2012-05-15T12:11:28-05:00 2011-06-30 990 2010-07-01 560532129 DUKE UNIVERSITY DUKE 9196842006 324 BLACKWELL ST WASHINGTON BLDG DURHAM NC 27701 TALLMAN TRASK III 2012-05-07 2010 2016-02-24 21:20:13Z X RICHARD H BRODHEAD 324 BLACKWELL STREET DURHAM NC 27701 13275337843 false X WWW.DUKE.EDU X 1841 NC TO PROVIDE A SUPERIOR LIBERAL EDUCATION, TO PREPARE FUTURE MEMBERS OF LEARNED PROFESSIONS, TO ADVANCE THE FRONTIERS OF KNOWLEDGE, AND TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH. 37 28 27317 0 0 1131249755 1297436773 744856946 807858421 259133753 468980661 42999116 132786004 2178239570 2707061859 229904961 251114476 0 0 1221532256 1262555864 0 0 23380440 895079957 1000393143 2346517174 2514063483 -168277604 192998376 9378030720 10394643684 2968970088 2239253731 6409060632 8155389953 X SEE SCHEDULE O false false 1317502139 216400343 637431982 DUKE UNIVERSITY CONFERS UNDERGRADUATE, GRADUATE, AND PROFESSIONAL DEGREES TO APPROXIMATELY 4300 STUDENTS ANNUALLY 750703992 33698234 617548014 DUKE UNIVERSITY ENGAGES IN WORLD-RENOWNED RESEARCH WORK SPONSORED BY NUMEROUS FEDERAL, STATE, AND LOCAL AGENCIES 195600995 1015899 94401181 DUKE UNIVERSITY AUXILIARY ENTERPRISES PROVIDE SUPPORT SERVICES TO THE DUKE UNIVERSITY COMMUNITY 2263807126 true true false true false false true false true true true false true true false false true true true true true true true true false false true true true true true false false false false false true true true true true true false false true true true true false false true X 9752 0 true 27317 true false true SP EC IT GM UK CH SN TZ false false false true true true 0 false false false X 37 28 true false false false false true false true true false false true true true true true true true true true false AK AZ CO DC ME MD MA MI NH NJ NY OR SC WA X X DUKE UNIVERSITY 9196842006 324 BLACKWELL ST SUITE 920 DURHAM NC 27701 X ANNE T BASS 1.0 X 0 0 0 THE HONORABLE DANIEL TERRY BLUE JR 1.0 X 0 0 0 JACK O BOVENDER JR 1.0 X 0 0 0 RICHARD H BRODHEAD 50.0 X X 776073 0 191410 PAULA PHILLIPS BURGER 1.0 X 0 0 0 PAULA HANNAWAY CROWN 1.0 X 0 0 0 RALPH EADS III 1.0 X 0 0 0 FRANK E EMORY JR 1.0 X 0 0 0 PAUL FARMER 1.0 X 0 0 0 ROBIN A FERRACONE 1.0 X 0 0 0 XIQING GAO 1.0 X 0 0 0 DAVID GERGEN 1.0 X 0 0 0 THOMAS M GORRIE 1.0 X 0 0 0 JANET HILL 1.0 X 0 0 0 KENNETH W HUBBARD 1.0 X 0 0 0 KIMBERLY J JENKINS 1.0 X 37500 0 4565 PETER J KAHN 1.0 X 0 0 0 SUNNY KANTHA 1.0 X 0 0 0 BRUCE A KARSH 1.0 X 0 0 0 J J KISER III 1.0 X 0 0 0 ELIZABETH KISS 1.0 X 0 0 0 MARGUERITE W KONDRACKE 1.0 X 0 0 0 JOHN J MACK 1.0 X 0 0 0 MICHAEL MARSICANO 1.0 X 0 0 0 BISHOP J LAWRENCE MCCLESKEY 1.0 X 0 0 0 JAMES P MCDONALD 1.0 X 0 0 0 MARTHA L MONSERRATE 1.0 X 0 0 0 NANCY A NASHER 1.0 X 0 0 0 CLARENCE G NEWSOME 1.0 X 0 0 0 ANN PELHAM 1.0 X 0 0 0 DAVID M RUBENSTEIN 1.0 X 0 0 0 ALAN D SCHWARTZ 1.0 X 0 0 0 LAURENE SPERLING 1.0 X 0 0 0 SUSAN M STALNECKER 1.0 X 0 0 0 RYAN TODD 1.0 X 0 0 0 G RICHARD WAGONER JR 1.0 X 0 0 0 HOPE MORGAN WARD 1.0 X 0 0 0 PAMELA J BERNARD 20.0 X 402037 0 44429 VICTOR J DZAU 40.0 X 2037221 0 759796 PETER LANGE 65.0 X 504619 26222 37590 B HOFLER MILAM 40.0 X 348324 0 43690 RICHARD V RIDDELL 60.0 X 272228 0 37050 TALLMAN TRASK III 40.0 X 537602 0 50597 NANCY C ANDREWS 50.0 X 679311 0 45100 ALVIN L CRUMBLISS 50.0 X 280615 0 34926 KEMEL DAWKINS 40.0 X 743317 0 35321 J SCOTT GIBSON 60.0 X 476605 0 47846 ALICE E GOULD 40.0 X 634513 0 103894 ANDERS W HALL 40.0 X 743482 0 169881 GEORGE L MCLENDON 40.0 X 185688 0 29807 JOHN J NOONAN 40.0 X 247185 0 45971 JAMES S ROBERTS 40.0 X 297707 0 36305 NEAL F TRIPLETT 55.0 X 1668437 0 636042 GAVIN BRITZ 40.0 X 794877 0 36930 DAVID N CUTCLIFFE 40.0 X 1738780 0 46176 MICHAEL W KRZYZEWSKI 40.0 X 5769057 0 1459836 RALPH SNYDERMAN 40.0 X 1034676 0 41336 KEVIN M WHITE 40.0 X 858264 0 46303 REV CHARLES M SMITH 15.0 X 29273 0 0 21097391 26222 3984801 2082 true true false BOVIS LEND LEASE INC PO BOX 32755 CHARLOTTE NC 282322755 CONSTRUCTION SERVICE 11524640 SKANSKA USA BUILDING INC 4309 EMPEROR BLVD SUITE 200 DURHAM NC 27703 CONSTRUCTION SERVICE 6763883 LECHASE CONSTRUCTION 324 BLACKWELL STREET SUITE 1200 DURHAM NC 27701 CONSTRUCTION SERVICE 10104260 UNIVERSITY OF NORTH CAROLINA 104 AIRPORT DR SUITE 2200 CHAPEL HILL NC 275991350 RESEARCH 10705691 PAREXEL INTERNATIONAL 5239 PAYSPHERE CIRCLE CHICAGO IL 60674 CONSULTING SERVICE 11984133 639 4866270 110358632 612449274 569762597 17168866 1297436773 TUITION AND FEES 611600 570597385 570597385 CONFERENCE FEES 611600 6809294 6809294 CONTINUING EDUCATION 611600 60025303 60025303 ACADEMIC MEDICAL RESEARCH 611600 5098740 5098740 ANCILLARY STUDENT SERVICES 611600 94401181 94401181 70926518 70926518 807858421 84651272 84651272 31584 31584 108769384 108769384 6492698 6131497 361201 361201 361201 10944677279 210712 10557979000 2611186 386698279 -2400474 384297805 384297805 873139 4866270 1554301 -681162 -681162 0 0 MISC. 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PER THE MEMBERSHIP DUES INVOICES, SOME OF THESE ORGANIZATIONS PROVIDE A DISCLOSURE OF LOBBYING PERCENTAGE OF THE DUES RECEIVED. 327392 30060141 X X X true 4802051000 81684000 1123743485 73647646 205483839 5728347000 4430172000 86145000 530625628 55616571 189275057 4802051000 6112750000 73482915 -1506464915 52113849 197482151 4430172000 0.31000 0.69000 true true true 22959502 22959502 2412545566 1095757359 1316788207 139331056 81801629 57529427 594360893 456163402 138197491 457493240 296626469 160866771 1696341398 SHORT TERM INVESTMENTS 453392813 F US GOVERNMENT SECURITIES 4983000 F REAL ESTATE 703105649 F LONG TERM NOTES 160668296 F DOMESTIC STOCKS 260152227 F INTERNATIONAL STOCKS 1053656312 F LONG TERM NOTES 78390966 F PRIVATE INVESTMENTS 1218766601 F HEDGE STRATEGIES 918768008 F OTHER INVESTMENTS 132176590 F NATURAL RESOURCES 677460550 F 5661521012 DEPOSITS WITH BOND TRUSTEE 12932393 HELD BY OTHERS 684340984 697273377 0 OBLIGATIONS 38636846 OBLIGATIONS 185903885 FUNDS HELD FOR OTHERS 68466112 CONDITIONAL ASSET RETIREMENT 43199888 REFUNDABLE FEDERAL STUDENT LOANS 34537589 FICA MEDICAL RESIDENT PAYABLE 29191920 399936240 ART COLLECTION SCHEDULE D, PART III, LINE 4 DUKE UNIVERSITY'S COLLECTION OF ART, INCLUDING THOSE PIECES MAINTAINED IN THE NASHER MUSEUM OF ART AT DUKE UNIVERSITY, FOSTERS THE UNDERSTANDING AND APPRECIATION OF THE VISUAL ARTS BY PROVIDING DIRECT EXPERIENCES WITH ORIGINAL WORKS OF ART SUPPORTED BY A RANGE OF EXHIBITIONS, PROGRAMS AND PUBLICATIONS FOR THE UNIVERSITY AND BROADER COMMUNITY. THE MUSEUM DRAWS ON THE INTELLECTUAL RESOURCES OF THE RESEARCH UNIVERSITY AND SERVES AS A LABORATORY OF THE ARTS DEDICATED TO MULTIDISCIPLINARY APPROACHES TO LEARNING. USE OF ENDOWMENT FUNDS SCHEDULE D, PART V, LINE 4 THE INTENDED USES OF THE ENDOWMENT FUNDS ARE FOR INSTRUCTION, RESEARCH, LIBRARY AND FINANCIAL AID. LIABILITY FOR UNCERTAIN TAX POSITIONS UNDER FIN 48 SCHEDULE D, PART X DUKE UNIVERSITY ADOPTED THE REQUIREMENTS OF FIN 48 AND CONSIDERED ITS TAX POSITION. BASED ON THAT ANALYSIS, THE PROVISIONS OF FIN 48 ARE DEEMED IMMATERIAL TO THE UNIVERSITY'S FINANCIAL STATEMENTS, AND THEREFORE, NO FIN 48 SPECIFIC DISCLOSURES ARE MADE IN THE UNIVERSITY'S AUDITED FINANCIAL STATEMENTS FOR THE FISCAL YEAR ENDED JUNE 30, 2011. true true true true true true true false false false false false false false false true false true RACIALLY NONDISCRIMINATORY POLICY FORM 990, SCHEDULE E, LINE 3 DUKE UNIVERSITY IS COMMITTED TO ENCOURAGING AND SUSTAINING WORK AND LEARNING ENVIRONMENTS THAT ARE FREE FROM HARASSMENT AND PROHIBIT DISCRIMINATION. THE UNIVERSITY PROHIBITS DISCRIMINATION AND HARASSMENT IN THE ADMINISTRATION OF BOTH ITS EMPLOYMENT AND EDUCATIONAL POLICIES. EQUAL EMPLOYMENT AND EDUCATIONAL OPPORTUNITIES ARE PROVIDED WITHOUT REGARD TO RACE, COLOR, SEX, RELIGION, NATIONAL ORIGIN, DISABILITY, VETERAN STATUS, SEXUAL ORIENTATION, GENDER IDENTITY, AGE OR GENETIC INFORMATION. DUKE UNIVERSITY ALSO MAKES GOOD FAITH EFFORTS TO RECRUIT, HIRE AND PROMOTE QUALIFIED MINORITIES, WOMEN, INDIVIDUALS WITH DISABILITIES AND VETERANS. IN ACCORDANCE WITH TITLE IX OF THE EDUCATION AMENDMENTS OF 1972, DUKE UNIVERSITY PROHIBITS DISCRIMINATION ON THE BASIS OF SEX. SEXUAL HARASSMENT IS A FORM OF SEX DISCRIMINATION. DUKE UNIVERSITY HAS DESIGNATED DR. BENJAMIN D. REESE, VICE-PRESIDENT OF THE OFFICE FOR INSTITUTIONAL EQUITY AS ITS TITLE IX COORDINATOR. THE OFFICE FOR INSTITUTIONAL EQUITY IS LOCATED IN SMITH WAREHOUSE, 114 S. BUCHANAN BLVD., BAY 8, DURHAM, NORTH CAROLINA 27708. DR. REESE'S OFFICE TELEPHONE NUMBER IS (919) 684-8222. QUESTIONS OR CONCERNS REGARDING TITLE IX, HARASSMENT OR DISCRIMINATION MAY BE DIRECTED TO THE OFFICE FOR INSTITUTIONAL EQUITY. POLICIES AND RELATED PROCEDURES ARE COMMUNICATED TO ALL MEMBERS OF THE DUKE COMMUNITY THROUGH VARIOUS PUBLICATIONS, POSTINGS, ELECTRONIC MEDIA AND TRAINING SESSIONS FOR MANAGERS. PUBLICATIONS OF THE UNIVERSITY PICTURE BOTH MINORITY AND NON-MINORITY MEN AND WOMEN AND PERSONS WITH DISABILITIES. DUKE UNIVERSITY RECRUITING ADVERTISEMENTS STATE THAT THE UNIVERSITY IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLOYER. FINANCIAL AID AND ASSISTANCE FROM GOVERNMENTAL AGENCIES FORM 990, SCHEDULE E, LINE 6A IN FURTHERANCE OF ITS EDUCATIONAL MISSIONS, DUKE UNIVERSTIY RECEIVES FUNDS IN SUPPORT OF ITS UNDERGRADUATE AND GRADUATE STUDENTS. THESE FUNDS INCLUDE FINANCIAL AID PROGRAMS SUCH AS FEDERAL COLLEGE WORK STUDY, FEDERAL PERKINS FUNDS, FEDERAL STAFFORD LOAN FUNDS, FEDERAL PELL GRANT FUNDS, FEDERAL SEOG FUNDS, ACADEMIC COMPETITIVENESS GRANT (ACG) FUNDS, NATIONAL SCIENCE AND MATHEMATICS ACCESS TO RETAIN TALENT (SMART) GRANT FUNDS, FEDERAL HEALTH PROFESSION LOANS, FEDERAL NURSING LOANS, AND FEDERAL PLUS, ETC. ADDITIONAL STUDENT FINANCIAL AID IS RECEIVED IN THE FORM OF FELLOWSHIP SUPPORT FROM A VARIETY OF FEDERAL AGENCIES, INCLUDING NIH UNDER ITS INDIVIDUAL AND GRADUATE FELLOWSHIP PROGRAMS. IN ADDITION, DUKE UNIVERSITY RECEIVES COOPERATIVE AGREEMENTS FOR BOTH RESEARCH AND EDUCATIONAL PROGRAMS. ALTHOUGH THIS SUPPORT COMES FROM A WIDE VARIETY OF FEDERAL AGENCIES, THE NATIONAL INSTITUTE OF HEALTH, THE NATIONAL SCIENCE FOUNDATION, THE DEPARTMENT OF DEFENSE, AND THE DEPARTMENT OF ENERGY PROVIDE THE MAJORITY OF GRANTS AND COOPERATIVE AGREEMENTS. Central America and the Caribbean 0 0 Program Services EDUCATION 7838 Central America and the Caribbean 0 0 Program Services RESEARCH 182968 Central America and the Caribbean 0 2 Program Services STUDY ABROAD 182430 Central America and the Caribbean 0 0 Grantmaking 15420 Central America and the Caribbean 0 0 Send agents to seminar 84779 East Asia and the Pacific 0 0 Program Services EDUCATION 764271 East Asia and the Pacific 1 2 Program Services RESEARCH 6592923 East Asia and the Pacific 0 25 Program Services STUDY ABROAD 2115742 East Asia and the Pacific 0 0 Grantmaking 831 East Asia and the Pacific 0 0 Send agents to seminar 1764352 Europe (Including Iceland and Greenland) 0 0 Fundraising 1939 Europe (Including Iceland and Greenland) 0 0 Program Services EDUCATION 324275 Europe (Including Iceland and Greenland) 0 1 Program Services RESEARCH 12905350 Europe (Including Iceland and Greenland) 6 48 Program Services STUDY ABROAD 5411404 Europe (Including Iceland and Greenland) 0 0 Grantmaking 18000 Europe (Including Iceland and Greenland) 0 0 Send agents to seminar 3115792 Middle East and North Africa 0 0 Fundraising 162 Middle East and North Africa 0 0 Program Services EDUCATION 87623 Middle East and North Africa 0 0 Program Services RESEARCH 181275 Middle East and North Africa 0 3 Program Services STUDY ABROAD 1311584 Middle East and North Africa 0 0 Send agents to seminar 301602 North America 0 0 Program Services EDUCATION 40359 North America 0 0 Program Services RESEARCH 11676784 North America 0 2 Program Services STUDY ABROAD 100220 North America 0 0 Grantmaking 1000 North America 0 0 Send agents to seminar 293789 Russia and the Newly Independent States 0 0 Program Services EDUCATION 29323 Russia and the Newly Independent States 0 0 Program Services RESEARCH 200904 Russia and the Newly Independent States 0 3 Program Services STUDY ABROAD 1667775 Russia and the Newly Independent States 0 0 Send agents to seminar 38423 South America 0 0 Program Services EDUCATION 51075 South America 0 0 Program Services RESEARCH 1156592 South America 0 0 Send agents to seminar 310754 South America 0 5 Program Services STUDY ABROAD 283218 South America 0 0 Grantmaking 1744 South Asia 0 0 Program Services EDUCATION 176187 South Asia 0 0 Program Services RESEARCH 3215811 South Asia 0 4 Program Services STUDY ABROAD 1524008 South Asia 0 0 Grantmaking 15109 South Asia 0 0 Send agents to seminar 309402 Sub-Saharan Africa 0 0 Program Services EDUCATION 128418 Sub-Saharan Africa 0 1 Program Services RESEARCH 3816145 Sub-Saharan Africa 0 1 Program Services STUDY ABROAD 309964 Sub-Saharan Africa 0 0 Grantmaking 318275 Sub-Saharan Africa 0 0 Send agents to seminar 330881 East Asia and the Pacific 0 0 Program Services ATHLETIC EVENTS 610606 East Asia and the Pacific 0 0 Program Services DEVELOPMENT 51248 7 78 0 19 7 97 33488476 28540098 62028574 Cent. America/Caribbean BUILD CLINIC 12000 WIRE South Asia AWARD 5109 WIRE South Asia GENERAL SUPPORT 10000 WIRE Sub-Saharan Africa GENERAL SUPPORT 12495 WIRE Sub-Saharan Africa MEDICAL SUPPORT 10000 WIRE Sub-Saharan Africa GENERAL SUPPORT 23000 WIRE Sub-Saharan Africa GENERAL SUPPORT 271334 WIRE 3 3 AWARD-SCIENTIFIC RESEARCH Europe/Iceland/Greenland 2 18000 CHECK false true false false false true PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE U.S. FORM 990, SCHEDULE F, LINE 2 DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO NUMEROUS ORGANIZATIONS OUTSIDE THE UNITED STATES. IN PARTICULAR FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANT FUNDS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. X X X X X X X true GRENZEBACH GLIER AND ASSOCIATES 401 N MICHIGAN AVE STE 2800 CHICAGO IL 60611 CAMPAIGN CONSULTING false 108889 TOM PERRIN ASSOCIATES CAMPAIGN CONSULTING false 9360 DEAN KUHNLEIN 5 SAGAMORE PLACE HILLSBOROUGH NC 27278 CAMPAIGN CONSULTING false 8450 ERICA LIEBERMAN 6010 NEW JERICHO RD CHAPEL HILL NC 27516 CAMPAIGN CONSULTING false 6863 BOBBY WAYNE CLARK 2711 AUGUSTA DR DURHAM NC 27707 CAMPAIGN CONSULTING false 6858 KAREN GAJEWSKI 102 SUGARHILL PLACE CARY NC 27519 CAMPAIGN CONSULTING false 5444 145864 AL AK AZ AR CA CO CT DC FL GA HI IL KS LA ME MD MA MI MN MS NH NJ NM NY NC ND OH OK OR PA RI SC TN UT VA WA WV WI ANGELS AMONG US 1518142 1454849 63293 8365 72266 2010 CMN 1487136 1489144 -2008 270422 12 2734131 1922277 811854 246333 2982 109158 13718 831057 5739409 4866270 873139 246333 2982 117523 13718 1173745 1554301 -681162 FUNDRAISING ACTIVITIES SCHEDULE G, PART I, LINE 2(b), COLUMN (v) DUKE UNIVERSITY ENTERS INTO AGREEMENTS WITH THE ENTITES OR INDIVIDUALS LISTED ON SCHEDULE G, PART I, LINE 2(b), COLUMN (v). THESE AGREEMENTS ALLOW FOR CERTAIN REIMBURSEMENTS OF EXPENSES SUCH AS: TRAVEL EXPENSES RELATED TO THE SERVICES PROVIDED. THE REIMBURSEMENT IS ANALYZED AND AUTHORIZED ON A CASE BY CASE BASIS. 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VAIL AWARD 2 1000 2011 BME AWARD 1 469 2011 GRADUATION-THOMAS JEFFERSON AWARD 1 250 2011 GRADUATION- ANDREW C PUCKETT HUMANISM AWARD 1 500 2011 GRADUATION-DEANS'S RECOGNITION AWARD 4 800 2011 HELMHOLTZ AWARD 1 200 2011 LEONARDO DA VINCI AWARD 2 400 2011 RAINBOW OF HEROES WALK 1 5000 4TH ANNUAL COLE DISSERTATION COMPETITION 1 1000 ADOPT A FAMILY CLOTHES & TOYS 1 192 ALDEN AWARD WINNER 1 250 ALEX VASILOS MEMORIAL AWARD 4 1500 ALLEN STARLING JOHNSON JR AWARD 6 1350 ANGELA MARTINEZ - ALDEN AWARD 1 250 ANGELS AMONG US 1 2500 ANNE MCDOUGALL AWARD 1 1500 ANN-MARIE PARSONS AWARD 1 250 AWARD 1 781 AWARD-CDS DEGRESS PROGRAM 1 1500 AWARD-ITALY TRIP 1 1000 AWARD FOR STUDENT ACHIEVEMENT 2 3000 AWARD FOR SUMMER DISSERTATION FIELD WORK IN KENYA 1 2000 AWARD NYC TRIP 1 200 AWARD TO ATTEND CLASSICAL SUMMER SCHOOL 2 3400 AWARD WINNER KENAN INST. FOR ETHICS 1 500 BARBARA HERRNSTEIN SMITH AWARD 1 250 BEST RESEARCH AWARD 1 500 BIG BROTHER BIG SISTERS SPONSORSHIP 1 65 BOOK AWARD 1 750 CAMP KALEIDSCOPE PROJECT 1 10500 CASE COMPETITION PRIZE MONEY 24 13500 CHAMBER MUSIC AWARD 1 100 CHARLES ERNEST SEAGER MEMORIAL AWARD 2 1000 CHARLES ROWE VAIL MEMORIAL AWARD 2 1000 CHINA MEDEL FOR 2010-11 AWARD 1 2400 CLAS MELLON GRADUATE STUDENT TRAVEL AWARD TO HAITI 2 2400 CLASS OF 1990 SCHOLARSHIP AWARD 1 2000 CLAY TALIAFERRO DANCE AWARD 1 250 CONTEST WINNER 1 50 CRITICAL ESSAY AWARD 1 250 DALE B.J. RANDALL AWARD 2 500 DANCE PROJECT AWARD 1 250 DANCE WRITING AWARD FOR SPRING 2011 1 250 DNP CAPSTONE AWARD 1 200 DORA LITTLE SERVICE AWARD 3 3000 DPS-PRIZE WINNER 1 500 DUKE CHAPEL ASSISTANCE GIVEN 1 500 DUKE HOME CARE & HOSPICE PROJECT 1 3375 DUKE HONOR COUNCIL ESSAY CONTEST 3 600 DUKE MAHATO EVENT- IMAGE CONTEST AWARD 1 500 DUKE START UP CHALLENGE WINNER FY 2011 5 5650 ERNESTINE FRIEDL AWARD 2 2000 ESSAY AWARD 2 1281 EVA SALBER MEMORIAL AWARD 2 1000 EXCEPTIONAL HONORS THESIS 1 200 FLEXNER POETRY AWARD 5 2000 FOERSTER HONORABLE MENTION 1 400 FOERSTER PRIZE 1 1200 GALLERY CHOICE ART CONTEST 1 100 GENDER & RACE RESEARCH AWARD 3 1700 GEORGE SHERRERD III AWARD 1 500 HAAS ESSAY PRIZE 1 1200 HAROLD BRODY AWARD 1 1000 HELMETS AGAINST HEAD INJURY PROJECT 1 270 HENRY SCHUMAN MUSIC PRIZE 1 350 HORNE COSPONSORSHIP 1 1800 INTRAMURAL AWARD 1 750 JACKSON PRIZE 1 500 JAMESON JONES PREACHING AWARD 1 500 JHF AWARD 1 1500 JHFRC BOOK AWARD 1 10000 JODY MCAULIFFE AWARD 1 500 JOHN M CLUM AWARD 1 500 JUDITH MCDADE PRIZE 2 200 JULIA DALE AWARD IN MATH 5 950 JULIA WILKINSON MUELLER PRIZE FOR EXCELLENCE IN MU 1 300 JULIA WRAY MEMORIAL DANCE AWARD 1 250 KARL E ZENER AWARD 1 100 KARL MENGER AWARD IN MATH 4 750 KENAN INST. FOR ETHICS ART CONTEST WINNER 2 800 KENNETH J REARDON AWARD 1 500 LAPRADE PRIZE WINNER 1 500 LP SMITH AWARD IN MATH 2009-10 2 5000 HOLDEN AWARD 1 500 MARK EWING 1 11667 MARY DUKE BIDDLE FOUND VISUAL ART AWARD 2 1000 MARY MCLEOD BETHUNE WRITING AWARD 1 300 MCDOUGALL MERIT AWARD 1 1500 MCMURRY RICHEY AWARD 3 750 MELCHER AWARD 1 100 MELLON RESEARCH TRAVEL AWARD 1 750 MEMS FACULTY AWARD 1 100 MENTOR AWARD 2 2000 MICHAEL R NATHAN AWARD 2 5000 MONETARY AWARD 1 600 MOST ORIGINAL HONOR THESIS AWARD 1 250 MUSICAL ACHIEVEMENT PRIZE 4 200 NC UROLOGY RESIDENT COMPETITION PRIZE 1 500 NESCENT GRADUATE STUDENT FELLOWSHIP 10 48000 OUTSTANDING TEACHING AND MENTORING AWARD 1 156 OUTSTANDING UNDERGRADUATE RESEARCH AWARD 1 200 OVARIAN CANCER WALK PROJECT 1 500 PAUL FARMER AWARD 1 100 PEACE AWARD TRAVEL HONDURAS 4 6894 PHOTO CONTEST WINNER 1 50 PI TAU SIGMA AWARD 3 300 POSTER AWARD 21 2950 PRIZE FOR EXCEPTIONAL HONORS THESIS 1 200 SECOND PLACE EMORY CASE COMP. 5 671 PRIZES FOR SOCCER TOURNAMENT 1 300 RECEPTION CONTRIBUTION 1 300 REMEMBRANCE BOX PROGRAM 1 1200 RESEARCH PORT-AU-PRINCE 1 2000 REYNOLDS PRICE AWARD 1 500 RIPP PROGRAM 1 1000 SABBATICAL SCHOLAR PAYMENT 39 187773 SARA LABOSKEY MEMORIAL FUND 1 500 SCHUTTE SENIOR AWARD 1 1000 SCRIPPS NATIONAL BEE 1 2890 SOCIAL RELATIONSHIPS SURVEY WINNER 14 8400 STANLEY FISH AWARD 1 250 START UP CHALLENGE WINNER 1 2500 STEPHEN HORN TEACHING AWARD 2 600 SUE & LEE NOEL PRIZE IN VISUAL ARTS 1 500 SURVEY WINNER 2 1200 SYMPOSIUM PRESENTATION PRIZE 1 500 THIRD PLACE ETHICS ART CONTEST 1 100 TIP LEADERSHIP MERIT AWARD 2 2000 TRAVEL AWARD FOR SUMMER INTERNSHIP 11 13584 TRIATHLON - CASH PRIZES 1 350 TYLER POETRY AWARD 2 1025 UROLOGY RESIDENT COMPETITION PRIZE 5 500 URS GRADUATION W. DISTINCTION AWARD 1 699 UTKU AWARD 2 450 VIDEO CONTEST PRIZE 3 1500 VISUAL STUDIES INITIATIVE AWARD 2 600 WILLIAM KLENZ PRIZE IN MUSIC COMPOSITION 1 225 2011 FRITZ LONDON PRIZE 1 9000 WOMEN'S STUDIES GENDER/RACE RESEARCH AWARD 1 781 RENT ASSISTANCE 1 143 INTERNSHIP STIPEND 37 330129 UNDERGRADUATE TUITION PAYMENT 1 12182 UNDERGRADUATE TUITION PAYMENT 5 40800 UNDERGRADUATE STIPEND 172 1866433 GRADUATE TUITION SCHOLARSHIP 32 411003 GRADUATE STIPEND 1160 18978000 POSTDOCTORAL STIPEND 4 93348 UNDERGRADUATE ATHLETIC SCHOLARSHIPS 352 13759410 GRADUATE ATHLETIC SCHOLARSHIPS 8 307711 UNDERGRADUATE SCHOLARSHIPS 3961 112550795 GRADUATE SCHOLARSHIPS 2970 63703873 PRE-DOCTORAL SCHOLARSHIPS 2876 35583897 ALDEN AWARD WINNER 1 250 ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS IN U.S. FORM 990, SCHEDULE I, LINE 2 DUKE UNIVERSITY PERIODICALLY APPROVES GRANTS AND TRANSFERS GRANT FUNDS TO NUMEROUS ORGANIZATIONS WITHIN THE UNITED STATES. FOR SUBGRANT RECIPIENTS, A SERIES OF INTERNAL CONTROLS HAVE BEEN ESTABLISHED WHICH INCLUDE DETERMINATION OF WHETHER AN AUDIT WILL BE REQUIRED. DUKE UNIVERSITY HAS ESTABLISHED A DETAILED AND COMPETITIVE APPLICATION PROCESS WHICH ENSURES PROPER PURPOSE AND USE OF THESE GRANT FUNDS PRIOR TO ENGAGEMENT. FOLLOWING THE PROCUREMENT PROCESS, DUKE UNIVERSITY MONITORS SUBSEQUENT BILLING AND PERFORMANCE OF THE GRANT RECIPIENTS. INVOICES MUST BE SUBMITTED ACCORDING TO THE TERMS AND CONDITIONS WHICH MIRROR THE TERMS AND CONDITIONS OF THE ULTIMATE GRANTOR. PRIOR TO PAYMENT, CENTRALIZED DEPARTMENTS REVIEW DOCUMENTATION TO ENSURE THE EXPENSES ARE ALLOWABLE WITHIN THE TERMS OF THE GRANT. ULTIMATELY, THE ORGANIZATIONS AWARDED THESE GRANTS MUST MONITOR THE APPROPRIATE DISTRIBUTION OF THESE GRANT FUNDS IN THE ORDINARY COURSE OF BUSINESS AND REPORT SUCH INFORMATION TO DUKE UNIVERSITY. STUDENTS' INSTITUTIONAL SCHOLARSHIPS AND FINANCIAL AID IS POSTED DIRECTLY TO THEIR BURSAR ACCOUNTS. THEREFORE, SUCH FUNDS ARE DIRECTLY APPLIED TO APPROPRIATE CHARGES WITHIN THE STUDENTS' ACCOUNTS. GRANT/FELLOWSHIP PAYMENTS ARE PROCESSED ACCORDING TO AWARD LETTERS, WHICH ARE REVIEWED AND SUBMITTED TO THE RECIPIENT IN ADVANCE OF ACCEPTING FOR THE APPLICABLE SEMESTER. EACH PAYMENT IS PREPARED ACCORDING TO THE AWARD LETTER BY A DEPARTMENTAL REPRESENTATIVE, WHICH IS THEN REVIEWED AND APPROVED BY A DEPARTMENTAL SUPERVISOR. PRIOR TO ISSUANCE A FINAL REVIEW AND APPROVAL IS PROCESSED BY THE CENTRAL PAYMENT PROCESSING DEPARTMENT. X X X X X X true true X X X X true true false false false false false false false RICHARD H BRODHEAD 753677 0 0 0 22396 0 130029 0 63292 0 969394 0 0 0 PAMELA J BERNARD 385537 0 0 0 16500 0 30029 0 15360 0 447426 0 0 0 VICTOR J DZAU 1019765 0 1006416 0 11040 0 746258 0 16175 0 2799654 0 0 0 PETER LANGE 488119 26222 0 0 16500 0 30029 0 8786 0 543434 26222 0 0 B HOFLER MILAM 295870 0 35954 0 16500 0 30029 0 14387 0 392740 0 0 0 RICHARD V RIDDELL 254559 0 427 0 17242 0 30029 0 7641 0 309898 0 0 0 TALLMAN TRASK III 519110 0 0 0 18492 0 30029 0 21874 0 589505 0 0 0 NANCY C ANDREWS 446697 0 172828 0 59786 0 30029 0 16189 0 725529 0 0 0 ALVIN L CRUMBLISS 230748 0 33367 0 16500 0 30029 0 5456 0 316100 0 0 0 KEMEL DAWKINS 137817 0 0 0 605500 0 30029 0 5636 0 778982 0 0 0 J SCOTT GIBSON 347016 0 112991 0 16598 0 30029 0 18677 0 525311 0 0 0 ALICE E GOULD 229637 0 404876 0 0 0 103894 0 570 0 738977 0 20250 0 ANDERS W HALL 243356 0 483626 0 16500 0 158246 0 12241 0 913969 0 37500 0 GEORGE L MCLENDON 184962 0 490 0 236 0 23585 0 6695 0 215968 0 0 0 JOHN J NOONAN 247185 0 0 0 0 0 30029 0 16566 0 293780 0 0 0 JAMES S ROBERTS 297707 0 0 0 0 0 30029 0 7008 0 334744 0 0 0 NEAL F TRIPLETT 427591 0 1224346 0 16500 0 623642 0 13483 0 2305562 0 163333 0 GAVIN BRITZ 642395 0 152482 0 0 0 30029 0 8583 0 833489 0 0 0 DAVID N CUTCLIFFE 1392292 0 325703 0 20785 0 30029 0 19714 0 1788523 0 0 0 MICHAEL W KRZYZEWSKI 1979257 0 3747906 0 41894 0 1447339 0 17580 0 7233976 0 0 0 RALPH SNYDERMAN 1031466 0 0 0 3210 0 30029 0 13940 0 1078645 0 0 0 KEVIN M WHITE 775467 0 6291 0 76506 0 30029 0 18243 0 906536 0 0 0 REV CHARLES M SMITH 29273 0 0 0 0 0 0 0 0 0 29273 0 0 0 CHARTER TRAVEL SCHEDULE J, PART 1, LINE 1A MICHAEL W. KRYZYZEWSKI HAS USED CHARTER TRAVEL SERVICES. TO THE EXTENT SUCH TRAVEL WAS NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN TAXABLE INCOME OF THE INDIVIDUAL. TRAVEL FOR COMPANIONS SCHEDULE J, PART 1, LINE 1A COMPANIONS HAVE TRAVELED WITH MICHAEL W. KRZYZEWSKI. TO THE EXTENT IT WAS PERSONAL IN NATURE, SUCH AMOUNTS WERE INCLUDED IN HIS TAXABLE INCOME. TAX INDEMNIFICATION SCHEDULE J, PART 1, LINE 1A RICHARD H. BRODHEAD, J. SCOTT GIBSON, MICHAEL W. KRZYZEWSKI, GEORGE L. MCCLENDON, RICHARD V. RIDDELL, AND KEVIN M. WHITE RECEIVED SOME BENEFIT THAT WAS GROSSED UP TO COMPENSATE FOR WITHHOLDING OF TAXES. RESIDENCE FOR PERSONAL USE SCHEDULE J, PART 1, LINE 1A RICHARD H. BRODHEAD WAS PROVIDED WITH ON CAMPUS LIVING FACILITIES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. ACCORDINGLY, SUCH LODGING IS NOT INCLUDED IN TAXABLE INCOME. PERSONAL SERVICES SCHEDULE J, PART 1, LINE 1A THE UNIVERSITY PROVIDES HOUSEKEEPING SERVICES TO MAINTAIN ALL UNIVERSITY FACILITIES, INCLUDING THE FACILITY USED BY THE UNIVERSITY'S PRESIDENT. IN ADDITION TO PROVIDING A PERSONAL RESIDENCE THAT IS FOR THE CONVENIENCE OF THE UNIVERSITY, THIS FACILITY IS USED THROUGHOUT THE YEAR FOR NUMEROUS DUKE RELATED FUNCTIONS. RICHARD H. BRODHEAD WAS PROVIDED WITH PERSONAL FINANCIAL SERVICES. TO THE EXTENT SUCH SERVICES WERE NOT FOR BUSINESS PURPOSES, SUCH AMOUNTS WERE INCLUDED IN THE TAXABLE INCOME OF THESE INDIVIDUALS. CLUB DUES SCHEDULE J, PART 1, LINE 1A DAVID N. CUTCLIFFE AND J. SCOTT GIBSON WERE PROVIDED WITH CLUB MEMBERSHIPS. THE AMOUNTS WERE INCLUDED IN TAXABLE INCOME. POLICY SCHEDULE J, PART 1, LINE 1B DUKE POLICY GOVERNS THE NATURE AND TYPE OF ALLOWABLE EXPENDITURES AND PAYMENTS, INCLUDING REQUIREMENTS TO PROVIDE SUPPORTING DOCUMENTATION DETAILING THE TRANSACTION AND BUSINESS PURPOSE. ANY APPROVED EXCEPTIONS TO POLICY ARE DOCUMENTED IN CORRESPONDENCE OR EMPLOYMENT AGREEMENTS. SEVERENCE PAYMENT SCHEDULE J, PART I, LINE 4a KEMEL DAWKINS RECEIVED A SEVERANCE PACKAGE THAT INCLUDED $600,000 CASH PAYMENT. THE TERMS & CONDITIONS OF THE AGREEMENT DID NOT REQUIRE PARTICIPATION. SUPPLEMENTAL NONQUALIFIED RETIREMENT PLAN SCHEDULE J, PART I, LINE 4b THE FOLLOWING INDIVIDUALS PARTICIPATED IN AND RECEIVED PAYMENTS UNDER A DEFERRED COMPENSATION PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE: NEAL F. TRIPLETT $280,000, ALICE E. GOULD $30,375, ANDERS W. HALL $56,250, SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). VICTOR J. DZAU MD, MICHAEL W. KRZYZEWSKI AND RALPH SNYDERMAN, MD PARTICIPATE IN A PLAN DESCRIBED UNDER SECTION 457(F) OF THE INTERNAL REVENUE CODE, HOWEVER THEY DID NOT RECEIVE ANY PAYMENTS DURING THE REPORTING PERIOD. 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MEMBER 362000 AWARD 1 RECIPIENT TRUSTEE 4000 AWARD CYNTHIA BRODHEAD FAMILY MEM OF PRESIDENT 132500 SALARY PAID false CHRISTOPHER GERGEN FAMILY MEMBER OF TRUSTEE 31150 SALARY PAID false BRIGHT HORIZONS DIRECTOR IS TRUSTEE 362470 PAYMENT FOR GOODS OR SERVICES false BERNARD MATHEY-PREVOT FAMILY MEMBER OF KEY EMP 139725 SALARY PAID false PEPSI CO DIRECTOR IS OFFICER 226507 PAYMENT FOR GOODS OR SERVICES false LORI LEACHMAN FAMILY MEMBER OF OFFICER 73800 SALARY PAID false DEBORAH JAKUBS FAMILY MEMBER OF KEY EMP 260000 SALARY PAID false FELTON CAPEL FAMILY MEMBER OF TRUSTEE 14736 SALARY PAID false GENZYME DIRECTOR IS OFFICER 149120 PAYMENT FOR GOODS OR SERVICES false JULIETTE TRASK FAMILY MEMBER OF OFFICER 65352 SALARY PAID false HINES GLOBAL OFFICER IS TRUSTEE 7735361 PAYMENT FOR GOODS OR SERVICES false X 18 327392 FMV X 29441 FMV X 524 15022431 FMV X 1 40000 FMV X RECREATIONAL EVENT TICKETS 1811 292809 FMV X MISCELLANEOUS 122 39300 FMV X EQUIPMENT & ELECTRONICS 11 1045634 FMV X ARCHIVED MATERIALS 48 371879 FMV 13 false true true USE OF THIRD PARTIES TO SOLICIT, PROCESS, OR SELL NONCASH CONTRIBUTIONS SCHEDULE M, PART 1, LINE 32B DUKE UNIVERSITY USES INVESTMENT BROKERS TO SELL SECURITIES. DUKE UNIVERSITY MAY OCCASSIONALLY USE THIRD PARTIES TO SELL OTHER TYPES OF NON-CASH CONTRIBUTIONS, AS THE NEED ARISES. UNRELATED BUSINESS GROSS INCOME FORM 990, PART V, LINE 3b THE ORGANIZATION DID NOT HAVE UNRELATED BUSINESS GROSS INCOME OF $1,000 OR MORE DURING THE FISCAL YEAR ENDING JUNE 30, 2011. THEREFORE, FORM 990-T IS NOT REQUIRED FOR THE FISCAL YEAR ENDING JUNE 30, 2011. BUSINESS RELATIONSHIPS PART VI, SECTION A, LINE 2 TRUSTEES BRUCE A. KARSH, G. RICHARD WAGONER, JR., PRESIDENT RICHARD H. BRODHEAD, EXECUTIVE VICE PRESIDENT TALLLMAN TRASK III, AND CHIEF INVESTMENT OFFICER NEAL F. TRIPLETT ARE ALL DIRECTORS OF DUMAC, LLC. TRUSTEE DR. VICTOR J. DZAU AND OFFICER PAMELA J. BERNARD ARE BOTH DIRECTORS OF DURHAM CASUALTY COMPANY, LTD. TRUSTEE DR. VICTOR J. DZAU AND KEY EMPLOYEE J. SCOTT GIBSON ARE BOTH DIRECTORS OF DUKE MEDICAL STRATEGIES, INC. ELECTION OF GOVERNING BODY MEMBERS PART VI, SECTION A, LINE 7A OF THE 36 ELECTED TRUSTEES FOR DUKE UNIVERSITY, TWELVE ARE ELECTED BY THE NORTH CAROLINA CONFERENCE OF THE UNITED METHODIST CHURCH AND ANOTHER TWELVE ARE ELECTED BY THE WESTERN NORTH CAROLINIA CONFERENCE OF THE UNITED METHODIST CHURCH. REVIEW OF 990 BY BOARD PART VI, SECTION B, LINE 11B DUKE UNIVERSITY'S DRAFT FORM 990 IS DISTRIBUTED TO THE AUDIT COMMITTEE OF THE UNIVERSITY TRUSTEES IN ADVANCE OF THE MEETING. AT THE MEETING, THE DUKE UNIVERSITY TAX DIRECTOR, THE PERSON RESPONSIBLE FOR THE PREPARATION OF THE UNIVERSITY'S FORM 990, REVIEWS THE FORM 990 WITH THE COMMITTEE. THE COMMITTEE IS OFFERED AN OPPORTUNITY TO ASK QUESTIONS BOTH AT THE MEETING AND ANYTIME THEREAFTER BY CONTACTING THE TAX DIRECTOR OR DUKE UNIVERSITY'S TAX ATTORNEY, WHO IS ALSO INVOLVED WITH THE PREPARATION OF DUKE UNIVERSITY'S FORM 990. SUBSQUENTLY, A DRAFT FORM 990 IS DISTRIBUTED TO THE FULL BOARD OF TRUSTEES OF THE UNIVERSITY PRIOR TO FILING AND IN ADVANCE OF A MEETING. THERE IS OPPORTUNITY FOR THE TRUSTEES TO ASK QUESTIONS OF THE TAX DIRECTOR AND UNIVERSITY COUNSEL AT THE MEETING OR ANYTIME THEREAFTER. CONFLICT OF INTEREST POLICY PART VI, SECTION B, LINE 12C THE PRESIDENT, OFFICERS, AND EMPLOYEES WITH ADMINISTRATIVE RESPONSIBILITIES SHALL EXERCISE THE UTMOST GOOD FAITH IN ALL TRANSACTIONS TOUCHING UPON THEIR DUTIES TO DUKE UNIVERSITY AND ITS PROPERTY. IN THEIR DEALINGS WITH AND ON BEHALF OF THE INSTITUTION, THEY SHALL BE HELD TO A STRICT RULE OF HONEST AND FAIR DEALINGS BETWEEN THEMSELVES AND THE UNIVERSITY. THEY SHALL NOT USE THEIR POSITIONS, OR KNOWLEDGE GAINED THEREFROM, IN SUCH A WAY THAT A MATERIAL CONFLICT WOULD ARISE BETWEEN THE INTEREST OF THE UNIVERSITY AND THAT OF THE INDIVIDUAL. COMPLIANCE IS MONITORED WITH AN ANNUAL SURVEY. IDENTIFIED CONFLICTS ARE ANALYZED AND MANAGED ACCORDINGLY. COMPENSATION REVIEW PART VI, SECTION B, LINE 15A & 15B AND SCHEDULE J, LINE 3 THE DUKE UNIVERSITY COMPENSATION COMMITTEE, COMPRISED OF MEMBERS OF THE DUKE UNIVERSITY BOARD OF TRUSTEES, REVIEWS AND APPROVES ALL EXECUTIVE COMPENSATION FOR ALL DISQUALIFIED PERSONS AND OTHER KEY EMPLOYEES. DUKE UNIVERSITY HAS ADOPTED A STATEMENT OF COMPENSATION PHILOSOPHY THAT ARTICULATES BROAD OBJECTIVES TO HELP GUIDE THE DUKE UNIVERSITY COMPENSATION COMMITTEE IN ITS MISSION. THE DUKE UNIVERSITY COMPENSATION COMMITTEE ENGAGES THE SERVICES OF AN OUTSIDE EXECUTIVE COMPENSATION CONSULTING FIRM TO ESTABLISH COMPARABILITY DATA OF OTHER UNIVERSITIES OF SIMILAR SIZE AND COMPLEXITY AS DUKE UNIVERSITY. THE DUKE UNIVERSITY COMPENSATION COMMITTEE REVIEWS THE MARKET ANALYSIS THEN DETERMINES THE REASONABLENESS AND APPROPRIATENESS OF ALL ASPECTS OF EXECUTIVE COMPENSATION. THE DELIBERATIONS AND CONCLUSIONS OF THE DUKE UNIVERSITY COMPENSATION COMMITTEE ARE KEPT BY THE UNIVERSITY SECRETARY WHO RECORDS THE MINUTES OF THE COMMITTEE MEETING. GOVERNING DOCUMENTS AVAILABILITY TO PUBLIC PART VI, SECTION C, LINE 19 DUKE UNIVERSITY'S DOCUMENTS (ARTICLES OF INCORPORATION AND ANY SUBSEQUENT AMENDMENTS OR RESTATEMENTS) ARE AVAILABLE TO THE PUBLIC ON THE NORTH CAROLINA SECRETARY OF STATE WEBSITE. DUKE UNIVERSITY MAKES ITS CONFLICT OF INTEREST POLICY AND FINANCIAL STATEMENTS AVAILABLE TO THE PUBLIC ON ITS WEBSITE. DUKE UNIVERSITY'S CONSOLIDATED AUDITED FINANCIAL STATEMENTS ARE LOCATED AT HTTPS://FINANCE.DUKE.EDU/RESOURCES/DOCS/FINANCIAL_REPORTS.PDF AVERAGE HOURS PER WEEK DEVOTED TO RELATED ORGANIZATIONS FORM 990, PART VII, SECTION A, COLUMN B THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO DUKE UNIVERSITY HEALTH SYSTEM, INC. (A RELATED ORGANIZATION OF DUKE UNIVERSITY): THE HONORABLE DANIEL T. BLUE, JR, JACK O. BOVENDER, JR, FRANK E. EMORY, JR, THOMAS M. GORRIE, SUSAN M. STALNECKER, AND NANCY C. ANDREWS MD. RICHARD H. BRODHEAD DEVOTED AN ESTIMATED AVERAGE OF TEN (10) HOURS PER WEEK TO DUKE UNIVERSITY HEALTH SYSTEM, INC. (A RELATED ORGANIZATION OF DUKE UNIVERSITY). VICTOR J. DZAU MD, DEVOTED AN ESTIMATED AVERAGE OF FORTY (40) HOURS PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY HEALTH SYSTEM, INC. B. HOFLER MILAM, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, HIGH POINT REALTY ASSOCIATES, INC. B. HOFLER MILAM, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DURHAM REALTY, INC. BRUCE A. KARSH AND NEAL F. TRIPLETT, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE MANAGEMENT COMPANY. ANN PELHAM AND TALLMAN TRASK, III, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE ALUMNI ASSOCIATION, INC. TALLMAN TRASK, III, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, THE FSB SUPPORT FUND, INC. B. HOFLER MILAM, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE GIFT PROPERTIES, INC. B. HOFLER MILAM AND JAMES S. ROBERTS, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE SCHOLARLY EXHIBITS, INC. J. SCOTT GIBSON, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DURHAM ASSET MANAGEMENT COMPANY, INC. KIMBERLY J. JENKINS, PETER LANGE, AND MARTHA L. MONSERRATE, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, THE LORD FOUNDATION OF NORTH CAROLINA. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE GLOBAL, INC.: PETER LANGE, TALLMAN TRASK, III, B. HOFLER MILAM, JAMES S. ROBERTS, AND J. SCOTT GIBSON. NEAL F. TRIPLETT, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, RELATED ORGANIZATION, DUKE UNIVERSITY SPECIAL VENTURES FUND, INC. NEAL F. TRIPLETT, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, GOTHIC CORPORATION AND GOTHIC HSP CORPORATION. RALPH SNYDERMAN MD, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, RUTH K BROAD BIOMEDICAL RESEARCH FOUNDATION. PETER LANGE AND TALLMAN TRASK, III, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE CORPORATE EDUCATION. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE UNIVERSITY SCHOOL OF MEDICINE RESEARCH FOUNDATION: VICTOR J. DZAU MD, J. SCOTT GIBSON, AND NANCY C. ANDREWS MD. PETER LANGE, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, RESEARCH TRIANGLE INSTITUTE. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE MEDICINE GLOBAL SUPPORT CORPORATION: THOMAS M. GORRIE, VICTOR J. DZAU MD, TALLMAN TRASK, III, AND J. SCOTT GIBSON. JAMES S. ROBERTS, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, THE CENTER FOR DOCUMENTARY STUDIES, INC. VICTOR J. DZAU MD, AND J. SCOTT GIBSON, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DUKE MEDICAL STRATEGIES, INC. THE FOLLOWING INDIVIDUALS LISTED IN PART VII, SECTION A, COLUMN A DEVOTED AN ESTIMATED AVERAGE OF ONE(1) HOUR PER WEEK TO RELATED ORGANIZATION, DUMAC, LLC: G. RICHARD WAGONER, RICHARD H. BRODHEAD, BRUCE A. KARSH, TALLMAN TRASK, III, AND NEAL F. TRIPLETT. RICHARD H. BRODHEAD, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, ATLANTIC COAST CONFERENCE. VICTOR J. DZAU MD, AND PAMELA J. BERNARD, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DURHAM CASUALTY COMPANY, LTD. VICTOR J. DZAU MD, LISTED IN PART VII, SECTION A, COLUMN A, DEVOTED AN ESTIMATED AVERAGE OF ONE (1) HOUR PER WEEK TO RELATED ORGANIZATION, DAVID H. MURDOCK RESEARCH INSTITUTE. CHANGES IN NET ASSETS OR FUND BALANCES FORM 990, PART XI, LINE 5 UNREALIZED GAINS $ 978,068,485 CHANGES IN PERPETUAL TRUSTS & SPLIT INT AGREEMENTS 111,608,000 NONPERIODIC CHANGES IN BENEFIT PLANS 99,563,000 TRANSFER FROM DUHS 51,000,000 CHANGES RELATED TO MINORITY INTEREST 317,713,000 OTHER CHANGES (4,624,540) ============== $1,553,330,945 TAX-EXEMPT BONDS FORM 990, SCHEDULE K, PART 1(C) CUSIP NUMBER OF TAX-EXEMPT BONDS BOND ISSUE (C): FORM 8038 LISTS THE CUSIP NUMBER AS 65819GEQ7, 65819GER5, 65819GES3. ALL CUSIPS HAVE THE SAME MATURITY DATE. BOND ISSUE (A2): FORM 8038 LISTS THE CUSIP NUMBER AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE ISSUE CLOSED ON 6/16/2011 AND ONLY CUSIP 65818NQG2 WAS OUTSTANDING AS OF 6/30/2011 UNDER THE NEW ISSUE. TAX-EXEMPT BONDS FORM 990, SCHEDULE K, PART 1(E) BOND ISSUE (A2): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($375,677,000) AND FIRST GENERATION CURRENT REFUNDING COMMERICAL PAPER NOTES ($21,038,000) THAT CAN BE ISSUED PURSUANT TO THIS COMMERCIAL PAPER PROGRAM. TAX-EXEMPT BONDS FORM 990, SCHEDULE K, PART 1(F) PURPOSE OF TAX-EXEMPT BONDS BOND ISSUE (A): TO (1) REFUND $69,038,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED MARCH 17, 2005 TO PROVIDE INTERIM FINANCING FOR CONSTRUCTING AND EQUIPPING FOUR PROJECTS LOCATED ON THE WEST CAMPUS OF DUKE UNIVERSITY (2005A PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2005A PROJECTS. BOND ISSUE (B): TO (1) REFUND THE OUTSTANDING 1996B BONDS ISSUED 7/9/1996, (2) REFUND A PORTION OF THE 2001A BONDS ISSUED 1/8/2002, (3) REFUND $92,699,000 AGGREGATE PRINCIPAL AMOUNT OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 9/18/2006 AND $3,260,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 20 PROJECTS LOCATED ON THE WEST AND EAST CAMPUS OF DUKE UNIVERSITY (2006A PROJECTS), AND (4) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF COST OF CONSTRUCTING AND EQUIPPING THE 2006A PROJECTS. BOND ISSUE (C): TO REFUND THE OUTSTANDING 2002A BONDS ISSUED 7/30/2002. BOND ISSUE (D): TO (1) REFUND $104,184,000 AGGREGATE PRINCIPAL OF TAX-EXEMPT COMMERCIAL PAPER NOTES ISSUED 5/13/2008 AND $5,384,000 OF TAXABLE COMMERCIAL PAPER NOTES ISSUED TO PROVIDE INTERIM FINANCING FOR CONSTRUCTION AND EQUIPPING 28 PROJECTS LOCATED ON WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY (2009B PROJECTS), AND (2) PAY AND REIMBURSE THE UNIVERSITY FOR PAYING A PORTION OF THE COST OF CONSTRUCTING AND EQUIPPING THE 2009B PROJECTS. BOND ISSUE (E): COMMERCIAL PAPER PROGRAM, THE PURPOSES OF WHICH ARE TO (1) REFUND COMMERCIAL PAPER NOTES ISSUED UNDER A PRIOR PROGRAM WITH AN ISSUE DATE OF 12/15/2009, AND (2) FINANCE PROJECTS ON THE WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY TAX-EXEMPT BONDS FORM 990, SCHEDULE K, PART II, LINE 13 BOND ISSUE (D): NO YEAR IS PROVIDED AT THIS TIME, BECAUSE NOT ALL PROJECTS ARE SUBSTANTIALLY COMPLETE. BOND ISSUE (A2): NO YEAR IS PROVIDED AT THIS TIME, BECAUSE NOT ALL PROJECTS ARE SUBSTANTIALLY COMPLETE. TAX-EXEMPT BONDS FORM 990, SCHEDULE K, PART IV LINE 4D BOND ISSUE (B): ONLY TWO BIDS WERE RECEIVED FROM SIX PROVIDERS SOLICITED. LINE 6 BOND ISSUE (A2): SALES PROCEEDS ALLOCATED UPON ISSUANCE AND NOT INVESTED. ORGANIZATION'S MISSION FORM 990, PART III, LINE 1 "JAMES B. DUKE FOUNDING INDENTURE OF DUKE UNIVERSITY DIRECTED THE MEMBERS OF THE UNIVERSITY TO 'PROVIDE REAL LEADERSHIP IN THE EDUCATIONAL WORLD' BY CHOOSING INDIVIDUALS OF 'OUTSTANDING CHARACTER, ABILITY, AND VISION' TO SERVE AS ITS OFFICERS, TRUSTEES AND FACULTY; BY CAREFULLY SELECTING STUDENTS OF 'CHARACTER, DETERMINATION AND APPLICATION;' AND BY PURSUING THOSE AREAS OF TEACHING AND SCHOLARSHIP THAT WOULD 'MOST HELP TO DEVELOP OUR RESOURCES, INCREASE OUR WISDOM, AND PROMOTE HUMAN HAPPINESS.' "TO THESE ENDS, THE MISSION OF DUKE UNIVERSITY IS TO PROVIDE A SUPERIOR LIBERAL EDUCATION TO UNDERGRADUATE STUDENTS, ATTENDING NOT ONLY TO THEIR INTELLECTUAL GROWTH BUT ALSO THEIR DEVELOPMENT AS ADULTS COMMITTED TO HIGH ETHICAL STANDARDS AND FULL PARTICIPATION AS LEADERS IN THEIR COMMUNITIES; TO PREPARE FUTURE MEMBERS OF THE LEARNED PROFESSIONS FOR LIVES OF SKILLED AND ETHICAL SERVICE BY PROVIDING EXCELLENT GRADUATE AND PROFESSIONAL EDUCATION; TO ADVANCE THE FRONTIERS OF KNOWLEDGE AND CONTRIBUTE BOLDLY TO THE INTERNATIONAL COMMUNITY OF SCHOLARSHIP; TO PROMOTE AN INTELLECTUAL ENVIRONMENT BUILT ON A COMMITMENT TO FREE AND OPEN INQUIRY; TO HELP THOSE WHO SUFFER, CURE DISEASE, AND PROMOTE HEALTH, THROUGH SOPHISTICATED MEDICAL RESEARCH AND THOUGHTFUL PATIENT CARE; TO PROVIDE WIDE RANGING EDUCATIONAL OPPORTUNITES, ON AND BEYOND OUR CAMPUSES, FOR TRADITIONAL STUDENTS, ACTIVE PROFESSIONALS AND LIFE-LONG LEARNERS USING THE POWER OF INFORMATION TECHNOLOGIES; AND TO PROMOTE A DEEP APPRECIATION FOR THE RANGE OF HUMAN DIFFERENCE AND POTENTIAL, A SENSE OF THE OBLIGATIONS AND REWARDS OF CITIZENSHIP, AND A COMMITMENT TO LEARNING, FREEDOM AND TRUTH. "BY PURSUING THESE OBJECTIVES WITH VISION AND INTEGRITY, DUKE UNIVERSITY SEEKS TO ENGAGE THE MIND, ELEVATE THE SPIRIT, AND STIMULATE THE BEST EFFORT OF ALL WHO ARE ASSOCIATED WITH THE UNIVERSITY; TO CONTRIBUTE IN DIVERSE WAYS TO THE LOCAL COMMUNITY, THE STATE, THE NATION AND THE WORLD; AND TO ATTAIN AND MAINTAIN A PLACE OF REAL LEADERSHIP IN ALL THAT WE DO." 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ONLY THOSE ENTITIES WHERE THE FILING ORGANIZATION HAS DIRECT OWNERSHIP INCLUDE THE DETAILS OF INCOME, ASSETS AND OWNERSHIP PERCENTAGE. PLEASE REFER TO THE SUPPORTING ORGANIZATIONS' FORM 990S FOR MORE DETAILS ON THEIR RESPECTIVE DIRECT OWNERSHIP PERCENTAGE.