2016-12-13T14:09:27-07:00 2016-04-30 990 2015-05-01 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 2016-12-13 2015 2017-02-10 21:41:12Z Robert M Specter 620 Michigan Ave NE Leahy Hall 260 Washington DC 20064 374441958 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. IT WAS FOUNDED AND (Continued on Schedule O) 47 46 4436 2334 1727733 0 23372349 33492311 276984264 276129006 26030996 10491329 1281126 1616814 327668735 321729460 81126551 84367791 0 0 135514522 133668038 174492 204341 5173218 85400588 89672971 302216153 307913141 25452582 13816319 607821655 605134994 150158328 146519837 457663327 458615157 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. THE CATHOLIC UNIVERSITY OF AMERICA IS COMMITTED TO BEING A COMPREHENSIVE CATHOLIC AND (continued on Schedule O) 0 0 98197463 0 214939848 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 6,521 OF WHICH 3,480 ARE UNDERGRADUATE AND 3,041 ARE GRADUATE STUDENTS (FALL 2015). THE UNIVERSITY OFFERS 66 DOCTORAL PROGRAMS, 103 MASTERS PROGRAMS AND 74 BACHELORS PROGRAMS. THE FACULTY CONSISTS OF 399 FULL-TIME AND 367 PART-TIME MEMBERS. OF THE FULL-TIME FACULTY 88% HOLD DOCTORAL OR PROFESSIONAL DEGREES. 84367791 84367791 0 SCHOLARSHIP PROGRAMS: FINANCIAL AID TO STUDENTS INCLUDES SCHOLARSHIPS, REMITTED TUITION AND STIPENDS FOR BOTH UNDERGRADUATE AND GRADUATE STUDY. 6,589 SCHOLARSHIPS WERE AWARDED DURING FISCAL YEAR 2016. 59469380 0 29176717 OTHER PROGRAM SERVICES - SPONSORED RESEARCH: THE UNIVERSITY RECEIVED 236 SPONSORED RESEARCH AWARDS SPANNING ALL DISCIPLINES. LIBRARY PROGRAMS: THERE ARE 1.4 MILLION VOLUMES IN THE GENERAL LIBRARY SYSTEM AND IN THE LAW LIBRARY. CUA 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. 29581122 0 31163440 AUXILIARY SERVICES: UNIVERSITY DORMITORIES CONSIST OF 17 RESIDENCE HALLS WHICH PROVIDE LIVING QUARTERS FOR 2,065 STUDENTS. OCCUPANCY RATE AS OF FALL 2015 WAS 100.7%. THE UNIVERSITY ALSO PROVIDES RECREATIONAL FACILITIES, DINING SERVICES, PARKING, AND OTHER SELF-SUPPORTING FACULTY, STAFF AND STUDENT SERVICES. 29581122 0 31163440 271615756 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 X 8801 0 1 4436 1 1 0 1 IT 0 0 0 1 1 0 0 0 0 X 47 46 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 X ROBERT M SPECTER 2023195606 620 Michigan Ave NE Leahy Hall 260 Washington DC 20064 JOHN H GARVEY PRESIDENT 40 0 X X 456139 0 39170 CARL A ANDERSON BOARD OF TRUSTEE 2 0 X 0 0 0 ARCHBISHOP SAMUEL J AQUILA BOARD OF TRUSTEE 2 0 X 0 0 0 LEE ANN JOINER BRADY BOARD OF TRUSTEE 2 0 X 0 0 0 BISHOP MICHAEL F BURBIDGE BOARD OF TRUSTEE 2 0 X 0 0 0 TIMOTHY R BUSCH ESQ BOARD OF TRUSTEE 2 0 X 0 0 0 JOSEPH L CARLINI BOARD OF TRUSTEE 2 0 X 0 0 0 ARCHBISHOP CHARLES J CHAPUT BOARD OF TRUSTEE EFF. 6/1/2015 2 0 X 0 0 0 BISHOP OCTAVIO CISNEROS BOARD OF TRUSTEE EFF. 6/1/2015 2 0 X 0 0 0 LEO A DALY III BOARD OF TRUSTEE 2 0 X 0 0 0 CARDINAL DANIEL N DINARDO BOARD OF TRUSTEE 2 0 X 0 0 0 CARDINAL TIMOTHY M DOLAN BOARD OF TRUSTEE 2 0 X 0 0 0 SISTER JANET EISNER SND BOARD OF TRUSTEE 2 0 X 0 0 0 BISHOP KEVIN J FARRELL BOARD OF TRUSTEE 2 0 X 0 0 0 BISHOP DANIEL E FLORES BOARD OF TRUSTEE EFF. 6/1/2015 2 0 X 0 0 0 ARCHBISHOP JOSE H GOMEZ BOARD OF TRUSTEE 2 0 X 0 0 0 ARCHBISHOP WILTON D GREGORY BOARD OF TRUSTEE 2 0 X 0 0 0 STEPHEN J KANEB BOARD OF TRUSTEE 2 0 X 0 0 0 ARCHBISHOP JOSEPH E KURTZ BOARD OF TRUSTEE 2 0 X 0 0 0 ARCHBISHOP JEROME E LISTECKI BOARD OF TRUSTEE 2 0 X 0 0 0 ARCHBISHOP WILLIAM E LORI BOARD OF TRUSTEE EFF. 6/1/2015 2 0 X 0 0 0 BISHOP PAUL S LOVERDE BOARD OF TRUSTEE 2 0 X 0 0 0 BISHOP GREGORY J MANSOUR BOARD OF TRUSTEE 2 0 X 0 0 0 BISHOP ROBERT J MCMANUS BOARD OF TRUSTEE 2 0 X 0 0 0 MICHAEL J MILLETTE BOARD OF TRUSTEE EFF. 12/1/2014 2 0 X 0 0 0 JAMES MOYE BOARD OF TRUSTEE 2 0 X 0 0 0 MARK A MURRAY BOARD OF TRUSTEE 2 0 X 0 0 0 ARCHBISHOP JOHN C NIENSTEDT BOARD OF TRUSTEE 2 0 X 0 0 0 ANNE E O'DONNELL MD BOARD OF TRUSTEE 2 0 X 0 0 0 BISHOP THOMAS J OLMSTED BOARD OF TRUSTEE 2 0 X 0 0 0 CARDINAL SEAN P O'MALLEY OFM CAP CHAIRMAN BOARD OF TRUSTEE 2 0 X 0 0 0 BISHOP JOSEPH A PEPE BOARD OF TRUSTEE 2 0 X 0 0 0 NEIL J RAUENHORST BOARD OF TRUSTEE EFF. 6/1/2015 2 0 X 0 0 0 E JEFFREY ROSSI ESQ BOARD OF TRUSTEE EFF. 6/1/2015 2 0 X 0 0 0 MONSIGNOR WALTER R ROSSI BOARD OF TRUSTEE 2 0 X 0 0 0 CATHARINE MURRAY RYAN BOARD OF TRUSTEE 2 0 X 0 0 0 TIMOTHY C SHEVE BOARD OF TRUSTEE 2 0 X 0 0 0 ENRIQUE SEGURA BOARD OF TRUSTEE 2 0 X 0 0 0 VICTOR P SMITH ESQ BOARD OF TRUSTEE 2 0 X 0 0 0 ANTHONY R TERSIGNI BOARD OF TRUSTEE 2 0 X 0 0 0 BISHOP THOMAS J TOBIN BOARD OF TRUSTEE 2 0 X 0 0 0 MONSIGNOR PETER J VAGHI BOARD OF TRUSTEE 2 0 X 0 0 0 MICHAEL P WARSAW BOARD OF TRUSTEE 2 0 X 0 0 0 ARCHBISHOP THOMAS G WENSKI BOARD OF TRUSTEE 2 0 X 0 0 0 ANTHONY A WILLIAMS ESQ BOARD OF TRUSTEE 2 0 X 0 0 0 CAROLYN Y WOO BOARD OF TRUSTEE 2 0 X 0 0 0 CARDINAL DONALD W WUERL BOARD OF TRUSTEE CHANCELLOR 2 0 X 0 0 0 BISHOP SALVATORE J CORDILEONE BOARD OF TRUSTEE RESIGNED 6/1/2015 2 0 X 0 0 0 BISHOP NICHOLAS A DIMARZIO BOARD OF TRUSTEE RESIGNED 6/1/2015 2 0 X 0 0 0 ARCHIBISHOP ALLEN H VIGNERON BOARD OF TRUSTEE RESIGNED 6/1/2015 2 0 X 0 0 0 ANDREW V ABELA PROVOST EFF. 6/3/2015 40 0 X 391476 0 41817 REV MARK M MOROZOWICH FORMER PROVOST 9/24/14-6/2/15 40 0 X 110268 0 21464 ROBERT M SPECTER VP FOR FINANCE/TREASURER EFF. 8/17/2015 40 0 X 110827 0 3806 CATHY R WOOD VP FOR FINANCE/TREAS. RESIGNED 8/15/15 40 0 X 204982 0 22335 CHRISTOPHER P LYDON VP FOR ENROLLMENT MGT EFF. 6/22/2015 40 0 X 164017 0 13032 W MICHAEL HENDRICKS VP FOR ENROLLMENT MGT RESIGNED 6/5/2015 40 0 X 108955 0 18452 SCOTT P REMBOLD VP INSTITUTIONAL ADVANCEMT EFF. 6/24/2015 40 0 X 247109 0 26618 MICHAEL S ALLEN VP OF STUDENT AFFAIRS 40 0 X 208648 0 36128 FRANK G PERSICO VP UNIVERSITY RELATIONS & CHIEF OF STAFF 40 0 X 319175 0 29338 DANIEL ATTRIDGE DEAN AND PROFESSOR OF LAW 40 0 X 291013 0 37546 IAN L PEGG PHYSICS DIRECTOR VSL AND PROFESSOR 40 0 X 403327 0 34220 CHARLES C NGUYEN DEAN SCHOOL OF ENGINEERING 40 0 X 245528 0 40245 MARTIN R SCORDATO LAW SCHOOL ORDINARY PROFESSOR 40 0 X 215058 0 23691 GEORGE P SMITH LAW SCHOOL ORDINARY PROFESSOR 40 0 X 208670 0 26856 LAWRENCE J MORRIS GENERAL COUNSEL 40 0 X 208475 0 22719 JAMES F BRENNAN FORMER PROVOST RESIGNED 9/23/14 40 0 X 261763 0 32511 LAWRENCE R POOS FormerDEAN ARTS/SCIENCES RESIGNED 9/1/14 40 0 X 118004 0 12902 GEORGE GARVEY ORDINARY PROFESSOR LAW SCHOOL 40 0 X 200682 0 21897 VERYL V MILES LAW SCHOOL ORDINARY PROFESSOR 40 0 X 163317 0 31696 4637433 0 536443 179 1 1 0 Deltak EDU LLC 1415 WEST 22ND ST SUITE 400 OAK BROOK IL 60523 ONLINE COURSE MANAGEMENT 3153451 MONROE STREET BLOCK A-1 RETAIL LLC 625 MONROE STREET NE WASHINGTON DC 20017 LEASING AGENT 647707 INSTITUTE FOR THE INTERNATIONAL EDUCATION OF STUDENTS 33 W MONROE STREET SUITE 2300 CHICAGO IL 60603 STUDY ABROAD PROGRAM SVCS 520355 PRICE WATERHOUSE COOPERS LLP 495 POST ROAD EAST WESTPORT CT 06880 AUDIT SERVICES 328000 TRULY FINE PAINTING AND DECORATING 7301 SOUTH OSBORNE ROAD UPPER MARLBORO MD 20772 PAINTING CONTRACTORS 272575 23 21901 0 1834 0 0 33468576 487145 33492311 TUITION 611600 214939848 214939848 0 0 FEDERAL AND PRIVATE GRANTS 541700 25387660 25387660 0 0 HOUSING 721310 17862102 17862102 0 0 FOOD SERVICE 722210 12355942 12355942 0 0 BOOKSTORE 451211 307279 307279 0 0 5276175 3789057 1487118 0 276129006 3034458 0 169693 2864765 131 0 0 131 204422 0 0 204422 144853 0 0 0 144853 0 144853 0 70922 73931 59874357 5050 52422667 0 7451690 5050 7456740 0 0 7456740 21875 1834 16158 5717 0 5717 0 0 0 0 0 0 897378 273673 623705 0 0 623705 NONACADEMIC REGISTRATION FEES 900099 57500 57500 0 0 INTEREST INCOME- STUDENTS 900099 580617 580617 0 0 0 0 0 0 638117 321729460 275280005 1727733 11229411 0 0 84367791 84367791 0 0 0 0 4060581 1478907 2581674 0 0 105184279 93599281 8625724 2959274 7396611 6333882 880716 182013 10255748 9376268 664988 214492 6770819 5856797 732534 181488 12701035 12701035 0 0 1338129 431030 907099 0 653099 35094 618005 0 0 0 0 0 204341 204341 1203405 0 1203405 0 11136845 8507754 2445059 184032 617024 511453 95938 9633 12267707 10362177 1350939 554591 2096882 662272 1364123 70487 669869 298906 370963 0 17947804 14235078 3712268 458 3293817 2958638 177127 158052 0 0 0 0 489236 335064 135372 18800 0 0 0 0 0 0 0 0 11826497 11826497 0 0 1258212 146873 1111339 0 HONORARIA/EDITORIAL/FREELANCE SERVICES 2624978 2600759 20699 3520 ENTERTAINMENT/CATERING/GUEST MEALS 3268348 2591114 270815 406419 MEMBERSHIPS 635420 358963 271431 5026 DOUBTFUL ACCOUNT EXPENSES 2626507 219 2626288 0 3018157 2039904 957661 20592 307913141 271615756 31124167 5173218 36442714 25914548 0 0 14401867 27722966 8871722 9761608 0 0 0 0 7304882 7574121 781854 759062 5624746 4704942 414711654 225450186 187985605 189261468 79451032 82291641 263256410 252680912 0 0 0 3700823 4463726 607821655 605134994 27142867 24889873 0 0 6614497 8893361 97973293 94548427 0 0 0 0 1852506 1549593 0 0 16575165 16638583 150158328 146519837 X 272387545 268626356 92101922 94985147 93173860 95003654 457663327 458615157 607821655 605134994 13816319 -13537624 673135 0 0 0 X 0 1 X 1 1 1 X 14633662 14725209 22249386 23372349 33492311 108472917 0 0 0 0 0 0 0 0 0 0 0 0 14633662 14725209 22249386 23372349 33492311 108472917 4450524 104022393 3917610 2688081 3150367 3115472 3383864 16255394 0 0 0 0 0 0 6799563 1300017 1721500 1736891 1557370 13115341 137843652 1367748975 0.75464 0.7581 X Schedule A, Part II, Line 10 Other Income Total = 13,115,341. Nature and source of each amount contained within this Total of Other income is as follows: Non-Academic Registration Fees = 529,072; Interest Income-Students = 1,870,850; Change in Estimates-CARO = 2,779,941; Gain Settlement-CARO= 88,756; Income from GATE Loan Program = 267; Recovery from a Prior Period = 2,714,988; Gross Income from Fundraising Events = 567,897; Gross Sales of Inventory = 4,563,570. RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 X X X X 0 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 159174647 1968473 -1200191 3400709 6463277 85881 149993062 0.2587 0.7413 0 0 0 0 23525227 23525227 0 302038358 147968142 154070216 0 5674242 526135 5148107 0 45699029 40571953 5127076 0 37774798 36383956 1390842 189261468 0 0 MONEY MARKET FUNDS AND TEMPORARY INVESTMENTS 1417150 F OTHER LEVEL 2 & 3 INVESTMENTS 188947657 F REAL ESTATE 32150001 F LIMITED PARTNERSHIP & PRIVATE EQUITY 25609134 F VENTURE CAPITAL 4556970 F 252680912 0 ASSET RETIREMENT OBLIGATIONS 8405135 REFUNDABLE ADVANCES FROM THE U.S. GOVERNMENT 6885613 SPLIT-INTEREST AGREEMENTS 1212282 AGENCY LIABILITY 135553 16638583 X 222205460 -13537624 673135 0 -84077960 -96942449 319147909 1203405 1378146 2581551 321729460 221253630 0 0 0 289831 289831 220963799 1203405 85745937 86949342 307913141 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 CONSISTS OF PAINTINGS, ANTIQUE FURNITURE, ASIAN ARTS, AND SCULPTURES. STUDENTS FROM 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 RE-PRODUCTION 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 BORROWERS' 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 IN CONSIDERATION OF ACCOUNTING STANDARDS RELATED TO INCOME TAXES, THE UNIVERSITY CONCLUDED THERE WERE NO OPEN POSITIONS THAT RESULT IN MATERIAL UNRECOGNIZED TAX BENEFITS OR WHICH MAY HAVE ANY EFFECT ON ITS TAX-EXEMPT STATUS AS OF APRIL 30, 2016. Schedule D, Part XI, Line 2d COST OF GOODS SOLD=$273,673 + GOLF OUTING EXPENSES=$16,158- GRANTS AND OTHER ASSISTANCE TO INDIVIDUALS = $84,367,791 TOTAL LINE 2d ($84,077,960). Schedule D, Part XI, Line 4b UNITRUST PAYMENTS=$48,646+STUDENT LOAN PROGRAM COLLECTION FEES=$12,345+LOSS ON DISPOSAL OF EQUIPMENT=$365,130+LOSS ON BOND DEFEASANCE=$952,025. Schedule D, Part XII, Line 2d COST OF GOODS SOLD=$273,673 + GOLF OUTING EXPENSES=$16,158 Schedule D, Part XII, Line 4b GRANTS AND OTHER ASSISTANCE TO INDIVIDUALS=$84,367,791 + UNITRUST PAYMENTS=$48,646+STUDENT LOAN PROGRAM COLLECTION FEES=$12,345+LOSS ON DISPOSAL OF EQUIPMENT=$365,130+LOSS ON BOND DEFEASANCE=$952,025. 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, APPLICATION, IN THE PACKET OF INFORMATION RECEIVED 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 30 Program Services GLOBAL EDUCATION PROGRAMS 3252782 Europe (including Iceland and Greenland) 0 0 Conducting Board Meetings SITE VISIT FOR FUTURE BOARD OF TRUSTEE MEETING 24659 Europe (including Iceland and Greenland) 0 0 Speaking at Seminars or Conferences CAMPUS DEDICATION OF AUSTRALIAN CATHOLIC UNIVERSITY IN ROME 5067 South America 0 1 Program Services GLOBAL EDUCATION PROGRAMS 8064 Central America and the Caribbean 0 2 Program Services GLOBAL EDUCATION PROGRAMS 90574 North America (including Canada and Mexico, but not the United States) 0 2 Program Services GLOBAL EDUCATION PROGRAMS 97547 East Asia and the Pacific 0 1 Program Services GLOBAL EDUCATION PROGRAMS 52026 Europe (including Iceland and Greenland) 0 0 Investments 487951 1 36 4018670 1 0 1 1 0 0 Schedule F, Part I, Line 3 METHOD TO ACCOUNT FOR EXPENDITURES ON ORGANIZATION'S FINANCIAL STATEMENTS. CENTRAL AMERICA AND THE CARIBBEAN: ACCRUAL; EUROPE (INCLUDING ICELAND AND GREENLAND): ACCRUAL; EAST ASIA AND PACIFIC: ACCRUAL; NORTH AMERICA (CANADA & MEXICO ONLY): ACCRUAL; SOUTH AMERICA: ACCRUAL. X X X X X X X 1 RUFFALO NOEL LEVITZ LLC 1025 KIRKWOOD PARKWAY SW CEDAR RAPIDS IA 52404 PHONE PROGRAM 0 206090 193142 12948 TELECOMP INC 3375 BRIGHTON HENRIETTA TL RD ROCHESTER NY 14623 PHONE PROGRAM 0 26886 11200 15686 THE STELTER COMPANY 10435 NEW YORK AVE DES MOINES IA 50322 PLANNED GIVING NEWSLETTER 0 0 16534 -16534 THE STELTER COMPANY 10435 NEW YORK AVE DES MOINES IA 50322 DIGITAL MARKETING PLATFORM 0 0 5408 -5408 232976 226284 6692 DC FL MD GOLF OUTING 23709 1834 21875 0 212 12722 0 3224 0 0 0 23709 1834 21875 0 212 12722 0 3224 0 16158 5717 Schedule G, Part I, Line 2b TELECOMP, INC.- DESCRIPTION: PAYMENT OF FEES: $2,500 AND EXPENSE REIMBURSEMENTS $8,700. THE ANNUAL TELEPHONE FUNDRAISING FEES ARE PAID IN INSTALLMENTS. THE SERVICE PROVIDER PROVIDES A BASIC DESCRIPTION OF ANY OUT-OF-POCKET EXPENSES BILLED. RUFFALO NOEL LEVITZ, LLC- DESCRIPTION: PAYMENT OF FEES: $157,542 AND EXPENSES $35,600. WE PAY 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-POCKETS EXPENSES BILLED. 1 BASSELIN SCHOLARSHIP 14 472950 0 N/A N/A BOARD OF TRUSTEES SCHOLARSHIP 12 231750 0 N/A N/A CENTENNIAL SCHOLARSHIP 49 772201 0 N/A N/A DOCTORAL SCHOLARSHIP 128 2589183 0 N/A N/A DOL 10 10759 0 N/A N/A FIRST YEAR EXPERIENCE SCHOLARSHIP 65 422700 0 N/A N/A KNIGHTS OF COLUMBUS GRADUATE SCHOLARSHIP 6 167480 0 N/A N/A KNIGHTS OF COLUMBUS UNDERGRADUATE SCHOLARSHIP 17 25500 0 N/A N/A KOCH PHASE II SCHOLARSHIP 1 43400 0 N/A N/A LAW SCHOOL SCHOLARSHIP 279 5097684 0 N/A N/A MAGI ENDOWMENT SCHOLARSHIP 6 110490 0 N/A N/A MCSHAIN SCHOLARSHIP FOR SEMINARIANS 22 187475 0 N/A N/A METROPOLITAN COLLEGE SCHOLARSHIP 121 821402 0 N/A N/A MS IN BUSINESS ANALYSIS AWARD 1 9180 0 N/A N/A NATIONAL CATHOLIC SCHOOL OF SOCIAL SERVICE SCHOLARSHIP 69 314480 0 N/A N/A OTHER CATHOLIC UNIVERSITY SCHOLARSHIPS 3055 52956225 0 N/A N/A PELL GRANTS 2014/15 17 30568 0 N/A N/A PELL GRANT 2015/16 472 1901454 0 N/A N/A SCHOOL OF ARCHITECTURE & PLANNING SCHOLARSHIP 69 817967 0 N/A N/A SCHOOL OF ARTS & SCIENCES SCHOLARSHIP 232 3449093 0 N/A N/A SCHOOL OF CANON LAW SCHOLARSHIP 16 251625 0 N/A N/A SCHOOL OF EDUCATION SCHOLARSHIPS 11 3360 0 N/A N/A SCHOOL OF ENGINEERING SCHOLARSHIPS 37 671540 0 N/A N/A SCHOOL OF LIBRARY & INFO SCIENCE SCHOLARSHIPS 6 6750 0 N/A N/A SCHOOL OF MUSIC SCHOLARSHIPS 52 848925 0 N/A N/A SCHOOL OF PHILOSOPHY SCHOLARSHIPS 118 2194275 0 N/A N/A SCHOOL OF THEOLOGY AND RELIGIOUS STUDIES 199 3331100 0 N/A N/A SEOG GRANT 2015/16 259 488608 0 N/A N/A SESTILI FD-EXPERIENTIAL LEARNING SCHOLARSHIP 7 2000 0 N/A N/A SHEEHY SCHOLARSHIP 43 203538 0 N/A N/A STUDENT AID: ENDOWED FUNDS 300 2014017 0 N/A N/A STUDENT AID: PRIVATE SOURCES 209 1631082 0 N/A N/A UNDERGRADUATE TUITION EXCHANGE 51 1666500 0 N/A N/A UNIVERSITY GRADUATE SCHOLARSHIPS 645 672532 0 N/A N/A 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 TYPE SPECIFIC DISBURSEMENT ELIGIBILITY RULES ARE MET. UPON DISBURSEMENT, PAYMENT ALLOCATION RULES IN THE SYSTEM ALLOCATE THE SCHOLARSHIPS TO APPROPRIATE PREDEFINED CHARGES. AFTER DISBURSEMENT AUDITS ARE DONE 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 447795 0 0 0 8344 0 26500 0 12670 0 495309 0 0 0 ANDREW V ABELA PROVOST EFF. 6/3/2015 376476 0 15000 0 0 0 26500 0 15317 0 433293 0 0 0 JAMES F BRENNAN FORMER PROVOST RESIGNED 9/23/14 261763 0 0 0 0 0 26000 0 6511 0 294274 0 0 0 REV MARK M MOROZOWICH FORMER INTERIM PROVOST 9/24/14-6/2/15 65868 0 0 0 44400 0 15769 0 5695 0 131732 0 0 0 ROBERT M SPECTER VP FOR FINANCE/TREASURER EFF. 8/17/2015 110827 0 0 0 0 0 0 0 3806 0 114633 0 0 0 CATHY R WOOD VP FOR FINANCE/TREAS. RESIGNED 8/15/15 204982 0 0 0 0 0 20441 0 1894 0 227317 0 0 0 CHRISTOPHER P LYDON VP FOR ENROLLMENT MGT EFF. 6/22/2015 126348 0 34069 0 3600 0 12000 0 1032 0 177049 0 0 0 W MICHAEL HENDRICKS VP FOR ENROLLMENT MGT RESIGNED 6/5/2015 105355 0 0 0 3600 0 10890 0 7562 0 127407 0 0 0 FRANK G PERSICO VP UNIVERSITY RELATIONS & CHIEF OF STAFF 317922 0 0 0 1253 0 26500 0 2838 0 348513 0 0 0 SCOTT P REMBOLD VP INSTITUTIONAL ADVANCEMT EFF. 6/24/2015 192139 0 51370 0 3600 0 18750 0 7868 0 273727 0 0 0 MICHAEL S ALLEN VP OF STUDENT AFFAIRS 208648 0 0 0 0 0 21542 0 14586 0 244776 0 0 0 DANIEL ATTRIDGE DEAN AND PROFESSOR OF LAW 291013 0 0 0 0 0 26500 0 11046 0 328559 0 0 0 LAWRENCE R POOS FormerDEAN ARTS/SCIENCES RESIGNED 9/1/14 118004 0 0 0 0 0 11740 0 1162 0 130906 0 0 0 GEORGE GARVEY ORDINARY PROFESSOR LAW SCHOOL 200682 0 0 0 0 0 20121 0 1776 0 222579 0 0 0 VERYL V MILES LAW SCHOOL ORDINARY PROFESSOR 163317 0 0 0 0 0 17261 0 14435 0 195013 0 0 0 IAN L PEGG PHYSICS DIRECTOR VSL AND PROFESSOR 403327 0 0 0 0 0 26500 0 7720 0 437547 0 0 0 CHARLES C NGUYEN DEAN SCHOOL OF ENGINEERING 245528 0 0 0 0 0 25212 0 15033 0 285773 0 0 0 MARTIN R SCORDATO LAW SCHOOL ORDINARY PROFESSOR 215058 0 0 0 0 0 21723 0 1969 0 238750 0 0 0 GEORGE P SMITH LAW SCHOOL ORDINARY PROFESSOR 208670 0 0 0 0 0 20954 0 5903 0 235527 0 0 0 LAWRENCE J MORRIS GENERAL COUNSEL 208475 0 0 0 0 0 20808 0 1910 0 231193 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. HOUSING ALLOWANCE WAS PROVIDED TO THE FORMER PROVOST THE REVEREND MARK MOROZOWICH AND THE VALUE IS DISCLOSED IN HIS COMPENSATION AND BENEFITS. THE UNIVERSITY PROVIDES A HOUSE FOR THE PRESIDENT WHICH IS A WORKING 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 THE 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 2015 WAS $1144. 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 PROVOST, THE VP OF INSTITUTIONAL ADVANCEMENT, AND THE VP OF ENROLLMENT MANAGEMENT. THESE BONUS PAYMENTS WERE BASED ON SATISFACTION OF PERFORMANCE TARGETS OF THE EXECUTIVE STAFF. A SERIES DISTRICT OF COLUMBIA 2007 REVENUE BONDS 536001131 254839R70 2007-06-30 76317091 PARTIAL REFUNDING OF SERIES 1999 BONDS; CONSTRUCT NEW RESIDENCE 1 0 0 B 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 C District of Columbia Refunding Revenue Bonds Series 2015 536001131 000000000 2015-12-09 36403123 PARTIAL REFUNDING OF SERIES 2007 BOND 0 0 0 A 0 33380000 76317091 0 0 40208083 1821523 0 0 35223179 1137516 0 2009 0 1 1 1 B 0 0 39061164 0 0 0 805222 0 0 0 38255942 0 2010 0 1 1 1 C 0 0 36403123 0 0 34741350 682220 0 0 0 779577 200607 2009 0 1 0 1 A 0 0 1 1 0 0 0.013 0.013 1 0 1 B 0 0 0 0 0 0.013 0.013 1 0 1 C 0 0 1 1 0 0 0.015 0.015 1 0 1 A 0 0 0 1 0 0 1 JP Morgan Expired 5.1 1 0 1 B 0 0 1 0 0 0 0 0 1 C 0 1 1 0 0 0 0 0 1 A 1 B 1 C 1 Schedule K, Part II, Line 3-06/30/2007 76,317,091 SERIES DISTRICT OF COLUMBIA 2007 REVENUE BONDS PART II LINES 6-12 SUMMATION EXCEEDS PART II LINE 3- DISTRICT OF COLUMBIA SERIES 2007 REVENUE BOND PROCEEDS DUE TO INVESTMENT EARNED OF $2,073,210. Schedule K, Part II, Line 3-12/09/2015 36,403,123 District of Columbia Refunding Revenue Bonds Serie PART II LINES 6-12 SUMMATION EXCEEDS PART II LINE 3- DISTRICT OF COLUMBIA SERIES 2007 REVENUE BOND PROCEEDS DUE TO INVESTMENT EARNED OF $631. Schedule K, Part IV, Line 2c-06/30/2007 76,317,091 SERIES DISTRICT OF COLUMBIA 2007 REVENUE BONDS Date of rebate computation performed - 04/30/2016. X 167 MARKET VALUE X 46 478378 MARKET VALUE X ELECTRONIC EQUIPMENT 1 3384 SELLING COST X EVENT DONATION 2 516 COST X MUSICAL INSTRUMENTS 1 4700 OPINIONS OF EXPERTS 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 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 6,521 , OF WHICH 3,480 ARE UNDERGRADUATE. Form 990, Part III (Cont. 1) 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 6,521 OF WHICH 3,480 ARE UNDERGRADUATE. Form 990, Part V, Line 3b THE IRS HAS GRANTED AN EXTENSION TO FILE THE 2015 FORM 990T TO THE CATHOLIC UNIVERSITY OF AMERICA. THE FORM 990-T WILL BE FILED BY THE EXTENDED DUE DATE OF MARCH 15, 2017. 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 AND REPORTED TO THE BOARD OF TRUSTEES THEIR REVIEW AND APPROVAL OF THE FORM'S SUBMISSION PRIOR TO FILING. Form 990, Part VI, Section B, Line 12c THE UNIVERSITY'S SECRETARY OF THE BOARD OF TRUSTEES, IN COORDINATION WITH THE COMPLIANCE OFFICER AND THE GENERAL COUNSEL, REVIEWS THE CONFLICT OF INTEREST STATEMENTS SUBMITTED BY THE TRUSTEES 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 THE 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 THE 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 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 EVALUATIONS AND MARKET DATA. THESE PROCESSES AND DECISIONS ARE CONTEMPORANEOUSLY DOCUMENTED. Form 990, Part VI, Section C, Line 19 THE UNIVERSITY'S GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY AND CONSOLIDATED AUDITED FINANCIAL STATEMENTS ARE POSTED ON THE UNIVERSITY'S WEBSITE. THE CATHOLIC UNIVERSITY OF AMERICA FOUNDATION 620 MICHIGAN AVE NE WASHINGTON DC 20064 521284733 SUPPORT CUA'S PROGRAMS DC 501(C)(3) 11 TYPE I N/A 1 ALBERT E FARONE & ANGELA T FARONE FOUNDATION 620 MICHIGAN AVE NE WASHINGTON DC 20064 160911612 TO PROVIDE SCHOLARSHIPS NY 501(C)(3) 11 TYPE I N/A 1 WASHINGTON RESEARCH LIBRARY CONSORTIUM 901 COMMERCE DRIVE UPPER MARLBORO MD 20774 RESEARCH RESOURCES MD 501 (C)(3) 11 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 598000 SCHOLARSHIPS AWARDED TO CUA STUDENTS ALBERT E FARONE & ANGELA T FARONE FOUNDATION q 580575 REIMBURSEMENT PAYMENT FOR EXPENSE THE CATHOLIC UNIVERSITY OF AMERICA FOUNDATION p 40539 REIMBURSEMENT PAYMENT FOR EXPENSE WASHINGTON RESEARCH LIBRARY CONSORTIUM m 705608 PAYMENT FOR PERFORMANCE OF SERVICES. THE CATHOLIC UNIVERSITY OF AMERICA RECEIVED AN EXTENSION FROM THE IRS UNTIL DECEMBER 15, 2016 TO FILE THE 990 RETURN.