2013-05-14T09:17:53-05:00 2012-06-30 990 2011-07-01 042103580 PRESIDENT AND FELLOWS OF HARVARD COLLEGE PRES 6174957792 1033 MASSACHUSETTS AVENUE THIRD FLOOR CAMBRIDGE MA 02138 MAUREEN H FORRESTER 6174957792 2013-05-09 2011 2016-02-24 21:20:13Z DREW G FAUST MASSACHUSETTS HALL CAMBRIDGE MA 02138 47611958971 0 X WWW.HARVARD.EDU X 1650 MA UNDERGRADUATE, GRADUATE, AND PROFESSIONAL EDUCATION AND RESEARCH ACROSS A BROAD ARRAY OF ACADEMIC DOMAINS 10 8 33233 23000 28036076 0 1388387596 1543769248 1319676096 1370131168 2410588194 1073942365 61259552 66656701 5179911438 4054499482 602603189 640715440 0 0 1816278146 1901264720 293813 309785 96580935 1778451337 1818986927 4197626485 4361276872 982284953 -306777390 59837950000 56370683000 23202937000 20893292000 36635013000 35477391000 UNDERGRADUATE, GRADUATE, AND PROFESSIONAL EDUCATION AND RESEARCH ACROSS A BROAD ARRAY OF ACADEMIC DOMAINS. 0 0 3254064467 640715440 1061976400 INSTRUCTION AND RESEARCHHARVARD UNIVERSITY CONSISTS OF ONE UNDERGRADUATE COLLEGE ANDELEVEN GRADUATE AND PROFESSIONAL SCHOOLS.HARVARD ENROLLMENT: 21,049 DEGREE CANDIDATES 645977000 308154768 STUDENT LIFE AND AUXILIARY SERVICESREPRESENTS VARIOUS STUDENT SERVICES DEPARTMENTS, INCLUDING FACILITIES MAINTENANCE, FOOD SERVICES, DORMITORIES, HEALTH SERVICES,COMPUTER CENTER, PARKING, SECURITY, ETC. 3900041467 1 0 0 1 0 1 0 1 1 1 1 1 0 1 1 0 0 1 1 1 1 1 1 1 1 0 0 1 1 1 1 0 0 0 0 0 1 1 0 1 1 1 1 0 0 1 1 1 1 1 0 1 X 9471 0 1 33233 1 1 1 1 AR AS BD BC BR VI CA CJ CI CH CS CY EC FR GM GR HO HK IN ID IS IT JA JE KU LG MY MP MG MZ NL NZ NU NI PM PP RO SF WZ TZ TH TU UG UK UY VM 0 0 0 1 1 1 35 0 0 1 0 0 0 0 X 10 8 0 0 0 0 0 0 1 1 1 0 0 1 1 1 1 1 1 1 1 0 MA IL CA X OFFICE OF THE CONTROLLER HARVARD UNIVERSITY 6174957792 1033 MASSACHUSETTS AVENUE 3RD FLOOR CAMBRIDGE MA 02138 X LAWRENCE S BACOW BEGAN 711 5.00 X 3634 0 0 SUSAN L GRAHAM BEGAN 711 5.00 X 0 0 0 NANNERL O KEOHANE 5.00 X 0 0 0 PATRICIA A KING 5.00 X 0 0 0 WILLIAM F LEE 5.00 X 0 0 0 JOSEPH J O'DONNELL BEGAN 711 5.00 X 0 0 0 ROBERT D REISCHAUER 5.00 X 0 0 0 ROBERT E RUBIN 5.00 X 0 0 0 DREW GILPIN FAUST 60.00 X X 729106 0 170628 JAMES F ROTHENBERG 10.00 X X 0 0 0 ALAN M GARBER BEGAN 911 60.00 X 367823 0 64985 MARC L GOODHEART 60.00 X 311090 0 56211 MARILYN M HAUSAMMANN 60.00 X 348695 0 50711 CHRISTINE M HEENAN 60.00 X 386123 0 54617 LISA HOGARTY 60.00 X 355770 0 43956 ROBERT W IULIANO 60.00 X 466387 0 52637 MARK R JOHNSON 60.00 X 264504 0 39768 KATHERINE N LAPP 60.00 X 579022 0 41512 ANNE H MARGULIES 60.00 X 323078 0 52937 TAMARA E ROGERS 60.00 X 345597 0 50711 DANIEL S SHORE 60.00 X 317750 0 55710 A CLAYTON SPENCER 60.00 X 342298 0 40697 JEFFREY S FLIER 60.00 X 570662 0 50711 NITIN NOHRIA 60.00 X 506973 0 155081 MICHAEL D SMITH 60.00 X 459766 0 49847 JULIO FRENK 60.00 X 554901 0 51711 R JOHN COLLIER 60.00 X 527834 0 44075 ELIO RAVIOLA 60.00 X 525254 0 34868 MICHAEL J KLARMAN 60.00 X 517005 0 50711 BARBARA J MCNEIL 60.00 X 511585 0 33719 ROBERT B CASHION 60.00 X 268728 0 52075 STEVEN E HYMAN 60.00 X 542813 0 35666 10126398 0 1333544 3234 1 1 0 SKANSKA USA BUILDING INC 253 SUMMER STREET BOSTON MA 02210 CONTRACTOR 94933521 SHAWMUT DESIGN AND CONSTRUCTION 560 HARRISON AVENUE BOSTON MA 02118 CONTRACTOR 33891039 MASSACHUSETTS GENERAL HOSPITAL 55 FRUIT STREET BOSTON MA 02114 MEDICAL/HOSPITAL 33481443 BRIGHAM AND WOMEN'S HOSPITAL 75 FRANCIS STREET BOSTON MA 02115 RESEARCH SUBCONTRACTOR 29771963 TURNER CONSTRUCTION COMPANY 2 SEAPORT LANE BOSTON MA 02210 CONTRACTOR 27468384 1200 2071232 175100 669552488 871970428 95903148 1543769248 STUDENT TUITION, R&B, 900099 1136831605 1136831605 AUXILIARY HEALTH SERVI 900099 46866115 46866115 STUDENT/EMPLOYEE SERVI 900099 41395404 5408909 35986495 PUBLICATIONS 900099 36523947 36415416 108531 LAB AND OTHER SERVICES 900099 32227725 29764361 2463364 76286372 30301768 20246344 25738260 1370131168 297793872 -191072 297984944 30677022 30677022 88244248 52214903 36029345 36029345 36029345 44279890574 1441383 43504555543 627921 775335031 813462 776148493 776148493 11456 175100 61122 -49666 -49666 4054499482 1233313150 28036076 1249381008 121374202 121374202 483357819 483357819 35983419 35983419 7042467 508502 5894502 639463 1052785 295525 649233 108027 1430218554 1305074431 86885777 38258346 121727298 111076160 7394933 3256205 250426334 228514030 15213400 6698904 90797282 82852520 5515935 2428827 35816661 32682703 2175862 958096 9423939 8599345 572504 252090 2347840 2142404 142631 62805 378562 345437 22998 10127 309785 309785 141173826 141173826 270240346 246594316 16417101 7228929 12245134 11173685 743892 327557 190714359 174026853 11585897 5101609 84613303 77209639 5140258 2263406 3664489 3343846 222618 98025 237354625 216586096 14419293 6349236 73098097 66702014 4440709 1955374 4619 4619 46331181 42277203 2814619 1239359 282102963 257418954 17137755 7546254 264662136 241504199 16078225 7079712 11956997 10910759 726388 319850 PAYMENTS TO ANNUITANTS 58256432 53158994 3539078 1558360 BOOKS/PUBLICATIONS 37755025 34451460 2293618 1009947 PUBLISHING 25102516 22906046 1524978 671492 TAXES AND FEES 15358450 14014585 933026 410839 16385427 14951702 995414 438311 4361276872 3900041467 364654470 96580935 120524000 126046000 4138000 5008000 822539000 978202000 123863000 86428000 2797000 3424000 417655000 359919000 10459000 9861000 143371000 150502000 8833576000 3381419000 5327184000 5452157000 26613204000 23718086000 15893657000 17004497000 10358559000 8476553000 59837950000 56370683000 522710000 424582000 150466000 147094000 3705232000 3520720000 2630477000 2518419000 16194052000 14282477000 23202937000 20893292000 X 8490001000 8140394000 22486092000 21276828000 5658920000 6060169000 36635013000 35477391000 59837950000 56370683000 X -306777390 -850844610 X X 0 1 1 X 1 1 X 0 0 0 0 0 1 0 1 200 1 40566 1 160826 1 176970 0 1 378562 0 PART IV, SUPPLEMENTAL INFORMATION: SCHEDULE C, PART I-A AND PART I-B: THE UNIVERSITY DOES NOT ENGAGE IN DIRECT OR INDIRECT POLITICAL CAMPAIGN ACTIVITIES ON BEHALF OF OR IN OPPOSITION TO CANDIDATES FOR PUBLIC OFFICE. THEREFORE, THE UNIVERSITY DOES NOT INCUR ANY EXCISE TAX IMPOSED UNDER SECTION 4955 REPORTABLE ON IRS FORM 4720, RETURN OF CERTAIN EXCISE TAXES UNDER CHAPTERS 41 AND 42 OF THE INTERNAL REVENUE CODE. SCHEDULE C, PART II-B, LOBBYING ACTIVITY: THE UNIVERSITY ENGAGED IN LOBBYING ACTIVITIES BUT DID NOT MAKE A SECTION 501(H) LOBBYING EXPENDITURE ELECTION BY FILING FORM 5768. THE UNIVERSITY HAS ENGAGED IN DIRECT INTERACTION WITH LEGISLATORS AND STAFF BY TELEPHONE, EMAIL, DIRECT MAIL AND IN PERSON. LOBBYING DISCLOSURES FOR FORM 990 JULY 1, 2011 THROUGH JUNE 30, 2012: ISSUES LOBBIED AT THE FEDERAL LEVEL INCLUDE: ISSUES RELATED TO EXPANSION AND SIMPLIFICATION OF THE TUITION TAX CREDITS AND DEDUCTIONS, EXTENSION OF IRA CHARITABLE ROLL-OVER PROVISION AND RELATED TO CHARITABLE GIVING INCENTIVES ISSUES REGARDING TAX ADMINISTRATION, EMPLOYEE BENEFITS AND HEALTH CARE REFORM ISSUES RELATED TO COLLEGE AND UNIVERSITY ENDOWMENTS BUDGET AND APPROPRIATIONS FOR STUDENT FINANCIAL AID, RESEARCH IN NIH, NSF, DOD, DOE, NASA, EPA, HUD, TRANSPORTATION, INTERIOR, HEALTH PROFESSIONS, HUMANITIES AND ARTS ENDOWMENTS IMMIGRATION LEGISLATION AND STUDENT VISA ISSUES STUDENT LENDING ISSUES, COLLEGE COST, ACCOUNTABILITY, GRADUATE EDUCATION, INTERNATIONAL EDUCATION, HIGHER EDUCATION ACT REAUTHORIZATION AND VETERANS AND MILITARY EDUCATION ISSUES LEGISLATION CONCERNING EDUCATION AND THE INTERNET, COMMUNITY SERVICE BY STUDENTS, EDUCATIONAL DATA AND ANALYSIS, AND MUSEUM AND HUMANITIES ISSUES LEGISLATION RELATING TO RESEARCH AND CLEAN ENERGY ISSUES ISSUES LOBBIED FOR THE STATE OF MASSACHUSETTS: ISSUES RELATED TO TAX POLICY REGARDING NON-PROFITS ISSUES RELATED TO PRIVATE HIGHER EDUCATION ENDOWMENT FUNDS ISSUES RELATED TO MUNICIPAL RELIEF FUNDS ISSUES RELATED TO REPORTING REQUIREMENTS FOR NON-PROFITS ISSUES RELATED TO EDUCATION REFORM SCHEDULE C, PART II-B, LINE I, OTHER ACTIVITIES: THE UNIVERSITY PAYS MEMBERSHIP DUES TO MEMBER ORGANIZATIONS WHICH MAY ENGAGE IN LOBBYING ACTIVITIES. THEREFORE, A PORTION OF THE DUES MAY BE ATTRIBUTABLE TO LOBBYING ACTIVITIES. 34 3190976 16840762 160528696 1 1 X X X X 1 1 9600076 9600076 0 0 30974930000 305850000 708000 239374000 1172548000 136321000 29733245000 26768706000 223000000 5374404000 216754000 1035938000 138488000 30974930000 25279430000 284812000 3312945000 215812000 1751538000 141131000 26768706000 35854269000 239625000 -9227682000 234855000 1131073000 220854000 25279430000 0.26000 0.18000 0.56000 1 1 1 474508000 474508000 6568684000 2691805000 3876879000 134562000 134562000 927174000 689614000 237560000 12768000 715880000 728648000 5452157000 PRIVATE EQUITIES 7050224000 F REAL ASSETS 9954273000 F 17004497000 COLLATERAL-SEC BORROWG AGRMTS 5881306000 OTHER INVESTMENTS 2251449000 INT. IN TRUSTS HELD BY OTHERS 343798000 8476553000 DEPOSITS AND OTHER LIABILITIES 194550000 SECURITIES LENDING AND OTHER INVESTMENT LIABILITIES 12294626000 LIABILITIES DUE UNDER SPLIT INTEREST AGREEMENTS 670242000 ACCRUED RETIREMENT OBLIGATIONS 1056015000 GOVERNMENT LOAN ADVANCES 67044000 14282477000 PART III, LINE 1A: PART III, LINE 1A: THE UNIVERSITY'S VAST ARRAY OF MUSEUMS AND LIBRARIES HOUSES PRICELESS WORKS OF ART, HISTORICAL TREASURES, LITERARY WORKS, AND ARTIFACTS. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH, AND THE FURTHERANCE OF PUBLIC SERVICE. THEY ARE NEITHER DISPOSED OF FOR FINANCIAL GAIN NOR ENCUMBERED IN ANY MANNER. ACCORDINGLY, SUCH COLLECTIONS ARE NOT RECORDED FOR FINANCIAL STATEMENT PURPOSES. PART III, LINE 4: PART III, LINE 4: HARVARD ART MUSEUMS: THE HARVARD ART MUSEUMS ARE THREE MUSEUMS (FOGG MUSEUM, BUSCH-REISINGER MUSEUM, ARTHUR M. SACKLER MUSEUM) AND FOUR RESEARCH CENTERS (STRAUS CENTER FOR CONSERVATION AND TECHNICAL STUDIES, CENTER FOR THE TECHNICAL STUDY OF MODERN ART, HARVARD ART MUSEUM ARCHIVES, ARCHAEOLOGICAL EXPLORATION OF SARDIS, TURKEY). THE HARVARD ART MUSEUMS' COLLECTION CONSISTS OF MORE THAN 250,000 OBJECTS IN ALL MEDIA, RANGING IN DATE FROM ANTIQUITY TO THE PRESENT, AND COMING FROM EUROPE, NORTH AMERICA, NORTH AFRICA, THE MIDDLE EAST, SOUTH ASIA, EAST ASIA, AND SOUTHEAST ASIA. THE HARVARD MUSEUMS' ART COLLECTION IS AN IMPORTANT RESOURCE FOR THE HARVARD UNIVERSITY COMMUNITY, AS WELL AS TO A BROADER AUDIENCE OF STUDENTS, SCHOLARS, AND THE GENERAL PUBLIC. THE COLLECTION IS USED TO ADVANCE THE KNOWLEDGE AND APPRECIATION OF ART AND ART MUSEUMS THROUGH PROGRAMS INVOLVING RESEARCH, TEACHING, PROFESSIONAL TRAINING, AND PUBLIC EDUCATION. ARNOLD ARBORETUM: THE ARNOLD ARBORETUM OF HARVARD UNIVERSITY IS THE OLDEST PUBLIC ARBORETUM IN NORTH AMERICA AND ONE OF THE WORLD'S LEADING CENTERS FOR THE STUDY OF PLANTS. ADMINISTERED BY THE OFFICE OF THE PROVOST OF HARVARD UNIVERSITY AND A LINK IN BOSTON'S EMERALD NECKLACE OF PARKS, THE ARNOLD ARBORETUM IS A UNIQUE BLEND OF RESPECTED RESEARCH INSTITUTION AND BELOVED PUBLIC LANDSCAPE. WE PROVIDE AND SUPPORT WORLD-CLASS RESEARCH, HORTICULTURE, AND EDUCATION PROGRAMS THAT FOSTER THE UNDERSTANDING, APPRECIATION, AND PRESERVATION OF TREES. COLLECTION OF HISTORICAL SCIENTIFIC INSTRUMENTS: HARVARD UNIVERSITY HAS BEEN ACQUIRING SCIENTIFIC INSTRUMENTS ON A CONTINUOUS BASIS FOR TEACHING AND RESEARCH SINCE 1672. THE COLLECTION OF HISTORICAL SCIENTIFIC INSTRUMENTS, WHICH WAS ESTABLISHED IN 1948 TO PRESERVE THIS APPARATUS AS A RESOURCE FOR TEACHING AND RESEARCH IN THE HISTORY OF SCIENCE AND TECHNOLOGY, HAS BECOME ONE OF THE THREE LARGEST UNIVERSITY COLLECTIONS OF ITS KIND IN THE WORLD. THE COLLECTION CONTAINS OVER 20,000 OBJECTS DATING FROM ABOUT 1400 TO THE PRESENT. A BROAD RANGE OF SCIENTIFIC DISCIPLINES ARE REPRESENTED, INCLUDING ASTRONOMY, NAVIGATION, HOROLOGY, SURVEYING, GEOLOGY, CALCULATING, PHYSICS, BIOLOGY,MEDICINE, PSYCHOLOGY, ELECTRICITY, AND COMMUNICATION. SIGNIFICANT INSTRUMENTS, MADE OBSOLETE BY NEW TECHNOLOGIES, CONTINUE TO BE INCORPORATED. MANY OF THE DOCUMENTS DETAILING THE PURCHASE AND USE OF THE INSTRUMENTS HAVE BEEN PRESERVED, AND ARE AVAILABLE FOR RESEARCH IN THE COLLECTION'S ADJUNCT LIBRARY. MUSEUM OF COMPARATIVE ZOOLOGY (WITHIN THE MUSEUM OF NATURAL HISTORY): THE MUSEUM OF COMPARATIVE ZOOLOGY WAS FOUNDED IN 1859 ON THE CONCEPT THAT COLLECTIONS ARE AN INTEGRAL AND FUNDAMENTAL COMPONENT OF ZOOLOGICAL RESEARCH AND TEACHING. THIS 150-YEAR-OLD COMMITMENT REMAINS A STRONG AND PROUD TRADITION FOR THE MCZ. THE PRESENT-DAY MCZ CONTAINS OVER 21-MILLION SPECIMENS IN TEN RESEARCH COLLECTIONS WHICH COMPRISE ONE OF THE WORLD'S RICHEST AND MOST VARIED RESOURCES FOR STUDYING THE DIVERSITY OF LIFE. THE MUSEUM SERVES AS THE PRIMARY REPOSITORY FOR ZOOLOGICAL SPECIMENS COLLECTED BY PAST AND PRESENT HARVARD FACULTY-CURATORS, STAFF AND ASSOCIATES CONDUCTING RESEARCH AROUND THE WORLD. AS A PREMIER UNIVERSITY MUSEUM AND RESEARCH INSTITUTION, THE SPECIMENS AND THEIR RELATED DATA ARE AVAILABLE TO RESEARCHERS OF THE SCIENTIFIC AND MUSEUM COMMUNITY. USE OF THE COLLECTIONS IN STUDENT RESEARCH, WHETHER AS THESIS WORK OR INDEPENDENT STUDY, IS ALSO ENCOURAGED. FISHER MUSEUM HARVARD FOREST: THE FISHER MUSEUM'S MAIN EXHIBIT DISPLAYS TWENTY-THREE INTERNATIONALLY ACCLAIMED MODELS (DIORAMAS) PORTRAYING THE HISTORY, CONSERVATION AND MANAGEMENT OF CENTRAL NEW ENGLAND FORESTS. OTHER EXHIBITS AT THE MUSEUM REPRESENT THE RANGE OF HARVARD FOREST'S RESEARCH. HARVARD UNIVERSITY HERBARIA (WITHIN MUSEUM OF NATURAL HISTORY): THE HARVARD UNIVERSITY HERBARIA ARE AMONG SOME SEVERAL THOUSAND COLLECTIONS OF PRESSED, DRIED PLANT SPECIMENS WORLDWIDE THAT ARE USED BY RESEARCHERS TO FURTHER OUR UNDERSTANDING OF THE PLANT WORLD. SOME OF THE EARLIEST HERBARIA WERE FOUNDED IN EUROPE IN THE EARLY 1600'S, DURING THE DAYS OF EXPLORATION, WHEN KNOWLEDGE OF THE EARTH'S FLORA WAS GROWING AT SUCH A RAPID PACE THAT BOTANICAL GARDENS COULD NO LONGER MAINTAIN LIVING EXAMPLES OF EVERY KNOWN SPECIES. WHILE HERBARIUM COLLECTIONS OF ALL SIZES EXIST TODAY, THERE ARE FEWER THAN 75 HERBARIA WORLDWIDE WITH MORE THAN ONE MILLION SPECIMENS. HERBARIUM COLLECTIONS HAVE BEEN BUILT UP OVER THE YEARS BY THE EFFORTS OF NUMEROUS BOTANISTS AND PLANT COLLECTORS WHO HAVE SEARCHED FROM REMOTE AND ISOLATED JUNGLES TO INNER CITY WASTE LOTS AND RAILROAD TRACKS TO DOCUMENT THE DIVERSITY AND DISTRIBUTION OF THE EARTH'S FLORA. REPRESENTATIVES OF MOST KNOWN SPECIES OF PLANTS CAN BE FOUND IN HERBARIA TODAY, CAREFULLY MOUNTED ON SHEETS OF ARCHIVAL QUALITY PAPER, LABELED WITH IMPORTANT INFORMATION ABOUT THEM, AND STORED ON SHELVES IN CABINETS. IN ESSENCE, A HERBARIUM IS ANALOGOUS TO A LIBRARY OF CAREFULLY PRESERVED PLANTS WHERE THE SPECIMENS THEMSELVES AND THE LABELS ASSOCIATED WITH THEM PROVIDE A WEALTH OF INFORMATION ONCE THEY HAVE BEEN "READ" AND STUDIED BY SCIENTISTS. THE SPECIMENS ARE THE KEY TO UNDERSTANDING PLANT RELATIONSHIPS,GEOGRAPHIC DISTRIBUTIONS, ECONOMIC USEFULNESS, EVEN THEIR MOLECULAR MAKEUP. AS WE LOSE NATURAL HABITATS THE WORLD OVER, HERBARIA INCREASINGLY SERVE AS A RECORD OF THE RECENT HISTORY OF PLANT LIFE, AND AS A REPOSITORY OF PRECIOUS GENETIC INFORMATION. HERBARIA HOLD THE TOOLS FOR OUR UNDERSTANDING OF THE PLANT WORLD. MINERALOGICAL AND GEOLOGICAL MUSEUM (WITHIN MUSEUM OF NATURAL HISTORY): THE HARVARD MINERAL COLLECTION RANKS AMONG THE WORLD'S FINEST DUE TO ITS VERY BROAD REPRESENTATION, WEALTH OF RARE SPECIES, LARGE NUMBER OF SPECIMENS DESCRIBED IN THE SCIENTIFIC LITERATURE, AND THE QUALITY OF ITS DISPLAY SPECIMENS. A RICH SYSTEMATIC MINERAL COLLECTION AND DISPLAYS OF GEMSTONES ARE THE PRINCIPAL EXHIBITS IN THE MINERAL GALLERY. THE MUSEUM IS COMMITTED TO THE DEVELOPMENT AND PRESERVATION OF WORLD-CLASS COLLECTIONS OF MINERALS, GEMS, ROCKS, ORES, AND METEORITES FOR RESEARCH, EDUCATION, AND PUBLIC DISPLAY. ITS EARLIEST COLLECTIONS DATE BACK TO THE LATE 18TH CENTURY. THE MUSEUM CATERS TO THE NEEDS OF STUDENTS AND FACULTY AT HARVARD UNIVERSITY AS WELL THE GEOLOGICAL COMMUNITY AT LARGE BY SERVING AS A UNIQUELY RICH RESOURCE OF MATERIALS AND INFORMATION. PEABODY MUSEUM OF ARCHAEOLOGY AND ETHNOLOGY: THE PEABODY MUSEUM OF ARCHAEOLOGY AND ETHNOLOGY IS STEWARD TO ONE OF THE OLDEST AND LARGEST COLLECTIONS OF CULTURAL OBJECTS IN THE WESTERN HEMISPHERE. SINCE THE LATE NINETEENTH CENTURY, THE MUSEUM HAS PLAYED AN ACTIVE PART IN THE HISTORY OF AMERICAN ANTHROPOLOGY AND IN THE EVOLVING RELATIONSHIP BETWEEN MUSEUMS AND NATIVE PEOPLES. AS A UNIVERSITY MUSEUM SITUATED IN AN ACADEMIC AND REGIONAL COMMUNITY CENTRAL TO THE DEVELOPMENT AND THE STUDY OF AMERICAN CIVIC CULTURE, THE PEABODY STRIVES TO MAKE COLLECTIONS WIDELY ACCESSIBLE AND ENGAGE ISSUES OF CONCERN TO DIVERSE AUDIENCES. TODAY, THE PEABODY HOUSES MORE THAN SIX MILLION INDIVIDUAL OBJECTS, 500,000 PHOTOGRAPHIC IMAGES, AND SUBSTANTIAL ARCHIVAL RECORDS. STRONGEST IN THE CULTURES OF NORTH, CENTRAL, AND SOUTH AMERICA, AND THE PACIFIC ISLANDS, THE PEABODY IS ALSO CARETAKER TO IMPORTANT COLLECTIONS FROM AFRICA, EUROPE, AND ASIA. COLLECTION TYPES INCLUDE ARCHAEOLOGY; ETHNOGRAPHY; OSTEOLOGY; AND PAINTING, DRAWING, AND PRINTS. SEMITIC MUSEUM: THE SEMITIC MUSEUM IS HOME TO THE UNIVERSITY'S COLLECTIONS OF NEAR EASTERN ARCHAEOLOGICAL ARTIFACTS. THESE ARTIFACTS COMPRISE OVER 40,000 ITEMS, INCLUDING POTTERY, CYLINDER SEALS, SCULPTURE, COINS AND CUNEIFORM TABLETS. MANY ARE FROM MUSEUM-SPONSORED EXCAVATIONS IN ISRAEL, JORDAN, IRAQ, EGYPT, CYPRUS, AND TUNISIA. THE MUSEUM IS DEDICATED TO THE USE OF THESE COLLECTIONS FOR THE TEACHING, RESEARCH, AND PUBLICATION OF NEAR EASTERN ARCHAEOLOGY, HISTORY, AND CULTURE. WARREN ANATOMICAL MUSEUM: THE WARREN ANATOMICAL MUSEUM'S PRESENT COLLECTION CONTAINS APPROXIMATELY 15,000 ARTIFACTS AND CASES INCLUDING: ANATOMICAL AND PATHOLOGICAL PREPARATIONS; VARIOUS WAX, PAPER MACHE, AND DRY PREPARATION ANATOMICAL MODELS; PHOTOGRAPHS, PRINTS, PAINTINGS, AND DRAWINGS; MEDICAL INSTRUMENTS AND MACHINES; AND OTHER MEDICAL MEMORABILIA. ALONG WITH THE WELL-KNOWN SKULL OF PHINEAS GAGE, THE MUSEUM HOLDS MANY OTHER RARE AND INTERESTING ITEMS. AMONG THESE ARE THE PHRENOLOGICAL COLLECTION OF JOHANN GASPAR SPURZHEIM, THE BOSTON SOCIETY FOR MEDICAL IMPROVEMENT COLLECTION, AND A W. T. G. MORTON-TYPE ETHER INHALER. THE MUSEUM PROMOTES THE COLLECTION FOR THE PURPOSES OF MEDICAL EDUCATION IN ALL FORMS WHENEVER POSSIBLE, BY EXPANDING ITS SCOPE TO PROVIDE PUBLIC PROGRAMMING AND EDUCATIONAL RESOURCES TO THE LARGER COMMUNITY. PART IV, LINE 1B: PART IV, LINE 1B: AGENCY FUNDS REPRESENT AWARDS UNDER WHICH HARVARD SERVES AS AN INTERMEDIARY AGENT BETWEEN THE SPONSOR (USUALLY FEDERAL) AND THE ULTIMATE THIRD PARTY RECIPIENT. THE TRANSFER OF THE ASSETS TO HARVARD IS NOT A CONTRIBUTION RECEIVED BY HARVARD AND THE TRANSFER OF ASSETS TO THE RECIPIENT IS NOT A CONTRIBUTION MADE BY HARVARD. HARVARD DRAWS DOWN ON ITS FEDERAL LINES OF CREDIT MONTHLY TO COVER THOSE COSTS INCURRED ON FEDERAL AWARDS. THEREFORE, THERE IS NO BEGINNING OR ENDING BALANCE FOR THESE AGENCY FUNDS. DESCRIPTION OF INTENDED USE OF ENDOWMENT FUNDS: PART V, LINE 4: PART V, LINE 4: THE PRIMARY GOAL OF THE ENDOWMENT IS TO SUPPORT THE UNIVERSITY'S TEACHING AND RESEARCH MISSION. PART V, ENDOWMENT FUNDS: THE ENDOWMENT ROLLFORWARDS ON SCHEDULE D, PART V HAVE BEEN RESTATED FOR THE FISCAL YEARS ENDED JUNE 30, 2009, 2010, AND 2011 TO PROPERLY EXCLUDE THE ENDOWMENTS OF CERTAIN RELATED ORGANIZATION THAT WERE PREVIOUSLY INCLUDED IN THE REPORTED TOTAL. THIS RESTATEMENT DOES NOT CHANGE NET ASSETS REPORTED ON THE FORM 990 BALANCE SHEET FOR THE FISCAL YEARS ENDED JUNE 30, 2009, 2010, AND 2011. PART X, LINE 2, FIN 48: EFFECTIVE JULY 1, 2007, THE UNIVERSITY ADOPTED FASB INTERPRETATION NO. 48, ACCOUNTING FOR UNCERTAINTY IN INCOME TAXES (FIN 48). FIN 48 SETS A MINIMUM THRESHOLD FOR FINANCIAL STATEMENT RECOGNITION OF THE BENEFIT OF A TAX POSITION TAKEN OR EXPECTED TO BE TAKEN IN A TAX RETURN. TAX POSITIONS FOR THE OPEN TAX YEARS AS OF JUNE 30, 2012 WERE REVIEWED AND IT WAS DETERMINED THAT NO PROVISION FOR UNCERTAIN TAX PROVISONS WAS REQUIRED. ACCORDINGLY, THERE IS NO DISCLOSURE IN THE JUNE 30, 2012 FINANCIAL STATEMENTS REGARDING UNCERTAIN TAX POSITIONS. 1 1 0 1 1 1 1 0 0 0 0 0 0 0 0 1 0 1 EXPLANATION OF NONDISCRIMINATORY POLICY PUBLICATION SCHEDULE E, PART I, LINE 3 THE ORGANIZATION MEETS THE CRITERIA ESTABLISHED IN SECTION 4.0 REVENUE PROCEDURE 75-50. EXPLANATION OF GOVERNMENT FINANCIAL ASSISTANCE SCHEDULE E, PART I, LINE 6 THIS ORGANIZATION RECEIVES FUNDS FOR RESEARCH AND ADMINISTERS FEDERAL AID PROGRAMS TO STUDENTS ENROLLED IN POST-SECONDARY EDUCATION. 1 CENTRAL AMERICA AND THE CARIBBEAN - 0 0 GRANTMAKING 55296 CENTRAL AMERICA AND THE CARIBBEAN - 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 41478 CENTRAL AMERICA AND THE CARIBBEAN - 0 0 PROGRAM SERVICES INSTRUCTION 67235 CENTRAL AMERICA AND THE CARIBBEAN - 1 30 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 325044 CENTRAL AMERICA AND THE CARIBBEAN - 0 0 PROGRAM SERVICES STUDENT SERVICES 700 EAST ASIA AND THE PACIFIC - 0 0 FUNDRAISING 145458 EAST ASIA AND THE PACIFIC - 0 0 GRANTMAKING 2416391 EAST ASIA AND THE PACIFIC - 0 0 PROGRAM SERVICES SERVICE CENTERS 70798 EAST ASIA AND THE PACIFIC - 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 569453 EAST ASIA AND THE PACIFIC - 0 0 PROGRAM SERVICES INSTITUTIONAL SUPPORT 3699 EAST ASIA AND THE PACIFIC - 0 0 PROGRAM SERVICES INSTRUCTION 3331519 EAST ASIA AND THE PACIFIC - 3 34 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 8530311 EAST ASIA AND THE PACIFIC - 0 0 PROGRAM SERVICES STUDENT SERVICES 1437980 EAST ASIA AND THE PACIFIC - 0 0 INVESTMENTS 1233008080 EUROPE (INCLUDING ICELAND & GREENLAND) - 0 0 FUNDRAISING 128697 EUROPE (INCLUDING ICELAND & GREENLAND) - 0 0 GRANTMAKING 7984941 EUROPE (INCLUDING ICELAND & GREENLAND) - 0 0 PROGRAM SERVICES SERVICE CENTERS 752520 EUROPE (INCLUDING ICELAND & GREENLAND) - 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 1578300 EUROPE (INCLUDING ICELAND & GREENLAND) - 0 0 PROGRAM SERVICES INSTITUTIONAL SUPPORT 128414 EUROPE (INCLUDING ICELAND & GREENLAND) - 0 0 PROGRAM SERVICES INSTRUCTION 3994660 EUROPE (INCLUDING ICELAND & GREENLAND) - 2 46 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 4564389 EUROPE (INCLUDING ICELAND & GREENLAND) - 0 0 PROGRAM SERVICES STUDENT SERVICES 1260612 EUROPE (INCLUDING ICELAND & GREENLAND) - 0 0 INVESTMENTS 329477341 MIDDLE EAST AND NORTH AFRICA - 0 0 FUNDRAISING 18131 MIDDLE EAST AND NORTH AFRICA - 0 0 GRANTMAKING 594033 MIDDLE EAST AND NORTH AFRICA - 0 0 PROGRAM SERVICES SERVICE CENTERS 10178 MIDDLE EAST AND NORTH AFRICA - 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 53101 MIDDLE EAST AND NORTH AFRICA - 0 0 PROGRAM SERVICES INSTITUTIONAL SUPPORT 6438 MIDDLE EAST AND NORTH AFRICA - 0 0 PROGRAM SERVICES INSTRUCTION 586614 MIDDLE EAST AND NORTH AFRICA - 1 1 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 350079 MIDDLE EAST AND NORTH AFRICA - 0 0 PROGRAM SERVICES STUDENT SERVICES 3176 MIDDLE EAST AND NORTH AFRICA - 0 0 INVESTMENTS 10118672 NORTH AMERICA - CANADA AND MEXICO, BUT 0 0 FUNDRAISING 101129 NORTH AMERICA - CANADA AND MEXICO, BUT 0 0 GRANTMAKING 848018 NORTH AMERICA - CANADA AND MEXICO, BUT 0 0 PROGRAM SERVICES SERVICE CENTERS 455932 NORTH AMERICA - CANADA AND MEXICO, BUT 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 567169 NORTH AMERICA - CANADA AND MEXICO, BUT 0 0 PROGRAM SERVICES INSTITUTIONAL SUPPORT 93603 NORTH AMERICA - CANADA AND MEXICO, BUT 0 0 PROGRAM SERVICES INSTRUCTION 1173161 NORTH AMERICA - CANADA AND MEXICO, BUT 0 2 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 949609 NORTH AMERICA - CANADA AND MEXICO, BUT 0 0 PROGRAM SERVICES STUDENT SERVICES 89129 RUSSIA & THE NEWLY INDEPENDENT STATES - 0 0 GRANTMAKING 192684 RUSSIA & THE NEWLY INDEPENDENT STATES - 0 0 PROGRAM SERVICES SERVICE CENTERS 100 RUSSIA & THE NEWLY INDEPENDENT STATES - 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 4611 RUSSIA & THE NEWLY INDEPENDENT STATES - 0 0 PROGRAM SERVICES INSTRUCTION 76213 RUSSIA & THE NEWLY INDEPENDENT STATES - 0 0 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 2374 RUSSIA & THE NEWLY INDEPENDENT STATES - 0 0 INVESTMENTS 18194828 SOUTH AMERICA - ARGENTINA, BOLIVIA, 0 0 FUNDRAISING 10329 SOUTH AMERICA - ARGENTINA, BOLIVIA, 0 0 GRANTMAKING 1083269 SOUTH AMERICA - ARGENTINA, BOLIVIA, 0 0 PROGRAM SERVICES SERVICE CENTERS 3777 SOUTH AMERICA - ARGENTINA, BOLIVIA, 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 507726 SOUTH AMERICA - ARGENTINA, BOLIVIA, 0 0 PROGRAM SERVICES INSTITUTIONAL SUPPORT 1682 SOUTH AMERICA - ARGENTINA, BOLIVIA, 0 0 PROGRAM SERVICES INSTRUCTION 777974 SOUTH AMERICA - ARGENTINA, BOLIVIA, 1 5 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 503342 SOUTH AMERICA - ARGENTINA, BOLIVIA, 0 0 PROGRAM SERVICES STUDENT SERVICES 346436 SOUTH AMERICA - ARGENTINA, BOLIVIA, 0 0 INVESTMENTS 140786071 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 0 0 FUNDRAISING 3997 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 0 0 GRANTMAKING 691473 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 0 0 PROGRAM SERVICES SERVICE CENTERS 17408 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 76242 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 0 0 PROGRAM SERVICES INSTITUTIONAL SUPPORT 2175 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 0 0 PROGRAM SERVICES INSTRUCTION 1232733 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 0 15 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 2408250 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 0 0 PROGRAM SERVICES STUDENT SERVICES 584775 SOUTH ASIA - AFGHANISTAN, BANGLADESH, 0 0 INVESTMENTS 82042062 SUB-SAHARAN AFRICA - ANGOLA, 0 0 GRANTMAKING 22117314 SUB-SAHARAN AFRICA - ANGOLA, 0 0 PROGRAM SERVICES SERVICES CENTERS 200 SUB-SAHARAN AFRICA - ANGOLA, 0 0 PROGRAM SERVICES ACADEMIC SUPPORT 97043 SUB-SAHARAN AFRICA - ANGOLA, 0 0 PROGRAM SERVICES INSTITUTIONAL SUPPORT 2607 SUB-SAHARAN AFRICA - ANGOLA, 0 0 PROGRAM SERVICES INSTRUCTION 448302 SUB-SAHARAN AFRICA - ANGOLA, 0 14 PROGRAM SERVICES RESEARCH AND OTHER ACADEMIC ACTIVITY 2303391 SUB-SAHARAN AFRICA - ANGOLA, 0 0 PROGRAM SERVICES STUDENT SERVICES 831 SUB-SAHARAN AFRICA - ANGOLA, 0 0 INVESTMENTS 197652534 1 30 7 117 8 147 3122400 2084941841 2088064241 X CENTRAL AMERICA AND THE CARIBBEAN SPONSORED RESEARCH SUB-AWARD 29924 EFT OR CHECK CENTRAL AMERICA AND THE CARIBBEAN SPONSORED RESEARCH SUB-AWARD 5915 EFT OR CHECK EAST ASIA AND THE PACIFIC SPONSORED RESEARCH SUB-AWARD 640326 EFT OR CHECK EAST ASIA AND THE PACIFIC SPONSORED RESEARCH SUB-AWARD 326909 EFT OR CHECK EAST ASIA AND THE PACIFIC SPONSORED RESEARCH SUB-AWARD 300337 EFT OR CHECK EAST ASIA AND THE PACIFIC SPONSORED RESEARCH SUB-AWARD 212055 EFT OR CHECK EAST ASIA AND THE PACIFIC SPONSORED RESEARCH SUB-AWARD 107390 EFT OR CHECK EAST ASIA AND THE PACIFIC SPONSORED RESEARCH SUB-AWARD 82190 EFT OR CHECK EAST ASIA AND THE PACIFIC SPONSORED RESEARCH SUB-AWARD 75268 EFT OR CHECK EAST ASIA AND THE PACIFIC SPONSORED RESEARCH SUB-AWARD 63288 EFT OR CHECK EAST ASIA AND THE PACIFIC SPONSORED RESEARCH SUB-AWARD 50000 EFT OR CHECK EAST ASIA AND THE PACIFIC SPONSORED RESEARCH SUB-AWARD 49699 EFT OR CHECK EAST ASIA AND THE PACIFIC SPONSORED RESEARCH SUB-AWARD 46384 EFT OR CHECK EAST ASIA AND THE PACIFIC SPONSORED RESEARCH SUB-AWARD 29689 EFT OR CHECK EAST ASIA AND THE PACIFIC SPONSORED RESEARCH SUB-AWARD 6365 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 752159 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 619135 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 592701 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 546025 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 328282 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 287435 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 257829 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 244471 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 239136 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 150000 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 136447 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 130000 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 98338 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 85995 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 80266 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 79853 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 66530 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 53574 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 43200 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 40637 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 34980 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 30000 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 24636 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 15101 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 14016 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 12000 EFT OR CHECK EUROPE SPONSORED RESEARCH SUB-AWARD 5830 EFT OR CHECK MIDDLE EAST AND NORTH AFRICA SPONSORED RESEARCH SUB-AWARD 134338 EFT OR CHECK MIDDLE EAST AND NORTH AFRICA SPONSORED RESEARCH SUB-AWARD 62170 EFT OR CHECK MIDDLE EAST AND NORTH AFRICA SPONSORED RESEARCH SUB-AWARD 29612 EFT OR CHECK NORTH AMERICA SPONSORED RESEARCH SUB-AWARD 129702 EFT OR CHECK NORTH AMERICA SPONSORED RESEARCH SUB-AWARD 107426 EFT OR CHECK NORTH AMERICA SPONSORED RESEARCH SUB-AWARD 47464 EFT OR CHECK NORTH AMERICA SPONSORED RESEARCH SUB-AWARD 23700 EFT OR CHECK NORTH AMERICA SPONSORED RESEARCH SUB-AWARD 20130 EFT OR CHECK NORTH AMERICA SPONSORED RESEARCH SUB-AWARD 18000 EFT OR CHECK RUSSIA AND THE NEWLY INDEPENDENT STATES SPONSORED RESEARCH SUB-AWARD 173783 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 525017 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 45518 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 39345 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 30000 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 30000 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 29480 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 28245 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 26650 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 26625 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 21000 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 20000 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 20000 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 17975 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 14390 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 14268 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 12000 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 11089 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 9800 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 9780 EFT OR CHECK SOUTH AMERICA SPONSORED RESEARCH SUB-AWARD 7500 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 174109 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 76737 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 72886 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 70666 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 66488 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 33883 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 32495 EFT OR CHECK SOUTH ASIA SPONSORED RESEARCH SUB-AWARD 27324 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 5405124 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 4167335 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 3869626 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 1792084 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 1399084 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 1124769 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 820831 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 785394 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 612306 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 551533 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 511564 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 344786 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 137237 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 92233 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 76644 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 69115 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 67852 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 42793 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 34163 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 22071 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 20599 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 20000 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 19898 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 16923 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 10000 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 8702 EFT OR CHECK SUB-SAHARAN AFRICA SPONSORED RESEARCH SUB-AWARD 8427 EFT OR CHECK 34 73 GRADUATE STUDENT STIPEND GRANTS EAST ASIA AND THE PACIFIC - 14 51914 EFT OR CHECK GRADUATE STUDENT STIPEND GRANTS EUROPE (INCLUDING ICELAND & GREENLAND) - 16 31073 EFT OR CHECK GRADUATE STUDENT STIPEND GRANTS MIDDLE EAST AND NORTH AFRICA - 1 1000 EFT OR CHECK GRADUATE STUDENT STIPEND GRANTS NORTH AMERICA - CANADA AND MEXICO, BUT 9 18898 EFT OR CHECK GRADUATE STUDENT STIPEND GRANTS RUSSIA & THE NEWLY INDEPENDENT STATES - 3 4000 EFT OR CHECK GRADUATE STUDENT STIPEND GRANTS SOUTH AMERICA - ARGENTINA, BOLIVIA, 6 9237 EFT OR CHECK GRADUATE STUDENT STIPEND GRANTS SOUTH ASIA - AFGHANISTAN, BANGLADESH, 3 7500 EFT OR CHECK GRADUATE STUDENT STIPEND GRANTS SUB-SAHARAN AFRICA - ANGOLA, 1 1500 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS CENTRAL AMERICA AND THE CARIBBEAN - 3 12000 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS EAST ASIA AND THE PACIFIC - 15 175042 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS EUROPE (INCLUDING ICELAND & GREENLAND) - 67 2241855 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS MIDDLE EAST AND NORTH AFRICA - 10 358490 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS NORTH AMERICA - CANADA AND MEXICO, BUT 12 128510 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS RUSSIA & THE NEWLY INDEPENDENT STATES - 4 5443 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS SOUTH AMERICA - ARGENTINA, BOLIVIA, 8 68727 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS SOUTH ASIA - AFGHANISTAN, BANGLADESH, 4 6216 EFT OR CHECK GRANTS & AWARDS TO NON-HARVARD STUDENTS SUB-SAHARAN AFRICA - ANGOLA, 7 66650 EFT OR CHECK STUDENT PRIZES AND AWARDS EAST ASIA AND THE PACIFIC - 10 27643 EFT OR CHECK STUDENT PRIZES AND AWARDS EUROPE (INCLUDING ICELAND & GREENLAND) - 32 79770 EFT OR CHECK STUDENT PRIZES AND AWARDS MIDDLE EAST AND NORTH AFRICA - 4 2375 EFT OR CHECK STUDENT PRIZES AND AWARDS NORTH AMERICA - CANADA AND MEXICO, BUT 37 78463 EFT OR CHECK STUDENT PRIZES AND AWARDS RUSSIA & THE NEWLY INDEPENDENT STATES - 2 1500 EFT OR CHECK STUDENT PRIZES AND AWARDS SOUTH AMERICA - ARGENTINA, BOLIVIA, 1 1700 EFT OR CHECK STUDENT PRIZES AND AWARDS SOUTH ASIA - AFGHANISTAN, BANGLADESH, 3 30000 EFT OR CHECK STUDENT PRIZES AND AWARDS SUB-SAHARAN AFRICA - ANGOLA, 6 8963 EFT OR CHECK OTHER UNDERGRADUATE GRANTS, PRIZES, AND AWARDS EAST ASIA AND THE PACIFIC - 4 6800 EFT OR CHECK OTHER UNDERGRADUATE GRANTS, PRIZES, AND AWARDS EUROPE (INCLUDING ICELAND & GREENLAND) - 1 2000 EFT OR CHECK OTHER UNDERGRADUATE GRANTS, PRIZES, AND AWARDS NORTH AMERICA - CANADA AND MEXICO, BUT 3 10300 EFT OR CHECK OTHER UNDERGRADUATE GRANTS, PRIZES, AND AWARDS SOUTH ASIA - AFGHANISTAN, BANGLADESH, 1 3000 EFT OR CHECK STIPENDS FOR POST-DOCTORAL STUDENTS AND FELLOWS EAST ASIA AND THE PACIFIC - 2 74000 EFT OR CHECK STIPENDS FOR POST-DOCTORAL STUDENTS AND FELLOWS EUROPE (INCLUDING ICELAND & GREENLAND) - 16 560767 EFT OR CHECK STIPENDS FOR POST-DOCTORAL STUDENTS AND FELLOWS NORTH AMERICA - CANADA AND MEXICO, BUT 6 218000 EFT OR CHECK STIPENDS FOR POST-DOCTORAL STUDENTS AND FELLOWS SOUTH AMERICA - ARGENTINA, BOLIVIA, 1 2000 EFT OR CHECK STIPENDS FOR POST-DOCTORAL STUDENTS AND FELLOWS SOUTH ASIA - AFGHANISTAN, BANGLADESH, 1 780 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS CENTRAL AMERICA AND THE CARIBBEAN - 1 7457 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS EAST ASIA AND THE PACIFIC - 16 91092 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS EUROPE (INCLUDING ICELAND & GREENLAND) - 17 100898 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS MIDDLE EAST AND NORTH AFRICA - 3 6048 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS NORTH AMERICA - CANADA AND MEXICO, BUT 4 47424 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS RUSSIA & THE NEWLY INDEPENDENT STATES - 3 7958 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS SOUTH AMERICA - ARGENTINA, BOLIVIA, 8 62923 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS SOUTH ASIA - AFGHANISTAN, BANGLADESH, 40 89389 EFT OR CHECK STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS SUB-SAHARAN AFRICA - ANGOLA, 3 9111 EFT OR CHECK 1 0 1 0 1 1 PROCEDURE FOR MONITORING GRANTS OUTSIDE THE U.S.: SCHEDULE F, PART I, LINE 2: ALL DISBURSEMENTS MADE BY THIS INSTITUTION IN FURTHERANCE OF ITS EXEMPT PROGRAMS ARE REVIEWED AND APPROVED BY DULY CONSTITUTED COMMITTEES OR INDIVIDUALS. ALL SCHOLARSHIPS AND STUDENT LOANS ARE REVIEWED AND APPROVED BY HARVARD'S FINANCIAL AID OFFICES. IN ADDITION, HARVARD UNIVERSITY IS RESPONSIBLE FOR THE PROGRAMMATIC AND FINANCIAL MONITORING OF ITS SPONSORED RESEARCH AWARD SUBRECIPIENTS. PRINCIPAL INVESTIGATORS AND PROJECT STAFF PERFORM ONGOING REVIEWS OF PROJECT ACTIVITIES. IN ADDITION, ON AN ANNUAL BASIS, UNIVERSITY RESEARCH ADMINISTRATORS REVIEW ALL ACTIVE SUBCONTRACTS AND INQUIRE FURTHER INTO THOSE THAT ARE DEEMED TO REQUIRE CLOSER SCRUTINY IN LIGHT OF A VARIETY OF ATTRIBUTES. UPON IDENTIFICATION OF SUBRECIPIENTS THAT MANDATE CLOSER SCRUTINY, HARVARD IMPLEMENTS ADDITIONAL MONITORING ACTIONS TO ENSURE COMPLIANCE WITH SUBAGREEMENT PERFORMANCE, FINANCIAL TERMS AND CONDITIONS, AND WITH ALL APPLICABLE FEDERAL RULES AND REGULATIONS. DURING 2010 THROUGH 2012, HARVARD, ACCORDING TO TRANSITION PLANS COORDINATED WITH THE U.S. GOVERNMENT, CONTINUED THE TRANSITION OF ITS ROLE AS PRIME RECIPIENT OF THE PEPFAR GRANT TO LOCALLY CHARTERED, NOT-FOR-PROFIT ENTITIES IN NIGERIA, TANZANIA, AND BOTSWANA THAT HAD BEEN CREATED BY HARVARD FOR THIS PURPOSE. THE LOCAL ENTITIES (APIN IN NIGERIA, BHP IN BOTSWANA, AND MDH IN TANZANIA) ARE STAFFED PRIMARILY BY CITIZENS OF THOSE COUNTRIES, AND CITIZENS OF THOSE COUNTRIES ALSO COMPRISE MAJORITIES OF EACH OF THE BOARDS OF DIRECTORS. BY THE END OF 2012, IT IS ESTIMATED THAT APPROXIMATELY 90 PERCENT OF HARVARD'S PEPFAR FUNDING FROM HHS TRANSITIONED TO THESE LOCAL ENTITIES AS PRIME GRANT RECIPIENTS. FOR THIS REASON, AND AS PART OF A DELIBERATE PLAN FOR BUILDING LOCAL CAPACITY AND PROMOTING PROGRAM SUSTAINABILITY, HARVARD'S OWN FUNDING, AND HENCE ITS SUBCONTRACTS TO PUBLIC HEALTH ENTITIES IN AFRICA, DECLINED SIGNIFICANTLY DURING 2011, AND CONTINUED AN EVEN SHARPER DECLINE DURING 2012. X X X X X X X 1 ANNE LOCKETT ENTERPRISES 12424 WILSHIRE BLVD STE 1060 LOS ANGELES CA 90025 PRIN. GIFTS 0 33932706 309785 33622921 33932706 309785 33622921 CA MA IL DINNER 71556 68100 3456 15985 6430 DINNER 115000 107000 8000 17587 7077 14043 186556 175100 11456 33572 7077 20473 61122 -49666 SCHEDULE G, PART I, LINE 2B, FUNDRAISING: THE FUNDRAISING EFFORT IS A LONG TERM EFFORT OFTEN SPANNING YEARS AND DECADES TO BRING IN ONE GIFT. THE TOTAL LISTED HERE IS FOR CASH RECEIVED IN FY12 BUT THE DONOR(S) MAY HAVE MADE THE ORIGINAL PLEDGE(S) IN PRIOR YEARS. 1 BRIGHAM AND WOMEN'S HOSPITAL 75 FRANCIS ST BOSTON MA 02115 042312909 IRC 501(C)(3) 15962063 SPONSORED RESEARCH SUB-AWARD MASSACHUSETTS GENERAL HOSPITAL 55 FRUIT ST BOSTON MA 02114 041564655 IRC 501(C)(3) 13045981 SPONSORED RESEARCH SUB-AWARD FRONTIER SCIENCE TECH RESEARCH FDN INC 4033 MAPLE RD AMHERST NY 14226 161056814 IRC 501(C)(3) 11090909 SPONSORED RESEARCH SUB-AWARD CHILDREN'S HOSPITAL CORP 300 LONGWOOD AVE BOSTON MA 02115 042774441 IRC 501(C)(3) 7573835 SPONSORED RESEARCH SUB-AWARD DANA FARBER CANCER INSTITUTE 44 BINNEY ST DA-1230 BOSTON MA 02115 042263040 IRC 501(C)(3) 6694013 SPONSORED RESEARCH SUB-AWARD BETH ISRAEL DEACONESS MEDICAL CTR 330 BROOKLINE AVE BOSTON MA 02215 042103881 IRC 501(C)(3) 4550363 SPONSORED RESEARCH SUB-AWARD MASSACHUSETTS INSTITUTE OF TECHNOLOGY 77 MASS AVE NE 49-3131 CAMBRIDGE MA 02139 042103594 IRC 501(C)(3) 3308013 SPONSORED RESEARCH SUB-AWARD REGENTS OF THE UNIVERSITY OF MICHIGAN 3003 S STATE ST G395 ANN ARBOR MI 48109 386006309 IRC 501(C)(3) 2102639 SPONSORED RESEARCH SUB-AWARD THE BROAD INSTITUTE 7 CAMBRIDGE CTR CAMBRIDGE MA 02142 263428781 IRC 501(C)(3) 2021069 SPONSORED RESEARCH SUB-AWARD SOCIAL SCIENCE RESEARCH SOLUTIONS 53 WEST BALTIMORE PIKE MEDIA PA 19063 NOT EXEMPT 1736881 SPONSORED RESEARCH SUB-AWARD JOHNS HOPKINS UNIVERSITY 3910 KESWICK RD N-4327B BALTIMORE MD 21211 520595110 IRC 501(C)(3) 1557837 SPONSORED RESEARCH SUB-AWARD IMMUNE DISEASE INSTITUTE INC 3 BLACKFAN CIRCLE 3RD FL BOSTON MA 02115 042158520 IRC 501(C)(3) 1428290 SPONSORED RESEARCH SUB-AWARD BOSTON UNIVERSITY 25 BUICK ST BOSTON MA 02215 042103547 IRC 501(C)(3) 1386404 SPONSORED RESEARCH SUB-AWARD INDIANA UNIVERSITY 400 E 7TH ST POPLARS RM 501 BLOOMINGTON IN 47405 356001673 IRC 501(C)(3) 1262211 SPONSORED RESEARCH SUB-AWARD WESTAT CORPORATION 1600 RESEARCH BLVD ROCKVILLE MD 20850 840529566 NOT EXEMPT 1075164 SPONSORED RESEARCH SUB-AWARD CHILDREN'S MEMORIAL HOSPITAL OF CHICAGO 2300 CHILDRENS PLAZA CHICAGO IL 60614 362170833 IRC 501(C)(3) 1000260 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF MASSACHUSETTS 140 HICKS WAY AMHERST MA 01003 043167352 IRC 115 964926 SPONSORED RESEARCH SUB-AWARD STANFORD UNIVERSITY 345 PORTER DR PALO ALTO CA 94304 941156365 IRC 501(C)(3) 947653 SPONSORED RESEARCH SUB-AWARD COLUMBIA UNIVERSITY 1210 AMSTERDAM AVE MAIL CODE 2205 NEW YORK NY 10027 135598093 IRC 501(C)(3) 912730 SPONSORED RESEARCH SUB-AWARD NORTHWESTERN UNIVERSITY 633 CLARK ST EVANSTON IL 60208 362167817 IRC 501(C)(3) 891976 SPONSORED RESEARCH SUB-AWARD DIAGNOSTICS FOR ALL INC 840 MEMORIAL DR CAMBRIDGE MA 02139 261638199 IRC 501(C)(3) 857585 SPONSORED RESEARCH SUB-AWARD THE RESEARCH FOUNDATION OF STATE UNIVERSITY OF NEW YORK PO BOX 9 ALBANY NY 12201 141368361 IRC 501(C)(3) 834194 SPONSORED RESEARCH SUB-AWARD ST JUDE CHILDREN'S RESEARCH HOSPITAL 501 ST JUDE PL MEMPHIS TN 38105 620646012 IRC 501(C)(3) 828629 SPONSORED RESEARCH 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042551124 IRC 501(C)(3) 62948 SPONSORED RESEARCH SUB-AWARD WOODS HOLE RESEARCH CENTER 146 WOODS HOLE RD FALMOUTH MA 02540 043005094 IRC 501(C)(3) 62742 SPONSORED RESEARCH SUB-AWARD COLLEGE POSSIBLE INC 450 N SYNDICATE ST NO 200 SAINT PAUL MN 55104 411968798 IRC 501(C)(3) 62364 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF OKLAHOMA 660 PARRINGTON OVAL NORMAN OK 73019 736017987 IRC 115 60758 SPONSORED RESEARCH SUB-AWARD GENZYME CORP 500 KENDALL ST CAMBRIDGE MA 02142 061047163 NOT EXEMPT 57591 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF ALABAMA PO BOX 870142 TUSCALOOSA AL 35487 636001138 IRC 501(C)(3) 56934 SPONSORED RESEARCH SUB-AWARD MAYO CLINIC 4500 SAN PABLO RD JACKSONVILLE FL 32224 593337028 IRC 501(C)(3) 54963 SPONSORED RESEARCH SUB-AWARD NATIONAL OPINION RESEARCH CENTER 55 E MONROE ST 20TH FL CHICAGO IL 60603 362167808 IRC 501(C)(3) 54101 SPONSORED RESEARCH SUB-AWARD REGENTS OF THE UNIVERSITY OF CALIFORNIA AT IRVINE 1400 BIOLOGICAL SCIENCES 3 IRVINE CA 92697 952226406 IRC 501(C)(3) 53393 SPONSORED RESEARCH SUB-AWARD CTR FOR STUDYING HEALTH SYSTEM CHANGE 600 MARYLAND AVE SW WASHINGTON DC 20024 EXEMPT 51963 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF WISCONSIN-MADISON 500 LINCOLN DR MADISON WI 53706 396006492 IRC 115 51927 SPONSORED RESEARCH SUB-AWARD AMERICAN COUNCIL OF LEARNED SOCIETIES 633 3RD AVE 8TH FL NEW YORK NY 10017 131851145 IRC 501(C)(3) 50000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS COLORADO STATE UNIVERSITY 1601 CAMPUS DELIVERY FORT COLLINS CO 80523 846000545 IRC 115 49877 SPONSORED RESEARCH SUB-AWARD BROOKHAVEN NATIONAL LABORATORY PO BOX 5000 UPTON NY 11973 GOVERNMENTAL UNIT 49415 SPONSORED RESEARCH SUB-AWARD MEDICAL UNIVERSITY OF SOUTH CAROLINA 169 ASHLEY AVE CHARLESTON SC 29403 576000722 IRC 115 47860 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF VERMONT 85 SO PROSPECT ST RM 333 BURLINGTON VT 05405 030179440 IRC 501(C)(3) 47318 SPONSORED RESEARCH SUB-AWARD KITWARE INC 28 CORPORATE DR CLIFTON PARK NY 12065 141802694 NOT EXEMPT 46931 SPONSORED RESEARCH SUB-AWARD PEW RESEARCH CENTER 1615 L ST NW STE 700 WASHINGTON DC 20036 200881724 IRC 501(C)(3) 45500 SPONSORED RESEARCH SUB-AWARD BAYSTATE MEDICAL CTR 759 CHESTNUT ST SPRINGFIELD MA 01199 042790311 IRC 501(C)(3) 44807 SPONSORED RESEARCH SUB-AWARD INSTITUTE FOR HEALTHCARE IMPROVEMENT 20 UNIVERSITY RD 7TH FL CAMBRIDGE MA 02138 383017223 IRC 501(C)(3) 44088 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF NEBRASKA-LINCOLN 1400 R ST LINCOLN NE 68508 470049123 IRC 501(C)(3) 43843 SPONSORED RESEARCH SUB-AWARD TUFTS MEDICAL CENTER 750 WASHINGTON ST BOSTON MA 02111 043400617 IRC 501(C)(3) 41880 SPONSORED RESEARCH SUB-AWARD CREIGHTON UNIVERSITY SCHOOL OF DENTISTRY 2500 CALIFORNIA PLAZA OMAHA NE 68154 470376583 IRC 501(C)(3) 41820 SPONSORED RESEARCH SUB-AWARD HEBREW SENIORLIFE 1200 CENTRE ST ROSLINDALE MA 02131 900183119 IRC 501(C)(3) 41400 SPONSORED RESEARCH SUB-AWARD MYOMICS INC 135 PROSPECT ST PROVIDENCE RI 02906 134266372 NOT EXEMPT 41381 SPONSORED RESEARCH SUB-AWARD NORFOLK PUBLIC SCHOOLS 800 E CITY HALL AVE NORFOLK VA 23510 GOVERNMENTAL UNIT 40266 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF COLORADO AT BOULDER 2055 REGENT DR BOULDER CO 80309 846000555 IRC 501(C)(3) 39614 SPONSORED RESEARCH SUB-AWARD SMITH COLLEGE 10 ELM ST COLLEGE HALL RM 204 NORTHAMPTON MA 01063 041843040 IRC 501(C)(3) 38657 SPONSORED RESEARCH SUB-AWARD MOREHOUSE SCHOOL OF MEDICINE 720 WESTVIEW DR SW ATLANTA GA 30310 581438873 IRC 501(C)(3) 38609 SPONSORED RESEARCH SUB-AWARD NEW ENGLAND RESEARCH INSTITUTES INC 9 GALEN ST WATERTOWN MA 02472 042919509 EXEMPT 38184 SPONSORED RESEARCH SUB-AWARD POMONA COLLEGE 550 N COLLEGE AVE CLAREMONT CA 91711 951664112 IRC 501(C)(3) 38059 SPONSORED RESEARCH SUB-AWARD UNIVERSITY AT ALBANY (STATE UNIVERSITY OF NEW YORK) 1400 WASHINGTON AVE AD 216 ALBANY NY 12222 161514621 IRC 115 35948 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF TEXAS MEDICAL BRANCH 301 UNIVERSITY BLVD GALVESTON TX 77555 746000949 EXEMPT 34077 SPONSORED RESEARCH SUB-AWARD MASSACHUSETTS ASSOCIATION OF HEALTH BOARDS 56 TAUNTON ST PLAINVILLE MA 02762 042774252 IRC 501(C)(3) 33801 SPONSORED RESEARCH SUB-AWARD WASHINGTON UNIVERSITY 700 ROSEDALE AVE ST LOUIS MO 63112 430653611 IRC 501(C)(3) 33659 SPONSORED RESEARCH SUB-AWARD HELEN KELLER INTERNATIONAL 352 PARK AVE SOUTH 12TH FL NEW YORK NY 10010 135562162 IRC 501(C)(3) 33586 SPONSORED RESEARCH SUB-AWARD DISTRICT OF COLUMBIA PUBLIC SCHOOLS 825 NO CAPITOL ST NE 9TH FL WASHINGTON DC 02002 061662132 GOVERNMENTAL UNIT 32552 SPONSORED RESEARCH SUB-AWARD INTERNATIONAL SOCIETY OF PSYCHIATRIC GENETICS 5034 THOROUGHBRED LN STE A BRENTWOOD TN 37027 880293000 IRC 501(C)(3) 32250 SPONSORED RESEARCH SUB-AWARD FBREAGENTS 199 AUBURN ST CAMBRIDGE MA 02139 NOT EXEMPT 31800 SPONSORED RESEARCH SUB-AWARD FENWAY COMMUNITY HEALTH CTR 1340 BOYLSTON ST BOSTON MA 02215 042510564 IRC 501(C)(3) 30885 SPONSORED RESEARCH SUB-AWARD SCHIZOPHRENIA INTERNATIONAL RESEARCH SOCIETY INC 5034 THOROUGHBRED LN STE A BRENTWOOD TN 37027 203585630 IRC 501(C)(3) 30000 SPONSORED RESEARCH SUB-AWARD TERC 2067 MASS AVE CAMBRIDGE MA 02140 046134355 IRC 501(C)(3) 28615 SPONSORED RESEARCH SUB-AWARD OREGON BUSINESS COUNCIL 1100 SW 6TH AVE STE 1608 PORTLAND OR 97204 930884244 IRC 501(C)(6) 28125 SPONSORED RESEARCH SUB-AWARD CARNEGIE MELLON UNIVERSITY 5000 FORBES AVE PITTSBURGH PA 15213 250969449 IRC 501(C)(3) 26322 SPONSORED RESEARCH SUB-AWARD MAYORS YOUTH FUND ONE CITY HALL SQ BOSTON MA 02201 GOVERNMENTAL UNIT 25000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS NATIVE AMERICAN AND INDIGENOUS STUDIES ASSOCIATION 1775 E ANDROMEDA PL TUCSON AZ 85737 800419427 IRC 501(C)(3) 25000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS DIMAGI INC 585 MASS AVE CAMBRIDGE MA 02139 830343298 NOT EXEMPT 24933 SPONSORED RESEARCH SUB-AWARD HARVARD PILGRIM HEALTH CARE FOUNDATION 93 WORCESTER ST STE 100 WELLESLEY MA 02481 042708004 IRC 501(C)(3) 24835 SPONSORED RESEARCH SUB-AWARD POPULATION COUNCIL ONE DAG HAMMARSKJOLD PLAZA NEW YORK NY 10017 131687001 IRC 501(C)(3) 24681 SPONSORED RESEARCH SUB-AWARD CHILDREN'S HOSPITAL OF ALABAMA 1600 7TH AVE SOUTH BIRMINGHAM AL 35233 630307306 IRC 501(C)(3) 24030 SPONSORED RESEARCH SUB-AWARD NEW YORK CITY CENTER FOR CHARTER SCHOOL EXCELLENCE 111 BROADWAY STE 604 NEW YORK NY 10006 200759687 IRC 501(C)(3) 23750 SPONSORED RESEARCH SUB-AWARD NATIONAL DEVELOPMENT AND RESEARCH INSTITUTE INC 71 W 23RD ST 8TH FL NEW YORK NY 10010 237009089 IRC 501(C)(3) 23404 SPONSORED RESEARCH SUB-AWARD CTR FOR COMM HEALTH EDUC RESEARCH AND SERVICE INC 716 COLUMBUS AVE BOSTON MA 02120 043286409 IRC 501(C)(3) 23066 SPONSORED RESEARCH SUB-AWARD CAMBRIDGE MEDICAL CARE FDN 1493 CAMBRIDGE ST CAMBRIDGE MA 02139 042752962 IRC 501(C)(3) 22873 SPONSORED RESEARCH SUB-AWARD BRIGHAM YOUNG UNIVERSITY PO BOX 21231 PROVO UT 84602 870217280 IRC 501(C)(3) 22502 SPONSORED RESEARCH SUB-AWARD HEALTHCORE INC 800 DELAWARE AVE 5TH FL WILMINGTON DE 19801 593289883 NOT EXEMPT 21930 SPONSORED RESEARCH SUB-AWARD COMMITTEE FOR BOSTON PUBLIC HOUSING 100 TERRACE ST STE B BOSTON MA 02120 042730930 IRC 501(C)(3) 21221 SPONSORED RESEARCH SUB-AWARD TEXAS A&M UNIVERSITY 3000 BRIARCREST DR STE 101 BRYAN TX 77802 742648747 IRC 115 20882 SPONSORED RESEARCH SUB-AWARD BOSTON CHILDREN'S MUSEUM 300 CONGRESS ST BOSTON MA 02210 042103993 IRC 501(C)(3) 20710 SPONSORED RESEARCH SUB-AWARD WHITEHEAD INSTITUTE FOR BIOMEDICAL RESEARCH 9 CAMBRIDGE CTR CAMBRIDGE MA 02142 061043412 IRC 501(C)(3) 20377 SPONSORED RESEARCH SUB-AWARD LOUISIANA STATE UNIVERSITY HEALTH SCIENCES CENTER 433 BOLIVAR ST NEW ORLEANS LA 70112 726087770 IRC 115 19990 SPONSORED RESEARCH SUB-AWARD SRI INTERNATIONAL 333 RAVENSWOOD AVE RM EJ278 MENLO PARK CA 94025 941160950 IRC 501(C)(3) 19443 SPONSORED RESEARCH SUB-AWARD SOUTH CAROLINA COUNCIL ON COMPETITIVENESS 1411 GERVAIS ST STE 315 COLUMBIA SC 29201 201690146 IRC 501(C)(3) 18563 SPONSORED RESEARCH SUB-AWARD INSTITUTE FOR WILDLIFE STUDIES PO BOX 1104 ARCATA CA 95518 942612613 IRC 501(C)(3) 17960 SPONSORED RESEARCH SUB-AWARD BOSTON HOUSING AUTHORITY 52 CHAUNCY ST BOSTON MA 02111 046001907 GOVERNMENTAL UNIT 16625 SPONSORED RESEARCH SUB-AWARD DUFFY HEALTH CTR INC 105 PARK ST HYANNIS MA 02601 043373741 IRC 501(C)(3) 16230 SPONSORED RESEARCH SUB-AWARD MASSACHUSETTS COLLEGE OF PHARMACY AND HEALTH SCIENCES 179 LONGWOOD AVE BOSTON MA 02115 042104700 IRC 501(C)(3) 15688 SPONSORED RESEARCH SUB-AWARD TEXAS BIOMEDICAL RESEARCH INSTITUTE 7620 N W LOOP 410 SAN ANTONIO TX 78227 741109630 IRC 501(C)(3) 15500 SPONSORED RESEARCH SUB-AWARD COUNCIL ON LIBRARY AND INFORMATION RESOURCES 1752 N ST NW STE 800 WASHINGTON DC 20036 521576808 IRC 501(C)(3) 15362 SPONSORED RESEARCH SUB-AWARD FAULKNER HOSPITAL 1153 CENTRE ST BOSTON MA 02130 042768256 IRC 501(C)(3) 15323 SPONSORED RESEARCH SUB-AWARD JOSEPH M SMITH COMMUNITY HEALTH CENTER INC 287 WESTERN AVE ALLSTON MA 02134 237221597 IRC 501(C)(3) 15000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS ASSOCIATION OF HEALTH CARE JOURNALISTS INC 10 NEFF HALL COLUMBIA MO 65211 753155529 IRC 501(C)(6) 15000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS UNIVERSITY OF MISSOURI-COLUMBIA 319 JESSE HALL COLUMBIA MO 65211 436003859 IRC 115 14997 SPONSORED RESEARCH SUB-AWARD LA JOLLA INSTITUTE FOR ALLERGY AND IMMUNOLOGY 9420 ATHENA CIR LA JOLLA CA 92037 330328688 IRC 501(C)(3) 14272 SPONSORED RESEARCH SUB-AWARD CTR FOR THE STUDY OF SERVICES 1625 K ST NW 8TH FL WASHINGTON DC 20006 521000466 IRC 501(C)(3) 14209 SPONSORED RESEARCH SUB-AWARD UNIVERSITY OF NOTRE DAME 731 GRACE HALL NOTRE DAME IN 46556 350868188 IRC 501(C)(3) 13531 SPONSORED RESEARCH SUB-AWARD WEST END HOUSE INC 105 ALLSTON ST ALLSTON MA 02134 042105825 IRC 501(C)(3) 13500 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS RUSH UNIVERSITY MEDICAL CENTER 1700 W VAN BUREN RM 150 CHICAGO IL 60612 362174823 IRC 501(C)(3) 12691 SPONSORED RESEARCH SUB-AWARD PRIMARY SOURCE INC 101 WALNUT ST WATERTOWN MA 02472 042911053 IRC 501(C)(3) 12500 SPONSORED RESEARCH SUB-AWARD GARDNER PILOT ACADEMY 30 ATHOL ST BOSTON MA 02134 GOVERNMENTAL UNIT 12324 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS WELLESLEY COLLEGE 106 CENTRAL ST WELLESLEY MA 02481 042103637 IRC 501(C)(3) 11958 SPONSORED RESEARCH SUB-AWARD HEALTHPARTNERS RESEARCH FOUNDATION 8170 33RD AVE SOUTH MINNEAPOLIS MN 55440 411670163 IRC 501(C)(3) 11654 SPONSORED RESEARCH SUB-AWARD OAK SQUARE YMCA 615 WASHINGTON ST BRIGHTON MA 02135 GOVERNMENTAL UNIT 11000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS ALLSTON BRIGHTON COMMUNITY DEVELOPMENT CORP 20 LINDEN ST ALLSTON MA 02134 042716278 IRC 501(C)(3) 10750 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS HARVARD VANGUARD MEDICAL ASSOCIATES 275 GROVE ST STE 3-300 NEWTON MA 02466 043397450 IRC 501(C)(3) 10149 SPONSORED RESEARCH SUB-AWARD JAMES W HENNIGAN ELEMENTARY SCHOOL 200 HEATH ST JAMAICA PLAIN MA 02130 GOVERNMENTAL UNIT 10107 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS MIT MUSEUM 265 MASS AVE CAMBRIDGE MA 02139 EXEMPT 10000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS PHILLIPS BROOKS HOUSE ONE HARVARD BUS TUNNEL CAMBRIDGE MA 02138 046046123 IRC 501(C)(3) 10000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS LEHIGH UNIVERSITY 524 BRODHEAD AVE BETHLEHEM PA 18015 240795445 IRC 501(C)(3) 9900 SPONSORED RESEARCH SUB-AWARD RESEARCH FOUNDATION OF CUNY (CITY UNIVERSITY OF NEW YORK) 230 WEST 41ST ST 7TH FL NEW YORK NY 10036 131988190 IRC 501(C)(3) 9852 SPONSORED RESEARCH SUB-AWARD MULTICULTURAL AIDS COALITION 31 HEATH ST JAMAICA PLAIN MA 02130 043042926 IRC 501(C)(3) 9508 SPONSORED RESEARCH SUB-AWARD ENGLISH HIGH SCHOOL 144 MCBRIDE ST BOSTON MA 02130 042618038 IRC 501(C)(3) 8716 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS CASA NUEVA VIDA INC 53 GLEN RD JAMAICA PLAIN MA 02130 043012063 IRC 501(C)(3) 8676 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS STONY BROOK UNIVERSITY (STATE UNIVERSITY OF NEW YORK) 100 NICOLLS RD STONY BROOK NY 11794 161514621 IRC 115 8635 SPONSORED RESEARCH SUB-AWARD HEBREW REHABILITATION CENTER FOR AGED 1200 CENTRE ST ROSLINDALE MA 02131 042104298 IRC 501(C)(3) 8545 SPONSORED RESEARCH SUB-AWARD MASSACHUSETTS TECHNOLOGY COLLABORATIVE 2 CENTER PLAZA BOSTON MA 02108 GOVERNMENTAL UNIT 8245 SPONSORED RESEARCH SUB-AWARD MICHIGAN STATE UNIVERSITY 426 AUDITORIUM RD RM 350 EAST LANSING MI 48824 386005984 IRC 501(C)(3) 8013 SPONSORED RESEARCH SUB-AWARD EMPHATIC COMMUNICATIONS 120 STATE AVE NE NO 304 OLYMPIA WA 98501 NOT EXEMPT 8000 SPONSORED RESEARCH SUB-AWARD MISSION HILL YOUTH COLLABORATIVE 31 LENOX ST BOSTON MA 02118 GOVERNMENTAL UNIT 7500 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS ADAMS AND RAFFERTY 130 BISHOP ALLEN DR 2ND FL CAMBRIDGE MA 02139 NOT EXEMPT 7500 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS CAMBRIDGE COMMUNITY CENTER 5 CALLENDER ST CAMBRIDGE MA 02139 042477881 IRC 501(C)(3) 7500 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS CRADLES TO CRAYONS 155 NORTH BEACON ST BRIGHTON MA 02135 043584367 IRC 501(C)(3) 7500 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS MOBILE HEALTH CLINICS NETWORK 1058 HAIGHT ST SAN FRANCISCO CA 94117 271234557 IRC 501(C)(3) 7000 SPONSORED RESEARCH SUB-AWARD NATIONAL COMMITTEE FOR QUALITY ASSURANCE 1100 13TH ST NW STE 1000 WASHINGTON DC 20005 521191985 IRC 501(C)(3) 6250 SPONSORED RESEARCH SUB-AWARD FLORIDA INTERNATIONAL UNIVERSITY 11200 SW 8TH ST MIAMI FL 33199 650177616 IRC 501(C)(3) 6072 SPONSORED RESEARCH SUB-AWARD MARGARET FULLER NEIGHBORHOOD HOUSE 71 CHERRY ST CAMBRIDGE MA 02139 042103782 IRC 501(C)(3) 6000 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS GEISINGER HEALTH SYSTEM 100 NORTH ACADEMY AVE DANVILLE PA 17822 231995911 IRC 501(C)(3) 5600 SPONSORED RESEARCH SUB-AWARD AMOUNTS 5000 OR LESS VARIOUS CAMBRIDGE MA 02135 VARIOUS 102150 COMMUNITY GIFTS AND CHARITABLE CONTRIBUTIONS 243 21 GRADUATE STUDENT STIPEND GRANTS 4641 76916143 GRADUATE STUDENT TUITION AND FEES GRANTS 9424 188747726 GRANTS AND AWARDS TO NON-HARVARD STUDENTS 767 6518635 OTHER UNDERGRADUATE GRANTS, PRIZES AND AWARDS 1054 3748321 STUDENT PRIZES AND AWARDS 3611 8837759 STIPENDS FOR POST-DOCTORAL STUDENTS AND FELLOWS 1171 29136483 TRAINING GRANTS 15 208321 UNDERGRADUATE TUITION, FEES, AND STIPEND GRANTS 4403 164861836 STUDENT LOAN REPAYMENT PROGRAMS AND FORGIVEN LOANS 454 4382595 PROCEDURE FOR MONITORING GRANTS IN THE U.S.: PART I, LINE 2: SCHEDULE I, PART I, LINE 2: ALL DISBURSEMENTS MADE BY THIS INSTITUTION IN FURTHERANCE OF ITS EXEMPT PROGRAMS ARE REVIEWED AND APPROVED BY DULY CONSTITUTED COMMITTEES OR INDIVIDUALS. ALL SCHOLARSHIPS AND STUDENT LOANS ARE REVIEWED AND APPROVED BY HARVARD'S FINANCIAL AID OFFICES. IN ADDITION, HARVARD UNIVERSITY IS RESPONSIBLE FOR THE PROGRAMMATIC AND FINANCIAL MONITORING OF ITS SPONSORED RESEARCH AWARD SUBRECIPIENTS. PRINCIPAL INVESTIGATORS AND PROJECT STAFF PERFORM ONGOING REVIEWS OF PROJECT ACTIVITIES. IN ADDITION, ON AN ANNUAL BASIS, UNIVERSITY RESEARCH ADMINISTRATORS REVIEW ALL ACTIVE SUBCONTRACTS AND INQUIRE FURTHER INTO THOSE THAT ARE DEEMED TO REQUIRE CLOSER SCRUTINY IN LIGHT OF A VARIETY OF ATTRIBUTES. UPON IDENTIFICATION OF SUBRECIPIENTS THAT MANDATE CLOSER SCRUTINY, HARVARD IMPLEMENTS ADDITIONAL MONITORING ACTIONS TO ENSURE COMPLIANCE WITH SUBAGREEMENT PERFORMANCE, FINANCIAL TERMS AND CONDITIONS, AND WITH ALL APPLICABLE FEDERAL RULES AND REGULATIONS. X X X X X 1 1 X X X X X 0 1 0 0 0 0 0 1 1 1 DREW GILPIN FAUST 720441 0 0 0 8665 0 31410 0 139218 0 899734 0 0 0 ALAN M GARBER BEGAN 911 198145 0 0 0 169678 0 24660 0 40325 0 432808 0 0 0 MARC L GOODHEART 310784 0 0 0 306 0 31410 0 24801 0 367301 0 0 0 MARILYN M HAUSAMMANN 327767 0 20000 0 928 0 31410 0 19301 0 399406 0 0 0 CHRISTINE M HEENAN 370378 0 15000 0 745 0 31410 0 23207 0 440740 0 0 0 LISA HOGARTY 349176 0 0 0 6594 0 31410 0 12546 0 399726 0 0 0 ROBERT W IULIANO 431617 0 25000 0 9770 0 31410 0 21227 0 519024 0 0 0 MARK R JOHNSON 264400 0 0 0 104 0 31410 0 8358 0 304272 0 0 0 KATHERINE N LAPP 552839 0 25000 0 1183 0 31410 0 10102 0 620534 0 0 0 ANNE H MARGULIES 319756 0 0 0 3322 0 31410 0 21527 0 376015 0 0 0 TAMARA E ROGERS 341671 0 0 0 3926 0 31410 0 19301 0 396308 0 0 0 DANIEL S SHORE 316982 0 0 0 768 0 31410 0 24300 0 373460 0 0 0 A CLAYTON SPENCER 338406 0 0 0 3892 0 31410 0 9287 0 382995 0 0 0 JEFFREY S FLIER 561730 0 0 0 8932 0 31410 0 19301 0 621373 0 0 0 NITIN NOHRIA 501466 0 0 0 5507 0 31410 0 123671 0 662054 0 0 0 MICHAEL D SMITH 404632 0 0 0 55134 0 31410 0 18437 0 509613 0 0 0 JULIO FRENK 505382 0 0 0 49519 0 31410 0 20301 0 606612 0 0 0 R JOHN COLLIER 174069 0 0 0 353765 0 22106 0 21969 0 571909 0 0 0 ELIO RAVIOLA 112944 0 0 0 412310 0 12810 0 22058 0 560122 0 0 0 MICHAEL J KLARMAN 261532 0 0 0 255473 0 31410 0 19301 0 567716 0 0 0 BARBARA J MCNEIL 297696 0 0 0 213889 0 31410 0 2309 0 545304 0 0 0 ROBERT B CASHION 265489 0 3000 0 239 0 31410 0 20665 0 320803 0 0 0 STEVEN E HYMAN 532426 0 0 0 10387 0 31410 0 4256 0 578479 0 0 0 PART I, LINE 1A FIRST CLASS OR CHARTER TRAVEL: UNIVERSITY TRAVEL POLICY ALLOWS FOR FIRST CLASS TRAVEL FOR UNIVERSITY BUSINESS PURPOSES IN LIMITED CIRCUMSTANCES. IN ACCORDANCE WITH THIS POLICY, CERTAIN REPORTED EMPLOYEES TRAVELED FIRST CLASS ON A SMALL NUMBER OF TRIPS DURING THE YEAR. TRAVEL EXPENSES ARE INCURRED FOR UNIVERSITY PURPOSES AND THEREFORE ARE NOT TREATED AS TAXABLE COMPENSATION. PART I, LINE 1A: TRAVEL FOR COMPANIONS: UNIVERSITY TRAVEL POLICY ALLOWS REIMBURSEMENT FOR COMPANION TRAVELERS WHEN THE COMPANION'S ATTENDANCE AT A PROFESSIONAL FUNCTION OR INVOLVEMENT IN FUNDRAISING ACTIVITIES SERVES A LEGITIMATE BUSINESS PURPOSE. IN ACCORDANCE WITH THIS POLICY, THE UNIVERSITY REIMBURSED CERTAIN EMPLOYEES FOR COMPANION TRAVEL DURING THE YEAR. IN THESE CIRCUMSTANCES, THE REIMBURSEMENT OF COMPANION AND FAMILY MEMBER TRAVEL EXPENSES WAS A LEGITIMATE BUSINESS EXPENSE FOR THE UNIVERSITY AND THEREFORE IT WAS NOT REPORTED IN THE EMPLOYEES' TAXABLE COMPENSATION. PART I, LINE 1A: TAX INDEMNIFICATION AND GROSS-UP PAYMENTS: THE UNIVERSITY ELECTED TO PAY THE TAX OBLIGATIONS THAT AROSE FROM CERTAIN COMPENSATION TRANSACTIONS AND REIMBURSEMENTS. FOUR REPORTED EMPLOYEES RECEIVED THIS BENEFIT DURING THE CALENDAR YEAR ENDED DECEMBER 31, 2011. THESE TAX REIMBURSEMENTS ARE REPORTED TO EACH INDIVIDUAL AS TAXABLE COMPENSATION. PART I, LINE 1A: HOUSING ALLOWANCE/PERSONAL SERVICES: THE UNIVERSITY PROVIDES PRESIDENT FAUST WITH A RESIDENCE IN CAMBRIDGE AND REQUIRES ITS USE AS CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE UNIVERSITY. THE TOTAL ESTIMATED VALUE OF THE ANNUAL USE OF THE RESIDENCE IS $192,000, OF WHICH $129,175 IS ESTIMATED TO BE THE VALUE OF THE PERSONAL USE AND IS REPORTED AS A NONTAXABLE BENEFIT IN PART VII, LINE 1A AND SCHEDULE J, PART II. DURING THE PERFORMANCE OF REGULAR UNIVERSITY DUTIES, A UNIVERSITY EMPLOYEE MAY, ON OCCASION, PERFORM INCIDENTAL PERSONAL SERVICES FOR THE PRESIDENT (E.G., PURCHASING OF SMALL HOUSEHOLD ITEMS, WITH THE COST OF SUCH ITEMS REIMBURSED IN FULL BY THE PRESIDENT). THE UNIVERSITY REGARDS SUCH SERVICES AS A NONTAXABLE "DE MINIMIS" FRINGE BENEFIT. HARVARD BUSINESS SCHOOL (HBS) PROVIDES DEAN NOHRIA WITH A RESIDENCE IN ALLSTON AND REQUIRES ITS USE AS CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF HBS. THE TOTAL ESTIMATED VALUE OF THE ANNUAL USE OF THE RESIDENCE IS $156,000, OF WHICH $107,009 IS ESTIMATED TO BE THE VALUE OF THE CALENDAR 2011 PERSONAL USE AND IS REPORTED AS A NONTAXABLE BENEFIT IN PART VII, LINE 1A AND SCHEDULE J, PART II. HARVARD UNIVERSITY PROVIDED PROVOST GARBER WITH A TEMPORARY RESIDENCE IN CAMBRIDGE AND REQUIRED ITS USE AS A CONDITION OF EMPLOYMENT FOR THE CONVENIENCE OF THE UNIVERSITY. THE PROVOST LIVED IN THE TEMPORARY RESIDENCE FROM AUGUST 2011 THROUGH DECEMBER 2012 PRIOR TO MOVING INTO A PERMANENT UNIVERSITY RESIDENCE. THE ESTIMATED RENTAL VALUE OF THE TEMPORARY RESIDENCE FROM AUGUST THROUGH DECEMBER 2011 WAS $15,865, WHICH HAS BEEN REPORTED AS A NONTAXABLE BENEFIT IN PART VII, LINE 1A AND SCHEDULE J, PART II. TWO REPORTED EMPLOYEES RECEIVED MORTGAGE SUBSIDIES AND/OR HOUSING ALLOWANCES. THESE AMOUNTS ARE INCLUDED IN EACH EMPLOYEE'S TAXABLE COMPENSATION. PART I, LINE 1B: COMPENSATION POLICIES: THE UNIVERSITY FOLLOWS WRITTEN POLICIES REGARDING FIRST CLASS TRAVEL AND TRAVEL FOR COMPANIONS. THE MAJORITY OF TAX GROSS-UP PAYMENTS ARISE FROM RELOCATION EXPENSES, ON WHICH UNIVERSITY HUMAN RESOURCES SETS FORTH DIRECTION IN WRITTEN GUIDELINES. THE UNIVERSITY ALSO FOLLOWS WRITTEN GUIDELINES ON HOUSING ALLOWANCES, WHICH ARE OFFERED ON A LIMITED BASIS TO SENIOR FACULTY AND SENIOR ADMINISTRATORS. PART I, LINE 3: COMPENSATION REVIEW PROCESS: SEE SCHEDULE O "COMPENSATION REVIEW PROCESS" FOR A DISCUSSION OF THE METHODS USED TO ESTABLISH THE PRESIDENT'S COMPENSATION. PART I, LINE 4B SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN: ONE REPORTED EMPLOYEE RECEIVED PAYMENT RELATED TO A SUPPLEMENTAL NON-QUALIFIED RETIREMENT PLAN. PART I, LINE 7 BONUS AND INCENTIVE PAYMENTS: THE UNIVERSITY OFFERS INCENTIVE COMPENSATION FOR OUTSTANDING PERFORMANCE. BONUS AND INCENTIVE PAYMENTS FOR OFFICERS, KEY EMPLOYEES, AND HIGHEST COMPENSATED EMPLOYEES ARE LISTED IN PART II, COLUMN (B)(II). PART I, LINE 8 INITIAL CONTRACT: THE UNIVERSITY HIRED A NEW PROVOST DURING THE FISCAL YEAR ENDED JUNE 30, 2012. THE PROVOST'S REPORTED COMPENSATION IN SCHEDULE J WAS PAID PURSUANT TO AN INTIAL CONTRACT. THE COMPENSATION ARRANGEMENT WAS APPROVED IN ADVANCE BY THE COMPENSATION COMMITTEE. THE COMPENSATION COMMITTEE OBTAINED AND RELIED UPON APPROPRIATE DATA AS TO COMPARABILITY PRIOR TO MAKING ITS DETERMINATION. SUPPLEMENTAL INFORMATION PART III PART II, SUPPLEMENTAL INFORMATION: PROVOST GARBER'S COLUMN B(III) OTHER REPORTABLE COMPENSATION INCLUDES $152,157 IN SUPPLEMENTAL TRANSITION REIMBURSEMENTS ASSOCIATED WITH RELOCATION. THIS AMOUNT INCLUDES A GROSS-UP FOR TAX INDEMNIFICATION. DEAN SMITH'S COLUMN B(III) OTHER REPORTABLE COMPENSATION INCLUDES $49,500 OF TAXABLE TRANSITIONAL PAYMENTS TO COVER HIS HOUSING EXPENSES WHILE HIS UNIVERSITY HOUSING UNDERGOES RENOVATIONS. THE RENOVATIONS BEGAN DURING CALENDAR YEAR 2011. FORMER PROVOST HYMAN AND FORMER ACTING VICE PRESIDENT CASHION CONTINUE TO BE EMPLOYED BY THE UNIVERSITY. THEY ARE REPORTED AS 'FORMER' BECAUSE THEY DID NOT SERVE IN AN OFFICER CAPACITY DURING FISCAL YEAR 2012. MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57585KGP7 2004-01-15 103670000 SERIES R 1-5 (SEE PART VI) 0 0 0 MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57585KGP7 2005-04-14 13490000 SERIES R 6 (SEE PART VI) 0 0 0 MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57585KGP7 2006-04-03 14040000 SERIES R 7 (SEE PART VI) 0 0 0 MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57586CFV2 2005-05-18 199814639 SERIES 2005A/B (SEE PART VI) 0 0 0 103670000 103670000 2007 1 0 1 1 13491079 13491079 2007 1 0 1 1 14043650 14043650 2007 1 0 1 1 200761080 1059385 6740000 192961696 2007 1 0 1 1 0 0 0 0 1 0 0 0 0 1 0 0 0 0 1 0 1 1 1 1 1 0.00000 0.00300 0.00300 1 0 1 0 0 0 1 0 1 0 0 0 1 0 1 0 0 0 1 0 0 0 0 0 1 X SCHEDULE K, PART I, BOND ISSUES: COLUMNS A AND B (GENERAL NOTE): THE MASSACHUSETTS HEALTH AND EDUCATIONAL FACILITIES AUTHORITY (EIN: 04-2456011) WAS THE ORIGINAL ISSUER OF THE FOLLOWING ISSUES LISTED ON THIS SCHEDULE: SERIES R 1-5, SERIES R 6, SERIES R 7, SERIES 2005A/B, SERIES 2005C, SERIES 2007EE, SERIES 2008B, SERIES 2009A, SERIES 2009EE, AND SERIES 2010A. IT WAS MERGED INTO THE MASSACHUSETTS DEVELOPMENT FINANCE AGENCY (EIN: 04-3431814) ON OCTOBER 1, 2010. ROW A (SERIES R 1-5), COLUMN F: SERIES R, TRANCHE 1-5 WAS ISSUED TO REFUND PORTIONS OF THE FOLLOWING BOND ISSUES WHICH WERE ISSUED ON THE FOLLOWING DATES: SERIES A (7/1/72), SERIES B (7/1/73), SERIES C (4/7/76), SERIES D (6/23/77), SERIES I (5/7/85), SERIES M (2/6/91), SERIES N (9/1/91), SERIES P (6/13/95), SERIES Q-1 (8/29/96), SERIES Q-2 (9/2/97), SERIES Q-3 (9/15/98), SERIES Z (10/1/00), AND SERIES AA (10/4/01). ROW B (SERIES R 6), COLUMN F: SERIES R, TRANCHE 6 WAS ISSUED TO REFUND PORTIONS OF THE FOLLOWING BOND ISSUES WHICH WERE ISSUED ON THE FOLLOWING DATES: SERIES P (6/13/95), SERIES Z (10/1/00), AND SERIES AA (10/4/01). ROW C (SERIES R 7), COLUMN F: SERIES R, TRANCHE 7 WAS ISSUED TO REFUND PORTIONS OF THE FOLLOWING BOND ISSUES WHICH WERE ISSUED ON THE FOLLOWING DATES: SERIES P (6/13/95), SERIES Z (10/1/00), AND SERIES AA (10/4/01). ROW D (SERIES 2005A/B), COLUMN F: SERIES 2005A WAS ISSUED TO REFUND TAX-EXEMPT COMMERCIAL PAPER ISSUED ON 12/18/03, AND TO FINANCE CAPITAL EXPENDITURES OF THE UNIVERSITY RELATING TO THE HARVARD DEPOSITORY, SOUTHBOROUGH, AND THE WIDENER LIBRARY, CAMBRIDGE. SERIES 2005B WAS ISSUED TO REFUND SERIES P, ISSUED 6/13/95. ROW A (SERIES 2005C), COLUMN F: SERIES 2005C WAS ISSUED TO REFUND TAX-EXEMPT COMMERCIAL PAPER ISSUED ON 9/5/02 AND ON 12/18/03. ROW B (SERIES 2007EE), COLUMN C: SERIES 2007EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, AND THUS WAS REPRESENTED BY MULTIPLE CUSIPS. ROW B (SERIES 2007EE), COLUMN E: SERIES 2007EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, WITH AN AUTHORIZED AMOUNT OF $1,000,000,000. APPROXIMATELY $229 MILLION WAS OUTSTANDING ON 6/30/12. ROW B (SERIES 2007EE), COLUMN F: SERIES 2007EE, CONSISTING OF TAX-EXEMPT COMMERCIAL PAPER, WAS ISSUED TO PROVIDE SHORT-TERM FINANCING FOR THE FOLLOWING CAPITAL EXPENDITURES OF THE UNIVERSITY: (I) CONSTRUCTION OF A BUILDING FOR THE ARNOLD ARBORETUM FOR RESEARCH AND ADMINISTRATION LOCATED AT WELD HILL, 1300 CENTRE STREET, BOSTON; (II) INSTALLATION OF A SATELLITE CHILLED WATER PLANT AND AN ELECTRICAL SUBSTATION LOCATED ON THE EAST SIDE OF OXFORD STREET BETWEEN HAMMOND AND KIRKLAND STREETS, CAMBRIDGE; (III) A RENOVATION OF BUILDING SPACE AT 46 BLACKSTONE STREET, CAMBRIDGE AND A BOILER REPLACEMENT AND ANCILLARY SYSTEM UPGRADE IN THE BLACKSTONE PLANT LOCATED AT THE SAME SITE (THE CORNER OF MEMORIAL DRIVE AND WESTERN AVENUE, CAMBRIDGE); (IV) AN UNDERGROUND PARKING FACILITY LOCATED AT 6-8 EVERETT STREET, CAMBRIDGE; (V) INSTALLATION OF UNDERGROUND PIPES AND WIRES IN THE HARVARD LAW SCHOOL AREA, WEST OF OXFORD STREET BETWEEN EVERETT STREET AND KIRKLAND STREET, CAMBRIDGE; (VI) RENOVATION OF ROCKEFELLER HALL, 47 FRANCIS AVENUE, CAMBRIDGE; (VII) RENOVATIONS AND UTILITY INFRASTRUCTURE UPGRADES AT HARVARD LAW SCHOOL, 1585 MASSACHUSETTS AVE, CAMBRIDGE; (VIII) RENOVATION OF THE FIRE ALARM AND SPRINKLER SYSTEM, ROOF, AND ROOM INTERIORS AT RESIDENTIAL BUILDINGS IN THE HARVARD LAW SCHOOL AREA, 16-22 EVERETT STREET, CAMBRIDGE; (IX) RENOVATION AND EXTERIOR RESTORATION OF BYERLY HALL, 6-8 GARDEN STREET, CAMBRIDGE; (X) A RENOVATION OF THE MALKIN ATHLETIC CENTER, 39 HOLYOKE STREET, CAMBRIDGE; (XI) CONSTRUCTION AND EQUIPPING OF THE LABORATORY FOR INTERFACE SCIENCE AND ENGINEERING, 15 OXFORD STREET, CAMBRIDGE; (XII) CONSTRUCTION OF A RESEARCH FACILITY LOCATED AT 16 DIVINITY AVENUE, CAMBRIDGE; (XIII) AN ADDITION TO THE NEW COLLEGE THEATRE, 10-12 HOLYOKE STREET, CAMBRIDGE; (XIV) CONSTRUCTION OF THE NORTHWEST BUILDING, A SCIENCE FACILITY AT 52 OXFORD STREET, CAMBRIDGE; (XV) RENOVATION AND EXTERIOR RESTORATION OF GALLATIN HALL, 24 HARVARD WAY, BOSTON; (XVI) CLASSROOM RENOVATIONS AT THE MCCOLLUM CENTER, 47 HARVARD WAY, BOSTON; (XVII) RENOVATION OF BUILDINGS AT 641 AND 643 HUNTINGTON AVENUE, BOSTON; (XVIII) CONSTRUCTION OF A HOUSING DEVELOPMENT AT 387 WESTERN AVENUE, 28 HINGHAM STREET AND 30 HINGHAM STREET, CAMBRIDGE; (XIX) CONSTRUCTION OF THE ALLSTON SCIENCE COMPLEX, INCLUDING A PARKING FACILITY AND AN ENERGY FACILITY AT 150 WESTERN AVENUE, BOSTON; (XX) DESIGN FOR NEW INFRASTRUCTURE SYSTEMS FOR UTILITIES TUNNELS, MATERIALS HANDLING TUNNELS, WATER UTILITIES, WASTEWATER SYSTEMS, AND TRANSMISSION SUBSTATION TO SUPPORT THE ALLSTON CAMPUS, BOSTON; AND (XXI) A RENOVATION OF THE BUILDING FIRE SPRINKLER AND FIRE ALARM AT DUNSTER HOUSE, 945 MEMORIAL DRIVE, CAMBRIDGE. ROW C (SERIES 2008B), COLUMN F: SERIES 2008B WAS ISSUED TO REFUND TAX-EXEMPT COMMERCIAL PAPER ISSUED ON 3/9/06 AND 12/21/07, AND TO REFINANCE CAPITAL EXPENDITURES OF THE UNIVERSITY RELATING TO QUINCY HOUSE, 58 PLYMPTON STREET, CAMBRIDGE. ROW D (SERIES 2009A), COLUMN F: SERIES 2009A WAS ISSUED TO REFUND TAX-EXEMPT COMMERCIAL PAPER ISSUED ON 3/9/06 AND 12/21/07, AND TO REFUND SERIES GG-1, ISSUED 7/1/04, AND SERIES 2006B, ISSUED 7/20/06 AND PAY RELATED COSTS. ROW A (SERIES 2009EE), COLUMN C: SERIES 2009EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, AND THUS WAS REPRESENTED BY MULTIPLE CUSIPS. ROW A (SERIES 2009EE), COLUMN E: SERIES 2009EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, WITH AN AUTHORIZED AMOUNT OF $1,000,000,000. APPROXIMATELY $60 MILLION WAS OUTSTANDING ON 6/30/12. ROW A (SERIES 2009EE), COLUMN F: SERIES 2009EE, CONSISTING OF TAX-EXEMPT COMMERCIAL PAPER, WAS ISSUED TO PROVIDE SHORT-TERM FINANCING FOR THE FOLLOWING CAPITAL EXPENDITURES OF THE UNIVERSITY: (I) CONSTRUCTION OF A BUILDING FOR THE ARNOLD ARBORETUM FOR RESEARCH AND ADMINISTRATION LOCATED AT WELD HILL, 1300 CENTRE STREET, BOSTON; (II) AN UNDERGROUND PARKING FACILITY LOCATED AT 6-8 EVERETT STREET, CAMBRIDGE; (III) INSTALLATION OF A SATELLITE CHILLED WATER PLANT AND AN ELECTRICAL SUBSTATION LOCATED ON THE EAST SIDE OF OXFORD STREET BETWEEN HAMMOND AND KIRKLAND STREETS, CAMBRIDGE; (IV) RENOVATION OF ROCKEFELLER HALL, 47 FRANCIS AVENUE, CAMBRIDGE; (V) CONSTRUCTION OF A BUILDING AND RELATED RENOVATIONS AND UTILITY INFRASTRUCTURE UPGRADES AT HARVARD LAW SCHOOL, 1585 MASSACHUSETTS AVE, CAMBRIDGE; (VI) LIFE SAFETY FIRE SYSTEM UPGRADES, OTHER RENOVATIONS, AND STRATEGIC PLANNING FOR ADDITIONAL RENEWAL AND RENOVATIONS AT STUDENT RESIDENCES LOCATED AT 45 FLAGG STREET, 10 HOLYOKE PLACE, 56 PLYMPTON STREET, 10 LINDEN STREET, 13-21 & 53 BOW STREET, 26 PLYMPTON STREET, 966 MEMORIAL DRIVE, 967 MEMORIAL DRIVE, 35-39 OXFORD STREET, 36 OXFORD STREET, 1651 MASSACHUSETTS AVENUE, AND 1533-1544 MASSACHUSETTS AVENUE, CAMBRIDGE; (VII) CONSTRUCTION AND EQUIPPING OF THE LABORATORY FOR INTERFACE SCIENCE AND ENGINEERING, 15 OXFORD STREET, CAMBRIDGE; (VIII) AN ADDITION TO THE NEW COLLEGE THEATRE, 10-12 HOLYOKE STREET, CAMBRIDGE; (IX) CONSTRUCTION OF THE NORTHWEST BUILDING, A SCIENCE FACILITY AT 52 OXFORD STREET, CAMBRIDGE; (X) RENOVATIONS TO EXPAND TEACHING LAB SPACE IN THE NORTHWEST BUILDING, 52 OXFORD STREET, CAMBRIDGE; (XI) ROOF, LIFE SAFETY, AND INFRASTRUCTURE UPGRADES TO PERKINS HALL, 35-39 OXFORD STREET, CAMBRIDGE; (XII) COSMETIC, ROOF, INFRASTRUCTURE AND LIFE SAFETY UPGRADES TO BAKER HALL, 45 HARVARD WAY, BOSTON; (XIII) RENOVATION OF BUILDINGS AT 641 AND 643 HUNTINGTON AVENUE, BOSTON; (XIV) A RENOVATION OF OFFICE SPACE IN GORDON HALL, 25 SHATTUCK STREET, BOSTON; AND (XV) CONSTRUCTION OF THE ALLSTON SCIENCE COMPLEX, INCLUDING A PARKING FACILITY AND AN ENERGY FACILITY AT 150 WESTERN AVENUE, BOSTON. ROW B (SERIES 2010A), COLUMN F: SERIES 2010A WAS ISSUED TO REFUND TAX-EXEMPT COMMERCIAL PAPER ISSUED ON 3/9/06, 12/21/07 AND 7/22/09; TO REFUND PORTIONS OF SERIES Z, ISSUED 11/9/00, AND SERIES FF, ISSUED 7/24/02 AND PAY RELATED COSTS; AND TO FINANCE THE FOLLOWING CAPITAL EXPENDITURES OF THE UNIVERSITY: (I) CONSTRUCTION OF A BUILDING AND RELATED RENOVATIONS AND UTILITY INFRASTRUCTURE UPGRADES AT HARVARD LAW SCHOOL, 1585 MASSACHUSETTS AVE, CAMBRIDGE; (II) A RENOVATION OF BUILDING SPACE AND A BOILER REPLACEMENT AND ANCILLARY SYSTEM UPGRADE IN THE BLACKSTONE PLANT, 46 BLACKSTONE STREET, CAMBRIDGE; (III) A RETROFIT OF EXISTING HVAC SYSTEMS FOR LARSEN HALL, 14 APPIAN WAY, CAMBRIDGE; (IV) MAINTENANCE AND TOWER RESTORATION AT LOWELL HOUSE, 10 HOLYOKE PLACE, CAMBRIDGE;(V) RENOVATION OF ADMINISTRATIVE OFFICE AND CLASSROOM SPACE IN PIERCE HALL, 25 OXFORD STREET, CAMBRIDGE; AND (VI) RENOVATION, RECONSTRUCTION, AND EXPANSION OF HARVARD UNIVERSITY ART MUSEUMS, 32 QUINCY STREET, CAMBRIDGE. ROW C (SERIES 2010B), COLUMN F: SERIES 2010B WAS ISSUED TO REFUND TAX-EXEMPT COMMERCIAL PAPER ISSUED ON 12/21/07 AND 7/22/09; TO REFUND SERIES L, ISSUED 10/4/89, SERIES BB, ISSUED 11/9/00, AND SERIES HH, ISSUED 10/29/03, AND PORTIONS OF SERIES FF, ISSUED 7/24/02 AND PAY RELATED COSTS; AND TO FINANCE THE FOLLOWING CAPITAL EXPENDITURES OF THE UNIVERSITY: (I) CONSTRUCTION OF A BUILDING AND RELATED RENOVATIONS AND UTILITY INFRASTRUCTURE UPGRADES AT HARVARD LAW SCHOOL, 1585 MASSACHUSETTS AVE, CAMBRIDGE; (II) RENOVATION, RECONSTRUCTION, AND EXPANSION OF HARVARD UNIVERSITY ART MUSEUMS, 32 QUINCY STREET, CAMBRIDGE; (III) UTILITY INFRASTRUCTURE UPGRADES AT HARVARD LAW SCHOOL, 1585 MASSACHUSETTS AVE, CAMBRIDGE; (IV) RENOVATIONS AND ADDITIONS AT THE HARVARD DEPOSITORY, 1 PINE HILL DRIVE, SOUTHBOROUGH; (V) RENOVATION OF ADMINISTRATIVE OFFICE SPACE IN HOLYOKE CENTER, 1350 MASSACHUSETTS AVENUE, CAMBRIDGE; (VI) RENEWAL AND RENOVATIONS AT WINTHROP HOUSE, 8 MILL STREET, CAMBRIDGE; AND (VII) MAINTENANCE AND TOWER RESTORATION AT ADAMS HOUSE, 10 LINDEN STREET, 13-21 & 53 BOW STREET, AND 26 PLYMPTON STREET, CAMBRIDGE. ROW D (SERIES 2011EE), COLUMN C: SERIES 2011EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, AND THUS WAS REPRESENTED BY MULTIPLE CUSIPS. ROW D (SERIES 2011EE), COLUMN E: SERIES 2011EE CONSISTED OF TAX-EXEMPT COMMERCIAL PAPER, WITH AN AUTHORIZED AMOUNT OF $1,000,000,000. APPROXIMATELY $83,000 WAS OUTSTANDING ON 6/30/12. ROW D (SERIES 2011EE), COLUMN F: SERIES 2011EE, CONSISTING OF TAX-EXEMPT COMMERCIAL PAPER, WAS ISSUED TO PROVIDE SHORT-TERM FINANCING FOR THE FOLLOWING CAPITAL EXPENDITURES OF THE UNIVERSITY: (I) CONSTRUCTION OF A BUILDING FOR THE ARNOLD ARBORETUM FOR RESEARCH AND ADMINISTRATION LOCATED AT WELD HILL, 1300 CENTRE STREET, BOSTON; AND (II) STRATEGIC PLANNING FOR RENEWAL AND RENOVATIONS AT STUDENT RESIDENCES LOCATED AT 45 FLAGG STREET, 10 HOLYOKE PLACE, 56 PLYMPTON STREET, 10 LINDEN STREET, 13-21 & 53 BOW STREET, 26 PLYMPTON STREET, 966 MEMORIAL DRIVE, 967 MEMORIAL DRIVE, 35-39 OXFORD STREET, 36 OXFORD STREET, 1651 MASSACHUSETTS AVENUE, AND 1533-1544 MASSACHUSETTS AVENUE, CAMBRIDGE. SCHEDULE K, PART II, PROCEEDS: LINE 3 (GENERAL NOTE): THE DIFFERENCE BETWEEN AMOUNTS REPORTED IN LINE 3 AND IN COLUMN E OF PART I REPRESENTS INVESTMENT EARNINGS, EXCEPT IN THE CASE OF THE COMMERCIAL PAPER ISSUES (SERIES 2007EE, 2009EE, AND 2011EE), FOR WHICH LINE 3 REPRESENTS THE BALANCE OUTSTANDING ON JUNE 30, 2012 AND COLUMN E OF PART I REPRESENTS THE FULL AUTHORIZED AMOUNT OF THE COMMERCIAL PAPER PROGRAM. LINE 13, COLUMN B (SERIES 2007EE): ONE OR MORE PROJECTS FINANCED BY THIS BOND SERIES WAS NOT SUBSTANTIALLY COMPLETE AS OF JUNE 30, 2012. LINE 13, COLUMN A (SERIES 2009EE): ONE OR MORE PROJECTS FINANCED BY THIS BOND SERIES WAS NOT SUBSTANTIALLY COMPLETE AS OF JUNE 30, 2012. LINE 13, COLUMN B (SERIES 2010A): ONE OR MORE PROJECTS FINANCED BY THIS BOND SERIES WAS NOT SUBSTANTIALLY COMPLETE AS OF JUNE 30, 2012. LINE 13, COLUMN C (SERIES 2010B): ONE OR MORE PROJECTS FINANCED BY THIS BOND SERIES WAS NOT SUBSTANTIALLY COMPLETE AS OF JUNE 30, 2012. SCHEDULE K, PART III, PRIVATE BUSINESS USE: SERIES R1-5, R6, R7: THESE BONDS WERE ISSUED SOLELY TO REFUND PRE-JANUARY 1, 2003 ISSUES AND ARE NOT SUBJECT TO PART III REPORTING. SOFTWARE LIMITATIONS PREVENTED CERTAIN FIELDS FROM BEING LEFT BLANK; "NO" RESPONSES IN PART III FOR THESE ISSUES SHOULD BE DISREGARDED. SCHEDULE K, PART IV, ARBITRAGE: LINE 5 (GENERAL NOTE): "YES" RESPONSES INDICATE MINIMAL AMOUNTS REMAINING DURING THE TAX YEAR IN A COST OF ISSUANCE FUND BEYOND THE TEMPORARY PERIOD; AMOUNTS WERE HELD AND INVESTED IN COMPLIANCE WITH ARBITRAGE RESTRICTIONS. MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57586CNN1 2005-12-15 130469345 SERIES 2005C (SEE PART VI) 0 0 0 MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 MULTIPLES 2007-12-21 1000000000 SERIES 2007EE (SEE PART VI) 0 0 0 MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57586C6U4 2008-06-10 216886431 SERIES 2008B (SEE PART VI) 0 0 0 MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57586EDD0 2009-01-07 987282950 SERIES 2009A (SEE PART VI) 0 0 0 131725452 793845 130931608 2007 1 0 1 1 361581550 228692757 243713312 0 0 0 1 216895190 216895190 2008 1 0 1 1 987678695 5861589 981817105 1 0 0 1 0 1 1 1 1 1 0.00100 0.00000 0.00100 1 0 0 1 1 0 0.00000 0.00000 0.00000 1 0 0 1 1 1 1 0.00000 0.00000 0.00000 1 0 1 1 1 1 1 0.00000 0.00000 0.00000 1 0 0 0 0 0 1 0 1 0 0 0 1 0 0 0 0 0 1 0 0 0 0 1 1 MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 MULTIPLES 2009-07-22 1000000000 SERIES 2009EE (SEE PART VI) 0 0 0 MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57586EQE4 2010-01-20 531814469 SERIES 2010A (SEE PART VI) 0 0 0 MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 57583R5Q4 2010-11-17 663862239 SERIES 2010B (SEE PART VI) 0 0 0 MASSACHUSETTS DEVELOPMENT FINANCE AGENCY 043431814 MULTIPLES 2011-02-08 1000000000 SERIES 2011EE (SEE PART VI) 0 0 0 100317319 60037681 73045699 0 0 0 1 533205283 17025424 53945944 2755155 194892921 257777305 6811335 1 1 0 1 665080429 8317506 36964027 2437073 44194897 479592954 93577190 1 1 0 1 2916898 83102 3000000 2012 0 0 1 1 0 0 1 1 0 0.00000 0.00000 0.00000 1 0 1 1 1 1 1 0.00800 0.00000 0.00800 1 0 1 1 1 1 1 0.00000 0.00000 0.00000 1 0 0 0 0 0.00000 0.00000 0.00000 1 0 1 0 0 0 1 0 0 0 0 1 0 0 0 0 0 1 0 0 1 0 0 0 1 JEFFREY FLIER DEPENDENT'S EDUCATION X 47000 30000 0 1 1 JULIO FRENK PURCHASE OF HOME X 1163000 1163000 0 1 1 JULIO FRENK DEPENDENT'S EDUCATION X 68000 60000 0 1 1 STEVEN HYMAN PURCHASE OF HOME X 750000 750000 0 1 1 MICHAEL J KLARMAN PURCHASE OF HOME X 1400000 1400000 0 1 1 MICHAEL J KLARMAN DEPENDENT'S EDUCATION X 29000 21000 0 1 1 3424000 JEFFREY IULIANO FAMILY MEMBER OF CURRENT OFFICER 4000 FELLOWSHIP PROF CHARLES ROSENBERG EMPLOYEE/FAMILY MEMBER OF CURRENT OFFICER 233291 COMPENSATION 0 DR THOMAS H LEE JR EMPLOYEE/FAMILY MEMBER OF DIRECTOR 43210 COMPENSATION 0 DR RICHARD T LEE EMPLOYEE/FAMILY MEMBER OF DIRECTOR 12600 NONEMPLOYEE COMPENSATION 0 DR SOHEYLA GHARIB EMPLOYEE/FAMILY MEMBER OF DIRECTOR 307723 COMPENSATION 0 ROSEMARY KEANE EMPLOYEE/FAMILY MEMBER OF CURRENT OFFICER 65235 COMPENSATION 0 WILLIAM MARGULIES EMPLOYEE/FAMILY MEMBER OF CURRENT OFFICER 19636 COMPENSATION 0 BHARAT ANAND EMPLOYEE/FAMILY MEMBER OF KEY EMPLOYEE 333133 COMPENSATION 0 WILMERHALE EMPLOYER OF DIRECTOR 1332558 LEGAL SERVICES 0 SUGARMAN ROGERS BARSHAK EMPLOYER OF FAMILY MEMBER 753966 LEGAL SERVICES 0 STAPLES INC HARVARD OFFICER IS A STAPLES DIRECTOR 630863 OFFICE SUPPLIES 0 X 53 0 X 1 0 X 1 0 X 1022 83471324 MEAN MKT VALUE X 9 12110824 APPRAISED VALUE/FMV X 1 321000 APPRAISED VALUE/FMV X 7 0 X 1 0 X 3 0 X 1 0 X AUCTION 14 0 X EQUIPMENT 3 0 X ARCHIVAL RECORDS/BOOKS 4 0 X VARIOUS OTHER 8 0 35 0 1 1 THIRD PARTY USE: PART I, LINE 32B: SCHEDULE M, LINE 32B: THIRD PARTIES, SUCH AS AUCTION HOUSES OR BROKERS, MAY BE USED TO SELL NON-CASH CONTRIBUTIONS FOR THE UNIVERSITY, BUT NOT TO PROCESS OR SOLICIT ANY CONTRIBUTIONS FOR THE UNIVERSITY. NON REPORTING OF REVENUE: PART I, LINE 33: WORKS OF ART, HISTORICAL TREASURES, AND SIMILAR ASSETS: SFAS 116 PROVIDES THAT CONTRIBUTIONS OF WORKS OF ART, HISTORICAL TREASURES, AND SIMILAR ASSETS NEED NOT BE RECOGNIZED AS REVENUES AND CAPITALIZED IF THE DONATED ITEMS ARE ADDED TO COLLECTIONS THAT ARE HELD FOR PUBLIC EXHIBITION, EDUCATION, OR RESEARCH IN FURTHERANCE OF PUBLIC SERVICE RATHER THAN FINANCIAL GAIN. THE UNIVERSITY DOES NOT REPORT REVENUES FOR GIFTS-IN-KIND INTENDED FOR DISPLAY OR IMMATERIAL AMOUNTS. THE FOLLOWING IS THE TEXT OF THE FOOTNOTE DESCRIBING COLLECTIONS FROM THE UNIVERSITY'S FINANCIAL STATEMENTS: "THE UNIVERSITY'S VAST ARRAY OF MUSEUMS AND LIBRARIES HOUSES PRICELESS WORKS OF ART, HISTORICAL TREASURES, LITERARY WORKS, AND ARTIFACTS. THESE COLLECTIONS ARE PROTECTED AND PRESERVED FOR PUBLIC EXHIBITION, EDUCATION, RESEARCH, AND THE FURTHERANCE OF PUBLIC SERVICES. THEY ARE NEITHER DISPOSED OF FOR FINANCIAL GAIN NOR ENCUMBERED IN ANY MANNER. ACCORDINGLY, SUCH COLLECTIONS ARE NOT RECORDED FOR FINANCIAL STATEMENT PURPOSES." NOT ALL GIFTS ARE ART GIVEN WITH THE INTENTION OF BEING DISPLAYED. THERE MAY BE INSTANCES WHERE A GIFT OF ART IS MADE WITH THE PURPOSE OF BEING SOLD AND THE PROCEEDS BENEFITING A SPECIFIC PURPOSE OR UNIT AT THE UNIVERSITY. IN SUCH CASES, THE SALE PROCEEDS WOULD BE RECORDED AS GIFT REVENUE AT THE TIME OF SALE. SCHEDULE M, LINE 33: OTHER NONCASH CONTRIBUTIONS: CERTAIN NONCASH CONTRIBUTIONS LISTED IN PART I HAVE NOT REPORTED AN AMOUNT IN PART I, COLUMN (C). NO AMOUNT IS REPORTED FOR THESE CONTRIBUTIONS EITHER BECAUSE THEY ARE INTENDED FOR DISPLAY, AS DISCUSSED ABOVE, OR BECAUSE THE VALUE OF THE NONCASH CONTRIBUTION IS IMMATERIAL. FORM 990, PART I, LINE 6, VOLUNTEERS: HARVARD IS FORTUNATE TO BENEFIT FROM THE SERVICES OF VOLUNTEERS ACROSS ITS NUMEROUS SCHOOLS, DEPARTMENTS, AND PROGRAMS. WHILE HARVARD DOES NOT TRACK OR ELSEWHERE REPORT THE NUMBER OF ITS VOLUNTEERS, THE UNIVERSITY ESTIMATES THAT THIS FIGURE EXCEEDS 23,000. FORM 990, PART I, LINE 5, TOTAL NUMBER OF INDIVIDUALS EMPLOYED: AS REQUIRED BY THE FORM 990 INSTRUCTIONS, THE NUMBER REPORTED ON PART I, LINE 5 REPRESENTS THE TOTAL NUMBER OF FORMS W-2 PRODUCED BY THE UNIVERSITY DURING CALENDAR YEAR 2011. THIS INCLUDES PAYMENTS FOR WORK STUDY AND CERTAIN TEACHING FELLOWS, AS WELL AS SHORT-TERM EMPLOYMENT. THE TOTAL HEAD COUNT FOR FACULTY AND STAFF AS REPORTED ON THE HARVARD UNIVERSITY FACT BOOK FOR OCTOBER 31, 2011 WAS 16,954. FORM 990, PART VI, SECTION A, LINE 7B GOVERNANCE DECISIONS: CERTAIN ACTIONS OF THE HARVARD CORPORATION, SUCH AS THE ELECTION OF NEW CORPORATION MEMBERS, THE CONFERRAL OF DEGREES, AND AMENDMENTS TO THE UNIVERSITY STATUTES, ARE SUBJECT TO THE CONSENT OF THE UNIVERSITY'S BOARD OF OVERSEERS. FORM 990, PART VI, SECTION B, LINE 11 REVIEW PROCESS: THE FORM 990 WAS REVIEWED BY THE UNIVERSITY'S TAX RETURN REVIEW COMMITTEES, COMPRISING SENIOR FINANCE STAFF AND INTERNAL AND EXTERNAL COUNSEL. FORM 990 WAS ALSO REVIEWED BY THE UNIVERSITY'S JOINT COMMITTEE ON INSPECTION, CONSISTING OF MEMBERS OF THE HARVARD CORPORATION AND THE BOARD OF OVERSEERS. THE FINAL FORM 990 WAS PROVIDED TO THE ENTIRE HARVARD CORPORATION BEFORE IT WAS FILED. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY: ANNUALLY, THE UNIVERSITY'S OFFICE OF THE GENERAL COUNSEL DISTRIBUTES A COPY OF THE HARVARD UNIVERSITY POLICY ON CONFLICTS OF INTEREST AND COMMITMENT FOR SENIOR OFFICERS AND SENIOR ADMINISTRATORS, AND AN ANNUAL DISCLOSURE FORM, TO THE INDIVIDUALS SUBJECT TO THE POLICY. THE COMPLETED FORMS ARE REVIEWED BY THE OFFICE OF THE GENERAL COUNSEL. A PARALLEL PROCESS IS CARRIED OUT ANNUALLY BY THE OFFICE OF THE GOVERNING BOARDS FOR THE UNIVERSITY'S GOVERNING BODY. THE COMPLETED DISCLOSURE FORMS OF MEMBERS OF THE GOVERNING BODY ARE REVIEWED BY BOTH THE OFFICE OF THE GENERAL COUNSEL AND THE SECRETARY OF THE UNIVERSITY. FORM 990, PART VI, SECTION B, LINE 15 AND SCHEDULE J, PART I, LINE 3: COMPENSATION REVIEW PROCESS: THE FOLLOWING IS A DESCRIPTION OF THE ANNUAL COMPENSATION REVIEW PROCESS. THE MOST RECENT REVIEW CONDUCTED PRIOR TO THE CLOSE OF THE FISCAL YEAR 2012 WAS APRIL 30, 2012. THE OFFICE OF HUMAN RESOURCES INITIATES AN ANNUAL REVIEW PROCESS TIMED SO THAT A FINAL REVIEW CAN BE CONDUCTED BY THE HARVARD CORPORATION DURING ITS APRIL/MAY MEETING. ALL INTERNAL REVIEWS AND NEW SALARY RECOMMENDATIONS ARE CONDUCTED IN ADVANCE OF THE CORPORATION MEETING, GENERALLY INCLUDING APPROVAL BY THE PRESIDENT OF COMPENSATION OTHER THAN THE PRESIDENT'S OWN. THE PROVOST AND THE EXECUTIVE VICE PRESIDENT ADDITIONALLY PROVIDE RECOMMENDATIONS ON THOSE INDIVIDUALS FOR WHOM THEY HAVE ORGANIZATIONAL RESPONSIBILITY, SUBJECT TO THE APPROVAL OF THE PRESIDENT. DURING THE MEETING, THE CORPORATION, WHICH IN FULL SERVES AS THE COMPENSATION COMMITTEE, REVIEWS EACH OF THE PRESIDENT'S PROPOSALS FOR FINAL APPROVAL. THE PRESIDENT DOES NOT PARTICIPATE IN THE DELIBERATIONS OR THE VOTE ON THE PRESIDENT'S OWN COMPENSATION. ALL VOTES ARE MEMORIALIZED IN MINUTES AND PRESERVED, TOGETHER WITH ALL BACKGROUND DATA AND MATERIALS PROVIDED BY THE OFFICE OF HUMAN RESOURCES. THIS ANNUAL REVIEW PROCESS INCLUDES THE COMPILATION OF APPROPRIATE COMPETITIVE COMPENSATION DATA FOR EACH POSITION INCLUDED IN THE REVIEW. FOR THIS PURPOSE, THE PRINCIPAL SOURCE OF SUCH DATA IS AN ANNUAL REPORT PROVIDED BY AN OUTSIDE CONSULTANT. ADDITIONAL COMPARABILITY DATA FOR REVIEW OF THE PRESIDENT'S COMPENSATION HAS BEEN DRAWN FROM A SECOND EXTERNAL SOURCE THAT IS COMPILED ANNUALLY AND FROM PUBLICLY AVAILABLE FORM 990 INFORMATION. THE INDIVIDUALS TO WHOM THE PROCESS IS APPLIED ARE THE FOLLOWING: 1. THE OFFICERS OF THE UNIVERSITY, INCLUDING THE PRESIDENT, PROVOST, SECRETARY, EXECUTIVE VICE PRESIDENT, AND ALL VICE PRESIDENTS; 2. THE DEANS OF THE FACULTIES; 3. CERTAIN OTHER SENIOR UNIVERSITY PERSONNEL FORM 990, PART VI, SECTION C, LINE 19 PUBLIC DOCUMENTS: HARVARD UNIVERSITY MAKES ITS ANNUAL FINANCIAL STATEMENTS AVAILABLE ON ITS WEBSITE. HARVARD'S CONFLICT OF INTEREST POLICY IS AVAILABLE ON HARVARD'S INTRANET, ACCESSIBLE TO MEMBERS OF THE HARVARD COMMUNITY. HARVARD'S PUBLIC CHARTER IS AVAILABLE UPON REQUEST. FORM 990, PART VII, LINE 1A, COLUMN (B), AVERAGE HOURS PER WEEK: THE UNIVERSITY DOES NOT TRACK HOURS WORKED BY TRUSTEES, OFFICERS, KEY EMPLOYEES, AND HIGHEST COMPENSATED EMPLOYEES. THE AVERAGE HOURS WORKED REPORTED ON PART VII, COLUMN (B) ARE ESTIMATES, WITH 60 HOURS PER WEEK AS AN APPROXIMATION FOR FULL-TIME EMPLOYMENT. RELATED ORGANIZATION: FORM 990, PART VII, LINE 1A, COLUMN (B), HOURS PER WEEK PROVIDED TO A MANY OF THE INDIVIDUALS LISTED IN PART VII ARE ON THE BOARDS OF DIRECTORS OF RELATED ORGANIZATIONS. THE HOURS PER WEEK DEVOTED TO EACH RELATED ORGANIZATION IS LISTED BELOW. TRUSTEES FOR HARVARD UNIVERSITY: JAMES F. ROTHENBERG 5.00 LAWRENCE S. BACOW 1.00 SUSAN L. GRAHAM 1.00 NANNERL O. KEOHANE 1.00 PATRICIA A. KING 1.00 WILLIAM F. LEE 1.00 JOSEPH J. O'DONNELL 1.00 ROBERT D. REISCHAUER 1.00 ROBERT E. RUBIN 1.00 DREW GILPIN FAUST 1.00 MARC L. GOODHEART 1.00 HARVARD MANAGEMENT COMPANY: DREW GILPIN FAUST 1.00 JAMES F. ROTHENBERG 1.00 KATHERINE N. LAPP 1.00 HARVARD REAL ESTATE - ALLSTON, INC.: KATHERINE N. LAPP 1.00 DANIEL S. SHORE 1.00 LISA HOGARTY 1.00 HARVARD REAL ESTATE, INC.: KATHERINE N. LAPP 1.00 LISA HOGARTY 1.00 HARVARD MEDICAL CENTER: JEFFREY S. FLIER 0.20 HARVARD DEDICATED ENERGY LIMITED: LISA HOGARTY 1.00 HARVARD GLOBAL RESEARCH AND SUPPORT SERVICES, INC.: LISA HOGARTY 5.00 AMERICAN REPERTORY THEATRE COMPANY, INC.: ALAN GARBER 0.05 FORM 990, PART X, LINE 33, NET ASSETS: AS REPORTED IN THE UNIVERSITY'S FY12 FINANCIAL STATEMENTS, THE UNIVERSITY HAS CONSOLIDATED CERTAIN NON-CONTROLLING INTERESTS RELATING TO ITS INVESTMENTS IN REAL ASSETS UNDER ASU 2010-7. THESE NON-CONTROLLING INTERESTS REPRESENT THE PORTION OF THE REAL ASSETS NOT CONTROLLED BY THE UNIVERSITY, BUT REQUIRED TO BE PRESENTED ON THE UNIVERSITY'S BALANCE SHEET UNDER GENERALLY ACCEPTED ACCOUNTING PRINCIPLES. THESE INTERESTS WERE $1.07 BILLION AS OF JUNE 30, 2012. CHANGES IN NET ASSETS OR FUND BALANCES: FORM 990, PART XI, LINE 5: NET UNREALIZED LOSSES ON INVESTMENTS: -1,065,033,212. OTHER CHANGES IN NET ASSETS -35,185,844. NON-CONTROLLING INTERESTS IN REAL ASSET INVESTMENTS 237,797,000. TRANSFERS FROM AFFILIATED ORGANIZATIONS 11,577,446. TOTAL TO FORM 990, PART XI, LINE 5: -850,844,610. FORM 990, PART XII, LINE 2, FINANCIAL STATEMENTS AND REPORTING: HARVARD UNIVERSITY'S FINANCIAL STATEMENTS INCLUDE THE ACTIVITIES OF CERTAIN SUBSIDIARIES THAT FILE SEPARATE TAX RETURNS. THE FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2012 WERE AUDITED BY AN INDEPENDENT ACCOUNTANT. 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FUNDS. THE TRUSTS LISTED ARE DOMICILED IN MASSACHUSETTS, NEW YORK, AND WASHINGTON, D.C.