2018-03-15T15:10:40-07:00 2017-04-30 990 2016-05-01 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 2018-03-15 136.242.220.121 2016 2021-01-29 14:40:06Z ROBERT M SPECTER 620 MICHIGAN AVE NE LEAHY HALL 260 WASHINGTON DC 20064 389830574 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) 46 45 4356 2300 1326021 0 33492311 31005397 276129006 269384717 10491329 11047295 1616814 1649587 321729460 313086996 84367791 85830285 0 0 133668038 138136914 204341 164234 6567065 89672971 87376019 307913141 311507452 13816319 1579544 605134994 638359951 146519837 148049126 458615157 490310825 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 99763775 0 208707289 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, SEVERAL PROFESSIONAL AREAS INCLUDING ENGINEERING, ARCHITECTURE, SOCIAL SERVICE, NURSING, MUSIC AND LAW. THE CURRENT ENROLLMENT OF THE UNIVERSITY IS APPROXIMATELY 6,076 OF WHICH 3,241 ARE UNDERGRADUATE AND 2,835 ARE GRADUATE STUDENTS (FALL 2016). THE UNIVERSITY OFFERS 40 DOCTORAL PROGRAMS, 94 MASTERS PROGRAMS AND 74 BACHELORS PROGRAMS. THE FACULTY CONSISTS OF 399 FULL-TIME AND 367 PART-TIME MEMBERS. OF THE FULL-TIME FACULTY 94% HOLD DOCTORAL OR PROFESSIONAL DEGREES. 85830285 85830285 0 SCHOLARSHIP PROGRAMS: FINANCIAL AID TO STUDENTS INCLUDES SCHOLARSHIPS, REMITTED TUITION AND STIPENDS FOR BOTH UNDERGRADUATE AND GRADUATE STUDY. 6961 SCHOLARSHIPS WERE AWARDED DURING FISCAL YEAR 2017. 60642868 0 29932181 OTHER PROGRAM SERVICES - SPONSORED RESEARCH: THE UNIVERSITY RECEIVED 185 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. 28082409 0 31299198 AUXILIARY SERVICES: UNIVERSITY DORMITORIES CONSIST OF 17 RESIDENCE HALLS WHICH PROVIDE LIVING QUARTERS FOR 1,885 STUDENTS. OCCUPANCY RATE AS OF FALL 2016 WAS 92.4%. THE UNIVERSITY ALSO PROVIDES RECREATIONAL FACILITIES, DINING SERVICES, PARKING, AND OTHER SELF-SUPPORTING FACULTY, STAFF AND STUDENT SERVICES. 28082409 0 31299198 274319337 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 0 1 1 1 0 0 0 0 0 0 0 0 0 0 1 0 0 0 0 1 1 1 0 0 1 8503 0 1 4356 1 1 1 1 IT 0 0 0 1 1 0 0 0 0 X 46 45 0 0 0 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 648845 0 40551 CARL A ANDERSON BOARD OF TRUSTEES THROUGH 6/7/16 2 0 X 0 0 0 ARCHBISHOP SAMUEL J AQUILA BOARD OF TRUSTEES 2 0 X 0 0 0 LAWRENCE C BLANFORD BOARD OF TRUSTEES EFF. 9/26/16 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 TIMOTHY R BUSCH ESQ BOARD OF TRUSTEES THROUGH 6/7/16 2 0 X 0 0 0 JOSEPH L CARLINI BOARD OF TRUSTEES 2 0 X 0 0 0 ARCHBISHOP CHARLES J CHAPUT BOARD OF TRUSTEES 2 0 X 0 0 0 BISHOP OCTAVIO CISNEROS BOARD OF TRUSTEES 2 0 X 0 0 0 CARDINAL BLASE J CUPICH BOARD OF TRUSTEES EFF. 12/13/16 2 0 X 0 0 0 LEO A DALY III BOARD OF TRUSTEES 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 KEVIN J FARRELL BOARD OF TRUSTEES THROUGH 6/7/16 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 EFF. 9/26/16 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 EFF. 9/26/16 2 0 X 0 0 0 ARCHBISHOP JEROME E LISTECKI BOARD OF TRUSTEES THROUGH 6/7/16 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 2 0 X 0 0 0 BISHOP GREGORY J MANSOUR BOARD OF TRUSTEES 2 0 X 0 0 0 BISHOP ROBERT J MCMANUS BOARD OF TRUSTEES 2 0 X 0 0 0 MICHAEL J MILLETTE BOARD OF TRUSTEES 2 0 X 0 0 0 JEFFREY R MORELAND BOARD OF TRUSTEES EFF. 9/26/16 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 ARCHBISHOP JOHN C NIENSTEDT BOARD OF TRUSTEES THROUGH 6/6/16 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 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 2 0 X 0 0 0 NEIL J RAUENHORST BOARD OF TRUSTEES THROUGH 12/13/16 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 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 ANTHONY R TERSIGNI BOARD OF TRUSTEES THROUGH 6/7/16 2 0 X 0 0 0 CARDINAL JOSEPH TOBIN BOARD OF TRUSTEES EFF. 12/13/16 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 2 0 X 0 0 0 ANTHONY A WILLIAMS ESQ BOARD OF TRUSTEES THROUGH 6/6/16 2 0 X 0 0 0 CAROLYN Y WOO BOARD OF TRUSTEES 2 0 X 0 0 0 CARDINAL DONALD W WUERL BOARD OF TRUSTEES 2 0 X 0 0 0 ROBERT M SPECTER VP FOR FINANCE/TREASURER 40 2.00 X 442867 0 13158 FRANK G PERSICO VP UNIVERSITY RELATIONS & CHIEF OF STAFF 40 0 X 393489 0 29575 ANDREW V ABELA PROVOST 40 2.00 X 401787 0 43473 CHRISTOPHER P LYDON VP FOR ENROLLMENT MGT & MKTG 40 1 X 255645 0 27084 SCOTT P REMBOLD VP INSTITUTIONAL ADVANCEMT 40 0 X 421210 0 43558 MICHAEL S ALLEN VP OF STUDENT AFFAIRS 40 0 X 258701 0 42504 DANIEL ATTRIDGE DEAN AND PROFESSOR OF LAW 40 0 X 290224 0 38658 IAN L PEGG PHYSICS DIRECTOR VSL AND PROFESSOR 40 0 X 403148 0 34571 CHARLES C NGUYEN DEAN SCHOOL OF ENGINEERING 40 0 X 249604 0 41845 LAWRENCE J MORRIS GENERAL COUNSEL 40 1 X 218425 0 23783 MARIN R SCORDATO LAW SCHOOL PROFESSOR/ASSOC DEAN 40 0 X 216251 0 23881 JAMES F BRENNAN FORMER PROVOST RESIGNED 9/23/14 40 0 X 148914 0 20990 LAWRENCE R POOS FORMER DEAN ARTS/SCIENCE RESIGNED 9/1/14 40 0 X 119103 0 13026 VERYL V MILES FORMER DEAN OF LAW SCHOOL 40 0 X 163234 0 32867 4631447 0 469524 188 1 1 0 DELTAK EDU LLC 1415 WEST 22ND ST SUITE 400 OAK BROOK IL 60523 ONLINE COURSE MGMT 2611718 PATNER CONSTRUCTION INC 2860 STUART DRIVE FALLS CHURCH VA 22042 CONSTRUCTION 1337682 RICOH AMERICAS CORPORATION 5 DEDRICK PLACE WEST CALDWELL NJ 07006 MANAGEMENT SERVICES 910807 MERLINO CONSTRUCTION GROUP LLC 318 7TH STREET NE WASHINGTON DC 20002 CONSTRUCTION SERVICES 831059 MARK G ANDERSON CONSULTANTS 730 11TH STREET NW 4TH FLOOR WASHINGTON DC 20001 CONSTRUCTION MGMT 765226 69 5493 0 1934 0 0 30997970 6075390 31005397 Tuition 611600 208707289 208707289 0 0 Federal and Private Grants 541700 24884429 24884429 0 0 Housing 721310 18292711 18292711 0 0 Food Service 722210 12074195 12074195 0 0 BookStore 451211 378341 378341 0 0 5047752 3662333 1385419 0 269384717 2780692 0 -59398 2840090 449 0 0 449 199169 0 0 199169 134388 0 0 0 134388 0 134388 0 0 134388 84700172 16781 76450799 0 8249373 16781 8266154 0 0 8266154 21202 1934 20883 319 0 319 1033656 271896 761760 0 0 761760 Non Academic Registration Fees 900099 18631 18631 0 0 Interest Income - Students 900099 535320 535320 0 0 0 0 0 0 553951 313086996 268553249 1326021 12202329 85830285 85830285 3061718 390842 2187614 483262 109537153 95173604 10992206 3371343 7416192 6373941 827014 215237 11101159 10207146 647007 247006 7020692 5924657 859110 236925 11665598 11630998 34450 150 630878 343755 287123 675774 1356 674418 164234 164234 926574 0 926574 0 11050252 8233159 2477330 339763 985224 944205 37368 3651 12125230 9829515 1629338 666377 1034168 443769 493748 96651 609915 336323 239157 34435 15046383 11547128 3498084 1171 3875041 3473905 252451 148685 639794 475074 145981 18739 12556146 12556146 24493 25471 -978 Honoraria/Editorial/Freelance Services 2297198 2271970 23478 1750 Entertainment/Catering/Guest Meals 3776093 3000316 255082 520695 Memberships 694001 407202 272274 14525 Doubtful Account Expenses 1363242 52212 1311030 0 7400015 4846358 2551191 2466 311507452 274319337 30621050 6567065 25914548 21033645 0 27722966 31895737 9761608 8023034 0 0 0 0 7574121 7454452 759062 759464 4704942 3880795 432626669 234486143 189261468 198140526 82291641 76482623 252680912 285682349 0 4463726 5007326 605134994 638359951 24889873 30664120 0 0 8893361 8194533 94548427 90792563 0 0 0 0 1549593 1233790 0 0 16638583 17164120 146519837 148049126 X 268626356 284474880 94985147 105990947 95003654 99844998 458615157 490310825 605134994 638359951 X 1579544 21744097 0 0 0 8372027 X 0 1 X 1 1 1 X 14725209 22249386 23372349 33492311 31005397 124844652 0 0 0 0 0 0 0 0 0 0 14725209 22249386 23372349 33492311 31005397 124844652 6045513 118799139 2688081 3150367 3115472 3383864 3114698 15452482 0 0 0 0 0 1300017 1721500 1736891 1557370 1608809 7924587 148221721 1368631442 0.80150 0.75464 X Schedule A, Part II, Line 10 OTHER INCOME TOTAL OF 7,924,587 IS COMPRISED OF THE FOLLOWING: NONACADEMIC REGISTRATION FEES 290,444; INTEREST INCOME STUDENTS 2,406,170; GROSS INCOME FROM FUNDRAISING EVENTS 488,709; GROSS SALES OF INVENTORY 4,656,025; CHANGE IN ESTIMATES - CARO 62,104; AND OTHER 21,135. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 X X X X 0 185568604 4271295 20493998 4799128 6374557 0 199160212 198653900 1990533 -3381480 8678878 2911895 103576 185568604 188129162 1888209 20477478 9330201 2398910 111838 198653900 174917701 2512774 21524524 8334383 2380521 110933 188129162 149993062 3586887 31296463 8070660 1798447 89604 174917701 0.352 0.648 0 0 0 0 23525227 23525227 0 310728181 157295552 153432629 0 5714169 1094237 4619932 0 47708363 39164161 8544202 0 44950729 36932193 8018536 198140526 MONEY MARKET FUNDS AND TEMPORARY INVESTMENTS 8636322 F OTHER LEVEL 2 & 3 INVESTMENTS 214745576 F REAL ESTATE 34410550 F LIMITED PARTNERSHIP & PRIVATE EQUITY 24161078 F VENTURE CAPITAL 3728823 F 285682349 ASSET RETIREMENT OBLIGATIONS 8704398 REFUNDABLE ADVANCES FROM THE US GOV 6852238 SPLIT-INTEREST AGREEMENTS 1508420 AGENCY LIABILITY 99064 17164120 X 248087445 21744097 0 0 292779 22036876 226050569 926574 86109853 87036427 313086996 224763044 0 0 0 292779 292779 224470265 926574 86110613 87037187 311507452 Schedule D, Part III, Line 1 COLLECTIONS - THE UNIVERSITY HAS ELECTED NOT TO CAPITALIZE THE COST OR VALUE OF ITS COLLECTION OF WORKS OF ART, HISTORICAL TREASURES, AND SIMILAR ASSETS. THERE WERE NO DEACCESSIONS DURING THE YEAR. 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 $271,896 + GOLF OUTING EXPENSE $20,883 Schedule D, Part XI, Line 4b GRANTS AND OTHER ASSISTANCE TO INDIVIDUALS $85,830,285 + UNITRUST PAYMENTS $47,169 + STUDENT LOAN PROGRAM COLLECTION FEES $40,136 + LOSS ON DISPOSAL OF EQUIPMENT $193,023 - ASSET TRANSFER $760. Schedule D, Part XII, Line 2d COST OF GOODS SOLD $271,896 + GOLF OUTING EXPENSE $20,883 Schedule D, Part XII, Line 4b GRANTS AND OTHER ASSISTANCE TO INDIVIDUALS $85,830,285 + UNITRUST PAYMENTS $47,169 + STUDENT LOAN PROGRAM COLLECTION FEES $40,136 + LOSS ON DISPOSAL OF EQUIPMENT $193,023. 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) 1 32 Program Services GLOBAL EDUCATION 2486268 Europe (including Iceland and Greenland) 0 0 Conducting Board Meetings 69009 Europe (including Iceland and Greenland) 0 0 Speaking at Seminars or Conferences 29134 Europe (including Iceland and Greenland) 0 0 Fundraising 3198 South America 0 0 Speaking at Seminars or Conferences GLOBAL EDUCATION 5908 South America 0 0 Program Services GLOBAL EDUCATION 1898 Central America and the Caribbean 0 0 Program Services STUDENT MISSION TRIP 8638 Central America and the Caribbean 0 0 Program Services GLOBAL EDUCATION 69731 Middle East and North Africa 0 0 Program Services GLOBAL EDUCATION 860 North America (including Canada and Mexico, but not the United States) 0 1 Program Services GLOBAL EDUCATION 10400 North America (including Canada and Mexico, but not the United States) 0 0 Speaking at Seminars or Conferences 253 East Asia and the Pacific 0 1 Program Services GLOBAL EDUCATION 10941 Sub-Saharan Africa 0 0 Program Services GLOBAL EDUCATION 1065 Europe (including Iceland and Greenland) 0 0 Investments 406321 1 34 3103624 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 169560 164234 5326 THE STELTER COMPANY 10435 NEW YORK AVENUE DES MOINES IA 50322 PLANNED GIVING NEWSLETTER AND DIGITAL MARKETING PLATFORM 0 0 18019 -18019 169560 182253 -12693 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 23136 1934 21202 0 0 16069 0 0 4814 0 0 23136 1934 21202 0 0 16069 0 0 4814 20883 319 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: $164,234; EXPENSE REIMBURSEMENTS: $26,549 THE STETLER COMPANY - THE UNIVERSITY PAYS BOTH FEES AND EXPENSES TO THIS SERVICE PROVIDER. THE SERVICE PROVIDER SEPARATELY STATES ITS PRINTING EXPENSES FOR REIMBURSEMENT. TOTAL FEES: $18,019; TOTAL PRINTING EXPENSES $666. 1 UNIVERSITY-SPONSORED SCHOLARSHIPS 4844 69280591 0 DONOR-SPONSORED SCHOLARSHIPS 469 4509358 0 UNIVERSITY-SPONSORED NEED BASED GRANTS 1114 9700537 0 FEDERAL AND STATE GRANTS 534 2339799 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 X 1 1 X X X 0 0 0 0 0 0 0 1 0 JOHN H GARVEY PRESIDENT 516400 0 115000 0 17445 0 26500 0 14051 0 689396 0 0 0 ANDREW V ABELA PROVOST 400821 0 0 0 966 0 26500 0 16973 0 445260 0 0 0 ROBERT M SPECTER VP FOR FINANCE/TREASURER 389921 0 51166 0 1780 0 167 0 12992 0 456026 0 0 0 FRANK G PERSICO VP UNIVERSITY RELATIONS & CHIEF OF STAFF 346684 0 43000 0 3805 0 26500 0 3075 0 423064 0 0 0 CHRISTOPHER P LYDON VP FOR ENROLLMENT MGT & MKTG 247445 0 0 0 8200 0 24790 0 2294 0 282729 0 0 0 SCOTT P REMBOLD VP INSTITUTIONAL ADVANCEMT 366238 0 46875 0 8097 0 26500 0 17058 0 464768 0 0 0 MICHAEL S ALLEN VP OF STUDENT AFFAIRS 258361 0 0 0 340 0 26500 0 16004 0 301205 0 0 0 DANIEL ATTRIDGE DEAN AND PROFESSOR OF LAW 288244 0 0 0 1980 0 26500 0 12158 0 328882 0 0 0 IAN L PEGG PHYSICS DIRECTOR VSL AND PROFESSOR 401322 0 0 0 1826 0 26500 0 12158 0 441806 0 0 0 CHARLES C NGUYEN DEAN SCHOOL OF ENGINEERING 248026 0 0 0 1578 0 25665 0 16181 0 291450 0 0 0 LAWRENCE J MORRIS GENERAL COUNSEL 217110 0 0 0 1315 0 21756 0 2027 0 242208 0 0 0 MARIN R SCORDATO LAW SCHOOL PROFESSOR/ASSOC DEAN 215379 0 0 0 872 0 21848 0 0 0 238099 0 0 0 JAMES F BRENNAN FORMER PROVOST RESIGNED 9/23/14 147740 0 0 0 1174 0 15015 0 5975 0 169904 0 0 0 VERYL V MILES FORMER DEAN OF LAW SCHOOL 162252 0 0 0 982 0 17311 0 15556 0 196101 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 OF THE PRESIDENT. THESE PAYMENTS ARE MADE IN ACCORDANCE WITH GENERAL UNIVERSITY COMPENSATION POLICIES. REIMBURSEMENT OF COMPANION TRAVEL IS RARE AND REQUIRES VICE PRESIDENT OR PRESIDENT APPROVAL. THE REIMBURSEMENT IS TAXABLE TO THE EMPLOYEE UNLESS THE EMPLOYEE CAN DEMONSTRATE THE COMPANION PROVIDED A SIGNIFICANT AND NON-CLERICAL/NON-INCIDENTAL ROLE. THE UNIVERSITY REIMBURSED COMPANION TRAVEL FOR CERTAIN TRIPS MADE BY THE PRESIDENT'S WIFE. THE TOTAL REIMBURSED AMOUNT FOR TAX YEAR 2016 WAS $1,542. ALL TRIPS WERE INCLUDED IN TAXABLE EARNINGS FOR THE PRESIDENT, MR. JOHN GARVEY, IN THE APPROPRIATE TAX YEAR. 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 Bonds 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 Bonds 0 0 0 A 0 0 39061164 0 0 0 539585 0 0 0 38521579 0 2010 1 0 1 1 B 0 0 35065000 0 0 35520296 682220 0 0 0 0 0 2009 0 1 1 1 C 0 0 27555000 0 0 0 440041 0 0 0 27114959 0 2009 1 0 1 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 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 A 1 B 1 C 1 X 528 Market Value X 69 6025978 Market Value X CHROMATOGRAPH 1 28071 MARKET VALUE X MUSIC COLLECTION 1 9600 MARKET VALUE X EVENT DONATIONS 5 6213 COST X PIANO 1 5000 MARKET VALUE 1 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 6,076, OF WHICH 3,241 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 6,076, OF WHICH 3,241 ARE UNDERGRADUATE. 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. Form 990, Part XI, Line 9 MARKET VALUE ADJUSTMENT - FARONE FOUNDATION ENDOWMENT 8,371,267; ASSET TRANSFER 760 THE CATHOLIC UNIVERSITY OF AMERICA FOUNDATION 620 MICHIGAN AVE NE WASHINGTON DC 20064 521284733 SUPPORT UNIV PROGRAMS DC 501(C)(3) 12 TYPE I THE CATHOLIC UNIVERSITY OF AMERICA 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 THE CATHOLIC UNIVERSITY OF AMERICA 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 THE CATHOLIC UNIVERSITY OF AMERICA T 1 CHARITABLE REMAINDER TRUST (3) SPLIT INTEREST AGREEMENT WASHINGTON DC 20001 SPLIT INTEREST AGREEMENT DC THE CATHOLIC UNIVERSITY OF AMERICA 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 655500 SCHOLARSHIPS AWARDED TO UNIVERSITY STUDENTS ALBERT E FARONE & ANGELA T FARONE FOUNDATION q 600650 REIMBURSEMENT FOR PAYMENT OF EXPENSE