2017-04-12T09:15:50-05:00 2016-05-31 135565207 KPMG LLP 300 North Greene Street Suite 400 Greensboro NC 27401 990 2015-06-01 590624458 University of Miami UNIV 3052844877 PO Box 248106 Coral Gables FL 331242912 David Ertel Interim CFO 3052431795 2017-04-11 Allison H Franklin P00448640 3362753394 2015 2021-01-29 14:40:06Z Julio Frenk 1252 Memorial Dr Rm 230 CG FL 33146 3638133257 0 X WWW.MIAMI.EDU X 1925 FL The University of Miami's mission is to educate and nurture students, to create knowledge through its comprehensive research programs, and to provide patient care services to our community and beyond. 64 52 25000 908 7087640 608176 695504873 684757248 2438916697 2580444930 106929658 32449953 18584268 19122691 3259935496 3316774822 420640246 434283744 0 0 1596878935 1695850606 547690 538246 24492408 1053781348 1113539345 3071848219 3244211941 188087277 72562881 3621404251 3805344338 1810868250 2064502313 1810536001 1740842025 X See Form 990, Part I, Line 1, Description of Organization Mission. 0 0 1032959119 382064757 753716203 See Schedule OInstruction, academic support, student services:The University of Miami (UM) is a private not-for-profit institution with more than 16,000 students. The University's 11 colleges and schools offer the following degree options: 115 bachelors, 114 masters, and 63 doctoral (59 research/scholarship and 4 professional practice).The School of Architecture, founded in 1983, offers accredited professional undergraduate and graduate degrees in architecture and several post-professional graduate degrees. Programs include the professional Bachelor of Architecture (B.Arch) and the Master of Architecture (M.Arch); the post-professional Master of Science in Architecture (M.S.Arch) in 5 tracks; the Master of Urban Design (M.U.D); and the Master of Real Estate Development and Urbanism (M.R.E.D.U.), an interdisciplinary one-year graduate program that draws on the real-life experience of Developers-in-Residence and faculty support from the Schools of Business Administration and Law as well as Architecture. The College of Arts and Sciences enrolls over 4,900 undergraduate and 600 graduate students in 20 departments and 10 interdisciplinary programs. Sixteen departments offer graduate degrees in the fine arts, natural sciences, humanities, and social sciences.The College of Engineering comprises five departments that offer degrees in aerospace, architectural, biomedical, civil, computer, electrical, environmental, industrial, and mechanical engineering, as well as engineering science. The College of Engineering offers five-year B.S./M.S. degree programs for our undergraduates, as well as traditional master's and doctoral degrees in a number of disciplines, with several specializations in each field of study. Consistent with the tradition of collaboration among the University of Miami schools and colleges, engineering students participate in a number of interdisciplinary programs, including partnerships between the biomedical engineering program and the School of Medicine (premedical concentration); the architectural engineering program and the School of Architecture; the audio engineering program and the School of Music; and the industrial engineering program and the School of Business Administration. Consisting of over 1,100 undergraduate students and over 230 graduate students, the College boasts an impressively diverse student body, consisting of students from 45 different countries. At the undergraduate level, 23% of the student population is Hispanic and 9% is Black. Females represent 31% of the students (compared to an 18% national average, according to the most recent statistics from the American Society for Engineering Education).The School of Law presently enrolls nearly 1,069 candidates for either J.D., LL.M. or dual degrees, and has over 20,000 alumni worldwide. The J.D. program enrolls approximately 935 students from more than 109 colleges and universities throughout the United States. Of the entering J.D. students, approximately 44% are women, 47% are members of minority groups, and 48% are from outside Florida. Close to 66% speak more than one language. The School offers graduate programs in International Law (specializations in Inter-American Law, General International Law, and U.S. and Transnational Law for Foreign Lawyers), International Arbitration, Maritime Law, Entertainment, Art and Sports, Taxation, Taxation of Cross Border Investments, Estate Planning, and Real Property Development, the latter 2 offer courses online as well as on-campus. The graduate program in International Law includes three different specializations. The School also offers several joint degree programs. It is the only law school to offer a J.D./Master's in Music Business, J.D./M.A. in Arts Presenting, and J.D/M.A. in Latin American Studies. In addition, the School offers a J.D./M.B.A., J.D./M.P.S. in Marine Affairs, J.D./M.P.H. in Public Health, J.D./M.S. Ed. in Law, Community and Social Change, J.D./M.A. in Law and Communications, J.D./PH.D. in Law and Environmental Policy, J.D./M.D., J.D./M.P.A. in Public Administration, J.D./LL.M. in Tax, International Law, Maritime Law, Estate Planning or Real Property Development, and a J.D./M.B.A./LL.M. in Tax, Real Property Development or Estate Planning. The School is regularly ranked among the top law schools by U.S. News and World Report for Tax Programs, and its alumni are regularly featured in Super Lawyers Magazine.The Leonard M. Miller School of Medicine has grown rapidly in both size and reputation, earning international acclaim for research, clinical care, and biomedical innovations. The school has more than 1,400 full-time clinical and basic science faculty members and an additional 1,500 professionals from the community serving as voluntary faculty in various departments. Along with the M.D. degree, the school offers a combined M.D./Ph.D. program, an M.D./M.B.A. program, a 4-year and a 5-year M.D./M.P.H. program and 4-year M.D./M.S. in Genomic Medicine, a six-year M.D./J.D. program, graduate degrees in ten areas, postdoctoral programs, and continuing medical education courses. 351383557 32769648 159273878 See Schedule OResearch and Public Service:UM has been classified by the Carnegie Commission as a Very High Research University. The School of Architecture's areas of focus include the Internet of Things, smart cities, digital fabrication, new urbanism, classical and traditional architecture, and contemporary modernism. They also include health and the built environment, with health care design studios and courses and a continuing research partnership with faculty in the Miller School of Medicine; tropical and subtropical coastal design, building on faculty experience in locations such as Santo Domingo, Mumbai, Cape Town, and Barranquilla.The College of Arts and Sciences provides numerous community outreach activities, including student musical theatre and drama productions at the Jerry Herman Ring Theatre and Alvin Sherman Family Stage; student, faculty, and visiting artist exhibitions in the Project Space in the design district of downtown Miami; faculty curated exhibitions at the Lowe Art Museum; lectures and other educational programs sponsored by the Center for the Humanities; volunteer activities in the public schools, hospitals and community clinics for developmentally disabled children; technology workshops for Miami-Dade public school teachers sponsored by the Department of Modern Languages Laboratory; and a series of programs, hosted by several departments and funded by various federal agencies and private foundations, to enhance the diversity of students pursuing scientific careers through research opportunities for pre-college and undergraduate students; and career development opportunities for high-school and community-college faculty.The School of Law offers externship programs and foreign exchange programs in Argentina, Belgium, Brazil, China, Colombia, France, Germany, India, Ireland, Israel, Spain, Switzerland, and Vietnam. The School's award-winning clinics, focusing on different areas of the law, offer exceptional training grounds and give students practical, hands-on lawyering while also helping needy and underrepresented individuals. The School is also home to LawWithoutWalls (LWOW), an innovative academic model that brings together students, faculty, practitioners, and entrepreneurs from around the country and the world to explore innovation in legal education and practice.The Rosenstiel School of Marine & Atmospheric Science is one of the leading oceanographic research and education institutions in the nation. Known originally as the University's marine laboratory, it was founded in 1943. It evolved into the Institute for Marine Science in 1961, and eight years later became the Rosenstiel School of Marine & Atmospheric Science (RSMAS) within the University of Miami. The Virginia Key campus has grown to include modern research and teaching facilities, a dedicated academic library, and an internationally recognized Marine Invertebrate Museum. RSMAS also operates a state-of-the-art 96-foot catamaran research vessel, the F.G. Walton Smith. The latest addition to RSMAS research and education infrastructure is the Helicopter Observation Platform (HOP), a flying scientific laboratory equipped with state-of-the-art technology and scientific instrumentation, which provides scientists with a unique capability to obtain vital information on environmental processes and mechanisms that affect our climate and impact human health. CSTARS (Center for Southeastern Tropical Advanced Remote Sensing), located on the Richmond campus in south Miami-Dade county was launched in 2003, and conducts research with remotely sensed data received from earth-orbiting satellite systems. This state-of-the-art real-time reception and analysis facility provides data for environmental monitoring from 16 commercial satellites, available 24/7. The predictive power concentrated on this 78-acre campus is helping to provide vital, life-saving information regarding earthquakes, hurricanes, typhoons, freak waves and other natural and manmade disasters, including monitoring of the earthquakes in Haiti and Chile, and the Deepwater Horizon oil spill.The Leonard M. Miller School of Medicine has been designated a Center for AIDS Research (CFAR), the only such center in Florida, and is leading the University's prestigious Clinical and Translational Science Institute (CTSI), awarded by the NIH. Other clinical and research programs include the John P. Hussman Institute for Human Genomics, the Interdisciplinary Stem Cell Institute, the Dr. John T. Macdonald Foundation Biomedical Nanotechnology Institute, the Miami Transplant Institute, The Miami Project to Cure Paralysis, the Diabetes Research Institute, the Mailman Center for Child Development, and many more. 1513067314 30086 1543008190 See Schedule OHealth Care:Located north of downtown Miami near the Civic Center in the Miami Health District, the Leonard M. Miller School of Medicine's campus consists of approximately 72-acres of owned and leased land within the 153-acre University of Miami/Jackson Memorial Hospital complex. Each year the University of Miami Health System's nearly 1,200 physicians have more than two million scheduled patient encounters with outcomes that are among the best in the nation. University of Miami Hospital is the flagship hospital of the University of Miami Health System (UHealth). The University also owns two other hospitals: Sylvester Comprehensive Cancer Center/UMHC - University of Miami Hospital & Clinics and Anne Bates Leach Eye Hospital, home of Bascom Palmer Eye Institute. Bascom Palmer has been recognized as the number one eye hospital in the country for 15 years by U.S. News & World Report in its annual "America's Best Hospitals" issue. In addition to the three University-owned hospitals, there are also three primary hospitals affiliated with UHealth: Jackson Memorial Hospital, the primary teaching hospital for the medical school; Holtz Children's Hospital; and the Bruce W. Carter VA Medical Center. There are also more than a dozen outpatient clinics across Miami-Dade, Broward, Palm Beach, and Collier counties. 119094699 19419253 124446659 Expenses primarily represent auxiliary enterprises, including intercollegiate athletics, parking, student housing and student dining. Other program services revenues primarily represent auxiliary enterprises revenue, investment income, and investment losses. 119094699 19419253 124446659 3016504689 1 0 0 1 0 0 0 1 0 1 1 1 0 0 1 1 1 0 1 0 1 1 1 1 1 0 1 1 1 1 1 1 1 0 0 0 0 0 1 0 1 0 1 1 0 0 1 1 1 1 0 0 1 24491 0 1 25000 1 1 1 1 BD 0 0 0 1 1 1 1 0 0 1 0 X 64 52 1 0 0 0 0 0 0 1 1 0 1 1 1 1 1 1 1 1 1 1 0 FL X Gabriel G Eszterhas Associate VP & Controller 3052844877 1320 S Dixie Highway Suite 150 Coral Gables FL 331462912 X Leonard Abess Trustee 20.00 X 0 0 0 Michael I Abrams Trustee 4.00 X 0 0 0 Betty G Amos Trustee 8.00 X 0 0 0 Jose P Bared Trustee 4.00 X 0 0 0 Hilarie Bass Trustee & Vice Chair 8.00 X 0 0 0 Jon Batchelor Trustee 2.00 X 0 0 0 Brenda Yester Baty Trustee 5.00 X 0 0 0 Doyle Beneby Trustee 0.00 X 0 0 0 Fred Berens Trustee 2.00 X 0 0 0 Tracey Berkowitz Trustee 15.00 X 0 0 0 Joaquin F Blaya Trustee 6.00 X 0 0 0 Alfred A Bunge Trustee 0.00 X 0 0 0 Marc Buoniconti Trustee/Senior Director 10.00 X 29230 0 0 Nicholas A Buoniconti Trustee 10.00 X 0 0 0 M Anthony Burns Trustee 5.00 X 0 0 0 John E Calles Trustee 1.00 X 0 0 0 Alfred R Camner Trustee 3.00 X 0 0 0 Wayne E Chaplin Trustee 2.00 X 0 0 0 Charles E Cobb Trustee 4.00 X 0 0 0 Edward A Dauer Trustee / Faculty Member 40.00 X 93192 0 27787 Carlos M de la Cruz Sr Trustee 0.00 X 0 0 0 Paul J DiMare Trustee 4.00 X 0 0 0 Joseph Echevarria Trustee 2.00 X 0 0 0 David L Epstein Trustee 2.00 X 0 0 0 Richard D Fain Trustee & Chair 2.00 X 0 0 0 George Feldenkreis Trustee 3.00 X 0 0 0 Phillip Frost Trustee 2.00 X 0 0 0 Angel Vicente Gallinal Trustee 1.50 X 0 0 0 Phillip T George Trustee 2.00 X 0 0 0 Thelma VA Gibson Trustee 2.00 X 0 0 0 Steven J Green Trustee 1.00 X 0 0 0 Rose Ellen Greene Trustee 0.00 X 0 0 0 Carlos M Gutierrez Trustee 2.00 X 0 0 0 Barbara Hecht Havenick Trustee 5.00 X 0 0 0 Allan M Herbert Trustee 10.00 X 0 0 0 Arthur H Hertz Trustee 5.00 X 0 0 0 Marilyn J Holifield Trustee 3.00 X 0 0 0 Frank R Jimenez Trustee 5.00 X 0 0 0 Noor Joudi Trustee 1.00 X 0 0 0 Manuel Kadre Trustee 4.00 X 0 0 0 Bernard J Kosar Jr Trustee 1.00 X 0 0 0 David Kraslow Trustee 1.00 X 0 0 0 Susan Lytle Lipton Trustee 1.00 X 0 0 0 Daniela Lorenzo Trustee 0.00 X 0 0 0 Jayne Sylvester Malfitano Trustee 4.00 X 0 0 0 Robert A Mann Trustee 12.00 X 0 0 0 Stuart A Miller Trustee 12.00 X 0 0 0 William L Morrison Trustee 1.00 X 0 0 0 Judi Prokop Newman Trustee 0.50 X 0 0 0 Arva Moore Parks Trustee 2.00 X 0 0 0 Jorge M Perez Trustee 2.00 X 0 0 0 Thomas E Pfeiffer Trustee 0.00 X 0 0 0 Michael Piechoski Trustee 4.00 X 0 0 0 Aaron S Podhurst Trustee 3.00 X 0 0 0 Lois Pope Trustee 2.00 X 0 0 0 Alex E Rodriguez Trustee 2.00 X 0 0 0 Steven J Saiontz Trustee 10.00 X 0 0 0 Laurie S Silvers Trustee 1.00 X 0 0 0 HT Smith Jr Trustee & Vice Chair 7.00 X 0 0 0 Steven Sonberg Trustee 1.00 X 0 0 0 E Roe Stamps IV Trustee 2.00 X 0 0 0 Ronald G Stone Trustee 10.00 X 0 0 0 Patricia W Toppel Trustee 2.00 X 0 0 0 David R Weaver Trustee 10.00 X 0 0 0 G Ed Williamson II Trustee 2.00 X 0 0 0 Thomas D Wood Sr Trustee 1.00 X 0 0 0 Julio Frenk President 80.00 X X 705738 0 430626 Leslie Dellinger Aceituno Assistant University Secretary 55.00 X 123593 0 27663 Stephen Cawley VP for Information Technology 60.00 X 435033 0 49086 Mark Diaz VP of Budget and Planning 60.00 X 1400426 0 92145 Rodolfo Fernandez VP for Government Affairs 70.00 X 310062 0 71026 P Goldschmidt-Clermont Sr VP Medical Affairs-Dean 90.00 X 1558918 0 94273 Sergio M Gonzalez Sr VP, Advancement & External Affairs 50.00 X 811091 0 90576 Rudolph Rudy Green VP & Chief Compliance Officer 50.00 X 310567 0 46997 John G Haller VP, Enrollment Management 60.00 X 345738 0 31501 Geoffrey Kirles VP & Treasurer 55.00 X 446652 0 12504 Thomas J LeBlanc Executive VP & Provost 55.00 X 825601 0 49943 Larry D Marbert VP for Real Estate & Facilities 65.00 X 405634 0 34092 Jacqueline R Menendez VP for University Communications 60.00 X 356867 0 56866 Nerissa Morris VP for Human Resources 65.00 X 454519 0 36272 Joseph T Natoli Sr VP Business & Finance and CFO 70.00 X 1089404 0 48098 Aileen M Ugalde Secretary of the University 65.00 X 589181 0 67388 Patricia A Whitely VP for Student Affairs 75.00 X 427941 0 62077 Nestor de la Cruz-Munoz Associate Professor Dept of Surgery 60.00 X 1607638 0 47028 Alfred J Golden Head Coach, Football 84.00 X 2629961 0 44049 Lee D Kaplan Professor, Orthopaedics 71.00 X 1514503 0 49428 James J Larranaga Head Coach, Basketball 80.00 X 1482575 0 44160 Dipen J Parekh Professor, Urology 80.00 X 1272315 0 47276 Donna E Shalala President (former) 80.00 X 1466927 0 34665 Theresa L Ashman Associate VP & Controller (fmr) 60.00 X 283301 0 34810 Richard Ballard CEO, UMHC (former) 48.00 X 531381 0 51476 Steven Falcone Chief Exec, UHealth Clinical (fmr) 70.00 X 886751 0 51866 Michael Gittelman CEO, ABLEH (former) 60.00 X 473879 0 46464 Alan S Livingstone MD Chief Exec, UHealth Clinical (fmr) 90.00 X 1087409 0 48803 David A Lubarsky Chief Integration Officer (fmr) 80.00 X 1226469 0 52596 John R Shipley VP & Treasurer (former) 55.00 X 520040 0 27552 John Sory Chief Exec,UHealth Rgnl Alliance(fmr 62.00 X 542241 0 43736 26244777 0 1952829 2753 1 1 0 Arellano Construction Co 7255 NW 19 St Suite B Miami FL 33126 Construction Services 26392839 GCA Education Services Inc 4702 Western Ave Suite 101 Knoxville TN 37921 Maintenance & Repair Services 19181183 M&C Saatchi LA Inc 2032 Broadway Santa Monica CA 90402 Marketing Services 9531828 BDW Construction LLC PO BOX 814865 Hollywood FL 33081 Construction Services 5162913 Accenture LLP PO BOX 70629 Chicago IL 60673 IT Services 4803930 471 1254392 1479176 407879210 274144470 54214833 684757248 Hospitals and Clinics 900099 1135684974 1135684974 Tuition and Fees 900099 725091255 725091255 Medical Prof Practice 900099 407323216 406632086 691130 Local Grants and Contr 900099 159273878 159273878 Auxiliary Enterprises 900099 124446659 53750795 4988468 65707396 28624948 27899790 725158 2580444930 20541493 20541493 12120843 12120843 7810996 2002 4427235 422 3383761 1580 3385341 1580 3383761 326761134 1425500 313915798 2362376 12845336 -936876 11908460 605497 11302963 372191 1479176 652604 -280413 -280413 3836 0 3836 3836 Other Revenue 900099 3821113 3821113 Advertising 523000 36971 36971 Coach Appearances 541800 35000 35000 3893084 3316774822 2508332778 7087640 116597156 31203199 31203199 398514596 398514596 4565949 4565949 22094194 5692777 14229613 2171804 1292626787 1216372495 64998060 11256232 94967886 87326484 6229828 1411574 206761619 160689337 42695272 3377010 79400120 72080782 6108786 1210552 6329849 2090215 4239634 1029237 155887 873350 261239 261239 538246 538246 6976556 6976556 197011821 173045719 22918266 1047836 19166963 18410977 631735 124251 62386761 55363084 5924105 1099572 23492603 20073787 3418816 1198402 1198402 118407927 106760567 11365742 281618 26548969 25251340 941459 356170 23534792 20539696 1832307 1162789 39675843 38087633 1588210 136498783 129120261 7378522 23064800 20065104 2999696 Medical Supplies 367425678 367425678 Miscellaneous 60124122 55494164 4175204 454754 UBIT Income Tax 405000 405000 3244211941 3016504689 203214844 24492408 39411303 35616726 124293702 457841007 199507271 190548046 309391795 338150894 60083569 55913025 25679360 26568328 34440870 35541735 3231100323 1509300306 1664135626 1721800017 124016412 75984419 976560029 806616769 1127000 1127000 62757314 59636372 3621404251 3805344338 227361414 222224508 106770424 100656135 781596843 911263234 169311900 240395536 525827669 589962900 1810868250 2064502313 X 857247413 778990003 474873295 462090218 478415293 499761804 1810536001 1740842025 3621404251 3805344338 X 72562881 -76330045 -65926812 X 0 1 X 1 1 1 X 664112561 665082826 645431640 695504873 684757248 3354889148 664112561 665082826 645431640 695504873 684757248 3354889148 3354889148 62841566 67787860 70328911 118800048 47066391 366824776 1083998 1555052 1151702 1574344 608176 5973272 3727687196 11583747105 0.90000 0.89610 X 261239 261239 3237469567 3237730806 1000000 250000 0 0 1000000 1000000 1000000 1000000 4000000 6000000 301917 273233 263184 261239 1099573 250000 250000 250000 250000 1000000 1500000 362555 56102147 X X X X X public ed & outreach programs 0 0 887329315 35880046 -37379832 -7908234 -33278781 844642514 865434666 32562542 26787748 -6981057 -30474584 887329315 777946842 25884017 96424339 -6545053 -28275479 865434666 678694294 22091982 109828176 -6177708 -26489902 777946842 719851550 21377588 -32451356 -5541013 -24542475 678694294 0.19310 0.52570 0.28120 0 0 90095398 90095398 1866235170 890435078 975800092 51958512 36587416 15371096 749728201 473562137 276166064 473083042 108715675 364367367 1721800017 -4696337 F Limited Partnerships 495577499 F Mutual Funds 270725022 F Other 45010585 F 806616769 Medical Self-Insurance Reserves 109481071 Refundable Deposits 795185 Accrued Postretirement Benefit Cost 259924448 Annuities Payable 7124424 Refundable Federal Student Loans 22705099 Other Liabilities 189932673 589962900 X 2852494558 -76330045 -106663 -76436708 2928931266 6976556 380867000 387843556 3316774822 2856368385 0 2856368385 6976556 380867000 387843556 3244211941 Part III, Line 4: Part III, Line 4: Art Collection: The mission of the Lowe Art Museum, the art museum of the University of Miami, is to serve the University, the Greater South Florida communities, and national and international visitors as a teaching and exhibiting resource through its permanent and borrowed collections. The Museum: collects original, quality works of art primarily from Asia, Africa, Europe and the Americas; exhibits and preserves the permanent collection according to the highest professional standards; researches the permanent collection and publishes new findings in exhibition catalogues and articles; organizes traveling exhibitions and loans of individual works from the permanent collection to expand knowledge and appreciation of art both regionally and nationally; enhances the appreciation of the permanent collection through borrowed and organized traveling exhibitions and loans of individual works; and, supports, extends and enriches the mission of the University of Miami for students, faculty, scholars, residents, and visitors to South Florida to appreciate and more fully comprehend art and its history. More information on the Museum can be found on its website at www.miami.edu/lowe. Part V, Line 4: Part V, Line 4: Endowment Funds: The University's endowment is used to support the University's mission which is to educate and nurture students, to create knowledge through its comprehensive research programs, and to provide patient care services to its community and beyond. Distributions from the University's endowment are mainly used for student scholarships and fellowships, endowed chairs, research, school/college support, academic program support, library support, and general University support. Part X, Line 2: Fin 48 Footnote: The University is exempt from federal income taxes under section 501(c)(3) of the Internal Revenue Code. Accordingly, no provision for income taxes is made in the financial statements. At May 31, 2016, there were no uncertain tax positions. The University files tax returns with U.S. federal and other tax authorities for which the statute of limitations may go back to the year ended May 31, 2013. Part XI, Line 2d - Other Adjustments: Refunds of Program service Rev. - Hospitals.& Clinics - 0 Refunds of Contributions - $106,662.70 Part XI, Line 4b - Other Adjustments: See Part XI Part XII, Line 4b - Other Adjustments: See Part XI Part XI and XII, Line 4b: Other Revenue and Expense Reconciling Items: Tuition discounting $222,248,101, grants and contracts pass-through transactions from sponsoring agencies $163,723,323. Less: non-program related rental expenses $4,429,237; Ubit adjustment of $22,583; and direct expenses related to fundraising events $652,604. 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 publishes its Equal Opportunity Policy and Non-discrimination Policy Statement in the following publications: * Workplace Equity & Performance Web site * All UM web sites state our Non-discrimination policy under a link for "Privacy Statement and Legal Notices" * Students Rights and Responsibilities Handbook * Academic Bulletin * Student Handbook distributed at Orientation * Faculty Manual * Employee Handbook * Various public bulletin boards located throughout the various campuses, in contracts with other vendors, during University employee orientation, University Career Website, etc. Schedule E, Part I, Line 6 The University provides financial assistance in the form of grants to award scholarships and fellowships to students attending the University. In addition, government agencies award grants to the University for research. 1 Central America & the Caribbean Program Services Grants to Recipients 587431 East Asia & the Pacific Program Services Grants to Recipients 291781 Europe Program Services Grants to Recipients 600137 Middle East & North Africa Program Services Grants to Recipients 182449 North America Program Services Grants to Recipients 331440 South America Program Services Grants to Recipients 561994 South Asia Program Services Grants to Recipients 10030 Sub-Saharan Africa Program Services Grants to Recipients 769157 Central American and the Caribbean Program Services Travel - Institutional Research and Education 258729 East Asia & the Pacific Program Services Travel - Institutional Research and Education 561107 Europe Program Services Travel - Institutional Research and Education 1167928 Middle East & North Africa Program Services Travel - Institutional Research and Education 82817 North America Program Services Travel - Institutional Research and Education 257142 Russia and Neighboring States Program Services Travel - Institutional Research and Education 4649 South America Program Services Travel - Institutional Research and Education 356235 South Asia Program Services Travel - Institutional Research and Education 85597 Sub-Saharan Africa Program Services Travel - Institutional Research and Education 132469 Central America and the Caribbean Investments N/A 44051950 Central America and the Caribbean 3 Program Services Independent Contractors-Institutional Research and Education 15286 East Asia and the Pacific 8 Program Services Independent Contractors-Institutional Research and Education 20187 Europe 39 Program Services Independent Contractors-Institutional Research and Education 1367461 Middle East and North Africa 1 Program Services Independent Contractors-Institutional Research and Education 750 North America 16 Program Services Independent Contractors-Institutional Research and Education 911641 South America 5 Program Services Independent Contractors-Institutional Research and Education 16493 South Asia 2 Program Services Independent Contractors-Institutional Research and Education 22773 Sub-Saharan Africa 2 Program Services Independent Contractors-Institutional Research and Education 5950 0 0 0 76 0 76 3334419 49319164 52653583 Central America & the Caribbean Research 21804 Wire Transfer N/A N/A Central America & the Caribbean Research 565627 Wire Transfer N/A N/A East Asia & the Pacific Research 49680 Check N/A N/A East Asia & the Pacific Research 28726 Check N/A N/A East Asia & the Pacific Research 48624 Check N/A N/A East Asia & the Pacific Research 41183 Wire Transfer N/A N/A East Asia & the Pacific Research 123568 Wire Transfer N/A N/A Europe Research 25633 Check N/A N/A Europe Research 31301 Check N/A N/A Europe Research 6820 Check N/A N/A Europe Research 113524 Check N/A N/A Europe Research 52786 Wire Transfer N/A N/A Europe Research 171873 Wire Transfer N/A N/A Europe Research 16358 Wire Transfer N/A N/A Europe Research 32636 Wire Transfer N/A N/A Europe Research 139206 Wire Transfer N/A N/A Europe General Support 10000 Wire Transfer N/A N/A Middle East & North Africa Research 99318 Check N/A N/A Middle East & North Africa Research 83131 Check N/A N/A North America Research 256293 Check N/A N/A North America Research 75147 Check N/A N/A South America Research 158400 Wire Transfer N/A N/A South America Research 56039 Wire Transfer N/A N/A South America Research 217670 Wire Transfer N/A N/A South America Research 10103 Wire Transfer N/A N/A South America Research 40523 Wire Transfer N/A N/A South America Research 79260 Wire Transfer N/A N/A South Asia General Support 10030 Wire Transfer N/A N/A Sub-Saharan Africa Research 326679 Wire Transfer N/A N/A Sub-Saharan Africa Research 187542 Wire Transfer N/A N/A Sub-Saharan Africa Research 25528 Wire Transfer N/A N/A Sub-Saharan Africa Research 229408 Wire Transfer N/A N/A 3 28 Scholarships, Fellowship Grants Central America and the Caribbean 3 21952 Check N/A N/A Scholarships, Fellowship Grants East Asia and the Pacific 52 708049 Check N/A N/A Scholarships, Fellowship Grants Europe 19 152546 Check N/A N/A Scholarships, Fellowship Grants North America 6 66352 Check N/A N/A Scholarships, Fellowship Grants Russia and Neighboring States 4 17119 Check N/A N/A Scholarships, Fellowship Grants South America 9 72890 Check N/A N/A Scholarships, Fellowship Grants South Asia 10 186250 Check N/A N/A Scholarships, Fellowship Grants Sub-Saharan Africa 3 6371 Check N/A N/A 1 0 1 1 1 1 Part I, Line 2: Procedures for Monitoring Grants Outside the United States: The University awards grants as subcontracts to foreign organizations for the purpose of conducting research and research training. Prior to the University awarding the subcontract, the organization is required to submit the proposed scope of work and a budget. Once reviewed and approved, a formal subcontract is issued with the terms and conditions of the award. To comply with terms and conditions of the subcontract, the foreign organization must submit an invoice together with supporting documentation. Upon receipt of the invoice, the faculty member at the University responsible for the grant or his/her designee approves the invoice for payment. In addition, monitoring of the science is conducted by the University faculty member responsible for the grant via site visits, correspondence, phone calls, etc. Reports required under the terms and conditions of the subcontract are submitted by the grantee. Part I, line 3: Activity Expenditures: Expenditures are recorded based on the accrual method of accounting and are recorded when incurred. X 1 Ruffalo Noel Levitz 1025 Kirkwood Pkw CedarRapids IA 52404 Campaign Management 0 647356 538246 109110 647356 538246 109110 AL AK AZ AR CA CO CT DE DC FL GA HI ID IL IN IA KS KY LA ME MD MA MI MN MS MO MT NE NV NH NJ NM NY NC ND OH OK OR PA PR RI SC SD TN TX VI UT VT VA WA WV WI WY Dinner Gala 489708 422490 67218 0 4187 0 20142 23249 7656 Dinner Gala 376488 315978 60510 0 887 4450 57693 12907 21070 12 985171 740708 244463 0 7359 3793 240510 120215 128486 1851367 1479176 372191 12433 8243 318345 156371 157212 652604 -280413 1 1 X 1 X 0 1 1 0 0 8770000 8770000 0.00270 128655780 88313322 40342458 0.01240 137425780 88313322 49112458 0.01510 3246849 3255617 -8768 0.00000 19839449 3792507 16046942 0.00490 1224092 1224092 170852094 165741141 5110953 0.00160 143544 100000 43544 0.00000 195306028 174113357 21192671 0.00650 332731808 262426679 70305129 0.02160 1926124 1646643 279481 0.00010 1926124 1646643 279481 0.00010 1 82695669 0 243643278 292116938 -48473660 X 1 1 3 1 University of Miami Hospital 1400 NW 12 Avenue Miami FL 33136 umiamihospital.com #4109 X X X X 2 University of Miami Hospital & Clinics 1475 NW 12 Avenue Miami FL 33136 sylvester.org #4074 X X 3 Anne Bates Leach Eye Hospital 900 NW 17 Street Miami FL 33136 bascompalmer.org #4040 X X University of Miami Hospital 1 0 0 1 X X X X X X X X 15 1 0 0 1 X umiamihospital.com X 0 0 1 X 200.000000000000 X X X X X 1 1 X X 1 X uhealthsystem.com/billing/financial-assistance X uhealthsystem.com/billing/financial-assistance X uhealthsystem.com/billing/financial-assistance X X X X X 1 X 0 X X X 1 X 0 0 University of Miami Hospital & Clinics 2 0 0 1 X X X X X X X X 15 1 0 0 1 X sylvester.org X 0 0 1 X 200.000000000000 400.000000000000 X X 1 1 X X X X 1 X uhealthsystem.com/billing/financial-assistance X uhealthsystem.com/billing/financial-assistance X uhealthsystem.com/billing/financial-assistance X X X X X 1 X 0 X X X 0 X X 0 0 Anne Bates Leach Eye Hospital 3 0 0 1 X X X X X X X X 15 1 0 0 1 X bascompalmer.org X 0 0 1 X 200.000000000000 400.000000000000 X X X 1 1 X X X X 1 X uhealthsystem.com/billing/financial-assistance X uhealthsystem.com/billing/financial-assistance X uhealthsystem.com/billing/financial-assistance X X X X X 1 X 0 X X X 1 X 0 0 University of Miami Hospital Part V, Section B, Line 5: A broad cross-section of Miami-Dade County health experts, advocates, and consumers were surveyed on leading health issues. University of Miami Hospital & Clinics Part V, Section B, Line 5: A broad cross-section of Miami-Dade County health experts, advocates, and consumers were surveyed on leading health issues. Anne Bates Leach Eye Hospital Part V, Section B, Line 5: A broad cross-section of Miami-Dade County health experts, advocates, and consumers were surveyed on leading health issues. University of Miami Hospital Part V, Section B, Line 11: The University of Miami Health System has undergone a significant restructuring of its management team during the last eight months and is in the process of redefining its mission and its direction. The University is working on identifying and prioritizing the system's response to the identified needs in its Community Health Needs Assessment Report. This initiative is in process and has a completion date of June 30, 2017. University of Miami Hospital & Clinics Part V, Section B, Line 11: The University of Miami Health System has undergone a significant restructuring of its management team during the last eight months and is in the process of redefining its mission and its direction. The University is working on identifying and prioritizing the system's response to the identified needs in its Community Health Needs Assessment Report. This initiative is in process and has a completion date of June 30, 2017. Anne Bates Leach Eye Hospital Part V, Section B, Line 11: The University of Miami Health System has undergone a significant restructuring of its management team during the last eight months and is in the process of redefining its mission and its direction. The University is working on identifying and prioritizing the system's response to the identified needs in its Community Health Needs Assessment Report. This initiative is in process and has a completion date of June 30, 2017. University of Miami Hospital Part V, Section B, Line 22d: The hospital facility used a look-back method based on claims allowed by Medicare fee-for-service and all private health insurers that pay claims to the hospital facility during a prior 12 month period. University of Miami Hospital & Clinics Part V, Section B, Line 22d: Low income patients are billed based on FPG, and self-pay patients are entitled to a 30 - 40% discount for prompt payment. Anne Bates Leach Eye Hospital Part V, Section B, Line 22d: Low income patients are charged based on FPG, and self-pay patients are entitled to a 30-40% discount for prompt payment. Part I, Line 3c: Although each of the organization's three hospitals determine eligibility for discounted care differently (as seen in Schedule H's Part V section B) we have answered the question in Part I line 3b using the organization's largest bed hospital's policy (UMH). At UMH an uninsured patient not qualifying for any federal assistance programs or charity write-off automatically is eligible for discounted emergency care. Part I, Line 6a: The organization did not prepare a community benefit report during the tax year. Part I, Line 7: The Medicare cost report was used, except for 7b (Medicaid and other means-tested government programs). For 7b, a cost-to-charge ratio was used. The cost to charge ratio used for Medicaid cost calculation is based on the actual cost of Traditional Medicaid Fee-for-Service claims as reported on the Medicare Cost Report. These calculated costs (Inpatient Routine, Inpatient Ancillary, and Outpatient) are compared to the charges for these services reported on the same cost report. This ratio is used as the Medicaid cost-to-charge ratio to be applied to total gross Medicaid charges (both Traditional Fee for Service and Managed Care) as reported on the AHCA FUHRS report. Part II, Community Building Activities: Community building activities include child abuse protection programs Part III, Line 2: Total bad debt expense is determined using the hospital's patient accounting records. Part III, Line 3: Patients who render sufficient financial information to make a determination of eligibility under the hospitals' financial assistance policy are either treated as charity care (if they qualify) or given a "self- pay" discount (if they do not qualify as charity care). Part III, Line 4: The hospitals' financial statements do not contain a footnote concerning bad debt. The University's financial statements account for bad debt as a reduction of revenue. Part III, Line 8: The source of this information is the Medicare Cost Report data, which uses a "cost to charge" ratio methodology. The University of Miami Hospital and Anne Bates Leach Eye Hospital are reimbursed under the Medicare Prospective Payment System (PPS). For inpatient services, the reimbursement methodology is the Inpatient Prospective Payment System (IPPS), which uses the Diagnostic Related Groups (DRGS) methodology to reimburse the hospital. The DRG amounts are updated by the Medicare program annually by an updating factor. However, the amount of the updating factor is always significantly less than the actual healthcare inflation factor because the Medicare program includes a "budget neutrality" factor for the overall Medicare program. Thus, the hospital does not receive full reimbursement of its cost for inpatient services. For outpatient services, the reimbursement methodology is the Outpatient Prospective Payment System (OPPS), which uses ambulatory payment classifications (APCS) to reimburse the hospital. The APC amounts are updated by the Medicare program annually by an updating factor. However, the amount of the updating factor is always significantly less than the actual healthcare inflation factor because the Medicare program includes a "budget neutrality" factor for the overall Medicare program. Thus, the hospital does not receive full reimbursement for its cost for outpatient services. The University of Miami Hospital and Clinics is a cancer specialty hospital and, as such, is cost based reimbursed for both inpatient and outpatient services. For inpatient services, the limit is the TEFRA target limit. The hospital, on occasion, exceeds the target rate and does not receive full cost reimbursement. The TEFRA target amount is updated by the Medicare program annually by the TEFRA updating factor. However, the amount of the TEFRA updating factor is always significantly less than the actual healthcare inflation factor because the Medicare program includes a "budget neutrality" factor for the overall Medicare program. For outpatient services, the limit is the payment to cost ratio (PCR). The PCR was established using a base year, which was 1996, at a rate of 85.5% of cost. The PCR for all exempt cancer centers was 90% through 12/31/15, and then 92% from 1/1/16 to 5/31/16; therefore, the hospital currently does not receive payment for a range of 8% to 10% of its outpatient cost. Part III, Line 9b: Note 3 of the financial statements reads in-part as follows: "the hospital provides care to patients who are financially unable to pay for the hospital services they receive, and because the Hospital does not pursue collection of amounts determined to qualify as charity care, they are not reported in revenue." Part VI, Line 2: Needs assessment: The communities' healthcare needs are assessed by the organization in collaboration with the Miami-Dade County Public Health Trust (PHT). Part VI, Line 3: Patient education of eligibility for assistance: The organization informs and educates patients through public service announcements, advertising, and development activities. Further, patients are assisted with qualifying for Medicaid and other state programs. Part VI, Line 4: Community information: The community served by the organization is Miami-Dade County, Broward County and the Palm Beaches, which are large urban areas. Since these South Florida counties have a large immigrant population, many patients are uninsured, under-insured, or Medicaid recipients. The national economic crisis and the high level of unemployment have exacerbated this issue. Part VI, Line 5: Promotion of community health: (1) A majority of the Hospital's governing body is comprised of persons who reside in the Hospital's primary service area who are neither employees nor contractors of the Hospital, nor family members thereof. (2) The Hospital extends medical staff privileges to all qualified physicians in its community for some or all of its departments. (3) In order to improve patient care and access to the specialized healthcare services, the organization applies a significant portion of any surplus to capital budget for new technology, new medical equipment, building renovations, and other betterments & improvements. Part VI, Line 6: Affiliated health care system: The organization has an affiliation agreement with Miami-Dade County's Public Health Trust (PHT) to provide teaching physicians who supervise PHT's interns and residents at Jackson Memorial Hospital. Part VI, Line 7: State filing of community benefit report: Not applicable 1 ALGYNOMICS INC 208 N COLUMBIA STREET CHAPEL HILL NC 27514 203217603 83929 N/A N/A RESEARCH AMERICAN HEART ASSOCIATION 4000 HOLLYWOOD BLVD STE 170N HOLLYWOOD FL 33021 135613797 501(c)(3) 141011 N/A N/A RESEARCH ARGONNE NATIONAL LABORATORY PO BOX 87916 CAROL STREAM IL 60188 680628477 US Dept of Energy 40489 N/A N/A RESEARCH ARIZONA STATE UNIVERSITY PO BOX 876011 TEMPE AZ 85287 860196696 State of AZ 56232 N/A N/A RESEARCH BANYAN BIOMARKERS INC 16744 WEST BERNARDO DRIVE SAN DIEGO CA 92127 201449566 51961 N/A N/A RESEARCH BAYSTATE MEDICAL CENTER PO BOX 414168 BOSTON MA 02241 042790311 501(c)(3) 34504 N/A N/A RESEARCH BENAROYA RESEARCH INSTITUTE 1201 NINTH AVENUE SEATTLE WA 98101 910653422 501(c)(3) 61017 N/A N/A RESEARCH BIOQUAL INC 4 RESEARCH CT STE 100 ROCKVILLE MD 20850 133078199 76032 N/A N/A RESEARCH BOARD OF REGENTS OF THE UNIVERSITY OF WISCONSIN RESEARCH SPONSORED PROGRAMS DRAWER 538 MILWAUKEE WI 53278 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DEVELOPMENTAL STUDIES B5 JESSUP HALL IOWA CITY IA 52242 426004813 State of IA 81460 N/A N/A RESEARCH UNIVERSITY OF KENTUCKY RESEARCH PO BOX 931113 CLEVELAND OH 44193 616033693 501(c)(3) 30833 N/A N/A RESEARCH UNIVERSITY OF MARYLAND P O BOX 41428 BALTIMORE MD 21203 526002033 State of MD 43012 N/A N/A RESEARCH UNIVERSITY OF MINNESOTA NW 5960 PO BOX 1450 MINNEAPOLIS MN 55485 416007513 State of MN 200558 N/A N/A RESEARCH UNIVERSITY OF NEBRASKA LINCOLN WHITTIER ROOM 151J PO BOX 830861 LINCOLN NE 68583 470491233 State of NE 17129 N/A N/A RESEARCH UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL PO BOX 402420 ATLANTA GA 30384 566001393 State of NC 173557 N/A N/A RESEARCH UNIVERSITY OF NORTH CAROLINA AT WILMINGTON 601S COLLEGE ROAD-H0155 WILMINGTON NC 28403 561258660 State of NC 67986 N/A N/A RESEARCH UNIVERSITY OF NORTH TEXAS PO BOX 305250 DENTON TX 76203 756002149 State of TX 716870 N/A N/A RESEARCH UNIVERSITY OF PENNSYLVANIA PO BOX 785541 PHILADELPHIA PA 19178 231352685 501(c)(3) 185081 N/A N/A RESEARCH UNIVERSITY OF PITTSBURGH PO BOX 7406 PITTSBURGH PA 15213 250965591 501(c)(3) 259131 N/A N/A RESEARCH UNIVERSITY OF PUERTO RICO AT MAYAGUEZ CALL BOX 9000 MAYAGUEZ PR 00681 660433461 Government of PR 68965 N/A N/A RESEARCH UNIVERSITY OF SOUTH FLORIDA PO BOX 864568 ORLANDO FL 32886 592959590 501(c)(3) 746789 N/A N/A RESEARCH UNIVERSITY OF SOUTHERN CALIFORNIA SPONSORED PROJECTS ACCOUNTING FILE NO 52095 LOS ANGELES CA 90074 951642394 501(c)(3) 57434 N/A N/A RESEARCH UNIVERSITY OF TENNESSEE 62 S DUNLAP STE 300 MEMPHIS TN 38163 626001636 State of TN 9642 N/A N/A RESEARCH UNIVERSITY OF TEXAS AT AUSTIN PO BOX 7159 AUSTIN TX 78713 746000203 State of TX 573141 N/A N/A RESEARCH UNIVERSITY OF TEXAS AT DALLAS 800 W CAMPBELL RD AD37 RICHARDSON TX 75080 751305566 State of TX 198283 N/A N/A RESEARCH UNIVERSITY OF TEXAS HEALTH SCIENCE CENTER PO BOX 1898 SAN ANTONIO TX 78297 741586031 State of TX 33749 N/A N/A RESEARCH UNIVERSITY OF VIRGINIA 101 HOSPITAL DRIVE DAVIS 5 ROOM 5293 PO BOX 800793 CHARLOTTESVILLE VA 22908 546001796 501(c)(3) 7037 N/A N/A RESEARCH UNIVERSITY OF WASHINGTON 12455 COLLECTIONS DRIVE CHICAGO IL 60693 916001537 State of WA 694445 N/A N/A RESEARCH UNIVERSITY OF WISCONSIN 1111 HIGHLAND AVE RM B1002 WIMR MILWAUKEE WI 53705 391805963 501(c)(3) 473554 N/A N/A RESEARCH VACCINE & GENE THERAPY INSTITUTE 9801 SW DISCOVERY WAY PORT ST LUCIE FL 34987 364631835 501(c)(3) 23522 N/A N/A RESEARCH VANDERBILT UNIVERSITY MEDICAL PO BOX 121236 DEPT 1236 DALLAS TX 75312 620476822 501(c)(3) 90546 N/A N/A RESEARCH VIRGINIA COMMONWEALTH UNIVERSITY BOX 843039 RICHMOND VA 23284 546001758 State of VA 6418 N/A N/A RESEARCH WAKE FOREST UNIVERSITY FINANCIAL SVCS/GRANTS MGMT MED CTR BLVD WINSTONSALEM NC 27157 560532138 501(c)(3) 25987 N/A N/A RESEARCH WAYNE STATE UNIVERSITY PO BOX 02788 DETROIT MI 48202 386028429 State of MI 44112 N/A N/A RESEARCH WEST VIRGINIA UNIVERSITY RESEARCH CORP PO BOX 6002 MORGANTOWN WV 26506 550665758 501(c)(3) 22744 N/A N/A RESEARCH YALE UNIVERSITY PO BOX 1873 NEW HAVEN CT 06508 060646697 501(c)(3) 523676 N/A N/A RESEARCH AMERICAN CANCER SOCIETY 5020 TAMIAMI TRAIL N 108 STE 100 NAPLES FL 34103 131788491 501(c )3 62500 N/A N/A GENERAL SUPPORT AMERICAN SOCIETY FOR ENGINEERING EDUCATION PO BOX 71224 PHILADELPHIA PA 19176 370730118 501(c )3 8000 N/A N/A GENERAL SUPPORT CANCER SUPPORT COMMUNITY GREATER MIAMI INC 8609 S DIXIE HWY MIAMI FL 33143 650930551 501(c )3 35500 N/A N/A GENERAL SUPPORT GENETICS POLICY INSTITUTE INC 9314 FOREST HILL BLVD STE 2 WELLINGTON FL 33411 205509308 501(c )3 37000 N/A N/A GENERAL SUPPORT GILDAS CLUB SOUTH FLORIDA 119 ROSE DR FT LAUDERDALE FL 33316 650528626 501(c )3 28000 N/A N/A GENERAL SUPPORT H LEE MOFFITT CANCER CNTR & RESEARCH INSTITUTE HOSPITAL INC 12902 MAGNOLIA DRIVE TAMPA FL 33612 593238634 501(c )3 10000 N/A N/A GENERAL SUPPORT LEUKEMIA & LYMPHOMA SOCIETY 200 S PARK RD STE 140 HOLLYWOOD FL 33021 135644916 501(c )3 30000 N/A N/A GENERAL SUPPORT PANCREATIC CANCER ACTION NETWORK 1500 ROSECRANS AVE STE 200 MANHATTAN BCH CA 90266 330841281 501(c )3 10000 N/A N/A GENERAL SUPPORT SHARSHERET INC 1086 TEANECK RD STE 2G TEANECK NJ 07666 134198529 501(c )3 10000 N/A N/A GENERAL SUPPORT SUSAN G KOMEN MIAMI FT LAUDERDALE 1333 S UNIVERSITY DR STE 206 PLANTATION FL 33324 752844638 501(c )3 40000 N/A N/A GENERAL SUPPORT THRIVE NETWORKS GLOBAL INC 1611 TELEGRAPH AVENUE SUITE 1420 OAKLAND CA 94612 330316095 501(c )3 10200 N/A N/A GENERAL SUPPORT ULI - URBAN LAND INSTITUTE 3170 N FEDERAL HWY STE 106 LIGHTHOUSE PO FL 33064 530159845 501(c )3 5400 N/A N/A GENERAL SUPPORT UNITED WAY OF BROWARD COUNTY 1300 SOUTH ANDREWS AVENUE FT LAUDERDALE FL 33316 590624402 501(c )3 57500 N/A N/A GENERAL SUPPORT WINTERFEST INC 512 NE 3RD AVE FT LAUDERDALE FL 33301 650059092 501(c )4 76200 N/A N/A GENERAL SUPPORT 145 19 Scholarships for tuition housing meals and books 13661 398503271 N/A N/A Grants and Other Assistance - Research 1 10875 N/A N/A Part I, Line 2: Procedure for Monitoring Grants: Grants to organizations and individuals awarded for the purpose of conducting research are monitored as follows: Subcontracts are issued with a defined scope of work and a budget and include other terms and conditions such as frequency of required reporting. The faculty member at the University of Miami responsible for the grant monitors the scientific progress via site visits, correspondence, reports, etc. Invoices submitted for payments by the outside organization or by an individual are approved by the University of Miami Faculty member responsible for the grant. Schedule I, Part III: Assistance to the University students in the form of scholarships are awarded for the purpose of aiding with the cost of attending the University (i.e., for tuition, housing and meals). Scholarships are based on need and academic achievement. Total scholarships, grants and loans cannot exceed the total cost of attendance. The University publishes criteria for the eligibility requirements needed to award a scholarship. The amount of aid awarded is based on a need analysis formula developed by the federal government and includes verification of the information submitted by the student. X X X X X X 1 1 X X 1 0 0 0 0 1 0 1 0 Julio Frenk President 411258 0 100000 0 194480 0 0 0 430626 0 1136364 0 0 0 Leslie Dellinger Aceituno Assistant University Secretary 122779 0 0 0 814 0 14451 0 13212 0 151256 0 0 0 Stephen Cawley VP for Information Technology 434199 0 0 0 834 0 26500 0 22586 0 484119 0 0 0 Mark Diaz VP of Budget and Planning 475976 0 500000 0 424450 0 24729 0 67416 0 1492571 0 0 0 Rodolfo Fernandez VP for Government Affairs 271449 0 0 0 38613 0 26500 0 44526 0 381088 0 0 0 P Goldschmidt-Clermont Sr VP Medical Affairs-Dean 1168069 0 241500 0 149349 0 29150 0 65123 0 1653191 0 0 0 Sergio M Gonzalez Sr VP, Advancement & External Affair 641718 0 100000 0 69373 0 27589 0 62987 0 901667 0 0 0 Rudolph Rudy Green VP & Chief Compliance Officer 305516 0 0 0 5051 0 26445 0 20552 0 357564 0 0 0 John G Haller VP, Enrollment Management 324998 0 0 0 20740 0 8500 0 23001 0 377239 0 0 0 Geoffrey Kirles VP & Treasurer 285733 0 100000 0 60919 0 0 0 12504 0 459156 0 0 0 Thomas J LeBlanc Executive VP & Provost 750505 0 0 0 75096 0 29150 0 20793 0 875544 0 0 0 Larry D Marbert VP for Real Estate & Facilities 387305 0 0 0 18329 0 26500 0 7592 0 439726 0 0 0 Jacqueline R Menendez VP for University Communications 307581 0 25000 0 24286 0 26500 0 30366 0 413733 0 0 0 Nerissa Morris VP for Human Resources 429982 0 0 0 24537 0 26500 0 9772 0 490791 0 0 0 Joseph T Natoli Sr VP Business & Finance and CFO 942483 0 0 0 146921 0 26500 0 21598 0 1137502 0 0 0 Aileen M Ugalde Secretary of the University 551644 0 0 0 37537 0 31819 0 35569 0 656569 0 0 0 Patricia A Whitely VP for Student Affairs 362117 0 0 0 65824 0 39858 0 22219 0 490018 0 0 0 Nestor de la Cruz-Munoz Associate Professor Dept of Surgery 581482 0 879071 0 147085 0 26500 0 20528 0 1654666 0 0 0 Alfred J Golden Head Coach, Football 124627 0 20000 0 2485334 0 26500 0 17549 0 2674010 0 0 0 Lee D Kaplan Professor, Orthopaedics 683469 0 302139 0 528895 0 26500 0 22928 0 1563931 0 0 0 James J Larranaga Head Coach, Basketball 245543 0 0 0 1237032 0 26500 0 17660 0 1526735 0 0 0 Dipen J Parekh Professor, Urology 846865 0 154650 0 270800 0 26500 0 20776 0 1319591 0 0 0 Donna E Shalala President (former) 500000 0 225000 0 741927 0 29150 0 5515 0 1501592 0 0 0 Theresa L Ashman Associate VP & Controller (fmr) 258802 0 6828 0 17671 0 17449 0 17361 0 318111 0 0 0 Richard Ballard CEO, UMHC (former) 412297 0 79952 0 39132 0 26500 0 24976 0 582857 0 0 0 Steven Falcone Chief Exec, UHealth Clinical (fmr) 565468 0 149163 0 172120 0 29150 0 22716 0 938617 0 0 0 Michael Gittelman CEO, ABLEH (former) 374164 0 71547 0 28168 0 26500 0 19964 0 520343 0 0 0 Alan S Livingstone MD Chief Exec, UHealth Clinical (fmr) 789071 0 200000 0 98338 0 29150 0 19653 0 1136212 0 0 0 David A Lubarsky Chief Integration Officer (fmr) 663583 0 200000 0 362886 0 29150 0 23446 0 1279065 0 0 0 John R Shipley VP & Treasurer (former) 166301 0 0 0 353739 0 17083 0 10469 0 547592 0 0 0 John Sory Chief Exec,UHealth Rgnl Alliance(fmr 450418 0 90848 0 975 0 26335 0 17401 0 585977 0 0 0 Part I, Line 1a First Class Travel: First class travel was provided to Sergio Gonzalez, Former President, Donna E. Shalala, President Julio Frenk, and James J. Larranaga. The amounts were not included in taxable income. House and Household Assistance: A house and household assistance is provided to the Former President, Donna E. Shalala, and Current President Julio Frenk at the convenience of the employer as a condition of employment. The amounts were not included in taxable income, for Former President Donna Shalala. Certain amounts were included in taxable income for President Julio Frenk. Travel for Companions: Companion travel was provided for President Julio Frenk, Sergio M. Gonzalez, and James J. Larranaga. Amount was not included in taxable income. Club Dues: Club dues were provided for Sergio M. Gonzalez, Thomas J. Leblanc, Joseph T. Natoli, Donna E. Shalala, James J. Larranaga, Jacqueline Menendez, and Alfred J. Golden. The amounts were included in taxable income. Social Club Dues: Social club dues were provided for Rodolfo Fernandez, Jacqueline Menendez, Sergio M. Gonzalez and Donna E. Shalala. The amounts were not included in taxable income. Tax Gross-Up Payments: Tax Gross-Up Payments were provided to Former President Donna Shalala, and Geoffrey Kirles. Part I, Question 4a, Severance Payments: Severance payments were provided to Donna E. Shalala of $666,000; John Shipley of $350,000; and Alfred Golden of $303,431. Part I, Line 6 Hospital & Clinic may provide incentives to certain officers, and highly compensated individuals. Incentive payment are based on productivity / efficiency measures, as well as certain financial targets. Part I, Line 7 Certain officers received sign-on bonuses, and one time payments for assuming duties outside of their job requirements / description A Miami-Dade Co Educ Fac Authority 596000573 59333AFW6 2007-04-26 473302568 See Schedule K, Part VI 1 0 0 B Miami-Dade Co Educ Fac Authority 596000573 59333ALR0 2012-12-12 106138985 See Schedule K, Part VI 0 0 0 C Miami-Dade Co Educ Fac Authority 596000573 59333AMB4 2015-10-07 432889335 See Schedule K, Part VI 0 0 0 A 68255000 155070000 480088974 17381191 303488136 3097405 3351958 152770285 2009 1 1 1 1 B 106148707 1362336 929658 25082031 78543987 230694 2014 1 0 0 1 C 433067271 4015721 221307671 2151671 85557168 120035039 2017 1 1 0 1 A 0 1 1 1 1 1 0.00290 0.00660 0.00950 0 0 1 B 0 1 1 1 1 1 0.00100 0.00100 0 0 1 C 0 1 1 1 1 1 0.00120 0.00120 0 0 1 A 1 0 0 1 Bayerische Landesbank 2.100000000000 1 1 1 B 0 1 0 0 0 0 0 1 1 C 0 1 0 0 0 0 0 1 1 A 1 B 1 C 1 Schedule K, Part I - Line A, Column F: Acquire, construct, equip and renovate University facilities and refunding of prior issues: Series 1993- Issue Date January 5, 1994; Series 1996A- Issue Date March 13, 1996; Series 1996B - Issue Date October 1, 1996; Series 1997A - Issue Date January 10, 1997; Series 1997B - Issue Date April 1, 1997; Series 2000A - Issue Date December 7, 1999; Series 2000B - Issue Date February 3, 2000; Series 2004A - Issue Date January 28, 2004. Schedule K, Part I - Line B, Column F: Finance or refinance the acquisition, construction, renovation and equipping of University facilities. Schedule K, Part I - Line C, Column F: Finance or refinance the costs of the acquisition, construction, renovation and equipping of University facilities and refunding of prior issues: Series 2007A - Issue date April 26, 2007 Series 2008A - Issue date May 8, 2008 Schedule K, Part I - Line C, Column C: CUSIP #59333AMB4,59333AMA6 Schedule K, Part II - Line 3, Column A: Variance of $6,786,406 when compared to Part I - Line A, Column (e) is due primarily to interest earnings. Schedule K, Part II - Line 3, Column B: Variance of $9,721 when compared to Part I - Line B, Column (e) is due primarily to interest earnings and unspent issuance cost from 2012B. Schedule K, Part II - Line 3, Column C: Variance of $177,936 when compared to Part I - Line C, Column (e) is due primarily to interest earnings. Schedule K, Part III - Line 7, Column A, B, & C: Analysis of the private security and payment test results that the bond issues do not meet the test. Schedule K, Part IV - Line 1, Column A: Form 8038-T filed on 6/28/2016 for the Series 2007. 81833 Disct Tuition Tuition Asst 8000 Scholarship Educ Assist Rosemarie Ugalde See Part V 123600 See Part V 0 Susan Dandes See Part V 110795 See Part V 0 Marlena Diaz See Part V 94902 See Part V 0 Sonia Mora See Part V 110733 See Part V 0 Eric Winter See Part V 87861 See Part V 0 Gino DiMare See Part V 149743 See Part V 0 Ryan Dandes See Part V 54139 See Part V 0 Jeanette Gonzalez-Calles See Part V 34603 See Part V 0 George Williamson III See Part V 39000 See Part V 0 Leo Ramos Jr See Part V 50755 See Part V 0 Nicholas Ramos See Part V 45623 See Part V 0 Marc Buoniconti See Part V 102083 See Part V 0 Stephen Marbert See Part V 46410 See Part V 0 Felicia Knaul See Part V 304278 See Part V 0 Schedule L, Part IV - Lines 2, 5-9, 12, 14, Col B Family member of trustee. Schedule L, Part IV - Lines 1, 3-4, 10, 11, 13-14, Col B Family member of officer. Schedule L, Part IV - Lines 1-14, Col D Family member employment. X 163 645758 Fair Market Value X 2 20300 Fair Market Value X 174 53093708 Fair Market Value X 1 210000 Fair Market Value X Equipment 6 245067 Fair Market Value X Auction Items 269 0 See Part II 9 0 1 1 Part I, Line 32b: Third Party or Related Organizations Utilized: The University utilizes external brokers to sell securities when the donated securities are not deemed to fit into the University's investment portfolio. Part I, Line 33: Items Included On Schedule M Not In Revenue: a. Part I, Line 17 - Real Estate Property: The University of Miami's policy is to record the value of donated real estate for accounting purposes at $1 if the University is not able to use the asset in its exempt mission. At such time as the real estate is sold, the proceeds of the sale are recorded as contribution revenue. b. Part I, Line 26 - Auction items: Columns B and C include items donated for sale at fundraising event auctions (such as gift certificates, etc.) which are subsequently sold at fundraising event auctions but which are not included on form 990, Part VIII, Line 1(g). Form 990, Part VI, Section A, line 2 Family and Business Relationships: Stuart Miller - Trustee, and Steven Saiontz - Trustee - Business Relationship; Manuel Kadre - Trustee, Pascal Goldschmidt - Officer - Business Relationship; Charles Cobb-Trustee, Jorge Perez - Trustee - Business Relationship; Phillip T. Frost - Trustee, Phillip T. George - Trustee - Business Relationship; Marc Buoniconti - Trustee, Nicolas Buoniconti - Trustee, Paul DiMare - Trustee, Pascal Goldschmidt - Officer, Sergio Gonzalez - Officer - Business Relationship; Marc Buoniconti - Trustee, Nicolas Buoniconti - Trustee - Family Relationship Form 990, Part VI, Section B, line 11 Board Review of Form 990: Process by which the governing body was provided a copy of form 990 prior to filing: Form 990 is prepared by the University's Office of the Controller and reviewed by KPMG, LLP. Due to schedule constraints of committee chairs and members, the meeting dates for the Audit and Compliance Committee fluctuate from year to year. The University provides Form 990 to the Committee prior to filing. If the Committee's meeting dates do not coincide with the availability of the return, it is provided to the Committee electronically with time provided for questions and comments. Subsequent to the Committee's review a copy of the final return is shared with all voting members of the Board prior to filing. Form 990, Part VI, Section B, line 12c Monitoring and Compliance with Conflict of Interest Policy: The Office of the Secretary of the Board of Trustees sends an annual conflict of interest questionnaire together with the policy adopted by the Board to all trustees, officers and key employees. Once replies are received, they are reviewed by the Vice President and Chief Compliance Officer and the Chair of The Conflict of Interest Sub-Committee. When apparent conflicts arise, the Sub-Committee reviews and makes recommendations to the Executive Committee for management or denial of the relationship or proposal creating the conflict. Form 990, Part VI, Section B, line 15 Process for Review of Compensation of Officers and Key Employees: The Compensation Review Sub-Committee of the Executive Committee reviews a summary of proposed compensation and survey data for any offer to a new officer or key employee of the University, including the President and trustees who are employees of the University. Once the compensation is approved, it is provided to the payroll office as a record of the committee's approval. Minutes of the meeting of the Compensation Review Sub-Committee of the Executive Committee are recorded by the Office of the Secretary. The following process is performed annually, typically at the April/May meeting of the Compensation Review Sub-Committee of the Executive Committee to approve compensation for the President, Executive Vice President and Provost, Senior Vice Presidents, the Vice President, General Counsel and Secretary, Vice President and Chief Compliance Officer, the Intercollegiate Athletic Director, and employees who are current trustees and former trustees for up to 5 years following conclusion of their service on the board: each officer's supervisor completes a written performance review and proposes a salary increase, prior to the meeting. The University participates in an annual comprehensive compensation survey compiled by an actuarial firm. The actuarial firm produces a survey of universities across the United States and, separately, data from for-profit corporations for positions that have a for-profit equivalent. The Compensation Review Sub-Committee of the Executive Committee receives the performance appraisals for each officer, key employee and trustee/employee, the completed survey prepared by the actuary, and the current and proposed salaries and other cash compensation for each officer and key employee, including the President and trustees who are employees of the University. After review and discussion, the Compensation Review Sub-Committee of the Executive Committee approves the compensation for those officers listed above, including the President, who is excused while deliberation about his/her compensation is discussed, and trustees who are employees of the University. Once the compensation is approved, it is provided to the payroll office as a record of the committee's approval. Minutes of the meeting of the Compensation Review Sub-Committee of the Executive Committee are recorded by the Office of the Secretary. The sub-committee reviews executive compensation in April/May as described above. Form 990, Part VI, Section C, line 19 Governing Documents, Conflict of Interest Policy and Financial Statements Made Available to the General Public: The State of Florida, Department of State, Division of Corporations requires an annual registration filing, including any changes to Charter. Once filed, the Charter can be viewed on the State of Florida web site. Financial statements of the university are made available on the University's website. The University's financial statements are also made available to the general public on the federal government's census bureau website. The University's Bylaws and the Board's Conflict of Interest Policy are not made available to the public. Form 990, Part VII, Section A, Officers, Directors, Trustees: Edward A. Dauer is a Trustee and also serves as Research Associate Professor in the College of Engineering. Average hours per week estimate of 40 hours is based on a full time teaching load. Marc Buoniconti is a Trustee and also Senior Director - Advocacy and Donor Relations at the Miami Project to Cure Paralysis. Average hours per week estimate of 40 hours minimum is based on his being a full time, exempt employee. Form 990, Part XI, line 9: Pension related changes other than Net Periodic Benefit Cost -65,813,516. Other -6,633. Refunds of Contributions -106,663. Biscayne View Properties LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 590624458 Real Estate FL University of Miami Crestre LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 37095 678151 Biscayne View Properties LLC 1509 Venture LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 1799583 Biscayne View Properties LLC East Urban LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 30874 1090004 Biscayne View Properties LLC Tripop LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 202458426 Real Estate FL 4314217 Biscayne View Properties LLC 7th Avenue Market LLC 1320 South Dixie Hwy Suite 705 Coral Gables FL 33146 202458426 Real Estate FL 3021836 Biscayne View Properties LLC Equi Terra LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 590624458 Real Estate FL University of Miami Ten Bor LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 273025289 Real Estate FL Equi Terra LLC PT Property Holding LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 273025289 Real Estate FL Equi Terra LLC University of Miami Preservation LLC 1252 Memorial Drive Room 230 Coral Gables FL 33146 590624458 Hold UM Designated Easement FL University of Miami Boston House LLC 1395 Brickell Avenue 14th Floor Miami FL 33131 590624458 Real Estate FL University of Miami WVUM Inc PO Box 248191 Coral Gables FL 33124 591729614 Edu Radio FL 501(C)(3) Line 7 N/A 1 University Rathskeller Inc 1330 Miller Drive Coral Gables FL 33146 591410632 Student Food & Beverage FL 501(C)(3) Line 5 N/A 1 Friends of the School of Music 12394 SW 82 Avenue Miami FL 33156 650201227 Fundraising FL 501(C)(3) Line 9 N/A 0 Ophthalmology Research Foundation Inc PO Box 015869 Miami FL 33101 237081974 Fundraising FL 501(C)(3) Line 11c, III-FI N/A 0 The Buoniconti Fund to Cure Paralysis 1095 NW 14th Terrace Miami FL 33136 650244316 Fundraising FL 501(C)(3) Line 7 N/A 0 Florida Lions Eye Bank Inc 900 NW 17th Street 3rd Floor Miami FL 33136 590967012 Fundraising/Donation FL 501(C)(3) Line 9 N/A 0 CRUT (8) Charitable Remainder Unitrust FL N/A 0 Perpetual (2) Perpetual Trust FL N/A 0 University of Miami Insurance Co Ltd Clarendon House 2 Church St HM 11 BD Insurance BD UM C 11 123358 1.00000 1 1 0 0 1 0 0 0 0 0 0 0 1 0 0 1 1 0 0 1 1 WVUM Inc R 143173 See Part VII Form 990 - Schedule, R, Part V, Line 2 Method used to determine the transaction amounts with controlled organizations is based on cash provided to, or received from each controlled organization.