2011-07-14T12:47:05-05:00 2010-08-31 PricewaterhouseCoopers LLP 125 High Street Boston MA 02110 990 2009-09-01 941156365 STANFORD UNIVERSITY BOARD OF TRUSTEES OF THE LELAND STANFORD JUNIOR UNIVERSITY STAN 6507251732 3145 PORTER DRIVE PALO ALTO CA 94304 M SUZANNE CALANDRA 2011-07-11 true PRICEWATERHOUSECOOPERS LLP 6175305000 2009 2016-02-24 21:20:13Z John Hennessy Building 10 Stanford CA 94305 12855504094 false X WWW.STANFORD.EDU X 1885 CA STANFORD UNIVERSITY IS ONE OF A SELECT GROUP OF AMERICAN UNIVERSITIES THAT HAVE ACHIEVED EMINENCE IN BOTH UNDERGRADUATE AND GRADUATE EDUCATION AND IN A BROAD RANGE OF ACADEMIC DISCIPLINES.CONT'D SCH O. 32 23 30318 -29878579 -105034800 1357086693 1448832299 1593226281 1637343940 -785486733 54571085 66346005 54051297 2231172246 3194798621 296122743 323489818 0 0 1995888847 2064373137 0 0 74365200 1102835223 1187138858 3394846813 3575001813 -1163674567 -380203192 22671549045 24553320653 4632508400 5118398161 18039040645 19434922492 STANFORD UNIVERSITY IS ONE OF A SELECT GROUP OF AMERICAN UNIVERSITIES THAT HAVE ACHIEVED EMINENCE IN BOTH UNDERGRADUATE AND GRADUATE EDUCATION AND IN A BROAD RANGE OF ACADEMIC DISCIPLINES. CONT'D SCH O. false false 1104447062 30269034 873178004 INSTRUCTION AND DEPARTMENTAL RESEARCH- See Schedule O. 927699608 23424351 187504732 ORGANIZED RESEARCH - REVENUE AMOUNT REPORTED ON LINE 4B DOES NOT INCLUDE $955,156,765 IN FEDERAL RESEARCH SUPPORT. CONT'D SCH O. 640222060 1055816 576661204 UNIVERSITY AUXILIARY ACTIVITIES - See Schedule O. 548776535 268740617 3221145265 true true false true true false true false true true true true true true true true true false true false false true true true true false false false false false true false true true true true true false false true true true false false true 26184 0 true 30318 true true true true false false false true true true 16 false false false false false 32 23 true false false false false false false true true false false true true true true true true true true false CA X X CHRISTOPHER CANELLOS 6507251732 3145 PORTER DRIVE Palo Alto CA 94304 John Hennessy 50.0 X X 670776 0 314793 William M Barnum JR 2.0 X 0 0 0 Robert M Bass 2.0 X 0 0 0 Mariann Byerwalter 2.0 X 0 0 0 James e Canales 2.0 X 0 0 0 James g Coulter 2.0 X 0 0 0 Mary b Cranston 2.0 X 0 0 0 Lauren b Dachs 2.0 X 0 0 0 steven a denning 2.0 X 0 0 0 bruce w dunlevie 2.0 X 0 0 0 ying-ying goh 2.0 X 0 0 0 john a gunn 2.0 X 0 0 0 pete higgins 2.0 X 0 0 0 leslie p hume 2.0 X 0 0 0 ann h lamont 2.0 X 0 0 0 goodwin liu 2.0 X 0 0 0 hamid r moghadam 2.0 X 0 0 0 wendy munger 2.0 X 0 0 0 miriam rivera 2.0 X 0 0 0 richard a sapp 2.0 X 0 0 0 philip g satre 2.0 X 0 0 0 john h scully 2.0 X 0 0 0 isaac stein 2.0 X 0 0 0 thomas f steyer 2.0 X 0 0 0 ross h walker 2.0 X 0 0 0 vaughn c williams 2.0 X 0 0 0 jerry yang 2.0 X 0 0 0 William R Brody 2.0 X 0 0 0 Christine U Hazy 2.0 X 0 0 0 Susan R McCaw 2.0 X 0 0 0 RONALD P SPOGLI 2.0 X 0 0 0 KAVITARK RAM SHRIRAM 2.0 X 0 0 0 john etchemendy 50.0 X 469511 0 274483 randall livingston 50.0 X 474808 0 107708 martin shell 50.0 X 405398 0 130744 debra zumwalt 50.0 X 489394 0 179976 robert c reidy 50.0 X 605664 0 201447 david demarest 50.0 X 320581 0 101257 howard wolf 50.0 X 330380 0 72611 william madia 25.0 X 237354 0 13858 Diane Peck 50.0 X 311530 0 42274 John Powers 50.0 X 1122583 0 272606 Philip A Pizzo 50.0 X 601770 0 254115 Richard Saller 50.0 X 490922 0 26406 Frank Hanley 50.0 X 1467301 0 243949 Gary Steinberg 50.0 X 1194466 0 43059 Thomas M Krummel 50.0 X 975237 0 60379 Michael Edwards 50.0 X 945074 0 44912 JOHN A FEREJOHN 50.0 X 973280 0 34020 Vadilaya M Reddy 50.0 X 816989 0 43539 Edward E Manche 50.0 X 581572 0 50801 John B Ford 50.0 X 525316 0 9967 Amin A Milki 50.0 X 573498 0 50234 14583404 0 2573138 3823 true true false THE WHITING-TURNER CONTRACTING CO PO BOX 17596 BALTIMORE MD 21297 CONSTRUCTION 134096789 VANCE BROWN INC 3197 PARK BOULEVARD PALO ALTO CA 94306 CONSTRUCTION 103623554 HATHAWAY DINWIDDIE CONSTR CO 565 LAURDELWOOD ROAD SANTA CLARA CA 95954 CONSTRUCTION 88165051 TURNER CONSTRUCTION 1625 CLAY STREET OAKLAND CA 94612 CONSTRUCTION 73735641 DEVCON CONSTRUCTION INC 690 GIBRALTAR DRIVE MILPITAS CA 94035 CONSTRUCTION 35458871 554 955156765 493675534 160511828 1448832299 STUDENT INCOME 900099 657714588 657714588 NONGOVERNMENT RESEARCH 900099 187504732 187504732 PATIENT CARE 900099 454191839 454191839 SPECIAL PROGRAMS 900099 337070631 337070631 DRIVING RANGE 713910 517784 517784 344366 344366 1637343940 166210263 -36470266 202680529 144 144 0 59041653 7886679 51154974 51154974 51154974 9500119638 38807000 9616010852 34555108 -115891214 4251892 -111639322 5729537 -117368859 112816 0 353619 -240803 -240803 0 5036341 1899215 3137126 3137126 0 3194798621 1636481790 -29878579 139363111 1338500 1338500 311594917 311594917 10556401 10556401 0 7395703 1379046 5153640 863017 0 1649772247 1515890647 95112319 38769281 99563499 88130774 8459297 2973428 213937990 189237131 18309535 6391324 93703698 82760527 8118609 2824562 214209 214209 8539722 8539722 912680 912680 20437 20437 0 27836201 27836201 144693911 113443969 24198001 7051941 222463 137751 84712 203667278 185031739 14280484 4355055 17452626 11170027 5959790 322809 5962772 1642403 4320155 214 130558983 111371070 17468750 1719163 46040132 43430587 1279632 1329913 0 7445356 7135325 271579 38452 60419549 52699077 7325782 394690 0 234016796 198413007 33774101 1829688 17368180 12725262 4627321 15597 EQUIPMENT RENTAL & MAINTENANCE 4444999 3728439 580974 135586 PRINTING & PUBLICATION 10551863 8337751 1224676 989436 SLAC NON-SALARY EXPENSE 175819173 175757682 61491 RESEARCH SUBAWARDS 54367858 54367858 EMPLOYEE RELATED EXPENSES 36925666 29534252 3757653 3633761 -341996 11468874 -12453441 642571 3575001813 3221145265 279491348 74365200 290086 221835 1334855154 1529632970 782522827 764662131 238554287 305908025 3808771 4706059 489618017 513055135 6359196 6594431 45235898 41183139 6340800781 2756804514 3269635295 3583996267 4310821720 3788899686 12189847794 14014460975 22671549045 24553320653 1119774523 1382407968 378495919 370573166 1167506905 1376031361 316403754 0 1349077011 1439901380 301250288 549484286 4632508400 5118398161 X 8286639279 9131844886 5094032811 5526835975 4658368555 4776241631 18039040645 19434922492 22671549045 24553320653 X false true true X true true X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED true true true 4418 true 188777 true 4418 true 23089 true 413275 true 76727 false 710704 false PART II-B - LOBBYING ACTIVITY EXPLANATION AN INSUBSTANTIAL PORTION OF STANFORD UNIVERSITY'S TOTAL ACTIVITIES INVOLVED LEGISLATIVE AND REGULATORY MATTERS OF DIRECT CONCERN TO HIGHER EDUCATION OR OF COMPELLING IMPORTANCE TO STANFORD IN PARTICULAR. INSTITUTIONAL EFFORTS TO INFLUENCE LEGISLATION AND REGULATION ARE DIRECTED BY THE OFFICE OF GOVERNMENT AND COMMUNITY RELATIONS. DURING FISCAL YEAR 2009-2010, THE OFFICE CONSISTED OF FOUR PROFESSIONAL STAFF MEMBERS, ONE INTERN, AND TWO SUPPORT PERSONS. THE UNIVERSITY DOES NOT HAVE A LOBBYING OFFICE IN EITHER WASHINGTON, DC OR SACRAMENTO,CA AND DURING THIS PERIOD, THE UNIVERSITY HIRED AN OUTSIDE REGISTERED LOBBYIST IN SACRAMENTO FOR PART-TIME WORK ON STATE ISSUES. ACTIVITIES OF GOVERNMENT AND COMMUNITY RELATIONS STAFF INCLUDE CONTACTS BY LETTERS, PHONE CALLS AND MEETINGS WITH LEGISLATORS, MEMBERS OF THEIR STAFFS, OR OTHER GOVERNMENT OFFICIALS, AND MEETINGS WITH LOCAL CITIZENS REGARDING STANFORD ISSUES WITH LOCAL GOVERNMENTS. IN FISCAL YEAR 2009-2010, LEGISLATIVE, EXECUTIVE, AND LOCAL REGULATORY ISSUES HANDLED BY THE UNIVERSITY INCLUDED THE FOLLOWING: LOCAL ISSUES: ZONING AND LAND USES RELATED TO PROPERTY OWNED BY THE UNIVERSITY AND CONTIGUOUS TO THE UNIVERSITY'S ACADEMIC CAMPUS. STATE ISSUES: STUDENT AID; TAXATION; RESEARCH FUNDING ISSUES; PRIVACY ISSUES; ACCOUNTING ISSUES; INTELLECTUAL PROPERTY ISSUES; COMPETENCY EDUCATION ISSUES; STEM CELL RESEARCH ISSUES; WATER RIGHTS; FIDUCIARY DUTIES; AND HOSPITAL SEISMIC DEADLINES. FEDERAL ISSUES: STUDENT AID; TAXATION; REIMBURSEMENT OF FEDERAL RESEARCH COSTS; FUNDING LEVELS OF RESEARCH (E.G. NIH, DOE, NASA, DOD, NSF); FUNDING FOR SLAC NATIONAL ACCELERATOR LABORATORY; MEDICARE FUNDING FOR TEACHING HOSPITALS; RESEARCH POLICY; AND IMMIGRATION POLICY. THE TOTAL BUDGET EXPENDED BY THE OFFICE OF GOVERNMENT AND COMMUNITY RELATIONS WAS $1,132,804. THE ESTIMATED TOTAL EXPENSES FOR LOBBYING ARE AS FOLLOWS: SALARIES AND BENEFITS $532,413 GENERAL OFFICE OVERHEAD $117,959 PAID CONSULTANT COALITION DUES $20,437 GRANTS TO OTHER ORGANIZATIONS $23,089 TRAVEL $16,806 TOTAL $710,704 AMOUNTS APPEARING ON PART II-B ARE REASONABLE ESTIMATED ALLOCATIONS OF THE ABOVE EXPENSES. EVEN ASSUMING STANFORD UNIVERSITY EMPLOYEES OUTSIDE THE GOVERNMENT AND COMMUNITY RELATIONS OFFICE ENGAGE IN OCCASIONAL LOBBYING ACTIVITIES ON BEHALF OF THE UNIVERSITY, THE TOTAL AMOUNT SPENT BY STANFORD IN LOBBYING REPRESENTS AN INSIGNIFICANT PART OF THE UNIVERSITY'S TOTAL EXPENDITURES. 25 24114114 1338500 179466247 true true X X X X false 12619094000 517078000 1569588000 203694898 650950102 13851115000 17214373000 155359000 -3470843000 209983118 1069811882 12619094000 0.38204 0.61294 0.00503 true true true 97796494 97796494 4177438639 1494747420 2682691218 146400266 128892312 17507955 1480689465 1133164782 347524683 438475917 438475917 3583996267 SEE PAGE 5 14014460975 14014460975 0 FOR SECURITIES LOANED 160024240 FUNDS 53485371 INTEREST AGREEMENTS 335974675 549484286 3194798621 3575001813 -380203192 1864260985 -88175946 1776085039 1395881847 4686902000 1864260985 -315615679 1548645306 3138256694 58794306 -2252379 56541927 3194798621 3291021000 2252759 2252759 3288768241 58794306 227439266 286233572 3575001813 SCHEDULE D, PART III, LINE 1A WORKS OF ART AND SPECIAL COLLECTIONS WORKS OF ART, HISTORICAL TREASURES, LITERARY WORKS, AND ARTIFACTS, WHICH ARE PRESERVED AND PROTECTED FOR EDUCATIONAL, RESEARCH AND PUBLIC EXHIBITION PURPOSES, ARE NOT CAPITALIZED. PURCHASES OF SUCH COLLECTIONS ARE RECORDED AS OPERATING EXPENSES IN THE PERIOD IN WHICH THEY ARE ACQUIRED. SCHEDULE D, PART III, LINE 4 THE CANTOR ARTS CENTER AT STANFORD UNIVERSITY IS A MUSEUM COMMITTED TO INTELLECTUAL EXPLORATION AND THE PURSUIT OF KNOWLEDGE, FOSTERING A SENSE OF DISCOVERY THROUGH DIRECT EXPERIENCES WITH WORKS OF ART. THE CENTER COLLECTS, PRESERVES, AND STUDIES ART FROM ALL CULTURES AND PERIODS, SERVING THE UNIVERSITY AND THE PUBLIC THROUGH EXHIBITIONS AND PROGRAMS THAT INSPIRE THE UNDERSTANDING AND ENJOYMENT OF ART. SCHEDULE D, PART V, LINES 1B & 1E "CONTRIBUTIONS" (LINE 1B) INCLUDE CERTAIN INVESTMENT INCOME, CURRENT YEAR GIFTS TO ENDOWMENT, MATURED LIVING TRUSTS DIRECTED TO ENDOWMENT, PENDING FUNDS AND DONOR ADVISED FUNDS DESIGNATED TO ENDOWMENT AND OTHER EXPENDABLE FUNDS INVESTED IN THE ENDOWMENT. FOR FY 2010, THIS LINE ALSO INCLUDES $58,000,000 OF ENDOWMENT FUNDS TRANSFERRED FROM THE LUCILE SALTER PACKARD CHILDREN'S HOSPITAL AT STANFORD, A RELATED ENTITY. INCLUDED IN "OTHER EXPENDITURES FOR FACILITIES AND PROGRAMS" (LINE 1E) ARE FUNDS TRANSFERRED FROM ENDOWMENT PRINCIPAL TO SUPPORT SUCH FACILITIES AND PROGRAMS AND OTHER TRANSFERS FROM ENDOWMENT PRINCIPAL TO EXPENDABLE FUNDS. SCHEDULE D, PART V, LINE 2B APPROXIMATELY HALF OF THE AMOUNT ON LINE 2B REPRESENTS REALIZED AND UNREALIZED GAINS ON ENDOWMENT ASSETS. EACH YEAR, THE BOARD OF TRUSTEES DETERMINES THE PRUDENT PORTION OF THESE GAINS THAT WILL BECOME AVAILABLE FOR EXPENDITURE IN ACCORDANCE WITH THE CALIFORNIA UNIFORM PRUDENT MANAGEMENT OF INSTITUTIONAL FUNDS ACT. SCHEDULE D, PART V, LINE 3A(I) INCLUDED IN UNIVERSITY ENDOWMENT ARE SEVERAL TRUSTS MANAGED BY TRUSTEES NOT RELATED TO THE UNIVERSITY. SCHEDULE D, PART V, LINE 3A(II) AND LINE 3B INCLUDED IN THE ENDOWMENT BALANCE ON LINE 1G ARE THE ASSETS OF THE FREIDENRICH SUPPORT FOUNDATION, A RELATED ORGANIZATION. SCHEDULE D, PART V, LINE 4 INTENDED USES OF THE ENDOWMENT FUNDS IN 1885, LELAND AND JANE LATHROP STANFORD SAID OF THEIR FOUNDING GRANT "IT SHALL CONSTITUTE THE FOUNDATION AND ENDOWMENT FOR THE UNIVERSITY HEREIN PROVIDED, AND UPON THE TRUST THAT THE PRINCIPAL THEREOF SHALL FOREVER REMAIN INTACT, AND THAT THE RENTS, ISSUES, AND PROFITS THEREOF SHALL BE DEVOTED TO THE FOUNDATION AND MAINTENANCE OF THE UNIVERSITY HEREBY FOUNDED AND ENDOWED, AND THE USES AND PURPOSES HEREIN MENTIONED." TODAY, STANFORD'S ENDOWMENT CONSISTS OF THOUSANDS OF INDIVIDUAL FUNDS, MANY OF WHICH ARE RESTRICTED TO PARTICULAR USES (E.G., SCHOLARSHIP FUNDS FOR UNDERGRADUATES, FELLOWSHIP FUNDS TO SUPPORT GRADUATE STUDENTS, RESEARCH FUNDS DIRECTED TO MANY DIFFERENT AREAS, PROGRAM SUPPORT FUNDS, FUNDS TO SUPPORT PROFESSORS, FUNDS TO SUPPORT LECTURES, FUNDS TO PROVIDE BUILDING AND GROUND MAINTENANCE, FUNDS TO SUPPORT THE UNIVERSITY'S MUSEUM, FUNDS TO SUPPORT THE ACQUISITION OF LIBRARY MATERIALS). THE FUNDS ARE INVESTED IN PERPETUITY FOR LONG TERM GROWTH AND THE PAYOUT IS USED FOR THE PURPOSE SET FORTH IN THE GIFT DOCUMENT. SOME ENDOWMENT FUNDS DO NOT HAVE PURPOSE RESTRICTIONS AND THE PAYOUT FROM THESE FUNDS IS USED TO SUPPORT THE GENERAL OPERATIONS AND INFRASTRUCTURE OF THE UNIVERSITY AS WELL AS MANY OTHER PARTS OF THE UNIVERSITY. ENDOWMENT PAYOUT IS A RELIABLE SOURCE OF CONTINUING SUPPORT AND IS CRUCIAL TO THE FUNDING OF THE MANY LONG TERM COMMITMENTS THAT THE UNIVERSITY MUST MAKE. THE ENDOWMENT MAKES STANFORD LESS DEPENDENT ON OTHER MORE VARIABLE SOURCES OF INCOME. THE ENDOWMENT PAYOUT COVERS APPROXIMATELY 20% OF STANFORD'S TOTAL EXPENSES. STANFORD IS CURRENTLY DIRECTING CONSIDERABLE RESEARCH AND EDUCATION EFFORTS TOWARD ADDRESSING THE CHALLENGES CRUCIAL TO THE WORLD. IN PARTICULAR, IT IS SEEKING SOLUTIONS TO SOME OF THE MOST CHALLENGING PROBLEMS IN HUMAN HEALTH, INTERNATIONAL PEACE AND SECURITY AND THE ENVIRONMENT AND SUSTAINABILITY. STANFORD CONTINUES TO BE ONE OF FEW PRIVATE INSTITUTIONS THAT ENROLL AND ADMIT THE VERY BEST APPLICANTS, REGARDLESS OF THEIR FAMILIES' INCOME AND PROVIDE SUFFICIENT FINANCIAL AID FOR ALL ADMITTED STUDENTS TO ATTEND THE UNIVERSITY. ENDOWMENT SUPPORT CONTRIBUTES GREATLY TO THE SUCCESS OF THESE EFFORTS. AS A RESULT OF ENDOWMENT SUPPORT OF STUDENT AID, STANFORD IS ABLE TO WAIVE THE TOTAL COST OF TUITION FOR STUDENTS FROM MOST FAMILIES WITH INCOMES LESS THAN $100,000. STUDENTS FROM MOST FAMILIES MAKING LESS THAN $60,000 WILL HAVE THE FULL COST OF ATTENDANCE (PRINCIPALLY TUITION, ROOM & BOARD, AND BOOKS) COVERED. FOR THE YEAR ENDED AUGUST 31, 2010, ENDOWMENT PAYOUT SUPPORTED THE FOLLOWING BROAD FUNCTIONS OF THE UNIVERSITY: INSTRUCTION AND RESEARCH $432,152,191 STUDENT FINANCIAL AID $203,694,898 LIBRARIES $18,506,399 SCHEDULE D, PART VI BALANCES AS REPORTED ON THE UNIVERSITY FINANCIAL STATEMENTS HAVE BEEN RECLASSIFIED TO COMPLY WITH 990 REPORTING REQUIREMENTS. SCHEDULE D, PART VII, INVESTMENTS - OTHER SECURITIES CASH & CASH EQUIVALENTS $625,207,662 COLLATERAL HELD FOR SECURITIES LOANED $122,565,596 DERIVATIVES ($85,440) FIXED INCOME $415,651,433 REAL ESTATE $3,402,206,582 NATURAL RESOURCES $1,532,134,728 PRIVATE EQUITIES $3,867,426,948 ABSOLUTE RETURN $5,005,170,209 ASSETS HELD BY OTHER TRUSTEES $152,743,608 OTHER $151,120,334 ------------------ $15,274,141,660 LESS HOSPITAL FUNDS INVESTED IN THE UNIVERSITY MERGED POOL ($1,259,680,685) ------------------- $14,014,460,975 SCHEDULE D, PART X STANFORD DID NOT REPORT A FIN 48 LIABILITY. SCHEDULE D, PART XI, LINE 8 ADJUSTMENT TO EQUITY RELATING TO LIVING TRUSTS AND DERIVATIVES ($88,175,946) SCHEDULE D, PART XII, LINE 2D FINANCIAL AID ($227,439,266) OTHER, INCLUDING ADJUSTMENT TO EQUITY RELATING TO LIVING TRUSTS AND DERIVATIVES ($88,176,413) SCHEDULE D, PART XII, LINE 4B EXPENSES OF SPECIAL EVENTS FROM 990, PART VIII, LINE 8B ($353,619) COST OF GOODS SOLD FROM 990 PART VIII, LINE 10B ($1,899,215) FINANCIAL STATEMENT ROUNDING $455 SCHEDULE D, PART XIII LINE 2D EXPENSES OF SPECIAL EVENTS FROM 990, PART VIII, LINE 8B $353,619 COST OF GOODS SOLD FROM 990 PART VIII LINE 10B $1,899,215 FINANCIAL STATEMENT ROUNDING ($75) SCHEDULE D, PART XIII LINE 4B FINANCIAL AID $227,439,266 true true false STANFORD MEETS THE CRITERIA OF SECTION 4.03.2(B) OF REV. PROC. 75-50 THROUGH ADMISSION AND FINANCIAL AID OFFICES OUTREACH PROGRAMS WHICH PUBLICIZE STANFORD UNIVERSITY'S ACADEMIC OPPORTUNITIES AT SECONDARY AND POST-SECONDARY SCHOOLS THROUGHOUT THE UNITED STATES. true true true true false false false false false false false false true false STANFORD UNIVERSITY RECEIVED RESEARCH AND INSTRUCTIONAL GRANTS AND CONTRACTS, FELLOWSHIP AND STUDENT AID AWARDS, LIBRARY GRANTS AND CONSTRUCTION GRANTS, AND CONTRACTS FROM VARIOUS FEDERAL AGENCIES. true true East Asia and the Pacific 2 6 Program Services STUDY ABROAD 3202798 Europe (Including Iceland and Greenland) 5 23 Program Services STUDY ABROAD 6400144 North America Program Services STUDY ABROAD 44020 Russia and the Newly Independent States 1 3 Program Services STUDY ABROAD 572861 South America 1 4 Program Services STUDY ABROAD 811976 South Asia Program Services STUDY ABROAD 37147 Sub-Saharan Africa 1 5 Program Services STUDY ABROAD 786779 East Asia and the Pacific Program Services EDUCATION: CONFERENCES 155147 Europe (Including Iceland and Greenland) Program Services EDUCATION: EXECUTIVE 100137 Europe (Including Iceland and Greenland) Program Services EDUCATION: TRAVEL 1583969 North America Program Services EDUCATION: TRAVEL 285812 South America Program Services EDUCATION: TRAVEL 343115 East Asia and the Pacific Program Services RESEARCH 382810 Europe (Including Iceland and Greenland) Program Services RESEARCH 287012 South America Program Services RESEARCH 44346 South Asia Program Services RESEARCH 66872 Sub-Saharan Africa 1 Program Services RESEARCH 145897 East Asia and the Pacific Program Services RESEARCH SUB-AWARD 1533442 Europe (Including Iceland and Greenland) Program Services RESEARCH SUB-AWARD 3354470 North America Program Services RESEARCH SUB-AWARD 142914 East Asia and the Pacific 1 Program Services RESEARCH: CONSTRUCTION 1121112 East Asia and the Pacific Program Services ACADEMIC CONFERENCE 351467 Europe (Including Iceland and Greenland) Program Services ACADEMIC CONFERENCE 251136 Middle East and North Africa Program Services ACADEMIC CONFERENCE 21476 North America Program Services ACADEMIC CONFERENCE 31433 South America Program Services ACADEMIC CONFERENCE 13453 South Asia Program Services ACADEMIC CONFERENCE 9702 Sub-Saharan Africa Program Services ACADEMIC CONFERENCE 26557 Central America and the Caribbean Program Services EDUCATION 135883 East Asia and the Pacific Program Services EDUCATION 2881806 Europe (Including Iceland and Greenland) Program Services EDUCATION 5238493 Middle East and North Africa Program Services EDUCATION 477118 North America Program Services EDUCATION 994330 Russia and the Newly Independent States Program Services EDUCATION 100041 South America Program Services EDUCATION 468021 South Asia Program Services EDUCATION 571862 Sub-Saharan Africa Program Services EDUCATION 418786 Central America and the Caribbean Program Services LIBRARIES 2100 East Asia and the Pacific Program Services LIBRARIES 47007 Europe (Including Iceland and Greenland) Program Services LIBRARIES 234724 Middle East and North Africa Program Services LIBRARIES 2490 North America Program Services LIBRARIES 18671 Russia and the Newly Independent States Program Services LIBRARIES 12598 South America Program Services LIBRARIES 5837 Sub-Saharan Africa Program Services LIBRARIES 2405 Central America and the Caribbean Program Services RESEARCH 53811 East Asia and the Pacific Program Services RESEARCH 1809200 Europe (Including Iceland and Greenland) Program Services RESEARCH 5105654 Middle East and North Africa Program Services RESEARCH 176944 North America Program Services RESEARCH 658175 Russia and the Newly Independent States Program Services RESEARCH 98672 South America Program Services RESEARCH 193891 South Asia Program Services RESEARCH 130911 Sub-Saharan Africa Program Services RESEARCH 347069 Central America and the Caribbean Program Services CLINICAL ACTIVITIES 6470 East Asia and the Pacific Program Services CLINICAL ACTIVITIES 41261 Europe (Including Iceland and Greenland) Program Services CLINICAL ACTIVITIES 43996 Middle East and North Africa Program Services CLINICAL ACTIVITIES 2889 North America Program Services CLINICAL ACTIVITIES 63364 South Asia Program Services CLINICAL ACTIVITIES 7523 Sub-Saharan Africa Program Services CLINICAL ACTIVITIES 4151 Central America and the Caribbean Program Services EXTERNAL RELATIONS 6285 East Asia and the Pacific Program Services EXTERNAL RELATIONS 119088 Europe (Including Iceland and Greenland) Program Services EXTERNAL RELATIONS 224677 Middle East and North Africa Program Services EXTERNAL RELATIONS 3718 North America Program Services EXTERNAL RELATIONS 28787 South America Program Services EXTERNAL RELATIONS 7359 South Asia Program Services EXTERNAL RELATIONS 2249 Sub-Saharan Africa Program Services EXTERNAL RELATIONS 47051 Central America and the Caribbean Program Services RECRUITMENT/ADMISSIONS 2328 East Asia and the Pacific Program Services RECRUITMENT/ADMISSIONS 95078 Europe (Including Iceland and Greenland) Program Services RECRUITMENT/ADMISSIONS 40764 Middle East and North Africa Program Services RECRUITMENT/ADMISSIONS 18331 North America Program Services RECRUITMENT/ADMISSIONS 48021 Russia and the Newly Independent States Program Services RECRUITMENT/ADMISSIONS 5573 South America Program Services RECRUITMENT/ADMISSIONS 13399 South Asia Program Services RECRUITMENT/ADMISSIONS 12734 Sub-Saharan Africa Program Services RECRUITMENT/ADMISSIONS 3148 Central America and the Caribbean Program Services ADMINISTRATION 17366 East Asia and the Pacific Program Services ADMINISTRATION 53234 Europe (Including Iceland and Greenland) Program Services ADMINISTRATION 120293 Middle East and North Africa Program Services ADMINISTRATION 862 North America Program Services ADMINISTRATION 11306 Russia and the Newly Independent States Program Services ADMINISTRATION 1856 South America Program Services ADMINISTRATION 20412 South Asia Program Services ADMINISTRATION 10753 Central America and the Caribbean Investments FOREIGN TRAVEL 10268 East Asia and the Pacific Investments FOREIGN TRAVEL 46264 Europe (Including Iceland and Greenland) Investments FOREIGN TRAVEL 120919 Middle East and North Africa Investments FOREIGN TRAVEL 2615 North America Investments FOREIGN TRAVEL 7369 Russia and the Newly Independent States Investments FOREIGN TRAVEL 7219 South America Investments FOREIGN TRAVEL 16207 South Asia Investments FOREIGN TRAVEL 27643 East Asia and the Pacific Fundraising FOREIGN TRAVEL 226777 Europe (Including Iceland and Greenland) 1 Fundraising FOREIGN TRAVEL 40982 Middle East and North Africa Fundraising FOREIGN TRAVEL 109 North America Fundraising FOREIGN TRAVEL 5231 East Asia and the Pacific Fundraising FOREIGN TRAVEL 143247 Europe (Including Iceland and Greenland) Fundraising FOREIGN TRAVEL 59481 East Asia and the Pacific Grantmaking GRANT-FUNDED SUBAWARDS 940471 Europe (Including Iceland and Greenland) Grantmaking GRANT-FUNDED SUBAWARDS 1181291 Middle East and North Africa Grantmaking GRANT-FUNDED SUBAWARDS 129908 North America Grantmaking GRANT-FUNDED SUBAWARDS 1198311 South America Grantmaking GRANT-FUNDED SUBAWARDS 30018 South Asia Grantmaking GRANT-FUNDED SUBAWARDS 441817 Sub-Saharan Africa Grantmaking GRANT-FUNDED SUBAWARDS 690924 Europe (Including Iceland and Greenland) Grantmaking INTERNSHIP STIPENDS 149062 East Asia and the Pacific Grantmaking STIPENDS 279000 South Asia Grantmaking LOAN FORGIVENESS 5325 Europe (Including Iceland and Greenland) Grantmaking FELLOWSHIP 45000 East Asia and the Pacific Grantmaking RESEARCH FELLOWSHIPS 6020 Europe (Including Iceland and Greenland) Grantmaking RESEARCH FELLOWSHIPS 66316 North America Grantmaking RESEARCH FELLOWSHIPS 5000 South Asia Grantmaking RESEARCH FELLOWSHIPS 24000 Central America and the Caribbean Grantmaking UNDERGRAD RESEARCH 5600 East Asia and the Pacific Grantmaking UNDERGRAD RESEARCH 48725 Europe (Including Iceland and Greenland) Grantmaking UNDERGRAD RESEARCH 50046 Middle East and North Africa Grantmaking UNDERGRAD RESEARCH 5600 North America Grantmaking UNDERGRAD RESEARCH 5000 Russia and the Newly Independent States Grantmaking UNDERGRAD RESEARCH 5600 South America Grantmaking UNDERGRAD RESEARCH 32870 South Asia Grantmaking UNDERGRAD RESEARCH 5296 Sub-Saharan Africa Grantmaking UNDERGRAD RESEARCH 37000 Central America and the Caribbean Grantmaking SERVICE LEARNING 17000 East Asia and the Pacific Grantmaking SERVICE LEARNING 23000 Europe (Including Iceland and Greenland) Grantmaking SERVICE LEARNING 12750 Middle East and North Africa Grantmaking SERVICE LEARNING 6500 South America Grantmaking SERVICE LEARNING 5000 South Asia Grantmaking SERVICE LEARNING 14200 Sub-Saharan Africa Grantmaking SERVICE LEARNING 64250 Central America and the Caribbean Grantmaking EARTHQUAKE RELIEF 159500 10 44 49783560 East Asia/Pacific Sub-award 82439 check East Asia/Pacific sub-award 6469 check/wire East Asia/Pacific sub-award 48146 wire East Asia/Pacific sub-award 497772 check/wire East Asia/Pacific sub-award 248844 wire East Asia/Pacific sub-award 41801 check East Asia/Pacific sub-award 15000 wire Europe/Iceland/Greenland sub-award 141299 check Europe/Iceland/Greenland sub-award 25000 check Europe/Iceland/Greenland sub-award 229327 check/wire Europe/Iceland/Greenland sub-award 474656 check Europe/Iceland/Greenland sub-award 141943 check Europe/Iceland/Greenland sub-award 47443 check Europe/Iceland/Greenland sub-award 48774 check Europe/Iceland/Greenland sub-award 72849 check North America sub award 13199 check North America sub-award 10543 check North America sub-award 55093 check North America sub-award 424892 check North America sub-award 235134 check North America sub-award 66909 check North America sub-award 240065 check North America sub-award 6740 check North America sub-award 29080 check North America sub-award 74656 check/wire North America sub-award 42000 wire Middle East/North Africa sub-award 129908 check South America sub-award 30018 check South Asia sub-award 35081 CHECK/WIRE South Asia sub-award 367258 wire South Asia sub-award 32397 check Sub-Saharan Africa sub-award 60902 wire Sub-Saharan Africa sub-award 52579 wire Sub-Saharan Africa sub-award 36647 check/wire Sub-Saharan Africa sub-award 50000 wire Sub-Saharan Africa sub-award 203196 wire Cent. America/Caribbean Earthquake relief-patient care 159500 check 52 3 RESEARCH GRANTS - UNDERGRADUATE Cent. America/Caribbean 1 5600 EFT RESEARCH GRANTS - UNDERGRADUATE East Asia/Pacific 9 48725 EFT RESEARCH GRANTS - UNDERGRADUATE Europe/Iceland/Greenland 9 50046 EFT RESEARCH GRANTS - UNDERGRADUATE Middle East/North Africa 1 5600 EFT RESEARCH GRANTS - UNDERGRADUATE North America 1 5000 EFT RESEARCH GRANTS - UNDERGRADUATE Russia 1 5600 EFT RESEARCH GRANTS - UNDERGRADUATE South America 6 32870 EFT RESEARCH GRANTS - UNDERGRADUATE South Asia 1 5296 EFT RESEARCH GRANTS - UNDERGRADUATE Sub-Saharan Africa 6 37000 EFT SERVICE LEARNING FELLOWSHIPS Cent. America/Caribbean 3 17000 EFT SERVICE LEARNING FELLOWSHIPS East Asia/Pacific 4 23000 EFT SERVICE LEARNING FELLOWSHIPS Europe/Iceland/Greenland 2 12750 EFT SERVICE LEARNING FELLOWSHIPS Middle East/North Africa 1 6500 EFT SERVICE LEARNING FELLOWSHIPS South America 1 5000 EFT SERVICE LEARNING FELLOWSHIPS South Asia 2 14200 EFT SERVICE LEARNING FELLOWSHIPS Sub-Saharan Africa 6 64250 EFT SCHOLARSHIPS East Asia/Pacific 26 279000 wire INTERNSHIPS STIPENDS Europe/Iceland/Greenland 46 149062 wire FELLOWSHIP Europe/Iceland/Greenland 1 45000 wire RESEARCH GRANTS - SENIOR SCHOLAR SUPPORT East Asia/Pacific 1 6020 check RESEARCH GRANTS - SENIOR SCHOLAR SUPPORT Europe/Iceland/Greenland 5 66316 check RESEARCH GRANTS - SENIOR SCHOLAR SUPPORT North America 1 5000 check RESEARCH GRANTS - SENIOR SCHOLAR SUPPORT South Asia 1 24000 wire LOAN FORGIVENESS South Asia 1 5325 check PART I, GENERAL INFORMATION ON ACTIVITIES OUTSIDE OF THE UNITED STATES PART I, LINE 2: DESCRIBE THE ORGANIZATION'S PROCEDURES FOR MONITORING THE USE OF GRANT FUNDS OUTSIDE OF THE UNITED STATES. STANFORD UNIVERSITY IS NOT A "GRANTMAKER" PER SE IN THAT ITS FUNDAMENTAL MISSION, AND PURPOSE FOR TAX-EXEMPTION, RELATES TO TEACHING, RESEARCH AND PATIENT CARE ACTIVITIES. HOWEVER, IN THE COURSE OF THESE MISSION-BASED ACTIVITIES, THE UNIVERSITY DOES MAKE PAYMENTS THAT MEET THE CRITERIA FOR GRANTMAKING AS DEFINED BY THE INSTRUCTIONS TO IRS 990 SCHEDULE F. PROCEDURES FOR MONITORING USE OF GRANT FUNDS OUTSIDE OF THE U.S. ARE PRINCIPALLY GOVERNED BY THE PURPOSE FOR WHICH THE FUNDS WERE GRANTED: FINANCIAL AID: SCHOLARSHIPS, STIPENDS AND FELLOWSHIPS FOR MOST U.S. INSTITUTIONS OF HIGHER EDUCATION, PROVISION OF FINANCIAL AID TO STUDENTS IS AN IMPORTANT ACTIVITY ENABLING QUALIFIED STUDENTS TO OBTAIN A COLLEGE EDUCATION AT THE UNDERGRADUATE, GRADUATE OR POSTDOCTORAL LEVEL. STANFORD IS COMMITTED TO A "NEED-BLIND" ADMISSION POLICY FOR U.S. CITIZENS AND PERMANENT RESIDENTS; IT ADMITS QUALIFIED STUDENTS WITHOUT REGARD TO THEIR ABILITY TO PAY, AND PROVIDES A COMPREHENSIVE FINANCIAL AID PROGRAM FOR ALL ADMITTED STUDENTS WHO HAVE UNIVERSITY-COMPUTED NEED, AND WHO MEET STATED FINANCIAL AID ELIGIBILITY REQUIREMENTS. FOR THE FISCAL YEAR, ENDED AUGUST 31, 2010, 80% OF UNDERGRADUATE STUDENTS RECEIVED SOME FORM OF FINANCIAL AID (5,476 STUDENTS), WITH A TOTAL OF $312,507,752 OF FINANCIAL AID DISBURSED TO ALL STANFORD STUDENTS. APPROXIMATELY 73% OF THIS AID TOOK THE FORM OF TRANSFERS FROM INTERNAL UNIVERSITY FUNDS TO OFFSET TUITION AND OTHER UNIVERSITY CHARGES THAT WOULD OTHERWISE HAVE BEEN RECEIVED BY THE UNIVERSITY. THE BALANCE OF $85,068,486 REPRESENTS DISBURSEMENTS, PRIMARILY TO GRADUATE STUDENTS, FOR STIPENDS, FELLOWSHIPS AND OTHER STUDENT AID, IN SUPPORT OF ACADEMIC EFFORT. FOR THE VAST MAJORITY OF ENROLLED STUDENTS, THESE AMOUNTS ARE PAID BY DIRECT DEPOSIT TO STUDENT BANK ACCOUNTS IN THE UNITED STATES. AT THE TIME OF CONSTRUCTIVE RECEIPT OF THESE FUNDS IN THE U.S., IT IS POSSIBLE THAT STUDENTS (PARTICULARLY DOCTORAL STUDENTS) MIGHT BE TRAVELING, OR "LIVING," OUTSIDE OF THE U.S. DURING THE COURSE OF THEIR ACADEMIC WORK, OR EVEN FOR PERSONAL PURPOSES. STANFORD REQUIRES THAT STUDENTS WHO ARE RECEIVING FINANCIAL AID MAINTAIN THEIR REGISTRATION STATUS, AND BE ENROLLED FOR ACADEMIC CREDIT IN UNIVERSITY-APPROVED PROGRAMS. THE UNIVERSITY DOES NOT BROADLY CONSIDER FINANCIAL AID DISBURSEMENTS IN THE UNITED STATES TO ENROLLED STUDENTS AS "GRANTS TO FOREIGN INDIVIDUALS," AND HAS ACCORDINGLY REPORTED ON SCHEDULE F THOSE GRANTS PAID OUTSIDE OF THE UNITED STATES, OR GRANTS FOR USE OUTSIDE THE UNITED STATES FOR PROGRAMS WHICH HAVE A READILY IDENTIFIABLE FOREIGN COMPONENT THAT IS SEPARATELY TRACKED. THE FOLLOWING CATEGORIES OF AID ARE PAID DIRECTLY TO STUDENTS OR SCHOLARS OUTSIDE OF THE UNITED STATES, OR FOR INTENDED USE OUTSIDE THE U.S., AND ARE REPORTED ON SCHEDULE F, PART III. RESEARCH GRANTS: THE UNIVERSITY FUNDS A SUMMER INDEPENDENT RESEARCH GRANT PROGRAM AVAILABLE ON A COMPETITIVE BASIS TO UNDERGRADUATES. AS FOR MOST FINANCIAL AID, THESE GRANTS ARE DISBURSED IN THE UNITED STATES TO ENROLLED STUDENTS. OPPORTUNITIES TO FORMALLY PRESENT RESULTING ACADEMIC RESEARCH FINDINGS ARE PROVIDED, WHICH CONTRIBUTES TO THE ASSURANCE THAT MONIES ARE USED FOR THE INTENDED PURPOSE. THOSE AWARDS EXCEEDING $5,000, WHERE THE INTENDED USE OF THE RESEARCH GRANT IS OUTSIDE OF THE U.S., ARE REPORTED IN PART III. SERVICE LEARNING FELLOWSHIPS: STANFORD'S HAAS CENTER FOR PUBLIC SERVICE MANAGES A PROGRAM TO ENGAGE STANFORD STUDENTS IN SERVICE LEARNING OPPORTUNITIES. THESE PLACEMENTS ARE CLOSELY MONITORED BY PROGRAM OFFICERS PRIOR TO AND AFTER THEY OCCUR, TO ASSURE THE MAXIMUM BENEFIT OF THE LEARNING EXPERIENCE. FELLOWSHIP PLACEMENTS OUTSIDE OF THE U.S. FOR WHICH STUDENTS RECEIVED SUPPORT IN EXCESS OF $5,000 ARE BEEN REPORTED IN PART III. 1. SCHOLARSHIPS STANFORD MANAGES A CONSORTIUM LANGUAGE PROGRAM LOCATED IN THE EAST ASIA/PACIFIC REGION ON BEHALF OF SEVERAL U.S. UNIVERSITIES. SCHOLARSHIPS TO ATTEND THIS PROGRAM ARE AWARDED BY THE CONSORTIUM, AND ARE DISBURSED FROM STANFORD DIRECTLY TO THE CONSORTIUM PROGRAM OFFICE OVERSEAS. 2. OVERSEAS STUDIES PROGRAM-INTERNSHIP STIPENDS AS PART OF ITS UNDERGRADUATE OVERSEAS STUDY PROGRAM IN EUROPE, THE UNIVERSITY IS ABLE TO PLACE ELIGIBLE STANFORD STUDENTS IN LOCAL INTERNSHIPS FOR 3-6 MONTHS. STUDENTS ARE PAID A STIPEND TO COVER THEIR HOUSING, FOOD AND LIVING EXPENSES. UNIVERSITY PROGRAM MANAGERS IN THESE COUNTRIES WORK WITH RECIPIENT ORGANIZATIONS TO MONITOR STUDENT PERFORMANCE AND PROVIDE FEEDBACK. THESE AMOUNTS ARE REPORTED IN PART III AS GRANTS TO INDIVIDUALS, LIVING OUTSIDE OF THE U.S. THE IN-COUNTRY EXPENDITURES RELATING TO EACH OF THE OVERSEAS STUDIES CENTERS ARE REPORTED IN PART I, LINE 3 AS A PROGRAM ACTIVITY. A VERY SMALL PROPORTION OF THOSE EXPENSES ARE REPRESENTED BY CASH PAYMENTS TO STUDENTS FOR PER DIEM MEAL ALLOWANCES. THESE HAVE BEEN INCLUDED AS PROGRAM ACTIVITY EXPENSES, NOT AS GRANTS TO INDIVIDUALS. 3. FELLOWSHIP INCLUDED IN PART III IS A ONE-TIME STIPEND PAYMENT TO THE EUROPEAN HOME INSTITUTION IN SUPPORT OF A SCHOLAR VISITING STANFORD FOR THE YEAR. 4. SENIOR SCHOLAR SUPPORT: THESE RESEARCH GRANTS REPRESENT STIPEND PAYMENTS FOR NON-STUDENT FELLOWSHIPS SUCH AS SENIOR FELLOWS WHO MAY BE ASSOCIATED WITH THE UNIVERSITY FOR LIMITED PERIODS OF TIME TO UNDERTAKE A PARTICULAR ACADEMIC PROJECT. AMOUNTS REPORTED ON SCHEDULE F PART III REPRESENT SUPPORT PAID TO INDIVIDUALS OUTSIDE OF THE UNITED STATES. 5. LOAN FORGIVENESS AMOUNTS REPORTED IN PART III REPRESENT PAYMENT MADE UNDER STANFORD'S GRADUATE SCHOOL OF BUSINESS (GSB) INTERNATIONAL OR NON-PROFIT LOAN FORGIVENESS PROGRAMS. THESE PROGRAMS ARE PART OF THE GSB'S BROADER GOAL TO HAVE GREATER INTERNATIONAL IMPACT AND TO INCREASE ACCESS TO GLOBAL OPPORTUNITIES. ELIGIBILITY FOR BOTH PROGRAMS IS MONITORED BY THE GSB FINANCIAL AID OFFICE, AND SINCE THE PROGRAMS ARE GIFT-FUNDED, THE UNIVERSITY IS REQUIRED TO DEMONSTRATE THAT IT HAS USED THE FUNDS IN ACCORDANCE WITH DONOR RESTRICTIONS. SUB-AWARDS ARE PAYMENTS TO THIRD PARTY RECIPIENTS FOR PERFORMING A PORTION OF A STANFORD RESEARCH PROGRAM, MOST OFTEN A SPONSORED-RESEARCH PROJECT. SUB-AWARDS ARE AGREEMENTS FOR CONTRACTUALLY DEFINED DELIVERABLES, USUALLY REQUIRING HIGHLY SPECIFIC EXPERTISE. AS SUCH THEY ARE PROBABLY BEST LEGALLY DESCRIBED AS CONTRACTS. HOWEVER, SUB-AWARDS MIGHT ALSO BE CATEGORIZED AS EITHER GRANTS OR CONTRACTS, DEPENDING ON THE NATURE OF THE ORIGINATING PRIME FUNDING SOURCE, SINCE THE TERMS AND CONDITIONS OF THE ORIGINATING FUNDING SOURCE GENERALLY FLOW THROUGH TO THE SUB-AWARD. ACCORDINGLY, GRANT-FUNDED SUB-AWARDS ARE REPORTED IN PART II. CONTRACT-FUNDED SUB-AWARDS TO FOREIGN RECIPIENTS ARE REPORTED IN PART I, LINE 3 AS RESEARCH PROGRAM ACTIVITIES. THE PROCEDURES FOR MONITORING BOTH TYPES OF SUB-AWARDS ARE ESSENTIALLY IDENTICAL. AN INITIAL RISK ASSESSMENT OF THE SUB-RECIPIENT IS CONDUCTED PRIOR TO THE GRANTING OF THE SUB-AWARD. THIS, TOGETHER WITH AN AUDIT/FINANCIALS REVIEW, PROVIDES INSIGHT ON WHETHER IT IS APPROPRIATE AND REASONABLE TO ENTER INTO THE SUB-AWARD, OR WHETHER ADDITIONAL TERMS MUST BE ADDED TO THE SUB-AWARD AGREEMENT FOR GREATER ASSURANCE OF ITS SAFE-HANDLING. IN ACCORDANCE WITH U.S. OMB CIRCULAR A-133 REQUIREMENTS, THE SUB-RECIPIENT IS REQUIRED TO ANNUALLY COMPLETE A QUESTIONNAIRE DESIGNED TO ASSESS CERTAIN OF THE ENTITY'S INTERNAL CONTROLS, AND FINANCIAL STATUS. THIS INFORMATION IS COLLECTED AND REVIEWED BY SPONSORED RESEARCH SPECIALISTS. INVOICES SUBMITTED BY THE SUB-RECIPIENT TO THE UNIVERSITY ARE REVIEWED TO ENSURE THAT CHARGED EXPENSES MEET BOTH INTERNAL ACCOUNTING POLICIES, AS WELL AS STANDARDS ESTABLISHED BY U.S. OMB CIRCULAR A-21. AWARDS ARE MONITORED ON AN ONGOING BASIS BY MEETING, REPORT OR COMMUNICATION, BY BOTH THE AWARD PRINCIPAL INVESTIGATOR AND THE UNIVERSITY'S SUB-RECIPIENT MONITORING OFFICER TO ENSURE THAT PROGRESS IS PROCEEDING AS AGREED. Earthquake Relief-a one-time payment was made by the University, on behalf of the School of Medicine, to a hospital in Haiti to support patient care for victims of the January 2010 Haitian earthquake. PART I, LINE 3, COLUMN (F) AS A LEADING RESEARCH INSTITUTION, STANFORD UNIVERSITY CONDUCTS ACTIVITIES ALL OVER THE WORLD IN PURSUIT OF ITS ACADEMIC MISSION OF INSTRUCTION, RESEARCH AND PATIENT CARE. ITS STUDENT, FACULTY AND ALUMNI COMMUNITIES ARE SIMILARLY INTERNATIONAL IN CHARACTER, AND SEEK TO COLLABORATE IN AN INTERDEPENDENT WORLD TO UNDERSTAND AND SOLVE GLOBAL CHALLENGES. IN ACCORDANCE WITH IRS GUIDANCE, THE UNIVERSITY HAS REPORTED ON SCHEDULE F EXPENDITURES RELATING TO FOREIGN ACTIVITIES WHICH ARE SEPARATELY TRACKED IN THE ACCOUNTING SYSTEM. ALL UNIVERSITY EXPENDITURES ARE TRACKED AND REPORTED IN THE ACCOUNTING SYSTEM; HOWEVER, THERE HAS PREVIOUSLY BEEN NO PERSUASIVE BUSINESS PURPOSE TO WARRANT THE CATEGORIZATION OF EXPENDITURES GEOGRAPHICALLY. GRANTMAKING GRANTS REPORTED ON SCHEDULE F ARE SEPARATELY TRACKED IN THE ACCOUNTING SYSTEM, CATEGORI UNDER ONE LUNCH 236587 227087 9500 1500 67812 TAILGATES 28130 28130 94164 6 75186 75186 4200 185943 339903 227087 112816 5700 347919 353619 -240803 true ALLIANCE FOR SCHOOL CHOICE 1660 L ST NW STE 1000 C/O FONDA ANDERSON Washington DC 20036 522111508 501(c)(3) 25000 Research and Educ. UCSB FOUNDATION UCSB DEV OFFICE SANTA BARBARA CA 93106 237314834 501(c)(3) 100000 public univ. support MAKING WAVES EDUCATION PROGRAM 50 S LASALLE STREET c/o Glenn Holsclaw Executive Direc CHICAGO IL 60603 943267851 501(c)(3) 100000 education assistance program SANTA BARBARA COTTAGE HOSPITAL FDn PO BOX 689 C/O SUZANNE RYAN CURRAN DALSTON Los Angeles CA 93102 953802238 501(c)(3) 250000 Hospital SANTA BARBARA CENTER FOR PERFORMING ARTS 14 E CARILLO ST SB CA 931016727 953847102 501(c)(3) 20000 THEATRE OAKLAND CHILDREN'S FAIRYLAND 699 BELLEVUE AVENUE c/o CJ Hirschfield Executive Direc OAKLAND CA 94610 943209054 501(c)(3) 25000 CHILDREN'S PARK GIRLS INC OF ALAMEDA COUNTY 13666 E 14TH STREET C/O JANELLE CAVANAGH CDO SAN LEANDRO CA 94578 941558073 501(c)(3) 15000 YOUTH SERVICES Juvenile diabetes research foundation 49 STEVENSON STREET SUITE 1200 SAN FRANCISCO CA 94105 231907729 501(c)(3) 10000 Research and Educ. ARTHRITIS FOUNDATION-NORTHERN CALIFORNIA 657 MISSION ST SUITE 603 C/O TERRY BYRNES SAN FRANCISCO CA 94105 941212126 501(c)(3) 10000 GENERAL GRANT Lincoln Child Center 4368 Lincoln ave C/O CRISTINE STONER-MERTZ oakland CA 94602 941156501 501(c)(3) 10000 YOUTH SERVICES VILLANOVA University 800 LANCASTER AVE OFFICE OF UNIVERSITY ADVANCEMENT VILLANOVA PA 19085 231352688 501(c)(3) 20000 SCHOLARSHIP FUND EMBRACE 20170 THELMA AVE C/O LINUS LIANG SARATOGA CA 95070 830509261 501(c)(3) 20000 GENERAL GRANT SCHWAB CHARITABLE FUND 211 MAIN STREET SAN FRANCISCO CA 94105 311640316 501(c)(3) 268500 GENERAL GRANT UNION COLLEGE 807 UNION ST C/O STEPHEN DARE VP COLLEGE RELATI SCHENECTADY NY 12308 200163689 501(c)(3) 35000 ACADEMIC AFFAIRS MENLO PARK PRESBYTERIAN CHURCH 950 SANTA CRUZ AVE MENLO PARK CA 94025 941167435 501(c)(3) 100000 GENERAL GRANT PIONEER FUND 733 BROAD STREET OFFICE OF COLLEGE ALUMNI RELATIONS GRINNELL IA 501121690 420680387 501(C)(3) 20000 GENERAL GRANT MENLO PARK ATHERTON EDUCATION FOUNDATION PO BOX 584 MENLO PARK CA 940260584 942871701 501(c)(3) 10000 GENERAL GRANT VALLEY PRESBYTERIAN CHURCH 945 PORTOLA ROAD PORTOLA VALLEY CA 94028 941556664 501(C)(3) 7500 TEKAX WATER PROJECT COMPUTER HISTORY MUSEUM 1401 N SHORELINE BLVD MNT VIEW CA 94043 770507525 501(C)(3) 20000 GENERAL GRANT VENTURE PHILANTHROPY PARTNERS 1201 15TH STREETNW SUITE 420 WASHINGTON DC 20005 311713618 501(c)(3) 200000 GENERAL GRANT STRIVE FOR COLLEGE COLLABORATIVE 3089 22ND ST 301 SAN FRANCISCO CA 94110 262499144 501(C)(3) 20000 GENERAL GRANT GRINNELL COLLEGE 733 BROAD STREET OFFICE OF DEVELOPMENT GRINNELL IA 501121690 420680387 501(C)(3) 10000 ATHLETICS 22 0 SCHOLARSHIPS FOR STUDENTS 12574 311594917 GRANTS AND ASSISTANCE Part I, Line 2 GRANTS AND ALLOCATIONS REFLECT NON-COMPENSATORY SUPPORT PROVIDED TO STUDENTS IN VARIOUS FORMS. STANFORD IS COMMITTED TO A NEED-BLIND ADMISSIONS POLICY, ADMITTING QUALIFIED UNDERGRADUATES WITHOUT REGARD TO THEIR ABILITY TO pAY AND TO PROVIDE A COMPREHENSIVE FINANCIAL AID PROGRAM FOR ALL ADMITTED undergraduates WHO HAVE NEED AS DETERMINED BY THE UNIVERSITY AND WHO MEET OTHER REQUISITE CONDITIONS FOR FINANCIAL AID. MORE THAN 80% OF UNDERGRADUATES RECEIVED SOME FORM OF FINANCIAL ASSISTANCE DURING THE TAX YEAR AS WELL AS 85% OF ALL GRADuATE STUDENTS from stanford and other sources. THE TOTAL FINANCIAL AID INCLUDES $227,439,266 IN MERIT AND NEED-BASED SCHOLARSHIPS AND FELLOWSHIPS. AN ADDITIONAL $85,068,486 REFLECTS AMOUNTS PAID FOR ADDITIONAL FINANCIAL SUPPORT TO STUDENTS, INCLUDING PAYMENTS FOR HEALTH INSURANCE, LIVING EXPENSES, AND SUPPORT OF POSTDOCTORAL FELLOWS. GRANT RECOMMENDATIONS FROM DONOR ADVISED FUNDS ARE REVIEWED AND APPROVED BY SENIOR OFFICIALS IN THE OFFICE OF DEVELOPMENT AND THE CONTROLLER'S OFFICE PRIOR TO PAYMENT. SUB-GRANTS Stanford occasionally receives grant support that is disbursed to other individuals or entities per the terms of the award. In most cases, prior to the grant to Stanford, the University will provide the granting entity with a list of such contemplated recipients. Generally, as work on the grant progresses, changes to these recipients must be approved by the granting agency. Due to these review requirements of the granting agency, Stanford does not report such payments on Form 990 as sub-grants when made to a domestic recipient. X X X X true true X X X X X true true false false false false false true true true John Hennessy 652423 0 0 0 18353 0 184231 0 130562 0 985569 0 0 0 john etchemendy 469361 0 0 0 150 0 204634 0 69849 0 743994 0 0 0 randall livingston 474658 0 0 0 150 0 84500 0 23208 0 582516 0 0 0 John B Ford 11000 0 511595 0 2721 0 0 0 9967 0 535283 0 406088 0 martin shell 375325 0 20000 0 10073 0 104500 0 26244 0 536142 0 0 0 debra zumwalt 489244 0 0 0 150 0 153250 0 26726 0 669370 0 0 0 robert c reidy 335664 0 270000 0 0 0 173223 0 28224 0 807111 0 0 0 david demarest 308960 0 10000 0 1621 0 74500 0 26757 0 421838 0 0 0 howard wolf 283430 0 46950 0 0 0 23813 0 48798 0 402991 0 0 0 william madia 197054 0 40000 0 300 0 10474 0 3384 0 251212 0 0 0 Diane Peck 285280 0 26000 0 250 0 24500 0 17774 0 353804 0 0 0 John Powers 756367 0 366216 0 0 0 250711 0 21895 0 1395189 0 0 0 Philip A Pizzo 582187 0 0 0 19583 0 229500 0 24615 0 855885 0 0 0 Richard Saller 431815 0 10000 0 49107 0 15877 0 10529 0 517328 0 0 0 Frank Hanley 392301 0 1075000 0 0 0 224500 0 19449 0 1711250 0 0 0 Gary Steinberg 565930 0 628536 0 0 0 23510 0 19549 0 1237525 0 0 0 Thomas M Krummel 501560 0 472638 0 1039 0 24500 0 35879 0 1035616 0 0 0 Michael Edwards 410063 0 535011 0 0 0 25447 0 19465 0 989986 0 0 0 Vadilaya M Reddy 272135 0 535410 0 9444 0 24500 0 19039 0 860528 0 0 0 Edward E Manche 445033 0 129000 0 7539 0 23655 0 27146 0 632373 0 0 0 Amin A Milki 295780 0 268426 0 9292 0 24500 0 25734 0 623732 0 0 0 JOHN A FEREJOHN 171923 0 801357 0 0 0 21253 0 12767 0 1007300 0 750357 0 PART I, LINE 1A TRAVEL POLICY STANFORD UNIVERSITY TRAVEL POLICY GENERALLY REQUIRES ALL EMPLOYEES TO USE THE MOST ECONOMICAL MODE OF TRANSPORTATION AVAILABLE CONSISTENT WITH THE AUTHORIZED BUSINESS PURPOSE OF THE TRAVEL. IN ORDER TO BE REIMBURSED ON A TAX-FREE BASIS EMPLOYEES ARE REQUIRED TO COMPLY WITH THE ACCOUNTABLE PLAN RULES UNDER I.R.C. SECTION 62. UNIVERSITY OFFICERS AND OTHER INDIVIDUALS ENUMERATED IN SCHEDULE J ARE FULLY SUBJECT TO THE SAME POLICIES AND PROCEDURES AS ANY OTHER EMPLOYEE OF THE UNIVERSITY. ON RARE OCCASIONS, FIRST CLASS TRAVEL WILL BE AUTHORIZED BASED ON MEDICAL NEED OR OTHER EXIGENCY APPROVED BY THE PROVOST. SIMILARLY, REIMBURSEMENT OF TRAVEL FOR COMPANIONS IS SUBJECT TO THE PRE-APPROVAL OF THE PROVOST AND MUST BE CONSISTENT WITH THE AUTHORIZED BUSINESS PURPOSE OF THE TRAVEL IN ORDER TO BE NON-TAXABLE. PRESIDENT AND PROVOST HOUSING AS A CONDITION OF HIS EMPLOYMENT AS PRESIDENT OF THE UNIVERSITY AND FOR THE CONVENIENCE OF THE UNIVERSITY, MR. HENNESSY IS REQUIRED TO LIVE IN THE PRESIDENT'S HOME ON THE CAMPUS OF THE UNIVERSITY. AS A CONDITION OF HIS EMPLOYMENT AS PROVOST OF THE UNIVERSITY AND FOR THE CONVENIENCE OF THE UNIVERSITY, MR. ETCHEMENDY IS ALSO REQUIRED TO LIVE ON THE CAMPUS OF THE UNIVERSITY. THEIR RESIDENCES ARE USED FREQUENTLY FOR UNIVERSITY BUSINESS, INCLUDING OFFICIAL GATHERINGS OF FACULTY, STAFF, STUDENTS, ALUMNI, DONORS, AND THEIR FAMILIES. AS PART OF A PROGRAM OF APPROPRIATE AND REGULAR MAINTENANCE OF THESE HOUSES, THE UNIVERSITY PROVIDES CLEANING SERVICE FOR THE PUBLIC AND PRIVATE AREAS. THE UNIVERSITY HAS INCLUDED AS NONTAXABLE COMPENSATION IN COLUMN D THE ESTIMATED RENTAL VALUE OF THE HOUSING FOR THE AREAS OF THESE RESIDENCES RESERVED FOR THE PERSONAL USE OF THE EMPLOYEES, BASED UPON THE PREVAILING RENTAL RATES IN PALO ALTO, AND ACTUAL COSTS OF RELATED SERVICES FOR THE PERSONAL AREAS, INCLUDING MAINTENANCE, CLEANING, AND UTILITIES. PART 1, LINE 4B DEFERRED COMPENSATION PLAN PROVISIONS OFFICERS AND OTHERS LISTED IN SCHEDULE J, PART II PARTICIPATE IN A DEFERRED COMPENSATION PLAN. ANNUALLY, AMOUNTS ARE CREDITED TO THE PLAN BASED ON PERFORMANCE AND CERTAIN OTHER FACTORS. PLAN BALANCES ARE SUBJECT TO FORFEITURE AND/OR PAYMENT ONLY IF CERTAIN CONDITIONS ARE MET. SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN (SERP) THE UNIVERSITY PROVIDES THE PRESIDENT WITH A SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN (SERP) TO SUPPLEMENT HIS SOCIAL SECURITY AND 403(B) RETIREMENT BENEFITS. THE SERP IS EARNED GRADUALLY THROUGH HIS TERM OF SERVICE AS AN OFFICER. IF THE PRESIDENT REMAINS IN HIS POSITION THROUGH AUGUST 31, 2012, HE WILL RECEIVE A BENEFIT APPROXIMATELY EQUAL TO AN ANNUAL PAYMENT FOR LIFE OF 35.5% OF HIS HIGHEST THREE YEAR AVERAGE BASE PAY (2 PERCENTAGE POINTS OF WHICH WAS EARNED IN FY 2010), OFFSET BY THE ANNUITY EQUIVALENT OF HIS ANTICIPATED SOCIAL SECURITY BENEFIT AND AMOUNTS CONTRIBUTED BY THE UNIVERSITY DIRECTLY TO HIS 403(B) DEFINED CONTRIBUTION RETIREMENT PLAN WHILE HE IS AN OFFICER. THE SERP BENEFIT IS SUBJECT TO FORFEITURE IF CERTAIN CONDITIONS ARE NOT MET. FOR THE YEAR ENDED AUGUST 31, 2010, THE VALUE OF THE ANNUAL ACCRUAL OF THIS BENEFIT WAS $159,731 AND IS INCLUDED ON SCHEDULE J-1 COLUMN (C) AS DEFERRED COMPENSATION. THE UNIVERSITY ALSO PROVIDES THE PROVOST WITH A SUPPLEMENTAL EXECUTIVE RETIREMENT PLAN (SERP) TO SUPPLEMENT HIS SOCIAL SECURITY AND 403(B) RETIREMENT BENEFITS. THE SERP IS EARNED GRADUALLY THROUGH HIS TERM OF SERVICE AS PROVOST. IF THE PROVOST REMAINS IN HIS POSITION THROUGH AUGUST 31, 2012, HE WILL RECEIVE A BENEFIT APPROXIMATELY EQUAL TO AN ANNUAL PAYMENT FOR LIFE OF 33% OF HIS HIGHEST THREE YEAR AVERAGE BASE PAY (3 PERCENTAGE POINTS OF WHICH WAS EARNED IN FY 2010), OFFSET BY THE ANNUITY EQUIVALENT OF HIS ANTICIPATED SOCIAL SECURITY BENEFIT AND AMOUNTS CONTRIBUTED BY THE UNIVERSITY DIRECTLY TO HIS 403(B) DEFINED CONTRIBUTION RETIREMENT PLAN WHILE HE IS AN OFFICER. THE SERP BENEFIT IS SUBJECT TO FORFEITURE IF CERTAIN CONDITIONS ARE NOT MET. FOR THE YEAR ENDED AUGUST 31, 2010, THE VALUE OF THE ANNUAL ACCRUAL OF THIS BENEFIT WAS $180,134 AND IS INCLUDED ON SCHEDULE J-1 COLUMN (C) AS DEFERRED COMPENSATION. PART I, LINE 7 AND PART II, COLUMN B (II) COMPENSATION OF FACULTY IN THE STANFORD SCHOOL OF MEDICINE TOTAL COMPENSATION FOR FACULTY IN THE SCHOOL OF MEDICINE IS MADE UP OF THE FOLLOWING INTEGRAL COMPONENTS: SALARY AND BENEFITS, ADMINISTRATIVE SUPPLEMENTS, AND BONUSES AWARDED UNDER DEPARTMENTAL PLANS. BASE SALARY IS BASED ON ACADEMIC RANK (E.G., PROFESSOR, ASSISTANT PROFESSOR). A VARIABLE COMPONENT OF SALARY IS DETERMINED PRIMARILY BY THE CONTRIBUTION OF THE INDIVIDUAL TO THE DEPARTMENT/DIVISION AND SECONDARILY BY THE CLINICAL SPECIALTY OF THE FACULTY MEMBER. OTHER SALARY SUPPLEMENTS ARE OCCASIONALLY USED TO PROVIDE FOR COMPENSATION GIVEN UP BY A FACULTY MEMBER WHEN ASSUMING A POSITION AT STANFORD. ADMINISTRATIVE SUPPLEMENTS ARE PAID TO FACULTY WHO TAKE ON DUTIES WHICH ARE OUTSIDE THEIR USUAL FACULTY RESPONSIBILITIES AND OUTSIDE NORMAL COMMITTEE WORK. INCENTIVE BONUSES ARE CONSIDERED A FUNDAMENTAL COMPONENT OF TOTAL COMPENSATION. THEY ARE PAID OUT BY THE DEPARTMENTS BASED ON THE DEPARTMENT'S INCENTIVE BONUS PLAN MEASURING THE FACULTY'S EFFORTS IN RESEARCH, TEACHING, CLINICAL, AND/OR ADMINISTRATIVE LEADERSHIP AREAS AS DEFINED BY THE PLAN. IN ADDITION, THE DEAN HAS A BONUS PLAN FOR CLINICAL CHAIRS BASED ON ACHIEVEMENT OF LEADERSHIP GOALS. SOME DEPARTMENTS HAVE "ON-CALL" AND "COVERAGE" BONUSES TO PROVIDE COMPENSATION FOR A FACULTY MEMBER'S PROVIDING OFF-HOURS COVERAGE. VARIABLE COMPENSATION OF INVESTMENT PROFESSIONALS A PORTION OF THE COMPENSATION PAID TO LISTED INVESTMENT PROFESSIONAL EMPLOYEES IS BASED ON A COMBINATION OF THREE FACTORS: THREE YEAR ANNUALIZED PERFORMANCE VERSUS THE RELEVANT POLICY portfolio BENCHMARK RETURN FOR THAT PERIOD, THREE YEAR ANNUALIZED PERFORMANCE VERSUS THe PERFORMANCE OF THE NINETEEN LARGEST COLLEGE AND ENDOWMENT INVESTMENT POOLS IN THE UNITED STATES, AND INDIVIDUAL PERFORMANCE. VARIABLE COMPENSATION OF OFFICERS AND OTHERS OFFICERS AND OTHERS ARE ELIGIBLE TO RECEIVE BONUSES AND INCENTIVE COMPENSATION BASED ON PERFORMANCE, AS ENUMERATED IN PART II, COLUMN B(II). PART I, LINE 8 CERTAIN OFFICERS ARE SERVING UNDER THE PROVISIONS OF THEIR INITIAL CONTRACTS TO SERVE AS OFFICERS OF THE UNIVERSITY, WHICH PRINCIPALLY ESTABLISHES THEIR COMPENSATION, RESPONSIBILITIES, AND DUTIES. PART II, COLUMN B (iii) HOUSING ASSISTANCE OTHER REPORTABLE COMPENSATION IN PART II, COLUMN B(III) INCLUDES HOUSING ASSISTANCE AND OTHER MISCELLANEOUS COMPENSATION. IN ADDITION, STANFORD HAS PROVIDED VARIOUS ITEMS OF "LISTED PROPERTY" (E.G. CELLULAR PHONES, COMPUTERS, AND PERIPHERALS) TO THE ABOVE LISTED EMPLOYEES PRINCIPALLY FOR THEIR BUSINESS USE. Part II, Columns C AND D STANFORD OFFICERS ACCRUE FUTURE BENEFITS THAT ARE AVAILABLE TO ALL STANFORD EMPLOYEES, SUCH AS POST-RETIREMENT MEDICAL INSURANCE AND TUITION BENEFITS, AND listed persons WHO ARE ALSO FACULTY ACCRUE FUTURE FACULTY BENEFITS SUCH AS SABBATICAL AND TENURE BUYOUT PROVISIONS. THESE BENEFITS ARE SUBJECT TO CERTAIN ELIGIBILITY REQUIREMENTS SUCH AS AGE, YEARS OF SERVICE, AND EMPLOYEE CLASSIFICATION. FOR SOME BENEFIT PLANS, THE UNIVERSITY RESERVES THE RIGHT TO CHANGE ELIGIBILITY REQUIREMENTS AND/OR THE NATURE AND EXTENT OF THE BENEFIT BEING PROMISED. THE VALUE OF THESE BENEFITS IS REPORTED FOR EACH OFFICER IN THE YEAR, IF ANY, SUCH BENEFITS ARE RECEIVED. INCLUDED IN PROFESSOR FEREJOHN'S COMPENSATION IS A PAYMENT OF $750,357 IN RETIREMENT INCENTIVES. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY CP 521705592 13018AAA8 2008-05-22 300000000 SEE SCHEDULE 0 false false CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY S 521705592 130175P89 2004-06-24 181200000 SEE SCHEDULE O false false CALINFORNIA EDUCATIONAL FACILITIES AUTHORITY T-1&3 521705592 130178JD9 2007-09-06 153277097 SEE SCHEDULE O false false CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-4 521705592 130178NH5 2008-05-15 188501621 SEE SCHEDULE O false false CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-5 521705592 130178TQ9 2009-08-04 59147724 SEE SCHEDULE O false false 300218010 125619314 2010 true false false true 182432950 992205 180207795 2006 true false true true 156107104 661216 152615881 2009 true false true true 188507302 951621 187550000 2009 true false true true 59148032 1644 58644018 2003 false true true true false true false true true 0.00000 0.00000 0.00000 true false true false true true 0.00000 0.00000 0.00000 true false true false true true 0.00000 0.00000 0.00000 true false true false false false true false true false false false false false false false false false false false false false false false false false false false false false true ROBERT REIDY HOUSING X 200000 200000 false true true RICHARD SALLER HOUSING X 600000 303515 false true true RICHARD SALLER HOUSING X 300000 300000 false true true RICHARD SALLER HOUSING X 300000 210000 false true true RICHARD SALLER HOUSING X 25000 25000 false true true PHILIP PIZZO HOUSING X 1500000 1500000 false true true PHILIP PIZZO HOUSING X 590000 530044 false true true PHILIP PIZZO HOUSING X 600000 600000 false true true PHILIP PIZZO HOUSING X 125000 37500 false true true MARTIN SHELL HOUSING X 1000000 1000000 false true true 4706059 SEE SCHEDULE O X 15 0 N/A X 1 0 N/A X 0 N/A X 1349 134597078 MARKET VALUE X 10 12897147 APPRAISAL X 1 20750 APPRAISAL X 12294918 APPRAISAL X 584738 APPRAISAL X 1 0 N/A X HORSES 5 0 N/A X EQUIPMENT 2 117197 RETAIL 36 false true false PART I, COLUMN (B) IN COLUMN B, STANFORD IS REPORTING THE NUMBER OF CONTRIBUTIONS. PART I, LINE 33 NON-CASH CONTRIBUTIONS - GENERAL EXPLANATION STANFORD DOES NOT INCLUDE IN GIFT REVENUE TOTALS THE FOLLOWING TYPES OF NON-CASH CONTRIBUTIONS: - ART - BOOKS AND PUBLICATIONS - COLLECTIBLES - HORSES IN MANY CASES, VALUES OF SUCH ITEMS ARE DIFFICULT AND EXPENSIVE TO ASCERTAIN AND CONFIRM FOR FINANCIAL STATEMENT PURPOSES. Index of Responses Appearing in Schedule O Form Reference Description ============== =========== FORM 990, PAGE 1, LINE K FORM OF ORGANIZATION Form 990, Parts I and III, Line 1 Organization's Mission Form 990, Part I, Line 6 Volunteers Form 990, Part III, Line 4a-d Statement of Program Accomplishments Form 990, Part IV, Line 12-12A How the Financial Statements were Audited Form 990, Part V, Line 4b Countries of Foreign Bank Accounts Form 990, Part VI, Section B, Line 11A Preparation and Review of the Form 990 Form 990, Part VI, Section A, Line 2; Section B, Line 12c; and Schedule L Conflict of Interest Form 990, Part VI, Section B, Line 15 Compensation Determination Form 990, Part VI, Section C, Line 19 How Stanford Makes Its Governing Documents Available to the Public FORM 990, PART VIII, SECTION B INDEPENDENT CONTRACTORS Schedule K, Part I, Column C CUSIP Number Schedule K, Part I, Column F Description of Purpose for Tax-Exempt Bonds SCHEDULE K, PART II COMMERICIAL PAPER DEBT SCHEDULE K, PART III REFINANCING SCHEUDLE K, PART III, PRIVATE BUSINESS USE, LINES 4-5 PRIVATE BUSINESS USE SCHEUDLE K, PART IV FORM 8038-T Schedule L, Part II Loans To/From Interested Persons FORM 990, PAGE 1, LINE K FORM OF ORGANIZATION THE LELAND STANFORD JUNIOR UNIVERSITY WAS FOUNDED BY SENATOR AND MRS. LELAND STANFORD ON NOVEMBER 11, 1885, IN MEMORY OF THEIR ONLY CHILD, LELAND, JR. THE FOUNDING WAS ACCOMPLISHED BY A GRANT OF ENDOWMENT, KNOWN AS THE FOUNDING GRANT, WHICH CONVEYED IN TRUST TO A BOARD OF TRUSTEES CERTAIN PROPERTIES, DIRECTED THAT A UNIVERSITY BE ESTABLISHED AND OUTLINED THE OBJECTIVES AND GOVERNMENT OF THE UNIVERSITY. SUBSEQUENT LEGISLATION IN THE STATE OF CALIFORNIA GRANTED THE UNIVERSITY CORPORATE POWERS EFFECTIVE 1901. ACCORDINGLY, STANFORD HAS ELECTED TO BE TREATED AS A CORPORATION FOR THE PURPOSES OF THE ADMINISTRATION OF FEDERAL AND STATE INCOME TAX LAW. Form 990, Parts I and III, Line 1 Organization's Mission - CONTINUED FROM PART I, LINE 1 AND PART III, LINE 1 STANFORD IS INTERNATIONALLY RECOGNIZED FOR THE QUALITY OF ITS TEACHING AND RESEARCH, ITS DISTINGUISHED FACULTY, AND ITS OUTSTANDING STUDENT BODY. IN THE YEARS SINCE ITS FOUNDING IN 1885, STANFORD HAS GROWN TO OVER 1900 FACULTY MEMBERS AND AN ENROLLMENT OF APPROXIMATELY 6900 UNDERGRADUATE AND 8400 GRADUATE STUDENTS. THE OBJECTIVE AND PURPOSES OF STANFORD UNIVERSITY, JANE AND LELAND STANFORD WROTE IN THEIR FOUNDING GRANT IN 1885, ARE "TO QUALIFY ITS STUDENTS FOR PERSONAL SUCCESS, AND DIRECT USEFULNESS IN LIFE; ... TO PROMOTE THE PUBLIC WELFARE BY EXERCISING AN INFLUENCE IN BEHALF OF HUMANITY AND CIVILIZATION, TEACHING THE BLESSINGS OF LIBERTY REGULATED BY LAW, AND INCULCATING LOVE AND REVERENCE FOR THE GREAT PRINCIPLES OF GOVERNMENT AS DERIVED FROM THE INALIENABLE RIGHTS OF MAN TO LIFE, LIBERTY, AND THE PURSUIT OF HAPPINESS." FORM 990, PART I, LINE 6 VOLUNTEERS THERE ARE THOUSANDS OF ALUMNI AND FRIENDS OF STANFORD UNIVERSITY WHO VOLUNTEERED THEIR SERVICES TO STANFORD OVER THE COURSE OF THE YEAR. THESE SERVICES RANGE FROM SERVING AS A MEMBER OF THE BOARD OF TRUSTEES OF THE UNIVERSITY TO BEING ON A FUNDRAISING COMMITTEE TO BEING ON AN ADVISORY BOARD OF AN INSTITUTE. FORM 990, PART III, LINE 4A STATEMENT OF PROGRAM SERVICE ACCOMPLISHMENTS, CONTINUED FROM PAGE 3 (EXPENSES $1,104,447,062 INCLUDING GRANTS OF $30,269,034, REVENUE $873,178,004) INSTRUCTION AND DEPARTMENTAL RESEARCH: INCLUDES THE SALARIES, FRINGE BENEFITS AND SUPPLIES NECESSARY TO TEACH ABOUT 15,300 STUDENTS, INCLUDING 6,900 UNDERGRADUATE AND 8,400 GRADUATE AND PROFESSIONAL SCHOOL STUDENTS. STANFORD'S 1,900 -PERSON FACULTY INCLUDES 16 NOBEL PRIZE WINNERS AND FOUR PULITZER PRIZE WINNERS. STANFORD HAS SEVEN SCHOOLS: BUSINESS, EARTH SCIENCES, EDUCATION, ENGINEERING, HUMANITIES AND SCIENCES, LAW, AND MEDICINE. CURRENT MULTIDISCIPLINARY INITIATIVES FOCUS ON WORLDWIDE PROBLEMS INVOLVING ENVIRONMENTAL SUSTAINABILITY, HUMAN HEALTH, GLOBAL PEACE AND SECURITY, AND K-12 EDUCATION. UNDERGRADUATES CHOOSE AMONG 60 MAJORS AND ARE ENCOURAGED TO LEARN CRITICAL THINKING SKILLS THROUGH RESEARCH. STANFORD STRIVES FOR CLOSE INTERACTION WITH FACULTY TO PREPARE STUDENTS TO BE TOMORROW'S LEADERS. FORM 990, PART III, LINE 4B (EXPENSES $927,699,608 INCLUDING GRANTS OF $23,424,351, REVENUE "NON PUBLIC" ONLY $187,504,732) ORGANIZED RESEARCH: RESEARCH IS INTEGRAL TO THE EDUCATIONAL MISSION OF STANFORD AND INVOLVES FACULTY, GRADUATE STUDENTS, AND UNDERGRADUATES WHO SEEK NEW KNOWLEDGE IN SERVICE TO HUMANITY. STANFORD FACULTY MEMBERS HAVE CONTRIBUTED TO ADVANCEMENTS IN HIGH TECHNOLOGY, INCLUDING THE CREATION OF DIGITAL SUBSCRIBER LINES, IDENTITY-BASED ENCRYPTION, GLOBAL POSITIONING SYSTEMS AND THE REDUCED INSTRUCTION SET COMPUTER, AMONG OTHER DISCOVERIES; DISEASE IDENTIFICATION AND MANAGEMENT, INCLUDING PROGRAMS USED BY MORE THAN 500 ORGANIZATIONS WORLDWIDE CONCERNED WITH CHRONIC HEALTH PROBLEMS SUCH AS ARTHRITIS AND HIV/AIDS; AND GENOME SEQUENCING, INCLUDING DISCOVERIES THAT CREATED THE FIELD OF GENETIC ENGINEERING. TODAY'S STANFORD FACULTY MEMBERS ARE LEADERS IN STEM CELL RESEARCH, NANOTECHNOLOGY, BIOENGINEERING, COMPUTING TECHNOLOGY, REFORM OF OUR NATION'S SCHOOLS AND ENVIRONMENTAL SUSTAINABILITY. THROUGH BOTH BASIC AND APPLIED RESEARCH, STANFORD IS COMMITTED TO PROVIDING NEW KNOWLEDGE THAT FUELS OUR NATIONAL ECONOMY AND TO TRAINING GRADUATE STUDENTS WHO WILL BECOME TOMORROW'S TEACHERS AND RESEARCHERS. STANFORD FACULTY MEMBERS ARE KNOWN FOR THEIR ABILITY TO CROSS INTERDISCIPLINARY BOUNDARIES TO CREATE TEAMS OF RESEARCHERS ABLE TO PROVIDE NEW INSIGHTS TO COMPLEX, WORLDWIDE PROBLEMS. SPECIFICALLY, STANFORD RESEARCHERS ARE FOCUSING THEIR RESOURCES TO MAKE GROUNDBREAKING ADVANCES THAT WILL LEAD TO IMPROVEMENTS IN HUMAN HEALTH, ENVIRONMENTAL SUSTAINABILITY, GLOBAL PEACE AND SECURITY, AND K-12 EDUCATION. FORM 990, PART III, LINE 4C (EXPENSES $640,222,060 INCLUDING GRANTS OF $1,055,816, REVENUE $576,661,204) UNIVERSITY AUXILIARY ACTIVITIES: INCLUDE AMONG OTHERS PATIENT CARE, STUDENT RESIDENCE AND DINING (R&DE), AND INTER-COLLEGIATE ATHLETIC PROGRAMS. RESIDENTIAL & DINING ENTERPRISES (R&DE) GENERATES REVENUES PRIMARILY THROUGH STUDENT ROOM AND BOARD, CONFERENCE FEES, AND OTHER ENTERPRISES. R&DE HOUSES 6,260 UNDERGRADUATE RESIDENTS (96% OF TOTAL UNDERGRADUATE STUDENTS) AND 4,760 GRADUATE RESIDENTS (56% OF TOTAL GRADUATE STUDENTS) AND SERVES 12,000 MEALS PER DAY (4,036 STUDENTS ON MEAL PLAN), WHILE PROVIDING STEWARDSHIP FOR 5 MILLION SQ FT OF PHYSICAL PLANT (OVER 1/3 OF CAMPUS). THE UNIVERSITY AND R&DE HAVE BEEN INVESTING IN THE RESIDENTIAL EDUCATION PROGRAM TO FOSTER AN ENVIRONMENT OF INTELLECTUAL, EDUCATIONAL, AND COMMUNITY-BUILDING ACTIVITIES IN STUDENT RESIDENCES. FORM 990, PART III, LINE 4D OTHER PROGRAM SERVICES (EXPENSES $548,776,535 INCLUDING GRANTS OF $268,740,617) ACADEMIC SUPPORT AND PUBLIC SERVICE 272,814,524 STUDENT FINANCIAL AID 227,439,266 SLAC CONSTRUCTION AND OTHER 48,522,745 ___________ TOTAL OTHER PROGRAM SERVICE EXPENSES 548,776,535 ACADEMIC SUPPORT AND PUBLIC SERVICE: STANFORD'S 14 MAIN AND BRANCH LIBRARIES INCLUDE MORE THAN 9 MILLION VOLUMES, 2.2 MILLION AUDIOVISUAL MATERIALS, 83,000 CURRENT SERIALS, THOUSANDS OF DIGITAL RESOURCES, AND 5.9 MILLION MICROFORM HOLDINGS. SPECIAL COLLECTIONS INCLUDE ABOUT 290,000 RARE BOOKS AND MORE THAN 59 MILLION PAGES OF MATERIALS. STANFORD UNIVERSITY PRESS PUBLISHES ABOUT 130 BOOKS PER YEAR, TWO-THIRDS OF WHICH ARE SCHOLARLY MONOGRAPHS AND TEXTBOOKS IN THE HUMANITIES AND THE SOCIAL SCIENCES. HIGHWIRE PRESS IS AN ELECTRONIC JOURNAL DEVELOPING AND HOSTING SERVICE THAT PRODUCES THE ONLINE VERSIONS OF 1,436 PEER-REVIEWED JOURNALS AND OTHER SCHOLARLY CONTENT. THE STANFORD UNIVERSITY NETWORK INCLUDES MORE THAN 150,000 COMPUTERS WITH ASSIGNED INTERNET PROTOCOL ADDRESSES. MORE THAN 9.5 TERABYTES OF DATA FLOW BETWEEN SUNET AND THE INTERNET EACH DAY. STUDENT SERVICES INCLUDE, AMONG OTHERS, THE DEAN OF STUDENTS OFFICE, THE REGISTRAR, THE ADMISSIONS OFFICE, THE FINANCIAL AID OFFICE, AND THE OFFICE FOR RELIGIOUS LIFE. STUDENT FINANCIAL AID: INCLUDES MERIT AND NEED-BASED SCHOLARSHIPS AND FELLOWSHIPS. SLAC CONSTRUCTION AND OTHER: THE UNIVERSITY MANAGES AND OPERATES SLAC NATIONAL ACCELERATION LABORATORY FOR THE DEPARTMENT OF ENERGY ("DOE") UNDER A MANAGEMENT AND OPERATING CONTRACT. REVENUES AND EXPENDITURES ARE INCLUDED IN STANFORD'S FINANCIAL STATEMENTS; ASSETS AND LIABILITIES ARE CARRIED ON DOE'S BOOKS. ACCORDINGLY, CONSTRUCTION EXPENDITURES ARE RECORDED AS EXPENDITURES HEREIN. FORM 990 PART IV, LINE 12-12A HOW THE FINANCIAL STATEMENTS WERE AUDITED STANFORD'S CONSOLIDATED FINANCIAL STATEMENTS AS OF AND FOR THE YEARS ENDED AUGUST 31, 2010 AND AUGUST 31, 2009 WERE AUDITED BY THE ACCOUNTING FIRM OF PRICEWATERHOUSECOOPERS ("PWC"). AS REQUIRED BY GENERAL ACCEPTED ACCOUNTING PRINCIPLES, THE UNIVERSITY'S FINANCIAL STATEMENTS ARE PREPARED ON A CONSOLIDATED BASIS AND INCLUDE THE UNIVERSITY ACCOUNTS AND THOSE OF STANFORD HOSPITAL AND CLINICS AND THE LUCILE SALTER PACKARD CHILDREN'S HOSPITAL AT STANFORD ("THE HOSPITALS"). THE FINANCIAL STATEMENTS DISCLOSE SEPARATELY THE ACCOUNTS OF THE UNIVERSITY FROM THOSE OF THE HOSPITALS. UNDER SEPARATE COVER, THE HOSPITALS PROVIDE AUDITED FINANCIAL STATEMENTS OF THEIR OWN ACCOUNTS. PWC UTILIZES SEPARATE AUDIT TEAMS TO CONDUCT THE AUDIT ENGAGEMENTS OF STANFORD AND THE HOSPITALS. EACH AUDIT IS CONDUCTED BY QUALIFIED PROFESSIONAL ACCOUNTANTS WITH AUDIT PLANS DESIGNED FROM THE SEPARATE ACCOUNTS FOR THE RESPECTIVE ENTITIES, IN ACCORDANCE WITH GENERALLY ACCEPTED AUDITING STANDARDS. STANFORD'S FORM 990 REPRESENTS THE ACCOUNTS OF THE UNIVERSITY. THE HOSPITALS FILE THEIR OWN SEPARATE 990 FORMS. FORM 990, PART V, LINE 4b STANFORD HAS AN INTEREST IN OR SIGNATURE AUTHORITY OVER BANK ACCOUNTS IN THE FOLLOWING COUNTRIES: AUSTRALIA AUSTRIA BELGIUM BRAZIL CANADA CHANNEL ISLANDS CHILE CHINA DENMARK FINLAND FRANCE GERMANY HONG KONG INDIA INDONESIA ISRAEL ITALY JAPAN LUXEMBOURG MALAYSIA MAURITIUS NETHERLANDS NEW ZEALAND NORWAY PAKISTAN PHILIPPINES POLAND QATAR SINGAPORE SOUTH AFRICA SOUTH KOREA SPAIN SWEDEN SWITZERLAND TAIWAN THAILAND TURKEY UNITED KINGDOM FORM 990, PART VI, SECTION B, LINE 11A PREPARATION AND REVIEW OF THE FORM 990 EACH YEAR, THE UNIVERSITY HAS ITS FINANCIAL STATEMENTS AUDITED BY THE INDEPENDENT ACCOUNTING FIRM OF PRICEWATERHOUSECOOPERS (PWC). DATA FOR THE 990 IS EXTRACTED FROM THE AUDITED FINANCIAL STATEMENTS AND SUPPLEMENTAL INFORMATION. COMPENSATION DATA IS EXTRACTED FROM PAYROLL RECORDS, AND IN EACH CASE CONFIRMED BY THE REPORTED INDIVIDUAL. THIS RETURN IS PREPARED BY THE TAX DEPARTMENT AND REVIEWED BY SENIOR MANAGEMENT AND THE BOARD OF TRUSTEES OF THE UNIVERSITY. THE FINAL VERSION IS THEN SIGNED BY THE SENIOR ASSOCIATE VICE PRESIDENT FOR FINANCE AND PWC AS PAID PREPARER. FORM 990, PART VI, SECTION A, LINE 2; SECTION B, LINE 12C; AND SCHEDULE L, PART IV CONFLICT OF INTEREST MEMBERS OF THE UNIVERSITY'S BOARD OF TRUSTEES ("TRUSTEES"), OFFICERS AND FACULTY MAY, FROM TIME TO TIME, BE ASSOCIATED, EITHER DIRECTLY OR INDIRECTLY, WITH ENTITIES DOING BUSINESS WITH THE UNIVERSITY. THE UNIVERSITY HAS CONFLICT OF INTEREST POLICIES THAT ARE STRICTLY ENFORCED TO ENSURE THAT ALL TRANSACTIONS WITH THESE PARTIES ARE ARM'S LENGTH, AND THERE IS NO FAVORABLE TREATMENT AS A RESULT OF THESE RELATIONSHIPS. CONFLICTS OF INTEREST ARE REGULARLY MONITORED, AND THE WRITTEN CONFLICT OF INTEREST POLICY IS CONSISTENTLY ENFORCED. UNIVERSITY-WIDE COMPLIANCE INITIATIVES INCLUDE TRAINING AND DOCUMENTATION, REQUIRED ANNUAL DISCLOSURE AND FOLLOW-UP; MANAGEMENT CONTROLS; ENTERPRISE RISK MANAGEMENT; REGULAR INTERNAL AND EXTERNAL AUDITS; WHISTLE-BLOWER PROVISIONS; SUPERVISION; AND REVIEW. VIOLATIONS ARE ADDRESSED THROUGH VARIOUS SANCTIONS, INCLUDING FINANCIAL PENALTIES AND TERMINATION, DEPENDING UPON THE NATURE AND DEGREE OF THE CONFLICT. FOR OFFICERS, THE UNIVERSITY REQUIRES ANNUAL DISCLOSURE OF SIGNIFICANT FINANCIAL INTERESTS IN EMPLOYMENT OR CONSULTING RELATIONSHIPS WITH ENTITIES DOING BUSINESS WITH THE UNIVERSITY. THESE ANNUAL DISCLOSURES COVER BOTH OFFICERS AND THEIR IMMEDIATE FAMILY. WHEN SUCH ASSOCIATIONS EXIST, MEASURES ARE TAKEN TO APPROPRIATELY MANAGE, IN THE BEST INTERESTS OF THE UNIVERSITY, ANY ACTUAL OR PERCEIVED CONFLICT. FACULTY MUST COMPLY WITH THE FACULTY CONFLICT OF INTEREST POLICY, WHICH REQUIRES ANNUAL CERTIFICATION OF COMPLIANCE WITH THE POLICY AND DISCLOSURE OF INTERESTS IN OUTSIDE ENTITIES THAT ARE SPONSORS OF THEIR TEACHING OR RESEARCH OR OTHER TRANSACTIONS WITH THE UNIVERSITY IN WHICH THEY ARE INVOLVED. ALL PERSONAL FINANCIAL INTERESTS RELATED TO STANFORD ACTIVITIES MUST BE REPORTED, REGARDLESS OF DOLLAR AMOUNT. FOR TRUSTEES, THE UNIVERSITY HAS A WRITTEN CONFLICT OF INTEREST POLICY THAT REQUIRES, AMONG OTHER THINGS, THAT NO MEMBER OF THE BOARD OF TRUSTEES IS PERMITTED TO PARTICIPATE IN ANY DECISION RELATING TO AN ENTITY IN WHICH HE OR SHE (OR AN IMMEDIATE FAMILY MEMBER) HAS A MATERIAL FINANCIAL INTEREST. THE CONFLICT OF INTEREST POLICY ALSO PRECLUDES THE UNIVERSITY FROM ENTERING INTO CERTAIN TRANSACTIONS WITH AN ENTITY IN WHICH A TRUSTEE HAS A MATERIAL FINANCIAL INTEREST UNLESS MEASURES ARE TAKEN TO MITIGATE ANY ACTUAL OR PERCEIVED CONFLICT. NAMELY, THE POLICY REQUIRES THAT SUCH TRANSACTIONS ARE CONDUCTED AT ARM'S LENGTH, FOR GOOD AND SUFFICIENT CONSIDERATION, BASED ON TERMS THAT ARE FAIR AND REASONABLE TO AND FOR THE BENEFIT OF THE UNIVERSITY, AND OTHERWISE IN ACCORDANCE WITH SOUND CONFLICT MANAGEMENT PRACTICES. THE CONFLICT OF INTEREST POLICY REQUIRES EACH TRUSTEE TO CERTIFY COMPLIANCE WITH THE CONFLICT OF INTEREST POLICY ON AN ANNUAL BASIS. SUBJECT TO THE POLICIES AND PROVISIONS OUTLINED ABOVE, AND WITHIN A WELL-DIVERSIFIED PORTFOLIO OF OVER 600 INDIVIDUAL ALTERNATIVE INVESTMENTS THAT SPAN MOST REGIONS OF THE WORLD AND MOST OF THE APPROPRIATE ASSET CLASSES FOR INVESTMENTS OF THIS NATURE, STANFORD MAY FROM TIME TO TIME INVEST ASSETS IN CERTAIN PARTNERSHIPS IN WHICH A TRUSTEE HAS A DIRECT OR INDIRECT GENERAL PARTNERSHIP INTEREST. SUCH INVESTMENTS ARE MADE BASED ON COMPELLING HISTORICAL PERFORMANCE AND TRACK RECORDS OF THE MANAGERS. THE INVESTMENT STRATEGIES OF THESE MANAGERS WERE ALSO ADDITIVE TO THE EXISTING PORTFOLIO AT THE TIME OF THE INVESTMENTS. IN ACCORDANCE WITH ITS CONTRACTUAL ARRANGEMENTS AS A GENERAL OR LIMITED PARTNER, WHICH ARE SIMILAR TO THOSE OF ALL OTHER INVESTORS IN SUCH ENTITIES, STANFORD IS REQUIRED, FROM TIME TO TIME, TO MAKE ADDITIONAL INVESTMENTS IN SUCH PARTNERSHIPS AND RECEIVES CASH DISTRIBUTIONS FROM REDEMPTION OR OTHER DISTRIBUTION OF PRINCIPAL, AS WELL AS ITS PRO-RATA SHARE OF EARNINGS AND OTHER GAINS GENERATED BY THE PARTNERSHIP, NET OF ANY FEES OR CARRIED INTEREST DILUTION OF THE GENERAL PARTNER. IN THE YEAR ENDED AUGUST 31, 2010, TRANSACTIONS WITH THE FOLLOWING TRUSTEES ROSE TO THE LEVEL OF DISCLOSURE REQUIRED BY THE IRS: WITH RESPECT TO STANFORD INVESTMENTS WHERE ROBERT BASS, A TRUSTEE, HAD A DIRECT OR INDIRECT INTEREST AS A GENERAL PARTNER, THE UNIVERSITY INVESTED $23,600,000 (0.27% OF TOTAL INVESTMENTS DURING THE YEAR ENDED AUGUST 31, 2010) AND RECEIVED DISTRIBUTIONS OF $9,800,000. WITH RESPECT TO STANFORD INVESTMENTS WHERE THOMAS STEYER, A TRUSTEE, HAD A DIRECT OR INDIRECT INTEREST AS A GENERAL PARTNER, THE UNIVERSITY MADE NO ADDITIONAL INVESTMENT AND RECEIVED DISTRIBUTIONS OF $5,500,000. WITH RESPECT TO STANFORD INVESTMENTS WHERE JOHN SCULLY, A TRUSTEE, HAD A DIRECT OR INDIRECT INTEREST AS A GENERAL PARTNER, THE UNIVERSITY INVESTED $5,300,000 (0.06% OF TOTAL INVESTMENTS) AND RECEIVED DISTRIBUTIONS OF $200,000. WITH RESPECT TO STANFORD INVESTMENTS WHERE STEVEN DENNING, A TRUSTEE, HAD A DIRECT OR INDIRECT FINANCIAL INTEREST AS A GENERAL PARTNER, THE UNIVERSITY INVESTED $19,600,000 (0.22% OF TOTAL INVESTMENTS) AND RECEIVED DISTRIBUTIONS OF $12,400,000. WITH RESPECT TO STANFORD INVESTMENTS WHERE JAMES COULTER, A TRUSTEE, HAD A DIRECT OR INDIRECT FINANCIAL INTEREST AS GENERAL PARTNER, THE UNIVERSITY MADE NO ADDITIONAL INVESTMENTS AND RECEIVED DISTRIBUTIONS OF $5,200,000. WITH RESPECT TO STANFORD INVESTMENTS WHERE ANN LAMONT, A TRUSTEE, HAD A DIRECT OR INDIRECT FINANCIAL INTEREST AS A GENERAL PARTNER, THE UNIVERSITY INVESTED $3,400,000 (0.04% OF TOTAL INVESTMENTS) AND RECEIVED DISTRIBUTIONS OF $1,800,000. IN AGGREGATE, REPORTABLE TRANSACTIONS RELATING TO ALL SUCH INVESTMENT RELATIONSHIPS WITH TRUSTEES AMOUNTED TO AN INVESTMENT BY STANFORD OF $51,900,000 (0.59% OF TOTAL INVESTMENTS) AND A RETURN TO STANFORD OF $34,900,000. PARTNERSHIPS IN WHICH MR. BASS OWNS A DIRECT OR INDIRECT GENERAL PARTNERSHIP INTEREST RENTED FACILITIES DIRECTLY OR INDIRECTLY OWNED BY STANFORD UNIVERSITY AND PAID RENT AT FAIR MARKET RATES TO STANFORD IN THE AMOUNT OF $4,409,140. THESE DISCLOSURES DO NOT INCLUDE TRANSACTIONS IN WHICH A TRUSTEE OR TRUSTEE FAMILY MEMBER PAYS TUITION, ROOM AND/OR BOARD COSTS FOR A STUDENT AT THE UNIVERSITY. JOHN HENNESSY, PRESIDENT AND A TRUSTEE, IS A MEMBER OF THE BOARD OF DIRECTORS OF CISCO SYSTEMS, INC. (CISCO) AND GOOGLE INC. (GOOGLE). THE UNIVERSITY PURCHASES GOODS AND SERVICES FROM CISCO AND GOOGLE IN THE NORMAL COURSE OF BUSINESS AND ALL PURCHASES ARE MADE, AT ARM'S LENGTH, IN ACCORDANCE WITH STANFORD PROCUREMENT POLICIES AND PROCEDURES. MR. HENNESSY DOES NOT PARTICIPATE IN ANY DECISIONS WITH RESPECT TO THESE COMPANIES. DURING THE YEAR ENDED AUGUST 31, 2010, STANFORD PURCHASES FROM CISCO AND GOOGLE AMOUNTED TO $4,803,000 AND $103,000 RESPECTIVELY: KAVITARK RAM SHRIRAM, A TRUSTEE, IS ALSO A DIRECTOR AT GOOGLE; JERRY YANG, A TRUSTEE, IS ALSO A DIRECTOR OF CISCO. CONSISTENT WITH THE UNIVERSITY MISSION OF SHARING AND DISSEMINATING KNOWLEDGE, STANFORD SUPPORTS THE GOOGLE BOOK SEARCH PROJECT, WHICH IS CURRENTLY THE SUBJECT OF LITIGATION. OVER THE PAST SIX YEARS GOOGLE HAS SCANNED ABOUT 3 MILLION BOOKS OWNED BY STANFORD. PRESIDENT HENNESSY IS A MEMBER OF THE GOOGLE BOARD OF DIRECTORS AND HAS NOT BEEN INVOLVED IN ANY OF THE NEGOTIATIONS OR DECISIONS INVOLVING THE GOOGLE BOOK SEARCH PROJECT. ISAAC STEIN, A TRUSTEE, IS A DIRECTOR OF THE NON-PROFIT IRVINE FOUNDATION, WHERE JAMES CANALES, A TRUSTEE, SERVES AS CHIEF EXECUTIVE OFFICER. DURING THE FISCAL YEAR ENDED AUGUST 31, 2010 STANFORD RECEIVED $1.1 MILLION IN GRANTS FROM THE IRVINE FOUNDATION. THE UNIVERSITY PAYS REASONABLE COMPENSATION AND REIMBURSEMENT OF EXPENSES FOR EMPLOYEES OF THE UNIVERSITY AND REASONABLE REIMBURSEMENT OF EXPENSES (AND NO COMPENSATION) FOR TRUSTEES. FORM 990, PART VI, SECTION B, LINE 15 COMPENSATION DETERMINATION THE ANNUAL PROCESS FOR DETERMINING COMPENSATION OF BOTH THE TOP MANAGEMENT OFFICIAL (PRESIDENT OF THE UNIVERSITY) AND OF OTHER OFFICERS/KEY EMPLOYEES INCLUDES REVIEW AND APPROVAL BY INDEPENDENT PERSONS, USE OF COMPARABILITY DATA AND CREATION OF CONTEMPORANEOUS SUBSTANTIATION OF THE DELIBERATION AND DECISION. IN THE CASE OF THE UNIVERSITY'S PRESIDENT, THE VICE PRESIDENT OF HUMAN RESOURCES, AT A PRELIMINARY MEETING WITH A SUBCOMMITTEE OF THE COMMITTEE ON COMPENSATION, PRESENTS AN ANALYSIS OF CURRENT RELEVANT MARKET DATA OBTAINED FROM AN INDEPENDENT HUMAN RESOURCE CONSULTING FIRM. THE SAME MATERIALS ARE SENT TO THE FULL COMMITTEE. AT THE MEETING OF THE FULL COMMITTEE AND IN THE ABSENSE OF THE PRESIDENT, DISCUSSION OCCURS PRIOR TO A VOTE. MINUTES OF BOTH MEETINGS ARE ON FILE IN THE OFFICE OF THE VICE PRESIDENT OF HUMAN RESOURCES. IN THE CASE OF OTHER OFFICERS/KEY EMPLOYEES, PER GUIDELINES IN THE COMMITTEE'S EXECUTIVE COMPENSATION POLICY AND PROCEDURES DOCUMENT, EACH YEAR THE VICE PRESIDENT OF HUMAN RESOURCES PROVIDES CURRENT RELEVANT MARKET DATA AND THE HISTORICAL PAY INFORMATION RELATING TO THESE PERSONS TO THE PRESIDENT OR TO THE PROVOST BASED ON THE REPORTING STRUCTURE. THE PRESIDENT AND PROVOST PROPOSE CHANGES IN COMPENSATION BASED ON EACH INDIVIDUAL'S PERFORMANCE AND ON THE MARKET DATA. THE COMMITTEE ON COMPENSATION REVIEWS THE RECOMMENDATIONS AND, FOLLOWING DISCUSSION, APPROVES THE RECOMMENDATIONS AS SUBMITTED OR WITH MODIFICATIONS. MINUTES OF THE MEETING ARE ON FILE IN THE OFFICE OF THE VICE PRESIDENT OF HUMAN RESOURCES. FORM 990, PART VI, SECTION C, LINE 19 HOW STANFORD MAKES ITS GOVERNING DOCUMENTS AVAILABLE TO THE PUBLIC. STANFORD UNIVERSITY MAKES ITS GOVERNING DOCUMENTS, CONFLICT OF INTEREST POLICY, AND FINANCIAL STATEMENTS AVAILABLE TO THE GENERAL PUBLIC ON STANFORD'S WEBSITE. FORM 990, PART VII, SECTION B INDEPENDENT CONTRACTORS IN THE PRESENTATION OF THE DATA APPEARING IN FORM 990, PART VII, SECTION B, STANFORD REPORTS DIRECT CASH COMPENSATION PAID TO PROFESSIONAL INDEPENDENT CONTRACTORS. COMMISSIONS, DISCOUNTS, AND MANAGEMENT FEES EMBEDDED IN AND/OR DEDUCTED FROM INVESTMENT RETURNS AND AMOUNTS PROVIDED TO VENTURE CAPITAL, PRIVATE EQUITY, AND HEDGE FUND GENERAL PARTNERS DUE TO THEIR "CARRIED INTEREST" IN PARTNERSHIPS WHICH STANFORD PARTICIPATES ARE NOT CONSIDERED IN THIS REPORTING. SCHEDULE K, PART I, COLUMN F FOR MORE THAN 30 YEARS, STANFORD AND THE MANY COMMUNITIES AND CONSTITUENCIES IT SERVES HAVE BENEFITED FROM TAX-EXEMPT BORROWING THROUGH THE CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY. THE UNIVERSITY USES GENEROUS DONOR GIFTS, UNIVERSITY RESERVES AND TAXABLE DEBT, IN ADDITION TO PROCEEDS FROM TAX EXEMPT BORROWING TO FUND THE CONSTRUCTION OF ACADEMIC BUILDINGS, RESEARCH SUPPORT FACILITIES, RESIDENCES AND OTHER CAMPUS HOUSING, ROADS AND INFRASTRUCTURE. THESE FACILITIES HAVE, IN TURN, ENABLED THE UNIVERSITY TO ATTRACT OUTSTANDING FACULTY AND STUDENTS AND TO MORE EFFECTIVELY PERFORM INTERDISCIPLINARY RESEARCH DESIGNED TO ADDRESS FUNDAMENTAL WORLD PROBLEMS IN HEALTH, SUSTAINABILITY, SECURITY AND K-12 EDUCATION. THE NEW FACILITIES PROVIDE THE STANFORD COMMUNITY WITH THE MOST ADVANCED TECHNOLOGY AND ENVIRONMENT FOR TEACHING, LEARNING AND RESEARCH. THE FUNDING ALSO HAS PLAYED A KEY ROLE IN ENABLING STANFORD TO MEET SEISMIC AND OTHER FEDERAL AND STATE BUILDING REQUIREMENTS. THE FOLLOWING ARE EXAMPLES OF BUILDINGS FUNDED IN PART THROUGH TAX-EXEMPT DEBT: A. THE YANG YAMAZAKI ENVIRONMENTAL AND ENERGY BUILDING IS THE HUB OF STANFORD'S ENVIRONMENTAL SUSTAINABILITY TEACHING AND RESEARCH. IT IS A MODEL FOR SUSTAINABILITY BUILDING STANDARDS, USING 56 PERCENT LESS ENERGY AND 90 PERCENT LESS POTABLE WATER THAN A TRADITIONALLY CONSTRUCTED BUILDING OF ITS SIZE. B. THE LI KA SHING CENTER FOR LEARNING AND KNOWLEDGE BRINGS TOGETHER CUTTING-EDGE MEDICINE, MODERN EDUCATION AND ADVANCED TECHNOLOGY TO TRAIN THE PHYSICIANS OF TOMORROW. MEDICAL STUDENTS PRACTICE LIFE-SAVING SKILLS IN REALISTIC SIMULATIONS AND LEARN TO APPLY RESEARCH TO BEDSIDE TREATMENTS. THE CENTER IS A GATHERING PLACE FOR MEDICAL EXPERTS TO SHARE RESEARCH AND HEALTH CARE INSIGHTS AND TO BRING THEIR COMBINED EXPERTISE TO BEAR ON THE WORLD'S GREATEST HEALTH CHALLENGES. C. THE CENTER FOR NANOSCALE SCIENCE AND TECHNOLOGY FOSTERS COLLABORATIVE DEVELOPMENT IN THIS BURGEONING NEW SCIENCE. SCIENTISTS AT THE CENTER ARE STUDYING HOW TO CREATE MATERIALS AND DEVICES NO BIGGER THAN ONE-BILLIONTH OF A METER, WITH DIRECT AND ECONOMICALLY VIABLE APPLICATIONS TO MEDICINE, ENERGY AND COMMUNICATIONS. D. THE HUANG ENGINEERING CENTER HOUSES THE SCHOOL OF ENGINEERING, WHOSE TIES TO THE HIGH-TECHNOLOGY INDUSTRY CONTINUE TO FUEL THE GROWTH AND ECONOMY OF SILICON VALLEY AND NORTHERN CALIFORNIA. THE SCHOOL OF ENGINEERING IS WORLD RENOWNED FOR PUSHING THE FRONTIERS OF MODERN SCIENCE AND ENGINEERING, ESPECIALLY IN THE FIELDS OF COMPUTER SCIENCE, BIOENGINEERING AND ENVIRONMENTAL SUSTAINABILITY. E. THE MUNGER GRADUATE RESIDENCE IS A FIVE-BUILDING HOUSING COMPLEX FOR 600 STANFORD LAW AND OTHER GRADUATE STUDENTS. IT IS A SIGNIFICANT INVESTMENT BY STANFORD IN MITIGATING TRAFFIC AND OTHER ENVIRONMENTAL CONCERNS AS IT GREATLY REDUCES THE NUMBER OF PEOPLE DRIVING TO CAMPUS DAILY. FORM 990, SCHEDULE K, PART I, COLUMN c CUSIP NUMBER CEFA TAX EXEMPT COMMERICAL PAPER ("TECP") DATED 5/22/08 WAS ASSIGNED A UNIQUE BLOCK OF 900 CUSIP NUMBERS UPON ISSUANCE. A NEW CUSIP NUMBER IS ASSIGNED TO EACH TRAUNCH OF TECP THAT IS ISSUED. THE CUSIP NUMBER LISTED IS THE FIRST CUSIP NUMBER IN THE SERIES AND WAS ASSIGNED AT THE ORIGINAL ISSUANCE DATE, 5/22/08. FORM 990, SCHEDULE K, PART I, COLUMN F DESCRIPTION OF PURPOSE FOR TAX-EXEMPT BONDS A. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY TECP - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES. REFUND PRIOR COMMERCIAL PAPER NOTES ISSUED 5/2/2008 AND 3/24/2008 THAT WERE PART OF THE SAME PROGRAM. COSTS OF ISSUANCE. B. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY S - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES. REFUND CEFA SERIES L-8 ISSUED 10/30/2000, REFUND CEFA SERIES L-9 ISSUED 10/31/2000, REFUND CEFA TAX EXEMPT COMMERCIAL PAPER REVENUE NOTES ISSUED 3/18/03. COSTS OF ISSUANCE. C. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-3 - CAPITAL EXPENDITURES FOR EDUCATIONAL FACILITIES, CAPITAL EQUIPMENT, LAND IMPROVEMENTS, UTILITIES AND SYSTEMS. REFUND CEFA TAX EXEMPT COMMERCIAL PAPER NOTES ISSUED ON VARIOUS DATES. COSTS OF ISSUANCE. D. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-4 - REFUND PRIOR COMMERCIAL PAPER NOTES ISSUED ON OR ABOUT MARCH 3, 2008 AND MARCH 6, 2008. COSTS OF ISSUANCE. E. CALIFORNIA EDUCATIONAL FACILITIES AUTHORITY T-5 - REFUND $59,180,000 OF CEFA SERIES P REVENUE BONDS - ISSUED MARCH 30, 1999. SCHEDULE K, PART II FOR CEFA CP, PART II, LINE 1 IS THE MAXIMUM AMOUNT OF COMMERCIAL PAPER THAT IS AUTHORIZED UNDER THAT ISSUE. AT AUGUST 31, 2010, COMMERCIAL PAPER DEBT OUTSTANDING WAS $113,532,000. SCHEDULE K, PART III CEFA SERIES T-4 AND T-5 PROCEEDS WERE USED TO REFINANCE DEBT ISSUED PRIOR TO JANUARY 1, 2003. ACCORDINGLY, PART III IS NOT COMPLETED FOR THESE ISSUES. SCHEDULE K, PART III, PRIVATE BUSINESS USE, LINES 4-5 STANFORD UNIVERSITY FINANCES ITS FACILITIES WITH A COMBINATION OF TAX-EXEMPT DEBT, TAXABLE DEBT, GIFTS AND OTHER UNIVERSITY FUNDS. OCCASIONALLY, SOME OF THESE FACILITIES WILL HOUSE ACTIVITIES THAT THE IRS MIGHT CONSIDER TO BE "PRIVATE BUSINESS USE," AS DEFINED IN IRC SECTION 141. FOR INSTANCE, STANFORD MAY RENT A SMALL PORTION OF A FACILITY TO A FOR-PROFIT OPERATOR OF CAFETERIAS (PRIMARILY FOR THE CONVENIENCE OF FACULTY, STAFF, STUDENTS AND THEIR GUESTS). IN OTHER SITUATIONS, STANFORD MAY RECEIVE A GENEROUS CORPORATE GIFT TO FUND A PORTION OF A BUILDING AND MAY CHOOSE TO ACKNOWLEDGE SUCH GENEROSITY BY NAMING A CLASSROOM, LIBRARY OR AUDITORIUM IN HONOR OF THE CORPORATE DONOR. IN SUCH CASES, STANFORD ELECTS THE "UNDIVIDED PORTION ALLOCATION METHOD" DESCRIBED IN PROPOSED TREASURY REGULATION SECTION 1.141-D(6), AND THUS ALLOCATES SUCH "PRIVATE BUSINESS USE" FIRST TO THAT PORTION OF THE FACILITY FUNDED BY TAXABLE DEBT, GIFTS OR OTHER UNIVERSITY FUNDS. ACCORDINGLY, STANFORD REPORTS 0% AS THE PERCENTAGE OF FINANCED PROPERTY USED IN PRIVATE BUSINESS USE (PART III, QUESTION 4). IN ADDITION TO THE CONSTRUCTION COST OF BUILDINGS, TAX-EXEMPT DEBT ALSO FUNDED A SIGNIFICANT PORTION OF THE UNIVERSITY'S INFRASTRUCTURE, INCLUDING ROADS AND UNDERGROUND UTILITIES. THE PORTION OF THE FUNDING OF THESE IMPROVEMENTS BY SOURCES OTHER THAN TAX-EXEMPT DEBT AS A PERCENTAGE OF TOTAL FUNDING WAS WELL IN EXCESS OF THE MEASURED AMOUNT OF PRIVATE BUSINESS USE TO TOTAL USE. ACCORDINGLY, THE AMOUNTS REPORTED ON PART III, LINES 4 AND 5, FOR THE PERCENTAGE OF FINANCED PROPERTY USED IN PRIVATE BUSINESS USE BY OTHER ENTITIES AND AS A RESULT OF AN UNRELATED TRADE OR BUSINESS ACTIVITY, RESPECTIVELY, ARE ZERO. BOND ISSUANCE COSTS (BIC) AS A PERCENTAGE OF THE TOTAL PROCEEDS BY BOND ISSUE ARE: ISSUE: BIC% CEFA CP 0.0000% CEFA SERIES S 0.4532% CEFA SERIES T-1 0.4314% CEFA SERIES T-4 0.5048% CEFA SERIES T-5 0.0028% CEFA SERIES U-1 0.6483% SCHEDULE K, PART IV DURING THE PERIODS SINCE THESE BONDS WERE ISSUED, THE INTEREST RATE ON THE BONDS HAS EXCEEDED THE INVESTMENT RETURN ON ANY UNSPENT PROCEEDS. ACCORDINGLY, NO FORM 8038-T HAS BEEN ISSUED. SCHEDULE L, PART II LOANS TO/FROM INTERESTED PERSONS SEE ATTACHMENT 5 AT END OF THIS RETURN FOR DETAILS REGARDING LOANS TO INTERESTED PERSONS. IN EACH CASE THE LOAN IS MADE FROM STANFORD TO THE INDIVIDUAL (COLUMN B). NONE OF THESE LOANS ARE IN DEFAULT (COLUMN E). ALL LOANS HAVE BEEN APPROVED BY THE BOARD OF TRUSTEES (COLUMN F) AND FOR EACH LOAN ISSUED, THERE EXISTS A WRITTEN AGREEMENT BETWEEN STANFORD AND THE BORROWER (COLUMN G). PURSUANT TO PROGRAMS INTENDED TO FACILITATE HOUSING FOR EMPLOYEES, THE UNIVERSITY HOLDS MORTGAGES AND LEASEHOLDS ON CERTAIN HOUSES ON OR NEAR CAMPUS OWNED AND OCCUPIED BY EMPLOYEES AND THEIR FAMILIES, WHICH, FROM TIME TO TIME, COULD INCLUDE OFFICERS AND KEY EMPLOYEES OF THE UNIVERSITY. 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