2011-05-16T13:30:18-05:00 2010-06-30 990 2009-07-01 560532129 DUKE UNIVERSITY DUKE 9196842006 324 BLACKWELL STREET DUKE BOX 10 DURHAM NC 27701 TALLMAN TRASK III 2011-05-04 2009 2016-02-24 21:20:13Z X RICHARD BRODHEAD 324 BLACKWELL STREET DURHAM NC 27701 14285916052 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. 36 29 26773 0 0 1004165159 1131249755 717523039 744856946 -131513316 259133753 44099254 42999116 1634274136 2178239570 208375154 229904961 0 0 1204056373 1221532256 0 0 24142680 882084587 895079957 2294516114 2346517174 -660241978 -168277604 8920329845 9378030720 2799520463 2968970088 6120809382 6409060632 "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 false false 1267990342 196478314 577682285 DUKE UNIVERSITY CONFERS UNDERGRADUATE, GRADUATE, AND PROFESSIONAL DEGREES TO APPROXIMATELY 4300 STUDENTS ANNUALLY 720117744 30929292 586089845 DUKE UNIVERSITY ENGAGES IN WORLD-RENOWNED RESEARCH WORK SPONSORED BY NUMEROUS FEDERAL, STATE, AND LOCAL AGENCIES 176075685 2497355 91591676 DUKE UNIVERSITY AUXILIARY ENTERPRISES PROVIDE SUPPORT SERVICES TO THE DUKE UNIVERSITY COMMUNITY 2164183771 true true false true false false true false true true 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 true 9530 0 true 26773 true false true SP EC IT GM UK SN CH false false false true true true 1 false false false 36 29 true false false false false true false true true false false true true true true true true true true true false AK AZ CA DC HI MD MA MI NH NJ NY OR SC WA X X DUKE UNIVERSITY 9196842006 324 BLACKWELL ST SUITE 920 DURHAM NC 27701 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 40.0 X X 786745 0 90825 PAULA PHILLIPS BURGER 1.0 X 0 0 0 PAULA HANNAWAY CROWN 1.0 X 0 0 0 FRANK E EMORY JR 1.0 X 0 0 0 ROBIN A FERRACONE 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 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 NANCY A NASHER 1.0 X 0 0 0 CLARENCE G NEWSOME 1.0 X 0 0 0 DAVID M RUBENSTEIN 1.0 X 0 0 0 ALAN D SCHWARTZ 1.0 X 0 0 0 REVEREND CHARLES M SMITH 40.0 X 30000 0 0 SUSAN M STALNECKER 1.0 X 0 0 0 G RICHARD WAGONER JR 1.0 X 0 0 0 BENJAMIN S ABRAM 1.0 X 0 0 0 XIQING GAO 1.0 X 0 0 0 RALPH EADS III 1.0 X 0 0 0 PAUL FARMER 1.0 X 0 0 0 PETER J KAHN 1.0 X 0 0 0 MARTHA L MONSERRATE 1.0 X 0 0 0 ANN PELHAM 1.0 X 0 0 0 RYAN TODD 1.0 X 0 0 0 XING ZONG 20.0 X 23842 0 0 PAMELA J BERNARD 40.0 X 401877 0 44478 VICTOR J DZAU MD 40.0 X 3073381 0 200764 PETER H LANGE 40.0 X 505164 18250 36909 TALLMAN TRASK III 40.0 X 532672 0 44951 RICHARD V RIDDELL 40.0 X 270869 0 36275 B HOFLER MILAM 40.0 X 342362 0 43029 KEMEL DAWKINS 40.0 X 350672 0 44951 JAMES S ROBERTS 40.0 X 297165 0 65310 NEAL TRIPLETT 40.0 X 682076 0 570916 J SCOTT GIBSON 40.0 X 481210 0 46812 NANCY C ANDREWS 40.0 X 588036 0 40472 ALICE E GOULD 40.0 X 258026 0 68743 ANDERS W HALL 40.0 X 417299 0 136751 GEORGE L MCLENDON 40.0 X 370155 0 41724 ANDREAS RITTER 40.0 X 359016 0 39365 JOHN NOONAN 40.0 X 247711 0 44951 DAVID N CUTCLIFFE 40.0 X 1715027 0 45160 MICHAEL W KRZYZEWSKI 40.0 X 4263991 0 431724 RALPH SNYDERMAN 40.0 X 1031750 0 43296 KEVIN M WHITE 40.0 X 847555 0 59605 GAVIN BRITZ 40.0 X 761542 0 37573 DAVID B ADCOCK 0.5 X 141527 0 29602 18779670 18250 2244186 1993 true true false BOVIS LEND LEASE INC PO BOX 32755 CHARLOTTE NC 282322755 CONSTRUCTION SERVICE 35250647 BALFOUR BEATTY 5420 WADE PARK BLVD STE 200 RALEIGH NC 27607 CONSTRUCTION SERVICE 15741070 LECHASE CONSTRUCTION 324 BLACKWELL STREET SUITE 1200 DURHAM NC 27701 CONSTRUCTION SERVICE 16740941 UNIVERSITY OF NORTH CAROLINA 104 AIRPORT DR SUITE 2200 CHAPEL HILL NC 275991350 RESEARCH 9489712 PAREXEL INTERNATIONAL 5239 PAYSPHERE CIRCLE CHICAGO IL 60674 CONSULTING SERVICE 12452345 597 4752280 87070875 579002585 460424015 4095441 1131249755 TUITION AND FEES 611600 527996523 527996523 CONFERENCE FEES 611600 7566880 7566880 CONTINUING EDUCATION 611600 42118882 42118882 ACADEMIC MEDICAL RESEARCH 611600 7087260 7087260 ANCILLARY STUDENT SERVICES 611600 91591676 91591676 68495725 68495725 744856946 75877067 75877067 469558 469558 17829391 17829391 6266755 3810998 2455757 2455757 2455757 12284722466 106422 12100169000 1872760 184553466 -1766338 182787128 182787128 1037567 4752280 1823724 -786157 -786157 0 0 MISC. SALES 900099 5940459 5940459 STUDENT DUES 900099 1886133 1886133 VARIOUS FEES AND FINES 900099 1909328 1909328 13764205 13764205 23500125 2178239570 768357071 0 278632744 1815396 1815396 227321557 227321557 768008 768008 0 10713466 680584 4272510 5760372 818479 478329 340150 0 912619847 792294884 112530801 7794162 59909269 49724693 8986390 1198186 166500578 138205717 26226883 2067978 70970617 61034730 9226180 709707 0 0 0 0 3777980 -1992802 5762993 7789 751508 257878 493630 0 0 0 0 0 0 0 17221745 0 17221745 0 116477685 89029781 25247652 2200252 3621201 3497709 0 123492 101214445 51493672 49180396 540377 0 0 0 0 24060139 15414411 8645728 0 110546792 105231279 5011516 303997 48390695 45866905 1666035 857755 2368 0 2368 0 28154453 22281130 3480875 2392448 84179448 57514170 26665278 0 8173129 8173129 0 0 170741373 159640163 11101210 0 10128699 10120206 0 8493 POSTAGE & SHIPPING 6444242 5130665 894906 418671 EQUIPMENT RENTAL & MAINTANANCE 56495506 27377543 28776701 341262 PRINTING & PUBLICATION 11288326 8494954 2443298 350074 OTHER 72772139 267109375 -193386713 -950523 COST OF GOODS SOLD 20638084 17219705 3400191 18188 2346517174 2164183771 158190723 24142680 146777497 149162129 405841762 282238452 101421272 120619586 45245449 42626126 18918329 17294810 88927730 63408408 3486122630 1766744057 1719313706 1719378573 1174268000 1309282148 4602711596 5079099000 616904504 594921488 8920329845 9378030720 258211177 246395009 188441456 191019725 1091930000 1090590000 6660000 6510000 792910356 790190512 461367474 644264842 2799520463 2968970088 X 2630017800 2782818260 1481975979 1607026888 2008815603 2019215484 6120809382 6409060632 8920329845 9378030720 X false true true X true true X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 0 0 0 false true false false false false true 163465 false true 25009 188474 false false MEMBERSHIP DUES SCHEDULE C, PART II-B, LINE 1I DUKE UNIVERSITY PAYS MEMBERSHIP DUES TO OTHER ORGANIZATION. PER THE MEMBERSHIP DUES INVOICES, SOME OF THESE ORGANIZATIONS PROVIDE A DISCLOSURE OF LOBBYING PERCENTAGE OF THE DUES RECEIVED. 71413 29545634 0 0 X X X true 4430172000 86145000 530625628 55616571 189275057 4802051000 6112750000 73482915 -1506464915 52113849 197482151 4430172000 0.32000 0.68000 true true true 23016502 23016502 2297092977 1005497317 1291595660 130548061 71940269 58607792 579187318 410323397 168863921 456277772 278983074 177294698 1719378573 SHORT TERM INVESTMENTS 258921000 F US GOVERNMENT SECURITIES 4320000 F REAL ESTATE 607856000 F LONG TERM NOTES 122692000 F DOMESTIC STOCKS 424144000 F INTERNATIONAL STOCKS 1018446000 F LONG TERM NOTES 75635000 F PRIVATE INVESTMENTS 868820000 F HEDGE STRATEGIES 1053817000 F OTHER INVESTMENTS 71629000 F REAL ASSETS 572819000 F 5079099000 DEPOSITS WITH BOND TRUSTEE 19403509 INTEREST IN PERPETUAL TRUST 575517979 594921488 0 OBLIGATIONS 41330735 OBLIGATIONS 207964956 FUNDS HELD FOR OTHERS 35055293 CONDITIONAL ASSET RETIREMENT 35789045 MINORITY INTEREST 264898338 REFUNDABLE FEDERAL STUDENT LOANS 59226475 644264842 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, 2010. true true true DUKE UNIVERSITY PROHIBITS DISCRIMINATION AND HARASSMENT IN ALL ASPECTS OF EDUCATION AND EMPLOYMENT; AND PROVIDES EQUAL EMPLOYMENT OPPORTUNITY WITHOUT REGARD TO RACE, COLOR, RELIGION, NATIONAL ORIGIN, DISABILITY, VETERAN STATUS, SEXUAL ORIENTATION, GENDER IDENTITY, SEX, OR AGE. DUKE IS COMMITTED TO AND MAKES EVERY GOOD FAITH EFFORT TO RECRUIT, HIRE, AND PROMOTE QUALIFIED MINORITIES, WOMEN, INDIVIDUALS WITH DISABILITIES, AND VETERANS. IN ACCORDANCE WITH TITLE IX OF THE EDUCATION AMENDMENT OF 1972, DUKE PROHIBITS DISCRIMINATION ON THE BASIS OF SEX IN ALL OF ITS EDUCATIONAL PROGRAMS AND ACTIVITIES. 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. ALL RECRUITING ADVERTISEMENTS STATE THAT THE UNIVERSITY IS AN EQUAL OPPORTUNITY/AFFIRMATIVE ACTION EMPLO true true true true false false false false false false false false true false 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 true true Central America and the Caribbean 0 5 Fundraising 7743 Central America and the Caribbean 0 1 Grantmaking 22635 Central America and the Caribbean 1 26 Program Services RESEARCH 99482 Central America and the Caribbean 3 67 Program Services STUDY ABROAD 190862 Central America and the Caribbean 0 0 Send agents to seminar 99077 East Asia and the Pacific 0 58 Fundraising 333021 East Asia and the Pacific 0 0 Grantmaking 15661 East Asia and the Pacific 1 64 Program Services RESEARCH 488090 East Asia and the Pacific 1 101 Program Services STUDY ABROAD 1483341 East Asia and the Pacific 0 0 Send agents to seminar 1607723 Europe (Including Iceland and Greenland) 0 44 Fundraising 128118 Europe (Including Iceland and Greenland) 0 2 Grantmaking 11201 Europe (Including Iceland and Greenland) 0 0 Program Services DONATION OF EQUIPMENT 79190 Europe (Including Iceland and Greenland) 1 332 Program Services RESEARCH 824739 Europe (Including Iceland and Greenland) 1 10 Program Services STUDY ABROAD 3405536 Europe (Including Iceland and Greenland) 0 0 Send agents to seminar 3496384 Middle East and North Africa 0 3 Fundraising 29678 Middle East and North Africa 0 24 Program Services RESEARCH 179379 Middle East and North Africa 1 37 Program Services STUDY ABROAD 933026 Middle East and North Africa 0 0 Send agents to seminar 160003 North America 0 8 Fundraising 8563 North America 0 65 Program Services RESEARCH 68024 North America 2 13 Program Services STUDY ABROAD 154332 North America 0 0 Send agents to seminar 342101 Russia and the Newly Independent States 0 1 Fundraising 7287 Russia and the Newly Independent States 0 10 Program Services RESEARCH 80644 Russia and the Newly Independent States 2 23 Program Services STUDY ABROAD 346648 Russia and the Newly Independent States 0 0 Send agents to seminar 55648 South America 0 4 Fundraising 3681 South America 0 0 Grantmaking 1000 South America 0 50 Program Services RESEARCH 168891 South America 0 10 Program Services STUDY ABROAD 158647 South America 0 0 Send agents to seminar 322123 South Asia 0 7 Fundraising 129319 South Asia 0 0 Grantmaking 7100 South Asia 0 49 Program Services RESEARCH 299635 South Asia 1 50 Program Services STUDY ABROAD 930679 South Asia 0 0 Send agents to seminar 247438 Sub-Saharan Africa 0 26 Fundraising 9601 Sub-Saharan Africa 0 0 Grantmaking 622536 Sub-Saharan Africa 0 0 Program Services DONATION OF EQUIPMENT 695 Sub-Saharan Africa 0 18 Program Services EDUCATION/RESEARCH 36911 Sub-Saharan Africa 2 91 Program Services RESEARCH 519394 Sub-Saharan Africa 0 40 Program Services STUDY ABROAD 270680 Sub-Saharan Africa 0 0 Send agents to seminar 502653 16 1239 18889119 Cent. America/Caribbean BUILD CLINIC 20295 BUILD CLINIC FMV Europe/Iceland/Greenland GENERAL SUPPORT 15175 WIRE Sub-Saharan Africa MEDICAL EQUIPMENT 79190 EQUIPMENT FMV South Asia GENERAL SUPPORT 7100 WIRE Sub-Saharan Africa BUILD SCHOOL 127705 WIRE Sub-Saharan Africa BULD SCHOOL 24610 INSURANCE FMV Sub-Saharan Africa BUILD SCHOOL 347658 WIRE Sub-Saharan Africa GENERAL SUPPORT 68000 WIRE Cent. America/Caribbean COMPUTER EQUIPMENT 6500 COMP. EQUIP FMV Sub-Saharan Africa MEDICAL SUPPORT 71775 MED. EQUIP FMV 11 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. 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GENERAL SUPPORT LINCOLN MEMORIAL BAPTIST CHURCH 1500 S ROXBORO ST DURHAM NC 27707 561750968 501(C)(3) 7000 FMV COMPUTER EQUIPMENT GENERAL SUPPORT THE LOVE CENTER 3509 N DUKE ST DURHAM NC 27704 501(C)(3) 7112 FMV COMPUTER EQUIPMENT GENERAL SUPPORT MILLBROOK ELEMENTARY 3317 DERBYSHIRE PLACE RALEIGH NC 27604 561137759 501(C)(3) 7480 FMV COMPUTER EQUIPMENT GENERAL SUPPORT MOUNT ZION CHRISTIAN CHURCH 3519 FAYETTEVILLE ST DURHAM NC 27707 561443711 501(C)(3) 7000 FMV COMPUTER EQUIPMENT GENERAL SUPPORT MUSTARD SEED 1405 NEW BERN AVE RALEIGH NC 27610 561765360 501(C)(3) 7000 FMV COMPUTER EQUIPMENT GENERAL SUPPORT NORTHERN ORANGE EMPOWERMENT GROUP 4515 ORANGE GROVE RD HILLSBOROUGH NC 27278 721557400 501(C)(3) 7000 FMV COMPUTER EQUIPMENT GENERAL SUPPORT OE ENTERPRISES INC ELIZABETH BRADY RD HILLSBOROUGH NC 27278 570740781 501(C)(3) 11901 FMV FURNITURE/EQUIPMENT GENERAL SUPPORT OXFORD HOUSE 203 PEKOE ST DURHAM NC 27707 521582231 501(C)(3) 7227 FMV COMPUTER EQUIPMENT GENERAL SUPPORT PINES COMMUNITY CENTER INC 107 JOHNSON ST CHAPEL HILL NC 27514 561898531 501(C)(3) 6500 FMV COMPUTER EQUIPMENT GENERAL SUPPORT SHAW UNIVERSITY 118 E SOUTH ST RALEIGH NC 27601 560530235 501(C)(3) 61967 FMV FURNITURE GENERAL SUPPORT STAR FOUNDATION 7805 SENTER FARM RD APEX NC 27539 651175267 501(C)(3) 7061 FMV COMPUTER EQUIPMENT GENERAL SUPPORT TRAINING FOR SUCCESS 121 HUNT ST DURHAM NC 27701 753064545 501(C)(3) 5850 FMV COMPUTER EQUIPMENT GENERAL SUPPORT TROSA 1820 JAMES ST DURHAM NC 27707 561861158 501(C)(3) 34756 FMV FURNITURE GENERAL SUPPORT WARREN COUNTY TRAINING SCHOOL PO BOX 549 NORLIN NC 27563 561768226 501(C)(3) 7945 FMV COMPUTER EQUIPMENT GENERAL SUPPORT WASHINGTON COUNTY REGIONAL MEDICAL CTR 610 SPARTA RD SANDERSVILLE GA 32810 GOV'T ENTITY 11328 FMV FURNITURE GENERAL SUPPORT WORLD HARVEST INTERNATIONAL FELLOWSHIP 1230 AVONDALE DR DURHAM NC 27703 521837602 501(C)(3) 6980 FMV COMPUTER EQUIPMENT GENERAL SUPPORT 62 5 2009 TEAM WORK AWARD 10 1000 NATHAN AWARD 1 2500 GLOBAL VENT CHALLENGE AWARD 1 1250 2009 DURDENT PRIZE 4 3000 LP SMITH AWARD IN MATHEMATICS 08-09 2 5000 DISSERTATION AWARD 08-09 1 1563 PROPOSAL AWARD 08-09 1 781 OUTSTANDING DEPARTMENTAL SERVICE AWARD 08-09 1 781 2009 MIDDLESWORTH AWARD 7 4000 OUTSTANDING TEACHING ASSISTANTSHIP AWARD 1 500 OUTSTANDING MASTER'S THESIS AWARD 08-09 1 500 OUTSTANDING RESEARCH AWARD 08-09 1 250 BEST AWARD PRIZE WINNER 2009 1 6250 DAMON RUNYON AWARD 1 2000 2009 GRAD STUDENT SYMPOSIUM WEBSITE DESIGN 1 150 SPEAKER AWARD 9 1000 COVER ART AWARD 4 484 NATHAN AWARD 1 2500 SPEECH CONTEST 2 150 POSTER AWARD 25 4088 EMERGENCY GRANT 1 1500 AWARD 3 650 DART AWARD 2 781 WOMEN'S AWARD 1 500 ELEVATOR PITCH WINNER 14 3250 HEALTH SERVICE WINNER 1 100 CASE BOWL WINNER 12 3500 ELECTRICAL COMPUTER & ENGINEERING AWARD 2 150 WINTER FORUM START UP COMPETITION 10 2564 IBM CASE COMPETITION 18 7495 LASA CASE COMPETITION 2 5000 CC ANNUAL MEETING AWARD 1 500 DUKE HONOR COUNCIL SPRING ESSAY CONTEST 2 750 BLUE DEVIL WEEKEND AWARD 1 184 LOUIS SUDLER PRIZE 1 2000 MERIT AWARD 1 1000 RESEARCH PROJECT AWARD 5 4796 ERNESTINE FRIEDL AWARD 3 4000 DORA ANNE LITTLE SERVICE AWARD 1 1500 DUKE HONOR COUNCIL ART CONTEST AWARD 4 500 GENDER & RACE RESEARCH MERIT AWARD 1 1000 ALEX COHEN AWARD 2 3450 OUTSTANDING STUDENT AWARD 9 4975 UTKU AWARD 3 853 WILLIAM KLENZ AWARD 1 225 HENRY SCHUMAN MUSIC PRIZE 1 350 JULIA WILKINSON MUELLER PRIZE 1 300 JAMESON JONES PREACHING AWARD 3 1500 MCMURRY RICHEY AWARD 5 750 TRAVEL AWARD 5 9900 2010 GRADUATION DEAN'S RECOGNITION AWARD 1 200 THOMAS JEFFERSON AWARD 1 250 DUKE RELAY LIFE SPONSORSHIP 1 500 JUDITH MCDADE PRIZE 1 100 JOHN HOPE FRANKLIN AWARD 6 6000 PAUL FARMER AWARD 1 156 STUDENT IMPACT AWARD 1 100 VISUAL STUDIES INITIATIVE AWARD 2 600 VISUAL ART AWARD 2 600 SUE & LEE NOEL AWARD 2 600 NANCY KANEB ART HISTORY AWARD 2 600 ESSAY AWARD 4 1000 STUDY POSTER SESSION AWARD 3 323 SHERRERD AWARD 09-10 1 781 09-10 SEAGER AWARD 2 1281 09-10 VAIL AWARD 5 2500 TEACHERS ASSISTANT AWARD 9 1500 DANCE AWARD 2 500 VIDEO CONTEST 4 6300 HAL BRODY AWARD 1 250 SARA LABOSKEY MEMORIAL FUND 2 1000 AWARD HIGHEST THESIS HONORS 2 400 TERRY WELBY TYLER JR AWARD 1 1000 SCHUTTE SENIOR AWARD 1 1000 ANNE FLEXNER MEMORIAL AWARD 3 1500 DEAN'S AWARD 1 3000 RELAY LIFE EVENT PRIZES 1 262 JULIA HARPER AWARD 1 500 OUTSTANDING ABSTRACT FOR RESEARCH DAY AWARD 1 500 ALLEN STARLING JOHNSON JR POSTER AWARD 7 2625 AMI OUTSTANDING FILMAKER AWARD 1 500 IRON CHEF COMPETITION 1 220 2010 SMARTHOME INNOVATION PRIZE 3 225 MOST ORIGINAL THESIS AWARD 1 250 DANCE PROJECT AWARD 3 750 STAY IN FOCUS FOLLOW UP GRANT 1 500 CRITICAL ESSAY AWARD 1 250 STANLEY E FISH AWARD 1 250 AMERICAN LITERATURE AWARD 1 250 2010 ELI SUMMER LEADERSHIP AWARD 3 7350 BH SMITH AWARD 1 390 HOLTON PRIZE WINNER 5 1700 MEMS FACULTY AWARD 1 100 PI TAU SIGMA AWARD 3 300 KARL MENGER AWARD 10 2047 JULIA DALE AWARD 6 1340 DUKE START UP CHALLENGE WINNER 11 12000 TEACHING AWARD 1 350 ALDEN AWARD 1 250 GRADER AWARD 2 500 PILKINGTON MEM. AWARD 1 500 LEONARDO DA VINCI AWARD 3 600 HELMHOLTZ AWARD 2 400 BME EXCELLENCE IN MS STUDIES AWARD 1 300 LANGUAGE STUDY IN INDIA AWARD 1 500 RARE MUSIC COMPETITION 2 200 2010 MARY MCLEOD BETHUNE WRITING AWARD 4 450 COLE DISSERTATION COMPETITION 3 1500 SPRING CASENOTE WRITING COMPETITION 13 2500 HORSE SHOW PRIZE 15 8260 2009 FITZGERALD POSTER AWARD 1 150 2010 DEANS RECOGNITION AWARD 4 800 2010 RESEARCH CAREER DAY AWARD 1 500 AA PRESIDENT INTERNATIONAL AWARD 1 250 DNP OUTSTANDING CAPSTONE PROJECT AWARD 1 250 NCCSAS AWARD 3 725 CERMAK MDRS AWARD 2 1000 BRUCE J HEIM FND LEADERSHIP MERIT AWARD 2 2000 DISSERTATION AWARD 1 250 FOERSTER PRIZE 2 1250 FUQUA START UP AWARD 1 250 2009 GLOBAL VENTURE CHALLENGE AWARD 2 3203 GRAND CHALLENGE POSTER PRIZE 1 100 HAAS ESSAY PRIZE 1 1200 INTER GREEK COUNCIL SCHOLARSHIP AWARD 1 1000 COY JANTZ FELLOWSHIP 2 4500 JOHN HOPKIN FRANKLIN PROGRAM AWARD 2 500 KARL E ZENER AWARD 2 200 MAX KADE PRIZE 1 1500 MELOSH AWARD 1 781 OUTSTANDING ACHIEVEMENT AWARD 1 500 DUKE CHAPEL PATHWAYS LILLY FELLOWS 1 500 REIMBURSEMENT OF MEDICAL COPAY ASSISTANCE 1 620 SCRIPPS NATIONAL BEE 1 2620 SMDB BEST PAPER AWARD 1 500 UG RESEARCH AWARD 2 750 UTILITY BILL ASSISTANCE 4 484 WERC AWARD 5 5000 UNDERGRADUATE SCHOLARSHIPS 3509 94190155 GRADUATE SCHOLARSHIPS 3019 52919969 PRE-DOCTORIAL SCHOLARSHIPS 2492 32997588 UNDERGRADUATE ATHLETIC SCHOLARSHIPS 386 10080182 2029327 FMV ROOM & BOARD GRADUATE ATHLETIC SCHOLARSHIPS 9 98547 16327 FMV ROOM & BOARD INTERNSHIP STIPEND 39 220856 GRADUATE STIPEND 1189 17569902 PRE-DOCTORAL STIPEND 41 217472 UNDERGRADUATE STIPEND 159 1504572 POSTDOCTORAL STIPEND 24 298436 GRADUATE TUITION SCHOLARSHIP 37 341433 PRE-DOCTORAL TUITION SCHOLARSHIP 1 8952 UNDERGRADUATE TUITION PAYMENT 12 25341 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 PAMELA J BERNARD 385377 0 0 0 16500 0 30128 0 15083 0 447088 0 0 0 KEMEL DAWKINS 301172 0 33000 0 16500 0 30128 0 15391 0 396191 0 0 0 VICTOR J DZAU MD 1020248 0 2037328 0 15805 0 188378 0 14407 0 3276166 0 1045000 0 PETER H LANGE 488664 18250 0 0 16500 0 30128 0 7717 0 543009 18250 0 0 JAMES S ROBERTS 297165 0 0 0 0 0 30128 0 35742 0 363035 0 0 0 TALLMAN TRASK III 516172 0 0 0 16500 0 30128 0 15813 0 578613 0 0 0 NEAL TRIPLETT 427899 0 237677 0 16500 0 559314 0 12429 0 1253819 0 81667 0 J SCOTT GIBSON 338304 0 126406 0 16500 0 30128 0 17325 0 528663 0 0 0 RICHARD V RIDDELL 254369 0 0 0 16500 0 30128 0 6623 0 307620 0 0 0 RICHARD H BRODHEAD 753273 0 0 0 33472 0 30128 0 62151 0 879024 0 0 0 DAVID B ADCOCK 141527 0 0 0 0 0 17258 0 12599 0 171384 0 0 0 NANCY C ANDREWS 448220 0 123316 0 16500 0 30128 0 11200 0 629364 0 0 0 ALICE E GOULD 229634 0 28392 0 0 0 68743 0 439 0 327208 0 15188 0 ANDERS W HALL 241519 0 159280 0 16500 0 125345 0 13445 0 556089 0 59792 0 GEORGE L MCLENDON 370155 0 0 0 0 0 30128 0 12320 0 412603 0 0 0 ANDREAS RITTER 174532 0 37146 0 147338 0 30128 0 9573 0 398717 0 32813 0 DAVID N CUTCLIFFE 1392666 0 302186 0 20175 0 30128 0 17740 0 1762895 0 0 0 MICHAEL W KRZYZEWSKI 1978031 0 2222543 0 63417 0 420128 0 15451 0 4699570 0 675000 0 RALPH SNYDERMAN 1029171 0 0 0 2579 0 30128 0 15163 0 1077041 0 0 0 KEVIN M WHITE 775920 0 315 0 71320 0 30128 0 30976 0 908659 0 0 0 B HOFLER MILAM 325862 0 0 0 16500 0 30128 0 13518 0 386008 0 0 0 JOHN NOONAN 247711 0 0 0 0 0 30128 0 15304 0 293143 0 0 0 GAVIN BRITZ 521542 0 240000 0 0 0 30128 0 8488 0 800158 0 0 0 CHARTER TRAVEL SCHEDULE J, PART 1, LINE 1A MICHAEL KRYZYZEWSKI AND DAVID CUTCLIFFE HAVE 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 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 BRODHEAD, DAVID CUTCLIFFE, MICHAEL KRZYZEWSKI, AND KEVIN 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 BRODHEAD WAS PROVIDED WITH ON CAMPUS LIVING FACILITIES AS A CONDITION OF EMPLOYMENT AND FOR THE CONVENIENCE OF THE UNIVERSITY. KEVIN WHITE WAS PROVIDED WITH AN ON CAMPUS APARTMENT AS A CONDITION OF EMPLOYEMENT 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 BRODHEAD WAS PROVIDED WITH PERSONAL FINANCIAL SERVICES. VICTOR J DZAU WAS PROVIDED WITH PERSONAL LEGAL 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 CUTCLIFFE WAS PROVIDED WITH A CLUB MEMBERSHIP. THE AMOUNT WAS 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. SEVERANCE PAYMENT SCHEDULE J, PART 1, LINE 4A ANDREAS RITTER RECEIVED A SEVERANCE PAYMENT IN THE AMOUNT OF $147,338 IN 2009. THE TERMS AND 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: VICTOR J DZAU MD $ 1,013,017 NEAL F TRIPLETT $ 237,677 ALICE E GOULD $ 28,392 ANDERS W HALL $ 159,280 ANDREAS RITTER $ 36,804 MICHAEL W KRZYZEWSKI $ 576,814 SUCH AMOUNTS WERE SUBJECT TO A SUBSTANTIAL RISK OF FORFEITURE AS DEFINED UNDER IRC SECTION 457(F). NORTH CAROLINA CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GCF3 2005-06-24 216311656 SEE SCHEDULE O false false NORTH CAROLINA CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GDR6 2006-11-02 397964337 SEE SCHEDULE O false false NORTH CAROLINA CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GES3 2007-01-09 128278030 SEE SCHEDULE O false false NORTH CAROLINA CAPITAL FACILITIES FINANCE AGENCY 561592154 65819GFT0 2009-02-25 252585282 SEE SCHEDULE O false false NORTH CAROLINA CAPITAL FACILITIES FINANCE AGENCY 561592154 65818NVA9 2009-12-15 1118782000 SEE SCHEDULE O false false 220393639 0 69239409 0 1656696 226594 149270939 2007 true false true true 404922865 0 262529249 0 2793592 0 139600024 2008 true true true true 128278030 0 127234526 0 1043504 0 0 2004 false true true true 253118585 0 109568000 19403507 2182144 0 121964934 true false false true 26549000 0 26549000 0 0 0 0 2004 true false false true false false true true true true false false true true true 0.00200 0.00200 true false false true true true true false false true true true true false false false true MORGAN STANLEY & CO 1.8 true true false false false false true MORGAN STANLEY & CO 1.9 false false true false false false false false true false false false false false false false true false false false 2 RECIPIENTS 378688 RESEARCH GRANTS 1 RECIPIENT 7400 AWARD CYNTHIA BRODHEAD FAMILY MEM OF PRESIDENT 132500 SALARY PAID false CHRISTOPHER GERGEN FAMILY MEMBER OF TRUSTEE 30500 SALARY PAID false DEBORAH WONG FAMILY MEM OF OFFICER 60150 SALARY PAID false NEXTEL COMMUNICATIONS DIRECTOR IS TRUSTEE 91710 PAYMENT FOR GOODS OR SERVICES false BRIGHT HORIZONS DIRECTOR IS TRUSTEE 1091826 PAYMENT FOR GOODS OR SERVICES false MADISON SQUARE GARDEN INC DIRECTOR IS TRUSTEE 198141 PAYMENT FOR GOODS OR SERVICES false BERNARD MATHEY-PREVOT FAMILY MEMBER OF KEY EMP 139725 SALARY PAID false MEDTRONIC INC DIRECTOR IS Officer 20556 PAYMENT FOR GOODS OR SERVICES false PEPSI CO DIRECTOR IS OFFICER 232497 PAYMENT FOR GOODS OR SERVICES false LORI LEACHMAN FAMILY MEMBER OF OFFICER 72550 SALARY PAID false DEBORAH JAKUBS FAMILY MEMBER OF KEY EMP 232250 SALARY PAID false X 18 71413 FMV X 227552 FMV X 14832 FMV X 414 3295955 FMV X 1 158187 FMV X RECREATIONAL EVENT TICKETS 1948 232197 FMV X MISCELLANEOUS 132 56800 FMV X EQUIPMENT 7 35689 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. BUSINESS RELATIONSHIPS PART VI, SECTION A, LINE 2 TRUSTEES BRUCE KARSH, THE HONORABLE DANIEL TERRY BLUE JR., PRESIDENT RICHARD BRODHEAD, EXECUTIVE VICE PRESIDENT TALLLMAN TRASK III, AND CHIEF INVESTMENT OFFICER NEAL TRIPLETT ARE ALL DIRECTORS OF DUMAC, LLC. 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 11 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. 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 DEVOTE AN AVERAGE OF ONE(1) HOUR PER WEEK TO A RELATED ORGANIZATION OF DUKE UNIVERSITY: DUKE UNIVERSITY HEALTH SYSTEM THE HONORABLE DANIEL T BLUE, JR JACK O BOVENDER, JR RICHARD H BRODHEAD FRANK E EMORY, JR THOMAS M GORRIE SUSAN M STALNECKER VICTOR J DZAU MD NANCY C ANDREWS MD HIGH POINT REALTY ASSOCIATES, INC. B. HOFLER MILAM DURHAM REALTY, INC. B. HOFLER MILAM DUKE MANAGEMENT COMPANY BRUCE A KARSH NEAL F TRIPLETT DUKE ALUMNI ASSOCIATION, INC. ANN PELHAM TALLMAN TRASK, III THE FSB SUPPORT FUND, INC. TALLMAN TRASK, III DUKE GIFT PROPERTIES, INC. B. HOFLER MILAM DUKE SCHOLARLY EXHIBITS, INC. B. HOFLER MILAM JAMES S ROBERTS DURHAM ASSET MANAGEMENT COMPANY, INC. J. SCOTT GIBSON THE LORD FOUNDATION OF NORTH CAROLINA KIMBERLY J JENKINS PETER LANGE DUKE GLOBAL, INC. PETER LANGE TALLMAN TRASK, III B. HOFLER MILAM JAMES S ROBERTS J. SCOTT GIBSON DUKE UNIVERSITY SPECIAL VENTURES FUND, INC. NEAL F TRIPLETT GOTHIC CORPORATION NEAL F TRIPLETT RUTH K BROAD BIOMEDICAL RESEARCH FOUNDATION RALPH SNYDERMAN MD DUKE CORPORATE EDUCATION PETER LANGE TALLMAN TRASK, III DUKE UNIVERSITY SCHOOL OF MEDICINE RESEARCH FOUNDATION VICTOR J DZAU MD J. SCOTT GIBSON NANCY C ANDREWS MD DAVID H MURDOCK RESEARCH INSTITUTE VICTOR J DZAU MD RESEARCH TRIANGLE INSTITUTE PETER LANGE DUKE MEDICINE GLOBAL SUPPORT CORPORATION THOMAS M GORRIE VICTOR J DZAU MD TALLMAN TRASK, III J. SCOTT GIBSON THE CENTER FOR DOCUMENTARY STUDIES, INC. JAMES S ROBERTS DUKE MEDICAL STRATEGIES, INC. VICTOR J DZAU MD DUMAC, LLC THE HONORABLE DANIEL T BLUE, JR RICHARD H BRODHEAD BRUCE A KARSH TALLMAN TRASK, III NEAL F TRIPLETT ATLANTIC COAST CONFERENCE RICHARD H BRODHEAD 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 (E): FORM 8038 LISTS THE CUSIP NUMBER AS VARIOUS DUE TO THE NATURE OF THE NOTES ISSUED, I.E., COMMERCIAL PAPER. THE CUSIP # LISTED HAS THE LATEST MATURITY DATE OF THE NOTES OUTSTANDING AS OF 6/30/2010. TAX-EXEMPT BONDS FORM 990, SCHEDULE K, PART 1(E) BOND ISSUE (E): REPRESENTS MAXIMUM PRINCIPAL AMOUNT OF NEW MONEY COMMERCIAL PAPER NOTES ($1,092,233,000) AND FIRST GENERATION CURRENT REFUNDING COMMERICAL PAPER NOTES ($26,549,000) 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 5/13/2008, AND (2) FINANCE PROJECTS ON THE WEST, EAST, AND CENTRAL CAMPUS OF DUKE UNIVERSITY TAX-EXEMPT BONDS FORM 990, SCHEDULE K, PART II, LINE 8 BOND ISSUE (D): NO YEAR IS PROVIDED AT THIS TIME, BECAUSE NOT ALL PROJECTS ARE SUBSTANTIALLY COMPLETE. 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