2019-03-13T16:54:35-07:00 2018-04-30 990 2017-05-01 530196583 THE CATHOLIC UNIVERSITY OF AMERICA CATH 2023195606 620 Michigan Ave NE LEAHY HALL 162 Washington DC 20064 Robert Specter VP for Finance and Treasurer 2023195606 2019-03-13 72.83.100.50 2017 2019-02-21 02:37:17Z ROBERT M SPECTER 620 MICHIGAN AVE NE LEAHY HALL 260 WASHINGTON DC 20064 450781085 0 X www.cua.edu X 1887 DC THE CATHOLIC UNIVERSITY OF AMERICA IS THE NATIONAL UNIVERSITY OF THE CATHOLIC CHURCH IN THE UNITED STATES. (Continued on Schedule O) 38 36 4242 2300 1411853 0 31005397 57741069 269384717 276341291 11047295 25284444 1649587 3323495 313086996 362690299 85830285 90232425 0 0 138136914 144888466 164234 167365 6907504 87376019 83185875 311507452 318474131 1579544 44216168 638359951 751131638 148049126 211852997 490310825 539278641 X THE CATHOLIC UNIVERSITY OF AMERICA IS THE NATIONAL UNIVERSITY OF THE CATHOLIC CHURCH IN THE UNITED STATES. IT WAS FOUNDED AND SPONSORED BY THE BISHOPS OF THE COUNTRY WITH THE APPROVAL OF THE HOLY SEE. (Continued on Schedule O) 0 0 103081614 0 216050393 INSTRUCTION AND DEPARTMENTAL RESEARCH: THE CATHOLIC UNIVERSITY OF AMERICA IS AN INDEPENDENT CATHOLIC INSTITUTION OF HIGHER EDUCATION LOCATED IN WASHINGTON DC, OFFERING PROGRAMS OF STUDY LEADING TO BACHELORS', MASTERS', DOCTORATE, AND PROFESSIONAL DEGREES IN THE LIBERAL ARTS AND SCIENCES, RELIGIOUS STUDIES, AND SEVERAL PROFESSIONAL AREAS INCLUDING ENGINEERING, ARCHITECTURE, SOCIAL SERVICE, NURSING, MUSIC AND LAW. THE CURRENT ENROLLMENT OF THE UNIVERSITY IS APPROXIMATELY 6,023 OF WHICH 3,315 ARE UNDERGRADUATE AND 2,708 ARE GRADUATE STUDENTS (FALL 2017). THE UNIVERSITY OFFERS 49 DOCTORAL PROGRAMS, 88 MASTERS PROGRAMS AND 76 BACHELORS PROGRAMS. THE FACULTY CONSISTS OF 413 FULL-TIME AND 323 PART-TIME MEMBERS. OF THE FULL-TIME FACULTY 92% HOLD DOCTORAL OR PROFESSIONAL DEGREES. 90232425 90232425 0 SCHOLARSHIP PROGRAMS: FINANCIAL AID TO STUDENTS INCLUDES SCHOLARSHIPS, REMITTED TUITION AND STIPENDS FOR BOTH UNDERGRADUATE AND GRADUATE STUDY. 6,933 SCHOLARSHIPS WERE AWARDED DURING FISCAL YEAR 2018. GRANTS: THE UNIVERSITY MAKES OCCASIONAL CHARITABLE CONTRIBUTIONS TO PUBLIC CHARITIES. 61180070 0 27209536 OTHER PROGRAM SERVICES - SPONSORED RESEARCH: THE UNIVERSITY RECEIVED 323 SPONSORED RESEARCH AWARDS SPANNING ALL DISCIPLINES. LIBRARY PROGRAMS: THERE ARE OVER 1.6 MILLION VOLUMES IN THE GENERAL LIBRARY SYSTEM AND IN THE LAW LIBRARY. THE CATHOLIC UNIVERSITY OF AMERICA PRESS PUBLISHES ABOUT 35-40 BOOKS EACH YEAR IN THEOLOGY, PHILOSOPHY, LITERATURE, HISTORY AND POLITICAL THEORY. STUDENT SERVICES PROGRAM: A NUMBER OF OFFICES EXIST TO PROVIDE SERVICES TO STUDENTS, BOTH FOR ACADEMIC AND PERSONAL NEEDS. THESE OFFICES INCLUDE, AMONG OTHERS, THE ADMINISTRATION OFFICE, ENROLLMENT SERVICES, CAREER SERVICES, STUDENT ACTIVITIES, AND CAMPUS MINISTRY. INTERNATIONAL STUDY IS AVAILABLE IN AFRICA, ASIA, AUSTRALIA, CENTRAL AND SOUTH AMERICA, AND EUROPE. CAMPUS MINISTRY PROVIDES MANY OPPORTUNITIES FOR COMMUNITY SERVICE IN THE WASHINGTON D.C. AREA AND IN OTHER PARTS OF THE UNITED STATES AND ABROAD. 29513207 0 32275145 AUXILIARY SERVICES: UNIVERSITY DORMITORIES CONSIST OF 17 RESIDENCE HALLS WHICH PROVIDE LIVING QUARTERS FOR 1,893 STUDENTS. OCCUPANCY RATE AS OF FALL 2017 WAS 92.3%. THE UNIVERSITY ALSO PROVIDES RECREATIONAL FACILITIES, DINING SERVICES, PARKING, AND OTHER SELF-SUPPORTING FACULTY, STAFF AND STUDENT SERVICES. 29513207 0 32275145 284007316 1 1 0 0 0 0 0 1 0 1 1 1 0 0 1 1 0 1 1 1 1 0 0 1 1 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 1 0 0 1 9706 0 1 4242 1 1 1 1 IT 0 0 0 1 1 0 0 0 0 X 38 36 0 0 1 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 0 0 MA MD MI NH NY OR SC WI X ROBERT M SPECTER 2023195606 620 Michigan Ave NE Leahy Hall 260 Washington DC 20064 JOHN H GARVEY PRESIDENT 40 2.00 X X 553678 0 41538 ARCHBISHOP SAMUEL J AQUILA BOARD OF TRUSTEES 2 0 X 0 0 0 RICHARD D BANZIGER BOARD OF TRUSTEES EFF. 06/2017 2 0 X 0 0 0 LAWRENCE C BLANFORD BOARD OF TRUSTEES 2 0 X 0 0 0 LEE ANN JOINER BRADY BOARD OF TRUSTEES 2 0 X 0 0 0 BISHOP MICHAEL F BURBIDGE BOARD OF TRUSTEES 2 0 X 0 0 0 JOSEPH L CARLINI BOARD OF TRUSTEES, CHAIRMAN 2 0 X X 0 0 0 ARCHBISHOP CHARLES J CHAPUT BOARD OF TRUSTEES THROUGH 06/06/17 2 0 X 0 0 0 BISHOP OCTAVIO CISNEROS BOARD OF TRUSTEES THROUGH 06/04/17 2 0 X 0 0 0 WILLIAM E CONWAY BOARD OF TRUSTEES EFF. 06/2017 2 0 X 0 0 0 CARDINAL BLASE J CUPICH BOARD OF TRUSTEES 2 0 X 0 0 0 LEO A DALY III BOARD OF TRUSTEES THROUGH 06/06/17 2 0 X 0 0 0 CARDINAL DANIEL N DINARDO BOARD OF TRUSTEES 2 0 X 0 0 0 CARDINAL TIMOTHY M DOLAN BOARD OF TRUSTEES 2 0 X 0 0 0 SISTER JANET EISNER SND BOARD OF TRUSTEES 2 0 X 0 0 0 BISHOP DANIEL E FLORES BOARD OF TRUSTEES 2 0 X 0 0 0 ARCHBISHOP JOSE H GOMEZ BOARD OF TRUSTEES 2 0 X 0 0 0 ARCHBISHOP WILTON D GREGORY BOARD OF TRUSTEES 2 0 X 0 0 0 FRANK J HANNA III BOARD OF TRUSTEES 2 0 X 0 0 0 STEPHEN J KANEB BOARD OF TRUSTEES 2 0 X 0 0 0 ARCHBISHOP JOSEPH E KURTZ BOARD OF TRUSTEES 2 0 X 0 0 0 LEONARD A LEO BOARD OF TRUSTEES 2 0 X 0 0 0 ARCHBISHOP WILLIAM E LORI BOARD OF TRUSTEES 2 0 X 0 0 0 BISHOP PAUL S LOVERDE BOARD OF TRUSTEES THROUGH 06/06/17 2 0 X 0 0 0 BISHOP GREGORY J MANSOUR BOARD OF TRUSTEES THROUGH 06/06/17 2 0 X 0 0 0 WILLIAM P MCINEREY BOARD OF TRUSTEES EFF. 12/12/17 2 0 X 0 0 0 BISHOP ROBERT J MCMANUS BOARD OF TRUSTEES THROUGH 06/06/17 2 0 X 0 0 0 MICHAEL J MILLETTE BOARD OF TRUSTEES 2 0 X 0 0 0 JEFFREY R MORELAND BOARD OF TRUSTEES 2 0 X 0 0 0 JAMES MOYE BOARD OF TRUSTEES 2 0 X 0 0 0 MARK A MURRAY BOARD OF TRUSTEES 2 0 X 0 0 0 ANNE E O'DONNELL MD BOARD OF TRUSTEES 2 0 X 0 0 0 BISHOP THOMAS J OLMSTED BOARD OF TRUSTEES THROUGH 06/06/17 2 0 X 0 0 0 CARDINAL SEAN P O'MALLEY OFM CAP BOARD OF TRUSTEES 2 0 X 0 0 0 BISHOP JOSEPH A PEPE BOARD OF TRUSTEES THROUGH 06/06/17 2 0 X 0 0 0 E JEFFREY ROSSI ESQ BOARD OF TRUSTEES 2 0 X 0 0 0 MONSIGNOR WALTER R ROSSI BOARD OF TRUSTEES 2 0 X 0 0 0 CATHARINE MURRAY RYAN BOARD OF TRUSTEES 2 0 X 0 0 0 TIMOTHY C SHEVE BOARD OF TRUSTEES THROUGH 06/06/17 2 0 X 0 0 0 ENRIQUE SEGURA BOARD OF TRUSTEES 2 0 X 0 0 0 VICTOR P SMITH ESQ BOARD OF TRUSTEES 2 0 X 0 0 0 CARDINAL JOSEPH TOBIN BOARD OF TRUSTEES 2 0 X 0 0 0 BISHOP THOMAS J TOBIN BOARD OF TRUSTEES 2 0 X 0 0 0 MONSIGNOR PETER J VAGHI BOARD OF TRUSTEES 2 0 X 0 0 0 MICHAEL P WARSAW BOARD OF TRUSTEES 2 0 X 0 0 0 ARCHBISHOP THOMAS G WENSKI BOARD OF TRUSTEES THROUGH 06/06/17 2 0 X 0 0 0 CAROLYN Y WOO BOARD OF TRUSTEES THROUGH 06/06/17 2 0 X 0 0 0 CARDINAL DONALD W WUERL BOARD OF TRUSTEES, CHANCELLOR 2 0 X X 0 0 0 LAWRENCE J MORRIS CHIEF OF STAFF, BOARD SECRETARY 40 1 X X 238309 0 25896 ROBERT M SPECTER VP FOR FINANCE/TREASURER 40 2.00 X 388470 0 40541 ANDREW V ABELA PROVOST 40 2.00 X 415992 0 44811 CHRISTOPHER P LYDON VP FOR ENROLLMENT MGT & MKTG 40 1 X 263567 0 21512 SCOTT P REMBOLD VP INSTITUTIONAL ADVANCEMT 40 0 X 421590 0 45106 DAVID DOMINGUEZ DEAN SCHOOL OF ARTS AND SCIENCES 40 0 X 317812 0 44631 MICHAEL S ALLEN VP OF STUDENT AFFAIRS 40 0 X 264483 0 43850 DANIEL ATTRIDGE DEAN AND PROFESSOR OF LAW 40 0 X 289973 0 39650 WILLIAM BOWMAN DEAN SCHOOL OF BUSINESS 40 0 X 263788 0 28216 CHARLES C NGUYEN DEAN SCHOOL OF ENGINEERING 40 0 X 245979 0 42458 IAN L PEGG PHYSICS DIRECTOR VSL AND PROFESSOR 40 0 X 406501 0 35349 FRANK G PERSICO SPECIAL ASSISTANT TO THE PRESIDENT 40 0 X 397042 0 30330 JAMES F BRENNAN FORMER PROVOST RESIGNED 9/23/14 40 0 X 147867 0 21311 LAWRENCE R POOS FORMER DEAN ARTS/SCIENCE RESIGNED 9/1/14 40 0 X 122029 0 13335 VERYL V MILES FORMER DEAN OF LAW SCHOOL 40 0 X 167003 0 34069 4904083 0 552603 213 1 1 0 DELTAK EDU LLC 1415 WEST 22ND ST SUITE 400 OAK BROOK IL 60523 ONLINE COURSE MGMT 3466637 PATNER CONSTRUCTION INC 2860 STUART DRIVE FALLS CHURCH VA 22042 CONSTRUCTION 3009207 BALFOUR BEATTY CONSTRUCTION 1920 14th St NW WASHINGTON DC 20009 CONSTRUCTION SERVICES 1986017 BURDETTE KOEHLER MURPHY AND ASSOC INC 1416 CLARKVIEW ROAD BALTIMORE MD 21209 ENGINEERING SERVICES 1655306 STUDIOS ARCHITECTURE 1625 M STREET NW WASHINGTON DC 20036 ARCHITECTURE DESIGN 1030961 85 11073 0 775 0 0 57729221 5591637 57741069 TUITION AND FEES 611600 216050393 216050393 0 0 FEDERAL AND PRIVATE GRANTS 541700 25512052 25512052 0 0 HOUSING 721310 18858358 18858358 0 0 FOOD SERVICE 722210 12505482 12505482 0 0 BOOKSTORE 451211 339162 339162 0 0 3075844 1691072 1384772 0 276341291 2980021 0 27081 2952940 192634 0 0 192634 304879 0 0 304879 1535935 0 0 0 1535935 0 1535935 0 0 1535935 109883700 4338 87776249 0 22107451 4338 22111789 0 0 22111789 53479 775 38386 15093 0 15093 1171596 276151 895445 0 0 895445 NON ACADEMIC REGISTRATION FEES 900099 39912 39912 0 0 INTEREST INCOME-STUDENTS 900099 532231 532231 0 0 0 0 0 0 572143 362690299 275528662 1411853 28008715 37363 37363 90195062 90195062 3232657 503110 2016596 712951 115376051 100697499 11378991 3299561 7824814 6687976 906581 230257 11153171 11806470 -905667 252368 7301773 6162898 895491 243384 0 0 0 0 440824 271518 167686 1620 898409 31696 866713 0 167365 167365 828787 0 828787 0 21070228 18427777 2152745 489706 1507462 1367929 137058 2475 9469930 8057217 714201 698512 1100716 609533 405679 85504 544631 402316 142315 0 18283737 13193131 5090006 600 3538577 3230196 159032 149349 521475 383659 122090 15726 13532666 13532666 0 0 807158 0 807158 0 HONORARIA/EDITORIAL/FREELANCE SERVICES 2547952 2535292 12660 0 ENTERTAINMENT/CATERING/GUEST MEALS 3577366 2901518 122337 553511 STUDY ABROAD PROGRAM 909820 903320 6500 0 DOUBTFUL ACCOUNT EXPENSES 621821 40 621781 0 2984316 2069130 910571 4615 318474131 284007316 27559311 6907504 21033645 85449525 31895737 47201791 8023034 11057533 0 0 7454452 7454098 759464 651608 3880795 5443881 459059263 244980042 198140526 214079221 76482623 88050787 285682349 286899977 5007326 4843217 638359951 751131638 30664120 32027062 0 8194533 8023591 90792563 153086426 0 0 1233790 904499 0 17164120 17811419 148049126 211852997 X 284474880 288648553 105990947 132092846 99844998 118537242 490310825 539278641 638359951 751131638 44216168 4751648 0 0 0 0 X 0 1 X 1 1 1 X 22249386 23372349 33492311 31005397 57741069 167860512 0 0 0 0 0 0 0 0 22249386 23372349 33492311 31005397 57741069 167860512 7888945 159971567 3150367 3115472 3383864 3114698 5013469 17777870 0 0 0 0 1721500 1736891 1557370 1608809 1797218 8421788 194060170 1373502733 0.82434 0.80150 X Schedule A, Part II, Line 10 OTHER INCOME TOTAL OF 8,421,788 IS COMPRISED OF THE FOLLOWING: NONACADEMIC REGISTRATION FEES 259,516; INTEREST INCOME 2,762,382; GROSS INCOME FROM FUNDRAISING EVENTS 397,084; AND GROSS SALES OF INVENTORY 5,002,806. 0 0 X X X X 0 213881272 26934548 18584526 2907660 6660253 0 249832433 206792676 4271295 13990986 4799128 6374557 0 213881272 219809905 1990533 -3313413 8678878 2911895 103576 206792676 208252414 1888209 21510231 9330201 2398910 111838 219809905 193280048 2512774 23285429 8334383 2380521 110933 208252414 0.3622 0.4352 0.2026 0 0 0 23525227 23525227 0 318855512 167232787 151622725 0 5714169 1663337 4050832 0 49999735 38737796 11261939 0 60964620 37346122 23618498 214079221 MONEY MARKET FUNDS AND TEMP INVESTMENTS 9223231 F OTHER LEVEL 2 & 3 INVESTMENTS 217688598 F REAL ESTATE 34516600 F LIMITED PARTNERSHIP & PRIVATE EQUITY 22270783 F VENTURE CAPITAL 3200765 F 286899977 0 ASSET RETIREMENT OBLIGATIONS 9250066 REFUNDABLE ADVANCES FROM THE US GOV 6578868 SPLIT-INTEREST AGREEMENTS 1864882 AGENCY LIABILITY 117603 17811419 X 276129058 4751648 0 0 314537 5066185 271062873 828787 90798639 91627426 362690299 227161241 0 0 0 314537 314537 226846704 828787 90798640 91627427 318474131 Schedule D, Part III, Line 1 THE UNIVERSITY'S COLLECTIONS ARE HELD FOR PUBLIC EXHIBITION, EDUCATION AND RESEARCH IN FURTHERANCE OF THE UNIVERSITY'S EDUCATIONAL AND PUBLIC SERVICE MISSION. THESE COLLECTIONS, WHICH WERE ACQUIRED THROUGH PURCHASES AND CONTRIBUTIONS SINCE THE UNIVERSITY'S INCEPTION, ARE NOT RECOGNIZED AS ASSETS ON THE CONSOLIDATED STATEMENT OF FINANCIAL POSITION. PURCHASES OF COLLECTION ITEMS ARE RECORDED AS DECREASES IN UNRESTRICTED NET ASSETS IN THE YEAR IN WHICH THE ITEMS ARE ACQUIRED, OR AS TEMPORARILY OR PERMANENTLY RESTRICTED NET ASSETS IF THE ASSETS USED TO PURCHASE THE ITEMS ARE RESTRICTED BY DONORS. CONTRIBUTED COLLECTION ITEMS ARE NOT REFLECTED ON THE CONSOLIDATED FINANCIAL STATEMENTS. PROCEEDS FROM DEACCESSIONS OR INSURANCE RECOVERIES ARE REFLECTED AS INCREASES IN THE APPROPRIATE NET ASSET CLASSES. THERE WERE NO DEACCESSIONS DURING THE YEARS ENDED APRIL 30, 2018 AND 2017. Schedule D, Part III, Line 4 THE UNIVERSITY ARCHIVES MANAGES A LARGE MUSEUM COLLECTION, WHICH CONTAINS A RANGE OF ART, HISTORICAL PIECES AND OTHER SUCH ITEMS, CERTAIN PIECES, ALONG WITH RELEVANT COLLECTIONS OF FIELD NOTES FROM THE ARCHIVES, HAVE BEEN USED BY THE ANTHROPOLOGY DEPARTMENT TO SUPPLEMENT CLASS DISCUSSIONS. OUR FINE ARTS PIECES CONSIST OF PAINTINGS, ANTIQUE FURNITURE, ASIAN ARTS, AND SCULPTURES. STUDENTS FROM THE MEDIA STUDIES DEPARTMENT AND THE SCHOOL OF LIBRARY AND INFORMATION SCIENCES ROUTINELY VIEW OUR FINE ART COLLECTION TO GAIN FIRST HAND EXPERIENCE OF HOW FINE ART IS PRESERVED, MANAGED, AND USED. IN ADDITION TO BEING GIVEN REGULAR TOURS AND PRESENTATIONS ON OUR MUSEUM COLLECTIONS, STUDENTS ENCOUNTER PIECES FROM THE COLLECTION ON A DAILY BASIS BECAUSE THE BEST ITEMS ARE HUNG IN CLASSROOMS, OFFICES, AND IN PROMINENT HALLWAYS AND MEETING SPACES AROUND CAMPUS. IN ADDITION TO BOOKS AND MANUSCRIPTS, THE OLIVEIRA LIMA LIBRARY HAS EXTENSIVE HOLDINGS OF ART WORKS OF SIGNIFICANT VALUE FOR STUDY OF BRAZILIAN, PORTUGUESE, SPANISH AND LATIN AMERICAN HISTORY, ART HISTORY AND CULTURE FROM THE 16TH TO THE 20TH CENTURY. THE LIBRARY'S ART HAS BEEN LOANED FOR EXHIBITION IN THE U.S., PORTUGAL, AND BRAZIL AND ARE IN FREQUENT DEMAND FOR REPRODUCTION IN SCHOLARLY PUBLICATIONS. IN CONJUNCTION WITH THE EXTERNAL EXHIBITIONS AND LOANS IN WHICH THE LIBRARY PARTICIPATES, SIGNIFICANT PRESERVATION TREATMENT OF THE LOANED OBJECTS ARE FREQUENTLY OBTAINED AS A CONDITION OF THE LOAN AT THE BORROWER'S EXPENSE. Schedule D, Part V, Line 4 THE UNIVERSITY'S ENDOWMENT FUNDS ARE USED TO FUND SCHOLARSHIPS, FACULTY POSITIONS, LIBRARY SUPPORT AND OTHER EXPENSES THAT ARE IN ACCORDANCE WITH THE DONOR'S REQUESTS AND THE UNIVERSITY'S MISSION AS A COMPREHENSIVE CATHOLIC AND AMERICAN INSTITUTION OF HIGHER LEARNING. Schedule D, Part X, Line 2 THE UNIVERSITY FOLLOWS GUIDANCE THAT CLARIFIES THE ACCOUNTING FOR UNCERTAINTY IN TAX POSITIONS TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN, INCLUDING ISSUES RELATING TO FINANCIAL STATEMENT RECOGNITION AND MEASUREMENT. THIS GUIDANCE PROVIDES THAT THE TAX EFFECTS FROM AN UNCERTAIN TAX POSITION CAN ONLY BE RECOGNIZED IN THE FINANCIAL STATEMENTS IF THE POSITION IS "MORE-LIKELY-THAN-NOT" TO BE SUSTAINED IF THE POSITION WERE TO BE CHALLENGED BY A TAXING AUTHORITY. THE ASSESSMENT OF THE TAX POSITION IS BASED SOLELY ON THE TECHNICAL MERITS OF THE POSITION, WITHOUT REGARD TO THE LIKELIHOOD THAT THE TAX POSITION MAY BE CHALLENGED. THE UNIVERSITY HAS DETERMINED THAT THERE ARE NO MATERIAL UNCERTAIN TAX POSITIONS THAT REQUIRE RECOGNITION OR DISCLOSURE IN THE FINANCIAL STATEMENTS. Schedule D, Part XI, Line 2d COST OF GOODS SOLD $276,151 + GOLF OUTING EXPENSES $24,472 + SPIL AUCTION EXPENSES $13,914 Schedule D, Part XI, Line 4b GRANTS AND OTHER ASSISTANCE TO INDIVIDUALS $90,195,062 + UNITRUST PAYMENTS $42,593 + STUDENT LOAN PROGRAM COLLECTION FEES $8,831 + BOND DEFEASANCE COSTS $438,428 + LOSS ON DISPOSAL OF EQUIPMENT $112,395 + MISC EXPENSE $1,331 Schedule D, Part XII, Line 2d COST OF GOODS SOLD $276,151 + GOLF OUTING EXPENSES $24,472 + SPIL AUCTION EXPENSES $13,914 Schedule D, Part XII, Line 4b GRANTS AND OTHER ASSISTANCE TO INDIVIDUALS $90,195,062 + UNITRUST PAYMENTS $42,593 + STUDENT LOAN PROGRAM COLLECTION FEES $8,831 + BOND DEFEASANCE COSTS $438,428 + LOSS ON DISPOSAL OF EQUIPMENT $112,395 + MISC EXPENSE $1,331 1 1 1 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 Schedule E, Part I, Line 3 THE UNIVERSITY INCLUDES ITS RACIALLY NONDISCRIMINATORY POLICY IN THE ADMISSIONS VIEW-BOOK, STUDENT APPLICATION, THE INFORMATION PACKET PROVIDED TO STUDENTS AFTER ADMISSION, AND IN THE FINANCIAL AID GUIDE. Schedule E, Part I, Line 6 THE UNIVERSITY RECEIVES FEDERAL FINANCIAL AID FOR STUDENTS THROUGH ITS PARTICIPATION IN THE FOLLOWING PROGRAMS: FEDERAL WORK STUDY, PELL GRANTS, ACADEMIC COMPETITIVENESS GRANTS, PERKINS LOAN PROGRAM, FEDERAL DIRECT LENDING AND FEDERAL SUPPLEMENTAL EDUCATION OPPORTUNITY GRANTS (SEOG). Europe (including Iceland and Greenland) 0 0 Investments 397069 Europe (including Iceland and Greenland) 1 32 Program Services GLOBAL EDUCATION 2668142 Europe (including Iceland and Greenland) 0 0 Fundraising 60767 South America 0 0 Program Services GLOBAL EDUCATION 21500 Central America and the Caribbean 0 0 Program Services GLOBAL EDUCATION 21362 Central America and the Caribbean 0 0 Program Services STUDENT MISSION TRIP 40029 North America (including Canada and Mexico, but not the United States) 0 2 Program Services GLOBAL EDUCATION 76668 East Asia and the Pacific 0 0 Program Services GLOBAL EDUCATION 123062 1 34 3408599 1 0 1 1 0 0 Schedule F, Part I, Line 3 ALL EXPENDITURES REPORTED IN PART I, LINE 3 , COLUMN (F) ARE BASED ON THE METHOD USED TO ACCOUNT FOR THEM ON THE UNIVERSITY'S FINANCIAL STATEMENTS WHICH IS ACCRUAL. X X X X X X X 1 RUFFALO NOEL LEVITZ LLC 1025 KIRKWOOD PARKWAY SW CEDAR RAPIDS IA 52404 PHONE PROGRAM 0 133897 167365 -33468 133897 167365 -33468 AK AL CA CO CT DC FL GA HI IL KY LA MA MD ME MI MN MO MS NC ND NH NM NV NY OH OK OR PA RI SC TN UT VA WA WI WV Golf Outing 21885 775 21110 0 0 0 6110 11507 6855 SPIL Auction 32369 0 32369 0 0 0 3189 0 10725 0 54254 775 53479 0 0 0 9299 11507 17580 38386 15093 Schedule G, Part I, Line 2b RUFFALO NOEL LEVITZ - THE UNIVERSITY PAYS BOTH FEES AND EXPENSES TO THIS SERVICE PROVIDER. THE FEES ARE PAID ON A RATE PER HOUR BASIS, WITH DETAIL PROVIDED ON THE TASKS PERFORMED. THE SERVICE PROVIDER PROVIDES A BASIC DESCRIPTION OF ANY OUT-OF-POCKET EXPENSES BILLED. TOTAL FEES: $167,365; EXPENSE REIMBURSEMENTS: $15,382. 1 VIRGINIA INDIGENT DEFENSE COMMISSION 1604 SANTA ROSA ROAD RICHMOND VA 23229 540926544 9000 0 MOFFITT MEMORIAL FELLOWSHIP 1 0 UNIVERSITY-SPONSORED SCHOLARSHIPS 4862 74621712 0 DONOR-SPONSORED SCHOLARSHIPS 411 3100560 0 UNIVERSITY-SPONSORED NEED BASED GRANTS 1114 9911911 0 FEDERAL AND STATE GRANTS 546 2560879 0 Schedule I, Part I, Line 2 ALL SCHOLARSHIPS ARE OFFERED BASED ON MANUAL AND/OR ELECTRONIC VERIFICATION OF ELIGIBILITY CRITERIA. THE SYSTEM DISBURSEMENT OF THE SCHOLARSHIPS TO THE STUDENT'S ACCOUNT OCCURS ONLY AFTER GLOBAL AND ITEM SPECIFIC DISBURSEMENT ELIGIBILITY RULES ARE MET. UPON DISBURSEMENT, PAYMENT ALLOCATION RULES IN THE SYSTEM ALLOCATE THE SCHOLARSHIPS TO APPROPRIATE PREDEFINED CHARGES. AFTERWARDS DISBURSEMENT AUDITS ARE COMPLETED AT VARIOUS TIME INTERVALS TO DETERMINE CONTINUED ELIGIBILITY. X X X 1 1 X X X 0 0 0 0 0 0 0 1 0 JOHN H GARVEY PRESIDENT 506820 0 40000 0 6858 0 27000 0 14538 0 595216 0 0 0 ANDREW V ABELA PROVOST 415023 0 0 0 969 0 27000 0 17810 0 460802 0 0 0 ROBERT M SPECTER VP FOR FINANCE/TREASURER 386685 0 0 0 1785 0 27000 0 13541 0 429011 0 0 0 FRANK G PERSICO SPECIAL ASSISTANT TO THE PRESIDENT 349456 0 43000 0 4586 0 27000 0 3330 0 427372 0 0 0 CHRISTOPHER P LYDON VP FOR ENROLLMENT MGT & MKTG 262504 0 0 0 1063 0 19182 0 2329 0 285078 0 0 0 SCOTT P REMBOLD VP INSTITUTIONAL ADVANCEMT 373815 0 46875 0 900 0 27000 0 18106 0 466696 0 0 0 MICHAEL S ALLEN VP OF STUDENT AFFAIRS 264504 0 0 0 400 0 27000 0 16850 0 308754 0 0 0 DANIEL ATTRIDGE DEAN AND PROFESSOR OF LAW 287993 0 0 0 1980 0 27000 0 12650 0 329623 0 0 0 DAVID DOMINGUEZ DEAN SCHOOL OF ARTS AND SCIENCES 317317 0 0 0 495 0 27000 0 17631 0 362443 0 0 0 IAN L PEGG PHYSICS DIRECTOR VSL AND PROFESSOR 403683 0 0 0 2818 0 27000 0 8349 0 441850 0 0 0 CHARLES C NGUYEN DEAN SCHOOL OF ENGINEERING 244471 0 0 0 1508 0 25497 0 16961 0 288437 0 0 0 LAWRENCE J MORRIS CHIEF OF STAFF, BOARD SECRETARY 236821 0 0 0 1488 0 23731 0 2165 0 264205 0 0 0 WILLIAM BOWMAN DEAN SCHOOL OF BUSINESS 260481 0 0 0 3307 0 15575 0 12641 0 292004 0 0 0 JAMES F BRENNAN FORMER PROVOST RESIGNED 9/23/14 146693 0 0 0 1174 0 17668 0 16400 0 181935 0 0 0 LAWRENCE R POOS FORMER DEAN ARTS/SCIENCE RESIGNED 9/1/14 121485 0 0 0 544 0 12149 0 1187 0 135365 0 0 0 VERYL V MILES FORMER DEAN OF LAW SCHOOL 165992 0 0 0 1011 0 17668 0 16400 0 201071 0 0 0 Schedule J, Part I, Line 1a TRAVEL AT ONE CLASS ABOVE COACH CLASS IS OCCASIONALLY USED, PRIMARILY FOR INTERNATIONAL TRAVEL, AND THE CLASS IS USUALLY BUSINESS CLASS. BUSINESS/FIRST CLASS AIR TRAVEL WAS PROVIDED TO THE PRESIDENT FOR CERTAIN INTERNATIONAL TRAVEL. THE UNIVERSITY PROVIDED A HOUSE FOR THE PRESIDENT WHICH IS A WORKING CONDITION FRINGE BENEFIT SINCE HIS CONTRACT REQUIRES HIM TO RESIDE IN THE HOUSE ON THE UNIVERSITY CAMPUS. TAX INDEMNIFICATION OR GROSS-UP PAYMENTS ARE ONLY MADE FOR OCCASIONAL BONUS PAYMENTS AND REQUIRE APPROVAL BY THE PRESIDENT. THESE PAYMENTS ARE MADE IN ACCORDANCE GENERAL UNIVERSITY COMPENSATION POLICIES. Schedule J, Part I, Line 7 NON-FIXED PAYMENTS WERE MADE TO THE PRESIDENT AND VP OF INSTITUTIONAL ADVANCEMENT. THESE BONUS PAYMENTS WERE BASED ON SATISFACTION OF PERFORMANCE TARGETS. THE PRESIDENT'S BONUS IS DETERMINED BY THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES. THE BONUS OF THE VP OF INSTITUTIONAL ADVANCEMENT IS APPROVED BY THE PRESIDENT. A SERIES OF DISTRICT OF COLUMBIA 2010 REVENUE BONDS 536001131 25483VAT1 2010-08-12 39061164 PARTIAL REFUNDING OF SERIES 1999 BOND; REFINANCING OF 2004 TAXABLE REVENUE BONDS 0 0 0 B DISTRICT OF COLUMBIA REFUNDING REVENUE BOND SERIES 2015 536001131 000000000 2015-12-09 35065000 PARTIAL REFUNDING OF SERIES 2007 BOND 0 0 0 C DISTRICT OF COLUMBIA REFUNDING REVENUE BOND SERIES 2017 536001131 000000000 2017-03-31 27555000 PARTIAL REFUNDING OF 2007 SERIES BOND 0 0 0 D DISTRICT OF COLUMBIA BOND SERIES 2017B 536001131 25483VSL9 2017-11-30 66227033 CAPITAL CONSTRUCTION AND RENOVATION 0 0 0 A 14100000 16725000 39061164 0 0 0 539585 0 0 0 38521579 0 2010 1 0 1 1 B 525000 0 35065000 0 0 0 682220 0 0 0 35883169 0 2009 0 1 1 1 C 2685000 0 27555000 0 0 0 440041 0 0 0 27114959 0 2009 1 0 1 1 D 0 0 66417811 0 0 0 957394 0 0 4848084 0 60612333 0 0 0 1 A 0 0 0 0 0 0 0 0 0 1 B 0 0 0 0 0 0 0 0 0 1 C 0 0 0 0 0 0 0 0 0 1 D 0 0 0 0 0 0 0 0 0 1 A 0 0 1 0 0 0 0 0 1 B 0 1 0 0 0 0 0 0 1 C 0 0 1 0 0 0 0 0 1 D 0 0 1 0 0 0 0 0 1 A 1 B 1 C 1 D 1 Schedule K, Part II, Line 3-11/30/2017 66,227,033 DISTRICT OF COLUMBIA THE AMOUNT REFLECTED IN LINE 3, TOTAL PROCEEDS OF ISSUE INCLUDES INVESTMENT EARNINGS OF $190,778. A DISTRICT OF COLUMBIA REFUNDING REVENUE BOND SERIES 2017C 536001131 000000000 2017-11-30 17335000 PARTIAL REFUNDING OF 2010 SERIES BOND 0 0 0 A 0 0 17335000 0 0 17688372 253166 0 0 0 394825 0 2010 0 1 1 1 A 0 0 0 0 0 0 0 0 0 1 A 0 0 1 0 0 0 0 0 1 A 1 X 79 5573875 MARKET VALUE X EVENT DONATIONS 4 17762 COST 0 0 1 0 Schedule M, Part I THE AMOUNTS IN THIS COLUMN IDENTIFY THE NUMBER OF CONTRIBUTIONS MADE FOR EACH CATEGORY OF NON-CASH CONTRIBUTIONS. Form 990, Part I, Line 1 IT WAS FOUNDED AND SPONSORED BY THE BISHOPS OF THE COUNTRY WITH THE APPROVAL OF THE HOLY SEE. THE CATHOLIC UNIVERSITY OF AMERICA IS COMMITTED TO BEING A COMPREHENSIVE CATHOLIC AND AMERICAN INDEPENDENT INSTITUTION OF HIGHER EDUCATION LOCATED IN WASHINGTON, DC, OFFERING PROGRAMS OF STUDY LEADING TO BACHELORS', MASTERS', DOCTORATE AND PROFESSIONAL DEGREES IN THE LIBERAL ARTS AND SCIENCES , RELIGIOUS STUDIES AND SEVERAL PROFESSIONAL AREAS INCLUDING ENGINEERING, ARCHITECTURE, SOCIAL SERVICE, NURSING, MUSIC AND LAW. THE CURRENT ENROLLMENT OF THE UNIVERSITY IS APPROXIMATELY 6,023, OF WHICH 3,315 ARE UNDERGRADUATE. Form 990, Part III, Line 1 THE CATHOLIC UNIVERSITY OF AMERICA IS COMMITTED TO BEING A COMPREHENSIVE CATHOLIC AND AMERICAN INDEPENDENT INSTITUTION OF HIGHER EDUCATION LOCATED IN WASHINGTON, DC, OFFERING PROGRAMS OF STUDY LEADING TO BACHELORS', MASTERS', DOCTORATE AND PROFESSIONAL DEGREES IN THE LIBERAL ARTS AND SCIENCES , RELIGIOUS STUDIES AND SEVERAL PROFESSIONAL AREAS INCLUDING ENGINEERING, ARCHITECTURE, SOCIAL SERVICE, NURSING, MUSIC AND LAW. THE CURRENT ENROLLMENT OF THE UNIVERSITY IS APPROXIMATELY 6,023, OF WHICH 3,315 ARE UNDERGRADUATE. Form 990, Part VI, Section A, Line 4 THE UNIVERSITY'S ARTICLES OF INCORPORATION AND BYLAWS WERE AMENDED, RESTATED AND REPLACED ON DECEMBER 13, 2016 AND APPROVED FOR IMPLEMENTATION BY THE VATICAN IN MAY 2017. THE AMENDMENTS REVISE THE UNIVERSITY'S GOVERNANCE STRUCTURE TO PROVIDE THAT RESPONSIBILITY FOR OVERSIGHT AND GOVERNANCE OF THE OPERATIONS OF THE UNIVERSITY RESIDES IN THE FIRST INSTANCE IN THE UNIVERSITY'S BOARD OF TRUSTEES. THE REVISED STRUCTURE PRESERVES A COMBINATION OF CLERICAL AND LAY TRUSTEES AND CREATES A BODY OF FELLOWS, WITHIN THE BOARD, WHO SHALL HAVE CERTAIN RESERVED POWERS DESIGNED TO PRESERVE THE ECCLESIAL PATRIMONY OF THE UNIVERSITY. THE RESTATED BYLAWS REVISE THE COMPOSITION OF THE BOARD OF TRUSTEES PROVIDING THAT THE UNIVERSITY'S BOARD OF TRUSTEES SHALL NOW CONSIST OF THREE CLASSES: THE FELLOW TRUSTEES, THE BISHOP TRUSTEES, AND THE APPOINTED TRUSTEES. THE FELLOWS ARE TO INCLUDE REPRESENTATIVES OF FOUR GROUPS: CARDINAL FELLOWS, BISHOP FELLOWS, EX OFFICIO FELLOWS AND APPOINTED FELLOWS. THE BYLAWS STIPULATE THAT THE FELLOWS HAVE CERTAIN RETAINED POWERS, WHICH INCLUDE AMENDING THE ARTICLES OF INCORPORATION, THE BYLAWS, AND THE CANONICAL STATUTES OF THE UNIVERSITY UPON A TWO-THIRDS VOTE OF THE FELLOWS THEN SERVING. THE BOARD OF TRUSTEES SHALL RECOMMEND AND THE FELLOWS SHALL APPOINT THE PRESIDENT. AT ALL TIMES NO FEWER THAN 90 PERCENT OF THE APPOINTED TRUSTEES OF THE UNIVERSITY SHALL BE MEMBERS OF THE ROMAN CATHOLIC CHURCH. THESE TRUSTEES WILL BE APPOINTED BY THE FELLOWS. THE TRUSTEESHIP COMMITTEE RECOMMENDS TO THE FELLOWS THE NAMES OF INDIVIDUALS FOR DESIGNATION OF APPOINTED FELLOWS OR APPOINTED TRUSTEES OF THE UNIVERSITY. THE MAXIMUM NUMBER OF TRUSTEES HAS BEEN REDUCED TO FORTY (40) AS COMPARED TO FIFTY (50) PREVIOUSLY AND THE MAXIMUM TERM FOR A TRUSTEE HAS BEEN REDUCED TO THREE (3) YEARS AS COMPARED TO FOUR (4) YEARS PREVIOUSLY. A PROVISION PROHIBITING COMPENSATION FOR SERVICES AS A TRUSTEE HAS BEEN INCORPORATED. THE DUTIES AND RESPONSIBILITIES OF THE OFFICERS OF THE UNIVERSITY ARE EXPANDED UPON AND CLARIFIED. THE BYLAWS IDENTIFY AND DEFINE THE ROLES OF FOUR NEW COMMITTEES OF THE BOARD OF TRUSTEES INCLUDING AN ACADEMIC AFFAIRS COMMITTEE, ADVANCEMENT COMMITTEE, SEMINARY COMMITTEE AND STUDENT AFFAIRS COMMITTEE. FINALLY, THE APPLICATION OF CANON LAW OF THE ROMAN CATHOLIC CHURCH TO THE UNIVERSITY IS CLARIFIED. Form 990, Part VI, Section B, Line 11b THE FORM 990 WAS SENT TO THE FULL BOARD OF TRUSTEES WITH AN OPPORTUNITY TO ASK MANAGEMENT QUESTIONS REGARDING THE FORM. THE AUDIT COMMITTEE REVIEWED THE DETAILS OF THE FORM 990 WITH MANAGEMENT IN A COMMITTEE MEETING. Form 990, Part VI, Section B, Line 12c THE UNIVERSITY'S VICE PRESIDENT AND CHIEF OF STAFF, AS SECRETARY OF THE BOARD OF TRUSTEES, REVIEWS THE CONFLICT OF INTEREST STATEMENTS SUBMITTED BY THE TRUSTEES IN COORDINATION WITH THE COMPLIANCE OFFICER AND THE GENERAL COUNSEL TO DETERMINE WHETHER ANY MATERIAL FINANCIAL INTERESTS HAVE BEEN DISCLOSED. ANY SUCH INTERESTS ARE INVESTIGATED BY THE AUDIT COMMITTEE AND THEN BY THE FULL BOARD OF TRUSTEES, IF THE AUDIT COMMITTEE BELIEVES THERE IS A CONFLICT OF INTEREST. IF THE FULL BOARD OF TRUSTEES DETERMINES THAT A FINANCIAL INTEREST IS A CONFLICT OF INTEREST AND A UNIVERSITY TRANSACTION OR AGREEMENT ARISES INVOLVING THAT FINANCIAL INTEREST, THE BOARD MAY PERMIT THE INTERESTED TRUSTEE TO MAKE A PRESENTATION REGARDING THE MATTER, BUT THE INTERESTED TRUSTEE SHALL BE REQUIRED TO LEAVE THE MEETING PRIOR TO THE DISCUSSION OF, AND THE VOTE ON THE PROPOSED TRANSACTION OR ARRANGEMENT. FACULTY AND STAFF CONFLICT OF INTEREST STATEMENTS ARE REVIEWED BY THE COMPLIANCE OFFICER IN COORDINATION WITH THE VICE PRESIDENT FOR FINANCE AND TREASURER. THEY ENSURE THAT ALL FORMS HAVE BEEN SUBMITTED, REVIEW ANY CONFLICTS DISCLOSED, DISCUSS THEM WITH THE INDIVIDUAL AND COGNIZANT SUPERVISOR AS NEEDED, AND DETERMINE AND IMPLEMENT PROPER MANAGEMENT ACTION. Form 990, Part VI, Section B, Line 15 THE PRESIDENT'S COMPENSATION IS APPROVED BY THE EXECUTIVE COMMITTEE OF THE BOARD OF TRUSTEES, BASED UPON DATA FROM COMPARABLE INSTITUTIONS. OTHER OFFICER AND KEY EMPLOYEE COMPENSATION IS APPROVED BY THE PRESIDENT BASED UPON PERFORMANCE. Form 990, Part VI, Section C, Line 19 THE UNIVERSITY'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND CONSOLIDATED AUDITED FINANCIAL STATEMENTS ARE POSTED ON THE UNIVERSITY'S WEBSITE. THE CATHOLIC UNIVERSITY OF AMERICA FOUNDATION 620 MICHIGAN AVE NE WASHINGTON DC 20064 521284733 SUPPORT UNIV PROGRAMS DC 501(C)(3) 12 TYPE I CATHOLIC UNIVERSITY 1 ALBERT E FARONE & ANGELA T FARONE FOUNDATION 620 MICHIGAN AVE NE WASHINGTON DC 20064 160911612 TO PROVIDE SCHOLARSHIPS NY 501(C)(3) 12 TYPE I CATHOLIC UNIVERSITY 1 WASHINGTON RESEARCH LIBRARY CONSORTIUM 901 COMMERCE DRIVE UPPER MARLBORO MD 20774 RESEARCH RESOURCES MD 501 (C)(3) 12 TYPE I N/A 0 CHARITABLE REMAINDER TRUSTS (1) SPLIT INTEREST AGREEMENT NEW YORK NY 10001 SPLIT INTEREST AGREEMENT NY N/A T 0 CHARITABLE REMAINDER TRUST (1) SPLIT INTEREST AGREEMENT WASHINGTON DC 20001 SPLIT INTEREST AGREEMENT DC N/A T 0 CHARITABLE REMAINDER TRUST (1) SPLIT INTEREST AGREEMENT FAIRFAX VA 22030 SPLIT INTEREST AGREEMENT VA N/A T 0 CHARITABLE REMAINDER TRUST (2) SPLIT INTEREST AGREEMENT BETHESDA MD 20810 SPLIT INTEREST AGREEMENT MD CATHOLIC UNIVERSITY T 1 CHARITABLE REMAINDER TRUST (3) SPLIT INTEREST AGREEMENT WASHINGTON DC 20001 SPLIT INTEREST AGREEMENT DC CATHOLIC UNIVERSITY T 1 CHARITABLE PERPETUAL TRUST (1) SPLIT INTEREST AGREEMENT BALTIMORE MD 21201 SPLIT INTEREST AGREEMENT MD N/A T 0 CHARITABLE PERPETUAL TRUST (2) SPLIT INTEREST AGREEMENT DAYTON OH 45402 SPLIT INTEREST AGREEMENT OH N/A T 0 CHARITABLE PERPETUAL TRUST (1) SPLIT INTEREST AGREEMENT GREENVILLE SC 29601 SPLIT INTEREST AGREEMENT SC N/A T 0 0 0 1 0 0 0 0 0 0 0 0 1 1 1 1 0 1 0 0 ALBERT E FARONE & ANGELA T FARONE FOUNDATION c 794900 SCHOLARSHIPS AWARDED TO UNIVERSITY STUDENTS ALBERT E FARONE & ANGELA T FARONE FOUNDATION q 658280 REIMBURSEMENT FOR PAYMENT OF EXPENSE