2013-05-13T08:32:36-05:00 2012-06-30 134008342 Pricewaterhousecoopers LLP 1301 K Street NW Suite 800W Washington DC 20005 990 2011-07-01 350868188 University of Notre Dame du Lac UNIV 5746313288 Controllers Office 731 Grace Hall Notre Dame IN 46556 John Affleck-Graves 5746313288 2013-05-13 1 P00369623 2024141000 2011 2016-02-24 21:20:13Z University of Notre Dame Rev John Jenkins CSC Controllers Office 731 Grace Hall Notre Dame IN 46556 2851944129 0 X http://nd.edu X 1844 IN See Schedule O 47 37 17535 2074 3868505 -12283143 312978519 252639060 668112149 717430733 403507455 452044735 12357709 12518657 1396955832 1434633185 201661400 254340515 0 0 525632603 558128716 0 0 27177354 359882903 366605119 1087176906 1179074350 309778926 255558835 9138313389 9330554649 1555411034 1799134455 7582902355 7531420194 X See Schedule O 0 0 580226149 214447236 493398499 Instruction - Provided academic instruction and services to nearly 12,000 undergraduate and graduate students pursuing courses of study within five undergraduate colleges, a business school, a law school, and graduate school. Conferred over 3,300 baccalaureate, master's, doctoral and professional degrees. 185574121 4787064 206117756 Auxiliary enterprises - Provided services to the University community, its guests and other patrons including food services, student and visitor lodging, laundry services, and multiple recreational facilities. The University intercollegiate athletics program enabled student-athletes to compete in twenty-six sports programs at the NCAA Division I level. 115839959 20553724 8014362 Research - University researchers administered more than 800 awards for studies based within the disciplines of engineering, science and humanities. 90047716 14552491 18108607 Public service - The University holds many conferences and educational events on its campus throughout the year. Also, the University provides volunteers and financial support for other agencies in the community. The University's ACE program is a two-year service program offering college graduates the opportunity to serve as full-time teachers in under-resourced schools across the southern United States.Academic support - The University operates library facilities containing approximately 2,000,000 volumes, serving the University and local community. The University publishes numerous academic periodicals and volumes and operates a museum of art housing over 21,000 works. 90047716 14552491 18108607 971687945 1 0 0 1 0 1 0 1 1 1 1 1 0 0 1 0 0 1 1 1 1 1 1 0 1 1 0 1 1 1 1 0 0 0 0 0 0 1 1 1 1 1 1 0 0 1 1 1 1 0 0 1 X 19574 0 1 17535 1 1 1 1 FR EI IT UK BR MP IS MX CI 0 0 0 1 1 1 3 0 0 0 0 0 0 X 47 37 1 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 1 1 IN X Andrew Paluf Controller's Office 5746313288 731 Grace Hall Notre Dame IN 46556 John F Affleck-Graves PhD 40.00 X X 560893 0 145052 Thomas G Burish PhD 40.00 X X 416042 0 283159 Rev John I Jenkins CSC PhD 40.00 X X 648049 0 98352 Rev Timothy R Scully CSCPhD 40.00 X 170045 0 12902 Rev Jose E Ahumada F CSC 2.00 X 0 0 0 Rev E William Beauchamp CSC 2.00 X 0 0 0 Cathleen P Black 2.00 X 0 0 0 John J Brennan 2.00 X 0 0 0 Stephen J Brogan 2.00 X 0 0 0 John P Calcutt 2.00 X 0 0 0 Robert M Conway 2.00 X 0 0 0 John P Delaney Jr 2.00 X 0 0 0 Drew W DeWalt 2.00 X 0 0 0 James J Dunne III 2.00 X 0 0 0 Jose Enrique Fernandez 2.00 X 0 0 0 James F Flaherty III 2.00 X 0 0 0 W Douglas Ford 2.00 X 0 0 0 Stephanie A Gallo 2.00 X 0 0 0 William M Goodyear 2.00 X 0 0 0 Nancy M Haegel 2.00 X 0 0 0 Enrique Hernandez Jr 2.00 X 0 0 0 Carol Hank Hoffmann 2.00 X 0 0 0 Douglas Tong Hsu 2.00 X 0 0 0 Most Rev Daniel Jenky CSC DD 2.00 X 0 0 0 John W Jordan II 2.00 X 0 0 0 Rev James B King CSC 2.00 X 0 0 0 Hon Diana Lewis 2.00 X 0 0 0 Kati W Macaluso 2.00 X 0 0 0 Patrick F McCartan 2.00 X 0 0 0 Richard C Notebaert 2.00 X 0 0 0 Richard A Nussbaum II 2.00 X 0 0 0 Rev Thomas J O'Hara CSC 2.00 X 0 0 0 Joseph I O'Neill III 2.00 X 0 0 0 Philip J Purcell III 2.00 X 0 0 0 J Christopher Reyes 2.00 X 0 0 0 James E Rohr 2.00 X 0 0 0 Phillip B Rooney 2.00 X 0 0 0 Shayla Keough Rumely 2.00 X 0 0 0 John F Sandner 2.00 X 0 0 0 William J Shaw 2.00 X 0 0 0 Kenneth E Stinson 2.00 X 0 0 0 Phyllis W Stone 2.00 X 0 0 0 Anne E Thompson 2.00 X 0 0 0 Sara Martinez Tucker 2.00 X 0 0 0 Rev David T Tyson CSC 2.00 X 0 0 0 Roderick K West 2.00 X 0 0 0 Hon Ann Claire Williams 2.00 X 0 0 0 Marianne Corr JD 40.00 X 442139 0 32718 Scott C Malpass MBA 40.00 X 2660595 0 1231618 John B Swarbrick Jr 40.00 X 863372 0 221888 Michael P Brey 40.00 X 641969 0 45540 Michael D Donovan MBA JD 40.00 X 1116086 0 410334 Brian Kelly 40.00 X 1042449 0 45730 Muffet McGraw 40.00 X 841667 0 58774 Roger D Huang PhD 40.00 X 587336 0 58472 Robert J Bernhard PhD 40.00 X 317109 0 88956 Janet M Botz 40.00 X 329036 0 38334 Rev Thomas P Doyle CSC 40.00 X 249904 0 12902 Dennis C Jacobs PhD 40.00 X 137760 0 34753 James J Lyphout MBA 40.00 X 287708 0 41492 Christine M Maziar PhD 40.00 X 309977 0 32085 Louis M Nanni MA 40.00 X 443803 0 46730 Donald B Pope-Davis PhD 40.00 X 234206 0 101829 John A Sejdinaj MBA CCM 40.00 X 349421 0 46088 Charles J Weis 0.00 X 2054744 0 0 14704310 0 3087708 846 1 1 1 Barton Malow Company 26500 American Drive Southfield MI 48034 Construction 29400686 Ziolkowski Construction Inc 4050 Ralph Jones Dr South Bend IN 46628 Construction 11943842 Gibson-Lewis LLC 1001 West 11th Street Mishawaka IN 46544 Construction 5263575 Congregation of Holy Cross US Provinc PO Box 774 Notre Dame IN 46556 Teaching/Admin Services 4813245 Havel Bros Inc 3210 Sugar Maple Court South Bend IN 46628 Construction 2899176 126 195090 85208600 167235370 39675845 252639060 Student tuition & fees 611310 479720599 479720599 Auxiliary enterprises 611710 204405389 198939970 5465419 Educational programs 900099 16678671 16455187 223484 Research contracts (go 611310 7412778 7412778 Student services 611710 2966974 2966974 6246322 6246322 717430733 95831890 -2266017 98097907 4199956 4199956 10445438 10185059 260379 260379 260379 1762970000 1406757155 356212845 356212845 356212845 142908 195090 366198 -223290 -223290 75653 2532 73121 73121 Alumni Association 900099 2672685 2227066 445619 5535806 5535806 8208491 1434633185 719504702 3868505 458620918 26645638 26645638 220455767 220455767 7239110 7239110 6954282 1119253 5149251 685778 421703060 344335908 63099773 14267379 34555352 25111345 8074860 1369147 70086542 44650354 23632467 1803721 24829480 19794629 3947632 1087219 2309817 975915 1333902 2763776 76056 2687720 351437 351437 7244594 7244594 17231570 10596978 5842742 791850 3159477 3005234 130473 23770 60427419 50646886 7915325 1865208 13630855 5919536 7232759 478560 490440 490440 68671853 54459265 13201439 1011149 37636977 32442218 3453242 1741517 3968 3968 5491690 3833084 1583562 75044 24408434 20468812 3398179 541443 51367665 46590124 4540163 237378 759943 756042 3901 Food and entertainment 31476190 27846820 2573433 1055937 Other educational expen 26787642 24228531 2416857 142254 Investment Office expen 12391372 12391372 1179074350 971687945 180209051 27177354 90006300 88556954 214759799 191725124 26850987 24894691 86275412 60087439 10036218 9921446 28216498 27456113 1815160517 524737953 1204412260 1290422564 665173840 628301866 6791030428 7004320890 21551647 4867562 9138313389 9330554649 82697769 82161139 62190574 60334901 364293399 361597104 54171117 53576157 310000000 410000000 682058175 831465154 1555411034 1799134455 X 3361867405 3328245240 2834319205 2756155081 1386715745 1447019873 7582902355 7531420194 9138313389 9330554649 X 255558835 -307040996 X 0 1 1 X 1 1 X 0 0 0 0 0 0 1 355168 0 0 355168 0 Part IV, Supplemental Information: Part II-B, Line 1: The University has hired professional consultants who engage in direct and grassroots lobbying. These consultants work on Notre Dame's behalf meeting with or calling government officials or legistlators requesting support for specific projects regarding the higher education funding authorization and other legislation which could impact the University. 16 0 3506952 0 880763 0 10258504 0 1 1 0 0 0 0 X X X X 0 1 107 12617 12278 445 0 6383343071 162550384 177082485 85386397 192991146 0 6444598397 5340685012 167659430 1115963818 80194525 160770664 0 6383343071 4920742718 135156367 525883589 75825598 165272064 0 5340685012 6351854688 104550162 -1298974803 71071937 165615392 0 4920742718 0.38800 0.22100 0.39100 0 0 9300000 18667426 27967426 52150305 1333855783 346200139 1039805949 13690051 2324417 11365634 71406 250851584 123198803 127724187 1019914 135554048 53014594 83559368 1290422564 6209168 F 65007000 F Other short term investments 26376371 F Public equities: U.S. 356394556 F Public equities: Non U.S. 873924286 F Public equities: Long- short strategies 868070922 F Fixed income securities 375807605 F Marketable alternatives 975107688 F Private equity 2215286102 F Real estate 589572271 F Other real assets 581430949 F Defined benefit pension plan assets 71133972 F 7004320890 Debt-related derivative instruments 26906202 Short-term borrowing 115051000 Refundable advances 14877351 Liabilities associated with investments 393718714 Obligations under split-interest agreements 76732319 Conditional asset retirement obligations 22480746 Pension and other postretirement benefit obligations 123121629 Government advances for student loans 29185822 Other liabilities 29391371 831465154 1434633185 1179074350 255558835 -228513638 -78527358 -307040996 -51482161 939445707 -228513638 -244454607 -472968245 1412413952 22587963 -368730 22219233 1434633185 990927868 48304977 48304977 942622891 22587963 213863496 236451459 1179074350 Part III, Line 1a: The University does not capitalize the cost of library books, nor the cost or fair value of its art collection. The latter is held for exhibition and educational purposes only and not for financial gain. Part III, Line 4: The Snite Museum of Art maintains a collection of over 25,000 original works of art which are utilized for exhibition, teaching, research and educational outreach programs. Part IV, Line 1b: Interest on Lawyer Trust Accounts (IOLTA) - The University of Notre Dame's Legal Aid Clinic opened a custodial bank account on 11/8/01. The purpose of the account is to hold client's funds in trust. The interest earned on the funds are remitted to the IN Bar Foundation and used to pay for filing fees, fees for medical records, and recording and various court fees for clients with limited financial means. Description of Intended Use of Endowment Funds: Part V, Line 4: Endowment distributions are used to fund a variety of operational needs, including scholarships and fellowships, faculty chairs, academic programs, libraries, other endowment programs and general operations. Part XI, Line 8 - Other Adjustments: Net gain/(loss) on debt-related derivative instruments -34,406,027. Change in value of split-interest agreements -1,009,560. Net pension and postretirement benefits-related changes -47,936,247. Other non-operating changes in net assets 4,824,476. Total to Schedule D, Part XI, Line 8: -78,527,358. Part XII, Line 2d - Other Adjustments: Tuition discounts -210,020,057. Room discounts -3,843,439. Net gain/(loss) on debt-related derivative instruments -34,406,027. Change in value of split-interest agreements -1,009,560. Other non-operating changes in net assets 4,824,476. Part XII, Line 4b - Other Adjustments: Direct expenses of fundraising events -366,198. Direct expenses from gaming activities -2,532. Part XIII, Line 2d - Other Adjustments: Net pension and postretirement benefits-related changes 47,936,247. Direct expenses of fundraising events 366,198. Direct expenses from gaming activities 2,532. Part XIII, Line 4b - Other Adjustments: Tuition scholarships and fellowships 210,020,057. Room & board discounts 3,843,439. Part X: The University recognizes asset retirement obligations when incurred. A discounting technique is used to calculate the present value of the capitalized asset retirement costs and the related obligation. Asset retirement costs are depreciated over the estimated remaining useful life of the related asset and the asset retirement obligation is accreted annually to the current present value. Upon settlement of an obligation, any difference between the retirement obligation and the cost to settle is recognized as a gain or loss in the consolidated statement of changes in unrestricted net assets. The University's conditional asset retirement obligations relate primarily to asbestos remediation and will be settled upon undertaking associated renovation projects. 1 1 1 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 University nondiscrimination policy is disclosed in the Admission Policies and Procedures Handbook given to each student. The University draws students nationally and internationally and enrolls meaningful numbers of minority students. Explanation of Government Financial Assistance Schedule E, Part I, Line 6 The University receives financial assistance from various governmental agencies within the Federal Government and local jurisdictions. The governmental grants and contracts support certain research projects and student financial aid. 1 Central America and the Caribbean Investments 2707077915 East Asia and the Pacific Investments 2547599 Europe (Including Iceland & Greenland) Investments 513128953 Middle East and North Africa Investments 2042735 North America Investments 26020859 South America Investments 2493337 Sub-Saharan Africa Investments 139914964 East Asia and the Pacific 1 3 Program Services International Study Program 2210138 Europe (Including Iceland & Greenland) 4 67 Program Services International Study Program 19235081 Middle East and North Africa Program Services International Study Program 137549 North America 1 Program Services International Study Program 229822 Russia & the Newly Independent States Program Services International Study Program 40887 South America 1 2 Program Services International Study Program 368501 Sub-Saharan Africa Program Services International Study Program 113678 East Asia and the Pacific Investment Operations 114299 Europe (Including Iceland & Greenland) Investment Operations 155941 North America Investment Operations 1297 South America Investment Operations 62794 Sub-Saharan Africa Investment Operations 105184 Central America and the Caribbean Program Services Auxillary Enterprises 555 Central America and the Caribbean Program Services Instruction 98195 Central America and the Caribbean Program Services Management & General 14965 Central America and the Caribbean 2 7 Program Services Other 97726 Central America and the Caribbean Program Services Research 1125378 East Asia and the Pacific Program Services Auxillary Enterprises 692 East Asia and the Pacific Program Services Instruction 580940 East Asia and the Pacific Program Services Management & General 73294 East Asia and the Pacific Program Services Other 28667 East Asia and the Pacific Program Services Research 390468 Europe (Including Iceland & Greenland) Program Services Auxillary Enterprises 25533 Europe (Including Iceland & Greenland) Program Services Instruction 1724347 Europe (Including Iceland & Greenland) 1 Program Services Management & General 454290 Europe (Including Iceland & Greenland) Program Services Other 704918 Europe (Including Iceland & Greenland) Program Services Research 4434495 Middle East and North Africa Program Services Instruction 148953 Middle East and North Africa Program Services Management & General 18145 Middle East and North Africa 1 Program Services Other 10523 Middle East and North Africa Program Services Research 309477 North America Program Services Auxillary Enterprises 32890 North America Program Services Instruction 284826 North America Program Services Management & General 30623 North America Program Services Other 84223 North America Program Services Research 110040 Russia & the Newly Independent States Program Services Instruction 32121 Russia & the Newly Independent States Program Services Management & General 21 Russia & the Newly Independent States Program Services Other 1220 Russia & the Newly Independent States Program Services Research 24917 South America Program Services Auxillary Enterprises 4426 South America Program Services Instruction 434398 South America Program Services Management & General 48570 South America Program Services Other 51603 South America Program Services Research 44859 South Asia Program Services Instruction 67733 South Asia Program Services Management & General 7414 South Asia Program Services Other 572 South Asia Program Services Research 156464 Sub-Saharan Africa Program Services Auxillary Enterprises 2470 Sub-Saharan Africa Program Services Instruction 286165 Sub-Saharan Africa Program Services Management & General 22930 Sub-Saharan Africa Program Services Other 28266 Sub-Saharan Africa Program Services Research 1094190 1 3 7 79 8 82 3395436500 33657535 3429094035 X europe (Including Iceland & Greenland) - See Footnote 2, Part V 181381 Check/Wire central America and the Caribbean - See Footnote 2, Part V 444540 Check/Wire europe (Including Iceland & Greenland) - See Footnote 2, Part V 65459 Check/Wire sub-Saharan Africa - Angola, See Footnote 2, Part V 11837 Check/Wire europe (Including Iceland & Greenland) - See Footnote 2, Part V 342673 Check/Wire Europe (Including Iceland & Greenland) - See Footnote 2, Part V 123639 Check/Wire Middle East and North Africa See Footnote 2, Part V 283461 Check/Wire sub-Saharan Africa - Angola, See Footnote 2, Part V 10000 Check/Wire Central America and the Caribbean See Footnote 2, Part V 364206 Check/Wire Europe (Including Iceland & Greenland) - See Footnote 2, Part V 178666 Check/Wire South Asia See Footnote 2, Part V 139766 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 93979 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 108000 Check/Wire East Asia and the Pacific See Footnote 2, Part V 132250 Check/Wire Sub-Saharan Africa See Footnote 2, Part V 670787 Check/Wire Europe (Including Iceland & Greenland) - See Footnote 2, Part V 1290318 Check/Wire Europe (Including Iceland & Greenland) - See Footnote 2, Part V 574832 Check/Wire Central America and the Caribbean See Footnote 2, Part V 72789 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 23012 Check/Wire Central America and the Caribbean See Footnote 2, Part V 185720 Check/Wire Sub-Saharan Africa - Angola, See Footnote 2, Part V 8516 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 218500 Check/Wire Sub-Saharan Africa See Footnote 2, Part V 54440 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 325524 Check/Wire Sub-Saharan Africa See Footnote 2, Part V 130018 Check/Wire Sub-Saharan Africa See Footnote 2, Part V 9000 Check/Wire Sub-Saharan Africa See Footnote 2, Part V 128826 Check/Wire Europe (Including Iceland & Greenland) - See Footnote 2, Part V 15348 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 40537 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 8813 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 201188 Check/Wire North America See Footnote 2, Part V 23800 Check/Wire Europe (Including Iceland & Greenland) See Footnote 2, Part V 16514 Check/Wire Central America and the Caribbean See Footnote 2, Part V 346840 Wire Transfer Central America and the Caribbean See Footnote 2, Part V 260930 Wire Transfer Europe (Including Iceland & Greenland) See Footnote 2, Part V 150000 Wire Transfer 3 33 Housing and Other Assistance North America 1 3000 Check/Wire/Direct Deposit Housing and Other Assistance Sub-Saharan Africa - Angola, 1 1600 Check/Wire/Direct Deposit Prizes and Awards Central America and the Caribbean 1 15000 Check/Wire/Direct Deposit Research/Travel Grant East Asia and the Pacific 1 930 Check/Wire/Direct Deposit Research/Travel Grant Europe (Including Iceland & Greenland) 20 26896 Check/Wire/Direct Deposit Research/Travel Grant Russia & the Newly Independent States 1 2311 Check/Wire/Direct Deposit 1 1 1 1 1 0 Procedure for Monitoring Grants Outside the U.S.: Schedule F, Part I, Line 2: All grants made for research activities are initiated by a formal sub-contract executed by both parties. The terms and conditions of each grant contain all the guidelines for Invoicing, billing, record retention, audits, etc. Research and Sponsored Programs Accounting ("RSPA") and the Office of Research work in tandem to ensure the guidelines are adhered to. Almost all sub-contracts for research activities are paid on a cost-reimbursement basis. All invoices paid for costs are approved by the Principal Investigator based on completion of work, deliverables met, etc. In addition, RSPA monitors the payments against the total budget to ensure payment is not made above the stipulated ceiling. The University has developed a policy containing guidelines surrounding sub-contracts, some of which were addressed above. This policy can be found at: http://controller.nd.edu/policies-and-procedures/ rspa/subrecipient_monitoring.pdf The University provides funding to students and other related individuals for research and other activities to support the furtherance of their education. Funds provided are monitored through applications, budgets and a requirement to document the use of funds either prior to the distribution of funds or upon completion of the activity. Part II, Line 1, Column (d): Payments related to work performed on research subcontract related to federal, state or private grant originally made to the University and other assistance in accordance with the University's exempt mission. NPC Research Event 226408 97700 128708 295796 16491 Art Museum Dinner 111590 97390 14200 3240 32642 18029 337998 195090 142908 299036 32642 34520 366198 -223290 75653 204 2328 0 75653 204 2328 2532 73121 IN 1 0 1 0 1.00000 Deborah Gabaree Office of General Counsel 203 Main Building Notre Dame IN 46556 0 NA 0 1 Alzheimer's Disease Research Foundation 34 Washington Street Wellesley Hills MA 02481 522396428 501(c)(3) 200000 See Footnote 2, Part IV American Endowment Foundation PO Box 911 Hudson OH 44236 341747398 501(c)(3) 150000 See Footnote 2, Part IV American Marketing Association 5964 Mission Center Road Suite 602 San Diego CA 92108 330327498 501(c)(3) 15000 See Footnote 2, Part IV Arizona State University Post Office Box 873503 Tempe AZ 852870001 860196696 State of AZ 274075 See Footnote 2, Part IV Basis Policy Research LLC Ste 103-296 9650 Strickland Rd Raleigh NC 276151902 270475968 204900 See Footnote 2, Part IV Battelle Memorial Institute Post Office Box 84391 Seattle WA 981245691 314379427 501(c)(3) 48045 See Footnote 2, Part IV Benetech Ste 201 480 South California Avenue Avenue Palo Alto CA 943061609 770555413 501(c)(3) 10713 See Footnote 2, Part IV California Institute of Technology 1200 East California Boulevard Pasadena CA 911250002 951643307 501(c)(3) 16402 See Footnote 2, Part IV Catholic University of America 620 Michigan Avenue Northeast Washington DC 200640001 530196583 501(c)(3) 59475 See Footnote 2, Part IV Center for the Homeless Inc 813 South Michigan Street South Bend IN 46601 351768544 501(c)(3) 30500 278740 FMV Rental Waiver See Footnote 2, Part IV CICP Foundation Inc 111 Monument Circle Suite 1800 Indianapolis IN 46204 352065457 501(c)(3) 20000 See Footnote 2, Part IV City of Mishawaka 600 East Third Street Mishawaka IN 46544 356001115 City-Mishawaka 13061 See Footnote 2, Part IV City of South Bend 227 W Jefferson Blvd Suite 1400 South Bend IN 46601 356001201 City-South Bend 71837 See Footnote 2, Part IV Clinical Research Management Inc Suite 2 1265 Ridge Road Hinkley OH 442339806 541716562 11264 See Footnote 2, Part IV College of William and Mary Post Office Box 8795 Williamsburg VA 231878795 546001718 State of VA 34182 See Footnote 2, Part IV Congregation of Holy Cross Post Office Box 460 Notre Dame IN 46556 320344245 501(c)(3) 7391728 See Footnote 2, Part IV Declan Drumm Sullivan Memorial Fund 3539 Long Grove Road Long Grove IL 60047 276886934 501(c)(3) 187900 See Footnote 2, Part IV Diocese of Fort Wayne-South Bend Inc 915 S Clinton St Fort Wayne IN 46802 350876373 501(c)(3) 2500000 See Footnote 2, Part IV Dominican University of California 50 Acacia Avenue San Rafael CA 949012298 941156525 501(c)(3) 63416 See Footnote 2, Part IV Early Childhood Development Center 10 Child Care Center Notre Dame IN 46556 351188922 501(c)(3) 200000 See Footnote 2, Part IV EmNet LLC 520 East LaSalle Avenue South Bend IN 466172726 201118177 144426 See Footnote 2, Part IV Fischoff National Chamber Music Association 303 Brownson Hall Notre Dame IN 46556 351650154 501(c)(3) 16600 See Footnote 2, Part IV Foundation of St Joseph Regional Medical Center 837 Cedar Street Suite 350 South Bend IN 46617 351654543 501(c)(3) 11100 See Footnote 2, Part IV George Washington University 44983 Knoll Square Ashburn VA 201472692 530196584 501(c)(3) 207986 See Footnote 2, Part IV Georgetown University Post Office Box 571164 Washington DC 200570001 530196603 501(c)(3) 55465 See Footnote 2, Part IV Harvard University 1350 Massachusetts Avenue Cambridge MA 021383800 042103580 501(c)(3) 428477 See Footnote 2, Part IV Holy Trinity Catholic Church 1600 Corporate Drive Ladera Ranch CA 92694 202747543 501(c)(3) 45000 See Footnote 2, Part IV Howard University 2400 6th Street NW Washington DC 20059 530204707 501(c)(3) 10000 See Footnote 2, Part IV IBM 500 1st Avenue Pittsburgh PA 152193128 130871985 148570 See Footnote 2, Part IV IBM Post Office Box 218 Yorktown Heights NY 105980218 130871985 72227 See Footnote 2, Part IV Indiana University Post Office Box 66057 Indianapolis IN 462660001 356001673 State of IN 362776 See Footnote 2, Part IV Johns Hopkins University 12529 Collections Center Drive Chicago IL 606930001 520595110 501(c)(3) 115976 See Footnote 2, Part IV Kelly Cares Foundation PO Box 518 Notre Dame IN 46556 263591070 501(c)(3) 12500 See Footnote 2, Part IV Knowledge Networks Inc 75 Remittance Chicago IL 606750001 943314617 140171 See Footnote 2, Part IV Lawrence Berkeley National Laboratory Post Office Box 39000 San Francisco CA 941390001 942951741 Federal 655471 See Footnote 2, Part IV LeTourneau University Post Office Box 7001 Longview TX 756077001 751081109 501(c)(3) 13622 See Footnote 2, Part IV Logan Community Resources 1235 North Eddy Street South Bend IN 46617 350965639 501(c)(3) 23460 See Footnote 2, Part IV Michigan State University 301 Administration Bldg East Lansing MI 488241046 386005984 State of MI 986775 See Footnote 2, Part IV Mid-Atlantic Technology Research & Innovation Center Post Office Box 8396 South Charleston WV 253030396 200208597 501(c)(3) 135379 See Footnote 2, Part IV MZA Associates Corporation Ste 150 2021 Girard Blvd SE Albuquerque NM 871063140 850400557 182400 See Footnote 2, Part IV New York Blood Center 1200 Prospect Avenue Westbury NY 115902723 131949477 501(c)(3) 43904 See Footnote 2, Part IV NOAA Great Lakes Environmental Research Laboratory Post Office Box 979008 St Louis MO 631970001 061834875 Federal 56780 See Footnote 2, Part IV Northeastern University 360 Huntington Avenue Boston MA 021155000 041679980 501(c)(3) 86841 See Footnote 2, Part IV Northern Jet Management Post Office Box 888380 Grand Rapids MI 495888380 383261631 336524 See Footnote 2, Part IV Northwestern University 633 Clark Street G547 Evanston IL 602080001 362167817 501(c)(3) 54629 See Footnote 2, Part IV Oaklawn Psychiatric Center Inc Post Office Box 809 Goshen IN 465287000 351070041 501(c)(3) 12603 See Footnote 2, Part IV Old Dominion Univ Research Foundation Post Office Box 6369 Norfolk VA 235080369 546068198 501(c)(3) 19661 See Footnote 2, Part IV Pennsylvania State University 227 West Beaver Avenue State College PA 168014842 246000376 State of PA 213921 See Footnote 2, Part IV Princeton University Post Office Box 5292 Princeton NJ 085446242 210634501 501(c)(3) 26859 See Footnote 2, Part IV Purdue University 23510 Network Place Chicago IL 606731235 356002041 State of IN 717209 See Footnote 2, Part IV Regents of the Univ of California at Berkeley 2195 Hearst Avenue Berkeley CA 947200001 946002123 State of CA 828823 See Footnote 2, Part IV Regents of the Univ of California at Davis Post Office Box 989062 West Sacramento CA 957989062 946036494 State of CA 955124 See Footnote 2, Part IV Regents of the Univ of California at Irvine Irvine Accounting Office Ste 1400 Irvine CA 926970001 952226406 State of CA 14527 See Footnote 2, Part IV Regents of the Univ of California at Los Angeles Post Office Box 951432 Los Angeles CA 900959000 956006143 State of CA 25000 See Footnote 2, Part IV Regents of the Univ of California at Riverside UCR Cashiers Office Riverside CA 925210001 956006142 State of CA 101775 See Footnote 2, Part IV Regents of the Univ of California at San Diego 9500 Gilman Drive 0009 La Jolla CA 920930001 956006144 State of CA 110670 See Footnote 2, Part IV Regents of the Univ of California at Santa Barbara SAASB Building Room 1212 Santa Barbara CA 931060001 956006145 State of CA 33997 See Footnote 2, Part IV Regents of University of Michigan Post Office Box 223131 Pittsburgh PA 152512131 386006309 State of MI 937353 See Footnote 2, Part IV Regents of the Univ of Wisconsin UW-Madison GAR Account Milwaukee WI 532780001 396006492 State of WI 294409 See Footnote 2, Part IV Rensselaer Polytechnic Inst Post Office Box 33375 Hartford CT 061500001 141340095 501(c)(3) 55912 See Footnote 2, Part IV Rensselaer Polytechnic Inst 110 8th Street Troy NY 121803522 141340095 501(c)(3) 17959 See Footnote 2, Part IV Research Foundation of SUNY Post Office Box 9 Albany NY 122010009 141368361 501(c)(3) 50236 See Footnote 2, Part IV Resources for the Future Inc 1616 P Street Northwest Washington DC 200361400 530220900 501(c)(3) 55660 See Footnote 2, Part IV Rice University Post Office Box 1892 Houston TX 772511892 741109620 501(c)(3) 47075 See Footnote 2, Part IV Rockefeller University 1230 York Avenue New York NY 100656399 131624158 501(c)(3) 308259 See Footnote 2, Part IV Roman Catholic Diocese of Dallas 14032 Dennis Lane Farmers Branch TX 75234 740800637 501(c)(3) 100000 See Footnote 2, Part IV Ronald McDonald House Charities 615 N Michigan Street South Bend IN 46601 351831691 501(c)(3) 9078 See Footnote 2, Part IV Saint Michael's College 1 Winooski Park Colchester VT 054391000 030179403 501(c)(3) 6164 See Footnote 2, Part IV Sorian Inc 3000 Kent Avenue West Lafayette IN 479061075 271264142 7414 See Footnote 2, Part IV South Bend Symphony Orchestra 1207 N Michigan Street South Bend IN 46601 356042189 501(c)(3) 21975 See Footnote 2, Part IV St Joseph County 227 W Jefferson Blvd 7th Floor South Bend IN 46601 356000194 County-St. Joe 44409 See Footnote 2, Part IV St Louis Art Museum Foundation 1 Pine Arts Drive Saint Louis MO 63110 431374479 501(c)(3) 57500 See Footnote 2, Part IV St Matthias Apostle School 9475 Annapolis Rd Lanham MD 20706 520780162 501(c)(3) 6450 See Footnote 2, Part IV St Peter Claver Regional Catholic 2560 Tilson Road Decatur GA 30032 581918801 501(c)(3) 9000 See Footnote 2, Part IV Stanford University 355 Galvez Street Stanford CA 943056106 941156365 501(c)(3) 25000 See Footnote 2, Part IV The Chamber of Commerce of St Joseph County 401 E Colfax South Bend IN 46617 650153330 501(c)(3) 50000 See Footnote 2, Part IV The Nature's Conservancy 101 East Grand River Avenue Lansing MI 489064374 530242652 501(c)(3) 160624 See Footnote 2, Part IV The New School 79 5th Avenue Floor 17 New York NY 100033034 133297197 501(c)(3) 25000 See Footnote 2, Part IV The Ohio State University 1960 Kenny Road Columbus OH 432101016 316025986 State of OH 520316 See Footnote 2, Part IV Trimeric Corporation Post Office Box 826 Buda TX 786100826 113695961 5665 See Footnote 2, Part IV United Way of Greater St Louis 910 N 11th Street Saint Louis MO 63101 430714167 501(c)(3) 50000 See Footnote 2, Part IV US Forest Service Post Office Box 301550 Los Angeles CA 900301550 720564834 Federal 12712 See Footnote 2, Part IV Univ of Georgia Research Foundation Inc 475 North Lumpkin Street Athens GA 306012744 581353149 501(c)(3) 64734 See Footnote 2, Part IV Univ of Kansas Center for Research Inc 2385 Irving Hill Road Lawrence KS 660457563 480680117 State of KS 52047 See Footnote 2, Part IV Univ of South Carolina Research Foundation Post Office Box 751475 Charlotte NC 282751475 570967350 State of SC 30527 See Footnote 2, Part IV University of Alaska Fairbanks Post Office Box 757880 Fairbanks AK 997757880 926000147 State of AK 31332 See Footnote 2, Part IV University of Chicago 6054 South Drexel Avenue Chicago IL 606372612 362177139 501(c)(3) 280832 See Footnote 2, Part IV University of Illinois Post Office Box 4610 Springfield IL 627084610 376000511 State of IL 272153 See Footnote 2, Part IV Univ of Kentucky Research Foundation Post Office Box 931113 Cleveland OH 441930001 616033693 State of KY 11833 See Footnote 2, Part IV University of Massachusetts 140 Hicks Way Amherst MA 010039272 043167352 State of MA 25000 See Footnote 2, Part IV University of Minnesota Post Office Box 1450 Minneapolis MN 554855957 416007513 State of MN 193354 See Footnote 2, Part IV University of Missouri-Columbia Post Office Box 807012 Kansas City MO 641807012 436003859 State of MO 121511 See Footnote 2, Part IV University of New Hampshire 51 College Road Durham NH 038242620 026000937 State of NH 126211 See Footnote 2, Part IV University of New Mexico 1 University of New Mexico Albuquerque NM 871310001 856000642 State of NM 170863 See Footnote 2, Part IV University of North Carolina-Chapel Hill Post Office Box 402420 Atlanta GA 303840001 566001393 State of NC 66082 See Footnote 2, Part IV University of Northern Iowa Office of Business Operations Cedar Falls IA 506140001 426004333 State of IA 48149 See Footnote 2, Part IV University of Texas at Austin Post Office Box 7159 Austin TX 787137159 746000203 State of TX 107489 See Footnote 2, Part IV University of Texas at Tyler 3900 University Blvd ADM 369 Tyler TX 757016699 751396988 State of TX 103763 See Footnote 2, Part IV University of Texas Dallas 800 West Campbell Road Richardson TX 750803021 751305566 State of TX 141163 See Footnote 2, Part IV University of Toledo Post Office Box 72327 Cleveland OH 441920002 346401483 State of OH 69556 See Footnote 2, Part IV University of Utah 201 Presidents Circle Salt Lake City UT 841129020 876000525 State of UT 254846 See Footnote 2, Part IV University of Virginia Post Office Box 400195 Charlottesville VA 229044195 546001796 State of VA 41799 See Footnote 2, Part IV University of Washington 12455 Collections Drive Chicago IL 606930001 916001537 State of WA 431022 See Footnote 2, Part IV University of Wyoming Post Office Box 3355 Laramie WY 820712001 836000331 State of WY 66241 See Footnote 2, Part IV Utah State University 2400 Old Main Hill Logan UT 843220001 876000528 State of UT 36093 See Footnote 2, Part IV V Foundation for Cancer Research 106 Towerview Court Cary NC 27513 133705951 501(c)(3) 12000 See Footnote 2, Part IV Wayne State University Post Office Box 02788 Detroit MI 482020788 386028429 State of MI 12476 See Footnote 2, Part IV Western Michigan University 1903 West Michigan Avenue Kalamazoo MI 490085200 386007327 State of MI 20454 See Footnote 2, Part IV Wright State University 3640 Colonel Glenn Highway Dayton OH 454350002 310732831 State of OH 43731 See Footnote 2, Part IV YouGovPolimetrix 285 Hamilton Avenue Palo Alto CA 943012538 980547173 18750 See Footnote 2, Part IV 99 11 Tuition Scholarships, Fellowships, and Room and Board Discounts 7483 213863496 Athletics Grant-in-Aid 329 1017130 Housing and Other Assistance 361 475156 Prizes and Awards 632 1178172 Research and Travel Grants 3476 3921813 Procedure for Monitoring Grants in the U.S.: Part I, Line 2: Schedule I, Part I, Line 2: All grants made for research activities are initiated by a formal sub-contract executed by both parties. The terms and conditions of each grant contain all the guidelines for Invoicing, billing, record retention, audits, etc. Research and Sponsored Programs Accounting ("RSPA") and the Office of Research work in tandem to ensure the guidelines are adhered to. Almost all sub-contracts for research activities are paid on a cost-reimbursement basis. All invoices paid for costs are approved by the Principal Investigator based on completion of work, deliverables met, etc. In addition, RSPA monitors the payments against the total budget to ensure payment is not made above the stipulated ceiling. The University has developed a policy containing guidelines surrounding sub-contracts, some of which were addressed above. This policy can be found at: http://controller.nd.edu/policies-and-procedures/rspa/subrecipient_ monitoring.pdf Charitable Organizations that receive contributions from the University are carefully selected and require documentation to support the University's interest in the organization to ensure consistency with the core values of the University. Charitable contributions also require approval by the Executive Vice President. The University provides funding to students and other related individuals for research and other activities to support the furtherance of their education. Funds provided are monitored through applications, budgets and a requirement to document the use of funds either prior to the distribution of funds or upon completion of the activity. Part II, Line 1, Column (h): Payments related to work performed on research subcontract related to federal, state or private grant originally made to the University and other assistance in accordance with the University's exempt mission. X X X X X 1 1 X X X X 1 1 0 1 0 0 0 0 0 John F Affleck-Graves PhD 537434 0 0 0 23459 0 128500 0 16552 0 705945 0 0 0 Thomas G Burish PhD 393931 0 0 0 22111 0 267313 0 15846 0 699201 0 0 0 Rev John I Jenkins CSC PhD 589049 0 0 0 59000 0 0 0 98352 0 746401 0 0 0 Rev Timothy R Scully CSCPhD 154500 0 0 0 15545 0 0 0 12902 0 182947 0 0 0 Marianne Corr JD 424449 0 0 0 17690 0 24500 0 8218 0 474857 0 0 0 Scott C Malpass MBA 860049 0 1781616 0 18930 0 1224500 0 7118 0 3892213 0 473689 0 John B Swarbrick Jr 656572 0 158396 0 48404 0 174500 0 47388 0 1085260 0 0 0 Michael P Brey 490275 0 119809 0 31885 0 24500 0 21040 0 687509 0 0 0 Michael D Donovan MBA JD 451727 0 647859 0 16500 0 403060 0 7274 0 1526420 0 220383 0 Brian Kelly 672608 0 289741 0 80100 0 24500 0 21230 0 1088179 0 0 0 Muffet McGraw 632319 0 173412 0 35936 0 24500 0 34274 0 900441 0 0 0 Roger D Huang PhD 570656 0 0 0 16680 0 29849 0 28623 0 645808 0 0 0 Robert J Bernhard PhD 299679 0 0 0 17430 0 24500 0 64456 0 406065 0 0 0 Janet M Botz 186545 0 0 0 142491 0 24500 0 13834 0 367370 0 0 0 Rev Thomas P Doyle CSC 227099 0 0 0 22805 0 0 0 12902 0 262806 0 0 0 Dennis C Jacobs PhD 137690 0 0 0 70 0 14000 0 20753 0 172513 0 0 0 James J Lyphout MBA 143096 0 1462 0 143150 0 24500 0 16992 0 329200 0 0 0 Christine M Maziar PhD 292607 0 0 0 17370 0 24500 0 7585 0 342062 0 0 0 Louis M Nanni MA 380396 0 42000 0 21407 0 24500 0 22230 0 490533 0 0 0 Donald B Pope-Davis PhD 233276 0 0 0 930 0 23875 0 77954 0 336035 0 0 0 John A Sejdinaj MBA CCM 332741 0 0 0 16680 0 24500 0 21588 0 395509 0 0 0 Charles J Weis 0 0 0 0 2054744 0 0 0 0 0 2054744 0 0 0 Part I, Line 1a First class travel-Air travel other than coach class (typically business class) is allowed for Officers and key employees for travel to Alaska, Hawaii and destinations outside North America or for necessary medical reasons (accompanied by appropriate supporting documentation), if the situation warrants and with approval from a Dean or President's Leadership Council Member. Charter travel-Travel on the University plane or other plane leased by the University is available to President's Leadership Council Members and key employees of the University, and requires approval by the President's Office. Any incidental personal use is taxed to the individual. Travel for companions-Spouses of faculty and staff are occasionally asked to travel on University business. Spouse travel reimbursement by the University requires approval by a Dean or President's Leadership Council Member, or their authorized representative, and if the business purpose of the spousal travel is not properly documented, it will be taxed to the employee. Tax indemnification and gross-up payments-May occasionally be provided to President's Leadership Council members or key employees of the University. Gross-up payments are provided to establish a conservative tax position. Housing allowance or residence for personal use-May be provided to President's Leadership Council members or key employees of the University, typically on a temporary basis (and appropriately included in the individual's income) to a new key employee or President's Leadership Council member as they transition to the area. Certain President's Leadership Council members or key employees are members of the CSC Religious Order and live in University dormitories or apartments, while providing guidance to students for the convenience of the University. Social club dues-Social club dues are occasionally provided as a benefit for certain highest compensated employees of the University, and these dues are added to the individual's income to reflect any personal use (as reported on an annual basis). Part I, Lines 4a-b a(i)Termination payment of $2,054,744 was made during the reporting period to Charles J. Weis under a separation agreement that includes additional annual payments through December, 2015. 4a(ii)-Separation payment of $124,486 was made during the reporting period to Janet Botz under a separation agreement. 4a(iii)-Separation payment of $95,346 was made during the reporting period to James Lyphout under a separation agreement. 4b-John Affleck-Graves, Executive Vice President, Thomas Burish, Provost, John W. Swarbrick, Athletic Director, Scott Malpass, Vice President and Chief Investment Officer, Michael Donovan, Investments Managing Director, and Roger Huang, Dean, Mendoza College of Business participated in nonqualified deferred compensation arrangements under Internal Revenue Code Section 457(f) during calendar 2011. Affleck-Graves received an accrued benefit of $104,000 in 2011. Burish received an accrued benefit of $242,813 under his nonqualified deferred compensation plan in 2011. Swarbrick received an accrued benefit of $150,000 during that calendar year. Malpass received an accrued benefit of $1,200,000 in 2011. Donovan received an accrued benefit of $378,560 in 2011. Huang received an accrued benefit of $5,349. The accrued benefit and related earnings vest to Affleck-Graves, Burish, and Swarbrick at the end of the term of each plan (5 or 6 years), over a 5 year period to Malpass and Donovan, and to Huang at the end of a 6 year period. Part I, Line 5 a(i)-Scott Malpass, Vice President and Chief Investment Officer, received incentive compensation which was in part calculated contingent on the performance of the University's unitized investment pool. Malpass received $1,781,316 in calendar 2011 related to this program. 5a(ii)-Michael D. Donovan, Managing Director, Investments, received incentive compensation which was in part calculated contingent on the performance of the University's unitized investment pool. Donovan received $647,859 in calendar 2011 related to this program. 5a(iii)-Louis Nanni, Vice President for University Relations, received incentive compensation which was in part related to exceeding fund-raising goals. Nanni received $42,000 in calendar 2011 related to this program. Supplemental Information Part III Schedule J, Part II-Compensation of the Congregation of Holy Cross, United States Province, Inc. a. There are amounts listed on Form 990, Part VII, in Columns D-F, as well as the amounts listed on Schedule J, Part II, Columns B-F for members of the Holy Cross religious order (Fr. Thomas Doyle, Fr. John Jenkins, and Fr. Timothy Scully). The amounts listed are paid directly to their religious order, Congregation of Holy Cross, United States Province, Inc., rather than to these individuals. b. Fr. Timothy Scully is a member of the Congregation of Holy Cross, United States Province, Inc. religious order and received no compensation for his participation as a Trustee of the University. However, Fr. Scully is also a faculty member of the University. As a result of this faculty position (and not his position as a Trustee), he received the compensation indicated above, which was paid directly to his religious order. c. Most the amount included on Schedule J, Part II, Column D for Fr. Jenkins represents qualified tuition benefit offered to members of the Congregation of Holy Cross, United States Province, Inc. Form 990, Part VII, Line 5-Compensation from an Unrelated Organization: a) The current head football coach is permitted to receive compensation from external sources with prior written approval from the University. The University is not a party to any agreements between the coach and any third party for the payment of compensation to the coach, and the coach does not provide services to the University as a result of any such agreements. Therefore, any external income that the coach may receive is not reported for purposes of the University's response to the question raised on Form 990, Part VII, Line 5. b) Other reportable compensation: Name Unrelated Compensation Compensation Organization Type Amount Michael P. Brey Play by Play Sports Cash $720,000 Muffet McGraw Play by Play Sports Cash $245,000 St Joseph County Indiana 356000194 79061ABD8 2003-12-16 65000000 See Part VI 0 0 0 St Joseph County Indiana 356000194 79061ABA4 2005-12-08 185000000 See Part VI 0 0 0 St Joseph County Indiana 356000194 79061ABE6 2007-12-14 75000000 See Part VI 0 0 0 St Joseph County Indiana 356000194 79061ABK2 2009-09-30 153953342 See Part VI 0 0 0 14880000 65326176 510157 333733 29389306 35092980 2007 1 0 1 1 110000000 188456420 2389124 370716 70348646 115347934 2010 1 0 1 1 75546119 261689 246545 24337420 50700465 2012 1 0 1 1 153953386 953386 153000000 1 0 0 1 0 1 1 1 1 1 0.00130 0.00030 0.00160 1 0 1 1 1 1 1 0.00090 0.00020 0.00110 1 0 1 1 1 1 1 0.00080 0.00020 0.00100 1 0 0 0 0 1 0 1 1 See Part VI 0 0 0 0 1 0 1 1 Goldman Sachs 25.000000000000 0 0 1 See Part VI 1 0 1 0 1 1 See Part VI 0 0 0 0 1 0 0 0 0 0 1 X Part I Bond Issues (F) Description of Purpose (A) $65,000,000 St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 2003 originally issued on December 16, 2003. Bond proceeds were utilized to refund the Indiana Educational Facilities Authority Educational Facilities Revenue Bonds, Series 1992 dated November 5, 1992 and to refund the Indiana Educational Facilities Authority Educational Facilities Revenue Bonds, Series 1994 dated November 30, 1994. Proceeds were also applied to finance and reimburse a portion of the costs of various campus improvements. Those improvements include (i) construction of a performing arts center and science learning center, (ii) general repairs and improvements to the Alumni and Dillon Residence Halls, (iii) renovation and improvements to utility infrastructure and (iv) general construction and renovation projects. (B) $185,000,000 St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 2005 originally issued on December 8, 2005, with CUSIP number 79061ABA4 (reflected in Part I, columns (c) and (d)). $75,000,000 of the Series 2005 Bonds were then converted from a weekly rate period to a term rate period commencing November 6, 2008, with a new CUSIP number 79061ABF3 and ending February 29, 2012. $75,000,000 of the Series 2005 Bonds were then converted from a term rate period to a weekly rate period commencing on March 1, 2012. $110,000,000 of the Series 2005 Bonds were refunded by the St. Joseph County Series 2009 Bonds (see Part I (D)). Bond proceeds were used to refund the Indiana Health and Educational Facility Financing Authority Educational Facilities Revenue Bonds, Series 1995 dated August 9, 1995, to refund the St. Joseph County, Indiana Educational Facilities Revenue Bonds, Series 1996 dated September 12, 1996, and to refund a portion of the St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 2002 dated March 5, 2002. Proceeds were also utilized to finance and reimburse a portion of the costs of various campus improvements.Those improvements include (i) the construction of new roads along the south and east boundaries of the University's campus and the realignment of Angela Boulevard, Edison Road and Ivy Road in connection therewith, and the closing of Juniper Road, (ii) renovation and improvements to the Student Health Center, (iii) repair and regilding of the dome on top of the Administration Building, (iv) renovation and improvements to laboratory facilities within the Galvin Life Science Building, (v) general construction and renovation projects. (C) $75,000,000 St. Joseph County, Indiana Educational Facilities Refunding Revenue Bonds, Series 2007 originally issued on December 14, 2007. Bond proceeds were utilized to refund the St. Joseph County, Indiana Educational Facilities Revenue Bonds, Series 1997 dated November 20, 1997, and to refund the Indiana Educational Facilities Authority Educational Facilities Refunding Revenue Bonds, Series 1997 dated November 19, 1997. Proceeds were also applied to finance and reimburse a portion of the costs of various campus improvements. These improvements include (i) the construction of an addition to the Mason Support Services Center, (ii) the renovation and improvements to a laboratory facility within Nieuwland Science, (iii) general construction and renovation projects. (D) Total issue price of $153,953,341.65, comprised of an original issue premium of $7,388,341.65 and principal amount of $146,565,000 St. Joseph County, Indiana Educational Facilities Refunding Revenue Bonds, Series 2009 issued on September 30, 2009. Bond proceeds were used to refund the St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 1998 dated October 1, 1998 and ($110,000,000 of) the St. Joseph County, Indiana Variable Rate Educational Facilities Revenue Bonds, Series 2005 dated December 8, 2005 (see Part I (B)). Part II Proceeds Line 1 Amount of Bonds Retired Line 1 (B) Reflects the amount of the Series 2005 Bonds refunded by the Series 2009 Bonds Line 3 Total Proceeds of Issue Line 3 (A), (B), (C), (D) - Amount reported on Line 3 includes investment earnings and as a result, does not agree to issue price listed on Part I. Line 3(B) The original par amount of the Series 2005 Bond was $185,000,000. The amount reported includes the $185,000,000 par plus investment earnings. $110,000,000 was later refunded as part of the Series 2009 Bonds. $75,000,000 remain outstanding as the Series 2005 Bonds. Line 3(D) The Series 2009 Bonds refunded the Series 1998 Bonds ($43,000,000) and a portion of the Series 2005 Bonds ($110,000,000 of $185,000,000). This amount reported includes the original issue price of $153,953,341.65 (including the original issue premium of $7,388,341.65, a portion of which is amortized each year) plus investment earnings of $44.66. Line 5 Capitalized Interest from Proceeds Line 5(A) Includes capitalized interest and swap payments Line 10 Capital Expenditures from Proceeds Line 10(D) The Series 2009 Bonds was a refunding issue that did not fund capital expenditures Line 11 Other Spent Proceeds Line 11(A), (B), (C), (D) Includes refunded bonds Line 11(B) Also includes capitalized line of credit fees that were not taken into account in determining the yield on the issue (per the Schedule K instructions) Line 13 Year of Substantial Completion Line 13(D) Bonds only refunded previous issues and did not finance capital expenditures. Therefore, response was left blank. Line 16 Has the Final Allocation of Proceeds Been Made? Line 16(A), (B), (C) The University's intent upon issuance of bonds was that equity contributions would first be allocated to any potential private business use in the financed facilities. Line 16(D) Bonds only refunded previous issues and did not finance capital expenditures. Therefore, response was indicated as "NO". Part III Private Business Use Line 2(D) The Series 2009 Bonds refunded the Series 1998 and a portion of the Series 2005 Bonds. Schedule K does not require consideration of the projects financed by the Series 1998 Bonds. The Series 2005 Bond projects are considered and reflected in Column B of this Schedule. Therefore, response was indicated as "NO". Line 3a(D) The Series 2009 Bonds refunded the Series 1998 and a portion of the Series 2005 Bonds. Schedule K does not require consideration of the projects financed by the Series 1998 Bonds. The Series 2005 Bond projects are considered and reflected in Column B of this Schedule. Therefore, response was indicated as "NO". Line 3c(D) The Series 2009 Bonds refunded the Series 1998 and a portion of the Series 2005 Bonds. Schedule K does not require consideration of the projects financed by the Series 1998 Bonds. The Series 2005 Bond projects are considered and reflected in Column B of this Schedule. Therefore, response was indicated as "NO". Line 3b & 3d(A), (B), (C) Internal General Counsel routinely reviews agreements. External counsel is occasionally engaged to review agreements. Line 4(A), (B), (C) The University reported the private business use percentages in Part III of Schedule K after reviewing the private business activity on campus. The University's intent upon issuance of the bonds was that equity contributions would first be allocated to any potential private business use in the financed facilities. The University financed a number of infrastructure/renovation projects that met the criteria as Qualified Improvement Exceptions. Line 4(D) The Series 2009 Bonds refunded the Series 1998 and a portion of the Series 2005 Bonds. Schedule K does not require consideration of the projects financed by the Series 1998 Bonds. The Series 2005 Bond projects are considered and reflected in Column B of this Schedule. Therefore, response was left blank. Line 5(A), (B), (C) The University reported the private business use percentages in Part III of Schedule K after reviewing the private business activity on campus. The University's intent upon issuance of the bonds was that equity contributions would first be allocated to any potential private business use in the financed facilities. The University financed a number of infrastructure/renovation projects that met the criteria as Qualified Improvement Exceptions. Line 5(D) The Series 2009 Bonds refunded the Series 1998 and a portion of the Series 2005 Bonds. Schedule K does not require consideration of the projects financed by the Series 1998 Bonds. The Series 2005 Bond projects are considered and reflected in Column B of this Schedule. Therefore, response was left blank. Part IV Arbitrage Line 3b(A) Name of provider: Goldman Sachs Line 3c(A) Term of hedge: 19.0 Line 3b(A) Name of provider: HSBC Line 3c(A) Term of hedge: 29.2 Line 3b(C) Name of provider: Goldman Sachs Line 3c(C) Term of hedge: 19.0 Line 3b(C) Name of provider: HSBC Line 3c(C) Term of hedge: 29.2 Line 4b(B) Name of provider: AIG Matched Funding Corp Line 4c(B) Term of GIC: 0.2 Line 4b(B) Name of provider: AIG Matched Funding Corp Line 4c(B) Term of GIC: 2.0 See Part V See Part V 188996 See Part V See Part V See Part V 2631 See Part V Pamela Burish See Part V 38156 See Part V 0 American Electric Power Co Inc See Part V 3439188 See Part V 0 Reinhart FoodService LLC See Part V 166429 See Part V 0 Jones Day See Part V 181159 See Part V 0 Xerox Corporation See Part V 1578897 See Part V 0 Part III (a) Name of Person: N/A(b) Relationship between Interested Person and Organization: Employees(c) Amount of grant: $188,996(c) Type of Assistance: Qualified tuition reduction(a) Name of Person: N/A(b) Relationship between Interested Person and Organization: Children/siblings of Trustees(c) Amount of grant: $2,631(c) Type of Assistance: Merit Scholarships Part IV 1. (a) Pamela Burish(b) Relationship between interested person and the organization: Spouse of Officer/Trustee Thomas Burish(d) Description of transaction: Compensation from University to Mrs. Burish as an Adjunct Instructor and Fellow for the Institute for Educational Initiatives 2. (a) American Electric Power Co., Inc.(b) Relationship between interested person and the organization: University Trustees Sara Martinez Tucker and Richard C. Notebaert are members of the Board of Directors for American Electric Power Co., Inc., which provides power for the University campus.(d) Description of transaction: American Electric Power Co., Inc.'s charges are determined by rates negotiated between American Electric Power Co., Inc. and the State of Indiana, at arm's length. These charges and the relationship between American Electric Power Co., Inc. and the University are in compliance with the University's overall conflict of interest policy.3. (a) Reinhart FoodService, LLC(b) Relationship between interested person and the organization: University Trustee J. Christopher Reyes is an owner and co-chairman of Reyes Holdings, LLC. Reinhart FoodService, LLC is a wholly-owned subsidiary of Reyes Holdings, LLC.(c) Represents 1 percent of total University food expenditures paid(d) Description of transaction: Reinhart FoodService, LLC provides food distribution services to the University. These services are negotiated at arm's length and are in compliance with the University's overall conflict of interest policy.4. (a) Jones Day(b) Relationship between interested person and the organization: University Trustee Stephen Brogan is the Managing Partner of Jones Day. In addition, Patrick McCartan is also a University Trustee and a Senior Partner with Jones Day.(d) Description of transaction: Jones Day provides legal services to the University. These services are negotiated at arm's length and are in compliance with the University's overall conflict of interest policy.5. (a) Xerox Corporation(b) Relationship between interested person and the organization: University Trustee Sara Martinez Tucker is a member of the Board of Directors for Xerox Corporation.(d) Description of transaction: Xerox provides office equipment to the University and has an athletics sponsorship arrangement with the University as well. These services are negotiated at arm's length and are in compliance with the University's overall conflict of interest policy. X 167 0 X 0 X 1 X 533 37906023 Proceeds from sale X 2 2 Token value of $1 X 2 0 X 1 1769820 Appraisal X Equipment 8 0 X Other 72 0 28 0 1 0 Method for Determining Number of Contributors: Part I, Column (b): The amounts shown for "Number of contributions or items contributed" represent number of contributions, not the number of items contributed. Non Reporting of Revenue: Part I, Line 33: Other than for gifted securities, the University's policy is to record as revenue only those non-cash contributions in excess of one million dollars, if supported by an appraisal from a qualified third-party. For gifted securities, the University records the proceeds received upon liquidation, broken down between contribution (for the value at date of gift) and gain or loss (for the difference between contribution and proceeds). For gifted securities of closely held stock, the University records a token value of one dollar, unless furnished with an appraisal from a qualified third-party appraiser. University's Mission Form 990, Part I, Line 1 and Part III, Line 1 The University of Notre Dame is a Catholic academic community of higher learning, animated from its origins by the Congregation of Holy Cross. The University is dedicated to the pursuit and sharing of truth for its own sake. The University seeks to cultivate in its students not only an appreciation for the great achievements of human beings, but also a disciplined sensibility to the poverty, injustice, and oppression that burden the lives of so many. The aim is to create a sense of human solidarity and concern for the common good that will bear fruit as learning becomes service to justice. This statement speaks of the University of Notre Dame as a place of teaching and research, of scholarship and publication, and of service and community. *From the mission statement of the University of Notre Dame: http://nd.edu/aboutnd/mission-statement/ Form 990, Part VI, Section A, line 2 Sara Martinez Tucker, Trustee and Richard Notebaert, Trustee - Business relationship Stephen Brogan, Trustee and Patrick McCartan, Trustee - Business relationship Form 990, Part VI, Section B, line 11 After internal review of the completed Form 990 and external review by the University's outside tax accountants (PricewaterhouseCoopers), the return is presented to the University's Tax Strategy Committee, which includes University officers (Executive Vice President, Vice President for Finance and General Counsel), the Chief Audit Executive, the Controller and members of his tax and compliance staff, and PricewaterhouseCoopers. Following this internal process, the return is presented for review to the Audit Committee of the Board of Trustees, who review the return and discuss it at a meeting prior to filing the return. Upon completion of their review, it is provided to the full Board of Trustees, also prior to the filing of the return. Form 990, Part VI, Section B, line 12c All faculty, staff and students who are in a position to influence or commit resources of the University of Notre Dame are considered "members" who must complete and submit on no less than an annual basis a Conflict of Interest Disclosure Survey. Such surveys are evaluated by the appropriate "Reviewer". Each member's Reviewer depends on whether they are faculty, staff, department chair, or dean, but ultimately all actual, potential, and perceived conflicts of interest are reviewed by the University Conflicts Committee. The Reviewer determines whether an actual, potential, or perceived conflict of interest exists and makes a recommendation to the University Conflicts Committee as to what conditions or restrictions, if any, should be imposed by the University to manage, reduce, or eliminate such conflicts. The Reviewer, with input from the member if needed, develops a Management Plan for submission to the University Conflicts Committee. The University Conflicts Committee then makes a decision regarding disposition of a disclosure based on the Reviewer's recommendation, the details regarding the Member's actual, potential, or perceived conflict of interest, and the proposed Management Plan. Members of the University's Board of Trustees are governed by a separate conflict of interest policy and must disclose all financial interests and material facts pertinent to any potential conflict on their annual Conflict of Interest statement (or whenever potential conflicts arise) to the Audit Committee of the Board. This policy is coordinated, administered, reviewed, and monitored by the University's internal Audit & Advisory Services department. After any discussion or presentation of the financial interests and material facts to the Audit Committee, the individual must recuse himself/herself during the discussion of, and voting on, the potential conflict. The Audit Committee shall assess whether the potential conflict is reasonable and the result of arms-length negotiation conforming to the University's written policies, as well as if the action furthers the University's charitable purposes and is in the best interests of the University. The Chairman of the Audit Committee shall, if appropriate, appoint a disinterested person or Committee to investigate alternatives to the proposed transaction or arrangement. Should the Audit Committee have reason to believe a Trustee-member has failed to disclose all financial interests and material facts pertinent to a potential conflict of interest, it shall inform the individual of such, and afford the individual the opportunity to further explain all interests and facts pertinent to the potential conflict. If it is determined that an individual has not disclosed all financial interests and material facts pertinent to an actual or potential conflict of interest, corrective action shall be taken as deemed appropriate. The minutes of any meeting of the University's Board of Trustees or other governing board of the University considering a conflict of interest, including committees and sub-committees of such boards, shall include the names of those present for discussion and voting, as well as those recused from the discussion and voting, on any transaction, arrangement, relationship, or other action involving a potential conflict of interest. Form 990, Part VI, Section B, line 15 The Compensation Committee of the Board of Trustees develops, in conjunction with the President, Executive Vice President, and Vice President of Human Resources, an overall Total Reward Philosophy for Key Employees, which supports the University's overall mission, and shall recommend such Total Reward Philosophy to the Board for approval. The Committee acts on behalf of the Board to implement the executive compensation policy, approve executive compensation levels, adopt a benefit and perquisite policy, and justify reasonable compensation paid to the President, Executive Vice President, and Provost of the University, and other persons who are "disqualified persons" under Internal Revenue Code Section 4958 (intermediate sanctions). The Committee researches competitive and reasonable annual base salary levels, annual incentive plans, executive benefit plans, welfare benefits and supplemental benefits of the named executives and other key individuals. Upon completion of the research, the Committee approves the specific levels and amounts of total rewards that will be paid to, or provided for the benefit of, the named executives and other key individuals. The Committee examines the reasonableness of compensation levels. In so doing, the Committee assesses the nature and scope of the position by reviewing the basis on which compensation was paid. This includes a review of compensation for, but not limited to, exceptional performance, additional duties, and/or the unique background, experiences, personal skills and the abilities of the executive, as well as special challenges facing the University that require the use of such attributes or skills. The Committee's evaluation includes valid market data provided by an independent third party consultant that details each compensation component and the total package in light of the University's executive compensation philosophy. The Committee conducts such examination to be able to establish a presumption under Section 4958 that the total reward package offered to "disqualified persons" is reasonable. Form 990, Part VI, Section C, line 19 The University makes its governing documents (http://www.nd.edu/aboutnd/leadership/pdf/bylaws.pdf, http://www.nd.edu/aboutnd/leadership/pdf/statutes.pdf) and financial statements (http://cfweb-prod.nd.edu/controller/annual-report/) available to the public on the University's website. Notre Dame makes its conflict of interest policy that applies to all employees available to the public by posting it on the University's website (http://policy.nd.edu/policy_files/ConflictofInterestPolicy.pdf). This information, as well as copies of Form 990 and Form 990-T, is also available upon request. Form 990 is also available on the charity websites Guidestar (http://www2.guidestar.org/) and Charity Navigator (www.charitynavigator.org/). Notre Dame does not make its trustees' conflict of interest policy available to the public. Changes in Net Assets or Fund Balances: Form 990, Part XI, line 5: Net unrealized losses on investments: -228,513,638. Net gain/(loss) on debt-related derivative instruments -34,406,027. Change in value of split-interest agreements -1,009,560. Net pension and postretirement benefits-related changes -47,936,247. Other non-operating changes in net assets 4,824,476. Total to Form 990, Part XI, Line 5: -307,040,996. 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