBETTI 423194 0 0 0 0 0 43764 0 9660 0 476618 0 0 0 DALE BAUR 427146 0 0 0 1940 0 27264 0 12903 0 469253 0 0 0 GERALD FERRETTI 362281 0 0 0 9325 0 26254 0 9595 0 407455 0 0 0 JEANINE ARDEN ORNT 250000 0 0 0 0 0 0 0 0 0 250000 0 0 0 Travel for companions Schedule J, Part I, Line 1a ON OCCASSION THE PRESIDENT IS ASKED TO PARTICIPATE IN OFF SITE PROFESSIONAL MEETINGS WHERE LEADERSHIP AND THEIR SPOUSES FROM VAROIUS UNIVERSITY'S GATHER FOR PROFESSIONAL DEVELOPMENT AND OTHER BUSINESS PURPOSES. THE CONTRACT BETWEEN THE PRESIDENT AND THE UNIVERSITY REQUIRES THE SPOUSE BE AVAILABLE FOR SUCH MEETINGS. Tax indemnification and gross-up payments Schedule J, Part I, Line 1a THE UNIVERSITY HAS FOLLOWED ITS LONG ESTABLISHED PAST PRACTICE OF ADMINISTERING GROSS-UP PAYMENTS ADDITIONALLY, WRITTEN POLICIES WERE PUT INTO PLACE IN 2009. Housing allowance or residence for personal use Schedule J, Part I, Line 1a THE UNIVERSITY PROVIDES HOUSING FOR THE PRESIDENT. THE HOUSING IS ON THE EDGE OF CAMPUS AND IS PROVIDED FOR THE BENEFIT OF THE UNIVERSITY BECAUSE OF THE SUBSTANTIAL DEMANDS THAT IT PLACES ON THE PRESIDENT. A WRITTEN POLICY HAS BEEN APPROVED BY THE BOARD OF DIRECTORS. Health or social club dues or initiation fees Schedule J, Part I, Line 1a FOR HEALTH OR SOCIAL CLUB DUES OR INITIATION FEES, A WRITTEN POLICY WAS IN PLACE AND ADHERED TO. AT EACH YEAR END A DETERMINATION IS MADE WHAT PORTION IS ALLOCABLE AS PERSONAL. THAT PORTION THAT IS DEEMED PERSONAL IS THEN ADDED TO THE W-2 EARNINGS AND IS TAXABLE TO THE EMPLOYEE. Personal services Schedule J, Part I, Line 1a CLEANING SERVICES ARE PROVIDED AT THE UNIVERSITY OWNED HOUSE OCCUPIED BY THE PRESIDENT. PERIODICALLY THE UNIVERSITY MAKES AN ASSESSMENT OF THE SERVICES AND WHETHER ANY PORTION IS TAXABLE TO THE PRESIDENT. AT SUCH TIME (IF APPLICABLE) THE TAXABLE AMOUNT WOULD BE INCLUDABLE IN W-2 WAGES FOR THE PRESIDENT. Supplemental nonqualified retirement plan Schedule J, Part I, Line 4b BARBARA SNYDER WAS ISSUED $150,000 OF DEFERRED COMPENSATION, NONE OF WHICH HAS BEEN PAID. 25% VESTED UPON ISSUANCE IN THE CURRENT YEAR WITH AN ADDITIONAL 25% VESTING IN EACH OF THE THREE SUBSEQUENT YEARS. Non-fixed payments Schedule J, Part I, Line 7 FOR NON-FIXED PAYMENTS, ACCOMPLISHMENT OF SET PERFORMANCE INDICATORS BOTH FINANCIAL AND NON-FINANCIAL ARE REQUIRED TO RECEIVE SUCH PAYMENTS. OHIO HIGHER EDUCATIONAL FACILITY COMMISSION 346849674 67756BLTS 2004-03-16 289760098 PURCHASE & COMPLETION OF BUILDING false false false OHIO HIGHER EDUCATIONAL FACILITY COMMISSION 346849674 67756BTA8 2006-12-21 91083060 REFUND 1997 A&B, 2002B AND 2004A false false false OHIO HIGHER EDUCATIONAL FACILITY COMMISSION 346849674 67756BUL1 2008-05-21 181277464 REFUND 2004B false false false OHIO HIGHER EDUCATIONAL FACILITY COMMISSION 346849674 2006-08-24 12880000 EQUIPMENT LEASE false false false 2290000 17425000 289760098 0 23391663 0 5179069 0 0 275905169 0 0 2009 false false true true 0 0 91083060 0 0 89824927 1258132 0 0 0 0 0 2009 false true true true 0 0 181277464 0 0 179363879 1913585 0 0 0 0 0 2009 false true true true 684825 0 12880000 0 0 0 0 0 0 9175713 0 0 2008 false false true true false true true true true true 0.0066 0.0095 0.0161 true false true true true true true 0.0000 0.0000 0.0000 true false true true true true true 0.0101 0.0167 0.0268 true false true true true true true 0.0000 0.0000 0.0000 true true true false MORGAN STANLEY 5.0 false false false false false false false false false false false false true true MORGAN STANLEY 5.0 false false false false false false false false 0.0 false 0.0 false false X LINSALATA CAPITAL PARTNERS TRUSTEE SERVES AS AN OFFICER OF THE ORGANIZATION 291414 INVESTMENT MANAGEMENT FEES false KEY BANK AN OFFICER SERVES AS A BOARD MEMBER OF THE ORGANIZATION 191867 STANDARD ACCOUNT, TRUST, AND LETTER OF CREDIT FEES false CALFEE HALTER & GRISWOLD LLP TRUSTEE SERVES AS AN OFFICER OF THE ORGANIZATION 267007 LEGAL SERVICES false FOREST CITY CAPITAL TRUSTEE SERVES AS AN OFFICER OF A CLOSELY RELATED AND HELD ORGANIZATION 1673191 REAL ESTATE SERVICES false DANIEL ORNT SPOUSE OF A FORMER OFFICER 365093 EMPLOYEE COMPENSATION false X 3 50380 COST X 1 10000 MARKET VALUE X 1 3000 COST X EQUIPMENT 6 78256 COST X OTHER 1 300000 COST X COMPUTERS 3 9100 COST X MATERIALS 3 41448 COST X FURNITURE 1 45770 COST 0 false true false Explanations of reporting method for number of contributions Schedule M, Part I CARS AND OTHER VEHICLES: REPORTING THE NUMBER OF ITEMS DRUGS AND MEDICAL SUPPLIES: REPORTING THE NUMBER OF CONTRIBUTIONS OTHER: REPORTING THE NUMBER OF CONTRIBUTIONS OTHER: REPORTING THE NUMBER OF CONTRIBUTIONS OTHER: REPORTING THE NUMBER OF ITEMS CONTRIBUTED OTHER: REPORTING THE NUMBER OF CONTRIBUTIONS OTHER: REPORTING THE NUMBER OF CONTRIBUTIONS Number of contributions or items contributed. Schedule M, part I, column (b), Line 1 Number of contributions or items contributed. Schedule M, part I, column (b), Line 6 REPORTING THE NUMBER OF ITEMS Number of contributions or items contributed. Schedule M, part I, column (b), Line 20 REPORTING THE NUMBER OF CONTRIBUTIONS Number of contributions or items contributed. Schedule M, part I, column (b), Line other=EQUIPMENT REPORTING THE NUMBER OF CONTRIBUTIONS Review of form 990 by governing body Form 990, Part VI, Section B, Line 11b THE INFORMATION TO PREPARE THE FORM 990 FOR THE UNIVERSITY IS GATHERED BY THE CONTROLLERS OFFICE AND THE FORM PREPARED. ALL INFORMATION IS PROVIDED TO ITS ACCOUNTING FIRM WHO REVIEWS THE RETURN. SENIOR MANAGEMENT THEN REVIEWS THE RETURN PRIOR TO FILING. THE FORM 990 IS ALSO MADE AVAILABLE TO THE UNIVERSITY'S BOARD OF TRUSTEES PRIOR TO FILING. TRUSTEES MAY RAISE THEIR QUESTIONS AND COMMENTS WITH FINANCE STAFF. Conflict of interest policy Form 990, Part VI, Section B, Line 12c THE UNIVERSITY'S CONFLICT OF INTEREST POLICY APPLES TO THE MEMBERS OF THE BOARD OF TRUSTEES; ALL UNIVERSITY OFFICERS; SENIOR OFFICIALS OF THE UNIVERSITY; ALL UNIVERSITY FACULTY EXCEPT VOLUNTEER FACULTY IN THE SCHOOL OF MEDICINE AND EXCEPT SPECIAL FACULTY MEMBERS WHO ARE NOT PAID BY THE UNIVERSITY (UNLESS ENGAGED IN SPONSORED RESEARCH); EMERITUS FACULTY WHO HAVE AN ONGOING RELATIONSHIP WITH THE UNIVERSITY OR WHO ARE ENGAGED IN SPONSORED RESEARCH; POST-DOCTORAL FELLOWS, ALL EMPLOYEES; STUDENTS; AND TRAINEES. INDIVIDUALS COVERED BY THIS POLICY MUST REPORT ANY FINANCIAL INTEREST AND THE ACCEPTANCE OF ANY GIFTS, FAVORS, OR ANYTHING OF VALUE, BY THE INDIVIDUAL OR THE INDIVIDUAL'S SPOUSE, DEPENDENT CHILDREN, DOMESTIC PARTNER, OR ANY OTHER DEPENDENT PERSON WHO IS A MEMBER OF THE SAME HOUSEHOLD AS THE INDIVIDUAL, THAT DIRECTLY OR INDIRECTLY MIGHT INFLUENCE OR APPEAR TO A REASONABLE PERSON TO INFLUENCE THE INDIVIDUAL'S RESPONSIBILITIES AS A MEMBER OF THE UNIVERSITY. INDIVIDUALS COVERED BY THE POLICY WHO ENGAGE IN RESEARCH MUST REPORT ANY FINANCIAL INTEREST, NO MATTER HOW SMALL, THAT THE INDIVIDUAL OR THE INDIVIDUAL'S SPOUSE, DEPENDENT CHILDREN, DOMESTIC PARTNER, OR ANY OTHER DEPENDENT PERSON LIVING IN THE SAME HOUSEHOLD AS THE INDIVIDUAL, HAS IN ANY ENTITY THAT SPONSORS OR SUPPORTS THE RESEARCH OR THAT HOLDS A FINANCIAL INTEREST IN THE SUBJECT OF THE RESEARCH, AND ALSO MUST REPORT THE ACCEPTANCE OF ANY GIFT, FAVOR, OR ANYTHING OF VALUE FROM AN ENTITY THAT SPONSORS THE RESEARCH OR THAT HOLDS A FINANCIAL INTEREST IN THE SUBJECT OF THE RESEARCH. INDIVIDUALS COVERED BY THE POLICY ALSO MUST REPORT WHENEVER A PREVIOUSLY REPORTED CONFLICT OF INTEREST IS ELIMINATED. THE UNIVERSITY'S REPORTING PROCESS IS ADMINISTERED BY THE UNIVERSITY'S CONFLICT OF INTEREST OFFICE, EXCEPT THAT REPORTING BY MEMBERS OF THE BOARD OF TRUSTEES, THE PRESIDENT, THE PROVOST, ALL SENIOR OFFICIALS OF THE UNIVERSITY, AS WELL AS THE CHAIR OF THE CONFLICT OF INTEREST COMMITTEE, IS ADMINISTERED BY THE OFFICE OF GENERAL COUNSEL. EACH YEAR, INDIVIDUALS COVERED BY THE POLICY MUST REPORT IN WRITING ANY ACTIVITIES LISTED ABOVE. REPORTS CALLED FOR BY THE CONFLICT OF INTEREST COMMITTEE ARE SUBMITTED TO THAT COMMITTEE. REPORTS CALLED FOR BY THE OFFICE OF GENERAL COUNSEL ARE SUBMITTED TO THAT OFFICE. THE REPORTS RECEIVED BY THE CONFLICT OF INTEREST COMMITTEE ARE SHARED WITH THE DEANS AND DEPARTMENT CHAIRS OF THE REPORTING FACULTY. INDIVIDUALS COVERED BY THIS POLICY WHO ARE NOT REQUIRED TO REPORT TO THE CONFLICT OF INTEREST COMMITTEE (OTHER THAN THOSE DESCRIBED ABOVE WHO MUST REPORT TO THE OFFICE OF GENERAL COUNSEL OR THE PRESIDENT) MUST REPORT ANY FINANCIAL INTEREST THAT RELATES TO THEIR UNIVERSITY RESPONSIBILITIES TO THEIR SUPERVISORS AT THEIR ANNUAL REVIEW. SUPERVISORS WHO DETERMINE THAT AN INDIVIDUAL MAY HAVE A CONFLICT OF INTEREST MUST REPORT THIS TO THE CONFLICT OF INTEREST OFFICE FOR FURTHER REVIEW. INDIVIDUALS ALSO MUST REPORT THE CONFLICT OF INTEREST OFFICE OR THE OFFICE OF GENERAL COUNSEL, AS APPROPRIATE, WITHIN 10 DAYS AFTER THEY BECOME AWARE OF A REPORTABLE INTEREST OR AFTER A CONFLICT OF INTEREST HAS BEEN ELIMINATED. INDIVIDUALS WHO HAVE NO REPORTABLE INTERESTS MUST STILL SUBMIT AN ANNUAL REPORT TO BE IN COMPLIANCE WITH THIS POLICY. THE OFFICE OF GENERAL COUNSEL CONDUCTS AN INITIAL REVIEW OF ALL THE REPORTS IT RECEIVES. THE CONFLICT OF INTEREST OFFICE CONDUCTS AN INITIAL REVIEW OF ALL REPORTS IT RECEIVES. IF NECESSARY, THEY OBTAIN ADDITIONAL INFORMATION FROM THE INDIVIDUAL COVERED BY THE POLICY AND FROM OTHER INDIVIDUALS WHO POSSESS RELEVANT INFORMATION. THE OFFICE OF THE GENERAL COUNSEL OR THE CONFLICT OF INTEREST OFFICE, AS APPROPRIATE, THEN IDENTIFIES THOSE ACTIVITIES THAT MUST BE REVIEWED AND APPROVED BY THE CONFLICT OF INTEREST COMMITTEE, AND THOSE ACTIVITIES THAT MAY PROCEED WITHOUT REVIEW BY THE CONFLICT OF INTEREST COMMITTEE. THE OFFICE OF THE GENERAL COUNSEL OR THE CONFLICT OF INTEREST OFFICE, AS APPROPRIATE, NOTIFIES THE CONFLICT OF INTEREST COMMITTEE OR THE BOARD OF TRUSTEES OF THOSE ACTIVITIES THAT MUST BE REVIEWED AND APPROVED. IN REVIEWING A REPORTED ACTIVITY, THE CONFLICT OF INTEREST COMMITTEE ASSUMES THAT THE ACTIVITY CANNOT BE UNDERTAKEN WITHOUT A SUITABLE MANAGEMENT PLAN. HOWEVER, IN SOME CASES, THE ACTIVITY MAY BE APPROVABLE WITHOUT A MANAGEMENT PLAN. IN DETERMINING WHETHER A MANAGEMENT PLAN IS REQUIRED, THE CONFLICT OF INTEREST COMMITTEE CONSIDERS THE SIGNIFICANCE OF THE CONFLICT OF INTEREST (SUCH AS THE SIZE OF THE INDIVIDUAL'S FINANCIAL INTEREST); WHETHER OR NOT THE INDIVIDUAL IS UNIQUELY QUALIFIED BY VIRTUE OF EXPERTISE AND EXPERIENCE TO CONDUCT THE RESEARCH PROJECT AND THE RESEARCH COULD NOT BE CONDUCTED AS SAFELY OR EFFECTIVELY WITHOUT THAT INDIVIDUAL; AND THE DEGREE OF RISK IMPOSED ON RESEARCH SUBJECTS. Process used to establish compensation of top management official Form 990, Part VI, Section B, Line 15a THIS IS IN RESPONSE TO QUESTIONS 15A AND 15B. THE UNIVERSITY HAS ADOPTED AN EXECUTIVE COMPENSATION AND INTERMEDIATE SANCTIONS POLICY TO ENSURE THAT ITS COMPENSATION ARRANGEMENTS WITH RELATED PARTIES ARE EVALUATED AND COMPENSATION THAT IS PAID TO A RELATED PARTY IS REASONABLE AND REFLECTS FAIR MARKET VALUE. THE POLICY APPLIES FOR DETERMINING THE FINANCIAL ARRANGEMENTS WITH INDIVIDUALS THAT ARE DETERMINED TO BE DISQUALIFIED PERSONS WITH RESPECT TO THE UNIVERSITY. "DISQUALIFIED PERSON" MEANS A PERSON WHO IS OR HAS BEEN IN A POSITION TO EXERCISE SUBSTANTIAL INFLUENCE OVER THE AFFAIRS OF THE UNIVERSITY DURING THE FIVE YEARS ENDING ON THE DATE OF THE TRANSACTION, A MEMBER OF HIS OR HER FAMILY, OR AN ENTITY IN WHICH THE DISQUALIFIED PERSON HAS IN EXCESS OF THIRTY-FIVE (35%) PERCENT CONTROL. PERSONS HOLDING THE FOLLOWING POWERS AND RESPONSIBILITIES ARE DEEMED TO BE IN A POSITION TO EXERCISE SUBSTANTIAL CONTROL OVER THE ORGANIZATION: VOTING MEMBERS OF THE BOARD, THE PRESIDENT, THE CHIEF EXECUTIVE OFFICER, THE CHIEF OPERATING OFFICER, THE TREASURER AND THE CHIEF FINANCIAL OFFICER. OTHERS MAY BE IN A POSITION TO EXERCISE SUBSTANTIAL CONTROL OVER THE UNIVERSITY IF THE FACTS AND CIRCUMSTANCES JUSTIFY SUCH A CONCLUSION. THE COMPENSATION COMMITTEE OF THE BOARD OF DIRECTORS OF THE UNIVERSITY ENDEAVORS TO ESTABLISH THE REBUTTABLE PRESUMPTION OF REASONABLENESS BY REVIEWING TRANSACTIONS WHICH RAISE THE RISK OF CONFERRING AN EXCESS BENEFIT. THE COMMITTEE WILL ACCOMPLISH THIS BY COMPLYING WITH THE FOLLOWING PROCEDURES WHENEVER A POTENTIAL RISK IS IDENTIFIED: A. THE TRANSACTION SHALL BE APPROVED IN ADVANCE BY THE COMPENSATION COMMITTEE OF THE BOARD, OR OTHER PARTIES AUTHORIZED BY THE BOARD TO ACT ON ITS BEHALF COMPOSED ENTIRELY OF INDIVIDUALS WHO DO NOT HAVE A CONFLICT OF INTEREST WITH RESPECT TO THE TRANSACTION. B. A PERSON HAS A CONFLICT OF INTEREST IF THAT PERSON: (1) IS A DISQUALIFIED PERSON OR A FAMILY MEMBER THEREOF; (2) IS IN AN EMPLOYMENT RELATIONSHIP SUBJECT TO THE DIRECTION OR CONTROL OF A DISQUALIFIED PERSON; (3) RECEIVES COMPENSATION SUBJECT TO APPROVAL BY A DISQUALIFIED PERSON; (4) HAS A MATERIAL FINANCIAL INTEREST AFFECTED BY THE TRANSACTION; OR (5) HAS PREVIOUSLY RECEIVED AN ECONOMIC BENEFIT THROUGH A TRANSACTION APPROVED BY THE DISQUALIFIED PERSON. C. THE COMPENSATION COMMITTEE OF THE BOARD SHALL OBTAIN AND RELY UPON APPROPRIATE DATA AS TO THE COMPARABILITY OF THE TERMS OF THE TRANSACTION PRIOR TO MAKING ITS DECISION. I. THE COMPENSATION COMMITTEE OF THE BOARD OF TRUSTEES HAS APPROPRIATE COMPARABILITY DATA IF, CONSIDERING THE KNOWLEDGE AND EXPERTISE OF ITS MEMBERS, IT HAS SUFFICIENT INFORMATION TO DETERMINE THAT THE TRANSACTION IN ITS ENTIRETY IS REASONABLE OR AT FAIR MARKET VALUE. II. RELEVANT INFORMATION WITH RESPECT TO A COMPENSATION TRANSACTION INCLUDES: (1) COMPENSATION PAID BY SIMILAR ORGANIZATIONS FOR FUNCTIONALLY COMPARABLE POSITIONS; (2) THE AVAILABILITY OF SIMILAR SERVICES WITHIN THE GEOGRAPHICAREA; (3) CURRENT COMPENSATION SURVEYS PERFORMED BY INDEPENDENT FIRMS; AND (4) WRITTEN OFFERS FROM COMPETING ENTITIES FOR THE SERVICES OF THE DISQUALIFIED PERSON. III. RELEVANT INFORMATION WITH RESPECT TO A PROPERTY TRANSACTION INCLUDES: (1) CURRENT INDEPENDENT APPRAISALS; AND (2) OFFERS RECEIVED IN A COMPETITIVE AND OPEN BIDDING PROCESS. D. THE COMPENSATION COMMITTEE OR OTHER PARTIES AUTHORIZED BY THE BOARD SHALL ADEQUATELY DOCUMENT THE BASIS FOR ITS DETERMINATION CONCURRENTLY WITH MAKING THAT DECISION. ADEQUATE DOCUMENTATIONS MUST INCLUDE: I. THE TERMS OF THE TRANSACTION APPROVED; II. THE DATE THE TRANSACTION IS APPROVED; III. THE MEMBERS OF THE DECISION MAKING BODY PRESENT DURING DEBATE AND WHO PARTICIPATED IN VOTING; IV. THE COMPARABILITY DATA OBTAINED AND RELIED UPON AND HOW IT WAS OBTAINED; AND V. ANY ACTIONS TAKEN BY ANYONE WHO HAD A CONFLICT OF INTEREST WITH RESPECT TO THE TRANSACTION (PERSONS WITH A CONFLICT OF INTEREST MUST NOT BE PRESENT AT THE TIME OF A VOTE AND THIS MUST BE DOCUMENTED IN THE MINUTES). Process used to establish compensation of other officers/key employees Form 990, Part VI, Section B, Line 15b SEE ABOVE Governing documents, conflict of interest policy and financial statements available to the public Form 990, Part VI, Section C, Line 19 THESE DOCUMENTS ARE MADE AVAILABLE UPON REQUEST. 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