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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 10081 500 822968 -3231150 483060592 529888677 372822254 404900834 75727120 116844349 417292 1231731 932027258 1052865591 121288606 124624367 0 0 389224105 409075871 0 0 14567673 437462811 443597774 947975522 977298012 -15948264 75567579 2512641208 2740563308 787482822 767021559 1725158386 1973541749 X 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 338474245 13577723 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. 275458536 69138665 309499276 THE ACADEMIC PROGRAMS OF CASE WESTERN RESERVE UNIVERSITY ARE ADMINISTERED THROUGH ITS SCHOOLS AND COLLEGES. CURRENTLY 10,165 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. 62903681 41907979 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. 207304136 95401558 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. 207304136 95401558 884140598 true true 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 true false false false false false false true true true true true false false true true true true false false true 13870 0 true 10081 true true true true AS BC BR CH CS HR DA EC ET FR GM GH GV HA IN IT KE KS NL NU PP SF SP SW SZ TH TU 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 GREGORY EASTWOOD 2 X 0 0 0 VIRGINIA 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CATERING & MEAL PLAN SERVICES 10644532 KELLY SERVICES INC PO BOX 820405 PHILADALPHIA PA 191820405 STAFFING SERVICES 5723023 KRILL CO INC 1275 MAINE AVENUE CLEVELAND OH 44113 CONSTRUCTION 4854861 IBM CORPORATION PO BOX 643600 PITTSBURGH PA 152643600 MAINTENANCE AGREEMENT 2741545 ADVIZEX TECHNOLOGIES 4109 SOLUTION CENTER CHICAGO IL 60677 COMPUTER STORAGE SOLUTIONS 2363741 378 325033157 204855520 507237 529888677 TUITION AND FEES 900099 309499276 309499276 SALES AND SERVICE AUX 713940 45264614 43524709 1739905 SALES AND SERVICE EDU 541800 49049743 49049743 MEDICARE/MEDICAID 1087201 1087201 0 0 0 0 404900834 89282136 -676484 89958620 0 0 3431278 1393561 2228277 1364831 1203001 28730 1231731 -240453 1472184 2962458208 9765072 2937016293 7644774 25441915 2120298 27562213 27562213 0 0 0 0 0 0 0 0 1052865591 403160929 822968 118993017 0 121420571 121420571 3203796 3203796 0 6266590 3236806 2539075 490709 1671993 1208868 463125 317255599 288601454 20547254 8106891 24306686 21922024 1743339 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1725158386 1973541749 2512641208 2740563308 X 75567579 172815784 X false true true X true true X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED true true false true 445000 false false true 365784 false false 810784 false DESCRIPTION OF LOBBYING ACTIVITY FOR LINE 1J FORM 990, PART II-B FEDERAL RELATIONS JULY 2010- SEPTEMBER 2010 DAVID BELL, VP GOVERNMENT RELATIONS AND ADRIENNE DZIAK, MET WITH THE US. HOUSE OF REPS AND SENATE REGARDING BUDGET/APPROPRIATIONS (LABOR/HHS/EDUCATION, ENERGY&WATER; DEFENSE; FINANCIAL SERVICES; TRANSPORTATION/HUD). DAVID BELL AND ADRIENNE DZIAK, MET WITH THE US. HOUSE OF REPS AND SENATE REGARDING OFFSHORE WIND INITIATIVES. DAVID BELL, MET WITH THE NATIONAL ECONOMIC COUNCIL REGARDING TECHNOLOGY TRANSFER AND COMMERCIALIZATION BY UNIVERSITIES. DAVID BELL, MET WITH THE OFFICE OF SCIENCE AND TECHNOLOGY POLICY (OSTP) REGARDING TECHNOLOGY TRANSFER AND COMMERCIALIZATION BY UNIVERSITIES. DAVID BELL, MET WITH THE DEPARTMENT OF COMMERCE REGARDING TECHNOLOGY TRANSFER AND COMMERCIALIZATION BY UNIVERSITIES. JULY 26 PRESIDENT SNYDER CALL WITH CONGRESSWOMAN FUDGE REGARDING FY11 ENERGY & WATER APPROPRIATIONS BILL. SEPTEMBER 24 LISA CAMP MEETINGS WITH STAFFERS FROM CONGRESSWOMEN KAPTUR'S AND FUDGE'S AND CONGRESSMAN RYAN'S OFFICES REGARDING OFFSHORE WIND EFFORTS. FOLLOWED UP WITH REQUESTS TO SUPPORT ADDITIONAL LANGUAGE FOR GREAT LAKES AND OFFSHORE WIND IN THE APPROPRIATIONS BILL. OCTOBER 2010-DECEMBER 2010 DAVID BELL, MET WITH THE US. HOUSE OF REPS AND SENATE REGARDING BUDGET/APPROPRIATIONS (LABOR/HHS/EDUCATION, ENERGY&WATER; DEFENSE; FINANCIAL SERVICES; TRANSPORTATION/HUD). DAVID BELL, MET WITH THE US. HOUSE OF REPS AND SENATE REGARDING OFFSHORE WIND INITIATIVES. JANUARY 2011 - MARCH 2011 DAVID BELL, MET WITH U.S. HOUSE OF REPRESENTATIVE AND THE U.S. SENATE REGARDING SPECIALIZED PROGRAMS OF RESEARCH EXCELLENCE WITHIN THE NATIONAL CANCER INSTITUTE. DAVID BELL, MET WITH U.S. HOUSE OF REPRESENTATIVE AND THE U.S. SENATE REGARDING THE NATIONALS CHILDRENS STUDY. DAVID BELL, MET WITH U.S. HOUSE OF REPRESENTATIVE AND THE U.S. SENATE REGARDING THE NATIONAL PRION SURVEILLANCE CENTER. DAVID BELL, MET WITH U.S. HOUSE OF REPRESENTATIVE AND THE U.S. SENATE REGARDING PELL GRANTS. DAVID BELL, MET WITH U.S. HOUSE OF REPRESENTATIVE AND THE U.S. SENATE REGARDING FUNDING FOR THE NIH IN FY2011. DAVID BELL, MET WITH THE U.S. SENATE REGARDING OFF SHORE WIND. DAVID BELL, MET WITH U.S. HOUSE OF REPRESENTATIVE REGARDING ENGINEERING AND A NASA UPDATE. DAVID BELL, MET WITH U.S. HOUSE OF REPRESENTATIVE REGARDING PHOTOVOLTAIC AND AN INTERNATIONAL UPDATE. DAVID BELL, MET WITH U.S. HOUSE OF REPRESENTATIVE REGARDING A TECHNOLOGY TRANSFER. DAVID BELL, MET WITH THE OFFICE OF SCIENCE & TECHNOLOGY POLICY (OSTP) REGARDING SCIENCE, ENERGY AND HIGHER EDUCATION TRENDS. DAVID BELL, MET WITH THE OFFICE OF SCIENCE & TECHNOLOGY POLICY (OSTP) REGARDING SCIENCE AND ENGINEERING FUNDING. DAVID BELL, MET WITH THE DEPARTMENT OF STATE REGARDING THE RECOGNITION FOR CASE WESTERN RESERVE UNIVERSITY/ CHINA NATIONAL OFFSHORE OIL CORPORATION COLLABORATION PLATFORM. DAVID BELL MET WITH THE U.S. SENATE REGARDING VARIOUS EDUCATIONAL ISSUES AFFECTING COLLEGE PRESIDENTS. APRIL 2011 - JUNE 2011 DAVID BELL, MET WITH U.S. HOUSE OF REPRESENTATIVE AND THE U.S. SENATE REGARDING VARIOUS EDUCATIONAL ISSUES AFFECTING COLLEGE PRESIDENTS. DAVID BELL, MET WITH U.S. HOUSE OF REPRESENTATIVE AND THE U.S. SENATE REGARDING PELL GRANTS AND PERKINS LOANS. DAVID BELL, MET WITH U.S. HOUSE OF REPRESENTATIVE AND THE U.S. SENATE REGARDING THE PREVENTION RESEARCH CENTER FOR HEALTHY NEIGHBORHOODS. DAVID BELL, MET WITH U.S. HOUSE OF REPRESENTATIVE AND THE U.S. SENATE REGARDING SPECIALIZED PROGRAMS OF RESEARCH EXCELLENCE WITHIN THE NATIONAL CANCER INSTITUTE. DAVID BELL, MET WITH U.S. HOUSE OF REPRESENTATIVE AND THE U.S. SENATE REGARDING MEDICAL COMBAT READINESS TRAINING. APRIL 2011 BEDE LITTMAN MEETING WITH CONGRESSWOMAN FUDGE REGARDING PRC. MAY 2011 BEDE LITTMAN CALLS WITH CONGRESSWOMAN FUDGE AND SENATOR BROWN REGARDING SPORE. BEDE LITTMAN MEETINGS IN DC WITH CONGRESSIONAL STAFF AND DOD REGARDING SCHOOL OF MEDICINE RESEARCH PRIORITIES. JUNE 2011 BEDE LITTMAN MEETINGS IN DC WITH CONGRESSIONAL STAFF AND DOD REGARDING SCHOOL OF MEDICINE RESEARCH PRIORITIES AND INITIATIVES, INCLUDING THE PRC. JUNE 15 LISA CAMP MEETING WITH CONGRESSWOMAN FUDGE'S OFFICE REGARDING SCIENCE AND ENERGY FUNDING. LISA CAMP MEETING WITH CONGRESSWOMAN KAPTUR'S OFFICE REGARDING ENERGY AND THE BUDGET. MAY 23 PRESIDENT SNYDER MEETING WITH SENATOR TOM NIEHAUS REGARDING THE BUDGET BILL. JUNE 20 DEAN PAMELA DAVIS MEETING WITH MARK KVAMME REGARDING POLICY AGENDA TO CREATE JOBS AND BOOST ECONOMY. STATE RELATIONS JULY 2010- SEPTEMBER 2010 DAVID BELL, VP GOVERNMENT RELATIONS MEETINGS IN COLUMBUS AND VIA TELECONFERENCE REGARDING HOUSE BILL'S 12, 87, 122, 123, 140, 147, 205, 224, 283, 301, 519, 5, 69, 84, 89, 223, 232, 243, 263. ALSO DISCUSSIONS WITH BOARD OF REGENTS REGARDING JOIN USE AGREEMENT, AND WITH DEPARTMENT OF ENERGY REGARDING WIN ENERGY OPPORTUNITIES. SEPTEMBER 13 PRESIDENT SNYDER ATTENDED FUNDRAISER BREAKFAST FOR ARMOND BUDISH. OCTOBER 2010 - DECEMBER 2010 DAVID BELL MEETINGS IN COLUMBUS AND VIA TELECONFERENCE REGARDING HOUSE BILL'S 301 AND 592. ALSO, DISCUSSIONS WITH THE GOVERNOR'S OFFICE REGARDING CWRU TEMPLE PROJECT, WITH ODOT REGARDING STATEWIDE WORKING GROUP FOR ELECTRIC VEHICLES; WITH OHIO AIR QUALITY DEVELOPMENT AUTHORITY REGARDING ELECTRIC STORAGE. JANUARY 2011 - MARCH 2011 DAVID BELL MEETINGS IN COLUMBUS AND VIA TELECONFERENCE REGARDING HOUSE BILL'S 1, 17, 139, 153, 171, 28, 30, 32, 60, 82, 85, 94, 100. JENN RUGGLES DISCUSSIONS WITH MEMBERS OF THE STATE SENATE REGARDING HIGHER EDUCATION FUNDING, WITH ODOD REGARDING JOBSOHIO, AND WITH STATE LEGISLATORS REGARDING FUNDING FOR STEM CELL RESEARCH. APRIL 2011 - JUNE 2011 DAVID BELL MEETINGS IN COLUMBUS AND VIA TELECONFERENCE REGARDING HOUSE BILL'S 17, 153, 167, 171, 217, 227, 303, 306, 28, 30, 32, 60, 82, 94, 100, AND 182. ALSO, DISCUSSIONS WITH ODOD REGARDING JOBSOHIO, MEDICAL CORRIDOR, AND ADVANCED ENERGY FUND, WITH ODJFS REGARDING CTSC/MEDICAID, WITH THE GOVERNOR'S OFFICE REGARDING MEDICAL CORRIDOR AND ENERGY SUMMIT, WIH OFFICE OF HEALTH TRANSFORMATION REGARDING POTENTIAL PROJECTS, AND WITH ODADAS REGARDING GAMBLING ADDICTION CENTER. JENN RUGGLES, EXECUTIVE DIRECTOR GOVERNMENT RELATIONS MEETINGS IN COLUMBUS AND VIA TELECONFERENCE REGARDING HOUSE BILL 153. MAY 2011 BEDE LITTMAN MEETINGS IN COLUMBUS WITH CONGRESSIONAL STAFF REGARDING SCHOOL OF MEDICINE RESEARCH PRIORITIES. MAY 23 PRESIDENT SNYDER MEETING WITH SENATOR TOM NIEHAUS REGARDING THE BUDGET BILL. JUNE 20 DEAN PAMELA DAVIS MEETING WITH MARK KVAMME REGARDING POLICY AGENDA TO CREATE JOBS AND BOOST ECONOMY. X X false 1154155253 23396273 201358951 21677211 54813191 2400628 1300019447 1170870419 11149026 53604809 23649955 55384686 2434360 1154155253 1498231342 27066427 -266866616 22043489 63846220 1671025 1170870419 0.39200 0.60800 true false 38875005 38875005 1132958323 515406178 617552145 4195719 666138 3529581 284846833 216568611 68278222 35865340 18840077 17025263 745260216 298288278 F 759349106 F EQUITY REAL ESTATE 102137240 F 1159774624 FUNDS HELD BY OTHERS 297767750 297767750 0 DEFERRED INCOME AND OTHER LIABILITIES 49415539 ANNUITIES PAYABLE 40623280 PENSION LIABILITY 22582343 REFUNDABLE FEDERAL STUDENT LOANS 19885977 REFUNDABLE ADVANCES 6503025 139010164 1052865591 977298012 75567579 161987617 10828167 172815784 248383363 1214853208 161987617 0 161987617 1052865591 0 0 1052865591 966469845 6213 -8368755 -8362542 974832387 2465625 0 2465625 977298012 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)(L) AND 170(B)(L)(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, 2011 AND 2010. 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, ACCOUNTING IN INTERIM PERIODS AND DISCLOSURE REQUIREMENTS FOR UNCERTAIN TAX PROVISIONS. THE UNIVERSITY HAS NO FINANCIAL REPORTING REQUIREMENTS ASSOCIATED WITH ASC 740 FOR THE YEARS ENDED JUNE 30, 2011 AND 2010. Other changes in net assets Schedule D, Part XI, Line 8 PENSION PLAN ACTUARIAL ADJUSTMENTS - 10683989; LIFE INCOME ACTUARIAL ADJUSTMENTS - -2315234; INVESTMENTS EXPENSES NETTED IN 990 - 2465625; LOSS ON DISPOSAL - -6213; Other expenses in audited financial statements not in form 990 Schedule D, Part XIII, Line 2d PENSION PLAN ACTUARIAL ADJUSTMENT - -10683989; LIFE INCOME ACTUARIAL ADJUSTMENT - 2315234; 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 GRANTS 7030 CENTRAL AMERICA AND THE CARIBBEAN 0 0 PROGRAM SERVICES STUDY ABROAD 21149 EAST ASIA AND THE PACIFIC 3 2 GRANTS 83291 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES STUDENT EXCHANGE PROGRAM 9840 EAST ASIA AND THE PACIFIC 0 0 PROGRAM SERVICES COMMUNITY SERVICE 6043 EAST ASIA AND THE PACIFIC 0 1 FUNDRAISING 98612 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 GRANTS 579978 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 PROGRAM SERVICES CONFERENCES 1831 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 PROGRAM SERVICES STUDY ABROAD 103824 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 PROGRAM SERVICES CONSULTING 3057 SOUTH AMERICA 0 0 GRANTS 45000 SOUTH AMERICA 0 0 PROGRAM SERVICES STUDY ABROAD 32000 SOUTH ASIA 0 0 PROGRAM SERVICES STUDY ABROAD 3187 SUB SAHARAN AFRICA 0 7 PROGRAM SERVICES STUDY ABROAD 4955 SUB SAHARAN AFRICA 0 0 GRANTS 4190566 SUB SAHARAN AFRICA 0 0 PROGRAM SERVICES TRAINING 161250 EAST ASIA AND THE PACIFIC 0 0 PASSIVE INVESTMENTS 31280235 EUROPE (INCLUDING ICELAND AND GREENLAND) 0 0 PASSIVE INVESTMENTS 12500945 SOUTH AMERICA 0 0 PASSIVE INVESTMENTS 14296497 3 10 63429290 CENTRAL AMERICA AND THE CARIBBEAN STUDY ABROAD 21149 EFT 0 N/A N/A CENTRAL AMERICA AND THE CARIBBEAN RESEARCH 7030 EFT 0 N/A N/A EAST ASIA AND THE PACIFIC RESEARCH 40353 EFT 0 N/A N/A EAST ASIA AND THE PACIFIC RESEARCH 6528 EFT 0 N/A N/A EAST ASIA AND THE PACIFIC RESEARCH 11431 EFT 0 N/A N/A EAST ASIA AND THE PACIFIC COMMUNITY SERVICE 6043 EFT 0 N/A N/A EAST ASIA AND THE PACIFIC FUNDRAISER 98612 EFT 0 N/A N/A EUROPE (INCLUDING ICELAND AND GREENLAND) RESEARCH 17378 EFT 0 N/A N/A EUROPE (INCLUDING ICELAND AND GREENLAND) STUDY ABROAD 10032 EFT 0 N/A N/A EUROPE (INCLUDING ICELAND AND GREENLAND) STUDY ABROAD 26779 EFT 0 N/A N/A EUROPE (INCLUDING ICELAND AND GREENLAND) RESEARCH 135542 EFT 0 N/A N/A EUROPE (INCLUDING ICELAND AND GREENLAND) RESEARCH 43672 EFT 0 N/A N/A EUROPE (INCLUDING ICELAND AND GREENLAND) STUDY ABROAD 40904 EFT 0 N/A N/A EUROPE (INCLUDING ICELAND AND GREENLAND) STUDY ABROAD 7576 EFT 0 N/A N/A EUROPE (INCLUDING ICELAND AND GREENLAND) RESEARCH 378480 EFT 0 N/A N/A EUROPE (INCLUDING ICELAND AND GREENLAND) STUDY ABROAD 27925 EFT 0 N/A N/A SOUTH AMERICA STUDY ABROAD 32000 EFT 0 N/A N/A SUB SAHARAN AFRICA RESEARCH 8200 EFT 0 N/A N/A SUB SAHARAN AFRICA RESEARCH 157081 EFT 0 N/A N/A SUB SAHARAN AFRICA RESEARCH 1123078 EFT 0 N/A N/A SUB SAHARAN AFRICA RESEARCH 847114 EFT 0 N/A N/A 0 53 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. true TUITION AND FEES 4776 80380418 0 N/A N/A FELLOWS - TUITION AND FEES 3829 40311630 0 N/A N/A STIPENDS AND ALLOWANCES 426 728523 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 false false false false false false true false BARBARA SNYDER 543516 0 100000 0 33596 0 43764 0 9180 0 730056 0 0 0 WILLIAM BAESLACK 422208 0 0 0 10797 0 43764 0 11929 0 488698 0 0 0 ROBERT BROWN 198336 0 0 0 0 0 22885 0 11280 0 232501 0 0 0 JOHN SIDERAS 382747 0 100000 0 0 0 27264 0 12163 0 522174 0 0 0 SALLY STALEY 284679 0 183932 0 3984 0 43764 0 5211 0 521570 0 0 0 JOHN WHEELER 306759 0 0 0 18750 0 27264 0 10464 0 363237 0 0 0 JEROLD GOLDBERG 385064 0 5000 0 0 0 27264 0 9503 0 426831 0 0 0 BRUCE LOESSIN 425648 0 30000 0 0 0 43764 0 9569 0 508981 0 0 0 PAMELA DAVIS 533461 0 52000 0 0 0 41264 0 6199 0 632924 0 0 0 GROVER GILMORE 243684 0 0 0 1554 0 26659 0 7104 0 279001 0 0 0 RICHARD JAMIESON 174965 0 0 0 0 0 19000 0 319 0 194284 0 0 0 MOHAN REDDY 347920 0 0 0 17950 0 43764 0 12278 0 421912 0 0 0 CYRUS TAYLOR 250969 0 0 0 36600 0 27264 0 12163 0 326996 0 0 0 NORMAN TIEN 274934 0 0 0 9325 0 27264 0 30756 0 342279 0 0 0 MAY WYKLE 279672 0 0 0 0 0 27264 0 9250 0 316186 0 0 0 NATHAN BERGER 379493 0 0 0 0 0 43764 0 11383 0 434640 0 0 0 PIERLUIGI GAMBETTI 417793 0 0 0 0 0 43764 0 9156 0 470713 0 0 0 DALE BAUR 426109 0 0 0 0 0 27264 0 12242 0 465615 0 0 0 GERALD FERRETTI 391393 0 0 0 18301 0 26697 0 9163 0 445554 0 0 0 JEANINE ARDEN ORNT 188880 0 0 0 17950 0 21132 0 2996 0 230958 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. 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 180277464 REFUND 2004B false false false OHIO HIGHER EDUCATIONAL FACILITY COMMISSION 346849674 2006-08-24 12880000 EQUIPMENT LEASE false false false 2210000 19715000 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 180277464 0 0 179363879 913585 0 0 0 0 0 2009 false true true true 658132 0 12880000 0 0 0 0 0 0 9175713 0 0 2008 false false true true false true true true true 0.0077 0.0102 0.0179 true false true true true true 0.0282 0.0007 0.0289 true false true true true true 0.0119 0.0180 0.0299 true false true true true true 0.0000 0.0000 0.0000 true true true false MORGAN STANLEY 5.0 false false false 0.0 true false false false false false false false false true true MORGAN STANLEY 5.0 false false false 0.0 false false false false false 0.0 false 0.0 false false LINSALATA CAPITAL PARTNERS TRUSTEE SERVES AS AN OFFICER OF THE ORGANIZATION 162126 INVESTMENT MANAGEMENT FEES false JEANINE ARDEN ORNT FORMER OFFICER 350000 REAL ESTATE false KEY BANK AN OFFICER SERVES AS A BOARD MEMBER OF THE ORGANIZATION 421702 STANDARD ACCOUNT, TRUST, AND LETTER OF CREDIT FEES false CALFEE HALTER & GRISWOLD LLP TRUSTEE SERVES AS AN OFFICER OF THE ORGANIZATION 252029 LEGAL SERVICES false DANIEL ORNT SPOUSE OF A FORMER 388996 EMPLOYEE COMPENSATION false FOREST CITY CAPITAL TRUSTEE SERVES AS AN OFFICER OF A CLOSELY RELATED AND HELD ORGANIZATION 1577018 REAL ESTATE SERVICES false X 5 30515 COST X 1 500 COST X 6415 COST X 815 COST X EQUIPMENT 12 458592 COST X SOFTWARE 1 10400 COST 0 false true false Description of other program services Form 990, Part III, Line 4d 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. Review of form 990 by governing body Form 990, Part VI, Section B, Line 11a 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 Public Disclosure Form 990, Part VI, Section C, Line 19 THESE DOCUMENTS ARE MADE AVAILABLE UPON REQUEST. 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