2011-05-16T10:27:17-05:00 2010-06-30 KPMG LLP 345 Park Avenue New York NY 101540102 990 2009-07-01 150532082 CORNELL UNIVERSITY CORN 6072553581 341 PINE TREE ROAD ITHACA NY 14850 JOANNE DESTEFANO 6072554618 2011-05-04 2127589700 2009 2016-02-24 21:20:13Z DAVID J SKORTON PRESIDENT 341 PINE TREE ROAD ITHACA NY 14850 24355623234 false X HTTP://WWW.CORNELL.EDU X 1865 NY THE UNIVERSITY'S MOST SIGNIFICANT ACTIVITIES ARE EDUCATION, RESEARCH, MEDICAL SERVICES AND OTHER PUBLIC SERVICES. 64 54 37186 2000 -12446427 -8866385 234351440 469311000 2170685420 2331955000 -734405713 307785139 340777992 8509041 2011409139 3117560180 46699487 62977714 0 0 1838163485 1758101002 170417 997210 49061112 897798605 945249985 2782831994 2767325911 -771422855 350234269 9093260000 9973532000 3020750000 3276574000 6072510000 6696958000 SEE SCHEDULE O false false 763059652 35907000 461536000 SEE SCHEDULE O 685352879 0 557179000 MEDICAL SERVICES, INCLUDING THE EDUCATION AND TRAINING OF PHYSICIANS, IS A MAJOR COMPONENT OF THE UNIVERSITY'S MISSION. WEILL CORNELL MEDICAL COLLEGE WAS FOUNDED IN 1898 AND HAS BEEN AFFILIATED WITH NEW YORK PRESBYTERIAN HOSPITAL SINCE 1927. THE PHYSICIAN ORGANIZATION IS AN INTEGRAL PART OF THE MEDICAL SCHOOL AND PROVIDES THE PATIENT BASE ESSENTIAL FOR TEACHING, RESEARCH AND CLINICAL SERVICES. 631696097 0 679492000 RESEARCH, BOTH BASIC AND APPLIED, IS A PRIMARY MISSION OF THE UNIVERSITY. CORNELL'S FACULTY AND STUDENTS ARE RECOGNIZED WORLD WIDE FOR THEIR RESEARCH IN SCIENCE, ENGINEERING, MEDICINE, BUSINESS, LAW AND THE ARTS. NOTE: THE REVENUES ABOVE INCLUDE $542 MILLION IN DIRECT REVENUES AND $137 MILLION INDIRECT COST RECOVERIES. NOTE: APPROXIMATELY 85% OF THE GRANT AND CONTRACT REVENUES ABOVE SUPPORT RESEARCH WITH THE BALANCE OF THE SUPPORT MORE CLOSELY IDENTIFIED TO INSTRUCTION AND/OR PUBLIC SERVICE. 442018414 0 633748000 2522127042 true true false true false false true false true true false true true true true true true true true false false true true true true false false false false false false false true false true true true false false false true true false false true 27219 0 true 37186 true true true true false false false true true false false false true true 64 54 false false false false false true false true true false false true true true true true true true true true true X UNIVERSITY CONTROLLER 6072553581 341 PINE TREE ROAD ITHACA NY 148502820 DAVID J SKORTON 55.0 X X 686843 0 175107 ELIZABETH J ALTMAN 1.0 X 0 0 0 STEPHEN B ASHLEY 1.0 X 0 0 0 ROSEMARY JANE AVERY 55.0 X 207627 0 36645 JESSICA W BIBLIOWICZ 1.0 X 0 0 0 C MORTON BISHOP III 1.0 X 0 0 0 FRANCI J BLASSBERG 1.0 X 0 0 0 SAMUEL W BODMAN III 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THE UNIVERSITY DOES NOT PARTICIPATE DIRECTLY OR INDIRECTLY IN ANY POLITICAL CAMPAIGN ACTIVITIES. PART II-B-LINE 1 i. THE UNIVERSITY, IN ADDITION TO MEETING WITH GOVERNMENT OFFICIALS TO PRESENT POSITIONS IMPORTANT FOR HIGHER EDUCATION, IS A MEMBER OF KEY ORGANIZATIONS THAT ALSO "LOBBY" ON BEHALF OF HIGHER EDUCATION (E.G., NACUBO NAT'L ASSN OF COLLEGE BUSINESS OFFICERS; AND COGR: COUNCIL ON GOVT RELATIONS-ASSN OF RESEARCH UNIVERSITIES). 9341647 70615692 0 0 X X X X false 3836289000 109055000 393907000 -26326325 -129429505 -39769170 4534776000 5248009000 249810000 -1369893000 -30545000 -150170000 -46142000 4354783000 0.48000 0.44000 0.08000 false false 22855964 22855964 3366968036 1450451132 1916516904 1072201000 461891868 610309132 506951000 0 506951000 3056633000 3944635000 F 3944635000 0 PAYABLE UNDER SECURITIES AGMT 25685000 OBL. UNDER SPLIT INTEREST 108703000 DEFERRED BENEFITS 447481000 FUNDS HELD IN TRUST FOR OTHERS 92325000 674194000 3117560180 2767325911 350234269 245951000 28262731 274213731 624448000 3428717000 245951000 124823820 370774820 3057942180 59618000 59618000 3117560180 2804269000 36943089 36943089 2767325911 2767325911 PART III: 4 DESCRIPTION OF THE ART MUSEUM COLLECTION AND FURTHERANCE OF EXEMPT PURPOSES: THE PERMANENT COLLECTION OF THE HERBERT F. JOHNSON MUSEUM OF ART IS PARTICULARLY NOTED IN THE AREA OF ASIAN ART, 19TH AND 20TH CENTURY AMERICAN ART AND THE GRAPHIC ARTS. THE COLLECTION IS IMPORTANT TO TEACHING, RESEARCH AND PUBLIC OUTREACH. THE MUSEUM'S CALENDAR OF EVENTS, TOURS, WORKSHOPS AND EDUCATIONAL PROGRAMS IS AVAILABLE ON THE MUSEUM'S WEB PAGES TO ENSURE MAXIMUM USE OF THE COLLECTION FOR EDUCATION AND OUTREACH. Part V: Line 4 USES FOR THE ENDOWMENT: THE UNIVERSITY'S ENDOWMENT CONSISTS PRIMARILY OF PERMANENT ENDOWMENT AND FUNDS FUNCTIONING AS ENDOWMENT. THE ENDOWMENT SUPPORTS ENDOWED CHAIRS FOR FACULTY, FINANCIAL AID FOR UNDERGRADUATE, GRADUATE AND PROFESSIONAL STUDENTS WITH THE MAJORITY FOR UNDERGRADUATE AID, AND VARIOUS INSTITUTIONAL PROGRAMS SUCH AS LIBRARY, MUSEUM AND ACADEMIC SUPPORT. PART VI: THE UNIVERSITY RECORDS INVESTMENT REAL ESTATE AS "INVESTMENTS" NOT LAND AND BUILDINGS. PART XI: Line 8: OTHER ADJUSTMENTS OF $28,262,731 INCLUDE THE NET SUBSIDIARY ADJUSTMENT FOR INCOME/EXPENSE OF $71,674,731; FMV ADJUSTMENT FOR SPLIT INTEREST AGREEMENTS OF $16,206,000 AND THE FMV ADJUSTMENT FOR DEBT (LOSS)SWAP AGREEMENTS OF $59,618,000. Part XII: Line 1. OPERATING REVENUES PER AUDITED FINANCIAL STATEMENTS WERE $2,938,115,000 AND NON OPERATING (NET) REVENUES WERE $490,602,000 FOR TOTAL REVENUES OF $3,428,717,000. Part XII: Line 2 d ADJUSTMENT OF $124,823,820 INCLUDES THE ADJUSTMENT FOR SUBSIDIARY REVENUES OF $108,617,820, AND $16,206,000 FOR THE UNREALIZED GAIN ON SPLIT INTERESTS. Part XII: Line 4 b ADJUSTMENT OF $59,618,000 IS THE A LOSS ON DEBT SWAPS. 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GENERALLY, THE SUB RECIPIENTS ARE FOREIGN UNIVERSITIES, FOREIGN GOVERNMENTS AND/OR NON-GOVERNMENTAL ORGANIZATIONS (NGO'S) OPERATING IN THE FOREIGN LOCATION. ONCE THE AWARD IS GRANTED, THE UNIVERSITY REVIEWS ALL INVOICES AND OTHER REQUIRED DOCUMENTATION FOR TIMELINESS, ACCURACY AND APPROPRIATENESS OF THE EXPENDITURES IN COMPLIANCE WITH THE AWARD DOCUMENTS. IF ANY ISSUES ARISE DURING THIS REVIEW, THEY ARE IMMEDIATELY ADDRESSED AND, IF DEEMED APPROPRIATE, REVIEWED IN CONJUNCTION WITH THE UNIVERSITY AUDIT OFFICE. 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CENTRALIA MO 65240 115709435 501(c)(3) 21200 RESEARCH GRANT WASHINGTON STATE UNIVERSITY OFFICE OF GRANT RESEARCH DEVELOPM NEILL HALL ROOM 423 PULLMAN WA 991643140 916001108 STATE OF WA 45759 RESEARCH GRANT WASHINGTON UNIVERSITY CAMPUS BOX 1034 700 ROSEDALE ST LOUIS MO 631121408 430653611 501(c)(3) 30151 RESEARCH GRANT WELLESLEY COLLEGE 106 CENTRAL STREET GRH139 WELLESLEY MA 02481 042103637 501(c)(3) 15381 RESEARCH GRANT WISCONSIN DEPARTMENT OF NATURAL RESOURCES PO BOX 7921 MADISON WI 537077921 396006436 STATE OF WI 12000 RESEARCH GRANT WOODS HOLE OCEANOGRAPHIC INST GRANT CONTRACT SERVICES BELL HOU WOODS HOLE MA 02543 042105850 501(c)(3) 6836 RESEARCH GRANT YALE UNIVERSITY 214 WHITNEY AVENUE ROOM 230 NEW HAVEN CT 065208337 060646973 501(c)(3) 157500 RESEARCH GRANT BETTER HOUSING FOR TOMPKINS COUNTY INC 950 DANBY ROAD ITHACA NY 14850 222378089 501(c)(3) 10000 COMMUNITY SUPPORT CAYUGA LAKE WATERSHED NETWORK 170 MAIN STREET ITHACA NY 14850 161556541 501(c)(3) 7500 COMMUNITY SUPPORT COMMUNITY ARTS PARTNERSHIP 171 E STATE ST STE 107 ITHACA NY 14850 161384455 501(c)(3) 7000 COMMUNITY SUPPORT COMMUNITY SCIENCE INSTITUTE 701 SPENCER ROAD ITHACA NY 14850 160910547 501(c)(3) 6700 COMMUNITY SUPPORT DAY CARE AND CHILD DEVELOPMENT COUNCIL 609 W CLINTON ST ITHACA NY 14850 160918618 501(c)(3) 41000 COMMUNITY SUPPORT DOWNTOWN ITHACA ALLIANCE 312 EAST SENECA ST ITHACA NY 14850 161521626 501(c)(3) 6300 COMMUNITY SUPPORT FAMILY AND CHILDRENS SERVICE OF ITHACA 127 W STATE ST Fl1 ITHACA NY 14850 150589039 501(c)(3) 27500 COMMUNITY SUPPORT HANGAR THEATRE PARTNERS IN EDUCATION 171 E STATE ST P536 ITHACA NY 14850 160902355 501(c)(3) 15000 COMMUNITY SUPPORT ITHACA NEIGHBORHOOD HOUSING SERVICES 115 WEST CLINTON ST ITHACA NY 14850 222141948 501(c)(3) 14000 COMMUNITY SUPPORT TOMPKINS COUNTY AREA DEVELOPMENT 200 E BUFFALO ST ITHACA NY 14850 166058339 501(c)(3) 31250 COMMUNITY SUPPORT TOMPKINS COUNTY CHAMBER OF COMMERCE 904 E SHORE ROAD ITHACA NY 14850 150348795 501(c)(3) 10137 COMMUNITY SUPPORT TOMPKINS COUNTY PUBLIC LIBRARY 101 E GREEN ST ITHACA NY 14850 161098211 501(c)(3) 10000 COMMUNITY SUPPORT UNITED WAY OF TOMPKINS COUNTY 313 N AURORA ST ITHACA NY 14850 150572883 501(c)(3) 8500 COMMUNITY SUPPORT LOCAL (ITHACA) GOVERNMENT AGENCIES VARIOUS ITHACA NY 14850 ITHACA GOVT 500396 COMMUNITY SUPPORT VARIOUS LOCAL CHARITIES 501(c)(3) 23910 COMMUNITY SUPPORT 166 15 FINANCIAL AID 4887 35907000 SCHEDULE I-1 THE UNIVERSITY REPORTS ALL GRANT RECIPIENTS INCLUDING SUB-GRANTEES OF WHICH IT IS AWARE. THIS INCLUDES SUB RECIPIENT AWARDS, PRIMARILY FOR RESEARCH, TO GOVERNMENT AGENCIES, ORGANIZATIONS EXEMPT UNDER 501(C)(3) AND FOR PROFIT ENTITIES FOR WHICH NO AUTHTORITY FOR EXEMTPION (E.G. 501 (C) (3)) IS PROVIDED.) X X X X X X true true X X X X false true false false false false false true false DAVID J SKORTON 656922 0 0 29921 0 73250 0 101857 0 861950 0 0 0 W KENT FUCHS 459750 26500 0 40134 0 24500 0 22055 0 572939 0 0 0 ANTONIO M GOTTO JR 383756 0 0 23300 0 954382 0 62672 0 1424110 0 0 0 JOANNE M DESTEFANO 246249 0 42118 0 33081 0 6919 0 328367 0 0 0 JAMES J MINGLE 365541 15640 0 44472 0 24000 0 16824 0 466477 0 0 0 JAMES H WALSH 421838 77438 0 15000 0 24500 0 18145 0 556921 0 0 0 DANIEL M KNOWLES MD 308016 0 0 744718 0 36660 0 24544 0 1113938 0 0 0 PAK H CHUNG MD 40175 0 0 1985734 0 26160 0 28599 0 2080668 0 0 0 ISAAC KLIGMAN MD 25726 0 0 1847000 0 36660 0 26317 0 1935703 0 0 0 ZEV ROSENWAKS MD 277886 0 0 3330559 0 36660 0 30055 0 3675160 0 0 0 PHILIP E STEIG MD 333578 0 0 2377688 0 36660 0 33898 0 2781824 0 0 0 STEVEN D SPANDORFER MD 22675 0 0 2755292 0 26160 0 33696 0 2837823 0 0 0 HUNTER RAWLINGS III 290400 0 0 11430 0 24500 0 13659 0 339989 0 0 0 STEPHEN T GOLDING 468944 14865 0 46024 0 41000 0 16991 0 587824 0 0 0 ROSEMARY JANE AVERY 132487 0 0 75140 0 28526 0 8119 0 244272 0 0 0 RONALD EHRENBERG 194493 0 0 78925 0 36255 0 10396 0 320069 0 0 0 LINE 1A PAYMENT OR REIMBURSEMENT OF THE EXPENSES DESCRIBED IN 1A ARE COVERED BY TRAVEL POLICIES OR EMPLOYMENT CONTRACTS ALTHOUGH THERE IS OCCASIONALLY UNIT DISCRETION. LINE 2B THE PRESIDENT AND PROVOST OF MEDICAL AFFAIRS AND DEAN OF THE MEDICAL COLLEGE PARTICIPATE IN BOARD AUTHORIZED DEFERRED COMPENSATION AGREEMENTS UNDER SEC. 457(F). THE AMOUNTS ARE INCLUDED IN THE TOTALS DISCLOSED ON SCHEDULE J, PART II, COLUMN C: DEFERRED COMPENSATION. LINE 7 BONUS PAYMENTS ARE PROVIDED TO INDIVIDUALS IN RECOGNITION OF ACCOMPLISHMENTS OF SPECIFIC GOALS OR OVERALL PERFORMANCE. ADDITIONAL INFORMATION ON BOARD OF DIRECTORS THE CORNELL BOARD OF TRUSTEES INCLUDES FACULTY, STAFF AND STUDENTS. FACULTY MEMBERS ELECT TWO MEMBERS; THE STUDENT BODY ELECTS TWO MEMBERS AND THE "EMPLOYEE ASSEMBLIES" ELECTS ONE MEMBER. FOR FISCAL YEAR 2010, THE FACULTY REPRESENTATIVES WERE ROSEMARY AVERY AND RONALD G. EHRENBERG; THE STUDENT REPRESENTATIVES WERE ASA J. CRAIG, MICHAEL J. WALSH AND THE STAFF REPRESENTATIVE WAS BETH MCKINNEY. CORNELL'S BOARD IS A VOLUNTEER BOARD; THE COMPENSATION REPORTED IN PART VII AND SCHEDULE J IS BASED ON PAYMENTS THE INDIVIDUALS OTHERWISE RECEIVE AS EMPLOYEES OF THE UNIVERSITY. DASNY (SERIES 1990B) 146000293 649905ZH2 2010-05-03 55997134 REFUND 1990B BONDS (12/19/1990) true true DASNY 2004 (SERIES 2004A AND SERIES 2004B) 146000293 64983trf2 2004-05-27 92100000 SEE SCHEDULE O false false DASNY (SERIES 2006A) 146000293 64983ql98 2006-05-11 258479025 SEE SCHEDULE O false false DASNY (SERIES 2008B and 2008C) 146000293 649905a97 2010-05-03 139688300 REFUNDED 2008 DASNY BONDS false false TOMPKINS COUNTY IDA (SERIES 2008A)(REISSUED) 161214039 890099eq3 2010-06-23 75307598 REFUNDED 2008 TCIDA BONDS false false 55997134 55997134 2010 true false true true 92663883 40805000 1482587 50376296 2006 true false true true 261813217 178717543 1698799 79584040 2008 true false true true 139688300 138918000 770300 2010 true false true true 75307598 74627166 520432 2010 true false true true 0.00000 0.00000 0.00000 false false false false true 0.00000 0.00000 0.00000 true false true true true true 0.00190 0.00190 true false false true false true 0.00000 0.00000 0.00000 true false true false true true 0.00010 0.00010 true false false false false false true false true true Morgan Stanley false false true false false false false false true false false false false false true false false false false false true SB ASHLEY MGM CO TRUSTEE OWNERSHIP INT 330781 FEE FOR REAL ESTATE MANAGEMENT false SB ASHLEY MGM CO TRUSTEE OWNERSHIP INT 6875 RENT RECEIVED BY CORNELL false MC PARTNERS TRUSTEE INVEST MGR 2818740 INVESTMENT MANAGEMENT FEE false HBK OFFSHORE FUND LTD TRUSTEE OWNERSHIP INT 9087383 INVESTMENT DIST false MERCK AND CO OFFICER CONSULTING 1082048 MEDICAL COLLEGE PURCHASE false P DESTEFANO SPOUSE OF OFFICER 75524 EMPLOYEE COMPENSATION false R DAVISSON SPOUSE OF OFFICER 176000 EMPLOYEE COMPENSATION false X 64 1028198 DONOR'S APPRAISAL X 872133 DONOR'S APPRAISAL X 446 15489460 SALES PRICE X COMPUTERS/OTHER EQUIP NOT CAPITALIZED 253 2811686 UNIVERSITY EST VALUE X OTHER EQUIP CAPITALIZED 37 709587 UNIVERSITY EST VALUE X HORSES 74 17074 UNIVERSITY EST VALUE 520 false true true PART I-LINE 9: THE UNIVERSITY IS REPORTING PUBLICLY TRADED SECURITIES ON SCHEDULE M AS REQUIRED. THE UNIVERSITY DOES NOT INCLUDE PUBLICLY TRADED SECURITIES IN ITS "GIFT IN KIND" REPORTING FOR OTHER PURPOSES BECUASE THEY ARE SOLD IMMEDIATELY UPON RECEIPT. PART I-LINE 1-28: THE NUMBER OF CONTRIBUTIONS REPORTED IS GENERALLY BASED ON THE NUMBER OF ITEMS RECEIVED. PART 1-LINE 29: THE ESTIMATED NUMBER OF FORMS 8283 IS BASED ON 520 DONORS WHO GIFTED PROPERTY WITH APPRAISALS. PART 1-LINE 32b. THE UNIVERSITY DOES NOT USE THIRD PARTIES TO SOLICIT NON CASH CONTRIBUTIONS BUT DOES USE THIRD PARTY BROKERS TO SELL SECURITIES AND, WHEN REQUIRED, REAL ESTATE. PAGE 1-PART I-LINE 3. (ADDITIONAL INFORMATION ON INDEPENDENT VOTING MEMBERS): BOARD MEMBERS WHO ARE OTHERWISE EMPLOYEES OR HAVE A BUSINESS RELATIONSHIP WITH THE UNIVERSITY THAT REQUIRES REPORTING ON SCHEDULE L ARE NOT DEEMED INDEPENDENT FOR PURPOSES OF 990 REPORTING. PAGE 1-PART I- LINE 5. (ADDITIONAL INFORMATION ON NUMBER OF EMPLOYEES): THE UNIVERSITY'S REGULAR WORKFORCE CONSISTS OF APPROXIMATELY 39,525 EMPLOYEES. WE REPORT EMPLOYEES ON THE 990 BASED ON THE NUMBER OF W-2'S ISSUED INCLUDING W-2'S FOR STUDENTS. PAGE 1-PART I- LINE 6. (ADDITIONAL INFORMATION ON NUMBER OF VOLUNTEERS): CORNELL'S OFFICE OF ALUMNI AFFAIRS AND DEVELOPMENT ESTIMATED THE NUMBER OF VOLUNTEERS. THE VOLUNTEER BASE IS EXTENSIVE BUT IS NOT FORMALLY TRACKED IN A DATABASE. PAGE 2-PART III, LINE 1 - ORGANIZATION'S MISSION THE UNIVERSITY'S MOST SIGNIFICANT ACTIVITIES ARE EDUCATION, RESEARCH, MEDICAL SERVICES AND OTHER PUBLIC SERVICES. THE UNIVERSITY SEEKS " ... TO DISCOVER, PRESERVE AND DISSEMINATE KNOWLEDGE; PRODUCE CREATIVE WORK; AND PROMOTE A CULTURE OF BROAD INQUIRY THROUGHOUT AND BEYOND THE CORNELL COMMUNITY. CORNELL ALSO AIMS, THROUGH PUBLIC SERVICE, TO ENHANCE THE LIVES AND LIVELIHOODS OF OUR STUDENTS, THE PEOPLE OF N.Y. AND OTHERS AROUND THE WORLD." CORNELL IS A PRIVATE, IVY LEAGUE UNIVERSITY. IN ADDITION TO ITS EDUCATION, RESEARCH AND OTHER MISSIONS, IT IS CHARGED WITH CARRYING OUT THE LAND GRANT MISSION FOR NEW YORK STATE. THE MISSION OF LAND GRANT COLLEGES AS SET FORTH IN THE MORRILL ACT OF 1862 IS TO FOCUS ON TEACHING OF AGRICULTURE, SCIENCE AND ENGINEERING. THIS MISSION WAS FURTHER ARTICULATED BY OTHER LEGISLATION TO INCLUDE OUTREACH MISSIONS THAT INCLUDED " ... SENDING AGENTS INTO RURAL AREAS TO HELP BRING THE RESULTS OF AGRICULTURAL RESEARCH TO END USERS." CORNELL FULFILLS ITS LAND GRANT MISSION BY PROVIDING EDUCATION, OUTREACH AND APPLIED RESEARCH TOUCHING EVERY ASPECT OF LIFE IN NEW YORK. PAGE 2-PART III - LINE 4A PROGRAM SERVICE THE UNIVERSITY IS INTERNATIONALLY RENOWNED FOR ITS UNDERGRADUATE, GRADUATE, PROFESSIONAL, POST-DOCTORAL AND CONTINUING EDUCATION PROGRAMS IN THE U.S. AND ABROAD. THE PRIMARY CAMPUSES ARE IN ITHACA, NY AND NEW YORK CITY (E.G., THE WEILL CORNELL MEDICAL COLLEGE). THERE IS A DEGREE GRANTING CAMPUS IN QATAR FOR THE EDUCATION AND TRAINING OF MEDICAL DOCTORS IN THE REGION. IN FISCAL YEAR 2010, THERE WERE 21,571 ENROLLED STUDENTS. THE FOLLOWING METRICS ON DEGREES GRANTED HIGHLIGHT THE UNIVERSITY'S ACCOMPLISHMENTS: BA (3,696); MA (1,996); PH.D.S (549); OTHER DOCTORAL DEGREES--J.D., M.D., D.V.M. (378). NOTE: TUITION REVENUES ARE REPORTED NET OF THE $280,300,000 OF FINANCIAL AID THE UNIVERSITY PROVIDES TO STUDENTS FOR TUITION AND MANDATORY FEES (I.E., THE SCHOLARSHIP ALLOWANCE). FINANCIAL AID GRANTS IN EXCESS OF THE SCHOLARSHIP ALLOWANCE WERE $35,907,000 FOR FISCAL YEAR 2010. THIS AMOUNT IS INCLUDED IN THE OVERALL GRANTS REPORTED IN PART III LINE 4A. PAGE 2-PART III-LINE 4D OTHER PROGRAM SERVICES OTHER PROGRAM SERVICES INCLUDE PUBLIC SERVICES AND OTHER MISSION RELATED ACTIVITIES SUCH AS ACADEMIC CONFERENCES, PUBLICATIONS, THE PROVISION OF LIVING SPACE AND SOCIAL SPACE FOR THE STUDENT BODY, ETC. THE REVENUES OF $633,748,000 INCLUDE $176,559,000 IN FEDERAL AND STATE APPROPRIATIONS TO SUPPORT THE LAND GRANT MISSION. PAGE 6-SECTION A-LINE 2. (ADDITIONAL INFORMATION ON RELATIONSHIPS): THE UNIVERSITY'S POLICIES ON STANDARDS OF ETHICAL CONDUCT AND CONFLICTS OF INTEREST AND ITS ANNUAL DISCLOSURE STATEMENTS ARE THE PRIMARY PROCEDURES THE UNIVERSITY RELIES ON FOR DISCLOSURE OF RELATIONSHIPS. PAGE 5-SECTION V- LINE 4B (FOREIGN COUNTRIES WHERE THE UNIVERSITY HAS BANK ACCOUNTS) AUSTRALIA ETHIOPIA FRANCE ITALY NEPAL QATAR UNITED KINGDOM PAGE 6-SECTION A-LINE 7A. (ADDITIONAL INFORMATION ON WHO MAY ELECT BOARD MEMBERS): BASED ON THE UNIVERSITY'S BY-LAWS, THE FACULTY ELECT TWO MEMBERS; EMPLOYEES OTHER THAN FACULTY ELECT ONE MEMBER; STUDENTS ELECT TWO MEMBERS AND ALUMNI ELECT EIGHT MEMBERS FOR STAGGERED TERMS OF FOUR YEARS EACH. EMPLOYEES OTHER THAN FACULTY ELECT ONE MEMBER; STUDENTS ELECT TWO MEMBERS AND ALUMNI ELECT EIGHT MEMBERS FOR STAGGERED TERMS OF FOUR YEARS EACH. PAGE 6-SECTION B-LINE 11A. (REQUIRED INFORMATION ON PROCESS FOR REVIEW OF 990): IN ADVANCE OF FILING, THE UNIVERSITY PRESENTS A DRAFT OF THE FORM 990 TO THE AUDIT COMMITTEE OF THE BOARD OF TRUSTEES AND ALSO MAKES A COPY AVAILABLE TO THE ENTIRE BOARD OF TRUSTEES ON THE BOARD'S SECURE WEB SITE. PAGE 6 SECTION B LINE 12C. (REQUIRED INFORMATION ON CONFLICT OF INTEREST POLICY): UNDER THE UNIVERSITY'S CONFLICT OF INTEREST POLICIES OFFICERS, DIRECTORS, AND KEY EMPLOYEES, AS WELL AS CERTAIN OTHER EMPLOYEES, MUST FILE AN ANNUAL CONFLICT OF INTEREST STATEMENT. ANY CONFLICT IDENTIFIED ON THE STATEMENT IS REPORTED TO THE APPROPRIATE OFFICE THAT IS RESPONSIBLE FOR MANAGING THE CONFLICT (E.G., THE REAL ESTATE OFFICE FOR REAL ESTATE MATTERS) TO HELP ENSURE AN ARMS-LENGTH TRANSACTION THAT IS SUBJECT TO REVIEW AND APPROPRIATE AUTHORIZATION. PAGE 6-SECTION B LINE 15A AND 15B. (REQUIRED INFORMATION ON COMPENSATION): THE UNIVERSITY HAS CLEAR PROCEDURES TO AUTHORIZE AND MANAGE COMPENSATION ISSUES. THE PROCEDURES IDENTIFIED BELOW APPLY TO A) ALL OFFICERS OF THE CORPORATION, B) ALL FORMER OFFICERS OF THE CORPORATION WHO CONTINUE TO PROVIDE SERVICES TO THE INSTITUTION AS A WHOLE, C) ALL EMPLOYEES WHO OCCUPY CERTAIN JOB TITLES SUCH AS DEAN AND VICE PRESIDENT, AND D) ALL EMPLOYEES WHOSE COMPENSATION EXCEEDS A PRE-ESTABLISHED THRESHOLD (CURRENTLY $245,000 A YEAR FOR THE ITHACA CAMPUS). IN ADDITION, THERE IS A CONTEMPORANEOUS WRITTEN RECORD OF THE PROCESS THAT PROVIDES A "REBUTTABLE PRESUMPTION" OF REASONABLENESS. * VICE PRESIDENT (VP) FOR THE DIVISION OF HUMAN RESOURCES (HR) DEVELOPS THE LIST OF INDIVIDUALS SUBJECT TO REVIEW; * VP HR OBTAINS COMPARATIVE DATA FROM EXTERNAL,INDEPENDENT COMPENSATION CONSULTING FIRMS; * VP HR AND HER INTERNAL STAFF DEVELOP A FORMAL PRESENTATION TO PRESENT TO THE COMPENSATION SUB-COMMITTEE OF THE EXECUTIVE COMMITTEE OF THE BOARD FOR ITS SPRING MEETING; * THE SUB-COMMITTEE OF THE BOARD REVIEWS, MODIFIES IF DEEMED APPROPRIATE, AND RECOMMENDS COMPENSATION FOR FINAL REVIEW AND APPROVAL TO THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES. * COMPENSATION PROPOSALS THAT OCCUR OUTSIDE THE SPRING TIMELINE AND REQUIRE EXECUTIVE COMMITTEE APPROVAL ARE PRESENTED FOR REVIEW AND APPROVAL IN PRIVATE SESSION TO THE EXECUTIVE COMMITTEE OF THE BOARD. NOTE: IF THERE IS A DISCRETIONARY COMPONENT FOR COMPENSATION, IT IS LIMITED BY AMOUNT OR PERCENTAGE OR OTHER CLEARLY SPECIFIED CRITERIA. AMOUNTS IN EXCESS OF THESE AUTHORIZED GUIDELINES REQUIRE REVIEW BY THE BOARD. PAGE 6-SECTION B LINE 16B. (ADDITIONAL INFORMATION ON "JOINT VENTURES"): THE UNIVERSITY HAS NUMEROUS CONTROLS TO HELP ENSURE THAT ANY INVESTMENT IN, CONTRIBUTION OF ASSETS TO OR PARTICIPATION IN A JOINT VENTURE OR SIMILAR ARRANGEMENT WITH A TAXABLE ENTITY, ARE IN FULL COMPLIANCE WITH ALL UNIVERSITY POLICIES, INCLUDING BUT NOT LIMITED TO THE POLICY ON TRANSACTION AUTHORITY AND UNRELATED BUSINESS INCOME. COMPLIANCE WITH THE UNIVERSITY'S POLICIES SERVES TO PROTECT THE ORGANIZATION'S EXEMPT STATUS. PAGE 6-SECTION C LINE 19. (REQUIRED INFORMATION ON MAKING INFORMATION AVAILABLE TO THE PUBLIC): THE UNIVERSITY'S CHARTER, BY-LAWS, POLICIES (INCLUDING BUT NOT LIMITED TO THE CONFLICT OF INTEREST POLICY) AND ITS AUDITED FINANCIAL STATEMENTS ARE AVAILABLE TO THE PUBLIC THROUGH THE UNIVERSITY'S WEB SITE: HTTP://WWW.CORNELL.EDU THE UNIVERSITY ALSO MAKES THESE DOCUMENTS AVAILABLE IF REQUESTED IN PERSON, BY PHONE OR MAIL. SCHEDULE E - EXPLANATION FOR LINE 3 THE UNIVERSITY WAS ORGANIZED IN THE 1860'S; NON-DISCRIMINATION BASED ON RELIGION IS INCLUDED IN ITS CHARTER. FROM ITS EARLIEST HISTORY, THE UNIVERSITY ADMITTED A DIVERSE STUDENT BODY IN TERMS OF RACE, GENDER, RELIGION, ETC. THE UNIVERSITY'S STATISTICS, WHETHER ABOUT ITS STUDENT POPULATION OR EMPLOYEE BASE, DEMONSTRATE THE STRONGEST COMMITMENT TO NON-DISCRIMINATION. SEE ADDITIONAL INFORMATION AT HTTP;//WWW.CORNELL.EDU/DIVERSITY/ SCHEDULE E - EXPLANATION FOR LINE 6A CORNELL RECEIVES ASSISTANCE FROM BOTH THE FEDERAL GOVERNMENT AND NEW YORK STATE. THE FEDERAL GOVERNMENT PROVIDES SUPPORT FOR LOANS, STUDENT EMPLOYMENT AND GRANTS: LOANS: W.D. FORD SUBSIDIZED AND UNSUBSIDIZED LOANS, PERKINS LOANS, DIRECT PLUS LOANS. EMPLOYMENT: FUNDS FOR FEDER WORK-STUDY. GRANTS: PELL GRANTS AND SUPPLEMENTAL EDUCATION OPPORTUNITY ASSISTANCE PROGRAM (TAP). SCHEDULE K, PART I, LINE B, COLUMN(F) CUSIP #64983TRF2 DESCRIPTION OF PURPOSE: REFUND 1998 COMMERCIAL PAPER ($40,805,000) AND FINANCED CAPITAL CONSTRUCTION PROJECTS FOR THE ITHACA AND WEILL CORNELL MEDICAL COLLEGE CAMPUSES. SCHEDULE K PART II - LINE 1 (COLUMNS A-B) CUSIP ## 649905ZH2; 64983TRF2 CUMULATIVE SINCE INCEPTION OF BONDS SCHEDULE K PART II - LINE 3 (COLUMNS A-B) CUSIP ## 649905ZH2; 64983TRF2- CUMULATIVE SINCE INCEPTION OF BONDS. THERE ARE NO FUNDS REMAINING IN REFUNDING OR DEFEASANCE ESCROWS AS OF JUNE 30, 2010. SCHEDULE K PART II - LINE 5 (COLUMN A) CUSIP #649905ZH2 - ISSUANCE COSTS PAID FROM UNIVERSITY EQUITY CONTRIBUTION. SCHEDULE K PART II - LINE 1 (COLUMN B) CUSIP # 64983TRF2 - ISSUE PRICE OF $92,100,000 PLUS INTEREST EARNED ON CONSTRUCTION FUND ACCT OF $563,883. SCHEDULE K PART III - LINE 3C (COLUMN B) CUSIP # 64983TRF2- (DOES ORG ROUTINELY ENGAGE BOND COUNSEL OR OTHER): CORNELL UNIVERSITY HAS AN INTERNAL COUNSEL'S OFFICE THAT IS RESPONSIBLE FOR REVIEWING MANAGEMENT CONTRACTS AND AN OFFICE OF SPONSORED PROGRAMS TO REVIEW RESEARCH AGREEMENTS. EXTERNAL COUNSEL OFFICE REVIEW IS CONDUCTED ON AN "AS NEEDED BASIS." SCHEDULE K PART IV - LINE 3B (COLUMN B) CUSIP # 64983TRF2- MORGAN STANLEY DERIVATIVE PRODUCTS INC. SCHEDULE K PART IV - LINE 3C (COLUMN B) CUSIP # 64983TRF2 - CORNELL PAYS FIXED RATE OF 3.51%; COUNTERPARTY PAYS 67% OF ONE MONTH LIBOR UNTIL SWAP EXPIRES ON 07/01/2033. SCHEDULE K PART I, LINE C, (COLUMN F) CUSIP # 64983QL98 - DESCRIPTION OF PURPOSE: REFUNDED 1996 BONDS ($63,717,543 DATE OF ISSUE 6/20/1996), REFUNDED TAXABLE COMMERCIAL PAPER ($40,000,000), REFUNDED TAX EXEMPT COMMERCIAL PAPER ($75,000,000) AND FINANCED CAPITAL CONSTRUCTION ON THE ITHACA AND WEILL CORNELL MEDICAL COLLEGE CAMPUS. SCHEDULE K PART I, LINE A, (COLUMN F) PART I, LINE A, (COLUMN F)- CUSIP # 649905DC7 - DESCRIPTION OF PURPOSE: REFUNDED 1998 TAX-EXEMPT COMMERCIAL PAPER ($150,000,000) AND FINANCED CAPITAL CONSTRUCTION PROJECTS FOR THE ITHACA AND WEILL CORNELL MEDICAL COLLEGE CAMPUSES. SCHEDULE K PART I, LINE B, (COLUMN F) CUSIP # 649905R99 - DESCRIPTION OF PURPOSE: FINANCED CONSTRUCTION OF MEDICAL RESEARCH BUILDING IN NEW YORK CITY;REFUNDED $50 MILLION OF TAXABLE COMMERCIAL PAPER AND FINANCED CAPITALIZED INTEREST COSTS. SCHEDULE K PART II, LINE 1, (COLUMN C) CUSIP # 64983QL98 - CUMULATIVE SINCE INCEPTION OF BONDS: ISSUE PRICE OF $258,479,025 PLUS INTEREST EARNED ON CONSTRUCTION FUNDS $3,334,192. SCHEDULE K PART II, LINE 3, (COLUMN C) CUSIP # 64983QL98 - CUMULATIVE SINCE INCEPTION OF BONDS. THERE ARE NO FUNDS REMAINING IN REFUNDING OR DEFEASANCE ESCROWS. SCHEDULE K PART II, LINE 5, (COLUMN C) CUSIP # 64983QL98 - ISSUANCE COSTS PAID FROM UNIVERSITY EQUITY CONTRIBUTION $1,812,835. SCHEDULE K PART II, LINE 1 (COLUMN D) CUSIP # 649905A97 - CUMULATIVE SINCE INCEPTION OF BONDS SCHEDULE K PART II, LINE 3 (COLUMN D) CUSIP # 649905A97 - CUMULATIVE SINCE INCEPTION OF BONDS. THERE ARE NO FUNDS REMAINING IN REFUNDING OR DEFEASANCE ESCROWS. BOND PROCEEDS NET OF UNIVERSITY EQUITY CONTRIBUTION FINANCED TERMINATION OF SWAP OF $8,980,000. PART II, LINE 1 (COLUMN E), CUSIP # 890099EQ3 - CUMULATIVE SINCE INCEPTION OF BONDS SCHEDULE K PART II, LINE 3 (COLUMN E) CUSIP # 890099EQ3 - CUMULATIVE SINCE INCEPTION OF BONDS. THERE ARE NO FUNDS REMAINING IN REFUNDING OR DEFEASANCE ESCROWS. BOND PROCEEDS AND NET OF UNIVERSITY EQUITY CONTRIBUTION FINANCED TERMINATION OF SWAP OF $5,350,000. SCHEDULE K PART II, LINE 5 (COLUMN E) CUSIP # 890099EQ3 - ISSUANCE COSTS PAID BY UNIVERSITY EQUITY $160,000. SCHEDULE K PART II, LINE 1 (COLUMN A) CUSIP # 649905DC7 - CUMULATIVE SINCE INCEPTION OF BONDS ISSUE PRICE OF $312,100,133 PLUS INTEREST EARNED ON CONSTRUCTION FUNDS OF $395,588. SCHEDULE K PART II, LINE 2 (COLUMN A) CUSIP # 649905DC7 - CUMULATIVE SINCE INCEPTION OF BONDS. CAPITALIZED INTEREST AT ISSUANCE: $16,444,611. AS OF JUNE 30, 2010 CAPITALIZED INTEREST REMAINING IN ESCROW $6,340,472. SCHEDULE K PART II, LINE 4 (COLUMN A) CUSIP # 649905DC7 - REMAINING BALANCE IN CONSTRUCTION FUND AS OF JUNE 30, 2010. SCHEDULE K PART II, LINE 1 (COLUMN B) CUSIP # 649905R99 - CUMULATIVE SINCE INCEPTION OF BONDS ISSUE PRICE OF $312,100,133 PLUS INTEREST EARNED ON CONSTRUCTION FUNDS OF $97. SCHEDULE K PART II, LINE 2 (COLUMN B) CUSIP # 649905R99 - CUMULATIVE SINCE INCEPTION OF BONDS. AS OF JUNE 30, 2010 CAPITALIZED INTEREST REMAINING IN ACCOUNT $29,047,867. FURTHER SCHEDULE K DISCLOSURE ***PART II, LINE 4 (COLUMN B)CUSIP # 649905R99 - REMAINING BALANCE IN CONSTRUCTION FUND AS OF JUNE 30, 2010. ***PART II, LINE 4 (COLUMN B), -CUSIP # 649905R99 - REMAINING BALANCE IN CONSTRUCTION FUND AS OF JUNE 30, 2010. ***PART III, LINE 3C (COLUMNS C,D,E (SCHED. K, PAGE1)) AND (A,B SCHED. K CONTINUANCE SHEET)-CUSIPS 64983QL98;# 649905A97;#890099EQ3; #649905DC7; #649905R99-(DOES ORG ROUTINELY ENGAGE BOND COUNSEL OR OTHER), CORNELL UNIVERSITY HAS INTERNAL COUNSEL'S OFFICE THAT IS RESPONSIBLE TO REVIEW MANAGEMENT CONTRACTS AND AN OFFICE OF SPONSORED PROGRAMS TO REVIEW RESEARCH AGREEMENTS. EXTERNAL COUNSEL OFFICE REVIEW IS ON AN "AS NEEDED BASIS." ***PART IV, LINES 6 (COLUMN B),- CUSIP # 649905R99 - AS OF JUNE 30, 2010, THE PROJECT WAS UNDER CONSTRUCTION AND EXPECTS TO QUALIFY FOR REBATE EXCEPTION. ***PART 1, LINE C, (COLUMN F) - CUSIP # 64983L, ISSUE DATE 5/15/2008 - DESCRIPTION OF PURPOSE: FINANCED CAPITAL CONSTRUCTION PROJECTS FOR THE ITHACA AND WEILL CORNELL MEDICAL COLLEGE CAMPUSES. ***PART 1, LINE C, (COLUMN G) - CUSIP # 64983L, ISSUE DATE 5/15/2008 - PARTIAL DEFEASENCE - $4,830,000 OF COMMERCIAL PAPER NOTES OUTSTANDING AS OF JUNE 30, 2010. ***PART 1, LINE D, (COLUMN F) CUSIP # 64983L, ISSUE DATE 10/3/2007- DESCRIPTION OF PURPOSE: FINANCED CAPITAL CONSTRUCTION PROJECTS FOR THE ITHACA AND WEILL CORNELL MEDICAL COLLEGE CAMPUSES. ***PART 1, LINE D, (COLUMN G)CUSIP # 64983L, ISSUE DATE 10/3/2007- PARTIAL DEFEASENCE - $1,325,000 OF COMMERCIAL PAPER NOTES OUTSTANDING AS OF JUNE 30, 2010. ***PART IV, LINE 3B (COLUMNS C&D) CUSIP # 64983L, ISSUE DATES 5/15/2008 AND 10/3/2007 MORGAN STANLEY DERIVATIVE PRODUCTS INC. ***PART IV, LINE 3C (COLUMNS C&D) CUSIP # 64983L, ISSUE DATES 5/15/2008 AND 10/3/2007 CORNELL PAYS FIXED RATE OF 2.99%; COUNTERPARTY PAYS 67% OF 1 MONTH LIBOR UNTIL 10/1/2012. COUNTERPARTY HAS THE OPTION TO EXTEND SWAP UNTIL 10/1/2015 CORNELL CENTER OF NEW YORK 6 EAST 44th ST NEW YORK NY 10017 161301416 SOCIAL CLUB NY 501(c)(7) MRSI MANAGEMENT INC WEILL CORNELL 425 E 61ST ST NEW YORK NY 10022 133366821 MEDICAL IMAGI NY 501(c)(3) 11d CORNELL REAL PROPERTY SERVICES INC 15 THORNWOOD ITHACA NY 14850 161450535 REAL ESTATE NY 501(c)(3) 11d CORNELL RESEARCH FOUNDATION INC CORNELL UNIV DAY HALL ITHACA NY 14850 166050703 INTELLECTUAL NY 501(c)(2) SAMUEL CURTIS JOHNSON FOUNDATION CORNELL UNIV SENECA PL ITHACA NY 14850 222572815 SUPPORT UNIV NY 501( c)(3) 11d CORNELL UNIVERSITY FOUNDATION CORNELL UNIV SENECA PL ITHACA NY 14850 228848738 SUPPORT UNIV NY 501( c)(3) 11d ROBERT J MIN MD PC 100 BROADWAY 8TH FLR NEW YORK NY 10005 133366820 MEDICAL IMAGI NY 501( c)(3) 9 ITHACA LP INVESTMENTS 26733733 TOWER INNOVATIVE LEARNING SOLUTIONS 950 DANBY ITHACA NY 14850 161593492 DIST. LEARNING NY NA C CORP 10395450 5515449 1.00000 CU TRANSIT INC 120 MAPLE AVE ITHACA NY 14850 161214738 TRANSPORTATION NY NA C CORP 0 0 1.00000 LENROC REAL ESTATE BROKERAGE INC 15 THORNWOOD ITHACA NY 14850 161450466 BROKERAGE NY NA C CORP 3972 0 1.00000 UNIVERSITY VETERINARY SPECIALISTS INC 800 CANAL ST STAMFORD CT 06902 272461725 VET MEDICINE CT NA C CORP 0 1423186 1.00000 true false false true false false false false false false false false true true false false false false CORNELL CENTER OF NEW YORK 1A 34692 CORNELL REAL PROPERTY SERVICES INC 1O 25000 CORNELL RESEARCH FOUNDATION INC 1A 1792363 CORNELL RESEARCH FOUNDATION INC 1M,N 10000 SAMUEL CURTIS JOHNSON FOUNDATION 1M,N 10000 CORNELL UNIVERSITY FOUNDATION 1M,N 10000 TOWER INNOVATIVE 1A 1329 LENROC REAL ESTATE BROKERAGE INC 1M,N 25000 UNIVERSITY VETERINARY SPECIALISTS INC 1D 1506000