Yale University New Haven, Connecticut · Yale University Contents to Report on Federal Financial...

Yale University New Haven, Connecticut Entity Identification Number: 06-0646973 Report on Federal Financial Assistance Programs in Accordance with the OMB Uniform Guidance For the Year Ended June 30, 2019

Yale University

Contents to Report on Federal Financial Assistance Programs in Accordance with the OMB Uniform Guidance June 30, 2019

Page(s)

PART I – FINANCIAL STATEMENTS

Report of Independent Auditors I-1 – I-2

Financial Statements

Statement of Financial Position as of June 30, 2019 with comparative totals as of June 30, 2018 I-3

Statement of Activities for the year ended June 30, 2019 with comparative totals for the year ended June 30, 2018 I-4

Statement of Cash Flows for the year ended June 30, 2019 with comparative totals for the year ended June 30, 2018 I-5

Notes to Financial Statements I-6 – I-37

PART II – SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS

Schedule of Expenditures of Federal Awards

Notes to Schedule of Expenditures of Federal Awards

II-1 – II-65

II-66

PART III – REPORTS ON INTERNAL CONTROL AND COMPLIANCE

Report of Independent Auditors on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards III-1 – III-2

Report of Independent Auditors on Compliance with Requirements That Could Have a Direct and Material Effect on Each Major Program and on Internal Control Over Compliance in Accordance with the Uniform Guidance III-3 – III-4

PART IV – SCHEDULE OF FINDINGS AND QUESTIONED COSTS

Summary of Auditor’s Results IV-1

Financial Statement Findings IV-2

Federal Financial Assistance Findings and Questioned Costs IV-3 – IV 7

Summary Schedule of the Status of Prior Audit Findings IV-8

PART I

FINANCIAL STATEMENTS

Yale University Financial Statements June 30, 2019 and 2018

PricewaterhouseCoopers LLP, 185 Asylum Street, Suite 2400, Hartford, CT 06103-3404 T: (860) 241 7000, F: (860) 241 7590, www.pwc.com/us

Report of Independent Auditors To the President and Fellows of Yale University: Report on the Consolidated Financial Statements We have audited the accompanying consolidated financial statements of Yale University and its subsidiaries (the “University”), which comprise the consolidated statements of financial position as of June 30, 2019 and 2018 and the related consolidated statements of activities for the year ended June 30, 2019 and of cash flows for the years ended June 30, 2019 and 2018. Management’s Responsibility for the Consolidated Financial Statements Management is responsible for the preparation and fair presentation of the consolidated financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of consolidated financial statements that are free from material misstatement, whether due to fraud or error. Auditors’ Responsibility Our responsibility is to express an opinion on the consolidated financial statements based on our audits. We conducted our audits in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the consolidated financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the consolidated financial statements. The procedures selected depend on our judgment, including the assessment of the risks of material misstatement of the consolidated financial statements, whether due to fraud or error. In making those risk assessments, we consider internal control relevant to the University's preparation and fair presentation of the consolidated financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the University's internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the consolidated financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion. Opinion In our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the financial position of Yale University and its subsidiaries as of June 30, 2019 and 2018 and the changes in their net assets for the year ended June 30, 2019 and their cash flows for the years ended June

I-1

30, 2019 and 2018 in accordance with accounting principles generally accepted in the United States of America.

Other Matters

We previously audited the consolidated statement of financial position as of June 30, 2018, and the related consolidated statements of activities and of cash flows for the year then ended (the statement of activities is not presented herein), and in our report dated October 22, 2018, we expressed an unmodified opinion on those consolidated financial statements. In our opinion, the information set forth in the accompanying summarized financial information as of June 30, 2018 and for the year then ended is consistent, in all material respects, with the audited consolidated financial statements from which it has been derived.

Other Information

Our audit was conducted for the purpose of forming an opinion on the consolidated financial statements as a whole. The accompanying schedule of expenditures of federal awards for the year ended June 30, 2019 is presented for purposes of additional analysis as required by Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance) and is not a required part of the consolidated financial statements. The information is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the consolidated financial statements. The information has been subjected to the auditing procedures applied in the audit of the consolidated financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the consolidated financial statements or to the consolidated financial statements themselves, and other additional procedures, in accordance with auditing standards generally accepted in the United States of America. In our opinion, the schedule of expenditures of federal awards is fairly stated, in all material respects, in relation to the consolidated financial statements taken as a whole.

Other Reporting Required by Government Auditing Standards

In accordance with Government Auditing Standards, we have also issued our report dated October 22, 2019 on our consideration of the University’s internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts and grant agreements and other matters for the year ended June 30, 2019. The purpose of that report is solely to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing and not to provide an opinion on the effectiveness of internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the University’s internal control over financial reporting and compliance.

October 22, 2019

I-2

mgannon003

cox

Yale University Consolidated Statement of Financial Positionas of June 30, 2019 and June 30, 2018 ($ in thousands)

2019 2018

Assets:

Cash and cash equivalents $ 709,449 $ 587,847

Accounts receivable, net 299,673 261,642

Contributions receivable, net 670,461 511,744

Notes receivable 110,424 115,596

Investments, at fair value 37,060,058 35,113,711

Other assets 223,543 190,753

Land, buildings and equipment, net of accumulated depreciation 5,354,517 5,091,691

Total assets $ 44,428,125 $ 41,872,984

Liabilities:

Accounts payable and accrued liabilities $ 506,495 $ 430,183

Advances under grants and contracts and other deposits 127,955 133,512

Other liabilities 1,999,364 1,310,872

Liabilities under split-interest agreements 144,096 138,606

Bonds and notes payable 3,944,953 3,784,877

Liabilities associated with investments 5,438,228 3,791,731

Advances from federal government for student loans 25,283 26,088

Total liabilities $ 12,186,374 $ 9,615,869

Net Assets:

Net assets without donor restrictions: Yale University $ 5,184,946 $ 5,813,581

Net assets without donor restrictions: non-controlling interests 707,411 713,343

Total net assets without donor restrictions 5,892,357 6,526,924

Net assets with donor restrictions 26,349,394 25,730,191

Total net assets $ 32,241,751 $ 32,257,115

Total liabilities and net assets $ 44,428,125 $ 41,872,984

The accompanying notes are an integral part of these consolidated financial statements.

I-3

Yale University Consolidated Statement of Activitiesfor the year ended June 30, 2019 with summarized comparative totals for the year ended June 30, 2018 ($ in thousands)

Without Donor With Donor

Restrictions Restrictions 2019 2018

Operating

Revenues and releases:

Net tuition, room and board $ 387,172 $ - $ 387,172 $ 375,652

Grant and contract income, primarily for

research and training 823,530 - 823,530 789,975

Medical services income 1,041,988 - 1,041,988 930,163

Contributions 19,490 191,413 210,903 137,707

Allocation of endowment spending from

financial capital 381,102 973,466 1,354,568 1,282,072

Other investment income 89,645 5,194 94,839 91,459

Other income 191,823 535 192,358 209,892

Total revenues 2,934,750 1,170,608 4,105,358 3,816,920

Net assets released from restrictions 1,074,031 (1,074,031) - -

Total revenues and releases 4,008,781 96,577 4,105,358 3,816,920

Expenses:

Salaries and wages 1,796,642 - 1,796,642 1,696,655

Employee benefits 577,782 - 577,782 569,375

Depreciation, amortization and interest 359,432 - 359,432 329,920

Other operating expenditures 1,101,011 - 1,101,011 1,030,509

Total expenses 3,834,867 - 3,834,867 3,626,459

Increase in net assets from operating activities 173,914 96,577 270,491 190,461

Non-operating

Contributions 13,296 403,083 416,379 223,197

Total endowment return 256,170 1,373,822 1,629,992 3,277,910

Allocation of endowment spending to operations (210,826) (1,143,742) (1,354,568) (1,282,072)

Other investment (loss) income (301,821) 2 (301,819) 127,507

Change in funding status of defined benefit plans (663,686) - (663,686) 313,884

Other increases (decreases) 65,498 (71,719) (6,221) (33,071)

Net assets released from restrictions 38,820 (38,820) - -

(Decrease) increase in net assets from non-operating activities (802,549) 522,626 (279,923) 2,627,355

Total (decrease) increase in net assets - Yale University (628,635) 619,203 (9,432) 2,817,816

Change in non-controlling interests (5,932) - (5,932) 453,141

Total (decrease) increase in net assets (634,567) 619,203 (15,364) 3,270,957

Net assets, beginning of year 6,526,924 25,730,191 32,257,115 28,986,158

Net assets, end of year $ 5,892,357 $ 26,349,394 $ 32,241,751 $ 32,257,115


I-4

2019 2018

Operating activities:

Change in net assets (15,364)$ 3,270,957$

Adjustments to reconcile change in net assets to net cash

used in operating activities:

Depreciation and amortization 291,604 274,832

Unrealized gain (loss) on other investments 295,426 (161,318)

Net endowment investment gain (1,174,398) (2,890,256)

Change in non-controlling interests 5,932 (453,141)

Change in funding status of defined benefit plans 663,686 (313,884)

Non-operating contributions (416,379) (223,197)

Contributed securities (141,628) (121,351)

Proceeds from sale of donated securities 27,898 24,062

Other adjustments 44,297 (6,736)

Changes in assets and liabilities that provide (use) cash:

Accounts receivable (38,031) (55,538)

Contributions receivable (50,116) 18,500

Other operating assets (39,135) (706)

Accounts payable and accrued expenses 97,089 (40,788)

Advances under grants and contracts and other deposits (5,557) (3,074)

Other liabilities 24,806 93,449

Net cash used in operating activities (429,870) (588,189)

Investing activities:

Student loans repaid 12,398 13,321

Student loans granted (8,062) (6,731)

Purchases related to capitalized software costs and other assets (33,407) (6,174)

Proceeds from sales and maturities of investments 13,777,776 10,436,387

Purchases of investments (13,204,588) (9,982,974)

Purchases of land, buildings and equipment (492,937) (349,452)

Net cash provided by investing activities 51,180 104,377

Financing activities:

Proceeds from restricted contributions 307,779 310,718

Proceeds from sale of contributed securities restricted for endowment 113,730 97,290

Contributions received for split-interest agreements 8,228 7,898

Payments made under split-interest agreements (18,283) (16,168)

Proceeds from long-term debt 451,525 452,759

Repayments of long-term debt (362,687) (156,770)

Repayments to the Federal government for student loans - (2,417)

Net cash provided by financing activities 500,292 693,310

Net increase in cash and cash equivalents 121,602 209,498

Cash and cash equivalents, beginning of year 587,847 378,349

Cash and cash equivalents, end of year 709,449$ 587,847$

Yale University Consolidated Statement of Cash Flowsfor the years ended June 30, 2019 and 2018 ($ in thousands)


I-5

Yale University Notes to Consolidated Financial Statements

1. Significant Accounting Policies

a. GeneralYale University ("Yale” or the “university") is a private, not-for-profit institution of higher education

located in New Haven, Connecticut. The university is governed by the Yale Corporation (the

“Corporation”), a body of nineteen Trustees consisting of the President, ten Successor Trustees who are

Successors to the original Trustees, six Alumni Fellows, and the Governor and Lieutenant Governor of

Connecticut, ex officio.

The university provides educational services primarily to students and trainees at the

undergraduate, graduate and postdoctoral levels, and performs research, training and other services under

grants, contracts and other similar agreements with agencies of the federal government and other

sponsoring organizations. The university's academic organization includes Yale College, the Graduate

School of Arts and Sciences, twelve professional schools and a variety of research institutions and

museums. The largest professional school is the Yale School of Medicine, which conducts medical services

in support of its teaching and research missions.

b. Basis of Presentation

The consolidated financial statements of the university include the accounts of all academic and

administrative departments of the university, and affiliated organizations that are controlled by the

university.

Financial statements of private, not-for-profit organizations measure aggregate net assets and net

asset activity based on the absence or existence of donor-imposed restrictions. Net assets are reported as

without donor restrictions and with donor restrictions and serve as the foundation of the accompanying

consolidated financial statements. Brief definitions of the two net asset classes are presented below:

Net Assets Without Donor Restrictions - Net assets derived from tuition and other institutional resources

that are not subject to explicit donor-imposed restrictions. Net assets without donor restrictions also

include board designated funds functioning as endowment.

Net Assets With Donor Restrictions - Net assets that are subject to explicit donor-imposed restrictions on the

expenditure of contributions or income and gains on contributed assets, net assets from endowments not

yet appropriated for spending by the Corporation and student loan funds. In addition, net assets with

donor restrictions include restricted contributions from donors classified as funds functioning as

endowment. The university records as net assets with donor restrictions the original amount of gifts

which donors have given to be maintained in perpetuity. Restrictions include support of specific schools

or departments of the university, for professorships, research, faculty support, scholarships and

fellowships, library and art museums, building construction and other purposes. When time and purpose

restrictions expire, net assets with donor restrictions are reclassified to net assets without donor

restrictions.

I-6

Measure of Operations - The university's measure of operations as presented in the consolidated statement

of activities includes revenue from tuition (net of certain scholarships and fellowships) and fees, grants

and contracts, medical services, contributions for operating programs, the allocation of endowment

spending for operations and other revenues. Operating expenses are reported on the consolidated

statement of activities by natural classification.

The university’s non-operating activity within the consolidated statement of activities includes

contributions to the university’s endowment and for building construction and renovation, investment

returns and other activities related to endowment, and long-term benefit plan obligation funding changes.

Liquidity - The university’s financial assets available within one year of the balance sheet date for general

expenditure as of June 30, 2019 and 2018, are as follows, in thousands of dollars:

2019 2018

Total assets, at year end 44,428,125$ 41,872,984$

Less nonfinancial assets:

Land, buildings and equipment, net of accumulated depreciation 5,354,517 5,091,691

Other assets 223,543 190,753

Financial assets, at year end 38,850,065 36,590,540

Less those unavailable for general expenditure within one year due to:

Contractual or donor-imposed restrictions:

Restricted by donor with time or purpose restrictions 595,649 452,734

Subject to appropriation and satisfaction of donor restrictions

including board designated endowments 34,779,353 32,855,805

Other long-term notes receivable 110,424 115,596

Other contractual restrictions - 75,968

Financial assets available to meet cash needs for general expenditures within one year 3,364,639$ 3,090,437$

The university has $3,364.6 million of financial assets that are available within one year of the balance

sheet date to meet cash needs for general expenditure consisting of cash of $709.4 million, accounts

receivable of $299.7 million, contributions receivable of $74.8 million, and short-term investments of

$2,280.7 million. In addition to these available financial assets, a significant portion of the university’s

annual expenditures will be funded by current year operating revenues including tuition, grant and

contract income and medical services income. The university has a policy to structure its financial assets

to be available as its general expenditures, liabilities, and other obligations come due. As part of its

liquidity management, the university invests cash in excess of daily requirements in various short-term

investments, including US government instruments.

Additionally, the university has board-designated funds of $5.3 billion. Although the university does not

intend to spend from this endowment, other than amounts appropriated for general expenditure as part

of its annual budget approval and appropriation process, amounts from its board-designated funds could

be made available if necessary. However, both the board-designated funds and donor-restricted

endowments contain investments with lock-up provisions that would reduce the total investments that

could be made available (see Note 2 for disclosures about investments).

I-7

c. Cash and Cash Equivalents

Cash and cash equivalents are recorded at cost, which approximates fair value, and include institutional

money market funds and similar temporary investments with maturities of three months or less at the

time of purchase. Cash and cash equivalents awaiting investment in the long-term investment pool are

reported as investments and totaled $660.8 million and $260.6 million at June 30, 2019 and 2018,

respectively. Cash and cash equivalents do not include cash balances held as collateral.

Supplemental disclosures of cash flow information include the following, in thousands of dollars:

2019 2018

Cash paid during the year for interest 129,527$ 110,482$

Noncash investing activities:

Land, buildings and equipment purchases

payable to vendor 47,308$ 35,718$

Assets acquired under capital leases 77,169 -

d. Investments Fair Value - The university's investments are recorded in the consolidated financial statements at fair

value.

Fair value is a market-based measurement based on assumptions that market participants would use in

pricing an asset or liability. As a basis for considering assumptions, a three-tier fair value hierarchy has

been established which prioritizes the inputs used in measuring fair value. The hierarchy of inputs used

to measure fair value and the primary methodologies used by the university to measure fair value include:

Level 1 – Quoted prices for identical assets and liabilities in active markets. Market price data

is generally obtained from relevant exchange or dealer markets.

Level 2 – Inputs, other than the quoted prices in active markets, that are observable either

directly or indirectly, such as quoted prices for similar assets or liabilities, quoted prices in

markets that are not active, or other inputs that are observable.

Level 3 – Unobservable inputs for which there is little or no market data, requiring the

university to develop its own assumptions.

Assets and liabilities measured at fair value are determined based on the following valuation

techniques:

Market approach – Prices and other relevant information generated by market transactions

involving identical or comparable assets or liabilities; and

Income approach – Techniques to convert future amounts to a single present amount based on

market expectations, including present value techniques and option-pricing models.

The fair value of publicly traded fixed income and equity securities is based upon quoted market prices

and exchange rates, if applicable. The fair value of direct real estate investments is determined from

periodic valuations prepared by independent appraisers.

I-8

Investments are exposed to various risks, such as interest rate, market and credit risks. Due to the level of

risk associated with certain investments, it is at least reasonably possible that changes in the values of

investments will occur in the near term and that such changes could materially affect the amounts

reported in the university’s consolidated financial statements.

Derivatives - Derivative financial instruments in the investment portfolio include interest rate swaps,

equity swaps, credit default swaps, commodity swap contracts, and currency forward contracts which are

recorded at fair value with the resulting gain or loss recognized in the consolidated statement of activities.

Resell and Repurchase Agreements - Cash paid relating to resell agreements is generally collateralized by

federal agency and foreign debt securities. The university takes possession of the underlying collateral and

monitors the value of the underlying collateral to the amount due under the agreement. Cash received

under repurchase agreements is collateralized by investments in asset backed securities, corporate debt,

federal agency debt, and foreign debt securities. Collateral fair value is monitored to the amounts due

under the agreements.

Management Fees - The university records the cost of managing its endowment portfolio as a decrease in

non-operating activity within the applicable net asset class in the consolidated statement of activities.

Management fees consist of the internal costs of the university’s Investments Office (the “Investments

Office”), outside custodian fees, and fees for external investment managers and general partners.

Total Return - The university invests its endowment portfolio and allocates the related earnings for

expenditure in accordance with the total return concept. A distribution of endowment return that is

independent of the cash yield and appreciation of investments earned during the year is provided for

program support. The university has adopted an endowment spending policy designed specifically to

stabilize annual spending levels and to preserve the real value of the endowment portfolio over time. The

spending policy attempts to achieve these two objectives by using a long-term targeted spending rate

combined with a smoothing rule, which adjusts spending gradually to changes in the endowment’s fair

value. An administrative charge is assessed against the funds when distributed.

To the extent that a donor restricted endowment fund falls below its historic dollar value a deficit

would exist, and it would be reported as a reduction of net assets with donor restrictions. Spending from

an endowment fund in a deficit position would continue under the spending policy so long as the fund is

impaired less than 30% relative to its historical dollar value. There were no funds in a deficit position at

June 30, 2019.

The university uses a long-term targeted spending rate of 5.25%. The spending amount is

calculated using 80% of the previous year’s spending and 20% of the targeted long-term spending rate

applied to the fair value two years prior. The spending amount determined by the formula is adjusted for

inflation and taxes and constrained so that the calculated rate is at least 4.0% and not more than 6.5% of

the endowment’s fair value. The actual rate of spending for 2019 and 2018, when measured against the

previous year's June 30th endowment fair value, was 4.6% and 4.7%, respectively.

The university determines the expected return on endowment investments with the objective of

producing a return exceeding the sum of inflation and the target spending rate. Asset allocation is the key

factor driving expected return. Yale’s asset allocation policy combines tested theory and informed market

I-9

judgment to balance investment risks with the need for high returns. Both the need to provide resources

for current operations and the desire to preserve the purchasing power of assets leads the endowment to

be weighted toward equity.

The university manages the majority of its endowment in its Long Term Investment Pool (the

“Pool”). The Pool is unitized and allows for efficient investment among a diverse group of funds with

varying restricted purposes. In addition to university funds, the Pool includes assets of affiliated entities

where the university has established investment management agreements.

e. Land, Buildings and Equipment

Land, buildings, and equipment are generally stated at cost. Buildings leased under capital leases are

recorded at the lower of the net present value of the minimum lease payments or the fair value of the

leased asset at the inception of the lease. Annual depreciation is calculated on a straight-line basis over

useful lives, or over the lease term for capital leases, ranging from 15 to 50 years for buildings and

improvements and 4 to 15 years for furnishings and equipment.

f. Other Assets

Other assets include an insurance receivable, capitalized software costs, deferred expenses, and

inventories. Capitalized software costs are amortized on a straight line basis over the estimated useful lives

of the software, ranging from 5 to 10 years.

g. Collections

Collections at Yale include works of art, literary works, historical treasures, and artifacts that are

maintained in the university's museums and libraries. These collections are protected and preserved for

public exhibition, education, research, and the furtherance of public service. Collections are not

capitalized; purchases of collection items are recorded as expenses in the university’s consolidated

statement of activities in the period in which the items are acquired.

h. Split-Interest Agreements

The university's split-interest agreements with donors consist primarily of charitable gift annuities,

pooled income funds, and irrevocable charitable remainder trusts for which the university serves as

trustee. Assets are invested and payments are made to donors and/or other beneficiaries in accordance

with the respective agreements.

Contribution revenue related to charitable gift annuities and charitable remainder trusts are

recognized at the date the agreements are established. In addition, the fair value of the estimated future

payments to be made to the beneficiaries under these agreements is recorded as a liability. For pooled

income funds, contribution revenue is recognized upon establishment of the agreement at the fair value of

the estimated future receipts, discounted for the estimated time period until culmination of the

agreement.

i. Beneficial Interest in Trust Assets

The university is the beneficiary of certain perpetual trusts and charitable remainder trusts held and

administered by others. The estimated fair values of trust assets are recognized as assets and as gift

revenue when reported to the university.

I-10

j. Net Tuition, Room and Board

Tuition, room and board revenue is generated from an enrolled student population of approximately

13,400 and is recognized in the period in which it satisfies its performance obligations. Net tuition, room

and board revenue from undergraduate enrollment represents approximately 59.4% of total tuition, room

and board revenue in 2019.

The university maintains a policy of offering qualified applicants admission to Yale College

without regard to financial circumstance, as well as meeting in full the demonstrated financial need of

those admitted. Student need in all programs throughout the university is generally fulfilled through a

combination of scholarships and fellowships, loans and employment during the academic year. Tuition,

room and board revenue has been reduced by certain scholarships and fellowships in the amounts of

$343.3 million and $304.4 million in 2019 and 2018, respectively.

k. Contributions

Unconditional promises to give that are expected to be collected within one year are recorded at their net

realizable value. Amounts expected to be collected in future years are recorded at the present value of

estimated future cash flows, which includes estimates for potential uncollectible receivables. The discount

on those contributions is computed using an interest rate that reflects fair value applicable to the year in

which the promise is received. Amortization of the discount is included in contribution revenue.

Contributions are considered conditional when the underlying agreement includes a performance

barrier and a right of return or a right to release promised assets exists. Conditional promises to give are

not recognized as revenue until the performance barrier and the right of return or release have been

overcome.

l. Grant and Contract Income

The university receives grant and contract income for exchange and non-exchange agreements from both

governmental and private sources. Revenue from exchange agreements is recognized when performance

obligations are met. Revenue from conditional non-exchange agreements is recognized as performance

barriers are overcome and as the university overcomes either a right of return of assets transferred or the

right of release of a promisor’s obligation to transfer assets. Grant and contract revenue from conditional

non-exchange agreements is generally recognized as qualified costs of sponsored programs are incurred.

At June 30, 2019, the university has research activities which are contractually authorized by the sponsor,

but for which costs have not yet been incurred, totaling $1,543.5 million.

In 2019 and 2018, grant and contract income received from the federal government totaled

$612.0 million and $586.6 million, respectively. Recovery of facilities and administrative costs of

federally sponsored programs is at rates negotiated with the university's cognizant agency, the

Department of Health and Human Services.

m. Medical Services Income

The university provides medical care to patients primarily under agreements with third party-payors,

including health maintenance organizations, that provide payment for medical services at amounts

different from standard rates established by the university. The university determines performance

obligations based on the nature of the services provided and recognizes revenue as it satisfies those

I-11

performance obligations. Generally, these performance obligations are satisfied at the point in time the

service is provided.

Medical services income is reported net of contractual discounts from third-party payors and of

implicit price concessions to uninsured patients. The university estimates the discounts based on

contractual agreements and estimates the implicit price concessions based on its historical collection

experience with these classes of patients.

In 2019 and 2018, income from medical services totaled $447.9 million and $418.4 million for

insurance companies, $143.9 million and $139.2 million for Medicare, and $62.6 million and $61.6

million for Medicaid, respectively.

n. Net Assets Released from Restrictions

Net assets released from restrictions are based upon the satisfaction of the purpose for which the net

assets were restricted or the completion of a time stipulation. Restricted operating activity including

contributions and net investment return earned, which are restricted, are reported as net assets with

donor restrictions and reclassified to net assets without donor restrictions when any donor-imposed

restrictions are satisfied. Non-operating restricted net assets associated with building costs are reclassified

to net assets without donor restrictions when the capital asset is placed in service.

o. Self-Insurance

The university self-insures at varying levels for unemployment, disability, workers’ compensation,

property losses, certain healthcare plans, general liability, and professional liability; and obtains coverage

through a captive insurance company for medical malpractice and related general liability losses.

Insurance is purchased to cover liabilities above self-insurance limits. Estimates of retained exposures are

accrued.

p. Tax Status

The university has been granted tax-exempt status under section 501(c)(3) of the Internal Revenue

Code.

The Tax Cuts and Jobs Act (the “Act”), enacted on December 22, 2017, impacts the university in

several ways, including the new excise taxes on net investment income and executive compensation, as

well as updated rules for calculating unrelated business taxable income. The overall impact of the Act

remains uncertain, and the full impact will not be known until further regulatory guidance is published.

The university has recorded tax assets and liabilities in its consolidated financial statements based on

reasonable estimates determined using current guidance. Management will continue to monitor

regulatory developments and assess the future impact of the relevant provisions of the Act on the

university’s consolidated financial statements.

As a result of the Act’s changes to the calculation of unrelated business taxable income, the

university expects to use net operating loss (“NOL”) carryforwards to offset future unrelated business

taxable income. The university has recorded a deferred tax asset to reflect the expected benefit of these

NOL carryforwards which will expire beginning in 2020 through 2037 if they are not used. The deferred

tax asset is the portion of the benefit that is more likely than not to be realized based on management’s

evaluation of available regulatory guidance and its estimates of future taxable income. The amount of the

deferred tax asset could be adjusted in the future if estimates of taxable income during the carryforward

I-12

period are reduced or increased based on additional information, including the issuance of final

regulations.

q. Estimates

The preparation of financial statements in accordance with accounting principles generally accepted in the

United States of America (“GAAP”) requires management to make estimates and judgments that affect

the reported amounts of assets and liabilities and disclosures of contingencies at the date of the

consolidated financial statements and the reported amounts of revenues and expenses during the

reporting period.

Significant estimates made by management include the valuation of alternative investments, the

estimated net realizable value of receivables, estimated asset retirement obligations, liabilities under split-

interest agreements, estimated tax liabilities and the valuation of the deferred tax asset resulting from

provisions of the Act, and the actuarially determined employee benefit and self-insurance liabilities. Actual

results could differ from those estimates.

r. Recent Authoritative Pronouncements

On July 1, 2018, the university adopted new guidance (1) Clarifying the Scope and Accounting Guidance

for Contributions Received and Contributions Made effective for the fiscal year ended June 30, 2019, (2)

Revenue from Contracts with Customers effective for the fiscal year ended June 30, 2019, and (a) evaluating

whether transactions should be accounted for as contributions or exchange transactions and (b)

determining whether a contribution is conditional. Under Revenue from Contracts with Customers, adopted

using the modified retrospective approach, recognition of revenue from customer contracts is a principles-

based framework. The impact of adopting the new guidance was not significant to the university’s

consolidated financial statements.

The Financial Accounting Standards Board has issued the Leases accounting standard that the

university must adopt for the fiscal year ending June 30, 2020. The Leases standard aims to increase

transparency and comparability among organizations by recognizing lease assets and lease liabilities on

the balance sheet and disclosing key information about leasing arrangements. Leases will be classified as

finance or operating, with classification affecting the pattern and classification of expense recognition in

the consolidated statement of activities. In conjunction with the adoption of this standard the university

expects to record a right of use asset and a corresponding lease liability in the consolidated statement of

financial position.

s. Summarized 2018 Financial Information

The 2019 consolidated financial statements include selected comparative summarized financial

information for 2018. Such information does not include sufficient detail to constitute a presentation in

conformity with GAAP. Accordingly, such information should be read in conjunction with the university’s

2018 consolidated financial statements, from which the summarized financial information was derived.

In addition, certain amounts have been reclassified to conform to the current year presentation.

I-13

2. Investments

The university endowment maintains a diversified investment portfolio with a strong orientation to

equity investments and strategies designed to take advantage of market inefficiencies. The university’s

investment objectives are guided by its asset allocation policy and are achieved in partnership with

external investment managers operating through a variety of investment vehicles, including separate

accounts, limited partnerships and commingled funds. The university’s heavy allocation to non-

traditional asset classes, such as absolute return (hedge strategies), private equity (venture capital and

leveraged buyouts), real estate, and natural resources (timber, energy and minerals), generates return

potential and diversification in the portfolio.

The components of endowment and non-endowment investments, net of related liabilities at June 30 are

presented below, in thousands of dollars:

2019 2018

Endowment investments:

Long term investment pool 30,013,883$ 29,088,879$

Other 281,120 356,057

Total net endowment investments 30,295,003 29,444,936

Non-endowment investments:

Long term investment pool 400,000 350,000

Bonds 526,137 549,866

Derivatives (459,213) (174,542)

Other 152,492 438,377

Total non-endowment investments 619,416 1,163,701

Net investments, at fair value 30,914,419$ 30,608,637$

I-14

As described in Note 1d, investments are recorded at fair value. The following tables summarize the fair

values of the university’s investments by major type and related liabilities as of June 30, in thousands of

dollars:

2019 Level 1 Level 2 Level 3 Total

Investments, at fair value:

Cash and cash equivalents 1,300,316$ -$ -$ 1,300,316$

Fixed income:

US government securities 2,367,143 116 61 2,367,320

Foreign government securities 24,145 302,743 11,058 337,946

Corporate and other securities 50,118 2,542,451 253,072 2,845,641

Total fixed income 2,441,406 2,845,310 264,191 5,550,907

Common stock:

Domestic 1,108,851 42,083 79,520 1,230,454

Foreign 1,642,821 106,236 102,423 1,851,480

Total common stock 2,751,672 148,319 181,943 3,081,934

Other equity investments:

Venture capital - - 194,028 194,028

Natural resources - - 189,278 189,278

Total other equity investments - - 383,306 383,306

Other investments 475,609 1,283,593 315,942 2,075,144

Total leveled investments, at fair value 6,969,003$ 4,277,222$ 1,145,382$ 12,391,607

Investments at net asset value 24,668,451

Total investments 37,060,058

Liabilities associated with investments:

Securities sold, not yet purchased 597,722$ 694,431$ -$ 1,292,153

Repurchase agreements - 1,613,783 1,239 1,615,022

Other liabilities 265,027 1,020,862 1,245,164 2,531,053

Total liabilities associated with investments 862,749$ 3,329,076$ 1,246,403$ 5,438,228

Non-controlling interests 707,411

Net investments 30,914,419$

I-15

2018 Level 1 Level 2 Level 3 Total


Cash and cash equivalents 614,547$ -$ -$ 614,547$

Fixed income:

US government securities 1,988,449 58,759 58 2,047,266

Foreign government securities 12,934 162,459 - 175,393

Corporate and other securities 30,676 1,998,181 337,352 2,366,209

Total fixed income 2,032,059 2,219,399 337,410 4,588,868

Common stock:

Domestic 1,496,324 42,298 22,024 1,560,646

Foreign 1,820,450 80,550 93,150 1,994,150

Total common stock 3,316,774 122,848 115,174 3,554,796

Other equity investments:

Venture capital - - 169,949 169,949

Natural resources - - 210,163 210,163

Total other equity investments - - 380,112 380,112

Other investments 741,675 941,655 336,374 2,019,704

Total leveled investments, at fair value 6,705,055$ 3,283,902$ 1,169,070$ 11,158,027

Investments at net asset value 23,955,684

Total investments 35,113,711

Liabilities associated with investments:

Securities sold, not yet purchased 382,815$ 333,560$ -$ 716,375

Repurchase agreements - 832,610 - 832,610

Other liabilities 299,524 698,425 1,244,797 2,242,746

Total liabilities associated with investments 682,339$ 1,864,595$ 1,244,797$ 3,791,731

Non-controlling interests 713,343

Net investments 30,608,637$

While not part of a leveling category, fair values for certain investments held are based on the net asset

value (“NAV”) of such investments as determined by the respective external investment managers,

including general partners, if market values are not readily ascertainable. These valuations necessarily

involve assumptions and methods that are reviewed by the Investments Office.

Investments at NAV as of June 30, in thousands of dollars, include:

2019 2018

Absolute return 5,372,169$ 5,707,245$

Domestic 467,482 898,522

Foreign 2,721,844 2,593,255

Leveraged buyout 4,977,975 4,310,722

Natural resources 1,259,534 1,720,329

Real estate 3,119,090 3,012,179

Venture capital 6,750,357 5,713,432

Total investments, at NAV 24,668,451$ 23,955,684$

Assets and liabilities of investment companies that are controlled by the university are consolidated for

reporting purposes. Certain consolidated subsidiaries are controlled but not wholly owned by the

university. The portion of a consolidated entity’s net assets that is not owned by the university is reported

as a non-controlling interest.

I-16

The fair value of consolidated investment company assets and liabilities included in the university’s

consolidated financial statements, in thousands of dollars, include:

2019 2018

Consolidated investment company assets 6,362,187$ 5,467,241$

Consolidated investment company liabilities 3,089,803 1,965,031

3,272,384$ 3,502,210$

Level 3 investments are valued by the university or by its external investment managers using valuation

techniques standard in the industry in which they operate. The Investments Office reviews these

valuation methods and evaluates the appropriateness of these valuations each year. In certain

circumstances, when the general partner does not provide a valuation or the valuation provided is not

considered appropriate, the Investments Office will determine those values.

The following table summarizes quantitative inputs and assumptions used for Level 3 investments at June

30, 2019 for which fair value is based on unobservable inputs that are not developed by external

investment managers. Significant increases or decreases in these unobservable inputs may result in

significantly higher or lower valuation results.

Asset Class

Fair Value

(in 000's) Valuation Technique

Significant

Unobservable Input Range

Weighted

Average

Equity securities $ 181,943 Market comparables Enterprise value/assets 0.8% - 3.0% 1.5%

Price of recent

investment

Price of recent round in private

investment+/- 10.0%

8.34%/

(8.34%)

Dealer pricing Indicative quotes NA NA

Liquidation model Liquidation probability 15.0% - 35.0% 25.0%

Fixed income securities $ 264,191 Bank debt model Discount rate 9.0% - 14.0% 11.0%

Bond model Discount rate 7.0% - 11.0% 9.0%


Natural resources $ 189,278 Discounted cash flow Discount rate 8.0% -12.0% 10.0%

Trusts $ 193,753 Net present value Discount rate 2.8% 2.8%

Other investments $ 316,217 Market comparables Price per acre $8,834.00 - $9,164.00 $9,000.00

Write-off Recovery rate 30.0% - 70.0% 50.0%


Put model Volatility 50.0% 50.0%

Liabilities $ (1,246,403) Various methods University pooled unit market value $ 3,696.07 $ 3,696.07

The valuation process for investments at NAV and those categorized in Level 3 of the fair value hierarchy

includes evaluating the operations and valuation procedures of external investment managers and the

transparency of those processes through background and reference checks, attendance at investor

meetings, and periodic site visits. In determining the fair value of investments, Investments Office staff

reviews periodic investor reports, interim and annual audited financial statements received from external

investment managers, and material quarter over quarter changes in valuation; and assesses the impact of

macro market factors on the performance. The Investments Office meets with the Corporation’s

Investment Committee quarterly to review investment transactions and monitor performance of external

investment managers.

I-17

Realized gains and losses are reported in total endowment return, net of fees. Included in net realized and

unrealized gain (loss) in Level 3 reported below were unrealized losses of ($26.2) million and unrealized

gains of $36.7 million that relate to assets held at June 30, 2019 and 2018, respectively.

The tables below present the change in fair value measurements for the university’s Level 3 investments

during the years ended June 30, in millions of dollars:

Venture Natural

2019 Capital Resources Other Liabilities Total

Beginning balance 170$ 210$ 789$ (1,245)$ (76)$

Realized and unrealized gain (loss), net 36 (30) (10) (12) (16)

Purchases 7 32 204 (15) 228

Sales (8) (23) (225) 26 (230)

Transfers in 99 - 77 - 176

Transfers out (110) - (73) - (183)

Ending balance 194$ 189$ 762$ (1,246)$ (101)$

Venture Natural

2018 Capital Resources Other Liabilities Total

Beginning balance 115$ 256$ 780$ (1,310)$ (159)$

Realized and unrealized gain (loss), net 38 12 25 (40) 35

Purchases 3 18 132 (10) 143

Sales (1) (2) (118) 103 (18)

Transfers in 21 - 69 (2) 88

Transfers out (6) (74) (99) 14 (165)

Ending balance 170$ 210$ 789$ (1,245)$ (76)$

The transfers out of Level 3 consist primarily of investments reclassified from Level 3 to investments at

NAV due to the use of the practical expedient for certain limited partnership investments.

I-18

Agreements with external investment managers include certain redemption terms and restrictions as

noted in the following table:

Asset Class

Fair Value

(in 000's) Remaining Life

Unfunded

Commitment

(in 000's) Redemption Terms Redemption Restrictions

Absolute return $ 5,372,169 No Limit $ 45,567

Redemption terms range from

monthly with 30 days notice to

annually with 90 days notice.

Lock-up provisions range from

none to 5 years.

Domestic equity 467,482 No Limit -



annually with 90 days notice.


none to 7 years.

Foreign equity 2,721,844 No Limit 120,750



closed end structures not

available for redemption.


none to 7 years.

Leveraged buyout 4,977,975 1-25 years 3,591,298

Closed end funds not eligible for

redemption. Not redeemable.

Venture capital 6,944,385 1-25 years 1,441,745

Redemption terms range from 2

years with 3 years notice to

closed end structures not

available for redemption. Not redeemable.

Real estate 3,119,090 1-25 years 2,200,956



Natural resources 1,448,812 1-35 years 534,802



Total $ 25,051,757 $ 7,935,118

The university enters into resell agreements (where securities are purchased under agreements to resell)

and into repurchase agreements (where securities are sold under an agreement to repurchase). All resell

agreements and repurchase agreements are carried at their contractual value which approximates fair

value. Resell and repurchase agreements are presented gross in the university’s consolidated statement of

financial position as investment assets and liabilities associated with investments.

The table below illustrates the exposure for these financial instruments at June 30, 2019, in thousands of

dollars, where enforceable netting agreements are in place:

Assets Liabilities

Resell and repurchase agreements 805,538$ 1,615,022$

Amounts contractually eligible for offset (692,938) (692,938)

Collateral (97,818) (922,084)

Net exposure for resell and repurchase agreements 14,782$ -$

The fair value of fixed income securities of $1,267.0 million was provided at June 30, 2019 to

collateralize securities sold, not yet purchased.

The university may employ derivatives and other strategies to (1) manage against market risks, (2)

arbitrage mispricings of related securities, and (3) replicate long or short positions more cost effectively.

I-19

The university does not invest in derivatives for speculation. The fair value of derivative positions held at

June 30, 2019 and related gain (loss) for the year, in thousands of dollars, were as follows:

Assets Liabilities Gain (Loss)

Endowment:

Credit default swaps 95,741$ (108,923)$ (693)$

Interest rate swaps 109,164 (149,446) (15,591)

Other 63,249 (49,440) (74,685)

268,154 (307,809) (90,969)

Other:

Interest rate swaps 19,639 (490,243) (306,958)

Energy swaps - (407) 148

19,639 (490,650) (306,810)

Gross value of derivatives 287,793 (798,459) (397,779)$

Other-counterparty netting (219,627) 219,627

Net collateral (received)/posted (38,817) 491,408

Total net exposure for derivatives 29,349$ (87,424)$

Derivatives are reported as other investments and other liabilities for fair value leveling purposes. The

university initiates derivatives under legally enforceable master netting agreements. The net exposure for

derivatives is presented above net of these master netting agreements and required collateral.

Credit default swaps

Credit default swaps are used to simulate long or short positions that are unavailable in the market or to

reduce credit risk where exposure exists. The buyer of a credit default swap is obligated to pay to the seller

a periodic stream of payments over the term of the contract in return for a contingent payment upon

occurrence of a contracted credit event. As of June 30, 2019, the total notional amount of credit default

swap contracts for buy protection amounts to $2.9 billion and the notional amount related to sell

protection is $1.0 billion.

Interest rate swaps

Interest rate swaps are used to manage exposure to interest rate fluctuations. The notional amount of

contracts that pay based on fixed rates and receive based on variable rates at June 30, 2019 were $9.2

billion. The notional amount of contracts that pay based on variable rates and receive based on fixed rates

were $10.9 billion at June 30, 2019.

Energy swaps

Energy swaps are used in connection with settling planned purchases of energy consumption and

adjusting market exposures.

Derivative assets are reported as investments in the consolidated statement of financial position and

derivative liabilities are reported as liabilities associated with investments. Gains and losses on derivatives

used for investing are reported as part of total endowment return and gains and losses related to

I-20

university debt management and energy consumption are reported as other investment (loss) income in

the consolidated statement of activities as non-operating activity.

Derivatives held by limited partnerships and commingled investment trusts in which Yale invests

pose no off-balance sheet risk to the university due to the limited liability structure of the investments.

Certain investment transactions, including derivative financial instruments, necessarily involve

counterparty credit exposure. Such exposure is monitored regularly by the university's Investments Office

in accordance with established credit policies and other relevant criteria.

Endowment investments include beneficial interests in outside trusts of $151.8 million and $156.4

million at June 30, 2019 and 2018, respectively. Non-endowment investments include Connecticut

Health and Educational Facilities Authority (“CHEFA”) proceeds available for approved construction

and campus renovation projects. There were no outstanding CHEFA proceeds at June 30, 2019 and

$76.0 million at June 30, 2018.

The following investments held under split-interest agreements are included in the endowment

investment portfolio, in thousands of dollars:

2019 2018

Charitable gift annuities 227,355$ 227,170$

Charitable remainder trusts 104,058 107,652

Pooled income funds 6,826 9,524

338,239$ 344,346$

Split interest liabilities reported in the consolidated statement of financial position total $144.1 million

and $138.6 million at June 30, 2019 and 2018, respectively, and are recorded at fair value using Level 2

measurements.

The university has agreements with certain affiliates to invest in the Pool. The obligation to these affiliates

included in other liabilities within liabilities associated with investments is $1,160.8 million and

$1,171.7 million at June 30, 2019 and 2018, respectively. The largest balance recorded is for Yale-New

Haven Health System (“YNHHS”) with $916.0 million and $931.7 million invested at June 30, 2019

and 2018, respectively.

A summary of the university's total investment return as reported in the consolidated statement

of activities is presented below, in thousands of dollars:

2019 2018

Investment income 455,594$ 387,654$

Realized and unrealized gain, net of

investment management fees 1,174,398 2,890,256

Total endowment return 1,629,992 3,277,910

Other investment (loss) income (206,980) 218,966

1,423,012$ 3,496,876$

I-21

Endowment investment returns totaling $1,354.6 million and $1,282.1 million were allocated to operating activities in 2019 and 2018, respectively, using the spending policy described in Note 1d.

3. Accounts Receivable Accounts receivable from the following sources were outstanding at June 30, in thousands of dollars:

2019 2018

Medical services, net 95,906$ 117,706$

Grant and contracts 105,743 107,143

Affiliated organizations 79,877 64,494

Publications 6,551 5,345

Other 33,597 24,216

321,674 318,904

Less: Allowance for doubtful accounts (22,001) (57,262)

299,673$ 261,642$

Medical services receivables are net of discounts and allowances of $159.8 million and $118.2 million at

June 30, 2019 and 2018, respectively. In connection with the adoption of the new accounting guidance

for revenue from contracts with customers, the university changed its presentation of the allowance for

doubtful accounts associated with medical services accounts receivable. For 2019 this amount is netted

against medical service receivables. For 2018 it is presented in the allowance for doubtful accounts.

Receivables for medical services, net of contractual adjustments, are primarily based on negotiated

contracts with insurance companies (36%), Medicare (12%), Medicaid (4%), payments due directly

from patients (38%) and commercial insurance and others (10%). The university assesses credit losses

on certain accounts receivable on a regular basis to determine the allowance for doubtful accounts.

The university and Yale-New Haven Hospital (the “Hospital”) are parties to an affiliation

agreement that establishes guidelines for the operation of activities between these two separate

organizations. These guidelines set forth each organization's responsibility under the common goal of

delivering comprehensive patient care services. The university provides professional services from faculty

of the Yale School of Medicine and a variety of other administrative and clinical services. The net

receivable from the Hospital amounted to $68.1 million and $50.8 million at June 30, 2019 and 2018,

respectively. Balances are settled in the ordinary course of business. The university recognized $341.4

million and $289.2 million in revenue and incurred $115.0 million and $93.5 million in expenses

related to activities with the Hospital during the periods ended June 30, 2019 and 2018, respectively.

I-22

4. Contributions Receivable

Contributions receivable consist of the following unconditional promises to give as of June 30, in

thousands of dollars:

2019 2018

Purpose:

Operating programs 435,821$ 390,164$

Endowment 348,196 186,688

Capital purposes 107,000 135,678

Gross unconditional promises to give 891,017 712,530

Less: Discount to present value (139,539) (136,574)

Allowance for uncollectible accounts (81,017) (64,212)

670,461$ 511,744$

Amounts due in:

Less than one year 235,612$ 230,971$

One to five years 350,879 211,038

More than five years 304,526 270,521

891,017$ 712,530$

Discount rates used to calculate the present value of contributions receivable ranged from 0.33% to

7.00% at June 30, 2019 and 2018.

At June 30, 2019, the university had conditional pledges of approximately $73.4 million that are

subject to a donor-imposed condition.

5. Notes Receivable

Notes receivable at June 30, in thousands of dollars, include:

2019 2018

Institutional student loans 46,627$ 47,211$

Federally-sponsored student loans 23,115 27,117

Notes receivable 52,337 52,548

122,079 126,876

Less: Allowance for doubtful accounts (11,655) (11,280)

110,424$ 115,596$

Student Loans

Institutional student loans include donor funds restricted for student loan purposes and university funds

made available to meet demonstrated need in excess of all other sources of student loan borrowings.

Interest accrues at fixed rates upon loan disbursement.

Management regularly assesses the adequacy of the allowance for credit losses for student loans

by performing ongoing evaluations of the student loan portfolio, including such factors as the differing

economic risks associated with each loan category, the financial condition of specific borrowers, the level

of delinquent loans, and, where applicable, the existence of any guarantees or indemnifications. Federally-

I-23

sponsored loans represent amounts due from current and former students under certain federal loan

programs. Loans disbursed under these programs can be assigned to the federal government in certain

non-repayment situations. In these situations, the federal portion of the loan balance is guaranteed.

Federally-sponsored student loans have mandated interest rates and repayment terms subject to

restrictions as to their transfer and disposition.

Amounts received from the federal government to fund a portion of the federally-sponsored

student loans are ultimately refundable to the federal government and have been reported as advances

from federal government for student loans in the consolidated statement of financial position. The

recorded value of student loan instruments approximates fair value.

Notes Receivable

The university and the Hospital entered into an agreement under which the Hospital will reimburse the

university over a 40-year term for advances made relating to the construction of Hospital facilities. The

payment includes interest based on the five-year Treasury bill plus 175 basis points, which resets every

five years. In 2015, the interest rate was reset, and the monthly payment was adjusted accordingly.

6. Other Assets

Other assets at June 30, in thousands of dollars, include:

2019 2018

Insurance receivable 96,119$ 97,364$

Software costs, net of accumulated amortization 42,330 47,430

Deferred expenses 70,466 30,996

Inventories 14,628 14,963

223,543$ 190,753$

Amortization expense related to other assets included in operating expenses amounted to $13.5 million

and $13.7 million in 2019 and 2018, respectively.

7. Land, Buildings and Equipment

Land, buildings and equipment at June 30, less accumulated depreciation and amortization, in thousands

of dollars, are as follows:

2019 2018

Land and real estate improvements 137,053$ 137,053$

Buildings 7,124,734 6,889,549

Buildings under capital leases 129,746 50,058

Equipment 614,278 618,119

8,005,811 7,694,779

Less: Accumulated depreciation and amortization (3,188,589) (2,962,493)

4,817,222 4,732,286

Construction in progress 537,295 359,405

5,354,517$ 5,091,691$

I-24

Depreciation expense included in operating expenses amounted to $270.4 million and $256.4 million in

2019 and 2018, respectively. Amortization expense on capital lease assets amounted to $4.1 million and

$1.9 million in 2019 and 2018, respectively.

8. Other Liabilities

Other liabilities consist of obligations of the university that will be paid over extended periods and consist

of the following, in thousands of dollars:

2019 2018

Employee benefit obligations 1,622,551$ 977,271$

Compensated absences 67,289 65,440

Financial aid grant obligations 64,534 59,774

Asset retirement obligations 39,100 39,100

Other 205,890 169,287

1,999,364$ 1,310,872$

Included in employee benefit obligations are defined benefit plan liabilities in excess of plan assets. These

liabilities amounted to $1,441.3 million at June 30, 2019 and $815.5 million at June 30, 2018 (see

Note 11).

I-25

9. Bonds and Notes Payable

Bonds and notes payable outstanding at June 30, in thousands of dollars, include:

Effective Interest Rate Calendar Year

June 30, 2019 of Maturity 2019 2018

CHEFA tax-exempt bonds:

Series S 5.00% 2027 111,205$ 135,865$

Series T 1.65% 2029 125,000 125,000

Series U 2.00% 2033 250,000 250,000

Series V 1.26% 2036 200,000 200,000

Series X 1.80% 2037 125,000 125,000

Series 2010A 1.90% 2049 300,000 379,975

Series 2013A 1.00% 2042 100,000 100,000

Series 2014A 1.30% 2048 250,000 250,000

Series 2015A 2.05% 2035 300,000 300,000

Series 2016A 1.62% 2042 399,320 399,320

Series 2017A 5.00% 2042 170,920 170,920

Series 2017B 5.00% 2029/2037 224,200 224,200

Series 2017C 5.00% 2040/2057 383,380 383,380

Series 2018A 5.00% 2025 67,610 -

Total CHEFA bonds 3,006,635 3,043,660

Medium-term notes 7.38% 2096 125,000 125,000

Medium-term notes Series B - 2019 - 250,000

Commercial paper 1.82% 2019 500,000 181,445

Capital leases - buildings 4.17% 2032/2044 169,581 39,623

U.S. Department of Energy 2.71% 2029 43,891 48,797

Other notes payable 7.85% 2020 605 1,020

Principal amount 3,845,712 3,689,545

Less: Bond issue costs (12,359) (13,271)

Plus: Unamortized premiums and discounts, net 111,600 108,603

3,944,953$ 3,784,877$

Outstanding Balance

CHEFA Tax-Exempt Bonds

The university borrows at tax-exempt rates through CHEFA, a conduit issuer. CHEFA debt is a general

unsecured obligation of the university. Although CHEFA is the issuer, the university is responsible for the

repayment of the tax-exempt debt.

Series S bonds consist of $111.2 million maturing in July 2027. In February 2019, the Series S-1 and S-

2 bonds, totaling $135.9 million, were remarketed as a single Series S. The principal was reduced and it

was converted from a variable money market municipal interest rate to a fixed interest rate of 5.00%.

These bonds include a net premium of $23.4 million as of June 2019.

Series T bonds consist of $125.0 million Series T-2 bonds maturing in July 2029. The Series T-2 bonds

bear a fixed interest rate of 1.65% through February 2020.

Series U bonds consist of 1) $125.0 million Series U-1 bonds and 2) $125.0 million Series U-2 bonds.

In February 2019, both series were remarketed from a fixed interest rate of 1.00% to a fixed interest rate

of 2.00% through February 7, 2022 and mature in July 2033.

I-26

Series V bonds consist of $200.0 million, bear interest at a daily rate, and mature in July 2036. The

bonds may be converted from a daily rate period to other variable rate modes or to a fixed rate mode at the

discretion of the university.

Series X bonds consist of $125.0 million Series X-2 bonds maturing in July 2037. In February 2018, the

Series X-2 bonds were remarketed from a fixed interest rate of 0.90%, to a fixed interest rate of 1.80%

through January 2021.

Series 2010A bonds consist of 1) $150.0 million Series 2010A-3 bonds, maturing July 2049, that were

remarketed from an interest rate of 0.875% that expired in February 2018 to a fixed interest rate of

1.80% through February 2021; and 2) $150.0 million Series 2010A-4 bonds, maturing July 2049, that

were remarketed from a fixed interest rate of 1.20% that expired in January 2019 to a fixed interest rate

of 2.00% through February 2022. In July 2018 $80.0 million Series 2010A-1 bonds were redeemed by

new Series 2018A bonds in the amount of $67.6 million (see Series 2018A below). In December 2017

$150.0 million Series 2010A-2 bonds were redeemed by new Series 2017C-1 bonds in the amount of

$150.0 million (see Series 2017C-1 below).

Series 2013A bonds consist of $100.0 million maturing in July 2042. In July 2019, the Series 2013A

bonds were remarketed from a fixed interest rate of 1.00% to a fixed interest rate of 1.45% through June

2022.


bonds were remarketed from a fixed interest rate of 0.80% to a fixed interest rate of 1.30% through

February 2020.


bonds were remarketed from a fixed interest rate of 1.38% to a fixed interest rate of 2.05% through July

2021.

Series 2016A bonds consist of 1) $150.0 million Series 2016A-1 bonds bearing a fixed interest rate of

1.00% through June 30, 2019; and 2) $249.3 million Series 2016A-2 bonds bearing a fixed interest

rate of 2.00% through June 30, 2026. Both bond series mature in July 2042. In July 2019, the Series

2016A-1 bonds were remarketed to a fixed interest rate of 1.45% through June 2022.

Series 2017A bonds consist of 1) $85.5 million Series 2017A-1 bonds and 2) $85.5 million Series

2017A-2 bonds. Both bond series mature in July 2042 and bear a fixed interest rate of 5.00% through

June 30, 2022. These bonds include a net premium of $17.4 million as of June 30, 2019.

Series 2017B bonds consist of 1) $112.1 million Series 2017B-1 bonds maturing in July 2029 and 2)

$112.1 million Series 2017B-2 bonds maturing in July 2037. Both bond series bear a fixed interest rate

of 5.00% through June 30, 2020. These bonds include a net premium of $8.6 million as of June 30,

2019.

I-27

Series 2017C-1 bonds were issued in December 2017 to refund Series 2010A-2 bonds and consist of

$123.3 million maturing in July 2040. The bonds bear a fixed interest rate of 5.00% through January

2028. These bonds include a net premium of $25.1 million as of June 30, 2019. Series 2017C-2 bonds

were issued in December 2017 and consist of $260.1 million maturing in July 2057. The bonds bear a

fixed interest rate of 5.00% through January 2023. These bonds include a net premium of $28.1 million

as of June 30, 2019.

Series 2018A bonds were issued in July 2018 to refund Series 2010A-1 bonds and consist of $67.6

million maturing in July 2025. The bonds bear a fixed interest rate of 5.00%. These bonds include a net

premium of $10.6 million as of June 30, 2019.

Notes Payable

Medium-term notes bear a fixed interest rate of 7.38% and mature in 2096, with an optional redemption

provision in the year 2026. The discount associated with these notes was $251 thousand as of June 30,

2019.

Medium-term notes Series B bore a fixed interest rate of 2.09% and were redeemed in April 2019.

Commercial paper consists of notes issued in the short-term taxable market and is sold at a discount from

par. In April 2019, additional commercial paper was issued and the proceeds were partially used to

redeem $250.0 million of medium term notes Series B. The maturities of individual notes are issued in

ranges from one day to no more than one year and fall on average in a range of thirty to sixty days.

Certain lease agreements entered into by the university qualify as capital leases with obligations of $169.6

million and $39.6 million at June 2019 and 2018, respectively. The agreements call for the university to

lease the buildings through 2032 and 2044.

The university financed a wind energy project, Record Hill Wind, LLC, through a financing arrangement

with the US Department of Energy. The financing arrangement is non-recourse debt to the university and

bears interest at rates ranging from 2.24% to 2.78%.

Scheduled maturities of the debt obligations, in thousands of dollars, are as follows:

2020 507,044$

2021 6,914

2022 6,927

2023 7,108

2024 7,301

Thereafter 3,310,418 Total 3,845,712$

Certain CHEFA Series are subject to tender by bondholders. To the extent all bonds subject to tender

could not be remarketed, $2.6 billion of bonds scheduled for maturity between 2029 and 2057 would be

due when tendered.

I-28

Total interest expense incurred on indebtedness was $72.5 million and $58.1 million in 2019 and 2018,

respectively. Interest capitalized to land, buildings and equipment totaled $5.7 million and $4.1 million

in 2019 and 2018, respectively. Amortization expense related to bond issue costs included in operating

expenses amounted to $1.8 million and $1.0 million in 2019 and 2018, respectively.

10. Retirement Plans – Defined Contribution

The university maintains defined contribution plans for faculty and certain staff employees. Participants

may direct employee and employer contributions to annuities, mutual funds, and other investment

options. Retirement expense for this plan was $124.9 million and $115.9 million in 2019 and 2018,

respectively.

11. Pension and Postretirement Plans – Defined Benefit

The university has a noncontributory, defined benefit pension plan for staff. The staff pension plan

provides payments based on the employee’s earnings and years of participation.

In addition, the university provides postretirement benefits including health benefits based on

years of service, life insurance, and a pay-out of unused sick time. While the university’s subsidy of the

cost of comprehensive health care benefits differs among retiree groups, substantially all employees who

meet minimum age and service requirements and retire from the university are eligible for these benefits.

Non-faculty employees are paid 50% of unused sick time and receive life insurance benefits upon

retirement from active status.

The university uses a June 30th measurement date for its defined benefit plans.

The following table sets forth the pension and postretirement plans’ funded status that is reported in the

consolidated statement of financial position at June 30, in thousands of dollars:

2019 2018 2019 2018

Change in benefit obligation:

Benefit obligation, beginning of year $ 1,658,508 $ 1,699,411 1,137,991$ 1,196,520$

Service cost, excluding assumed administrative expenses 56,850 60,804 42,109 49,398

Interest cost 68,036 66,797 46,238 46,567

Benefit payments (53,477) (74,401) (29,568) (28,946)

Settlements (156,700) - - -

Assumption changes 358,524 (92,081) 270,442 (44,346)

Actuarial loss (gain) 17,159 (2,022) (44,616) (81,202)

Benefit obligation, end of year 1,948,900$ 1,658,508$ 1,422,596$ 1,137,991$

Change in plan assets:

Fair value, beginning of year $ 1,487,183 $ 1,329,042 493,791$ 463,027$

Actual return on plan assets 33,266 153,370 15,262 56,987

University contributions 107,998 81,844 36,233 3,934

Benefits and expenses paid (56,136) (77,073) (30,684) (30,157)

Settlements (156,700) - - -

Fair value, end of year 1,415,611$ 1,487,183$ 514,602$ 493,791$ Funded Status (533,289)$ (171,325)$ (907,994)$ (644,200)$

Pension Postretirement

I-29

Benefit Obligation

The benefit obligation represents the actuarial present value of future payments to plan participants for

services rendered prior to that date, based on the pension benefit formula. In calculating the value, the

participants’ compensation levels are projected to retirement.

The accumulated benefit obligation differs from the benefit obligation above in that it does not

consider assumptions about future compensation levels. It represents the actuarial present value of future

payments to plan participants using current and past compensation levels. The accumulated benefit

obligation for the pension plan was $1,654.0 million at June 30, 2019 and $1,447.0 million June 30,

2018, respectively.

In January 2019, the staff pension plan purchased a group annuity contract from a third party to

settle a portion of its obligation to certain pension plan participants.

Assumptions used in determining the year end obligation of the pension and postretirement plans are:

2019 2018

Weighted-average discount rate -

all plans except unused sick pay plan 3.10% 4.30%

Weighted-average discount rate - unused sick pay plan 2.85% 4.00%Weighted-average increase in future compensation levels 3.14% 3.20%

Projected health care cost trend rate (pre-65/post-65) 6.66% / 12.40% 7.08% / 6.89%

Ultimate trend rate (pre-65/post-65) 4.50% / 4.50% 4.50% / 4.31%

Year ultimate trend rate is achieved 2028 2028

Mortality RP2014 Aggregate,

Scale MP2014

RP2014 Aggregate,

Scale MP2014

In 2019, the university revised its methodology for determining the interest rates it uses to discount the

pension and postretirement obligations, primarily because of the changing demographics of benefit plan

participants. This change in methodology was the primary reason, combined with a lower interest rate

environment, for the reduction in the discount rate.

The health care cost trend rate assumption has a significant effect on the amounts reported. For the

fiscal year ended June 30, 2019, a one percent change in the health care cost trend rate would affect 2019

as follows, in thousands of dollars:

One percent One percent

Increase Decrease

Effect on 2019 postretirement service and interest cost 19,400$ (13,400)$

Effect on postretirement benefit obligation at June 30, 2019 250,000 (177,000)

Changes in assumptions during the year resulted in an increase to the pension benefit obligation and an

increase to the postretirement benefit obligation at June 30, 2019, as follows, in thousands of dollars:

Pension Postretirement Total

Salary increase rates $ (3,401) $ (64) $ (3,465)

Inflation (96) (1,491) (1,587)

Discount rate 368,580 280,979 649,559

Demographic changes (6,559) (8,982) (15,541)

$ 358,524 $ 270,442 $ 628,966

I-30

Net Periodic Benefit Cost Net periodic benefit cost for the plans includes the following components, in thousands of dollars:

2019 2018 2019 2018

Service cost $ 56,850 $ 60,804 42,109$ 49,398$

Administrative expenses 2,700 2,500 1,300 1,100

Interest cost 68,036 66,797 46,238 46,567

Expected return on plan assets (101,485) (103,010) (34,070) (33,930)

Net amortization:

Prior service cost 3,343 3,343 21 50

Net loss 606 10,123 6 7,586 Net periodic benefit cost 30,050 40,557 55,604 70,771

Settlement charge 20,652 - - - Total expense 50,702$ 40,557$ 55,604$ 70,771$

Pension Postretirement

The service cost component of net periodic benefit cost is included in employee benefits as a part of

operating expenses in the consolidated statement of activities. The components of net periodic benefit

cost, other than service cost, are included in other increases (decreases), which is reported as non-

operating activity in the consolidated statement of activities.

Assumptions used in determining the net periodic benefit cost of the pension and postretirement plans

are:

2019 2018

Weighted-average discount rate 4.30% 4.00%

Expected long-term rate of return 7.25% 7.75%

Weighted-average compensation increase 3.20% 3.28%

Health care cost increase (pre-65/post-65) 7.08% / 6.89% 7.30% / 6.48%

Ultimate trend rate (pre-65/post-65) 4.50% / 4.31% 4.50% / 4.27%

Year ultimate trend rate is achieved 2028 2028

Mortality RP2014 Aggregate,

Scale MP2014

RP2014 Aggregate,

Scale MP2014

The funded status consists of the cumulative unfunded net periodic benefit cost and the cumulative

change in funding status of defined benefit plans. The components of the change in funding status of

defined benefit plans, which is reported in non-operating results, for the year ended June 30, in

thousands of dollars, include:

2019 Pension Postretirement Total

Unrecognized net actuarial loss $ 443,865 $ 244,450 $ 688,315

Amortization of unrecognized obligation (24,602) (27) (24,629)

$ 419,263 $ 244,423 $ 663,686


Unrecognized net actuarial loss $ (144,292) $ (148,490) $ (292,782)

Amortization of unrecognized obligation (13,467) (7,635) (21,102)

$ (157,759) $ (156,125) $ (313,884)

I-31

The cumulative amounts of these adjustments reported as deductions to net assets in the consolidated

statement of financial position at June 30, in thousands of dollars, include:



Unrecognized prior service cost 14,044 1 14,045

$ 554,158 $ 318,989 $ 873,147



Unrecognized prior service cost 17,387 22 17,409

$ 134,895 $ 74,566 $ 209,461

Amounts recorded as an adjustment at June 30, 2019 that are expected to be amortized into non-

operating activity during fiscal year 2020, in thousands of dollars, include:

Pension Postretirement Total

Net actuarial loss $ 29,361 $ 12,162 $ 41,523

Prior service cost 3,343 1 3,344

$ 32,704 $ 12,163 $ 44,867

Actuarial gains or losses and prior service costs resulting from plan amendments are amortized over the

average remaining years of service of active participants.

Plan Assets

The defined benefit plan assets are valued utilizing the same fair value hierarchy as the university’s

investments as described in Note 1d.

The following table summarizes the fair values of investments by major type held by the staff pension

plan at June 30, in thousands of dollars:

Level 1 Level 2 Level 3 2019 2018


Cash and cash equivalents 111,261$ -$ -$ 111,261$ 23,399$

US government securities 113,231 - - 113,231 116,965

Equity investments:

Domestic 21,844 - - 21,844 17,040

Foreign 1,490 34,987 - 36,477 46,797

Total equity investments 23,334 34,987 - 58,321 63,837

Limited partnerships:

Natural resources - - 11,329 11,329 12,101

Total limited partnerships - - 11,329 11,329 12,101

Other investments 4 - - 4 -

Total leveled investments 247,830$ 34,987$ 11,329$ 294,146 216,302

Investments at NAV 1,138,881 1,270,982

Total investments, at fair value 1,433,027 1,487,284

Liabilities associated with investments 17,278$ 138$ -$ 17,416 101

Net investments, at fair value 1,415,611$ 1,487,183$

I-32

The following table summarizes the fair values of investments by major type held by the retiree health

plan at June 30, in thousands of dollars:

Level 1 Level 2 Level 3 2019 2018


Cash and cash equivalents 43,604$ -$ -$ 43,604$ 14,066$

US government securities 20,611 - - 20,611 19,492

Equity investments:

Domestic 18,079 - - 18,079 8,203

Foreign 899 7,138 - 8,037 13,553

Total equity investments 18,978 7,138 - 26,116 21,756

Limited partnerships:

Natural resources - - 156 156 1,008

Total limited partnerships - - 156 156 1,008

Total leveled investments 83,193$ 7,138$ 156$ 90,487 56,322

Investments at NAV 426,302 443,352

Total investments, at fair value 516,789 499,674

Liabilities associated with investments 90$ 34$ -$ 124 3,559

Net investments, at fair value 516,665$ 496,115$

The table below represents the change in fair value measurements for Level 3 investments held by the

staff pension plan and the retiree health plan for the plans’ year ended June 30, 2019, in thousands of

dollars:

Pension Retiree Health

Beginning balance $ 12,101 $ 1,008

Unrealized (loss) (2,027) (674)

Purchases 2,445 -

Sales (1,190) (178)

Ending balance $ 11,329 $ 156

The investment objective for the pension and retiree health plans seeks a positive long-term total return

after inflation to meet the university’s current and future plan obligations. Asset allocations for both plans

combine tested theory and informed market judgment to balance investment risks with the need for high

returns. Plan asset allocations by category at June 30 are as follows:

2019 2018 2019 2018

Absolute return 24.4% 28.2% 24.0% 27.5%

Domestic equity 5.9% 7.9% 10.0% 7.6%

Fixed income 8.0% 7.8% 4.0% 3.9%

Foreign equity 22.6% 22.6% 24.6% 21.9%

Leveraged buyouts 8.6% 7.0% 8.4% 8.4%

Venture capital 14.2% 13.0% 12.5% 12.5%

Real estate 6.8% 6.4% 8.8% 10.4%

Natural resources 1.9% 6.0% 0.9% 5.5%

Cash 7.6% 1.1% 6.8% 2.3%

Pension Retiree Health

I-33

The pension and retiree health long-term rate of return assumption is determined by adding expected

inflation to expected long-term real returns of various asset classes, considering expected volatility and

correlation between the returns of various asset classes.

Contributions

Annual contributions for the pension and retiree health plans are determined by the university

considering calculations prepared by the plans’ actuary as well as other factors. Expected contributions on

a cash basis to the pension plan and retiree health plan in fiscal 2020 are $76.7 million and $42.2

million, respectively.

Benefit Payments

The following estimated benefit payments, which reflect expected future service, are expected to be paid

out of the plans, in thousands of dollars:

Fiscal year Pension Postretirement Total

2020 48,620$ 33,094$ 81,714$

2021 52,563 37,286 89,849

2022 56,958 40,801 97,759

2023 61,590 45,491 107,081

2024 66,297 48,856 115,153

2025-2029 402,355 286,749 689,104

688,383$ 492,277$ 1,180,660$

12. Net Assets

The university’s net assets as of June 30, in thousands of dollars, includes:

2019 2018

With Donor Restrictions:

Donor-restricted endowments, perpetual in nature 4,260,677$ 3,981,513$

Student loans, perpetual in nature 47,690 45,622

Donor-restricted endowments, subject to spending policy

and appropriation 20,735,383 20,392,002

Board designated endowment, subject to spending policy

and appropriation 310,263 255,412

Unexpended gift balances 995,381 1,055,642

Total net assets with donor restrictions 26,349,394 25,730,191

Without Donor Restrictions:

Board designated endowment, subject to spending policy

and appropriation 5,008,493 4,722,139

Undesignated 176,453 1,091,442

Non-controlling interest 707,411 713,343

Total net assets without donor restrictions 5,892,357 6,526,924

Total net assets 32,241,751$ 32,257,115$

Yale’s endowment consists of approximately 7,800 funds established for a variety of purposes.

I-34

The endowment includes both donor-restricted endowment funds and funds designated by the

Corporation to function as endowments. The university endowment fund composition by fund type as of

June 30, in thousands of dollars, includes:

2019 Without Donor Restrictions With Donor Restrictions Total

Donor-restricted endowment -$ 24,996,060$ 24,996,060$

Board-designated endowment 5,008,493 310,263 5,318,756

5,008,493$ 25,306,323$ 30,314,816$


Donor-restricted endowment -$ 24,373,515$ 24,373,515$

Board-designated endowment 4,722,139 255,412 4,977,551

4,722,139$ 24,628,927$ 29,351,066$

Changes in endowment net assets for the fiscal year ended June 30, in thousands of dollars, were:


Endowment net assets, beginning of year 4,722,139$ 24,628,927$ 29,351,066$

Investment return:

Investment income 70,636 393,084 463,720

Net appreciation 185,534 980,738 1,166,272

Total investment return 256,170 1,373,822 1,629,992

Contributions 13,296 367,890 381,186

Allocation of endowment spending (210,826) (1,143,742) (1,354,568)

Other increases 227,714 79,426 307,140

Endowment net assets, end of year 5,008,493$ 25,306,323$ 30,314,816$


Endowment net assets, beginning of year 4,104,806$ 23,071,235$ 27,176,041$

Investment return:

Investment income 53,608 334,046 387,654

Net appreciation 585,332 2,304,924 2,890,256

Total investment return 638,940 2,638,970 3,277,910

Contributions 7,588 130,452 138,040

Allocation of endowment spending (163,542) (1,118,282) (1,281,824)

Other increases (decreases) 134,347 (93,448) 40,899

Endowment net assets, end of year 4,722,139$ 24,628,927$ 29,351,066$

13. Functional and Natural Classification of Expenses

The consolidated financial statements report certain categories of expenses that are attributable to one or

more program or supporting functions of the university. Expenses reported by functional categories

include allocations of costs for operation and maintenance of plant, interest on indebtedness and

depreciation and amortization expense. The university applies various methods to allocate costs among

the program and support functions, the most significant of which is by the amount of building space

utilized.

I-35

Operating and non-operating expenses by functional and natural classification for the fiscal year ended

June 30, in thousands of dollars, were:

2019

Programmatic

support

Patient care and

other related

services

Administration

and other

institutional

support Total

Salaries and wages 1,137,449$ 522,476$ 136,717$ 1,796,642$

Employee benefits 381,789 146,026 49,967 577,782

Depreciation, amortization and interest 323,722 12,641 23,069 359,432

Other operating expenditures 851,785 190,160 59,066 1,101,011

Total operating expenses 2,694,745 871,303 268,819 3,834,867

Non-operating expenses 34,069 2,460 1,285 37,814

2,728,814$ 873,763$ 270,104$ 3,872,681$

2018

Programmatic

support

Patient care and

other related

services

Administration

and other

institutional

support Total

Salaries and wages 1,081,891$ 485,599$ 129,165$ 1,696,655$

Employee benefits 378,260 143,305 47,810 569,375

Depreciation, amortization and interest 293,762 12,317 23,841 329,920

Other operating expenditures 793,946 178,885 57,678 1,030,509

Total operating expenses 2,547,859 820,106 258,494 3,626,459

Non-operating expenses 39,573 1,338 1,123 42,034

2,587,432$ 821,444$ 259,617$ 3,668,493$

14. Commitments and Contingencies

The university is involved in various legal actions arising in the normal course of activities and is also

subject to periodic audits and inquiries by various regulatory agencies. Although the ultimate outcome is

not determinable at this time, management, after taking into consideration advice of legal counsel,

believes that the resolution of these pending matters should not have a material adverse effect upon the

university's financial position.

I-36

Minimum lease commitments at June 30, 2019, under agreements to lease space, in thousands of dollars,

are as follows:

Operating Lease

Payments

Capital Lease

Payments

2020 13,529$ 16,915$

2021 11,071 16,922

2022 9,033 16,914

2023 7,366 16,921

2024 7,141 17,066

Thereafter 36,588 278,132

84,728 362,870

Executory costs - (99,393)

Interest on capital leases - (93,895)

$ 84,728 $ 169,582

The university has outstanding commitments on contracts to construct campus facilities in the amount of

$392.5 million at June 30, 2019. Funding for these projects is expected to come from capital

replacement reserves, gifts, and debt.

15. Subsequent Events

Management has evaluated subsequent events for the period after June 30, 2019, through October 22,

2019, the date the consolidated financial statements were issued.

I-37

PART II

SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS

Yale University


Year Ended June 30, 2019

Federal 2019

CFDA 2019 Subrecipient

Federal Agency/Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Defense

Direct:

Basic and Applied Scientific Research N00014-15-1-2531 12.300 4,425$ -$

Basic and Applied Scientific Research N00014-17-1-2316 12.300 20,066 -

Basic and Applied Scientific Research TBD 12.300 20,421 -



Basic and Applied Scientific Research FA8750-16-2-0274 12.300 29,898 -












Basic and Applied Scientific Research N00014-17-1-2604 12.300 216,797 10,588



2,301,152 304,686

Military Medical Research and Development W81XWH-14-1-0487 12.420 227 -

Military Medical Research and Development W81XWH-16-1-0227 12.420 4,362 -



Military Medical Research and Development W81XWH1910107 12.420 7,482 -

Military Medical Research and Development PR180274/W81XWH1910044 12.420 8,871 -





Military Medical Research and Development W81XWH1810698/PR171449P1 12.420 40,082 -












Military Medical Research and Development W81XWH-15-1-0407 12.420 175,093 62,943


Military Medical Research and Development PR170078/W81XWH-18-1-0629 12.420 180,461 -




Military Medical Research and Development PR170078P1/W81XWH1810630 12.420 223,473 -

The accompanying notes are an integral part of this schedule

II-1

Yale University



Federal 2019





Direct: (Continued)

Military Medical Research and Development W81XWH-18-1-0069 12.420 225,618$ -$





Military Medical Research and Development W81XWH-17-1-0505 12.420 297,799 136,798



Military Medical Research and Development W81XWH-15-C-0125 12.420 487,548 133,727





Military Medical Research and Development W81XWH-15-1-0117 12.420 1,154,302 -

9,542,127 333,468

Basic Scientific Research 75131-CH 12.431 4,823 -

Basic Scientific Research W911NF1920115 12.431 10,248 -

Basic Scientific Research W911NF-14-1-0011 12.431 10,310 -


Basic Scientific Research W911NF-16-2-0151 12.431 53,693 36,390








Basic Scientific Research W911NF-17-1-0164 12.431 145,333 28,480



Basic Scientific Research W911NF-18-1-0020 12.431 1,082,696 -

Basic Scientific Research W911NF1810212 12.431 2,821,159 79,790

5,364,832 144,660

Air Force Defense Research Sciences Program FA9550-19-1-0141 12.800 4,085 -












Air Force Defense Research Sciences Program FA9550-17-0198 12.800 539,208 392,237

2,632,311 392,237

Mathematical Sciences Grants Program H98230-16-1-0321 12.901 15,065 -

15,065 -


II-2

Yale University



Federal 2019





Direct: (Continued)

Research and Technology Development D16AP00046 12.910 52,652$ -$

Research and Technology Development W911NF-16-1-0389 12.910 130,907 -

Research and Technology Development HR0011-16-2-0037 12.910 140,633 82,841

Research and Technology Development W31P4Q-15-1-0006 12.910 524,950 -

Research and Technology Development FA8650-18-2-7850 12.910 838,625 165,925

Research and Technology Development 1,687,767 248,766

Subtotal - Department of Defense - Direct 21,543,254 1,423,817

Passed-through:

ERC, Incorporated - Department of Defense PS160054 12.RD 6,457 -

Spectral Energies, LLC - Department of Defense SB1806-001 12.RD 17,904 -

IBM Corporation - Department of Defense 4916001944 12.RD 37,998 -

RTI International - Department of Defense 1-340-0216503-65319L 12.RD 48,887 -

Johns Hopkins University - Department of Defense 2004137787 12.RD 58,101 -

GrammaTech, Inc. - Department of Defense GT S15-03 12.RD 105,348 -

John B. Pierce Laboratory Inc. (The) - Department of Defense 275-H Phase II 12.RD 210,288 -

Columbia University - Department of Defense 3(GG008712) 12.RD 275,415 -

760,398 -

Harvard University - Basic and Applied Scientific Research 133691-5101732 12.300 19,912 -

Stanford University - Basic and Applied Scientific Research 61445235-110489 12.300 21,739 -

Rensselaer Polytechnic Institute - Basic and Applied Scientific Research A12850 12.300 77,535 -

University of California, Los Angeles (UCLA) - Basic and Applied Scientific Research 1015GTA246 12.300 86,697 -

University of Pittsburgh - Basic and Applied Scientific Research 9012518 (411788-1) 12.300 87,170 -

University of California, Santa Barbara - Basic and Applied Scientific Research KK1317 12.300 110,244 -

University of California, Santa Barbara - Basic and Applied Scientific Research KK1907 12.300 119,351 -

Stevens Institute of Technology - Basic and Applied Scientific Research 2102753-02 12.300 135,135 -

University of Rochester - Basic and Applied Scientific Research 417314/URFAO:GR510771 12.300 243,000 -

Georgia State University Research Foundation - Basic and Applied Scientific Research SP00012914-05 12.300 283,482 -

Harvard University - Basic and Applied Scientific Research 123950-5092632 12.300 379,781 -

12.300

1,564,046 -

University of Texas Health Science Center (The) - Military Medical Research and Development 159411/155536 12.420 4,010 -

University of Minnesota - Military Medical Research and Development H006755701 12.420 11,825 -

University of Texas Health Science Center (The) - Military Medical Research and Development 159410/155536 12.420 36,365 -

Jackson (Henry M.) Foundation - Military Medical Research and Development 4551 12.420 51,536 -

Rutgers, the State University of New Jersey - Military Medical Research and Development 0420/PO #804112 12.420 53,201 -

Research Institute at Nationwide Children's Hospital (The) - Military Medical Research and Development 710049-0921-00 12.420 74,013 -

Brown University - Military Medical Research and Development 00001072 12.420 79,690 -

Jackson (Henry M.) Foundation - Military Medical Research and Development 824438 12.420 131,203 -

441,843 -

Regents of the University of Michigan - Basic Scientific Research SUBK00010308 12.431 4,823 -

Pennsylvania State University - Basic Scientific Research 5640-YU-ARO-0146 12.431 32,672 -

University of Maryland - Basic Scientific Research 26232-Z8401004 12.431 91,406 -

University of Chicago - Basic Scientific Research FP056991-01-SP 12.431 92,119 -

University of Chicago - Basic Scientific Research FP056991-01-PR 12.431 651,231 -

University of Maryland - Basic Scientific Research 39406-Z8425101 12.431 798,654 -

1,670,905 -

IBM Corporation - Basic, Applied, and Advanced Research in Science and Engineering PO 5005129696 12.630 470,354 -

470,354 -


II-3

Yale University



Federal 2019





Passed-through: (Continued)

Michigan Technological University - Air Force Defense Research Sciences Program 1311051Z1 12.800 7,413$ -$

Purdue University - Air Force Defense Research Sciences Program 8000083725 12.800 166,766 -

Massachusetts Institute of Technology (MIT) - Air Force Defense Research Sciences Program 5710003622 12.800 179,753 -

University of Colorado, Denver - Air Force Defense Research Sciences Program 1552229-PO 1000439984 12.800 416,981 -

Emory University - Air Force Defense Research Sciences Program A007929 12.800 447,669 -

University of Chicago - Air Force Defense Research Sciences Program FP057123-C 12.800 663,685 -

1,882,267 -

Massachusetts Institute of Technology (MIT) - Research and Technology Development 5710003925 12.910 17,760 -

Charles Stark Draper Lab, Inc. - Research and Technology Development SC001-0000001092 12.910 284,254 -

302,014 -

Subtotal - Department of Defense - Pass Through 7,091,827 -

Subtotal - Department of Defense 28,635,081 1,423,817

Department of Agriculture

Direct:

Department of Agriculture 17-CR-11242303-064 10.RD 797 -

797 -

Partnership Agreements 17-CR-11242303-066 10.699 3,494 -

3,494 -

Subtotal - Department of Agriculture - Direct 4,291 -

Passed-through:

University of Florida - Specialty Crop Research Initiative UFDSP00011168-Proj 00125548 10.309 2,212 -

2,212 -

Subtotal - Department of Agriculture - Pass Through 2,212 -

Subtotal - Department of Agriculture 6,503 -

Department of Education

Direct:

Overseas Programs - Doctoral Dissertation Research Abroad P022A170006 84.022 4,847 -

Fulbright-Hays Doctoral Dissertation Research Abroad (DDRA) Fellowship Program P022A180059 84.022A 41,504 -

46,351 -

Subtotal - Department of Education - Direct 46,351 -

Passed-through:

Education Development Center - Investing in Innovation (i3) Fund 11870 84.411 19,903 -

19,903 -

University of Connecticut - Preschool Development Grants Agreement #325980/Acct #5635060 84.419 69,199 -

69,199 -

Subtotal - Department of Education - Pass Through 89,102 -

Subtotal - Department of Education 135,453 -

Department of Commerce

Direct:

Science, Technology, Business and/or Education Outreach SRF18-1104-E00/70NANB18H072 11.620 8,654 -

8,654 -

Subtotal - Department of Commerce - Direct 8,654 -


II-4

Yale University



Federal 2019




Department of Commerce

Passed-through:

University of Connecticut - Sea Grant Support 184904 KFS# 5645490 11.417 47,897$ -$

47,897 -

North Pacific Research Board - Unallied Science Program 1821 11.472 19,687 -

19,687 -

Subtotal - Department of Commerce - Pass Through 67,584 -

Subtotal - Department of Commerce 76,238 -

Department of Energy

Direct:

Office of Science Financial Assistance Program DE-SC0019061 81.049 2,328 -





Office of Science Financial Assistance Program DE-SC0016357 81.049 36,900 214,104

Office of Science Financial Assistance Program DE-FG02-98ER20311 81.049 78,629 -








Office of Science Financial Assistance Program DE-FG02-01ER15183 81.049 169,176 121,824



Office of Science Financial Assistance Program DE-FG02-08ER46482 81.049 223,806 42,803




Office of Science Financial Assistance Program DE-SC0019406 81.049 555,405 83,683


Office of Science Financial Assistance Program DE-SC0004168 81.049 1,035,800 -

Office of Science Financial Assistance Program DE-SC0017660 81.049 2,068,035 -

6,909,084 462,414

Renewable Energy Research and Development DE-EE0007983 81.087 356,036 125,660

356,036 125,660

Energy Efficiency and Renewable Energy Information Dissemination, Outreach, Training and Technical

Analysis/Assistance DE-EE0007657 81.117 412,344 219,739

412,344 219,739

Advanced Research Projects Agency - Energy DE-AR0000871 81.135 623,434 158,197

623,434 158,197

Subtotal - Department of Energy - Direct 8,300,898 966,010


II-5

Yale University



Federal 2019




Department of Energy

Passed-through:

The Krell Institute - Department of Energy Fanto - Fellowship 81.RD 359$ -$

Brookhaven National Laboratory/DOE - Department of Energy 336323 81.RD 6,004 -

Pacific Northwest National Laboratory/DOE - Department of Energy 237707 81.RD 6,383 -

Lawrence Berkeley National Laboratory/(LBNL)/DOE - Department of Energy 7303691 81.RD 8,422 -

Georgia Institute of Technology - Department of Energy RK579-S2 81.RD 9,305 -

Lawrence Livermore National Laboratory - Department of Energy B632375 81.RD 10,011 -

Lawrence Berkeley National Laboratory/(LBNL)/DOE - Department of Energy 7050501 81.RD 11,203 -

REMADE Institute/SMIA - Department of Energy DE-EE0007897 81.RD 19,276 -


Fermi National Accelerator Laboratory/DOE - Department of Energy 653603 81.RD 26,191 -

The Krell Institute - Department of Energy Cushman 81.RD 34,201 -




Regents University of California, San Francisco - Department of Energy 7369232 81.RD 81,082 -


Sandia National Laboratories - Department of Energy 1858448 81.RD 146,317 -

Colorado School of Mines - Department of Energy 401393-5801 81.RD 152,265 -

University of California, Berkeley - Department of Energy 7380202 81.RD 176,806 -



1,583,210 -

University of Maryland - Office of Science Financial Assistance Program 17285-Z7181003 81.049 12,238 -

Northwestern University - Office of Science Financial Assistance Program SP0004510-PROJ0013592 81.049 35,353 -

Cornell University - Office of Science Financial Assistance Program 85989-11162 81.049 86,088 -

Research Foundation of CUNY - Office of Science Financial Assistance Program CM00002281-00 81.049 98,836 -

University of Tennessee - Office of Science Financial Assistance Program A16-0384-S004 81.049 122,066 -

University of Missouri-Columbia - Office of Science Financial Assistance Program C00057185-1 81.049 122,536 -

Omega-P R&D, Inc. - Office of Science Financial Assistance Program Omega P 81.049 123,566 -

Massachusetts Institute of Technology (MIT) - Office of Science Financial Assistance Program S4685 - PO 238637 81.049 162,232 -

University of Illinois at Urbana-Champaign - Office of Science Financial Assistance Program 072290-17210 81.049 240,561 74,868

Northwestern University - Office of Science Financial Assistance Program SP0004510-PROJ0001535 81.049 274,192 -

1,277,668 74,868

University of Pennsylvania - Conservation Research and Development 36307 81.086 107,561 -

107,561 -

Rice University - Renewable Energy Research and Development R1A121 81.087 126,722 -

Regents University of California, San Francisco - Renewable Energy Research and Development 0205 G QA733 81.087 131,231 -

257,953 -

University of Michigan - Defense Nuclear Nonproliferation Research 3003222392 81.113 184,787 -

184,787 -

University of California, Santa Barbara - Advanced Research Projects Agency - Energy KK1963 81.135 11,092 -

11,092 -

Subtotal - Department of Energy - Pass Through 3,422,271 74,868

Subtotal - Department of Energy 11,723,169 1,040,878


II-6

Yale University



Federal 2019




Department of Health & Human Services

Direct:

Department Of Health And Human Services TBD 93.RD 44$ -$

Department Of Health And Human Services HHSN275201500007I 93.RD 8,292 -

Department Of Health And Human Services HHSN261201700690P 93.RD 38,127 -

Department Of Health And Human Services HHSF223201710167C 93.RD 55,138 82,763

Department Of Health And Human Services 75N92019F00074 93.RD 72,725 -

Department Of Health And Human Services HHSN268201100006I/HHSN26800002 93.RD 230,130 406,606

Department Of Health And Human Services 5R01AI108276-05 93.RD 316,885 -

Department Of Health And Human Services HHSN268201100006I/HHSN26800003 93.RD 614,952 424,519

1,336,293 913,888

Chronic Diseases: Research, Control, and Prevention 5R21DP006082-02 93.068 43,132 -

43,132 -

Family Smoking Prevention and Tobacco Control Act Regulatory Research 5R03DA041853-02 93.077 493 493

Family Smoking Prevention and Tobacco Control Act Regulatory Research 1R03DA043004-01 93.077 23,715 -

Family Smoking Prevention and Tobacco Control Act Regulatory Research 5R01DA042528-03 93.077 502,749 -

Family Smoking Prevention and Tobacco Control Act Regulatory Research 5P50DA036151-05 93.077 922,888 55,217

Family Smoking Prevention and Tobacco Control Act Regulatory Research 2U54DA036151-06/3U54DA036151-06S1 93.077 2,512,332 301,736

3,962,177 357,446

Food and Drug Administration_Research 2U01FD005938-03 93.103 415,477 213,947

Food and Drug Administration_Research 1U01FD005938-01 93.103 614,654 462,125

1,030,131 676,072

Environmental Health 1R25ES029052-01A1 93.113 3,775 -

Environmental Health R21ES028792 93.113 9,509 -

Environmental Health 5R01ES015632-10 93.113 26,420 -


Environmental Health 1R21ES029513 93.113 104,590 -



Environmental Health DP1ES025459-05 93.113 143,302 -


Environmental Health R00ES026729-03 93.113 170,699 -

Environmental Health 5R01ES007061 93.113 214,936 -

Environmental Health R01ES026246 93.113 271,727 55,340




3,212,477 55,340

Oral Diseases and Disorders Research 1F31DE026946-01 93.121 26,831 -

26,831 -

Centers for Research and Demonstration for Health Promotion and Disease Prevention 5U48DP005023-05 93.135 742,138 609,674

742,138 609,674

Human Genome Research 1R01HG010171-01A1 93.172 3,506 -

Human Genome Research 5F30HG010102-02 93.172 33,461 -

Human Genome Research 1R21HG009362-01 93.172 163,624 -

Human Genome Research 5R01HG008383-02 93.172 219,828 -

Human Genome Research 1R01HG008126-03 93.172 469,476 413,834

Human Genome Research 1R01HG009622-01A1 93.172 769,459 486,134

Human Genome Research 5UM1HG006504-06 93.172 2,627,810 -

4,287,164 899,968


II-7

Yale University



Federal 2019





Direct: (Continued)

Research Related to Deafness and Communication Disorders 1R01DC016851-01A1 93.173 44,275$ -$

Research Related to Deafness and Communication Disorders 1R21DC016133 93.173 57,580 -

Research Related to Deafness and Communication Disorders 5F32DC015969-02 93.173 58,144 -

Research Related to Deafness and Communication Disorders 5R21DC015438-02 93.173 59,958 -


Research Related to Deafness and Communication Disorders 5R01DC005259 93.173 163,435 -










4,855,612 -

Research and Training in Complementary and Integrative Health 5UG3AT009767-02 93.213 345,837 200,262

Research and Training in Complementary and Integrative Health 1UG3AT009758-01 93.213 557,339 262,992

Research and Training in Complementary and Integrative Health 5R01AT008448-05 93.213 566,809 161,856

Research and Training in Complementary and Integrative Health 1U24AT009769-02 93.213 1,844,299 352,042

3,314,284 977,152

National Research Service Awards_Health Services Research Training 5T32HS017589-10 93.225 11,683 -

11,683 -

Research on Healthcare Costs, Quality and Outcomes 1K08HS026006-01A1 93.226 114,169 -

Research on Healthcare Costs, Quality and Outcomes 5R01HS023801-04 93.226 119,907 30,041

Research on Healthcare Costs, Quality and Outcomes 5K08HS024332-03 93.226 121,491 -


Research on Healthcare Costs, Quality and Outcomes 2T32HS017589-11 93.226 191,190 -

Research on Healthcare Costs, Quality and Outcomes 5R18HS023778-04 93.226 263,074 22,791

Research on Healthcare Costs, Quality and Outcomes 5P30HS023554-04 REV 93.226 309,204 -

Research on Healthcare Costs, Quality and Outcomes 5R01HS024702-02 93.226 329,075 -


Research on Healthcare Costs, Quality and Outcomes 2U18HS016978-12 93.226 1,285,372 725,153

3,505,324 777,985

National Center on Sleep Disorders Research 1K24HL132093-03 93.233 69,001 -

National Center on Sleep Disorders Research 1R01HL126770-01A1 93.233 708,568 101,710

777,569 101,710

Mental Health Research Grants 5U01MH103339-03 93.242 1,146 1,146

Mental Health Research Grants 5R21MH109032-02 93.242 2,675 -

Mental Health Research Grants 5P30MH062294-15 93.242 3,533 -


Mental Health Research Grants 1R21MH117438-01A1 93.242 4,258 -



Mental Health Research Grants 5K01MH099232-04 93.242 7,039 -




Mental Health Research Grants 1F31MH113508-01A1 93.242 13,068 -

Mental Health Research Grants R01MH077939 93.242 13,325 -

Mental Health Research Grants 5U01MH105630-04S1 93.242 13,402 -

Mental Health Research Grants 1F30MH116607 93.242 21,208 -


II-8

Yale University



Federal 2019





Direct: (Continued)

Mental Health Research Grants 1F30MH113299 93.242 22,803$ -$

Mental Health Research Grants 1F32MH118700-01 93.242 23,287 -


Mental Health Research Grants 1F30MH116626-01 93.242 28,387 -

Mental Health Research Grants F31MH118984 93.242 36,227 -

Mental Health Research Grants 1F31MH116571 93.242 39,457 -

Mental Health Research Grants 5R21MH098667-02 93.242 40,115 35,272

Mental Health Research Grants 3U01MH103339-03S2 93.242 44,230 40,889



Mental Health Research Grants 1K08MH116119-01A1 93.242 53,076 -


Mental Health Research Grants 5P50MH106934-04 93.242 57,029 44,490

Mental Health Research Grants 5T32MH019961-22 93.242 58,700 -






Mental Health Research Grants 1R21MH115316 93.242 84,896 -






Mental Health Research Grants K23MH118999 93.242 118,207 -






Mental Health Research Grants K23MH115206 93.242 135,246 -




Mental Health Research Grants 5U01MH106874 SUPP 93.242 141,576 32,948

Mental Health Research Grants 3R01MH077945-09S1 93.242 142,192 131,819


Mental Health Research Grants 1K23MH111977-01A1 93.242 149,669 -

Mental Health Research Grants 3R01MH106324-02S1 93.242 152,685 145,855














II-9

Yale University



Federal 2019





Direct: (Continued)

Mental Health Research Grants 1R21MH113860-01 93.242 194,539$ 96,239$




Mental Health Research Grants 1RF1MH114078-01 93.242 241,290 -














Mental Health Research Grants 1R01MH118925 93.242 329,704 73,292


Mental Health Research Grants 1R56MH114833-01A1 93.242 355,418 13,766





Mental Health Research Grants R01MH116527 93.242 385,827 235,471


Mental Health Research Grants R01 MH115939-01 93.242 396,477 -









Mental Health Research Grants 5U01MH082022-10 93.242 450,681 -

















II-10

Yale University



Federal 2019





Direct: (Continued)

Mental Health Research Grants 5R01MH105203-04 93.242 593,184$ 375,436$

Mental Health Research Grants 5U01MH106874 93.242 609,441 64,423


Mental Health Research Grants 7U01MH107803-03 93.242 650,703 -


Mental Health Research Grants 1RF1MH117064-01 93.242 683,504 -


Mental Health Research Grants 5UG3MH111929-02/3UG3MH111929-02S1 93.242 695,549 33,744










Mental Health Research Grants 1 R01 MH115705-01 93.242 860,277 -


Mental Health Research Grants 5DP1MH110065-02 93.242 892,959 -

Mental Health Research Grants 5U01MH106876-03 93.242 1,232,921 632,521

Mental Health Research Grants 5P50MH106934-04 93.242 1,397,442 510,436

Mental Health Research Grants U01MH116488 93.242 1,505,934 -

Mental Health Research Grants 1R01MH111424 93.242 1,556,679 -

Mental Health Research Grants P30MH062294-17 93.242 1,732,999 120,864

Mental Health Research Grants 1P50MH115716-02 93.242 1,984,880 -

Mental Health Research Grants 5U19AIMH108206-04 93.242 5,956,392 3,291,085

55,746,192 8,739,630

Substance Abuse and Mental Health Services_Projects of Regional and National Significance 5H79TI080966-02 93.243 89,892 20,385



Substance Abuse and Mental Health Services_Projects of Regional and National Significance 1U79SM080038 93.243 710,216 12,589

1,209,995 96,790

Occupational Safety and Health Program 1R01OH010941-01A1 93.262 576,119 -

576,119 -

Health Systems Strengthening and HIV/AIDS Prevention, Care and Treatment under the President's Emergency

Plan for AIDS Relief 5T32EB019941 93.266 266,744 -

266,744 -

Alcohol Research Programs 1R13AA027710-01 93.273 207 -


Alcohol Research Programs 5R24AA022057-06S1 93.273 591 -


Alcohol Research Programs 5F31AA024673-02 93.273 1,891 -

Alcohol Research Programs 1R01AA027553-01 93.273 4,198 -


Alcohol Research Programs 1R01AA026844-01A1 93.273 14,046 -




Alcohol Research Programs 1T35AA023760 93.273 56,686 -

Alcohol Research Programs 5K99AA025401-02 93.273 73,238 -



II-11

Yale University



Federal 2019





Direct: (Continued)

Alcohol Research Programs 5R01AA024466-03 93.273 103,049$ 30,365$

Alcohol Research Programs 1U01AA026962-01 93.273 113,108 -

Alcohol Research Programs 1R21AA026346-01A1 93.273 117,155 63,033

Alcohol Research Programs R01AA025954 93.273 122,751 -



Alcohol Research Programs 1K01AA024788-01A1 93.273 162,361 -





Alcohol Research Programs 1R01AA026364-01 93.273 188,703 113,718







Alcohol Research Programs R24AA022057 93.273 236,161 -

Alcohol Research Programs 9P01AA027473-06 93.273 251,357 -

Alcohol Research Programs 1R01AA026313-01A1 93.273 258,306 4,349

Alcohol Research Programs 5U01AA021724-04/5R01AA021724-05 93.273 274,432 11,532


Alcohol Research Programs 2U24AA022001-07 93.273 329,240 18,018




Alcohol Research Programs 1U01AA026224-02 93.273 569,184 145,611




Alcohol Research Programs 2U01AA020790-06 93.273 1,142,148 714,608

Alcohol Research Programs 5P50AA012870-19 93.273 1,828,941 195,491

11,788,135 1,475,190

Drug Abuse and Addiction Research Programs 1DP2DA049282-01 93.279 1,178 -

Drug Abuse and Addiction Research Programs 5DP1DA036463-05 93.279 5,852 8,000

Drug Abuse and Addiction Research Programs 1R36DA042643-01 93.279 7,813 -

Drug Abuse and Addiction Research Programs 1K99DA048125-01 93.279 10,848 -

Drug Abuse and Addiction Research Programs 153293.5110673.0002 93.279 12,843 -

Drug Abuse and Addiction Research Programs 1R03DA047562-01A1 93.279 15,438 -


Drug Abuse and Addiction Research Programs 3R01DA012690-14S1 93.279 18,487 -

Drug Abuse and Addiction Research Programs 1F30DA043943-01 93.279 23,085 -

Drug Abuse and Addiction Research Programs 5F30DA041247 93.279 24,241 -





Drug Abuse and Addiction Research Programs R03DA047588 93.279 31,977 -





II-12

Yale University



Federal 2019





Direct: (Continued)

Drug Abuse and Addiction Research Programs 1R21DA041661-02 93.279 39,921$ -$



Drug Abuse and Addiction Research Programs 5R01DA027405-05 93.279 42,875 35,216



Drug Abuse and Addiction Research Programs 1K01DA046561-01A1 93.279 48,458 -

Drug Abuse and Addiction Research Programs 1K01DA045738-01A1 93.279 54,020 -



Drug Abuse and Addiction Research Programs 1R21DA039842-01A1 93.279 65,277 8,537



Drug Abuse and Addiction Research Programs 5R21DA044749-02/3R21DA044749-02S1 93.279 79,832 -




Drug Abuse and Addiction Research Programs 1K23DA045957 93.279 114,067 -





Drug Abuse and Addiction Research Programs 5K08DA037525-04 93.279 129,427 6,005

Drug Abuse and Addiction Research Programs 4UH3DA047003-02 93.279 130,594 -









Drug Abuse and Addiction Research Programs 5K01DA038207-04 93.279 172,508 39,802


Drug Abuse and Addiction Research Programs 1R21DA042702-01A1 93.279 177,465 46,468


Drug Abuse and Addiction Research Programs R21DA045969-01 93.279 188,922 -


Drug Abuse and Addiction Research Programs T32DA007238 93.279 204,383 -


Drug Abuse and Addiction Research Programs 5T32DA022975-10 93.279 240,708 -





Drug Abuse and Addiction Research Programs 5T32DA019426-15 93.279 321,401 -








II-13

Yale University



Federal 2019





Direct: (Continued)

Drug Abuse and Addiction Research Programs 5R01DA014241-15 93.279 403,556$ -$




Drug Abuse and Addiction Research Programs 1R01DA044981 93.279 445,309 30,877






Drug Abuse and Addiction Research Programs 1UG3DA047003-01 93.279 569,706 142,283






Drug Abuse and Addiction Research Programs 5R01DA038807-05/3R01DA038807-05S1 93.279 624,275 349,860



Drug Abuse and Addiction Research Programs 5U01DA045372-03 93.279 681,223 267,559




Drug Abuse and Addiction Research Programs 5R01DA043337-02 93.279 1,191,606 -

Drug Abuse and Addiction Research Programs 5P30DA018343-14 93.279 1,722,697 92,515

Drug Abuse and Addiction Research Programs 5U01DA041174-04 93.279 2,013,957 -

Drug Abuse and Addiction Research Programs 5P50DA009241-25 93.279 2,459,225 452,689

29,251,888 4,008,537

Discovery and Applied Research for Technological Innovations to Improve Human Health 1U01EB023686-02 93.286 60,856 4,653

Discovery and Applied Research for Technological Innovations to Improve Human Health R21EB023414 93.286 68,714 -

Discovery and Applied Research for Technological Innovations to Improve Human Health 1R01EB025840-01A1 93.286 99,359 -

Discovery and Applied Research for Technological Innovations to Improve Human Health 1R01EB026936-01 93.286 170,617 -

Discovery and Applied Research for Technological Innovations to Improve Human Health 1R21EB020968 93.286 186,519 -

Discovery and Applied Research for Technological Innovations to Improve Human Health 5K08EB018978-02 93.286 200,628 -





Discovery and Applied Research for Technological Innovations to Improve Human Health R01EB025468 93.286 400,560 -

Discovery and Applied Research for Technological Innovations to Improve Human Health 5R01EB016629-04 93.286 400,743 200,237


Discovery and Applied Research for Technological Innovations to Improve Human Health 1R01EB023366-01A1 93.286 588,198 64,349

3,841,777 269,239

Minority Health and Health Disparities Research 5R01MD010403-03 93.307 350,382 33,846

Minority Health and Health Disparities Research 1R01MD012769-01A1 93.307 622,824 221,696

Minority Health and Health Disparities Research U54MD010711-02 93.307 2,494,762 739,214

3,467,968 994,756

Trans-NIH Research Support 5U01EB021232-02 93.310 - 3,180

Trans-NIH Research Support 4DP5OD012109-05 93.310 178 -

Trans-NIH Research Support 4DP1AG047744-04 93.310 489 -

Trans-NIH Research Support 5UH3TR000960-03 93.310 94,679 -

Trans-NIH Research Support 3UH3TR000960-03S2 93.310 169,611 -


II-14

Yale University



Federal 2019





Direct: (Continued)

Trans-NIH Research Support 1DP2GM114830-01 93.310 188,847$ -$

Trans-NIH Research Support DP2GM132930 93.310 320,915 -

Trans-NIH Research Support 8U01DA047734-04 93.310 351,510 26,494

Trans-NIH Research Support 7DP5OD021370-04 93.310 356,151 -

Trans-NIH Research Support 1DP5OD023088-01 93.310 408,787 -

Trans-NIH Research Support 1DP2AI138259 93.310 445,519 -

Trans-NIH Research Support 1UG3HL147352 93.310 452,495 -

Trans-NIH Research Support 1DPGM123507-01 93.310 461,044 -

Trans-NIH Research Support DP2CA238295 93.310 505,397 -

3,755,622 29,674

National Center for Advancing Translational Sciences 5Ul1TR001863 93.350 11,841 -

National Center for Advancing Translational Sciences 5TL1TR001864 93.350 70,531 -

National Center for Advancing Translational Sciences 5KL2TR001862 93.350 71,698 -

National Center for Advancing Translational Sciences 3UH3TR000960-03S1 93.350 116,066 -

National Center for Advancing Translational Sciences 5Ul1TR001863-02 93.350 156,365 -

National Center for Advancing Translational Sciences 5UL1TR001863 93.350 775,180 -

National Center for Advancing Translational Sciences 5TL1TR001864 93.350 918,252 -

National Center for Advancing Translational Sciences 5KL2TR001862 93.350 1,186,267 -

National Center for Advancing Translational Sciences 5UL1TR001863 93.350 8,575,006 396,445

11,881,206 396,445

Research Infrastructure Programs S10OD023603 93.351 496,454 -

Research Infrastructure Programs 1S10OD023651 93.351 568,810 -

Research Infrastructure Programs 2R24OD016474-05 93.351 1,034,008 687,639

2,099,272 687,639

Nursing Research 4P20NR014126-05 93.361 1,103 -

Nursing Research 1R01NR018335-01 93.361 81,636 -

Nursing Research 1R21NR015856-01A1 93.361 91,797 40,490

Nursing Research 1K01NR017010-01A1 93.361 101,972 -

Nursing Research 1K23NR016277-01A1 93.361 159,164 -

Nursing Research 1R15NR017290-01 93.361 201,459 13,490

Nursing Research 1R21NR016352-01A1 93.361 207,693 40,423

Nursing Research 5T32NR008346-14 93.361 299,493 -



2,538,837 282,588

Activities to Support State, Tribal, Local and Territorial (BTLT) Health Department Response to Public Healthcare

Crises NU1ROT000012-01-00 93.391 132,260 -

132,260 -

Cancer Cause and Prevention Research 5R21CA198187-02 93.393 1,747 -

Cancer Cause and Prevention Research R21CA240166 93.393 13,771 -

Cancer Cause and Prevention Research 1R21CA231269 93.393 16,383 -







Cancer Cause and Prevention Research 5R21NR016190-02 93.393 95,376 -


Cancer Cause and Prevention Research K07CA230234 93.393 108,280 -


Cancer Cause and Prevention Research 9R01CA220123 93.393 152,140 59,234


II-15

Yale University



Federal 2019





Direct: (Continued)

Cancer Cause and Prevention Research 5R01CA195654-03 93.393 167,126$ -$





Cancer Cause and Prevention Research 1R01CA214703-01A1 93.393 343,257 -


Cancer Cause and Prevention Research 7R01CA118553-08 93.393 382,292 314,828



Cancer Cause and Prevention Research 5R01CA190017-03 93.393 414,472 87,101




Cancer Cause and Prevention Research 5R01CA206465-03 REV 93.393 646,601 233,102

Cancer Cause and Prevention Research R01CA201873-03 93.393 736,659 76,979

Cancer Cause and Prevention Research 1R01CA206483-01A1 93.393 746,968 370,941

Cancer Cause and Prevention Research 5P01CA016038-42 93.393 924,564 -

Cancer Cause and Prevention Research 7R01CA169141-05 93.393 1,141,096 270,599

10,161,662 1,450,534

Cancer Detection and Diagnosis Research 5R01CA195493-03 93.394 32,996 -

Cancer Detection and Diagnosis Research U01CA233364 93.394 202,246 133,679


Cancer Detection and Diagnosis Research 1R33CA196411-01 93.394 226,573 222,536

Cancer Detection and Diagnosis Research 4R00CA201601 93.394 253,523 -



Cancer Detection and Diagnosis Research 1R01CA206180 93.394 997,297 286,671

2,986,364 642,886

Cancer Treatment Research 4P01CA154295-06 93.395 63,682 -

Cancer Treatment Research 1R50CA211252-03 93.395 118,863 -


Cancer Treatment Research R01CA218501 93.395 172,100 -

Cancer Treatment Research 5R01CA178254 93.395 187,313 -

Cancer Treatment Research 1UG1CA233337 93.395 207,068 -







Cancer Treatment Research 5U10CA180826-04 93.395 561,729 -


Cancer Treatment Research 1R01CA207753-01A1 93.395 730,265 -

Cancer Treatment Research 1R01CA215553-01A1 93.395 751,648 241,609

Cancer Treatment Research 1R35CA197574-01A1 93.395 1,102,644 -

Cancer Treatment Research 5UM1CA186689-03 93.395 1,492,673 488,611

Cancer Treatment Research P50CA121974 93.395 1,874,049 28,158

10,326,564 758,378

Cancer Biology Research R01CA237586 93.396 2,801 -

Cancer Biology Research 3R01CA168670-02S1 93.396 22,378 -

Cancer Biology Research 1U01CA235747 93.396 40,835 -


II-16

Yale University



Federal 2019





Direct: (Continued)

Cancer Biology Research R03CA216017-02 93.396 94,919$ -$

Cancer Biology Research 1R33CA225498-01A1 93.396 141,357 -

Cancer Biology Research 7R01CA185357-05 93.396 165,699 -


Cancer Biology Research 1R01CA230275-01A1 93.396 185,237 50,088





Cancer Biology Research 5R01CA080830 93.396 240,708 51,596





Cancer Biology Research 5U01CA176067-04 93.396 369,323 7,331


Cancer Biology Research 7R01CA203011 93.396 444,907 -




Cancer Biology Research 1R01CA227473 93.396 582,538 71,422


7,220,406 180,437

Cancer Centers Support Grants 3P30CA016359-37S3 93.397 12,187 -

Cancer Centers Support Grants 3P30CA016359-37S4 93.397 58,307 -

Cancer Centers Support Grants 5P50CA121974-10 93.397 172,173 -

Cancer Centers Support Grants 3P30CA016359-37 93.397 309,255 -

Cancer Centers Support Grants 1U54CA209992-01 93.397 2,330,176 28,546

Cancer Centers Support Grants 5P50CA196530-02 93.397 3,046,743 379,125

Cancer Centers Support Grants 2P30CA016359-39 93.397 3,745,071 -

9,673,912 407,671

Cancer Research Manpower 4K08CA169005-04 93.398 218 -

Cancer Research Manpower 1F99CA212229-01 93.398 5,842 -

Cancer Research Manpower 1F31CA228268-01A1 93.398 6,204 -



Cancer Research Manpower 1F30CA236466 93.398 16,917 -

Cancer Research Manpower 1K99CA215315-01 93.398 25,063 -


Cancer Research Manpower F30CA221065 93.398 29,261 -




Cancer Research Manpower 4R25CA177553-04 93.398 37,599 -



Cancer Research Manpower F32CA224946 93.398 51,710 -



Cancer Research Manpower 1K08CA204732-01A1 93.398 147,760 -


Cancer Research Manpower 5K 93.398 168,717 -


II-17

Yale University



Federal 2019





Direct: (Continued)

Cancer Research Manpower 5T32CA193200-03 93.398 178,002$ -$



Cancer Research Manpower 1R21CA216595-01 93.398 226,523 -

Cancer Research Manpower K12CA215110 93.398 280,841 -

Cancer Research Manpower 1R25CA203650-01 93.398 312,948 116,696

2,362,469 116,696

Health Care Innovation Awards (HCIA) 1C1CMS331356-03-01 93.610 255,693 -

255,693 -

Child Abuse and Neglect Discretionary Activities 90CA1833-03-02 93.670 117,442 57,628

117,442 57,628

Closing the Gap Between Standards Development and Implementation 1R21EB026630 93.826 175,655 -

175,655 -

Cardiovascular Diseases Research 5R01HL085757-11 93.837 - 14,084

Cardiovascular Diseases Research 4R01HL113352-04 93.837 765 -

Cardiovascular Diseases Research F30HL143878 93.837 2,068 -

Cardiovascular Diseases Research R01HL134712-01A1 93.837 3,937 -

Cardiovascular Diseases Research 1K99HL-130581-01 93.837 7,490 -

Cardiovascular Diseases Research 4K23HL116641-04 93.837 11,743 -

Cardiovascular Diseases Research 5R01HL118430-03 93.837 18,774 -

Cardiovascular Diseases Research 1F31HL134272 93.837 28,799 -




Cardiovascular Diseases Research 1K08HL143133-01A1 93.837 39,390 -

Cardiovascular Diseases Research 1F31HL143831-01 93.837 39,850 -








Cardiovascular Diseases Research R01HL144706 93.837 91,185 -



Cardiovascular Diseases Research 5K23HL118147-05 93.837 131,168 36,901

Cardiovascular Diseases Research 1U01HL142518 93.837 137,890 81,594


Cardiovascular Diseases Research 5R01HL125815-04 REV 93.837 144,622 -







Cardiovascular Diseases Research 1RO1HL132951-01A1 93.837 203,071 -

Cardiovascular Diseases Research 5R01HL121226 93.837 207,686 79,384


Cardiovascular Diseases Research 5T32HL007950-18 93.837 211,002 -


Cardiovascular Diseases Research 2R01HL124402 93.837 238,884 -


II-18

Yale University



Federal 2019





Direct: (Continued)

Cardiovascular Diseases Research 4R00HL125895-02 93.837 239,937$ -$

Cardiovascular Diseases Research 5R01HL127349-03 93.837 240,565 134,672

Cardiovascular Diseases Research 5T32HL098069-09 REV 93.837 241,836 -


Cardiovascular Diseases Research 2T35HL007649 93.837 250,127 -


Cardiovascular Diseases Research 5UM1HL098162-10 93.837 271,610 57,271

Cardiovascular Diseases Research 5U01HL116323-05 93.837 271,870 137,049


Cardiovascular Diseases Research 1R01HL134166-01A1 93.837 330,160 -









Cardiovascular Diseases Research 1R01HL137696-01A1 93.837 407,082 75,362










Cardiovascular Diseases Research 5R01HL125850-03 REV 93.837 518,700 30,673














Cardiovascular Diseases Research 1R01HL135582-02 - REV 93.837 772,994 -








II-19

Yale University



Federal 2019





Direct: (Continued)

Cardiovascular Diseases Research 1R35HL135767-01 93.837 984,240$ -$

Cardiovascular Diseases Research 7U01HL125511-02 93.837 1,394,680 1,280,206

Cardiovascular Diseases Research 2P01HL107205-06A1 93.837 2,168,587 -

33,026,922 3,301,765

Lung Diseases Research 4R01HL118346-04 93.838 3,087 -

Lung Diseases Research F30HL143880 93.838 21,805 -

Lung Diseases Research F31HL139116 93.838 29,362 -

Lung Diseases Research 1F31HL132560-02REV 93.838 35,227 -

Lung Diseases Research 5F32HL132532-03 REV 93.838 53,162 -

Lung Diseases Research 1R01HL145660-01A1 93.838 56,845 -



Lung Diseases Research R01HL145152 93.838 131,525 -

Lung Diseases Research U01HL145567 93.838 145,388 15,997

Lung Diseases Research 1K23HL138229-01A1 93.838 175,214 -


Lung Diseases Research 1K08HL135402-01 93.838 186,843 -




Lung Diseases Research 5R01HL126094-04 REV 93.838 370,524 6,798

Lung Diseases Research 1R56HL136715-01 93.838 382,671 119,633


Lung Diseases Research 4UH3HL123886-05 93.838 474,047 387,112


Lung Diseases Research 5T32HL007778-23 93.838 538,585 -


Lung Diseases Research 1R01HL138540-02 93.838 680,570 138,363


Lung Diseases Research 4UH3HL123876-05 93.838 1,000,656 62,022

8,013,124 729,925

Blood Diseases and Resources Research 1R01HL139756-01A1 93.839 29,779 -

Blood Diseases and Resources Research 1F32HL142144 93.839 59,686 -

Blood Diseases and Resources Research 5R01HL126076-03 93.839 244,856 3,208

Blood Diseases and Resources Research 2T32HL007974-17 93.839 318,739 -

Blood Diseases and Resources Research 1R01HL133406-01A1 93.839 319,317 -

Blood Diseases and Resources Research 5R01HL075092-14 93.839 337,193 -

Blood Diseases and Resources Research 5R01HL122815-04 REV 93.839 347,567 -

Blood Diseases and Resources Research 5R01HL128064-04 REV 93.839 359,894 119,046

2,017,031 122,254

Translation and Implementation Science Research for Heart, Lung, Blood Diseases, and Sleep Disorders 1R01HL143785-01 93.840 237,699 575

Translation and Implementation Science Research for Heart, Lung, Blood Diseases, and Sleep Disorders 1K12HL138037-01REV 93.840 345,558 17,598

583,257 18,173


II-20

Yale University



Federal 2019





Direct: (Continued)

Arthritis, Musculoskeletal and Skin Diseases Research 1R01AR069876-01A1 93.846 548$ -$

Arthritis, Musculoskeletal and Skin Diseases Research R13AR073608 93.846 3,709 -

Arthritis, Musculoskeletal and Skin Diseases Research 1R01AR075412 93.846 4,828 -

Arthritis, Musculoskeletal and Skin Diseases Research 1F31AR073094 93.846 7,405 -

Arthritis, Musculoskeletal and Skin Diseases Research 5K01AR067892-02 93.846 9,350 -

Arthritis, Musculoskeletal and Skin Diseases Research 5R21AR068518-02 93.846 12,604 -

Arthritis, Musculoskeletal and Skin Diseases Research F31AR073627 93.846 24,174 -






Arthritis, Musculoskeletal and Skin Diseases Research 4P30AR053495-10 93.846 159,165 -




Arthritis, Musculoskeletal and Skin Diseases Research 5T32AR007016-43 93.846 261,238 -

Arthritis, Musculoskeletal and Skin Diseases Research 2T32AR007107-42 93.846 266,065 -



Arthritis, Musculoskeletal and Skin Diseases Research 1R01AR069550-01A1 93.846 305,971 -

Arthritis, Musculoskeletal and Skin Diseases Research 2R56AR060295 93.846 330,705 12,819

Arthritis, Musculoskeletal and Skin Diseases Research 1R01AR070811-02REV 93.846 334,396 -



Arthritis, Musculoskeletal and Skin Diseases Research 1R01AR070851 93.846 455,287 63,554





Arthritis, Musculoskeletal and Skin Diseases Research 93.846 518,628 -





9,649,384 76,373

Diabetes, Digestive, and Kidney Diseases Extramural Research 3U54DK106857-02S1 93.847 663 -

Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK100592-05 93.847 2,449 -

Diabetes, Digestive, and Kidney Diseases Extramural Research 3P30DK079310-09S1 93.847 3,964 -

Diabetes, Digestive, and Kidney Diseases Extramural Research 1F30DK112569-01 93.847 5,521 -

Diabetes, Digestive, and Kidney Diseases Extramural Research F31DK118836 93.847 7,027 -



Diabetes, Digestive, and Kidney Diseases Extramural Research 1K08DK119642-01 93.847 11,948 -



Diabetes, Digestive, and Kidney Diseases Extramural Research 5U01DK106962-02 93.847 15,917 15,941


Diabetes, Digestive, and Kidney Diseases Extramural Research 1K01DK120798 93.847 16,820 -


Diabetes, Digestive, and Kidney Diseases Extramural Research 1R01DK117650 93.847 17,958 7,088



II-21

Yale University



Federal 2019





Direct: (Continued)

Diabetes, Digestive, and Kidney Diseases Extramural Research F31DK118814 93.847 20,763$ -$

Diabetes, Digestive, and Kidney Diseases Extramural Research 1F30DK115037-01A1 93.847 27,437 -








Diabetes, Digestive, and Kidney Diseases Extramural Research 1F32DK118863-01 93.847 54,431 -

Diabetes, Digestive, and Kidney Diseases Extramural Research R01DK120362 93.847 63,413 -


Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK027044 93.847 71,669 -


Diabetes, Digestive, and Kidney Diseases Extramural Research 1UC4DK104205-01 93.847 77,149 73,744

Diabetes, Digestive, and Kidney Diseases Extramural Research 3DP3DK104092-01S1 93.847 89,478 -



Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK041544-24 93.847 102,527 106,710

Diabetes, Digestive, and Kidney Diseases Extramural Research 4T32DK101019-04 93.847 114,560 -


Diabetes, Digestive, and Kidney Diseases Extramural Research 1K23DK117065-01A1 93.847 127,228 -

Diabetes, Digestive, and Kidney Diseases Extramural Research 2R01DK099097-06A1 93.847 127,232 -

Diabetes, Digestive, and Kidney Diseases Extramural Research 5K23DK097201-06 93.847 135,910 1,161



Diabetes, Digestive, and Kidney Diseases Extramural Research 1K23DK115894-01A1 93.847 145,015 -

Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK054021-18REV 93.847 146,864 -


Diabetes, Digestive, and Kidney Diseases Extramural Research 7K01DK113047 - 03 93.847 149,063 -













Diabetes, Digestive, and Kidney Diseases Extramural Research 4P30DK079310-09 93.847 243,432 91,575

Diabetes, Digestive, and Kidney Diseases Extramural Research 5U01DK085466-09 93.847 250,127 -




Diabetes, Digestive, and Kidney Diseases Extramural Research 1R01DK102792-01A1 93.847 272,496 38,709






II-22

Yale University



Federal 2019





Direct: (Continued)

Diabetes, Digestive, and Kidney Diseases Extramural Research 1R01DK119386-01 93.847 323,973$ -$



















Diabetes, Digestive, and Kidney Diseases Extramural Research R01DK115969 93.847 460,228 -


Diabetes, Digestive, and Kidney Diseases Extramural Research 1DP3DK112227-01 93.847 468,110 -




Diabetes, Digestive, and Kidney Diseases Extramural Research R01DK020495-42 93.847 507,420 -













Diabetes, Digestive, and Kidney Diseases Extramural Research 1R01DK113191-01A1 93.847 771,684 34,837


Diabetes, Digestive, and Kidney Diseases Extramural Research 1DP3DK113511-01 93.847 844,160 450,166

Diabetes, Digestive, and Kidney Diseases Extramural Research 2P30DK079310-11 93.847 871,399 67,912



Diabetes, Digestive, and Kidney Diseases Extramural Research 1R01DK114169-01 93.847 1,034,838 76,567

Diabetes, Digestive, and Kidney Diseases Extramural Research 5P30DK034989-35 93.847 1,210,175 -


II-23

Yale University



Federal 2019





Direct: (Continued)

Diabetes, Digestive, and Kidney Diseases Extramural Research 5P01DK057751-17 93.847 1,633,658$ -$

Diabetes, Digestive, and Kidney Diseases Extramural Research 5P30DK045735-27 93.847 1,894,179 17,502

Diabetes, Digestive, and Kidney Diseases Extramural Research 5P01DK017433 93.847 1,944,861 -

38,625,276 1,370,195

Extramural Research Programs in the Neurosciences and Neurological Disorders 4R01NS084911-04 93.853 - 27,185

Extramural Research Programs in the Neurosciences and Neurological Disorders 1K99NS099469-01 93.853 3,845 -

Extramural Research Programs in the Neurosciences and Neurological Disorders 1R21NS109641-01 93.853 5,301 -

Extramural Research Programs in the Neurosciences and Neurological Disorders 2R01NS086932-05A1 93.853 8,713 -


Extramural Research Programs in the Neurosciences and Neurological Disorders U01NS106513 93.853 16,399 -

Extramural Research Programs in the Neurosciences and Neurological Disorders F31NS110229 93.853 17,785 -


Extramural Research Programs in the Neurosciences and Neurological Disorders R01NS113236 93.853 20,887 -



Extramural Research Programs in the Neurosciences and Neurological Disorders 1F31NS105379 93.853 31,496 -







Extramural Research Programs in the Neurosciences and Neurological Disorders 1F32NS100279-01 93.853 60,546 -


Extramural Research Programs in the Neurosciences and Neurological Disorders 1F32NS098616-01 93.853 68,312 -





Extramural Research Programs in the Neurosciences and Neurological Disorders 1R01NS110354 93.853 122,121 -



Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS086932-03 93.853 146,244 65,790

Extramural Research Programs in the Neurosciences and Neurological Disorders 1K23NS101099-01A1 93.853 155,676 -

Extramural Research Programs in the Neurosciences and Neurological Disorders 5T32NS007224-32 93.853 157,836 -


Extramural Research Programs in the Neurosciences and Neurological Disorders U24NS107215 93.853 172,146 78,010

Extramural Research Programs in the Neurosciences and Neurological Disorders R21NS104249-02 93.853 173,231 1,209




Extramural Research Programs in the Neurosciences and Neurological Disorders U24NS107136 93.853 228,290 -

Extramural Research Programs in the Neurosciences and Neurological Disorders 7K08NS094744-04 93.853 229,313 -






Extramural Research Programs in the Neurosciences and Neurological Disorders 4U01NS084495-04 93.853 298,601 201,830



II-24

Yale University



Federal 2019





Direct: (Continued)

Extramural Research Programs in the Neurosciences and Neurological Disorders R01NS011613 93.853 316,058$ -$









Extramural Research Programs in the Neurosciences and Neurological Disorders 5P30NS052519-09 93.853 377,602 -




Extramural Research Programs in the Neurosciences and Neurological Disorders 1R01NS096088-01A1 93.853 395,373 17,858



















Extramural Research Programs in the Neurosciences and Neurological Disorders 3U01NS094358-03 93.853 582,935 -

Extramural Research Programs in the Neurosciences and Neurological Disorders DP1NS111778 93.853 601,240 -

Extramural Research Programs in the Neurosciences and Neurological Disorders 5T32NS041228 93.853 621,973 -


Extramural Research Programs in the Neurosciences and Neurological Disorders 1U01NS099691 93.853 863,139 411,156

Extramural Research Programs in the Neurosciences and Neurological Disorders 1R35NS097283-02 93.853 1,170,695 -

Extramural Research Programs in the Neurosciences and Neurological Disorders 1R01NS100547-01A 93.853 1,246,739 680,749

24,928,169 3,399,619

Allergy and Infectious Diseases Research 5R33AI100191-05 93.855 60 -

Allergy and Infectious Diseases Research 4R01AI097218-05 93.855 73 281

Allergy and Infectious Diseases Research 5R21AI119119-02 93.855 11,370 -

Allergy and Infectious Diseases Research 5T32AI007640-15 93.855 11,610 -


Allergy and Infectious Diseases Research 1F31AI145454-01 93.855 14,255 -



Allergy and Infectious Diseases Research 5R21AI124055-02 93.855 20,977 26,590

Allergy and Infectious Diseases Research 3U01AI115595-03S1 93.855 24,261 -


Allergy and Infectious Diseases Research F30AI138473 93.855 26,862 -


II-25

Yale University



Federal 2019





Direct: (Continued)

Allergy and Infectious Diseases Research 5R21AI112938-02 93.855 28,104$ -$


Allergy and Infectious Diseases Research 1F30AI129265 93.855 30,936 -

Allergy and Infectious Diseases Research 1F31AI131531-01A1 93.855 31,171 -

Allergy and Infectious Diseases Research R21AI144345 93.855 40,533 -



Allergy and Infectious Diseases Research 1R56AI127794-01A1 93.855 58,340 -


Allergy and Infectious Diseases Research 1R21AI142198 93.855 62,206 -








Allergy and Infectious Diseases Research 7U19AI115658-05 93.855 98,657 24,462






Allergy and Infectious Diseases Research 5K01AI119603-04 93.855 124,357 -





Allergy and Infectious Diseases Research 1R01Al150560-01 93.855 137,381 -

Allergy and Infectious Diseases Research 1R21AI135477-01A1 93.855 138,349 32,268





Allergy and Infectious Diseases Research 5U19AI089681-11 93.855 173,617 -

Allergy and Infectious Diseases Research 5K08AI119139-05 93.855 174,474 -







Allergy and Infectious Diseases Research 1UH2AI132341-01 93.855 196,029 -




Allergy and Infectious Diseases Research K08AI128745 93.855 211,287 -


Allergy and Infectious Diseases Research 1R21AI136737 93.855 221,889 86,756


II-26

Yale University



Federal 2019





Direct: (Continued)

Allergy and Infectious Diseases Research 7K08AI128043 93.855 236,984$ -$






Allergy and Infectious Diseases Research R21AI123858-01A1 93.855 263,818 -









Allergy and Infectious Diseases Research 1RO1AI131613-01 93.855 328,158 -











Allergy and Infectious Diseases Research R01AI112339-05 93.855 404,221 184,148









Allergy and Infectious Diseases Research 1U01AI132895-02 93.855 432,438 -









Allergy and Infectious Diseases Research 5R01A1068932-10 93.855 469,840 28,381

Allergy and Infectious Diseases Research R01AI141009 93.855 478,990 114,506


Allergy and Infectious Diseases Research 5U01AI115595-05 93.855 492,207 70,198



II-27

Yale University



Federal 2019





Direct: (Continued)

Allergy and Infectious Diseases Research R01AI136942 93.855 497,792$ 45,733$




Allergy and Infectious Diseases Research 2T32AI007019 93.855 544,223 -








Allergy and Infectious Diseases Research 5U-01AI115648-04 93.855 637,767 208,571






Allergy and Infectious Diseases Research 1R01AI136794 93.855 1,059,909 452,114

Allergy and Infectious Diseases Research 2U19AI089992-06A1 93.855 2,689,077 782,250

Allergy and Infectious Diseases Research 2P01AI039671-20A1 93.855 3,077,996 2,088,512

42,873,341 6,497,155

Biomedical Research and Research Training 5F30GM119198-02 93.859 25 -

Biomedical Research and Research Training 5F31GM116463-02 93.859 1,608 -

Biomedical Research and Research Training 4T32GM007499-40 93.859 1,620 -


Biomedical Research and Research Training 5R01GM072194-12 93.859 3,649 -



Biomedical Research and Research Training 3R01GM116654-02S1 93.859 7,418 -

Biomedical Research and Research Training R01GM101316 93.859 7,751 -


Biomedical Research and Research Training 1R21GM132661 93.859 9,124 -

Biomedical Research and Research Training 1F32GM129890-01A1 93.859 9,794 -





Biomedical Research and Research Training 1F32GM131583 93.859 23,882 -




Biomedical Research and Research Training 3R01GM050313-21S1 93.859 30,761 -




Biomedical Research and Research Training 1R01GM129081-01A1 93.859 38,101 -



Biomedical Research and Research Training 1F32GM131426 93.859 48,876 -



II-28

Yale University



Federal 2019





Direct: (Continued)

Biomedical Research and Research Training 1R35GM131776-01 93.859 55,427$ -$

Biomedical Research and Research Training F32GM125120 93.859 57,126 -





Biomedical Research and Research Training 1K99GM129412 93.859 63,475 -













Biomedical Research and Research Training 5R01GM108954-05 REV 93.859 158,656 -



Biomedical Research and Research Training 2T32GM100884 93.859 179,167 -


Biomedical Research and Research Training 2T32GM007324-41A1 93.859 188,044 -



Biomedical Research and Research Training 7R01GM107629-05 93.859 226,585 129,022
























II-29

Yale University



Federal 2019





Direct: (Continued)

Biomedical Research and Research Training 1R01GM129308 93.859 323,820$ -$












Biomedical Research and Research Training R01GM095766-05A1 93.859 368,344 -
















Biomedical Research and Research Training 5U01GM087719-10 93.859 434,969 219,995
























II-30

Yale University



Federal 2019





Direct: (Continued)

Biomedical Research and Research Training 1R01GM118486 93.859 841,390$ 55,592$

Biomedical Research and Research Training 5R01GM114250 93.859 907,964 419,149

Biomedical Research and Research Training 1R35GM122485-01 93.859 1,053,525 -

Biomedical Research and Research Training 1R35GM122560-01 93.859 1,155,061 -

Biomedical Research and Research Training 5P01GM022778 93.859 1,341,777 -

Biomedical Research and Research Training 5T32GM007223 93.859 1,397,679 -

Biomedical Research and Research Training 5T32GM007205 93.859 2,392,836 -

42,491,202 1,564,255

Child Health and Human Development Extramural Research 1F31HD097958-01 93.865 7,239 -

Child Health and Human Development Extramural Research 5R00HD079659-03 93.865 10,631 -


Child Health and Human Development Extramural Research K23HD098710 93.865 16,508 -


Child Health and Human Development Extramural Research 1F30HD093350-01A1 93.865 27,462 -

Child Health and Human Development Extramural Research 1F30HD094717 93.865 29,228 -

Child Health and Human Development Extramural Research 5T32HD007149-40 93.865 29,821 -


Child Health and Human Development Extramural Research R03HD093993 93.865 37,355 13,929

Child Health and Human Development Extramural Research 4R01HD074253-05 93.865 43,624 46,940


Child Health and Human Development Extramural Research 1K99HD097301-01 93.865 49,394 -




Child Health and Human Development Extramural Research K99HD093873 93.865 82,566 -

Child Health and Human Development Extramural Research K99HD094902-01 93.865 84,889 -

Child Health and Human Development Extramural Research 5K12HD047018-13 93.865 174,024 -


Child Health and Human Development Extramural Research 1R01HD097368 93.865 239,833 -

Child Health and Human Development Extramural Research 1R21HD089131-01A1 93.865 242,664 76,203

Child Health and Human Development Extramural Research 1R21HD094013-01A1 93.865 253,347 -



Child Health and Human Development Extramural Research R01HD093608 93.865 318,347 -





Child Health and Human Development Extramural Research 4R37HD042012 93.865 459,009 -



Child Health and Human Development Extramural Research 1DP2HD083992-01 93.865 672,441 -


Child Health and Human Development Extramural Research 1DP2HD091799-01 93.865 849,048 -

Child Health and Human Development Extramural Research 5U10HD055925-10REV 93.865 2,527,311 1,038,773

10,598,743 1,893,732


II-31

Yale University



Federal 2019





Direct: (Continued)

Aging Research F32AG060717 93.866 4,563$ -$

Aging Research R21AG061427 93.866 13,768 -

Aging Research 2R56AG028069-06A1 93.866 15,798 -

Aging Research 1F31AG062099-01 93.866 20,934 -

Aging Research 1F31AG058405 93.866 34,150 -

Aging Research 1K99AG058801-01A1 93.866 44,140 -

Aging Research 4P30AG021342-14 93.866 54,350 -

Aging Research 5R01AG047891-03 93.866 58,674 -


Aging Research 1F32AG052995-01A1 93.866 60,545 -


Aging Research 5T35AG049685 93.866 70,602 -


Aging Research 1R56AG050969-01A1 93.866 90,867 38,905

Aging Research 1R21AG062202 93.866 98,560 -


Aging Research 4K07AG043587-04 93.866 109,980 -






Aging Research 1R01AG060084-01 93.866 161,944 47,676


Aging Research 1R21AG058033 93.866 182,145 -


Aging Research 1K23A057794 93.866 204,423 -






Aging Research 5P30AG034420-10 93.866 257,312 3,924

Aging Research 5T32AG019134-18 93.866 260,851 -



Aging Research R01AG056628-01A1 93.866 277,904 21,458





Aging Research 2U01AG032284-06 93.866 425,272 -


Aging Research 1RF1AG053000-01A1 93.866 441,570 -

Aging Research 1DP2AG050461-01 93.866 474,362 -





Aging Research 1R01AG057912-01 93.866 711,212 233,058



II-32

Yale University



Federal 2019





Direct: (Continued)

Aging Research 5R01AG048918-04 93.866 737,786$ -$

Aging Research 1RF1AG058257-01 93.866 842,324 -

Aging Research 7RF1AG053991-02 93.866 929,359 565,921

Aging Research 1 R01AG055362 93.866 977,916 -

Aging Research 1R01AG052986-01A1 93.866 1,018,411 89,720

Aging Research U01AG058608 93.866 1,054,345 -

Aging Research 2P30AG021342-16 93.866 1,408,405 38,815

Aging Research 5P50AG047270-03 93.866 1,634,022 -

Aging Research 5P01AG051459-02 93.866 2,009,493 574,750

22,665,355 1,702,999

Vision Research 4R01EY017353-11 93.867 3,547 -

Vision Research 1F31EY025968-01 93.867 5,609 -

Vision Research F30EY029581 93.867 27,517 -

Vision Research 1F32EY028869-01A1 93.867 45,000 -

Vision Research 1K99EY029375-01 93.867 73,337 -


Vision Research R25EY029125 93.867 83,191 -


Vision Research 2T32EY022312-07 93.867 134,239 -







Vision Research 1R01EY029323-01 93.867 363,484 104,152





Vision Research 1U01EY027256-01 93.867 605,312 -


Vision Research 1P30EY026878-01 93.867 795,458 -

6,384,643 186,867

Medical Library Assistance 1G13LM012460-02 93.879 50,310 -

Medical Library Assistance 1R21LM012884 93.879 221,849 -

Medical Library Assistance 2T15LM007056-32 93.879 599,285 -

871,444 -

Special Projects of National Significance H97HA31435?01?00 93.928 296,256 130,783

Special Projects of National Significance 1 U90HA31462?01?00 93.928 1,873,208 203,171

2,169,464 333,954

International Research and Research Training 5D43TW009087-05 93.989 6,016 -

International Research and Research Training 7D43TW007120-14 93.989 27,633 -

International Research and Research Training 5K01TW009995 93.989 111,405 -

International Research and Research Training K01TW010496 93.989 118,702 -

International Research and Research Training 5D43TW006589-14 93.989 152,191 117,800




International Research and Research Training 2R25TW007700-07 93.989 319,734 155,637

1,383,187 769,562

Subtotal - Department of Health & Human Services - Direct 443,221,539 47,930,781


II-33

Yale University



Federal 2019





Passed-through:

University of Michigan - Department Of Health And Human Services MA.32 93.RD 7$ -$

Duke University - Department Of Health And Human Services 206993 93.RD 344 -

University of Massachusetts Medical School - Department Of Health And Human Services Grafe UMW NN/LM NER 93.RD 2,225 -

University of Massachusetts - Department Of Health And Human Services Meyer 93.RD 2,820 -

RECOMBINETICS, INC - Department Of Health And Human Services TBD 93.RD 3,501 -

Intelligent Automation - Department Of Health And Human Services Subcontract #2380-1/HHSN271201800018C 93.RD 4,143 -

Jaeb Center for Health Research - Department Of Health And Human Services 1UK4DK108520-01 93.RD 4,628 -

Duke University - Department Of Health And Human Services 178785 93.RD 7,235 -

Hutchinson (Fred) Cancer Research Center - Department Of Health And Human Services 0000872308 93.RD 8,869 -

Emory University - Department Of Health And Human Services FY.18.A1B1C1D1.0077 93.RD 14,967 -

Wayne State University - Department Of Health And Human Services Sub of HHSN275201300006C / WSU17070 93.RD 15,007 -

University of Miami - Department Of Health And Human Services SPC-000290 93.RD 21,067 -

Wayne State University - Department Of Health And Human Services HHSN275201300006C 93.RD 21,306 -

Harvard University - Department Of Health And Human Services 150172.5083653 93.RD 22,839 -

Leidos Biomedical Research, Inc. (formerly SAIC-Frederick) - Department Of Health And Human Services 15X147T4 Task Order 93.RD 27,104 -

Brigham and Women's Hospital - Department Of Health And Human Services 120077 93.RD 28,847 -

Immunetics, Inc. - Department Of Health And Human Services Research Agreement 93.RD 34,611 -

Fudan University Shanghai Medical College - Department Of Health And Human Services Aksoy 93.RD 36,146 -

Cincinnati Children's Hospital Medical Center - Department Of Health And Human Services 138281 PCGC- Recruiter 2018 Supplemental Funding 93.RD 36,344 -

Connecticut Dept. of Mental Health and Addiction Services - Department Of Health And Human Services TBD 93.RD 41,206 -

Oregon Health Sciences University - Department Of Health And Human Services 1012949_YALE 93.RD 49,838 -

GE Global Research - Department Of Health And Human Services 401109491 93.RD 68,521 -

Lumme, Inc. - Department Of Health And Human Services SBIR Agreement 93.RD 68,809 -

University of Michigan - Department Of Health And Human Services TBD 93.RD 69,385 -

Leidos Biomedical Research, Inc. (formerly SAIC-Frederick) - Department Of Health And Human Services 15X147 task order #2 93.RD 72,997 -

HealthPartners Institute For Education & Research - Department Of Health And Human Services 200-2012-53526 93.RD 78,435 -

Salk Institute for Biological Studies - Department Of Health And Human Services R01 CA216101 93.RD 81,238 -

Leidos Biomedical Research, Inc. (formerly SAIC-Frederick) - Department Of Health And Human Services 14X080Q3 93.RD 97,355 -

Leidos Biomedical Research, Inc. (formerly SAIC-Frederick) - Department Of Health And Human Services 15X147 93.RD 116,914 -

Connecticut Dept. of Mental Health and Addiction Services - Department Of Health And Human Services 15MHA1012 93.RD 117,353 -

Leidos Biomedical Research, Inc. (formerly SAIC-Frederick) - Department Of Health And Human Services 14X080 task order Q4 93.RD 162,868 -

University of Massachusetts - Department Of Health And Human Services OSP201806 93.RD 273,063 -

University of Virginia - Department Of Health And Human Services GB10691 PO#2133380 93.RD 284,124 -

Westat - Department Of Health And Human Services 6579-S50-06/HHSN275201800001I 93.RD 361,569 151,017

University of Washington, Seattle - Department Of Health And Human Services UWSC10520 BPO31842 93.RD 693,048 -

2,928,733 151,017

Duke University - Family Smoking Prevention and Tobacco Control Act Regulatory Research A030412 93.077 110,572 -

Regents of the University of Michigan - Family Smoking Prevention and Tobacco Control Act Regulatory

Research SUBK00007978 93.077 261,446 -

372,018 -

Children's Hospital Boston - Blood Disorder Program: Prevention, Surveillance, and Research GENFD0001447437 93.080 10,012 -

10,012 -

Institute for Advanced Clinical Trials for Children - Food and Drug Administration_Research I-ACT Faustino 93.103 2,673 -

2,673 -


II-34

Yale University



Federal 2019






Children's Hospital of Philadelphia (The) - Maternal and Child Health Federal Consolidated Programs 3208960818 93.110 3,028$ -$

University of Connecticut Health Center - Maternal and Child Health Federal Consolidated Programs UCHC7-105262412-A2 93.110 36,609 -

39,637 -

Emory University - Environmental Health A014068 93.113 37,611 -

University of California, Berkeley - Environmental Health 00009025 93.113 54,063 -

91,674 -

University of Texas Health Science Center (The) - Oral Diseases and Disorders Research 0013034A 93.121 306 -

University of North Carolina - Oral Diseases and Disorders Research 5113679 93.121 21,456 -

21,762 -

Baylor College of Medicine - Emergency Medical Services for Children 7000000865 93.127 34,275 -

Children's Hospital of Philadelphia (The) - Emergency Medical Services for Children 320038019/PO#962260-RSUB 93.127 49,184 -

83,459 -

93.135 -

University of South Florida - Centers for Research and Demonstration for Health Promotion and Disease

Prevention 6416-1014-40-B 93.135 30,411 -

30,411 -

State of CT Dept of Public Health - Injury Prevention and Control Research and State and Community Based 2018-0074 93.136 373,005 31,859

373,005 31,859

University of Massachusetts Medical School - HIV-Related Training and Technical Assistance OSP2018065 93.145 13,807 -

13,807 -

Connecticut Children's Medical Center - Coordinated Services and Access to Research for Women, Infants,

Children, and Youth 17-185018.01 93.153 25,764 -

25,764 -

University of Washington, Seattle - Human Genome Research UWSC7307/BPO17239 93.172 4,304 -

University of Pittsburgh - Human Genome Research 9011110 (130700-1) 93.172 22,429 -

University of Chicago - Human Genome Research FP063774-A 93.172 44,662 -

Broad Institute, Inc - Human Genome Research 5000311-5500000956 93.172 59,280 -

Jackson Laboratory - Human Genome Research PO#209807 93.172 118,577 -

Jackson Laboratory - Human Genome Research 207324-0-SERV 93.172 172,154 -

European Molecular Biology Laboratory - Human Genome Research 2582 93.172 211,523 -

University of Massachusetts - Human Genome Research WA00665465/OSP2017187 93.172 614,883 -

1,247,812 -

University of Utah - Research Related to Deafness and Communication Disorders 10041913-032 93.173 1,064 -

Stanford University - Research Related to Deafness and Communication Disorders 61032282-42421 93.173 42,973 -

Johns Hopkins University - Research Related to Deafness and Communication Disorders 2003080473 93.173 110,465 -

154,502 -

New York University School of Medicine - Research and Training in Complementary and Integrative Health 17-A0-00-008501/Project #109452 93.213 10,358 -

Pro-Change Behavior Systems, Inc. - Research and Training in Complementary and Integrative Health 9R44AT009675-02 93.213 56,085 -

Northern California Institute for Research & Education - Research and Training in Complementary and

Integrative Health SEAL2078-01 93.213 77,088 -

Palmer College Foundation - Research and Training in Complementary and Integrative Health 12272 93.213 173,568 -

317,099 -

New York University School of Medicine - Research on Healthcare Costs, Quality and Outcomes 15-A0-00-003674-01 #104085 93.226 11,862 -

Johns Hopkins University - Research on Healthcare Costs, Quality and Outcomes 2003294917 93.226 27,885 -

Regents of the University of Minnesota - Research on Healthcare Costs, Quality and Outcomes P006920957 93.226 51,521 -

91,268 -


II-35

Yale University



Federal 2019






University of South Carolina - Mental Health Research Grants 17-3230 93.242 1,426$ -$

Hartford Hospital - Mental Health Research Grants 126360-Yale 93.242 1,751 -

Temple University - Mental Health Research Grants 258846-YU 93.242 2,990 -

Hartford Hospital - Mental Health Research Grants 126315-S 93.242 5,047 -

Columbia University - Mental Health Research Grants 1(GG013702-01) 93.242 5,888 -

Hartford Hospital - Mental Health Research Grants 126315SY 93.242 6,444 -

Electrical Geodesics, Inc. - Mental Health Research Grants YU-1RR44NS093889 93.242 7,059 -

Boston University - Mental Health Research Grants 4500002195 93.242 9,888 -

New York University - Mental Health Research Grants F7437-02 - PO iB00041652 93.242 10,590 -

Palo Alto Veterns Institute for Research (PAVIR) - Mental Health Research Grants WIS0001-03 93.242 11,971 -

Brown University - Mental Health Research Grants 00001234 93.242 14,860 -

Butler Hospital - Mental Health Research Grants 9225-8321 93.242 15,875 -

Research Foundation for Mental Hygiene - Mental Health Research Grants 140830 93.242 17,268 -

Dartmouth College - Mental Health Research Grants R942 93.242 18,561 -

Hartford Hospital - Mental Health Research Grants 126355-SY 93.242 20,080 -

University of California, Los Angeles (UCLA) - Mental Health Research Grants 1350 G TC885 93.242 26,098 -

University of California, Los Angeles (UCLA) - Mental Health Research Grants 2000 G WF250 93.242 26,827 -

Washington University in St. Louis - Mental Health Research Grants WU-19-371 93.242 30,125 -

George Washington University - Mental Health Research Grants 16-M74 93.242 31,299 -

Mind Research Network (The) - Mental Health Research Grants 6010436.002 SubN3 93.242 36,593 -

Harvard University, School of Medicine - Mental Health Research Grants 149869.5109725.0219 93.242 38,227 -

Florida International University - Mental Health Research Grants Silverman 93.242 39,543 -

Columbia University - Mental Health Research Grants Scheinost-Intergenerational-Columbia 93.242 41,166 -

Center for Social Innovation - Mental Health Research Grants 1R44MH115546-01 93.242 42,914 -

Rutgers, the State University of New Jersey - Mental Health Research Grants 0204 93.242 43,196 -


Rutgers (the State University of New Jersey) - Mental Health Research Grants 0459 93.242 52,051 -

Jackson (Henry M.) Foundation - Mental Health Research Grants 3649 93.242 64,940 -

Regents University of California, San Francisco - Mental Health Research Grants 10936sc 93.242 74,189 -

George Washington University - Mental Health Research Grants 17-M92 93.242 82,514 -

Cornell University - Mental Health Research Grants 181598 93.242 108,146 -

Rutgers (the State University of New Jersey) - Mental Health Research Grants 0821 93.242 113,681 -

Washington University in St. Louis - Mental Health Research Grants WU-18-445/PO #2935516E 93.242 116,352 -

California Institute of Technology (Caltech) - Mental Health Research Grants S388819 93.242 117,195 -


University of Pennsylvania - Mental Health Research Grants Subaward #568947/3R01MH107452-03 93.242 209,670 -

State University of New York at Buffalo (SUNY) - Mental Health Research Grants 1087883-75114 93.242 219,045 -

Princeton University - Mental Health Research Grants SUB0000204 93.242 219,872 -

University of Maryland - Mental Health Research Grants 1802424/1430 93.242 220,143 -

Vanderbilt University Medical Center - Mental Health Research Grants VUMC66205 93.242 221,272 -

Center for Social Innovation - Mental Health Research Grants 2R44MH100712-03 93.242 225,478 -

Research Foundation of State University of New York (SUNY) - Mental Health Research Grants 76296 93.242 241,976 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Mental Health Research Grants 0255-7931-4609 93.242 274,478 -

University of Massachusetts - Mental Health Research Grants OSP2018096 93.242 294,987 -

American University - Mental Health Research Grants 31464-01 93.242 511,885 -

4,118,402 -

American Psychiatric Association - Substance Abuse and Mental Health Services_Projects of Regional and

National Significance APA 93.243 9,617 -

Connecticut Dept. of Mental Health and Addiction Services - Substance Abuse and Mental Health

Services_Projects of Regional and National Significance 19MHA1023 93.243 148,489 -

158,106 -


II-36

Yale University



Federal 2019






Icahn School of Medicine at Mount Sinai (ISMMS) - Occupational Safety and Health Program 0254-5942-4609 93.262 6,309$ -$

Icahn School of Medicine at Mount Sinai (ISMMS) - Occupational Safety and Health Program 0254-5982-4609 93.262 11,475 -

Stanford University - Occupational Safety and Health Program 61405843-48844 93.262 95,571 -

113,355 -

University of Pittsburgh - Alcohol Research Programs 0059011 (130258-3) 93.273 1,338 -

Harvard School of Public Health - Alcohol Research Programs 111221-5112005 93.273 10,362 -

Brown University - Alcohol Research Programs Subaward #00001121 93.273 11,452 -

Johns Hopkins University - Alcohol Research Programs 2004017999 93.273 18,290 -

New York University School of Medicine - Alcohol Research Programs 16-A0-00-006073-01 93.273 24,174 -

Boston University - Alcohol Research Programs 4500002414 93.273 28,876 -

Lumme, Inc. - Alcohol Research Programs SBIR - McKee 93.273 46,804 -

New York University School of Medicine - Alcohol Research Programs 16-A1-00-004883/PO M170027688 93.273 62,430 -

University of Pittsburgh - Alcohol Research Programs 0037731 (124672-2) 93.273 216,490 -

420,216 -

Miriam Hospital (The)-Center for Behavioral & Preventive Med. - Drug Abuse and Addiction Research Programs 7109993JEM 93.279 6,063 -

University of Iowa - Drug Abuse and Addiction Research Programs Iowa R01 Sub 93.279 6,840 -

University of Massachusetts - Drug Abuse and Addiction Research Programs S51110000040533 93.279 8,068 -

University of South Florida - Drug Abuse and Addiction Research Programs 5820-1258-00-A 93.279 9,836 -

Research Triangle Institute - Drug Abuse and Addiction Research Programs 1-312-0216573-65364L 93.279 13,912 -

University of Connecticut - Drug Abuse and Addiction Research Programs PSA79845, KFS#5632990 93.279 14,741 -

University of California, Los Angeles (UCLA) - Drug Abuse and Addiction Research Programs 1935 G VA649 93.279 16,544 -

Research Triangle Institute - Drug Abuse and Addiction Research Programs P.O. #52102L 93.279 17,902 -

University of Connecticut - Drug Abuse and Addiction Research Programs 167008 93.279 18,106 -

Stanford University - Drug Abuse and Addiction Research Programs 62097889-26345 93.279 36,712 -

Stanford University - Drug Abuse and Addiction Research Programs 60317528-26345-E 93.279 58,774 -

Boston University - Drug Abuse and Addiction Research Programs BMC ID: 6738 93.279 69,397 -

National Institute on Drug Abuse (NIDA)/NIH/DHHS - Drug Abuse and Addiction Research Programs 169866 93.279 82,346 -

Ukrainian Institute on Public Health Policy - Drug Abuse and Addiction Research Programs U01DA045384-Y 93.279 118,496 -

McLean Hospital - Drug Abuse and Addiction Research Programs UG1DA015831/401108 93.279 127,048 -

New York University School of Medicine - Drug Abuse and Addiction Research Programs 15-A0-S6-003671-01 / Project 110307 93.279 165,058 -

University of Iowa - Drug Abuse and Addiction Research Programs 1001621834 93.279 337,834 -

McLean Hospital - Drug Abuse and Addiction Research Programs Agreement 401108 93.279 437,270 -

Baylor College of Medicine - Drug Abuse and Addiction Research Programs 7000000693 93.279 561,557 -

McLean Hospital - Drug Abuse and Addiction Research Programs MH #401108 93.279 1,304,402 88,303

3,410,906 88,303

Connecticut Dept. of Public Health (DPH) - Centers for Disease Control and Prevention_Investigations and

Technical Assistance 2017-0026 93.283 1,236,036 -

Connecticut Dept. of Public Health (DPH) - Centers for Disease Control and Prevention_Investigations and 2017-0026 93.283 1,289,024 -

2,525,060 -


II-37

Yale University



Federal 2019






University of Texas Health Science Center (The) - Discovery and Applied Research for Technological

Innovations to Improve Human Health 0014313B 93.286 13,337$ -$

Texas A&M Engineering Experiment Station - Discovery and Applied Research for Technological Innovations to

Improve Human Health M1900476 93.286 28,875 -

State University of New York at Buffalo (SUNY) - Discovery and Applied Research for Technological Innovations

to Improve Human Health 100-1135875-76398 93.286 34,415 -

Regents of the University of Minnesota - Discovery and Applied Research for Technological Innovations to

Improve Human Health N007401701 93.286 40,000 -

Rutgers, the State University of New Jersey - Discovery and Applied Research for Technological Innovations to

Improve Human Health PO#481043 / 6054 93.286 51,708 -

Brown University - Discovery and Applied Research for Technological Innovations to Improve Human Health 00000987 93.286 71,736 -

Columbia University - Discovery and Applied Research for Technological Innovations to Improve Human Health 1(GG008687-04) 93.286 89,090 -

Brown University - Discovery and Applied Research for Technological Innovations to Improve Human Health 00001000 93.286 98,429 -

University of Minnesota - Discovery and Applied Research for Technological Innovations to Improve Human

Health N006264805 93.286 345,561 -

773,151 -

Meharry Medical College - Minority Health and Health Disparities Research 170406MFL060 93.307 33,500 -

33,500 -

University of Oregon - Trans-NIH Research Support 281210D 93.310 3,871 -

University of North Carolina - Trans-NIH Research Support 5108614 93.310 22,654 -

University of North Carolina - Trans-NIH Research Support 5111884 93.310 90,730 -

University of Southern California - Trans-NIH Research Support 64861458/PO#10370146 93.310 137,033 -

254,288 -

National Jewish Health - National Center for Advancing Translational Sciences 20115901 93.350 198,585 -

198,585 -

University of Colorado, Denver - Nursing Research TY18.105.006 93.361 514 -

National Institute of Nursing Research (NINR)/NIH/DHHS - Nursing Research A048010 93.361 3,003 -

New York University - Nursing Research F0788-02/PO iB00222962 93.361 49,641 -

Emory University - Nursing Research A080956 93.361 84,629 -

137,787 -

Cedars-Sinai Medical Center - Cancer Cause and Prevention Research 1542346 93.393 4,143 -

Case Western Reserve University - Cancer Cause and Prevention Research RES512891 93.393 12,636 -

Cedars-Sinai Medical Center - Cancer Cause and Prevention Research 1446640 93.393 16,632 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Cancer Cause and Prevention Research 0255-4844-4609 93.393 21,782 -

University of New Mexico - Cancer Cause and Prevention Research 3RCQ4 93.393 21,835 -

Lawrence Berkeley National Laboratory/(LBNL)/DOE - Cancer Cause and Prevention Research 7336098 93.393 23,513 -

University of Vermont - Cancer Cause and Prevention Research 30893SUB52133-CB 93.393 24,053 -

University of Vermont - Cancer Cause and Prevention Research 30893SUB52133-03 93.393 24,053 -

University of Texas Health Science Center (The) - Cancer Cause and Prevention Research 165246/164912 93.393 27,604 -

University of Vermont - Cancer Cause and Prevention Research 30893SUB52133-01 93.393 31,330 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Cancer Cause and Prevention Research 0255-2961-4609 93.393 38,349 -

Johns Hopkins University - Cancer Cause and Prevention Research 2003067934 93.393 55,869 -

University of Southern California - Cancer Cause and Prevention Research 65978930/92936010 93.393 57,919 -

University of Southern California - Cancer Cause and Prevention Research 110293428 93.393 131,948 -

University of Michigan - Cancer Cause and Prevention Research 3003750930 93.393 163,965 -

University of Massachusetts Medical School - Cancer Cause and Prevention Research OSP2018062 93.393 176,394 -

University of Utah - Cancer Cause and Prevention Research 10044979-01 93.393 279,109 -

University of California, San Diego - Cancer Cause and Prevention Research 92333520 93.393 476,295 -

1,587,429 -


II-38

Yale University



Federal 2019






Applikate Technologies, Inc - Cancer Detection and Diagnosis Research Torres - Applikate SBIR 93.394 15,662$ -$

University of California, San Francisco - Cancer Detection and Diagnosis Research 10731sc 93.394 18,366 -

University of California, San Francisco - Cancer Detection and Diagnosis Research 10730SC 93.394 18,366 -

Translational Genomics Research Institute (The) - Cancer Detection and Diagnosis Research Murtaza-18-02 93.394 42,848 -

Eigen - Cancer Detection and Diagnosis Research Eigen-Yale University SRA 93.394 44,892 -

St. Judes Hospital - Cancer Detection and Diagnosis Research 112134030-7831586 93.394 59,461 -

Eigen - Cancer Detection and Diagnosis Research 1R41CA224888-01A1 93.394 134,790 -

334,385 -

Children's Hospital of Philadelphia (The) - Cancer Treatment Research FP00015221 93.395 3,467 -

Children's Hospital of Philadelphia (The) - Cancer Treatment Research 3208130519-PO961998-RSUB 93.395 5,910 -

Wayne State University - Cancer Treatment Research WSU19069 93.395 7,080 -

Children's Hospital of Philadelphia (The) - Cancer Treatment Research FP00015221 SUB671 01 93.395 7,500 -

Johns Hopkins University - Cancer Treatment Research 2004226116 93.395 12,871 -

ECOG-ACRIN Cancer Research Group - Cancer Treatment Research U10CA180820-01-YALE1 93.395 13,200 -

National Cancer Institute (NCI)/NIH/DHHS - Cancer Treatment Research 9009627_YALE_Herbst 93.395 13,775 -

Indiana University - Cancer Treatment Research IN-4687956-YU 93.395 15,690 -

University of Minnesota - Cancer Treatment Research H004627902 93.395 15,972 -

Oregon Health Sciences University - Cancer Treatment Research 1005019_YALE 93.395 31,675 -

Oregon Health Sciences University - Cancer Treatment Research MURO_SWOG / 9009627-016_Yale 93.395 46,293 -

Oregon Health Sciences University - Cancer Treatment Research 9009627_YALE_Pusztai 93.395 67,350 -

Children's Hospital of Philadelphia (The) - Cancer Treatment Research PO960236RSUB 93.395 80,258 -

University of Texas M.D. Anderson Cancer Center - Cancer Treatment Research 3001163242 93.395 92,089 -

Bessor Pharma, LLC - Cancer Treatment Research R43CA224463 93.395 99,998 -

American College Of Radiology - Cancer Treatment Research ECOG - 4470 93.395 151,897 -

Medical University of South Carolina - Cancer Treatment Research MUSC16-084-8C234 93.395 217,922 -

882,947 -

Emory University - Cancer Biology Research A028702 93.396 2,184 -

Emory University - Cancer Biology Research A021528 93.396 2,184 -

Jackson Laboratory - Cancer Biology Research R01CA195712 93.396 5,485 -

State University of New York at Buffalo (SUNY) - Cancer Biology Research 79284/1142253/2 93.396 7,319 -

University of Connecticut - Cancer Biology Research 173608 93.396 9,896 -

Emory University - Cancer Biology Research T675284 93.396 15,464 -

Columbia University - Cancer Biology Research 2(GG0013365-01) 93.396 16,393 -

University of Southern California - Cancer Biology Research Sub #65275013/Ref #110514012 93.396 26,423 -

Sanford-Burnham Medical Research Institute - Cancer Biology Research CORE C 93.396 74,023 -

University of Connecticut - Cancer Biology Research 325476 93.396 86,413 -

Sanford-Burnham Medical Research Institute - Cancer Biology Research Project 2 93.396 201,551 -

Washington University in St. Louis - Cancer Biology Research WU-17-305 93.396 231,008 -

678,343 -

University of Pennsylvania - Cancer Centers Support Grants 574182 93.397 34,219 -

Columbia University - Cancer Centers Support Grants 2(GG012189-57) PO#G13096 93.397 90,701 -

124,920 -


II-39

Yale University



Federal 2019






State of Rhode Island Dept. of Children, Youth & Families - Assistance Payments-Research Rhode Island Evaluation 93.562 74,224$ -$

74,224 -

University of Connecticut Health Center - ACA - State Innovation Models: Funding for Model Design and Model

Testing Assistance UCHC7-111153388 93.624 37,514 -


Testing Assistance 102244031-A3 93.624 536,841 -

574,355 -

State of Rhode Island Dept. of Children, Youth & Families - Adoption Opportunities HHS-2013-ACF-ACYF-CO-0593-Yr 3 93.652 1,607 -

1,607 -

University of Massachusetts - Cardiovascular Diseases Research WA00314706/RFS201501 93.837 318 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Cardiovascular Diseases Research 0255-3100-4605/0255-341A-4605 93.837 2,251 -

Duke University - Cardiovascular Diseases Research 2037576 93.837 4,564 -

Johns Hopkins University - Cardiovascular Diseases Research 2003142538 93.837 6,905 -

University of Minnesota - Cardiovascular Diseases Research P006001157 93.837 9,299 -

Cincinnati Children's Hospital Medical Center - Cardiovascular Diseases Research 13281 PCGC Protocol 93.837 15,460 -

University of California, San Francisco - Cardiovascular Diseases Research 9332sc 93.837 17,448 -

John B. Pierce Laboratory Inc. (The) - Cardiovascular Diseases Research 281-B 93.837 21,950 -

Georgia Institute of Technology - Cardiovascular Diseases Research RK055-G1 93.837 25,835 -

Albert Einstein College of Medicine - Cardiovascular Diseases Research 310462 93.837 26,249 -

University of Alabama at Birmingham - Cardiovascular Diseases Research 000503570-048 93.837 29,207 -

Baystate Medical Center - Cardiovascular Diseases Research 18156-1 93.837 31,200 -

Northeastern University - Cardiovascular Diseases Research 500558-78050 93.837 33,638 -

Massachusetts General Hospital - Cardiovascular Diseases Research A5332 93.837 40,511 -

Research Institute at Nationwide Children's Hospital (The) - Cardiovascular Diseases Research 700102-0419-00 93.837 52,723 -


Cincinnati Children's Hospital Medical Center - Cardiovascular Diseases Research 13281 PCGC Protocol 93.837 64,757 40,175

MicroVide, LLC - Cardiovascular Diseases Research Research Agreement 93.837 77,057 -

National Heart, Lung and Blood Institute (NHLBI)/NIH/DHHS - Cardiovascular Diseases Research 203-7603 93.837 77,827 -

University of California, San Francisco - Cardiovascular Diseases Research 9720sc 93.837 80,303 -

University of Massachusetts - Cardiovascular Diseases Research S51110000032770 93.837 94,476 -


Duke University - Cardiovascular Diseases Research 179452/208268 93.837 117,589 -

New York University School of Medicine - Cardiovascular Diseases Research 17-A1-00-005849-01, Project 111219 93.837 119,782 -

University of Virginia - Cardiovascular Diseases Research GB10026 146001 93.837 134,065 -

University of Massachusetts - Cardiovascular Diseases Research WA00689340/RFS2015016 93.837 138,314 -

Regents of the University of Michigan - Cardiovascular Diseases Research 3003946084 93.837 163,202 -

Brown University - Cardiovascular Diseases Research 00000953 93.837 186,581 -

Children's Hospital Boston - Cardiovascular Diseases Research GENFD0001525489 93.837 239,203 -

Brown University - Cardiovascular Diseases Research 00001192 93.837 417,161 -

New York University School of Medicine - Cardiovascular Diseases Research 17-A1-00-005849-01 93.837 442,796 -

New York University School of Medicine - Cardiovascular Diseases Research 17-A1-00-005849-01; Project 111223 93.837 519,167 -

3,355,151 40,175

University of California, Los Angeles (UCLA) - Lung Diseases Research 1644 G UA139 93.838 311 -

Seattle Children's Hospital - Lung Diseases Research 11895SUB 93.838 1,600 -

Baystate Medical Center - Lung Diseases Research 18-066 93.838 4,160 -

Seattle Children's Hospital - Lung Diseases Research 11133SUB 93.838 10,288 -


II-40

Yale University



Federal 2019






University of Pittsburgh - Lung Diseases Research 0046691 (131685-4) 93.838 11,441$ -$

Brown University - Lung Diseases Research 00000750 93.838 11,938 -

Wayne State University - Lung Diseases Research WSU18079 93.838 16,578 -

Children's Hospital Boston - Lung Diseases Research 5U01HL107681-05/Sub#74159 93.838 18,236 -

Harvard School of Public Health - Lung Diseases Research 111163-5112784 93.838 20,125 -

North Shore University Health System - Lung Diseases Research EH17-325-S3 93.838 23,008 -

University of Alabama at Birmingham - Lung Diseases Research 000503442-002 93.838 220,571 -

338,256 -

Washington University in St. Louis - Blood Diseases and Resources Research WU-18-416 93.839 481 -

Bloodworks - Blood Diseases and Resources Research 839-YALECORE-2017 93.839 447,740 -

Bloodworks - Blood Diseases and Resources Research 839-YALEPROJ-2017 93.839 467,762 -

915,983 -

Brigham and Women's Hospital - Arthritis, Musculoskeletal and Skin Diseases Research 117592 93.846 3,259 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Arthritis, Musculoskeletal and Skin Diseases Research 0255-6501-4609 93.846 30,300 -

Salk Institute for Biological Studies - Arthritis, Musculoskeletal and Skin Diseases Research Craft 93.846 62,530 -

Johns Hopkins University - Arthritis, Musculoskeletal and Skin Diseases Research 2003134842 93.846 189,719 -

University of Virginia - Arthritis, Musculoskeletal and Skin Diseases Research GB10302 151988 93.846 240,558 -

526,366 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Diabetes, Digestive, and Kidney Diseases Extramural 0255-7244-4609 93.847 57 -

Augusta University (Formerly Georgia Regents University) - Diabetes, Digestive, and Kidney Diseases

Extramural Research 30835-33 93.847 451 -

John B. Pierce Laboratory Inc. (The) - Diabetes, Digestive, and Kidney Diseases Extramural Research 283-A 93.847 544 -

University of Texas Southwestern Medical Center (The) - Diabetes, Digestive, and Kidney Diseases Extramural

Research GMO-160229 93.847 810 -

George Washington University - Diabetes, Digestive, and Kidney Diseases Extramural Research 15-D20 93.847 1,089 -

CaroGen Corporation - Diabetes, Digestive, and Kidney Diseases Extramural Research 2R44DK11358-02_Yale 93.847 2,880 -


Research GMO-170917 93.847 3,909 -

Johns Hopkins University - Diabetes, Digestive, and Kidney Diseases Extramural Research 2004049725 93.847 4,349 -

Case Western Reserve University - Diabetes, Digestive, and Kidney Diseases Extramural Research RES514017 93.847 5,345 -

Cornell University - Diabetes, Digestive, and Kidney Diseases Extramural Research 170511 93.847 6,470 -

Wake Forest University - Diabetes, Digestive, and Kidney Diseases Extramural Research WFUHS 113617 93.847 6,562 -

George Washington University - Diabetes, Digestive, and Kidney Diseases Extramural Research GRADE-Clinical CTR 37 93.847 7,496 6,701

Columbia University - Diabetes, Digestive, and Kidney Diseases Extramural Research 2(GG011842-01) 93.847 8,719 -

Kaiser Foundation Research Institute - Diabetes, Digestive, and Kidney Diseases Extramural Research RNG200347-01 93.847 10,433 -

University of Colorado, Denver - Diabetes, Digestive, and Kidney Diseases Extramural Research PO# 1000805858 93.847 12,161 -


Drexel University - Diabetes, Digestive, and Kidney Diseases Extramural Research 800159 93.847 15,543 -

New York Blood Center - Diabetes, Digestive, and Kidney Diseases Extramural Research NIH000496 93.847 16,698 -

Columbia University - Diabetes, Digestive, and Kidney Diseases Extramural Research 1(GG011991) 93.847 17,060 -

University of South Florida - Diabetes, Digestive, and Kidney Diseases Extramural Research 6163-1051-00-BF 93.847 17,702 -


Case Western Reserve University - Diabetes, Digestive, and Kidney Diseases Extramural Research RES513290- Hypoglycemia 93.847 23,848 -

University of Southern California - Diabetes, Digestive, and Kidney Diseases Extramural Research 84064822 93.847 24,415 -


University of North Carolina - Diabetes, Digestive, and Kidney Diseases Extramural Research 5112021 93.847 24,863 -

University of South Florida - Diabetes, Digestive, and Kidney Diseases Extramural Research PO 0000139692 93.847 25,086 -

L2 Diagnostics, LLC - Diabetes, Digestive, and Kidney Diseases Extramural Research 1R43DK116577 93.847 30,818 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Diabetes, Digestive, and Kidney Diseases Extramural

Research 0255-7246-4609 93.847 37,575 -


II-41

Yale University



Federal 2019






Case Western Reserve University - Diabetes, Digestive, and Kidney Diseases Extramural Research RES512845 93.847 45,266$ -$

University of Wisconsin-Madison - Diabetes, Digestive, and Kidney Diseases Extramural Research 808K990 93.847 47,044 -

Columbia University - Diabetes, Digestive, and Kidney Diseases Extramural Research 1 (GG012702-01) 93.847 49,641 -


Johns Hopkins University - Diabetes, Digestive, and Kidney Diseases Extramural Research 2004041676 93.847 51,835 -

Hartford Hospital - Diabetes, Digestive, and Kidney Diseases Extramural Research 126357-SY 93.847 61,487 -


Research GMO-161122 93.847 66,179 -

New York Blood Center - Diabetes, Digestive, and Kidney Diseases Extramural Research NIH000493 93.847 76,052 -


Extramural Research 32307-9 93.847 86,657 -

HealthPartners Institute For Education & Research - Diabetes, Digestive, and Kidney Diseases Extramural

Research 852223-Yale 93.847 89,668 -

George Washington University - Diabetes, Digestive, and Kidney Diseases Extramural Research S-GRD1718-LL37 93.847 129,300 221,960

Case Western Reserve University - Diabetes, Digestive, and Kidney Diseases Extramural Research RES513290- Core 93.847 148,309 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Diabetes, Digestive, and Kidney Diseases Extramural

Research 0255-1981-4609 93.847 151,290 -

University of California, Los Angeles (UCLA) - Diabetes, Digestive, and Kidney Diseases Extramural Research 1564 G SA388 93.847 162,525 85,401

New York Blood Center - Diabetes, Digestive, and Kidney Diseases Extramural Research NIH000496/ PO NYB1003505 93.847 168,405 -


Extramural Research 32307-40 93.847 171,507 -

Broad Institute, Inc - Diabetes, Digestive, and Kidney Diseases Extramural Research 5000850-5500001124 93.847 205,089 -

New York Blood Center - Diabetes, Digestive, and Kidney Diseases Extramural Research NIH000493/ PO-NYB1001723 93.847 249,390 -

George Washington University - Diabetes, Digestive, and Kidney Diseases Extramural Research 16-D20 93.847 249,815 -

Maine Medical Center Research Institute - Diabetes, Digestive, and Kidney Diseases Extramural Research ROSEN R24-01 93.847 321,128 -

Harvard University - Diabetes, Digestive, and Kidney Diseases Extramural Research 123959-5097302 93.847 354,949 -

George Washington University - Diabetes, Digestive, and Kidney Diseases Extramural Research S-GRD1819-LL37 93.847 548,494 263,949

3,850,983 578,011

Florida International University - Extramural Research Programs in the Neurosciences and Neurological

Disorders 800006706-01UG 93.853 384 -

Beth Israel Deaconess Medical Center - Extramural Research Programs in the Neurosciences and Neurological

Disorders 01029142 93.853 688 -

Mayo Clinic Jacksonville Florida - Extramural Research Programs in the Neurosciences and Neurological

Disorders YAL-232483 93.853 961 -

Massachusetts General Hospital - Extramural Research Programs in the Neurosciences and Neurological

Disorders 230693 93.853 1,000 -

University of Cincinnati Medical Center - Extramural Research Programs in the Neurosciences and Neurological

Disorders 010785-138225 93.853 2,300 -

Mayo Clinic Jacksonville Florida - Extramural Research Programs in the Neurosciences and Neurological

Disorders YAL-224063-02 93.853 3,515 -

Massachusetts General Hospital - Extramural Research Programs in the Neurosciences and Neurological 226503 93.853 3,652 -

University of Arizona - Extramural Research Programs in the Neurosciences and Neurological Disorders 401268/3R01NS091336-03S1 93.853 4,054 -

Dartmouth College - Extramural Research Programs in the Neurosciences and Neurological Disorders R976 93.853 5,313 -

Massachusetts General Hospital - Extramural Research Programs in the Neurosciences and Neurological

Disorders 228168 93.853 7,381 -

University of Southern California - Extramural Research Programs in the Neurosciences and Neurological

Disorders 83618959/PO 50516046 93.853 9,262 -

Johns Hopkins University - Extramural Research Programs in the Neurosciences and Neurological Disorders 2002327486/ PO 2003044865 93.853 15,674 -


II-42

Yale University



Federal 2019






University of California, San Francisco - Extramural Research Programs in the Neurosciences and Neurological

Disorders 9093sc 93.853 21,231$ -$

Kaiser Foundation Research Institute - Extramural Research Programs in the Neurosciences and Neurological

Disorders 00S100303-Yale/UH3 NS088731 93.853 25,763 -

Weill Medical College of Cornell University - Extramural Research Programs in the Neurosciences and

Neurological Disorders 17060852 93.853 36,730 -

University of Southern California - Extramural Research Programs in the Neurosciences and Neurological

Disorders 92336315 93.853 39,903 -

University of Utah - Extramural Research Programs in the Neurosciences and Neurological Disorders Subaward #10048512/PO #U000157233 93.853 49,145 -

Weill Medical College of Cornell University - Extramural Research Programs in the Neurosciences and

Neurological Disorders 181911 93.853 57,495 - National Institute of Neurological Disorders and Stroke (NINDS)/NIH/DHHS

NINDS - Extramural Research Programs in the Neurosciences and Neurological Disorders 1R01NS109160-01A1 93.853 81,068 -

University of Miami - Extramural Research Programs in the Neurosciences and Neurological Disorders 669466/SPC-000291 93.853 83,935 -

Regents of the University of Michigan - Extramural Research Programs in the Neurosciences and Neurological

Disorders 3004840385 93.853 107,073 -

Columbia University - Extramural Research Programs in the Neurosciences and Neurological Disorders SUB#1(GG011485) 93.853 163,625 -

Columbia University - Extramural Research Programs in the Neurosciences and Neurological Disorders 3(GGO010209-01)/G10664 93.853 236,098 -

Boston University - Extramural Research Programs in the Neurosciences and Neurological Disorders 4500001954 93.853 236,384 -

University of Rochester - Extramural Research Programs in the Neurosciences and Neurological Disorders 416965/FAO GR510545 93.853 271,432 -

Brown University - Extramural Research Programs in the Neurosciences and Neurological Disorders 00000698 93.853 316,265 -

1,780,331 -

Benaroya Research Institute - Allergy and Infectious Diseases Research FY17ITN183 93.855 712 -

Dana Farber Cancer Institute - Allergy and Infectious Diseases Research 1006719 93.855 989 -

New York Medical College - Allergy and Infectious Diseases Research 123260 93.855 2,072 -

Johns Hopkins University - Allergy and Infectious Diseases Research PO #: 2003649391 93.855 2,368 -

L2 Diagnostics, LLC - Allergy and Infectious Diseases Research 1R41AI145779-01 93.855 3,341 -

Dana Farber Cancer Institute - Allergy and Infectious Diseases Research 1006718 93.855 3,664 -

Family Health International (FHI 360) - Allergy and Infectious Diseases Research PO18002788 93.855 6,455 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Allergy and Infectious Diseases Research 0255-1351-4609/0255-B001-4609 93.855 7,000 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Allergy and Infectious Diseases Research TBD 93.855 7,177 -

Benaroya Research Institute - Allergy and Infectious Diseases Research FY17ITN162 93.855 8,255 -

Children's Hospital Corporation, (formerly CHB) - Allergy and Infectious Diseases Research GENFD0001525524 93.855 9,038 -

Rhode Island Hospital - Allergy and Infectious Diseases Research 701-7137392 93.855 10,162 -

Brigham and Women's Hospital - Allergy and Infectious Diseases Research 110238 93.855 12,392 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Allergy and Infectious Diseases Research TBD 93.855 14,141 -

University of Wisconsin-Madison - Allergy and Infectious Diseases Research 864K441 93.855 14,848 -


Duke University - Allergy and Infectious Diseases Research 203-7692 93.855 16,768 -

Duke University - Allergy and Infectious Diseases Research A039038 - UM1AI104681 - ARLG 93.855 24,148 -

University of Georgia - Allergy and Infectious Diseases Research SUB00001918 93.855 24,151 -

Benaroya Research Institute - Allergy and Infectious Diseases Research FY171TN183 93.855 26,037 -

Regents University of California, San Francisco - Allergy and Infectious Diseases Research 9270sc 93.855 27,155 -


Washington University in St. Louis - Allergy and Infectious Diseases Research WU-19-134 93.855 27,661 -

Albert Einstein College of Medicine - Allergy and Infectious Diseases Research 31192A / 31192B 93.855 29,632 -

Massachusetts General Hospital - Allergy and Infectious Diseases Research 233034 93.855 32,462 -

West Virginia University - Allergy and Infectious Diseases Research 15-215-YU 93.855 32,744 -

Emory University - Allergy and Infectious Diseases Research T938313 93.855 33,466 -


II-43

Yale University



Federal 2019






State University of New York at Buffalo (SUNY) - Allergy and Infectious Diseases Research 75776/1134526/2 & R1034311 93.855 36,741$ -$

Stanford University - Allergy and Infectious Diseases Research 61485128-124916 93.855 37,062 -

University of Connecticut Health Center - Allergy and Infectious Diseases Research 102163877 93.855 37,132 -

Benaroya Research Institute - Allergy and Infectious Diseases Research FY17ITN162 93.855 38,835 -

Institute for Clinical Research, Inc. - Allergy and Infectious Diseases Research M08-NE-025-0704-2 93.855 40,363 -

Columbia University - Allergy and Infectious Diseases Research 2(GG011022-01) 93.855 40,575 -

University of Connecticut Health Center - Allergy and Infectious Diseases Research UCHC7-112779652 93.855 41,875 -

Stanford University - Allergy and Infectious Diseases Research 60869269-114020 93.855 44,680 -

University of Richmond - Allergy and Infectious Diseases Research 27441S 93.855 50,239 -

L2 Diagnostics, LLC - Allergy and Infectious Diseases Research 1R43AI136118 93.855 50,922 -

Regents University of California, San Francisco - Allergy and Infectious Diseases Research 10516sc 93.855 55,117 -


L2 Diagnostics, LLC - Allergy and Infectious Diseases Research 1R41Al142846-01 93.855 63,712 -

New England Discovery Partners, LLC - Allergy and Infectious Diseases Research 4531-01YALE 93.855 64,686 -


Johns Hopkins University - Allergy and Infectious Diseases Research 2003037091 93.855 66,779 -

University of Maryland - Allergy and Infectious Diseases Research 31589-Z0670001 93.855 74,340 -

Colorado State University - Allergy and Infectious Diseases Research G-40484-01 93.855 76,276 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Allergy and Infectious Diseases Research 0255-1361-4609/0255-1368-4609/0255-B001-4609 93.855 76,608 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Allergy and Infectious Diseases Research 0255-8415-4609 93.855 76,817 -

The Miriam Hospital - Allergy and Infectious Diseases Research 7147085CD 93.855 78,974 -


Icahn School of Medicine at Mount Sinai (ISMMS) - Allergy and Infectious Diseases Research 0255-8673-4609 93.855 94,717 26,962

Albany Medical College - Allergy and Infectious Diseases Research 515477-YALE 93.855 95,712 -



Regents University of California, San Francisco - Allergy and Infectious Diseases Research 9892SC 93.855 99,871 -

Duke University - Allergy and Infectious Diseases Research 203-7712 93.855 101,759 -

Duke University - Allergy and Infectious Diseases Research A039052 - UM1AI104681 - SCOUT-CAP 93.855 118,213 -

L2 Diagnostics, LLC - Allergy and Infectious Diseases Research 1R43AI136546-01A1 93.855 122,203 -

University of California, Irvine - Allergy and Infectious Diseases Research 2018-3660 93.855 122,589 -

Family Health International (FHI 360) - Allergy and Infectious Diseases Research PO17001520 93.855 132,641 -

East Carolina University - Allergy and Infectious Diseases Research A18-0299-S001 93.855 136,452 -

University of Kansas - Allergy and Infectious Diseases Research FY2018-023 93.855 176,316 -

Veterans Medical Research Foundation - Allergy and Infectious Diseases Research 09473001-318538/09473003-322237 93.855 194,973 -

Brigham and Women's Hospital - Allergy and Infectious Diseases Research 112668 93.855 203,980 -


Albert Einstein College of Medicine - Allergy and Infectious Diseases Research 311254 93.855 262,737 -

University of Maryland - Allergy and Infectious Diseases Research 64882-Z0158203 93.855 320,430 -

Sloan-Kettering Institute for Cancer Research - Allergy and Infectious Diseases Research BD519787B/C 93.855 458,240 -


FluGen, Inc. - Allergy and Infectious Diseases Research FLUSUB-AGR17-019 93.855 630,681 -

5,914,986 26,962

Washington University in St. Louis - Biomedical Research and Research Training WU-17-227 93.859 1,726 -

Princeton University - Biomedical Research and Research Training SUB0000021 93.859 4,126 -

University of Puerto Rico en Cayey - Biomedical Research and Research Training UDPREC 93.859 8,100 -

University of Pennsylvania - Biomedical Research and Research Training 568295 93.859 31,884 -

University of California, Davis - Biomedical Research and Research Training A18-0909-S002 93.859 32,464 -


II-44

Yale University



Federal 2019






University of Pittsburgh - Biomedical Research and Research Training 0056812 (130039-7) 93.859 39,668$ -$

Medical University of South Carolina - Biomedical Research and Research Training MUSC16-068-8C106 93.859 46,665 -

University of Texas at Austin - Biomedical Research and Research Training UTA18-000128 93.859 49,643 -

Sanford-Burnham Medical Research Institute - Biomedical Research and Research Training 59465-12763-YU 93.859 58,524 -

University of Puerto Rico en Cayey - Biomedical Research and Research Training N/A 93.859 82,976 -

University of Utah - Biomedical Research and Research Training 10044932-15 93.859 84,096 -

Jackson Laboratory - Biomedical Research and Research Training 210269-0719 93.859 84,912 -

Fox Chase Cancer Center - Biomedical Research and Research Training 1R25GM121270 93.859 85,840 -


University of Texas at Austin - Biomedical Research and Research Training UTA17-001388 93.859 117,420 -

Drexel University - Biomedical Research and Research Training 800132-5876 93.859 122,547 66,532

Harvard University - Biomedical Research and Research Training 114182-5092642 93.859 135,131 -

New York University - Biomedical Research and Research Training F8635-02 93.859 137,444 -

Health Research, Inc. - Biomedical Research and Research Training 5314-01 93.859 209,898 -

Purdue University - Biomedical Research and Research Training 4102-83303 93.859 215,856 -

University of Utah - Biomedical Research and Research Training 10041310 93.859 275,347 -


Drexel University - Biomedical Research and Research Training 800132-5876 93.859 326,613 -

University of Pittsburgh - Biomedical Research and Research Training 0056812 (131534-7) 93.859 402,109 -

2,959,946 66,532

Nemours Children's Clinic - Child Health and Human Development Extramural Research NCC 93.865 6,097 -

DotLab - Child Health and Human Development Extramural Research SBIR- Taylor 93.865 11,910 -

Board of Trustees of Leland Stanford Junior University - Child Health and Human Development Extramural

Research 61420432-120659 93.865 13,682 -

Lafayette College - Child Health and Human Development Extramural Research 153603 YU Sub 93.865 14,349 -

Washington University in St. Louis - Child Health and Human Development Extramural Research WU-17-247 93.865 22,695 -

Boston Medical Center - Child Health and Human Development Extramural Research ID: 6741/Activity 0479901 93.865 24,617 -

University of Colorado, Denver - Child Health and Human Development Extramural Research FY14.571.001_AMD6 93.865 27,700 -

University of Washington, Seattle - Child Health and Human Development Extramural Research WU-19-217 93.865 28,271 -

University of Massachusetts - Child Health and Human Development Extramural Research OSP2018143 93.865 41,140 -

University of Colorado, Denver - Child Health and Human Development Extramural Research FY19.571.001/2-5-A7254 93.865 54,787 -

University of Utah - Child Health and Human Development Extramural Research 10034012-YALE/PO-U000165821 93.865 55,070 -

University of South Florida - Child Health and Human Development Extramural Research R01HD06221/5112-5506-00-A 93.865 62,953 -

L2 Diagnostics, LLC - Child Health and Human Development Extramural Research 1R41HD093473-01A1 93.865 63,438 -

Imperial College School of Medicine - Child Health and Human Development Extramural Research P78100 93.865 65,521 -

Haskins Laboratories, Inc. - Child Health and Human Development Extramural Research 2-A214 93.865 90,510 -

Haskins Laboratories, Inc. - Child Health and Human Development Extramural Research A222 93.865 159,594 -

Nemours Children's Clinic - Child Health and Human Development Extramural Research NCCJ/PO 523307-0-RSUB 93.865 189,722 -

University of Colorado, Denver - Child Health and Human Development Extramural Research 1555887/1557038 93.865 211,634 23,328

University of California, San Francisco - Child Health and Human Development Extramural Research 9774sc 93.865 249,824 -

Schell Games LLC - Child Health and Human Development Extramural Research N/A 93.865 348,292 -

1,741,806 23,328


II-45

Yale University



Federal 2019






University of Massachusetts - Aging Research WA00570204/OPS2017198 93.866 980$ -$

Northern California Institute for Research & Education - Aging Research SHL1947-02 93.866 1,658 -

Medical University of South Carolina - Aging Research MUSC18-096-8A840 93.866 2,278 -

Research Foundation of State University of New York (SUNY) - Aging Research 71400-2-1124766-2 93.866 3,470 -

University of Massachusetts - Aging Research WA00234385/RFS2015083 93.866 4,159 -

Hebrew Rehabilitation Center for the Aged - Aging Research 10.10.90063 93.866 6,102 -

University of Southern California - Aging Research 107936659 93.866 7,015 -

University of Washington, Seattle - Aging Research UWSC8613 93.866 12,090 -

Medical University of South Carolina - Aging Research MUSC17-033-8A840 93.866 13,230 -

University of Pennsylvania - Aging Research 576937/574962 93.866 16,244 -

University of Florida - Aging Research UFDSP00010692 93.866 16,643 -

Brigham and Women's Hospital - Aging Research 119760 93.866 16,898 -

Duke University - Aging Research 309-0074 93.866 18,058 -

University of Texas Health Science Center (The) - Aging Research 164223/164222 93.866 24,828 -

University of Michigan - Aging Research 3004159773 93.866 29,034 -

University of Massachusetts Medical School - Aging Research OSP2018109 93.866 36,634 -

Mayo Clinic of Rochester - Aging Research YAL-234899 93.866 40,814 -

Oregon Health Sciences University - Aging Research 1011170_YALE 93.866 50,096 -

University of California, Los Angeles (UCLA) - Aging Research 1558 G UA267 93.866 56,850 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Aging Research 0255-7691-4609 93.866 57,096 -

Regents of the University of California - Aging Research 1558 G WA348 93.866 72,817 -

Medical University of South Carolina - Aging Research MUSC-14-078 93.866 78,982 -


University of Kentucky - Aging Research 3200001330-18-016 93.866 93,279 -

University of California, San Diego - Aging Research 72751728 / 72752638 93.866 99,546 -

University of Southern California - Aging Research 75686199-PO10458952 93.866 101,686 -

University of Southern California - Aging Research 65941833 PO#10380123 93.866 110,942 -

Research Foundation of State University of New York (SUNY) - Aging Research 79368-1142422/2 93.866 115,428 -


University of Rochester - Aging Research 416964/FAO GR510546 93.866 142,758 -

Board of Trustees of Leland Stanford Junior University - Aging Research 61666772-45510 93.866 184,595 -

Dartmouth College - Aging Research R1032 93.866 207,639 -

Massachusetts General Hospital - Aging Research 233344 93.866 210,871 -

University of California, San Diego - Aging Research 46178022 93.866 415,616 -

Brigham and Women's Hospital - Aging Research 111014-Gill 93.866 649,159 -

Brigham and Women's Hospital - Aging Research 111014-Peduzzi 93.866 1,016,301 -

Cognition Therapeutics, Inc. - Aging Research 1RF1AG057553-Y 93.866 1,303,888 -

5,430,789 -

University of Maryland - Vision Research 18840-Z0553001 93.867 7,571 -

Jaeb Center for Health Research - Vision Research U10EY11751 93.867 16,946 -

Icahn School of Medicine at Mount Sinai (ISMMS) - Vision Research 0255-A221-4609 93.867 19,036 -

University of Maryland - Vision Research 33882-Z0680001 93.867 67,077 -

University of Nebraska Medical Center - Vision Research 34-5270-2024-023 93.867 95,035 -

205,665 -

University of Hawaii - Medical Library Assistance KA1108 93.879 11,584 -

Temple University - Medical Library Assistance 259110YAL 93.879 18,102 -

29,686 -


II-46

Yale University



Federal 2019






Connecticut Dept. of Public Health (DPH) - Epidemiologic Research Studies of Acquired Immunodeficiency

Syndrome (AIDS) and Human Immunodeficiency Virus (HIV) Infection in Selected Population Groups 2017-0102(Year 4) 93.943 62,680$ -$

Connecticut Dept. of Public Health (DPH) - Epidemiologic Research Studies of Acquired Immunodeficiency

Syndrome (AIDS) and Human Immunodeficiency Virus (HIV) Infection in Selected Population Groups 2018-0102 (Year 5) 93.943 71,576 -

134,256 -

Columbia University - International Research and Research Training 4(GG009218-01) 93.989 13,525 -

University of Maryland Baltimore County - International Research and Research Training 12994-01 93.989 24,169 -

University of California, Berkeley - International Research and Research Training 00009519 93.989 458,826 6,450

496,520 6,450

Subtotal - Department of Health & Human Services - Pass

Through 49,885,926 1,012,637

Subtotal - Department of Health & Human Services 493,107,465 48,943,418

Department of Homeland Security

Direct:

Homeland Security Research, Development, Testing, Evaluation, and Demonstration of Technologies Related to

Nuclear Threat Detection 2016-DN-077-ARI107/16DNARI00024-03-00 97.077 371,751 -

371,751 -

Subtotal - Department of Homeland Security - Direct 371,751 -

Subtotal - Department of Homeland Security 371,751 -

Department of Housing and Urban Development

Pass Through:

University of Tulsa - Healthy Homes Technical Studies Grants 14-2-1201497-94802 14.906 128,603 -

Subtotal - Department of Housing and Urban Development -

Pass Through 128,603 -

Subtotal - Department of Housing and Urban Development 128,603 -

Department of Justice

Direct:

OVW Research and Evaluation Program 2018-SI-AX-0005 16.026 60,266 4,832

60,266 4,832

National Institute of Justice Research, Evaluation, and Development Project Grants 2018-75-CX-0041 16.560 308,373 -

2015-DN-BX-K023 16.560 336,178 -

National Institute of Justice Research, Evaluation, and Development Project Grants 2016-DN-BX-0162 16.560 342,770 -

National Institute of Justice Research, Evaluation, and Development Project Grants 2013-ZD-CX-0001 16.560 869,057 95,879

1,856,378 95,879

Subtotal - Department of Justice - Direct 1,916,644 100,711

Passed-through:

University of Pittsburgh - National Institute of Justice Research, Evaluation, and Development Project Grants 0059288 (413841-2) 16.560 218,432 -

218,432 -

Subtotal - Department of Justice - Pass Through 218,432 -

Subtotal - Department of Justice 2,135,076 100,711


II-47

Yale University



Federal 2019




Department of the Interior

Direct:

Water Desalination Research and Development R17AC00141 15.506 95,627$ -$

95,627 -

Endangered Species - Candidate Conservation Action Funds F17AC01092 15.660 3,212 -

3,212 -

Subtotal - Department of the Interior- Direct 98,839 -

Subtotal - Department of the Interior 98,839 -

Department of State

Direct:

Criminal Justice Systems SINLEC17CA2007 19.703 1,891,807 1,768,919

1,891,807 1,768,919

Subtotal - Department of State - Direct 1,891,807 1,768,919

Subtotal - Department of State 1,891,807 1,768,919

Department of Transportation

Direct:

Department of Transportation DTNH2216C00022 20.RD 213,729 176,765

Subtotal - Department of Transportation - Direct 213,729 176,765

Subtotal - Department of Transportation 213,729 176,765

Environmental Protection Agency

Direct:

Science To Achieve Results (STAR) Research Program RD83587101 66.509 1,758,457 954,637

1,758,457 954,637

Office of Research and Development Consolidated Research/Training/Fellowships 83924901 66.511 604,689 142,964

604,689 142,964

Science To Achieve Results (STAR) Fellowship Program FP-91779301 66.514 3,630 -

Science To Achieve Results (STAR) Fellowship Program FP-91782101-0 66.514 5,583 -

9,213 -

Subtotal - Environmental Protection Agency - Direct 2,372,359 1,097,601

Subtotal - Environmental Protection Agency 2,372,359 1,097,601

National Aeronautics & Space Administration

Direct:

Science 80NSSC19K0374 43.001 126 -

Science NNX15AP03H 43.001 244 -

Science NNX14AL76H 43.001 1,751 -

Science NNX15AQ34H 43.001 3,000 -

Science NNX11AP72G 43.001 3,142 -

Science NNX17AL49G 43.001 7,634 -

Science NNX14AP08G 43.001 14,126 -

Science 80NSSC18K1404 43.001 17,310 -


II-48

Yale University



Federal 2019





Direct: (Continued)

Science 80NSSC17K0627 43.001 28,948$ -$

Science 80NSSC18M0049 43.001 29,492 -

Science 80NSSC18K0363 43.001 31,185 -

Science 80NSSC18K1396 43.001 35,132 -

Science 80NSSC17K0447 43.001 43,763 -

Science 80NSSC17K0459 43.001 45,642 -

Science 80NSSC18K0524 43.001 46,061 -

Science NNX17AJ44G 43.001 60,719 -

Science NNX15AD43G 43.001 80,860 80,860

Science NNX16AI09G 43.001 107,448 -

Science 80NSSC17M0015 43.001 112,037 -

Science 80NSSC18K0418 43.001 124,507 31,137

Science 80NSSC18K0435 43.001 141,161 57,614

Science NNX17AH21G 43.001 145,509 -

Science NNX16AL06G 43.001 152,735 57,161

Science NNX17AI74G 43.001 181,461 26,756

Science 80NSSC18K0443 43.001 238,897 76,223

Science NNX17AH98G 43.001 252,404 -

Science 80NSSC17K0282/P00002 43.001 719,637 89,274

2,624,931 419,025

Space Operations NNX17AD49A 43.007 145,670 -

145,670 -

Education NNX13AR88H 43.008 1,566 -

1,566 -

Space Technology 80NSSC17K0146 43.012 54,157 -




262,522 -

Subtotal - National Aeronautics & Space Administration -

Direct 3,034,689 419,025

Passed-through:

Space Telescope Science Institute (STSCI) - National Aeronautics & Space Administration HST-GO-14361.003-A 43.RD 533 -

Jet Propulsion Laboratory (JPL)/NASA - National Aeronautics & Space Administration 1554029 43.RD 1,333 -

Space Telescope Science Institute (STSCI) - National Aeronautics & Space Administration HST-GO-14644.001-A 43.RD 6,385 -

Universities Space Research Association (USRA) - National Aeronautics & Space Administration SOF-06-0198-Arce 43.RD 7,815 -





Space Telescope Science Institute (STSCI) - National Aeronautics & Space Administration HST-AR-14557.002-A 43.RD 25,541 -



Space Telescope Science Institute (STSCI) - National Aeronautics & Space Administration HST-AR-15027.003-A 43.RD 44,696 -

Johns Hopkins University - National Aeronautics & Space Administration 2003341235 43.RD 49,258 -

Arizona State University - National Aeronautics & Space Administration 17-252 43.RD 100,730 -

Other Lab, Inc - National Aeronautics & Space Administration Kramer-Bottiglio 43.RD 213,782 -

581,330 -

American Museum of Natural History - Science A25-2018-2 43.001 4,041 -

Planetary Science Institute - Science 1374 43.001 6,886 -


II-49

Yale University



Federal 2019






University of Virginia - Science GP10202.157725 43.001 10,698$ -$

University of Hawaii - Science MA160009/MA1275 43.001 29,272 -

University of Washington, Seattle - Science UWSC10433 43.001 30,000 -

University of Washington, Seattle - Science UWSC6921/PO# BPO1485 43.001 41,897 -

Smithsonian Astrophysical Observatory - Science AR8-19021A 43.001 47,298 -

Smithsonian Astrophysical Observatory - Science PF7-180161 43.001 104,801 -

University of California, Riverside - Science S-000730 43.001 329,165 -

604,058 -

University of Hartford - Education P-1337 43.008 929 -

University of Hartford - Education P-1339 43.008 1,000 -











46,714 -

Subtotal - National Aeronautics & Space Administration -

Pass Through 1,232,102 -

Subtotal - National Aeronautics & Space Administration 4,266,791 419,025

National Science Foundation

Direct:

Engineering Grants 1806146 47.041 10,291 -

Engineering Grants 1832795 47.041 12,167 4,826

Engineering Grants CMMI-1901959 47.041 25,356 -

Engineering Grants CBET-1636509 47.041 27,104 -



Engineering Grants ECCS-1503751 47.041 41,025 -

Engineering Grants IIP-1640375 47.041 43,490 40,416









Engineering Grants CBET:1604983 47.041 97,102 -






Engineering Grants CMMI-1812948 / CMMI-1928823 47.041 123,596 -



II-50

Yale University



Federal 2019





Direct: (Continued)

Engineering Grants ECCS-1552461 47.041 143,449$ -$

Engineering Grants CBET-1706097 47.041 148,513 49,609




Engineering Grants EFMA-1640959 47.041 478,805 328,035

Engineering Grants EFMA-1542815 47.041 575,251 351,346

3,981,528 774,232

Mathematical and Physical Sciences PHY-1522467 47.049 526 -

Mathematical and Physical Sciences DMS-1404257 47.049 2,135 -


Mathematical and Physical Sciences CHE-1339637 47.049 2,725 -

Mathematical and Physical Sciences DMR-1609391 47.049 3,925 -



Mathematical and Physical Sciences AST 1714710 47.049 6,380 -

Mathematical and Physical Sciences 1830926 47.049 6,799 -


Mathematical and Physical Sciences AST-1429365 47.049 10,364 -
















Mathematical and Physical Sciences CHE1464957 47.049 53,687 -



Mathematical and Physical Sciences PHY-1429454 47.049 61,172 -










Mathematical and Physical Sciences OCE:1602557 47.049 86,896 -


II-51

Yale University



Federal 2019





Direct: (Continued)

Mathematical and Physical Sciences PHY-1350180 47.049 88,498$ -$

Mathematical and Physical Sciences CHE1465085 47.049 88,996 -































Mathematical and Physical Sciences DMR-1119826 47.049 217,796 161,209

Mathematical and Physical Sciences AST-1616086 47.049 234,166 47,820

Mathematical and Physical Sciences CHE-1339637 47.049 278,170 40,401

Mathematical and Physical Sciences PHY-1404146 47.049 644,174 291,990

Mathematical and Physical Sciences CHE-1740549 47.049 719,286 223,887

7,600,684 765,307

Geosciences OCE-1536604 47.050 4,289 -

Geosciences EAR-1053247 47.050 8,928 -

Geosciences EAR-1361327 47.050 13,574 -

Geosciences EAR-1360369 47.050 17,330 -

Geosciences PLR-1601565 47.050 18,831 -

Geosciences 1829224 47.050 27,339 -

Geosciences EAR-1610612 47.050 27,719 -

Geosciences ICER-1540984 47.050 28,644 -

Geosciences EAR-1800923 47.050 29,236 -

Geosciences OCE-1426700 47.050 29,596 -

Geosciences EAR-1547499 47.050 29,801 -


II-52

Yale University



Federal 2019





Direct: (Continued)

Geosciences EAR-1650313 47.050 33,662$ -$

Geosciences AGS-1338655 47.050 36,332 -

Geosciences 1753916 47.050 39,489 -

Geosciences AGS-0163807 47.050 40,769 -

Geosciences PLR-1603542 47.050 44,013 -

Geosciences Long- 1820815 47.050 45,992 -

Geosciences PLR-1350046 47.050 51,994 -

Geosciences OCE-1736563 47.050 66,892 -

Geosciences EAR-1520684 47.050 67,259 63,929

Geosciences EAR-1520006 47.050 73,101 -

Geosciences 1818792 47.050 74,957 -

Geosciences ICER-1824770 47.050 75,232 28,300

Geosciences AGS-1561066 47.050 75,869 -

Geosciences OCE-1829835 47.050 94,062 -

Geosciences EAR-1551348 47.050 95,186 -

Geosciences EAR-1650329 47.050 96,326 -

Geosciences EAR-1753553 47.050 110,464 -

Geosciences AGS-1352417 47.050 111,619 -

Geosciences OCE-1702851 47.050 127,353 -

Geosciences OPP-1741841 47.050 148,502 16,351

Geosciences OPP-1737687 47.050 150,593 -

Geosciences AGS-1764126 47.050 165,360 12,772

Geosciences OCE-1756682 47.050 171,223 -

Geosciences EAR-1764271 47.050 172,231 -

Geosciences EAR-1645057 47.050 212,246 72,009

2,616,013 193,361

Computer and Information Science and Engineering ACI-1614491 47.070 5 -

Computer and Information Science and Engineering CNS-1527090 47.070 1,681 -

Computer and Information Science and Engineering CCF-1302327 47.070 2,419 -




Computer and Information Science and Engineering IIS-1747522 47.070 5,573 -



















II-53

Yale University



Federal 2019





Direct: (Continued)

Computer and Information Science and Engineering IIS-1822650 47.070 113,873$ -$



Computer and Information Science and Engineering ACI-1440745 47.070 117,658 -



Computer and Information Science and Engineering CNS-1712674 47.070 134,943 110,075



Computer and Information Science and Engineering 1815115 47.070 155,746 -

Computer and Information Science and Engineering ACI-1339804 47.070 169,039 -



Computer and Information Science and Engineering IIS 1734190 47.070 232,770 -




4,374,411 110,075

Biological Sciences IOS-1856452 47.074 1,077 -

Biological Sciences DEB-1354762 47.074 1,135 -

Biological Sciences DBI:1601884 47.074 3,500 -



Biological Sciences DBI-1660000 47.074 6,507 -











Biological Sciences 1701597 47.074 16,214 -

Biological Sciences DEB-1464389 47.074 17,533 17,533









Biological Sciences DBI-1802270 47.074 57,268 33,576


Biological Sciences 1846010 47.074 66,508 -

Biological Sciences MCB-1749662 47.074 70,426 -



II-54

Yale University



Federal 2019





Direct: (Continued)

Biological Sciences IOS-1656610 47.074 74,418$ -$




Biological Sciences DEB-1557059 47.074 102,885 23,621

Biological Sciences EF-1802453 47.074 102,968 -






Biological Sciences 1840243 47.074 155,729 142,994

Biological Sciences EF-1340749 47.074 191,867 -







Biological Sciences DBI-1660648 47.074 496,156 4,564


4,794,025 222,288

Social, Behavioral, and Economic Sciences 1809370 47.075 1,337 -

Social, Behavioral, and Economic Sciences BCS-1423711 47.075 1,412 -





Social, Behavioral, and Economic Sciences SES-1456134 47.075 5,685 -

















Social, Behavioral, and Economic Sciences 47.075 31,571 -


II-55

Yale University



Federal 2019





Direct: (Continued)

Social, Behavioral, and Economic Sciences 1822559 47.075 37,731$ -$







Social, Behavioral, and Economic Sciences SMA-1659085 47.075 60,553 -







Social, Behavioral, and Economic Sciences SMS-1659085 47.075 91,177 -



1,392,775 -

Education and Human Resources DRL-1561143 47.076 11,817 -

Education and Human Resources DGE-1122492 47.076 46,333 -

Education and Human Resources HRD-1310757 47.076 103,997 -

Education and Human Resources DUE-1323258 47.076 117,817 -

Education and Human Resources IOS-1453167 47.076 125,013 -

Education and Human Resources DRL-1823085 47.076 127,751 120,199

Education and Human Resources DRL-1561143 47.076 478,075 -

Education and Human Resources DGE-1752134 47.076 4,995,685 -

6,006,488 120,199

Subtotal - National Science Foundation - Direct 30,765,924 2,185,462

Passed-through:

Mednet, Inc. - Engineering Grants Sanjay Aneja 47.041 10,929 -

University of Illinois at Urbana-Champaign - Engineering Grants 1719567 / Subaward 085366-16467 47.041 58,012 -

University of Texas at Arlington - Engineering Grants 126100644061 47.041 71,570 -

North Carolina State University - Engineering Grants 2017-1718-01 47.041 98,027 -

Ohio State University - Engineering Grants 60061666 47.041 204,044 -

Rice University - Engineering Grants R3F80C 47.041 464,059 -

906,641 -

Whitman College - Mathematical and Physical Sciences 20817-S 47.049 1,244 -

National Radio Astronomy Observatory (NRAO) - Mathematical and Physical Sciences TBD 47.049 3,167 -

University of Colorado, Denver - Mathematical and Physical Sciences 1554887/PO 1000779642 47.049 19,170 -

University of Chicago - Mathematical and Physical Sciences FP068403-B 47.049 49,538 -


II-56

Yale University



Federal 2019






University of California, San Diego - Mathematical and Physical Sciences 44092521-PO#S9000446 47.049 50,563.0$ -$

University of Washington, Seattle - Mathematical and Physical Sciences UWSC10489/BPO 31708 47.049 57,132 -

University of California, Davis - Mathematical and Physical Sciences A18-0271-S001 47.049 62,834 -

University of California, San Diego - Mathematical and Physical Sciences 109242238 47.049 81,996 -

California Institute of Technology (Caltech) - Mathematical and Physical Sciences S376135 47.049 228,418 -

554,062 -

College of New Jersey - Geosciences F1325YU 47.050 9,798 -

Columbia University - Geosciences 64(GG009393) 47.050 14,939 -

24,737 -

Brown University - Computer and Information Science and Engineering 00001313 47.070 1,046 -

University of Maryland - Computer and Information Science and Engineering 55368-Z3125201 47.070 9,739 -

10,785 -

University of Colorado, Denver - Biological Sciences 1555736 47.074 56 -

Ecological Society of America - Biological Sciences DBI-1622772 47.074 850 -

Appalachian State University - Biological Sciences A14-0153-S007 47.074 6,447 -

Research Foundation of CUNY - Biological Sciences 40G72-A 47.074 7,249 -

Arizona State University - Biological Sciences Sub#15-574 (Prime#1414374) 47.074 13,609 -

Arizona State University - Biological Sciences 14-373 47.074 20,323 -

Michigan State University - Biological Sciences RC062075YU 47.074 23,310 -

Tulane University - Biological Sciences SCC-TUL-556336 47.074 30,451 -

San Francisco State University - Biological Sciences S18-0026 47.074 41,212 -

University of Rhode Island - Biological Sciences 4451/110315 47.074 128,731 -

272,238 -

University of Massachusetts - Education and Human Resources 18-009960 A 47.076 8,819 -

Purdue University - Education and Human Resources 1513175-DRL 47.076 70,033 -

University of Wisconsin-Madison - Education and Human Resources 782K526 47.076 72,258 -

151,110 -

University of Minnesota - Office of International Science and Engineering A003418202 47.079 27,610 -

27,610 -

Subtotal - National Science Foundation - Pass Through 1,947,183 -

Subtotal - National Science Foundation 32,713,107 2,185,462

U.S. Agency for International Development

Direct:

USAID Foreign Assistance for Programs Overseas AID-0AA-F-00011 98.001 13,573 -

13,573 -

Subtotal - U.S. Agency for International Development - Direct 13,573 -

Passed - Through:

Global Environment & Technology Foundation - Agency for International Development GETF-Last Mile 98.RD 302,234 -

302,234 -

PATH - USAID Foreign Assistance for Programs Overseas JHP.1926-01618574-SUB 98.001 16,447 -

Family Health International (FHI 360) - USAID Foreign Assistance for Programs Overseas PO19000572 98.001 50,000 -

Vital Strategies - USAID Foreign Assistance for Programs Overseas S2YALEMO 98.001 378,933 157,726

445,380 157,726

Subtotal - U.S. Agency for International Development - Pass

Through 747,614 157,726

Subtotal - U.S. Agency for International Development 761,187 157,726


II-57

Yale University



Federal 2019




Social Security Administration

Passed - Through:

Center for Retirement Research at Boston College - Social Security_Research and Demonstration 5002110-S3 96.007 16$ -$

16 -

Subtotal - Social Security Administration - Pass Through 16 -

Subtotal - Social Security Administration 16 -

Veterans Affairs

Passed - Through:

VA Boston Healthcare System - Department Of Veterans' Affairs VA241-17-D-0037PO#523C78197PKW 64.RD 16,697 -

Subtotal - Veterans Affairs - Pass Through 16,697 -

Subtotal - Veterans Affairs 16,697 -

Total Research & Development Cluster 578,653,871 57,314,322

II. Student Financial Assistance Cluster


Federal Supplemental Education Opportunity Grant Program

Direct:

Federal Supplemental Educational Opportunity Grants P007A170809 84.007 7,817 -

Federal Supplemental Educational Opportunity Grants P007A180809 84.007 1,374,230 -

Subtotal - Federal Supplemental Education Opportunity

Grant Program 1,382,047 -

Federal Work Study Program

Direct:

Federal Work-Study Program P033A180809 84.033 1,517,711 -

Subtotal - Federal Work Study Program 1,517,711 -

Federal Perkins Loan Program

Outstanding loans as of July 1, 2018 84.038 22,745,119 -

New loans issued during 2019 84.038 -

Administrative cost allowance 84.038 -

22,745,119 -

Subtotal - Federal Perkins Loan Program 22,745,119 -

Federal Pell Grant Program

Direct:

Federal Pell Grant Program P063P171232 84.063 121,458 -

Federal Pell Grant Program P063P181232 84.063 5,288,138 -

Subtotal - Federal Pell Grant Program 5,409,596 -


II-58

Yale University



Federal 2019



II. Student Financial Assistance Cluster

Federal Direct Student Loan Program

Direct:

Federal Direct Student Loan 84.268 74,709,588$ -$

74,709,588 -

Subtotal - Federal Direct Student Loan Program 74,709,588 -

Subtotal - Department of Education 105,764,061 -


Health Professions Student Loans, Including Primary Care Loans/Loans for Disadvantaged Students

Direct:

Primary Care Loan

Outstanding loans as of July 1, 2018 93.342 179,099 -

Loans for Disadvantaged Students


New loans issued during 2019 93.342 302,617

Health Professions Student Loans

Outstanding loans as of July 1, 2018 93.342 3,158 -

Subtotal - Health Professions Student Loans, Including

Primary Care Loans/Loans for Disadvantaged Students 1,552,990 -

Nursing Student Loan Program

Direct:

Nursing Student Loan


New loans issued during 2019 93.364 645,957 -

Subtotal - Nursing Student Loan Program 2,850,008 -

Subtotal - Department of Health & Human Services -

Direct 2,850,008 -

Total Student Financial Assistance Cluster 110,167,059 -

III. Highway Planning and Construction Cluster

Department of Transportation

Passed-through:

University of Massachusetts, Amherst - Highway Planning and Construction 19-01065 1 B 00 20.205 2,545 -

2,545 -

Subtotal - Department of Transportation - Pass Through 2,545 -

Total Highway Planning and Construction Cluster 2,545 -


II-59

Yale University



Federal 2019



IV. Other Federal Assistance

Department of Agriculture

Direct:

Cooperative Forestry Assistance 13-DG-11132544-404 10.664 38$ -$

Cooperative Forestry Assistance 17-DG-11132544-005 10.664 2,902 -



533,574 -

Subtotal - Department of Agriculture - Direct 533,574 -

Subtotal - Department of Agriculture 533,574 -


Direct:

National Resource Centers Program for Foreign Language and Area Studies or Foreign Language and

International Studies Program and Foreign Language and Area Studies Fellowship Program P015B140027-16 84.015 1,000 -

1,000 -

National Resource Centers Program P015A140030 84.015A 7,321 -

National Resource Centers Program P015A140027-15 84.015A 59,515 -

National Resource Centers Program P015A180117 84.015A 166,158 -

232,994 -

National Resource Centers Program P015B180082 84.015B 246,641 -

246,641 -

Social and Behavioral Context for Academic Learning R305A180293 84.305A 337,152 11,959

337,152 11,959

Gaining Early Awareness and Readiness for Undergraduate Programs P334A110229-17 84.334 47,711 -

47,711 -

Subtotal - Department of Education - Direct 865,498 11,959

Passed-through:

Michigan Public Health Institute - Social and Behavioral Context for Academic Learning X-64002-115-504200 84.305A 828 -

University of Virginia - Social and Behavioral Context for Academic Learning GM10170.158998 84.305A 67,891 -

68,719 -

Subtotal - Department of Education - Pass Through 68,719 -

Subtotal - Department of Education 934,217 11,959

Environmental Protection Agency

Passed-through:

National Audubon Society - Environmental Education Grants 110117 to 043019 66.951 974 -

National Audubon Society - Environmental Education Grants NE-00A00437-0 66.951 1,333 -

Subtotal - Environmental Protection Agency - Pass Through 2,307 -

Subtotal - Environmental Protection Agency 2,307 -


II-60

Yale University



Federal 2019





Direct:

Maternal and Child Health Federal Consolidated Programs 5 T20MC21953-07-00 93.110 7,853$ -$

7,853 -

Substance Abuse and Mental Health Services Projects of Regional and National Significance 1U79TI025362-01 93.243 5,838 -

Substance Abuse and Mental Health Services Projects of Regional and National Significance H79TI081659 93.243 70,629 -

Substance Abuse and Mental Health Services Projects of Regional and National Significance 1H79TI080561-01 93.243 77,709 11,674

Substance Abuse and Mental Health Services Projects of Regional and National Significance 3H79SM081775-01S1 93.243 206,843 106,218

Substance Abuse and Mental Health Services Projects of Regional and National Significance 5H79SM081775-02 93.243 402,184 213,554

Substance Abuse and Mental Health Services Projects of Regional and National Significance 6H79TI080736-02M002 93.243 636,482 92,424

1,399,685 423,870

Occupational Safety and Health Program 5T03OH008607-15-00 93.262 140,861 -

140,861 -

PPHF Geriatric Education Centers 5U1QHP28745-02-00 93.969 915,732 14,430

915,732 14,430

Subtotal - Department of Health & Human Services - Direct 2,464,131 438,300

Passed-through:

Harvard University - Department Of Health And Human Services 153157.5106486.0410 93.U01 6,896 -

Harvard University, School of Medicine - Department Of Health And Human Services 153083.5094277.0002 93.U02 7,127 -

University of Maryland - Department Of Health And Human Services 1903322 93.U03 14,168 -

Children's Hospital Boston - Department Of Health And Human Services GENFD0001565908 93.U04 17,082 -

Center for Social Innovation - Department Of Health And Human Services BRSS TACS 2 93.U05 17,097 -

Connecticut Dept. of Mental Health and Addiction Services - Department Of Health And Human Services TBD 93.U06 52,862 -

State of CT Dept of Children and Family Services - Department Of Health And Human Services 15DCF6738AA 93.U07 81,023 -

Connecticut Dept. of Mental Health and Addiction Services - Department Of Health And Human Services 18MHA1048 93.U08 191,116 -

387,371 -

Harvard School of Public Health - Prevention of Disease, Disability, and Death by Infectious Diseases 116532-5085653 93.084 130,441 -

130,441 -

State of CT Dept of Children and Family Services - Comprehensive Community Mental Health Services for

Children with Serious Emotional Disturbances (SED) P.S.15DCF6732AA 93.104 27,312 -

State of CT Dept of Children and Family Services - Comprehensive Community Mental Health Services for

Children with Serious Emotional Disturbances (SED) P.S. 19DCF6875AA 93.104 70,700 -

98,012 -


II-61

Yale University



Federal 2019






Icahn School of Medicine at Mount Sinai (ISMMS) - Maternal and Child Health Federal Consolidated Programs 0253-6548-4609 93.110 1,535$ -$

Icahn School of Medicine at Mount Sinai (ISMMS) - Maternal and Child Health Federal Consolidated Programs 0253-6547-4609 93.110 17,201 -

18,736 -

Griffin Hospital - Preventive Medicine and Public Health Residency Training Program, Integrative Medicine

Program, and National Center for Integrative Primary Healthcare 70118 93.117 8,602 -

8,602 -

University of Massachusetts - HIV-Related Training and Technical Assistance OSP2016095/WA00488701 93.145 14,174 -

14,174 -

Connecticut Children's Medical Center - Coordinated Services and Access to Research for Women, Infants, 18-185021-03 93.153 80,396 -

80,396 -

Cornell Scott-Hill Health Center - Substance Abuse and Mental Health Services_Projects of Regional and

National Significance 93018 93.243 15,728 -

American Academy of Addiction Psychiatry - Substance Abuse and Mental Health Services_Projects of Regional

and National Significance MFG-18-1 93.243 46,629 -

Child Health & Development Inst. of Connecticut - Substance Abuse and Mental Health Services_Projects of

Regional and National Significance Early Child NCTSN Evaluation 93.243 62,699 -

Yale New Haven Health Systems - Substance Abuse and Mental Health Services_Projects of Regional and

National Significance Pantolon-Project ASSERT- SAMHSA 93.243 108,927 -

233,983 -

Boston University - Public Health Training Centers Program 4500002512 93.249 82,274 -

Boston University - Public Health Training Centers Program 4500002761 93.249 119,135 -

201,409 -

University of Rochester - Occupational Safety and Health_Training Grants 417017G/UR FAO GR510601 93.263 274,840 -

274,840 -

Brigham and Women's Hospital - Health Systems Strengthening and HIV/AIDS Prevention, Care and Treatment 116337 93.266 718,275 -

718,275 -

State of Connecticut Department of Public Health FY19 Federal Vaccines 93.268 28,754 -

28,754 -


Testing Assistance UCHC7 - 116761669-A5 93.624 94,578 -

94,578 -

American College of Emergency Physicians (ACEP) - ACA-Transforming Clinical Practice Initiative: Support and

Alignment Networks (SANs) 1L1CMS331479-01-00 93.639 132,337 -

132,337 -

Southern Connecticut State University (SCSU) - PPHF: Racial and Ethnic Approaches to Community Health

Program financed solely by Public Prevention and Health Funds HHS076-3003 93.738 51,148 -

51,148 -

Connecticut Dept. of Mental Health and Addiction Services - Opioid STR 18MHA6019/1H79TI080253-01 93.788 95,361 -

95,361 -


II-62

Yale University



Federal 2019






City of New Haven - HIV Emergency Relief Project Grants A17-0481 93.914 -$ 36,768$

City of New Haven - HIV Emergency Relief Project Grants A19-0306 93.914 413,841 -

City of New Haven - HIV Emergency Relief Project Grants A18-0207 93.914 1,188,746 -

1,602,587 36,768

State of CT Dept of Public Health - HIV Prevention Activities_Health Department Based 2019-0142 93.940 20,077 -

20,077 -

Liberty Community Services, Inc. - Block Grants for Prevention and Treatment of Substance Abuse LCS Van Service 93.959 32,260 -

32,260 -


Through 4,223,341 36,768

Subtotal - Department of Health & Human Services 6,687,472 475,068

Department of Interior

Direct:

Cultural and Paleontological Resources Management L14AC00270 15.224 3,206 -

3,206 -

Native American Graves Protection and Repatriation Act P17AP00294 15.922 11,652 -

Native American Graves Protection and Repatriation Act P17AP00317 15.922 29,948 -

41,600 -

Preservation of Japanese American Confinement Sites P17AP00274 15.933 23,052 -

23,052 -

Subtotal - Department of Interior - Direct 67,858 -

Subtotal - Department of Interior 67,858 -

Department of Justice

Direct:

National Institute of Justice Research, Evaluation, and Development Project Grants 2013-ZD-CX-0001 16.560 17,334 13,772

17,334 13,772

Subtotal - Department of Justice - Direct 17,334 13,772

Passed-through:

International Association of Chiefs of Police - Community-Based Violence Prevention Program 2017-PB-FX-K002 16.123 89,946 .

89,946 -

International Association of Chiefs of Police - Crime Victim Assistance/Discretionary Grants 2016-MU-GX-K026 16.582 1,590 -

1,590 -

Subtotal - Department of Justice - Pass Through 91,536 -

Subtotal - Department of Justice 108,870 13,772


II-63

Yale University



Federal 2019




Institute of Museum and Library Services

Direct:

Museums for America MA-30-18-0459-18 45.301 913$ -$

Museums for America MA-30-17-0390-17 45.301 31,106 -

32,019 -

Subtotal - Institute of Museum and Library Services - Direct 32,019 -

Subtotal - Institute of Museum and Library Services 32,019 -

National Endowment for the Arts

Direct:

Promotion of the Arts Grants to Organizations and Individuals 1847241-32-19 45.024 30,000 -

30,000 -

Subtotal - Endowment for the Arts - Direct 30,000 -

Passed-through:

Arts Midwest - Promotion of the Arts_Grants to Organizations and Individuals 00021951 45.024 25,000 -

25,000 -

Subtotal - National Endowment for the Arts 55,000 -

National Endowment for the Humanities

Direct:

Promotion of the Humanities_Research RQ-230464-15 45.161 33,157 -

Promotion of the Humanities Research RZ-249831-16 45.161 68,255 -

Promotion of the Humanities Research RQ-230397-15 45.161 74,478 -

Promotion of the Humanities Research RQ-249929-16 45.161 189,684 -

365,574 -

Subtotal - Endowment for the Humanities - Direct 365,574 -

Passed-through:

CalPoly Corporation - Laura Bush 21st Century Librarian Program 2018-12-45167 45.313 13,357 -

13,357 -

Subtotal - Endowment for the Humanities - Pass Through 13,357 -

Subtotal - Endowment for the Humanities 378,931 -


II-64

Yale University



Federal 2019




U.S. Agency for International Development

Passed-through:

National Academy of Sciences - Agency for International Development 2000009598 98.U09 90,605$ -$

90,605 -

Subtotal - U.S. Agency for International Development - Pass

Through 90,605 -

Subtotal - U.S. Agency for International Development 90,605 -

Total Other Federal Assistance 8,890,853 500,799

V. CCDF Cluster


Passed-through:

Michigan State University - Child Care Mandatory and Matching Funds of the Child Care and Development Fund RC107742-YALE 93.596 39,517 -

Michigan State University - Child Care Mandatory and Matching Funds of the Child Care and Development Fund RC108982-YALE 93.596 62,620 -

102,137 -


Through 102,137 -

Total CCDF Cluster 102,137 -

Total Federal Expenditures 697,816,465$ 57,815,121$


II-65

Yale University

Notes to Schedule of Expenditures of Federal Awards Year Ended June 30, 2019

II-66

1. Significant Accounting Policies Basis of Presentation The Schedule of Expenditures of Federal Awards is a statement, prepared on the accrual basis of accounting, of Federal expenditures related to the current reporting period. It does not purport to present the results of operations or the net income or loss for the period as would a statement of income or a statement of revenues and expenditures. Federal expenditures for direct and indirect costs are recognized using the cost principles contained in 2 CFR Part 220, Cost Principles for Educational Institutions except for awards received after December 26, 2014 which are subject to 2 CFR Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. Under these cost principles, certain types of expenditures are not allowable or are limited as to reimbursement. Facilities and Administrative Rates Expenditures include a portion of costs associated with general University activities (facilities and administrative) which are allocated to federal awards under negotiated formulas commonly referred to as facilities and administrative rates. The University applies its predetermined approved facilities and administrative rate when charging indirect costs to federal awards rather than the 10% de minimis cost rate as described in Section 200.414 of the Uniform Guidance.

Full CFDA numbers and pass-through numbers are included when available.

2. Student Loan Programs The following schedule presents outstanding loan balances for federal student loan programs and federally guaranteed loan programs. These programs are administered directly by the University and balances and transactions relating to these programs are included in the University’s consolidated financial statements. Loans outstanding at the beginning of the year, loans made during the year, and the administrative cost allowance (if applicable) are included in the federal expenditures presented in the Schedule of Expenditures of Federal Awards. The principal balance of loans outstanding at June 30, 2019 consists of:

CFDA Year End

Loan Balance

Perkins 84.038 $ 18,239,799

Primary Care Loan (PCL) and Health Professions Student Loans (HPSL) 93.342 152,381

Nursing Student Loan (NSL) 93.364 2,443,873

Loans for Disadvantaged Students (LDS) 93.342 1,255,665

$ 22,091,718

3. Noncash Assistance

The University received $28,754 of federal noncash assistance as a vaccinating provider through the State of Connecticut Department of Public Health in the form of vaccinations from the U.S. Center for Disease Control and Prevention (CFDA # 93.268). The assessed value was provided by the State of Connecticut Department of Public Health. This information is included in the Schedule of Expenditures of Federal Awards.

PART III

REPORTS ON INTERNAL CONTROL AND COMPLIANCE


Report of Independent Auditors on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in

Accordance with Government Auditing Standards To the President and Fellows of Yale University: We have audited, in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States, the consolidated financial statements of Yale University and its subsidiaries (the “University”), which comprise the consolidated statement of financial position as of June 30, 2019, and the related consolidated statement of activities and of cash flows for the year then ended, and the related notes to the financial statements, and have issued our report thereon dated October 22, 2019. Internal Control Over Financial Reporting In planning and performing our audit of the financial statements, we considered the University’s internal control over financial reporting (“internal control”) to determine the audit procedures that are appropriate in the circumstances for the purpose of expressing our opinion on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of the University's internal control. Accordingly, we do not express an opinion on the effectiveness of the University's internal control. A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control such that there is a reasonable possibility that a material misstatement of the entity's financial statements will not be prevented, or detected and corrected on a timely basis. A significant deficiency is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance. Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control that might be material weaknesses or significant deficiencies. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weaknesses. However, material weaknesses may exist that have not been identified. Compliance and Other Matters As part of obtaining reasonable assurance about whether the University’s financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts and grant agreements, noncompliance with which could have a direct and material effect on the determination of financial statement amounts. However, providing an opinion on compliance with those provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards.

III-1

Purpose of this Report

The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose.

October 22, 2019

III-2

mgannon003

cox


Report of Independent Auditors on Compliance with Requirements That Could Have a Direct and Material Effect on Each Major Program and on Internal

Control Over Compliance in Accordance with the Uniform Guidance

To the President and Fellows of Yale University:

Report on Compliance for Each Major Federal Program

We have audited Yale University and its subsidiaries’ (the “University”) compliance with the types of compliance requirements described in the OMB Compliance Supplement that could have a direct and material effect on each of the University’s major federal programs for the year ended June 30, 2019. The University’s major federal programs are identified in the summary of auditor's results section of the accompanying schedule of findings and questioned costs.

Management’s Responsibility

Management is responsible for compliance with federal statutes, regulations and the terms and conditions of its federal awards applicable to its federal programs.

Auditors’ Responsibility

Our responsibility is to express an opinion on compliance for each of the University’s major federal programs based on our audit of the types of compliance requirements referred to above. We conducted our audit of compliance in accordance with auditing standards generally accepted in the United States of America; the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States; and the audit requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Those standards and the Uniform Guidance require that we plan and perform the audit to obtain reasonable assurance about whether noncompliance with the types of compliance requirements referred to above that could have a direct and material effect on a major federal program occurred. An audit includes examining, on a test basis, evidence about the University’s compliance with those requirements and performing such other procedures as we considered necessary in the circumstances.

We believe that our audit provides a reasonable basis for our opinion on compliance for each major federal program. However, our audit does not provide a legal determination of the University’s compliance.

Opinion on Each Major Federal Program

In our opinion, Yale University and its subsidiaries’ complied, in all material respects, with the types of compliance requirements referred to above that could have a direct and material effect on each of its major federal programs for the year ended June 30, 2019.

III-3

Other Matters

The results of our auditing procedures disclosed instances of noncompliance, which are required to be reported in accordance with the Uniform Guidance and which are described in the accompanying schedule of findings and questioned costs as items 2019-001 and 2019-002. Our opinion on each major federal program is not modified with respect to these matters.

The University's response to the noncompliance findings identified in our audit is described in the accompanying corrective action plan. The University’s response was not subjected to the auditing procedures applied in the audit of compliance and, accordingly, we express no opinion on the response.

Report on Internal Control Over Compliance

Management of the University is responsible for establishing and maintaining effective internal control over compliance with the types of compliance requirements referred to above. In planning and performing our audit of compliance, we considered the University’s internal control over compliance with the types of requirements that could have a direct and material effect on each major federal program to determine the auditing procedures that are appropriate in the circumstances for the purpose of expressing an opinion on compliance for each major federal program and to test and report on internal control over compliance in accordance with the Uniform Guidance, but not for the purpose of expressing an opinion on the effectiveness of internal control over compliance. Accordingly, we do not express an opinion on the effectiveness of the University's internal control over compliance.

A deficiency in internal control over compliance exists when the design or operation of a control over compliance does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, noncompliance with a type of compliance requirement of a federal program on a timely basis. A material weakness in internal control over compliance is a deficiency, or combination of deficiencies, in internal control over compliance, such that there is a reasonable possibility that material noncompliance with a type of compliance requirement of a federal program will not be prevented, or detected and corrected, on a timely basis. A significant deficiency in internal control over compliance is a deficiency, or a combination of deficiencies, in internal control over compliance with a type of compliance requirement of a federal program that is less severe than a material weakness in internal control over compliance, yet important enough to merit attention by those charged with governance.

Our consideration of internal control over compliance was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control over compliance that might be material weaknesses or significant deficiencies. We did not identify any deficiencies in internal control over compliance that we consider to be material weaknesses. However, material weaknesses may exist that have not been identified.

The purpose of this report on internal control over compliance is solely to describe the scope of our testing of internal control over compliance and the results of that testing based on the requirements of the Uniform Guidance. Accordingly, this report is not suitable for any other purpose.

December 17, 2019

III-4

mgannon003

cox

PART IV

SCHEDULE OF FINDINGS AND QUESTIONED COSTS

Yale University

Schedule of Findings and Questioned Costs For the Year Ended June 30, 2019

IV-1

Section I – Summary of Auditor’s Results

Financial Statements

Type of auditor’s report issued: Unmodified

Internal control over financial reporting:

• Material weakness(es) identified? _____ yes x no

• Significant deficiency(ies) identified that arenot considered to be material weaknesses? _____ yes x none reported

Noncompliance material to financial statements noted? _____ yes x no

Federal Awards

Internal control over major programs:

• Material weakness(es) identified? _____ yes x no

• Significant deficiency(ies) identified that arenot considered to be material weaknesses? _____ yes x none reported

Type of auditor’s report issued on compliance for major programs: Unmodified

Any audit findings disclosed that are required to be reported in accordance with Section 200.516(a) of the Uniform Guidance? x yes no

Identification of major programs:

CFDA Number(s) Name of Federal Program or Cluster

Various Research and Development Cluster

93.243 Substance Abuse and Mental Health Services Projects of Regional and National Significance

Dollar threshold used to distinguish between type A and type B programs:

$3,000,000

Auditee qualified as low-risk auditee? x yes no

Yale University


IV-2

Section II – Financial Statement Findings

No findings were identified related to the financial statements that are required to be reported.

Yale University


IV-3

Section III – Federal Financial Assistance Findings and Questioned Costs

Finding No. 2019-001 – Allowability Award Information Cluster: Research & Development (R&D) Grantor: National Institutes of Health (NIH) Award Name: Yale Diabetes Research Center Award Year and Award Number: March 1, 2018 – January 31, 2023 (AWD0001157) CFDA Number: 93.847 Diabetes, Digestive, and Kidney Diseases Extramural Research Criteria 2 CFR 200.405 states that a cost is allocable to a particular Federal award or other cost objective if the goods or services involved are incurred specifically for the Federal award. Additionally, 2 CFR 200.423 states that costs of alcoholic beverages are unallowable. Condition We selected 60 transactions for allowability testing within the R&D cluster and noted one selection where a meal, totaling $410, which included a partial charge for alcohol, was charged to the award for a guest speaker and other University personnel. The only portion of the charge that was allowable under the grant was the speaker’s meal, however, the University was unable to identify which portion of the meal related to the guest speaker. The other University personnel that attended the dinner were not directly involved in the grant. As such their meals were unallowable. Questioned Costs $410 Cause An itemized receipt from the dinner was reviewed and approved, however, both individuals inadvertently overlooked during the review that the cost of the meal should not be charged for those not directly involved in the award. Effect Deficiencies in the controls surrounding compliance over allowability could result in non-compliance with the federal awarding agency and potential reduction in funding in future years. Recommendation Given that this was due to human error and an isolated incident, we recommend that the University continue to provide additional training to staff on what to look for during their reviews. Additionally, the unallowable costs should be removed from the award.

Yale Finance

IV- 4

PO Box 208372 New Haven CT 06520-8372

T 203 432-5524 F 203 432-5577

www.yale.edu

Courier

25 Science Park

150 Munson Street, 6th Floor

New Haven CT 06511

Finding No. 2019-001 – Allowability

Views of Responsible Officials and Corrective Action Plan

The University concurs with the finding. The alcohol charged to the award was the result of human error. The meal in question included a meal for a guest speaker, allowable based on the approved award budget, and six additional dinners for Yale faculty members. The department is unable to determine which meal was ordered by the guest speaker and therefore, Yale removed the total questioned cost in its entirety ($410).

It should be noted that departments are responsible for ensuring that staff are appropriately trained by taking a series of sponsored projects administration classes, one of which addresses allowable costs. University staff are knowledgeable regarding sponsor terms and conditions supported by federal regulations. Additionally, the University has proper controls in place to ensure transactions are not reviewed and approved by a single individual.

Once informed of the error, the responsible department, held an internal training session for its staff. The session occurred in September 2019 and its purpose was to reinforce the importance of a thorough review of all sponsored award transactions in accordance with the sponsored award’s terms and conditions and Yale policy and prior to charging the sponsored award.

Lastly, the University believes its current training program sufficiently prepares staff regarding their administration of sponsored awards. However, as a result of this finding, the University will issue a reminder to staff before the end of the calendar year regarding the importance of thorough transaction reviews and reinforcing that all transactional reviews must be performed in concert with the applicable terms and conditions of the sponsored award and Yale policy.

Contact Person: Lisa Mosley (203- 785-3680) Executive Director, Office of Sponsored Projects

Yale University


IV-5

Section III – Federal Financial Assistance Findings and Questioned Costs, Continued

Finding No. 2019-002 – General Terms and Provisions – Acknowledgement of Federal Funding in Publications Award Information Cluster: Research & Development (R&D) Grantor: National Institutes of Health (NIH) Award Name and Award Number: Systems analysis of phenotypic switch in control of cancer invasion (AWDA10781), Structural Bases of the Functions of RNA-Protein Machines (AWDA10358) Award Year: August 8, 2016 – July 31, 2019 (AWDA10781), July 1, 2015 – March 31, 2020 (AWDA10358) CFDA Number: 93.397 Cancer Center Support Grants (AWDA10781), 93.859 Biomedical Research and Research Training (AWDA10358) Criteria General Terms – Publications Each publication, press release, or other document about research supported by the NIH award must include an acknowledgement of NIH award support and a disclaimer such as "Research reported in this publication was supported by the National Institute of General Medical Sciences of the National Institutes of Health under Award Number 5P01GM022778 (AWDA10358) and 1U54CA209992 (AWDA10781). The content is solely the responsibility of the authors and does not necessarily represent the official views of the National Institutes of Health.” Condition We selected 60 allowability charges within the R&D cluster and noted two selections where the federal funding sources were not cited in accordance with the general term restrictions in the grant agreements and did not include the disclaimer included within the award agreement (AWDA10358 and AWDA10781). The general terms were as follows:

a) AWDA10358 - The PI published one paper during the award year. In the publication the following

was included as a source of funding: “This work was supported by National Institutes of Health

Grant GM022778.” As such, all of the required disclosures were not made in the publications.

b) AWDA10781 - The PI published one paper during the award year. In the publication the following

was included as a source of funding: “Yale Cancer Center Co-Pilot Grant {U54CA193461 to R.F.,

U54CA209992, Sub-Project ID: 7297 to R.F,}.” As such, all of the required disclosures were not

made in the publications.

Cause Office of Sponsored Projects (“OSP”) notified the PIs and the department business offices (“DBO”) of the awards’ general terms and restrictions. This notification was accomplished via email with a copy of the Notice of Award (“NOA”) attached to the email. OSP’s notification to the PI and DBO is part of its award set-up standard operating procedure. Due to inadvertent oversight, the PIs responsible for the awards did not comply with the notification requirements.

Yale University


IV-6

Section III – Federal Financial Assistance Findings and Questioned Costs, Continued

Effect Deficiencies in the controls surrounding compliance over special terms and provisions could result in non-compliance with the federal awarding agency and potential reduction in funding in future years. Recommendation We recommend that the University review and enhance the controls in place over the tracking and acknowledgement of federal funding in publications. In addition, we recommend that the University periodically remind PIs of the importance of citing funding sources within publications.

Yale Finance

IV-7

PO Box 208372 New Haven CT 06520-8372

T 203 432-5524 F 203 432-5577

www.yale.edu

Courier

25 Science Park

150 Munson Street, 6th Floor

New Haven CT 06511

Finding No. 2019-002 – General Terms and Provisions – Acknowledgement of Federal Funding in Publications

Views of Responsible Officials and Corrective Action Plan

The University did properly acknowledge the funding source in both instances and concurs that a disclaimer statement, as required, was not included.

The University believes it adequately advises faculty of the need to be familiar with the terms & conditions of their awards. All faculty are required to take an online class, Sponsored Projects Administration for Faculty, which includes a section on the importance of knowing the awards terms and conditions. Additionally, faculty receive an email notification from the Office of Sponsored Projects for each new award/supplement advising faculty to familiarize themselves with the terms and conditions of the award. Lastly, during February 2019 the Office of the Vice Provost for Research issued a memorandum that included advising faculty of their responsibility to comply with sponsor acknowledgement requirements when issuing statements, press releases, and other documents.

The University will continue with its current process of notifying faculty the acknowledgement requirement and will review current training to ensure this requirement is adequately reference. Additionally, the University will include another reminder in an upcoming communication that will be issued by the end of the calendar year.

Contact Person: Lisa Mosley (203- 785-3680) Executive Director, Office of Sponsored Projects

Yale University

Summary Schedule of the Status of Prior Audit Findings For the Year Ended June 30, 2019

IV-8

Finding No. 2018-001 – Special Terms and Provisions – Acknowledgement of Federal Dual Funding in Publications and Other Communications Award Information Cluster: Research & Development (R&D) Agency: National Institute of Health (NIH) CFDA Number: 93.077 Family Smoking Prevention and Tobacco Control Act Regulatory Research (AWD0000329) and 93.172 Human Genome Research (AWDA10956) Award Year: September 1, 2017-August 31, 2018 (AWD0000329) and December 1, 2016-November 30, 2017 (AWDA10956) Condition PwC selected 25 special tests and provisions within the R&D cluster and noted two selections where the federal funding sources were not cited in accordance with the special terms in the grant agreements (AWDA10956 and AWD0000329). In both instances, the grants had dual funding agencies. The special tests were as follows:

a) AWDA10956 - This award is co-funded by the National Heart, Lung and Blood Institute (NHLBI)

and the National Human Genome Research Institute (NHGRI) in the amount of $440,000 Total

Costs. Any paper published under the auspices of this award must cite the funding support of all

institutes.

The principal investigator (PI) published one paper during the award year. In the publication, the

support from the NHGRI was cited but the support from the NHLBI was omitted.

b) AWD0000329 - For each publication that results from research supported under this award, the

Recipient must include an acknowledgement of FDA and NIH grant support and a disclaimer

stating the following: “Research reported in this publication was supported by the NIDA/NIH and

FDA Center for Tobacco Products (CTP). The content is solely the responsibility of the authors

and does not necessarily represent the official views of the NIH or the Food and Drug

Administration.”

There were 40 published articles associated with this award during the year. 12 of the

published articles did not reference either the FDA as a funding source or include the

disclaimer as outlined in the special term.

Recommendation PwC recommended that the University review and enhance the controls in place over the tracking and acknowledgement of federal funding in publications. In addition, PwC recommended that the University periodically remind PIs to review for multiple funding sources through trainings and forums provided throughout the year. Status Management completed the actions described in the response to finding 2018-001 in the June 30, 2018 Uniform Guidance report. A communication reminding faculty of the requirement to cite all sources of federal support in publications was sent from the Vice Provost for Research in February 2019.

Yale University New Haven, Connecticut · Yale University Contents to Report on Federal Financial...

Documents

Transcript of Yale University New Haven, Connecticut · Yale University Contents to Report on Federal Financial...