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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, 2016

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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, 2016

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Yale University Contents to Report on Federal Financial Assistance Programs in Accordance with the OMB Uniform Guidance June 30, 2016

Page(s)

PART I – FINANCIAL STATEMENTS

Report of Independent Auditors I-1 – I-2

Financial Statements

Statement of Financial Position June 30, 2016 with comparative totals for June 30, 2015 I-3

Statement of Activities for the year ended June 30, 2016 with comparative totals for the year ended June 30, 2015 I-4

Statement of Cash Flows for the year ended June 30, 2016 with comparative totals for the year ended June 30, 2015 I-5

Notes to Financial Statements I-6 – I-37

PART II – SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS

Schedule of Expenditures of Federal Awards II-1 – II-71

Notes to Schedule of Expenditures of Federal Awards II-72

PART III – REPORTS ON INTERNAL CONTROL AND COMPLIANCE

Independent Auditor’s Report 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

Independent Auditor’s Report 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 OMB 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-4

Management’s Views and Corrective Action Plan IV-5

Summary Schedule of the Status of Prior Audit Findings IV-6

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PART I

FINANCIAL STATEMENTS

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Yale University Financial Statements June 30, 2016 and 2015

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Independent Auditor’s Report

To the President and Fellows ofYale University:

Report on the Consolidated Financial Statements

We have audited the accompanying consolidated financial statements of Yale University (the“University”), which comprise the consolidated statement of financial position as of June 30, 2016 and2015 and the related consolidated statements of activities for the year ended June 30, 2016 and of cashflows for the years ended June 30, 2016 and 2015.

Management’s Responsibility for the Consolidated Financial Statements

Management is responsible for the preparation and fair presentation of the consolidated financialstatements 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 preparationand 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 ofAmerica. Those standards require that we plan and perform the audit to obtain reasonable assuranceabout whether the consolidated financial statements are free from material misstatement.

An audit involves performing procedures to obtain audit evidence about the amounts and disclosures inthe consolidated financial statements. The procedures selected depend on our judgment, including theassessment of the risks of material misstatement of the consolidated financial statements, whether due tofraud or error. In making those risk assessments, we consider internal control relevant to the University’spreparation and fair presentation of the consolidated financial statements in order to design auditprocedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion onthe effectiveness of the University’s internal control. Accordingly, we express no such opinion. An auditalso includes evaluating the appropriateness of accounting policies used and the reasonableness ofsignificant accounting estimates made by management, as well as evaluating the overall presentation ofthe consolidated financial statements. We believe that the audit evidence we have obtained is sufficientand appropriate to provide a basis for our audit opinion.

Opinion

In our opinion, the consolidated financial statements referred to above present fairly, in all materialrespects, the consolidated financial position of the University as of June 30, 2016 and 2015 and thechanges in its net assets for the year ended June 30, 2016 and its cash flows for the years ended June 30,2016 and 2015 in accordance with accounting principles generally accepted in the United States ofAmerica.

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Other Matters

We previously audited the consolidated statement of financial position as of June 30, 2015, and the relatedconsolidated statements of activities and cash flows for the year then ended (not presented herein), and inour report dated October 21, 2015, we expressed an unmodified audit opinion on those consolidatedfinancial statements. In our opinion, the information set forth in the accompanying summarized financialinformation as of June 30, 2015 and for the year then ended is consistent, in all material respects, with theaudited 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 statementsas a whole. The accompanying schedule of expenditures of federal Awards for the year ended June 30,2016 is presented for purposes of additional analysis as required by Title 2 U.S. Code of FederalRegulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirementsfor Federal Awards (Uniform Guidance) and is not a required part of the consolidated financialstatements. Such information is the responsibility of management and was derived from and relatesdirectly to the underlying accounting and other records used to prepare the consolidated financialstatements. The information has been subjected to the auditing procedures applied in the audit of theconsolidated financial statements and certain additional procedures, including comparing and reconcilingsuch information directly to the underlying accounting and other records used to prepare the consolidatedfinancial statements or to the consolidated financial statements themselves, and other additionalprocedures in accordance with auditing standards generally accepted in the United States of America. Inour opinion, the schedule of expenditures of federal awards is fairly stated, in all material respects, inrelation to the consolidated financial statements as a whole.

Other Reporting Required by Government Auditing Standards

In accordance with Government Auditing Standards, we have also issued our report dated October 21,2016 on our consideration of the University’s internal control over financial reporting and on our tests ofits compliance with certain provisions of laws, regulations, contracts and grant agreements and othermatters for the year ended June 30, 2016. The purpose of that report is to describe the scope of ourtesting of internal control over financial reporting and compliance and the results of that testing and not toprovide an opinion on internal control over financial reporting or on compliance. That report is anintegral part of an audit performed in accordance with Government Auditing Standards in consideringthe University's internal control over financial reporting and compliance.

October 21, 2016

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Yale University Consolidated Statement of Financial Positionas of June 30, 2016 and 2015 ($ in thousands)

2016 2015

Assets:

Cash and cash equivalents $ 190,728 $ 288,077

Accounts receivable, net 223,860 199,382

Contributions receivable, net 567,946 508,615

Notes receivable 127,078 131,413

Investments, at fair value 30,910,832 31,192,504

Other assets 157,391 141,408

Land, buildings and equipment, net of accumulated depreciation 4,779,419 4,510,303

Total assets $ 36,957,254 $ 36,971,702

Liabilities:

Accounts payable and accrued liabilities $ 404,797 $ 359,901

Advances under grants and contracts and other deposits 123,351 101,932

Other liabilities 1,631,524 1,160,876

Liabilities under split-interest agreements 129,252 114,606

Bonds and notes payable 3,533,672 3,557,822

Liabilities associated with investments 4,565,218 4,259,954

Advances from Federal government for student loans 31,008 31,438

Total liabilities $ 10,418,822 $ 9,586,529

Net Assets:

Unrestricted $ 3,677,192 $ 4,516,460

Temporarily restricted 18,856,357 19,094,981

Permanently restricted 3,664,811 3,486,158

Net assets: Yale University 26,198,360 27,097,599

Net assets: non-controlling interests 340,072 287,574

Total net assets $ 26,538,432 $ 27,385,173

Total liabilities and net assets $ 36,957,254 $ 36,971,702

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

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Yale University Consolidated Statement of Activitiesfor the year ended June 30, 2016 with comparative totals for the year ended June 30, 2015 ($ in thousands)

Temporarily PermanentlyUnrestricted Restricted Restricted 2016 2015

OperatingRevenues and reclassifications: Net tuition, room and board $ 323,253 $ - $ - $ 323,253 $ 315,772 Grant and contract income, primarily for research and training 719,525 - - 719,525 673,731 Medical services income 823,132 - - 823,132 786,541 Contributions 28,650 152,146 - 180,796 263,019 Allocation of endowment spending from financial capital 350,108 803,258 - 1,153,366 1,082,476 Other investment income 57,873 8,577 - 66,450 77,219 Other income 183,451 - - 183,451 183,197 Total revenues 2,485,992 963,981 - 3,449,973 3,381,955 Net assets released from restrictions 934,218 (934,218) - - - Total revenues and reclassifications 3,420,210 29,763 - 3,449,973 3,381,955

Expenses: Salaries and wages 1,576,953 - - 1,576,953 1,507,110 Employee benefits 544,960 - - 544,960 510,307 Depreciation, amortization and interest 331,140 - - 331,140 345,267 Other operating expenditures 911,153 - - 911,153 824,924 Total expenses 3,364,206 - - 3,364,206 3,187,608 Increase in net assets from operating activities 56,004 29,763 - 85,767 194,347

Non-operating Contributions 1,750 98,317 154,313 254,380 138,521 Total endowment return 124,284 626,792 2,154 753,230 2,579,415 Allocation of endowment spending to operations (190,087) (966,204) 2,925 (1,153,366) (1,082,476) Other investment (loss) (434,825) (277) - (435,102) (119,759) Change in funding status of defined benefit plans (393,574) - - (393,574) (119,262) Other (decreases) increases (26,167) (3,668) 19,261 (10,574) (4,720) Net assets released from restrictions 23,347 (23,347) - - - (Decrease) increase in non-operating activities (895,272) (268,387) 178,653 (985,006) 1,391,719 Total (decrease) increase in net assets - Yale University (839,268) (238,624) 178,653 (899,239) 1,586,066 Change in non-controlling interests 52,498 - - 52,498 (1,726) Total (decrease) increase in net assets (786,770) (238,624) 178,653 (846,741) 1,584,340

Net assets, beginning of year 4,804,034 19,094,981 3,486,158 27,385,173 25,800,833 Net assets, end of year $ 4,017,264 $ 18,856,357 $ 3,664,811 $ 26,538,432 $ 27,385,173

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

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2016 2015

Operating activities:

Change in net assets (846,741)$ 1,584,340$

Adjustments to reconcile change in net assets to net cash

used in operating activities:

Depreciation and amortization 260,746 263,590

Unrealized loss on other investments 420,667 74,129

Net endowment investment gain (210,958) (2,256,615)

Change in non-controlling interests (52,498) 1,726

Non-operating contributions (254,380) (138,521)

Contributed securities (101,424) (54,112)

Proceeds from sale of donated securities 15,381 11,255

Other adjustments 32,116 (2,891)

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

Accounts receivable (24,478) (25,723)

Contributions receivable (17,949) (108,092)

Other operating assets 6,717 5,340

Accounts payable and accrued expenses (3,082) 1,288

Advances under grants and contracts and other deposits 21,419 9,044

Other liabilities 470,648 205,172

Net cash used in operating activities (283,816) (430,070)

Investing activities:

Student loans repaid 17,462 15,549

Student loans granted (12,479) (16,467)

Purchases related to capitalized software costs and other assets (14,239) (24,576)

Proceeds from sales and maturities of investments 8,790,974 11,838,554

Purchases of investments (8,361,249) (11,455,465)

Purchases of land, buildings and equipment (532,845) (331,172)

Net cash(used in) provided by investing activities (112,376) 26,423

Financing activities:

Proceeds from restricted contributions 212,998 172,337

Proceeds from sale of contributed securities restricted for endowment 86,043 42,857

Contributions received for split-interest agreements 23,842 10,373

Payments made under split-interest agreements (16,453) (13,126)

Proceeds from long-term debt 300,000 250,000

Repayments of long-term debt (308,276) (6,325)

Interest earned and advances from Federal government for student loans 689 693

Net cash provided by financing activities 298,843 456,809

Net (decrease) increase in cash and cash equivalents (97,349) 53,162

Cash and cash equivalents, beginning of year 288,077 234,915

Cash and cash equivalents, end of year 190,728$ 288,077$

Yale University Consolidated Statement of Cash Flowsfor the years ended June 30, 2016 and 2015 ($ in thousands)

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

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Yale University Notes to Consolidated Financial Statements

1. Significant Accounting Policies

a. GeneralYale University ("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.

The University has been granted tax exempt status under section 501(c)(3) of the Internal Revenue Code.

b. Basis of PresentationThe 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 unrestricted, temporarily restricted and permanently restricted and serve as the foundation of the accompanying consolidated financial statements. Brief definitions of the three net asset classes are presented below:

Unrestricted Net Assets - Net assets derived from tuition and other institutional resources that are not subject to explicit donor-imposed restrictions. Unrestricted net assets also include gains on board designated funds functioning as endowment.

Temporarily Restricted Net Assets - Net assets subject to explicit donor-imposed restrictions on the expenditure of contributions or income and gains on contributed assets and net assets from endowments not yet appropriated for spending by the governing board. When temporary

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restrictions expire due to the passage of time or the incurrence of expenditures that fulfill the donor-imposed restrictions, temporarily restricted net assets are reclassified to unrestricted net assets. Temporarily restricted net assets are established with restricted contributions from donors and restricted income generated from endowments. In addition, temporarily restricted net assets include restricted contributions from donors classified as funds functioning as endowment. 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.

Permanently Restricted Net Assets - Permanently restricted net assets include donor restricted endowments and student loan funds.

The University records as permanently restricted net assets the original amount of gifts which donors have given to be maintained in perpetuity (“donor restricted endowment funds”). For financial reporting purposes, all subsequent accumulated gains on such donor restricted endowment funds that are not classified as permanently restricted net assets are recorded as temporarily restricted net assets until appropriated for expenditure by the Corporation through the application of the endowment spending policy. The Corporation understands its policies on retaining and spending from endowment to be consistent with the requirements of Connecticut law.

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, investment returns and other activities related to endowment, long term benefit plan obligation funding changes, student loan net assets and contributions related to land, buildings and equipment that are not part of the University's operating activities.

c. Cash and Cash EquivalentsCash 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 $484.6 million and $412.8 million at June 30, 2016 and 2015, respectively. Cash and cash equivalents do not include cash balances held as collateral.

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

2016 2015Cash paid during the year for:

Interest 129,912$ 143,313$

Noncash investing activities:Land, buildings and equipment purchases payable to vendor 12,509$ 9,760$

d. InvestmentsFair 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. Marketprice data is generally obtained from relevant exchange or dealer markets. • Level 2 – Inputs, other than the quoted prices in active markets, that are observableeither 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 in which there is little or no market data, requiring theUniversity 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 markettransactions involving identical or comparable assets or liabilities; and • Income approach – Techniques to convert future amounts to a single present amountbased 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.

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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 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 in connection with resell agreements are 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 are collateralized by investments in asset backed, corporate debt, federal agency and foreign debt securities. Collateral market 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 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 market value. An administrative charge is assessed against the funds when distributed.

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 market value two years prior. The spending amount determined by the formula is adjusted for inflation and constrained so that the calculated rate is at least 4.0% and not more than 6.5% of the Endowment’s market value. The actual rate of spending for 2016 and 2015, when measured against the previous year's June 30th endowment market value, was 4.5% for both years.

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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 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 the University 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 EquipmentLand, 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 AssetsCapitalized software costs are included in other assets in the consolidated statement of financial position. 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. CollectionsCollections 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 operating expenses in the University’s consolidated financial statements in the period in which the items are acquired.

h. Split-Interest AgreementsThe 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 revenues for charitable gift annuities and charitable remainder trusts are recognized at the date the agreements are established. In addition, the fair value of the estimated

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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 AssetsThe 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.

j. Net Tuition, Room and BoardTuition, room and board revenue is generated from an enrolled student population of approximately 12,400. The undergraduate population of approximately 5,500 is a diverse group attracted from across the United States and from many foreign countries. Foreign students account for approximately 11% (unaudited) of the undergraduate population. Net tuition, room and board revenue from undergraduate enrollment represents approximately 64.4% of total net tuition, room and board revenue in 2016.

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 $280.6 million and $262.0 million in 2016 and 2015, respectively.

k. ContributionsUnconditional 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. Conditional promises to give are not recorded as support until such time as the conditions are substantially met.

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l. Grant and Contract IncomeThe University receives grant and contract income from governmental and private sources. In 2016 and 2015, grant and contract income received from the Federal government totaled $533.7 million and $507.1 million, respectively. The University recognizes revenue associated with the direct costs of sponsored programs as the related qualified costs are incurred. 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 IncomeThe University has agreements with third-party payers, including health maintenance organizations that provide payment for medical services at amounts different from standard rates established by the University. Medical services income is reported net of contractual allowances from third-party payers and others for services rendered, and further adjusted for estimates of uncollectible amounts.

n. Net Assets Released from RestrictionsReclassification of net assets is 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 temporarily restricted support and reclassified to unrestricted when any donor-imposed restrictions are satisfied. Non-operating restricted net assets associated with building costs are reclassified to unrestricted net assets when the capital asset is placed in service.

o. Self-InsuranceThe University self-insures at varying levels for unemployment, disability, workers’ compensation, property losses, certain healthcare plans, general 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. EstimatesThe preparation of financial statements in conformity with accounting principles generally accepted in the United States of America 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 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

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obligations, liabilities under split-interest agreements, and the actuarially determined employee benefit and self-insurance liabilities. Actual results could differ from those estimates.

q. Recent Authoritative PronouncementsOn July 1, 2015, the University adopted new guidance regarding Simplifying the Presentation of Debt Issuance Costs. This guidance requires the University present debt issuance costs related to a recognized debt liability in the balance sheet as a direct deduction from the carrying amount of that debt liability, consistent with debt discounts. This disclosure change which was applied retrospectively is reported in Footnote 9 for both fiscal years 2016 and 2015. As a result of adopting this standard, certain prior year amounts were reclassified to conform to current year presentation.

The Financial Accounting Standards Board has issued standards that the University must consider for adoption over the next five years. Those standards include the following: (1) Revenue from Contracts with Customers effective for the fiscal year ending June 30, 2020, (2) Presentation of Financial Statements for Not-for-Profit Entities effective for the fiscal year ending June 30, 2019, and (3) Leases effective for the fiscal year ending June 30, 2021. Under Revenue from Contracts with Customers, recognition of revenue from customer contracts is a principles-based framework. Presentation of Financial Statements for Not-for-Profit Entities collapses the existing three-category classification of net assets into two categories, with donor restrictions and without donor restrictions. In addition, disclosures related to restricted gifts and the nature of expenses reported are expanded. 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. The University is currently evaluating the impact of the adoption of these standards on the consolidated financial statements.

r. Summarized 2015 Financial InformationThe accompanying 2016 financial statements include selected comparative summarized financial information for 2015. Such information does not include sufficient detail to constitute a presentation in conformity with accounting principles generally accepted in the United States of America. Accordingly, such information should be read in conjunction with the University’s 2015 financial statements, from which the summarized financial information was derived. In addition, certain amounts have been reclassified to conform to the current year presentation, such as net medical services receivables and the related bad debt reserve within Footnote 3 and bond premiums and discounts related to debt within Footnote 9.

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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:

2016 2015Endowment investments:

Long term investment pool 24,961,935$ 25,087,558$ Other 451,214 455,425

Total net endowment investments 25,413,149 25,542,983 Non-endowment investments:

Long term investment pool 350,000 350,000 Bonds 552,296 546,674 Derivatives (639,630) (269,998) Other 329,727 475,317

Total non-endowment investments 592,393 1,101,993 Net investments, at fair value 26,005,542$ 26,644,976$

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As described in Note 1d, investments are recorded at fair value. The following table summarizes the fair values of the University’s investments by major type and related liabilities as of June 30, in thousands of dollars:

Level 1 Level 2 Level 3 2016 2015Investments, at fair value:

Cash and cash equivalents 650,428$ 22,401$ -$ 672,829$ 1,339,243$ Fixed income:

US government securities 2,058,197 72,537 60 2,130,794 2,228,409 Foreign government securities 190,584 70,294 - 260,878 167,982 Corporate and other securities 103,358 2,423,137 301,257 2,827,752 2,645,028 Total fixed income 2,352,139 2,565,968 301,317 5,219,424 5,041,419

Common stock:

Domestic 1,659,367 99,632 62,771 1,821,770 1,450,152 Foreign 1,121,179 218,713 162,325 1,502,217 1,963,986 Total common stock 2,780,546 318,345 225,096 3,323,987 3,414,138

Other equity investments:

Foreign equity - - 383,376 383,376 352,190 Venture capital - - 84,849 84,849 83,592 Natural resources - - 199,943 199,943 696,259 Total other equity investments - - 668,168 668,168 1,132,041

Other investments 397,832 779,093 323,768 1,500,693 1,442,399 Total leveled investments 6,180,945$ 3,685,807$ 1,518,349$ 11,385,101 12,369,240 Investments at NAV 19,525,731 18,823,264

Total investments, at fair value 30,910,832 31,192,504

Liabilities associated with investments:

Securities sold, not yet purchased 354,379$ 223,301$ -$ 577,680 614,338 Repurchase agreements - 1,166,542 - 1,166,542 1,400,819 Other liabilities 516,385 1,113,843 1,190,768 2,820,996 2,244,797

Total liabilities associated with investments 870,764$ 2,503,686$ 1,190,768$ 4,565,218 4,259,954 Non-controlling interests 340,072 287,574

Net investments, at fair value 26,005,542$ 26,644,976$

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 University's Investments Office.

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

2016 2015Absolute return 4,370,188$ 4,002,409$ Domestic 691,275 589,988 Foreign 1,665,142 963,756 Leveraged buyouts 3,849,172 4,275,111 Natural resources 1,239,119 921,888 Real estate 3,455,128 3,764,516 Venture capital 4,255,707 4,305,596 Total investments, at NAV 19,525,731$ 18,823,264$

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 net assets that is not owned by the University is reported as a non-controlling interest.

The fair value of consolidated investment company assets and liabilities included in the University financial statements, in thousands of dollars, include:

2016 2015Consolidated Investment Company Assets 4,951,329$ Consolidated Investment Company Liabilities 2,452,116 2,494,975

2,699,277$ 2,456,354$

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 Yale 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.

$5,151,393

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The following table summarizes quantitative inputs and assumptions used for Level 3 investments at June 30, 2016 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 $ 693,321 Market comparables Enterprise value to EBITDA 2.5x - 3.5x 3.0x Enterprise value to AUM 1.3% - 2.3% 1.8%Liquidity Discount 6.3% - 25.0% 18.0%Discount for potential tax liability 1.0% - 5.0% 2.0%

Discounted Cash Flow Discount rate 35.0% 35.0%

Dealer pricing Indicative quotes NA NA

Liquidation model Liquidity probability 20.0% - 40.0% 30.0%

Cost Purchase price NA NA

Fixed Income Securities $ 301,317 Market comparables Enterprise value/EBITDA 2.5x - 6.0x 3.0xIlliquidity discount 15.0% - 25.0% 25.0%Discount rate 35.0% 35.0%Spread adjustment 12.7% - 107.4% 25.3%

Liquidation model Recovery rate-accounts receivable 87.0% - 88.0% 88.0%Recovery rate-equipment 87.0% - 88.0% 88.0%Liquidity probability 6.0% - 100.0% 48.0%Recovery rate-litigation 0.0% - 50.0% 30.0%Recovery rate-other non-current assets

55.0% - 100.0% 78.0%

Discounted cash flow Discount rate 6.0% - 50.0% 14.0%Spread adjustment -0.5% - 5.9% 1.8%

Bond Plus Call Option Model

Volatility 45.0% - 55.0% 50.0%

Discount rate 20.0% - 24.0% 22.0%

Multiparty independent pricing

Indicative quotes NA NA

Dealer pricing Indicative quotes NA NA

Natural Resources $ 199,943 Discounted cash flow Discount rate 6.0% - 10.0% 8.0%Market comparable sale Discount for litigation risk 0.0% - 50.0% 25.0%

Write off Regulatory Change 100.0% 100.0%

Trusts $ 189,139 Net present value Discount rate 3.0% 3.0%

Other Investments $ 134,629 Option Pricing Model Volatility 45.0% - 65.0% 50.0%

Liabilities $ (1,190,768) Various methods University pooled unit market value $3,226.3 $3,226.3

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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, material quarter over quarter changes in valuation and assesses the impact of macro market factors on the performance. The Investments Office meets with the Investment Committee quarterly to review investment transactions and monitor performance of external investment managers.

Realized gains and losses are reported in total endowment return, net of fees. Included in net realized and unrealized (losses) in Level 3 reported below were unrealized (losses) that relate to assets held at June 30, 2016 and 2015 of ($26.3) million and ($291.6) million, respectively.

The table below presents the change in fair value measurements for the University’s Level 3 investments during the year ended June 30, in millions of dollars:

Foreign Venture Natural Equity Capital Resources Other Liabilities 2016 2015

Beginning balance 352$ 84$ 419$ 785$ (1,161)$ 479$ 1,715$ Realized and unrealized gain, net 22 2 (56) 19 29 16 (36) Purchases 9 1 - 159 (64) 105 515 Sales - (2) (5) (130) 5 (132) (884) Transfers in - - 6 53 - 59 33 Transfers out - - (164) (36) - (200) (864)

Ending balance 383$ 85$ 200$ 850$ (1,191)$ 327$ 479$

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.

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Agreements with external investment managers include certain redemption terms and restrictions as noted in the following table:

Asset ClassFair Value (in 000's) Remaining Life

Unfunded Commitment (in 000's) Redemption Terms Redemption Restrictions

Absolute Return $ 4,370,188 No Limit $ 7,953 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 691,275 No Limit 56,879 Redemption terms range from monthly with 3 days notice to annually with 90 days notice.

Lock-up provisions range from none to 7 years.

Foreign Equity 2,048,518 No Limit 7,500 Redemption terms range from monthly with 15 days notice to closed end structures not available for redemption.

Lock-up provisions range from none to 7 years.

Leveraged Buyouts 3,849,172 1-10 years 2,791,032 Closed end funds not eligible for redemption.

Not redeemable.

Venture Capital 4,340,556 1-10 years 1,337,999 Closed end funds not eligible for redemption.

Not redeemable.

Real Estate 3,455,128 1-10 years 1,508,041 Closed end funds not eligible for redemption.

Not redeemable.

Natural Resources 1,439,062 1-35 years 508,888 Closed end funds not eligible for redemption.

Not redeemable.

Total 20,193,899$ 6,218,292$

The University has various sources of internal liquidity at its disposal, including cash, cash equivalents and marketable debt and equity securities. If called upon at June 30, 2016, management estimates that it could have liquidated approximately $3.8 billion within 90 days (unaudited) to meet short-term needs.

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 statement of financial position as investment assets and liabilities associated with investments.

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The table below illustrates the exposure for these financial instruments at June 30, 2016, in thousands of dollars, where enforceable netting agreements are in place:

Assets Liabilities Resell and repurchase agreements $ 362,998 $ 1,166,542Amounts contractually eligible for offset (298,112) (298,112) Collateral (38,580) (868,430) Net exposure for resell and repurchase agreements $ 26,306 -$

Fixed income securities of $654.9 million were provided at June 30, 2016 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. The University does not invest in derivatives for speculation. The fair value of derivative positions held at June 30, 2016 and related gain (loss) for the year, in thousands of dollars, were as follows:

Assets Liabilities Gain (Loss)Endowment:

Credit default swaps 168,116$ (104,289)$ (10,530)$ Interest rate swaps 20,043 (121,069) (32,614) Other 95,466 (58,853) (19,424)

283,625 (284,211) (62,568) Other:

Interest rate swaps - (633,815) (435,971) Energy swaps - (5,953) 2,150

- (639,768) (433,821) Gross value of derivatives 283,625 (923,979) (496,389)$

Other-counterparty netting (185,820) 185,820 Net collateral (received)/posted (37,307) 730,041 Total net exposure for derivatives 60,498$ (8,118)$

Derivatives are reported as other assets 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.

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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, 2016, the total notional amount of credit default swap contracts for buy protection amounts to $2.7 billion and the notional amount related to sell protection is $1.9 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, 2016 were $2.1 billion. The notional amount of contracts that pay based on variable rates and receive based on fixed rates were $3.6 billion at June 30, 2016.

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 University debt management and energy consumption are reported as other investment loss 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 $144.0 million and $148.5 million at June 30, 2016 and 2015, respectively. Non-endowment investments include CHEFA proceeds available for approved construction and campus renovation projects of $22.3 million and $107.5 million at June 30, 2016 and June 30, 2015, respectively.

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The following investments held under split-interest agreements are included in the endowment investment portfolio, in thousands of dollars:

2016 2015Charitable gift annuities 132,911$ 165,678$ Charitable remainder trusts 108,626 115,870 Pooled income funds 10,878 11,945

252,415$ 293,493$

Split interest liabilities reported in the consolidated statement of financial position total $129.3 million and are recorded at fair value using Level 2 measurements.

The University has agreements with certain affiliates to invest in the University Long Term Investment Pool. The obligation to these affiliates included in other liabilities within liabilities associated with investments is $1,117.2 million at June 30, 2016. The largest balance recorded is for Yale-New Haven Hospital with $912.6 million invested at June 30, 2016.

A summary of the University's total investment return as reported in the consolidated statement of activities is presented below, in thousands of dollars:

2016 2015Investment income 542,272$ 322,800$ Realized and unrealized gain, net of

investment management fees 210,958 2,256,615 Total endowment return 2,579,415 Other investment income (loss)

753,230 (42,540)

384,578$ 2,536,875$

Endowment investment returns totaling $1,153.4 million and $1,082.5 million were allocated to operating activities in 2016 and 2015, respectively, using the spending policy described in Note 1d.

(368,652)

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3. Accounts Receivable

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

2016 2015

Medical services, net 94,169$ 101,726$ Grant and contracts 73,939 61,323 Affiliated organizations 60,502 43,647 Publications 4,096 5,684 Other 22,158 18,391

254,864 230,771 Less: Allowance for doubtful accounts (31,004) (31,389)

223,860$ 199,382$

Medical services receivables are net of an allowance for contractual allowances and charity adjustments, of $105.1 million and $107.3 million at June 30, 2016 and 2015, respectively. Revenue for patient care services are primarily based on negotiated contracts from managed care companies (63%), Medicare (19%), and Medicaid (8%). In addition, payments are received directly from patients (4%) and commercial insurance and others (6%).

The University assesses credit losses on all 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 $49.3 million and $33.0 million at June 30, 2016 and 2015, respectively. Balances are settled in the ordinary course of business. The University recognized $244.8 million in revenue and incurred $75.5 million in expenses related to activities with the Hospital during the period ended June 30, 2016.

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4. Contributions Receivable

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

2016 2015Purpose:

Endowment 213,518$ 218,302$ Capital purposes 124,713 73,982 Operating programs 454,677 439,249

Gross unconditional promises to give 792,908 731,533 Less: Discount to present value (149,409) (166,202) Allowance for uncollectible accounts (75,553) (56,716)

567,946$ 508,615$

Amounts due in:Less than one year 211,864$ 190,459$ One to five years 318,441 284,425 More than five years 262,603 256,649

792,908$ 731,533$

Discount rates used to calculate the present value of contributions receivable ranged from 0.33% to 7.0% at June 30, 2016 and 2015.

At June 30, 2016, the University had conditional pledges that depend on the occurrence of a future and uncertain events of approximately $169.3 million. Conditional pledges are recognized when the condition is met.

5. Notes Receivable

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

2016 2015

Institutional student loans 50,114$ 53,709$ Federally-sponsored student loans 33,684 34,163 Notes receivable 54,104 54,084

137,902 141,956 Less: Allowance for doubtful accounts (10,824) (10,543)

127,078$ 131,413$

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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. Federally-sponsored student loans have mandated interest rates and repayment terms subject to restrictions as to their transfer and disposition.

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-sponsored loans represent amounts due from current and former students under certain Federal Loan Programs. Loans disbursed under these programs are able to be assigned to the Federal government in certain non-repayment situations. In these situations, the Federal portion of the loan balance is guaranteed.

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 Yale New Haven Hospital (the “Hospital”) entered into an agreement under which the Hospital will pay the University over a 40 year term to reimburse the University for advances made in connection with the construction of Hospital facilities. The payment includes interest based on the 5 year Treasury bill plus 175 basis points, which resets every 5 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:

2016 2015Insurance receivable 55,163$ 22,609$ Software costs, net of accumulated amortization 53,745 66,514 Deferred expenses 32,576 37,364 Inventories 15,907 14,921

157,391$ 141,408$

Amortization expense related to other assets included in operating expenses amounted to $16.8 million and $23.1 million in 2016 and 2015, respectively.

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7. Land, Buildings and Equipment

Land, buildings and equipment at June 30, less accumulated depreciation, in thousands of dollars, are as follows:

2016 2015Land and real estate improvements 135,249$ 134,327$ Buildings 5,891,011 5,756,767Buildings under capital leases 50,058 61,665Equipment 590,745 665,964

6,667,063 6,618,723

Less: Accumulated depreciation and amortization (2,495,654) (2,400,179)4,171,409 4,218,544

Construction in progress 608,010 291,7594,779,419$ 4,510,303$

Depreciation expense included in operating expenses amounted to $241.7 million and $237.2 million in 2016 and 2015, respectively. Amortization expense on capital lease assets amounted to $2.2 million in 2016 and 2015.

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:

2016 2015Employee benefit obligations 1,388,004$ 955,440$ Compensated absences 64,321 64,097 Asset retirement obligations 39,100 36,800 Financial aid grant obligations 60,029 50,703 Other 80,070 53,836

1,631,524$ 1,160,876$

Included in employee benefit obligations are defined benefit plan liabilities in excess of plan assets. These liabilities amounted to $1,273.9 million at June 30, 2016 and $852.4 million at June 30, 2015. (See Note 11)

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9. Bonds and Notes Payable

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

Effective YearInterest Rate of Maturity

2016 2015

Connecticut Health and Educational Facilities Authority (CHEFA) tax-exempt bonds:

Series S 0.12% 2027 135,865$ 135,865$ Series T 2.65% 2029 250,000 250,000 Series U 1.00% 2033 250,000 250,000 Series V 0.07% 2036 200,000 200,000 Series X 2.88% 2037 250,000 250,000 Series Y - 2016 - 300,000 Series Z 4.86% 2042 600,000 600,000 Series 2010A 2.76% 2025/2040/2049 529,975 529,975 Series 2013A 1.35% 2042 100,000 100,000 Series 2014A 0.80% 2048 250,000 250,000 Series 2015A 1.38% 2035 300,000 - Total CHEFA bonds 2,865,840 2,865,840

Medium-term notes 7.38% 2096 125,000 125,000 Medium-term notes Series B 2.09% 2019 250,000 250,000 Commercial paper 0.26% 2016 181,445 181,445 Capital leases - buildings 5.75% 2032 42,424 54,265 Other notes payable 7.85% 2020 1,758 2,086 U.S. Department of Energy 2.72% 2029 58,055 62,840 Principal amount 3,524,522 3,541,476 Less: Bond issue costs (13,037) (14,619) Plus: Unamortized premiums and discounts, net 22,187 30,965

3,533,672$ 3,557,822$

Outstanding BalanceJune 30, 2016

In July 2015, CHEFA Series 2015A was issued to redeem CHEFA Series Y-1, Y-2, and Y-3. Series 2015A consists of $300 million bonds maturing July 2035 and bears interest at a fixed term rate of $1.375 % through July 10, 2018.

CHEFA Series 2014A issued in July 2014 matures on July 2048 and bears interest at a fixed rate of 0.80% through the initial term period ending July 2017.

CHEFA Series 2013A originally issued in July 2013 was used to redeem CHEFA Series X-1 and matures July 2042. Series 2013A has an initial interest rate of 1.35% through the term rate period ending July 20, 2016. In July 2016, CHEFA Series 2013A was remarketed to a new fixed rate term of 1.00% through June 30, 2019.

CHEFA Series 2010A bonds consist of 1) $80 million Series 2010A-1 bonds bearing interest at a fixed rate of 5% and maturing July 2025; 2) $150 million Series 2010A-2 bonds bearing interest at a fixed rate of 5% and maturing July 2040; 3) $150 million 2010A-3 bonds

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bearing interest at a fixed rate of 5% and maturing July 2040; 3) $150 million Series 2010A-3 bonds bearing interest at a fixed rate of 0.875% through February 2018 and maturing July 2049; and 4) $150 million Series 2010A-4 bonds maturing July 2019. These bonds include a net premium of $11.9 million as of June 2016. Series 2010A-4 was remarketed in February 2015 to a new fixed rate term of 1.2% through January 2019. Series 2010A-1 and 2010A-2 bonds are subject to an optional redemption by the university in July 2018.

CHEFA Series Z bonds consist of 1) $400 million Series Z-1 bonds bearing interest at a fixed rate of 5%; 2) $100 million Series Z-2 bonds bearing interest at a fixed rate of 5.05%; and 3) $100 million Series Z-3 bonds bearing interest at a fixed rate of 5.05%. Z-1 bonds include anet premium of $10.7 million as of June 30, 2016. The original premium associated with this issuance is being amortized over the life of the bonds. Series Z-1, Z-2 and Z-3 bonds mature on July 1, 2042. In July 2016, Series Z-1 bonds were redeemed by new CHEFA Series 2016A maturing in July 2042. Series 2016A bonds consist of 1) $150 million Series 2016A-1 bonds maturing July 2042 and bearing interest at a fixed rate of 1% through June 30, 2019; and 2) $249.3 million Series 2016A-2 bonds bearing interest at a fixed rate of 2% through June 30, 2026, maturing July 2042. Series Z-2 and Z-3 bonds are subject to an optional redemption in July 2017.

CHEFA Series X bonds consist of 1) $125 million Series X-2 which was remarketed in February 2015 from a variable interest rate to a fixed term rate of 0.90% through January 2018; and 2) $125 million Series X-3 variable rate bonds, bearing interest at a daily rate, which were converted to a fixed interest rate of 4.85% on May 1, 2008. Series X-2 and X-3 bonds mature on July 1, 2037. Series X-3 bonds are subject to an optional redemption in July 2017.

CHEFA Series V bonds bear interest at a daily rate and mature on July 1, 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.

CHEFA Series U bonds were remarketed in February 2016 from a variable rate to a fixed term rate of 1% through February 5, 2019. Series U bonds mature July 1, 2033.

CHEFA Series T bonds consist of 1) $125 million Series T-1 bonds bearing interest at a fixed rate of 4.7%; and 2) $125 million Series T-2 bonds which were remarketed in February 2015 from a variable interest rate to a fixed term rate of 0.60% through January 2017. Series T-1 bonds are subject to an optional redemption in July 2017.

CHEFA Series S bonds bear interest at a money market municipal rate and are outstanding for varying interest rate periods of 270 days or less. The bonds may be converted from the money market mode to other variable rate modes or to a fixed rate mode at the discretion of the University.

Medium-term notes bear interest at a fixed rate of 7.38% and mature in 2096, with an optional redemption provision in the year 2026. The discount associated with these notes was $326 thousand at June 30, 2016.

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Medium-term notes Series B bear interest at a fixed rate of 2.086% and mature in April 2019.Commercial paper consists of notes issued in the short-term taxable market, and is sold at

a discount from par. 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 $42.4 million and $54.3 million at June 30, 2016 and 2015, respectively. The agreements call for the University to lease the buildings through 2032.

The University financed a wind energy project, Record Hill Wind, LLC, through a financing arrangement with the Department of Energy. The financing arrangement is non-recourse debt to the University and bears interest at rates ranging from 2.236% to 2.776%.

Total interest expense incurred on indebtedness was $125.2 million and $140.0 million in 2016 and 2015, respectively. Interest capitalized to land, buildings and equipment totaled $3.2 million and $1.7 million in 2016 and 2015, respectively. Amortization expense related to bond issue costs included in operating expenses amounted to $1.4 million and $1.1 million in 2016 and 2015, respectively.

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

2017 186,926$ 2018 5,642 2019 255,817 2020 7,044 2021 6,913 Thereafter 3,062,180

Certain CHEFA Series are subject to tender by bondholders. To the extent all bonds subject to tender could not be remarketed, $1.5 billion of bonds scheduled for maturity between 2029 and 2049 would be due when tendered.

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 the Teachers’ Insurance and Annuity Association (TIAA) and College Retirement Equities Fund (CREF), as well as other investment options. Retirement expense for this plan was $103.5 million and $99.6 million in 2016 and 2015, respectively.

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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 years of participation and the employee’s highest annual rate of earnings during the last five years of employment.

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:

2016 2015 2016 2015Change in benefit obligation:Benefit obligation, beginning of year $ 1,370,606 $ 1,265,717 1,040,723$ 901,886$

50,569 48,622 45,171 39,352 64,788 57,420 48,288 40,049 (43,165) (38,143) (27,483) (26,598) 194,724 37,341 157,306 104,439

Service cost, excluding assumed administrative expenses Interest costBenefit payments Assumption changes Actuarial loss (gain) 22,123 (351) (49,864) (18,405)

Benefit obligation, end of year 1,659,645$ 1,370,606$ 1,214,141$ 1,040,723$

Change in plan assets:Fair value, beginning of year $ 1,110,000 $ 1,055,993 448,906$ 436,082$

Actual return on plan assets 15,033 58,672 8,396 29,761 University contributions 87,729 35,701 3,852 10,686 Benefits and expenses paid (45,428) (40,366) (28,614) (27,623)

Fair value, end of year 1,167,334$ 1,110,000$ 432,540$ 448,906$ Funded Status (492,311)$ (260,606)$ (781,601)$ (591,817)$

Pension Postretirement

Funded Status The funded status consists of the unfunded net periodic benefit costs recognized in operating activity and the change in funded status reported as non-operating activity. The components of the adjustment to non-operating results for the year ended June 30, 2016, in thousands of dollars, include:

Pension Postretirement TotalUnrecognized net actuarial loss $ 285,616 $ 131,024 $ 416,640 Amortization of unrecognized obligation (11,473) (11,593) (23,066)

$ 274,143 $ 119,431 $ 393,574

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The cumulative amounts of these adjustments reported as deductions to net assets in the consolidated statement of financial position at June 30, 2016, in thousands of dollars, include:

Pension Postretirement TotalUnrecognized net actuarial loss $ 384,490 $ 360,832 $ 745,322 Unrecognized prior service cost 24,302 120 24,422

$ 408,792 $ 360,952 $ 769,744

Amounts recorded as an adjustment at June 30, 2016 that are expected to be amortized into operating activity during fiscal year 2017, in thousands of dollars, include:

Pension Postretirement TotalNet actuarial loss $ 16,848 $ 15,945 $ 32,793 Prior service cost 3,572 50 3,622

$ 20,420 $ 15,995 $ 36,415

Actuarial gains or losses and prior service costs resulting from plan amendments are amortized over the average remaining years of service of active participants.

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 $1,394.8 million at June 30, 2016 and $1,131.3 million at June 30, 2015.

There were no significant plan amendments during the fiscal year ended June 30, 2016.

2016 2015Weighted-average discount rate 4.00% 4.75%Increase in future compensation levels 3.75% 3.77%Projected health care cost trend rate (pre-65/post-65) 6.75% / 6.45% 7.00% / 5.40%Ultimate trend rate (pre-65/post-65) 5.00% / 5.00% 5.00% / 5.00%Year ultimate trend rate is achieved 2024 2024Mortality RP2014 Aggregate,

Scale MP2014RP2014 Aggregate,

Scale MP2014

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

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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, 2016, as follows, in thousands of dollars:

Pension Postretirement TotalDiscount rate $ 194,869 $ 162,435 $ 357,304 Inflation (145) (5,129) (5,274)

$ 194,724 $ 157,306 $ 352,030

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

2016 2015 2016 2015 Service cost $ 50,569 48,622$ 45,171$ 39,352$ Administrative expenses 2,200 2,000 1,000 900 Interest cost 64,788 57,420 48,288 40,049 Expected return on plan assets (83,739) (72,880) (31,847) (29,656) Net amortization:

Prior service cost 10,200 10,535 1,191 1,283 Net loss 1,273 - 10,402 6,393

Net periodic benefit cost 45,291$ 45,697$ 74,205$ 58,321$

Pension Postretirement

Net periodic benefit costs are included as a part of operating expense.

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

2016 2015Weighted-average discount rate 4.75% 4.60%Expected long-term rate of return 7.75% 7.50%Compensation increase 3.77% 3.94%Health care cost increase (pre-65/post-65) 7.00% / 5.40% 7.25% / 6.75%Ultimate trend rate (pre-65/post-65) 5.00% / 5.00% 5.00% / 5.00%Year ultimate trend rate is achieved 2024 2020Mortality RP2014 Aggregate,

Scale MP2014RP2000CH,

Generational Projection

The health care cost trend rate assumption has a significant effect on the amounts reported. For the fiscal year ended June 30, 2016, a one percent change in the health care cost trend rate would cause the postretirement benefit obligation at June 30, 2016, to change by approximately 19.3% and would also cause the sum of the service cost and interest cost components of postretirement expense to change by approximately 24.2%.

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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 2016 2015Investments, at fair value:

Cash and cash equivalents 37,943$ -$ -$ 37,943$ 38,111$ US government securities 82,507 - - 82,507 98,567 Equity investments:

Domestic 45,681 - 789 46,470 63,202 Foreign 913 90,359 - 91,272 93,285 Total equity investments 46,594 90,359 789 137,742 156,487

Limited partnerships:Natural resources - - 7,021 7,021 20,828 Total limited partnerships - - 7,021 7,021 20,828

Total leveled investments 167,044$ 90,359$ 7,810$ 265,213 313,993 Investments at NAV 917,214 805,072 Total investments, at fair value 1,182,427 1,119,065 Liabilities associated with investments 15,004$ 89$ -$ 15,093 9,065 Net investments, at fair value 1,167,334$ 1,110,000$

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 2016 2015Investments, at fair value:

Cash and cash equivalents 7,725$ -$ -$ 7,725$ 26,809$ US government securities 11,225 - - 11,225 12,834 Equity investments:

Domestic 5,572 - - 5,572 14,375 Foreign 345 31,764 - 32,109 36,971 Total equity investments 5,917 31,764 - 37,681 51,346

Limited partnerships:Natural resources - - 3,438 3,438 10,976 Total limited partnerships - - 3,438 3,438 10,976

Total leveled investments 24,867$ 31,764$ 3,438$ 60,069 101,965 Investments at NAV 376,101 354,047 Total investments, at fair value 436,170 456,012 Liabilities associated with investments 71$ 53$ -$ 124 5,012 Net investments, at fair value 436,046$ 451,000$

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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, 2016, in thousands of dollars:

Pension Retiree HealthBeginning balance $ 20,828 $ 10,976

Realized and unrealized loss, net (3,292) (1,230) Transfer in 938 - Transfer out (10,664) (6,308)

Ending balance $ 7,810 $ 3,438

The unrealized portion of the loss in Level 3 reported above that relates to assets held at June 30, 2016 by the staff pension plan and the retiree health plan, represents a net loss of $3.3 million and a net loss of $1.2 million, respectively.

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:

2016 2015 2016 2015Absolute return 27.5% 24.7% 26.6% 23.7%Domestic equity 9.1% 9.8% 8.5% 9.7%Fixed income 7.1% 8.9% 2.6% 2.8%Foreign equity 23.2% 20.9% 20.4% 19.9%Leveraged buyouts 7.5% 8.6% 9.0% 9.1%Venture capital 7.7% 7.2% 9.3% 8.0%Real estate 8.4% 9.2% 13.6% 13.6%Natural resources 7.6% 7.9% 7.3% 7.9%Cash 1.9% 2.8% 2.7% 5.3%

Pension Retiree Health

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, taking into account expected volatility and correlation between the returns of various asset classes.

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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 in fiscal 2017 to the pension plan are $74.9 million. No contribution is planned to the retiree health plan.

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 Postretirement2017 48,383$ 29,000$ 2018 51,922 32,200 2019 55,786 34,900 2020 59,797 37,900 2021 64,022 41,300 2022-2025 389,439 254,600

12. Net Assets

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

2016 2015Permanently Restricted:

Endowment funds 3,622,688$ 3,444,863$ Student loan funds 42,123 41,295 Total permanently restricted 3,664,811 3,486,158 Temporarily Restricted: Endowment funds 17,965,741 18,261,904 Capital 420,923 370,258 Operating funds 469,693 462,819 Total temporarily restricted 18,856,357 19,094,981 Unrestricted: Yale University 3,677,192 4,516,460 Non-controlling interest 340,072 287,574 Total unrestricted 4,017,264 4,804,034 Total net assets 26,538,432$ 27,385,173$

Yale’s endowment consists of approximately 7,300 funds established for a variety of purposes.

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The endowment includes both donor-restricted endowment funds and funds designated by the Yale Corporation to function as endowments. The University endowment fund composition by fund type as of June 30, in thousands of dollars, includes:

Temporarily Permanently Unrestricted Restricted Restricted 2016 2015

Donor-restricted endowment -$ 17,695,482$ 3,622,688$ 21,318,170$ 21,470,763$ Board-designated endowment 3,821,817 270,259 - 4,092,076 4,100,827

3,821,817$ 17,965,741$ 3,622,688$ 25,410,246$ 25,571,590$

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

Temporarily Permanently Unrestricted Restricted Restricted 2016 2015

Endowment net assets, beginning of year 3,864,823$ 18,261,904$ 3,444,863$ 25,571,590$ 23,894,719$ Investment return:

Investment income 89,433 451,329 1,510 542,272 322,800 Net appreciation 34,851 175,463 644 210,958 2,256,615

Total investment return 124,284 626,792 2,154 753,230 2,579,415 Contributions 1,500 26,375 154,313 182,188 117,434 Allocation of endowment spending (190,103) (966,196) 2,314 (1,153,985) (1,083,067) Other (decreases) increases 21,313 16,866 19,044 57,223 63,089 Endowment net assets, end of year 3,821,817$ 17,965,741$ 3,622,688$ 25,410,246$ 25,571,590$

13. Functional Classification of Operating Expenses

Operating expenses reported by functional categories, include allocations of costs for operation and maintenance of plant, interest on indebtedness and depreciation expense. Operating expenses by functional classification for the years ended June 30, 2016 and 2015, in thousands of dollars, were as follows:

2016 2015

Instruction and departmental research $ 924,431 $ 885,492

Patient care and other related services 795,197 745,919

Organized research 528,106 494,588

Student aid and services 415,959 400,530

Libraries and other academic support 310,734 287,805

Public service 143,625 142,936

Administration and other institutional support 246,154 230,338

Total expenses $ 3,364,206 $ 3,187,608

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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.

Minimum lease commitments at June 30, 2016, under agreements to lease space, in thousands of dollars, are as follows:

Operating Lease Payments

Capital Lease Payments

2017 $ 8,771 $ 9,030

2018 6,275 9,086

2019 5,287 9,144

2020 5,010 9,122

2021 3,156 8,969

Thereafter 19,050 100,659

47,549 146,010

Executory costs - (79,126)

Interest on capital leases - (24,460)

$ 47,549 $ 42,424

The University has outstanding commitments on contracts to construct campus facilities in the amount of $311.8 million at June 30, 2016. Funding for these projects is expected to come from capital replacement reserves and gifts.

15. Subsequent Events

Management has evaluated subsequent events for the period after June 30, 2016, through October 21, 2016, the date the consolidated financial statements were available to be issued.

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PART II

SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-1

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Defense Direct:

Department of Defense W912HQ-14-C-0039 12.RD 226,744$ -$ 226,744 -

Basic and Applied Scientific Research FA8750-13-2-0058 12.300 10,116 10,116 Basic and Applied Scientific Research N00014-16-1-2212 12.300 10,645 - Basic and Applied Scientific Research N00014-12-1-0478 12.300 20,215 - Basic and Applied Scientific Research N00014-16-1-2687 12.300 23,423 - Basic and Applied Scientific Research N00014-16-1-2374 12.300 28,420 - Basic and Applied Scientific Research N00014-12-1-0522 12.300 52,732 - Basic and Applied Scientific Research FA8750-16-2-0034 12.300 60,653 - Basic and Applied Scientific Research N00014-12-1-0822 12.300 84,397 - Basic and Applied Scientific Research N00014-15-1-2531 12.300 86,540 - Basic and Applied Scientific Research N00014-14-1-0565 12.300 103,867 - Basic and Applied Scientific Research N00014-15-1-2733 12.300 171,011 - Basic and Applied Scientific Research N00014-14-1-0797/16-1-2123 12.300 174,610 - Basic and Applied Scientific Research N00014-11-1-0666 12.300 202,704 122,734 Basic and Applied Scientific Research N00014-14-1-0613 12.300 317,760 158,962

1,347,093 291,812 Military Medical Research and Development W81XWH-16-1-0101 12.420 2,087 - Military Medical Research and Development W81XWH-15-1-0290 12.420 24,472 - Military Medical Research and Development W81XWH-12-1-0484 12.420 33,856 - Military Medical Research and Development W81XWH-13-1-0235 12.420 57,412 - Military Medical Research and Development W81XWH-13-1-0245 12.420 60,291 - Military Medical Research and Development W81XWH-14-1-0177 - 0010500052 12.420 66,969 - Military Medical Research and Development W81XWH-13-2-0073 12.420 85,678 - Military Medical Research and Development W81XWH-14-1-0318 12.420 87,509 - Military Medical Research and Development W81XWH-14-C-1392 12.420 91,794 22,561 Military Medical Research and Development W81XWH-14-1-0487 12.420 120,930 - Military Medical Research and Development W81XWH-15-1-0407 12.420 132,869 2,534 Military Medical Research and Development W81XWH-14-1-0277 12.420 157,984 34,429 Military Medical Research and Development W81XWH-15-C-0125 12.420 159,965 - Military Medical Research and Development W81XWH-15-1-0203 12.420 183,248 - Military Medical Research and Development W81XWH-15-1-0221 12.420 194,277 - Military Medical Research and Development W81XWH-13-1-0179 12.420 266,975 - Military Medical Research and Development W81XWH-15-1-0364 12.420 287,495 - Military Medical Research and Development W81XWH-14-1-0308 12.420 316,988 - Military Medical Research and Development W81XWH-15-1-0419 12.420 339,840 - Military Medical Research and Development W81XWH-15-1-0029 12.420 498,113 - Military Medical Research and Development W81XWH-15-1-0117 12.420 657,535 - Military Medical Research and Development W81XWH-13-1-0062 12.420 1,172,074 1,158

4,998,361 60,682 Basic Scientific Research W911NF-16-1-0214 12.431 14,264 - Basic Scientific Research W911NF-14-1-0564 12.431 91,421 - Basic Scientific Research W911NF-14-1-0354 12.431 97,705 - Basic Scientific Research W911NF-14-1-0005 12.431 106,983 - Basic Scientific Research W911NF-14-1-0264 12.431 142,601 - Basic Scientific Research W911NF-15-1-0618 12.431 206,637 - Basic Scientific Research W911NF-14-1-0563 12.431 599,695 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-2

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Defense Direct: (continued)

Basic Scientific Research W911NF-12-1-0476 12.431 1,370,571 1,177,050 Basic Scientific Research W911NF-14-1-0011 12.431 3,056,633 -

5,686,510 1,177,050 Air Force Defense Research Sciences Program FA9550-16-1-0175 12.800 1,814 - Air Force Defense Research Sciences Program FA8650-13-2-6371 12.800 20,301 - Air Force Defense Research Sciences Program FA9550-15-1-0472 12.800 44,820 - Air Force Defense Research Sciences Program BAA-AFOSR-2014-0001 12.800 147,362 - Air Force Defense Research Sciences Program FA9550-12-1-0083 12.800 183,119 - Air Force Defense Research Sciences Program FA9550-13-1-0007 12.800 226,448 - Air Force Defense Research Sciences Program FA9550-13-1-0020 12.800 297,626 220,917 Air Force Defense Research Sciences Program FA9550-15-1-0270 12.800 526,652 - Air Force Defense Research Sciences Program FA9550-14-1-0072 12.800 582,605 126,917

2,030,747 347,834 Mathematical Sciences Grants Program H98230-13-1-0291 12.901 8,393 -

8,393 - Research and Technology Development D13AP00056 12.910 4,398 - Research and Technology Development N66001-16-1-4026 12.910 29,865 - Research and Technology Development W911NF-15-1-0212 12.910 99,375 - Research and Technology Development N66001-15-1-4072 12.910 183,906 - Research and Technology Development W911NF-15-1-0378 12.910 242,107 - Research and Technology Development W31P4Q-15-1-0006 12.910 447,249 - Research and Technology Development N66001-11-1-4114 12.910 608,161 200,124

1,615,061 200,124 Subtotal - Department of Defense - Direct 15,912,909 2,077,502

Passed-through:UES, Inc. - Department of Defense S-875-191-002 12.RD 9,426 - Triton Systems, Inc. - Department of Defense TSI-2461-15-104137 12.RD 11,148 - Triton Systems, Inc. - Department of Defense TSI-2451-15-104016 12.RD 12,580 - Active Optoelectronics LLC - Department of Defense Tang/ActiveOptoelectronics LLC 12.RD 23,152 - International Business Machines (IBM) - Department of Defense 4916001944 PO 5004844173 12.RD 56,970 - Sandia National Laboratories - Department of Defense 1531617 12.RD 70,593 - University of Southern California - Department of Defense 41590743 PO 50104299 12.RD 72,391 - Connecticut Analytical Corp - Department of Defense Specimen Recovery 12.RD 77,024 - GrammaTech, Inc. - Department of Defense GT S15-03 12.RD 144,671 - Massachusetts General Hospital - Department of Defense 226193 12.RD 175,901 - SRA International, Inc. - Department of Defense 13699.031-#SRAS000736-01 12.RD 422,911 -

1,076,767 - Woods Hole Oceanographic - Basic and Applied Scientific Research A100932 12.300 13,304 - UCLA - Basic and Applied Scientific Research 1015GTA246 12.300 27,260 - Harvard University - Basic and Applied Scientific Research 123950-5092632 12.300 34,373 - University of Pittsburgh - Basic and Applied Scientific Research 0041302 (410042-3) 12.300 36,923 - University of California, Santa Barbara - Basic and Applied Scientific Research sub#KK1133 12.300 49,468 - University of Pittsburgh - Basic and Applied Scientific Research 9012518 (411788-1) 12.300 72,162 - Georgia State University Research Foundation - Basic and Applied Scientific Research SP00011356-05 12.300 185,365 - University of California, Santa Barbara - Basic and Applied Scientific Research KK1317 12.300 194,564 - University of Maryland College Park - Basic and Applied Scientific Research 2705-Z8160001 12.300 245,526 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-3

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Defense Passed-through: (continued)

Princeton University - Basic and Applied Scientific Research sub#00002067/PO#ORPA0X2067 12.300 583,966 - 1,442,911 -

Purdue University - Basic Scientific Research - Combating Weapons of Mass Destruction 4104-62149 12.351 113,522 - 113,522 -

Henry M. Jackson Foundation, The - Military Medical Research and Development Sub 2896/ PO 869454 12.420 16,334 - Southern Illinois University - Military Medical Research and Development 520382 12.420 20,165 - University of Texas Health Science Center - Military Medical Research and Development 155614/155536 12.420 85,056 - Johns Hopkins University - Military Medical Research and Development PO 2001401762 12.420 86,945 - Henry M. Jackson Foundation, The - Military Medical Research and Development 824438 12.420 170,731 -

379,231 - University of Maryland College Park - Basic Scientific Research 26232-Z8401004 12.431 55,600 - University of California-Irvine - Basic Scientific Research 2010-2512 12.431 142,770 - University of Chicago - Basic Scientific Research FP056991 12.431 646,350 -

844,720 - Michigan Technological Univ. - Air Force Defense Research Sciences Program 1311051Z1 12.800 105,474 - University of Washington - Air Force Defense Research Sciences Program UWSC7793/BPO2580 12.800 150,381 - University of Chicago - Air Force Defense Research Sciences Program FP057123-C 12.800 262,923 - MIT Mass Institute of Tech - Air Force Defense Research Sciences Program 5710003622 12.800 392,856 - University of Colorado - Air Force Defense Research Sciences Program 1552229-PO 1000439984 12.800 394,546 -

1,306,180 - Cornell University - Research and Technology Development 69117-10119 12.910 897 - Duke University - Research and Technology Development 15-DARPA-1053 12.910 13,490 - Massachusetts Institute of Technology - Research and Technology Development 5710003925 12.910 240,945 -

255,332 - Subtotal - Department of Defense - Pass Through 5,418,663 - Subtotal - Department of Defense 21,331,572 2,077,502

Department of AgricultureDirect:

Department of Agriculture 12-JV-11242307-092 10.RD 14,070 - Department of Agriculture 12-JV-11242303-096 10.RD 25,463 -

39,533 - Agriculture and Food Research Initiative (AFRI) 2014-67012-22268 10.310 74,802 -

74,802 - Subtotal - Department of Agriculture - Direct 114,335 -

Passed-through:University of Florida - Specialty Crop Research Initiative UFDSP00011168-Proj 00125548 10.309 86,222 -

86,222 - Michigan State University - Agriculture and Food Research Initiative (AFRI) RC104501A 10.310 70,365 - University of Minnesota - Agriculture and Food Research Initiative (AFRI) H003617201 10.310 86,725 -

157,090 - Baylor College of Medicine - Special Supplemental Nutrition Program for Women, Infants and Children; Nutrition Education Innovations 101852607/PO#5600934280 10.586 89,755 -

89,755 - Rutgers State University of New Jersey - Technical Agricultural Assistance #5601/PO5219433 10.960 404,378 -

404,378 - Subtotal - Department of Agriculture - Pass Through 737,445 - Subtotal - Department of Agriculture 851,780 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-4

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of EducationDirect:

Overseas Programs - Doctoral Dissertation Research Abroad P022A150022 84.022 25,864 - 25,864 -

Education Research, Development and Dissemination R305A120172-14 84.305 127,029 - Research Training Programs in the Education Sciences R305H140050 84.305 112,337 65,000 Education Research, Development and Dissemination R305H140142 84.305 192,609 40,087

431,975 105,087 Subtotal - Department of Education - Direct 457,839 105,087

Passed-through:Oregon State Univ. - Education Research, Development and Dissemination ED161A-A 84.305 21,871 -

21,871 - Education Development Center, Inc. - Investing in Innovation (i3) Fund 11870 84.411 28,994 -

28,994 - Subtotal - Department of Education - Pass Through 50,865 -

Subtotal - Department of Education 508,704 105,087

Department of CommerceDirect:

Climate and Atmospheric Research NA14OAR4310277 11.431 157,520 - 157,520 -

Science, Technology, Business and/or Education Outreach 70NANB15H129 11.620 9,100 - 9,100 -

Subtotal - Department of Commerce - Direct 166,620 -

Passed-through:University of Connecticut - Sea Grant Support 47940 11.417 38,986 -

38,986 - North Pacific Research Board - Unallied Science Program 1405 11.472 43,297 -

43,297 - Subtotal - Department of Commerce - Pass Through 82,283 -

Subtotal - Department of Commerce 248,903 -

Department of EnergyDirect:

Office of Science Financial Assistance Program DE-SC0015749 81.049 989 - Office of Science Financial Assistance Program DE-SC0015747 81.049 1,356 - Office of Science Financial Assistance Program DE-FG02-92ER40704 (2 of 2) 81.049 17,978 - Office of Science Financial Assistance Program DE-SC0004856 81.049 22,446 - Office of Science Financial Assistance Program DE-FG02-91ER40609 81.049 48,682 - Office of Science Financial Assistance Program DE-SC0004889 81.049 68,151 - Office of Science Financial Assistance Program DE-FG02-01ER15183 81.049 84,569 - Office of Science Financial Assistance Program DE-FG02-06ER15800 81.049 97,849 - Office of Science Financial Assistance Program DE-SC0001134 81.049 103,428 - Office of Science Financial Assistance Program DE-SC0014414 81.049 107,882 - Office of Science Financial Assistance Program DE-SC0014476 81.049 122,131 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-5

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of EnergyDirect: (continued)

Office of Science Financial Assistance Program DE-FG02-05ER15677 81.049 139,294 - Office of Science Financial Assistance Program DE-SC0006399 81.049 142,190 - Office of Science Financial Assistance Program DE-FG02-08ER46482 81.049 202,574 54,399 Office of Science Financial Assistance Program DE-SC0010699 81.049 261,243 - Office of Science Financial Assistance Program DE-FG02-98ER20311 81.049 278,293 - Office of Science Financial Assistance Program DE-FG02-05ER15646 81.049 298,336 - Office of Science Financial Assistance Program DE-SC0008080 81.049 298,500 - Office of Science Financial Assistance Program DE-SC0012654 81.049 386,957 - Office of Science Financial Assistance Program DE-FG02-91ER40608 81.049 466,954 - Office of Science Financial Assistance Program DE-FG02-91ER40609 81.049 566,106 - Office of Science Financial Assistance Program DE-FG02-07ER15909 81.049 602,318 - Office of Science Financial Assistance Program DE-SC0004168 81.049 1,103,930 - Office of Science Financial Assistance Program DE-FG02-92ER40704 (1 of 2) 81.049 2,035,134 -

7,457,290 54,399 Conservation Research and Development DE-EE0006552 81.086 38,609 -

38,609 - Renewable Energy Research and Development DE-EE0006128 81.087 229,625 62,063

229,625 62,063 Advanced Research Projects Agency - Energy DE-AR0000306 81.135 434,511 352,437 Advanced Research Projects Agency - Energy DE-AR0000508 81.135 444,430 191,512

878,941 543,949 Subtotal - Department of Energy - Direct 8,604,465 660,411

Passed-through:Brookhaven National Lab - Department of Energy 200935 81.RD 8,249 - Los Alamos National Lab - Department of Energy 302104 81.RD 24,954 - Lawrence Berkeley Nat'l Laboratories (LBNL) - Department of Energy 7208299 81.RD 29,662 - Lawrence Livermore National Lab - Department of Energy B612703 81.RD 35,567 - Lawrence Berkeley Nat'l Laboratories (LBNL) - Department of Energy 7220739 81.RD 44,601 - Ames Laboratory - Department of Energy SC-16-430 81.RD 45,157 - Lawrence Livermore National Lab - Department of Energy B613137 81.RD 60,246 - UT-Battelle, LLC - Department of Energy 4000144227 81.RD 60,289 - University of California at Berkeley - Department of Energy BB00628841 81.RD 119,878 - UT-Battelle, LLC - Department of Energy 4000132727 81.RD 139,956 - Brookhaven National Lab - Department of Energy Contract #238322 81.RD 245,376 - Pacific Northwest National Lab - Department of Energy 237707 81.RD 249,217 -

1,063,152 - University of Virginia - Office of Science Financial Assistance Program GQ10044-133944 81.049 10,848 - Univ. of Tennessee - Office of Science Financial Assistance Program A16-0384-S004 81.049 21,155 - Research Foundation-CUNY - Office of Science Financial Assistance Program 47823-A 81.049 53,878 - Stanford University - Office of Science Financial Assistance Program 26488350-49105-A 81.049 127,685 - University of Maryland College Park - Office of Science Financial Assistance Program 17285-Z7181003 81.049 201,748 - Harvard Univ. School of Medicine - Office of Science Financial Assistance Program 152339.5055249.1002 81.049 230,960 - Northwestern University - Office of Science Financial Assistance Program SP0004510-PROJ0001535 81.049 619,238 -

1,265,512 - Brookhaven National Lab - Renewable Energy Research and Development 200986 81.087 160,962 - UCLA - Renewable Energy Research and Development 0205GQA733 81.087 170,000 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-6

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of EnergyPassed-through: (continued)

330,962 - Duke University - Fossil Energy Research and Development 323-0084 81.089 23,004 -

23,004 - Carnegie Institution of Washington - Stewardship Science Grant Program 4-10469-17 81.112 71,621 -

71,621 - University of Michigan - Defense Nuclear Nonproliferation Research 3003222392 81.113 151,501 -

151,501 - Subtotal - Department of Energy - Pass Through 2,905,752 -

Subtotal - Department of Energy 11,510,217 660,411

Department of Health & Human ServicesDirect:

Department Of Health And Human Services HHSN272201100019C 93.RD 47 - Department Of Health And Human Services HHSN2752015000071 93.RD 502 - Department Of Health And Human Services HHSN271201500848P 93.RD 26,053 - Department Of Health And Human Services R01MH109648-01 93.RD 67,008 - Department Of Health And Human Services HHSN268201100006I/HHSN26800002 93.RD 1,420,261 652,609 Department Of Health And Human Services HHSN272201100019C 93.RD 3,247,775 -

4,761,646 652,609 Chronic Diseases: Research, Control, and Prevention 5R21DP006082-02 93.068 235,898 64,936

235,898 64,936 Family Smoking Prevention and Tobacco Control Act Regulatory Research 1P50DA036151-01 93.077 8,938 9,562 Family Smoking Prevention and Tobacco Control Act Regulatory Research 3P50DA036151-02S1 93.077 44,541 22,588 Family Smoking Prevention and Tobacco Control Act Regulatory Research 3P50DA036151-03S1 93.077 169,332 77,291 Family Smoking Prevention and Tobacco Control Act Regulatory Research 5P50DA036151-02 93.077 965,928 370,552 Family Smoking Prevention and Tobacco Control Act Regulatory Research 5P50DA036151-03 93.077 3,421,062 338,550

4,609,801 818,543 Food and Drug Administration Research 4U01FD004585-04 93.103 114,376 - Food and Drug Administration Research 5U01FD004585-03 & 03S1 93.103 149,286 -

263,662 - Maternal and Child Health Federal Consolidated Programs 4R40MC028308-01-03 93.110 65,091 -

65,091 - Environmental Health 5R01ES019179-05 93.113 1,775 - Environmental Health 5R01ES007061-22 93.113 30,549 - Environmental Health 2R01ES007061-23A1 93.113 38,063 - Environmental Health 5F32ES026227-02 93.113 56,139 - Environmental Health 4R01ES020361-05 93.113 64,986 - Environmental Health 4R00ES022983-02 93.113 76,241 - Environmental Health 2R01ES019179-06A1 93.113 109,847 - Environmental Health 5R01ES015252-09 93.113 127,783 40,124 Environmental Health 5R01ES015632-08 93.113 137,156 - Environmental Health 5R21ES025636-02 93.113 258,358 - Environmental Health 4R01ES015252-10 93.113 299,122 60,405 Environmental Health 4R01ES015632-09 93.113 324,790 - Environmental Health 5R01ES019587-05 93.113 381,973 89,642 Environmental Health 5R01ES005775-22 93.113 437,992 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-7

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Environmental Health 5R01ES023505-03 93.113 1,047,410 68,454 Environmental Health 5R01ES020361-04 93.113 1,189,700 85,526

4,581,884 344,151 Oral Diseases and Disorders Research 5R121DE023228-02 93.121 37,161 - Oral Diseases and Disorders Research 5R01DE020823-05 93.121 48,105 - Oral Diseases and Disorders Research 5R21DE022641-02 93.121 68,508 - Oral Diseases and Disorders Research 5R01DE021088-05 93.121 74,702 - Oral Diseases and Disorders Research 5R01DE013173-14 93.121 149,417 - Oral Diseases and Disorders Research 4R01DE013173-15 93.121 218,319 - Oral Diseases and Disorders Research 5R01DE022340-04 93.121 272,878 -

869,090 - Centers for Research and Demonstration for Health Promotion and Disease Prevention 1U48DP005023-01 93.135 417,071 376,383 Centers for Research and Demonstration for Health Promotion and Disease Prevention 5U48DP005023-02 93.135 625,219 448,843

1,042,290 825,226 Human Genome Research 5R21HG006742-02 93.172 2,287 - Human Genome Research 3T32HG003198-10S3 93.172 5,400 - Human Genome Research 1R01HG008383-01A1 93.172 6,936 - Human Genome Research 5T32HG003198-10 93.172 88,384 - Human Genome Research 3T32HG003198-10S2 93.172 142,757 - Human Genome Research 5R01HG007653-02 93.172 323,002 - Human Genome Research 2UHM1HG006504-05 93.172 905,177 - Human Genome Research 5U54HG006504-04 93.172 1,675,190 -

3,149,133 - Research Related to Deafness and Communication Disorders 3R01DC002174-03S1 93.173 7,707 - Research Related to Deafness and Communication Disorders 1R21DC015438-01 93.173 7,846 - Research Related to Deafness and Communication Disorders 5F31DC012985-03 93.173 15,316 - Research Related to Deafness and Communication Disorders 5R03DC010894-03 93.173 46,734 - Research Related to Deafness and Communication Disorders 5R01DC000273-32 93.173 48,421 - Research Related to Deafness and Communication Disorders 5F32DC012981-03 93.173 55,967 - Research Related to Deafness and Communication Disorders 5F32DC013507-03 93.173 61,597 - Research Related to Deafness and Communication Disorders 2R01DC001919-24 93.173 108,616 - Research Related to Deafness and Communication Disorders 2R01DC004729-16 93.173 110,267 - Research Related to Deafness and Communication Disorders 1R21DC014357-01A1 93.173 133,344 - Research Related to Deafness and Communication Disorders 5R01DC004729-15 93.173 148,544 - Research Related to Deafness and Communication Disorders 4R01DC007894-09 93.173 165,894 - Research Related to Deafness and Communication Disorders 5R01DC008130-08 93.173 170,933 - Research Related to Deafness and Communication Disorders 5R01DC007894-08 93.173 198,908 - Research Related to Deafness and Communication Disorders 5R01DC011697-13 93.173 203,219 - Research Related to Deafness and Communication Disorders 5R01DC001919-23 93.173 265,138 - Research Related to Deafness and Communication Disorders 5R01DC013791-02 93.173 329,217 - Research Related to Deafness and Communication Disorders 5R01DC002174-30 93.173 345,539 - Research Related to Deafness and Communication Disorders 5R01DC012441-04 93.173 394,379 22,585 Research Related to Deafness and Communication Disorders 5R01DC005259-43 93.173 443,926 - Research Related to Deafness and Communication Disorders 5R01DC009977-08 93.173 666,261 -

3,927,773 22,585 Research and Training in Complementary and Integrative Health 5R34AT008318-02 93.213 2,511 - Research and Training in Complementary and Integrative Health 4K23AT006703-05 93.213 44,588 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-8

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Research and Training in Complementary and Integrative Health 1R21AT008679-01 93.213 65,827 - Research and Training in Complementary and Integrative Health 1R01AT008448-01 93.213 77,835 27,804 Research and Training in Complementary and Integrative Health 5K23AT006703-04 93.213 111,303 - Research and Training in Complementary and Integrative Health 5R34AT008318-03 93.213 116,839 - Research and Training in Complementary and Integrative Health 5R01AT008448-02 93.213 343,601 135,385

762,504 163,189 National Research Service Awards Health Services Research Training 4T32HS017589-08 93.225 294,139 -

294,139 - Research on Healthcare Costs, Quality and Outcomes 5R21HS022114-02 93.226 14,322 - Research on Healthcare Costs, Quality and Outcomes 5K12HS023000-02 93.226 34,959 - Research on Healthcare Costs, Quality and Outcomes 5R21HS021858-03 93.226 135,257 15,474 Research on Healthcare Costs, Quality and Outcomes 5K01HS023900-02 93.226 155,502 - Research on Healthcare Costs, Quality and Outcomes 5K08HS021271-04 93.226 185,513 - Research on Healthcare Costs, Quality and Outcomes 5R18HS023778-02 93.226 251,438 55,596 Research on Healthcare Costs, Quality and Outcomes 5R01HS023801-02 93.226 253,480 100,791 Research on Healthcare Costs, Quality and Outcomes 1R18HS022837-02 93.226 312,658 140,237 Research on Healthcare Costs, Quality and Outcomes 1P30HS023554-01 93.226 369,924 - Research on Healthcare Costs, Quality and Outcomes 5R01HS018420-05 93.226 489,282 - Research on Healthcare Costs, Quality and Outcomes 5U18HS016978-08 93.226 631,234 359,971 Research on Healthcare Costs, Quality and Outcomes 5P30HS023554-02 93.226 685,658 - Research on Healthcare Costs, Quality and Outcomes 4U18HS016978-09 93.226 786,768 243,586

4,305,995 915,655 Mental Health Research Grants 5R01MH081877-05 93.242 418 - Mental Health Research Grants 5T32MH062994-13 93.242 1,142 - Mental Health Research Grants 2U01MH082022-06 93.242 1,386 - Mental Health Research Grants 3U01MH082022-05S2 93.242 3,548 - Mental Health Research Grants 2T32MH020031-16A1 93.242 3,802 - Mental Health Research Grants 1R21MH109032-01 93.242 10,619 - Mental Health Research Grants 5U01MH103339-03S1 93.242 13,051 - Mental Health Research Grants 3R01MH100078-03S1 93.242 14,218 - Mental Health Research Grants 5R01MH081772-06 93.242 14,364 8,351 Mental Health Research Grants 4R25MH071584-10 93.242 15,362 - Mental Health Research Grants 1R01MH108643-01 93.242 15,706 - Mental Health Research Grants 5R01MH095104-04 93.242 16,346 - Mental Health Research Grants 1R01MH107570-01A1 93.242 16,843 - Mental Health Research Grants 1F30MH107149-01A1 93.242 19,480 - Mental Health Research Grants 1R01MH108663-01A1 93.242 19,753 - Mental Health Research Grants 1R21MH110260-01 93.242 19,765 - Mental Health Research Grants 3U01MH082022-05S1 93.242 19,948 20,157 Mental Health Research Grants 3R01MH100173-02S1 93.242 21,512 - Mental Health Research Grants 5F31MH105043-03 93.242 26,631 - Mental Health Research Grants 1R01MH097796-01A1 93.242 27,060 22,302 Mental Health Research Grants 3R03MH105765-02S1 93.242 27,412 - Mental Health Research Grants 4R01MH095789-05 93.242 27,434 - Mental Health Research Grants 5F30MH106287-02 93.242 27,790 - Mental Health Research Grants 3U01MH0820022-07S1 93.242 31,206 - Mental Health Research Grants 5R01MH092953-05 93.242 33,266 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-9

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Mental Health Research Grants 5R34MH090109-03 93.242 33,329 - Mental Health Research Grants 1F32MH108283 93.242 34,332 - Mental Health Research Grants 3R01MH101514-02S1 93.242 38,085 - Mental Health Research Grants 1U01MH103339-01 93.242 40,712 39,304 Mental Health Research Grants 3R01MH103831-03S1 93.242 47,726 - Mental Health Research Grants 5U01MH103365-03 93.242 54,404 - Mental Health Research Grants 7R34MH096607-03 93.242 58,757 7,977 Mental Health Research Grants 5R01MH097796-03 93.242 60,003 - Mental Health Research Grants 5F32MH105063-03 93.242 61,124 - Mental Health Research Grants 5P30MH062294-12 93.242 64,854 47,903 Mental Health Research Grants 1R01MH109413-01 93.242 67,183 - Mental Health Research Grants 4R01MH095790-05 93.242 70,199 - Mental Health Research Grants 4R01MH100182-04 93.242 70,479 - Mental Health Research Grants 4K08MH096176-05 93.242 71,943 - Mental Health Research Grants 5K08MH096176-04 93.242 79,437 - Mental Health Research Grants 5R25MH087217-07 93.242 81,110 20,774 Mental Health Research Grants 3R01MH096957-02S1 93.242 82,994 63,542 Mental Health Research Grants 5R21MH099979-02 93.242 83,411 40,590 Mental Health Research Grants 5R01MH067528-10 93.242 85,115 - Mental Health Research Grants 5R21MH098667-02 93.242 85,129 23,704 Mental Health Research Grants 5R03MH105765-02 93.242 87,355 5,328 Mental Health Research Grants 5P50MH106934-03 93.242 90,999 - Mental Health Research Grants 5K01MH097961-03 93.242 95,366 - Mental Health Research Grants 5R37MH045481-25 93.242 97,678 - Mental Health Research Grants 5R03MH105824-02 93.242 98,426 - Mental Health Research Grants 5U01MH103339-03 93.242 100,753 - Mental Health Research Grants 3U01MH103365-02S1 93.242 103,527 - Mental Health Research Grants 5R01MH087554-05 93.242 107,879 - Mental Health Research Grants 5U01MH105630-02 93.242 112,688 - Mental Health Research Grants 5R01MH093354-04 93.242 127,347 - Mental Health Research Grants 1U01MH105972-01 93.242 127,571 - Mental Health Research Grants 3U01MH103339-02S1 93.242 128,593 7,655 Mental Health Research Grants 1R01MH108629-01 93.242 134,163 - Mental Health Research Grants 1P50MH106934-01 93.242 138,016 21,918 Mental Health Research Grants 5R25MH087217-05 93.242 138,267 117,783 Mental Health Research Grants 5K01MH093273-05 93.242 141,161 1,614 Mental Health Research Grants 5K01MH101326-03 93.242 142,716 - Mental Health Research Grants 5R21MH107464-02 93.242 144,623 - Mental Health Research Grants 5R21MH102634-02 93.242 147,496 - Mental Health Research Grants 5R01MH098073-03 93.242 150,982 150,350 Mental Health Research Grants 5K08MH099424-04 93.242 153,820 - Mental Health Research Grants 5R21MH102572-02 93.242 155,166 - Mental Health Research Grants 5K23MH103555-03 93.242 158,664 - Mental Health Research Grants 5K01MH103080-03 93.242 162,370 - Mental Health Research Grants 5U01MH105972-03 93.242 162,496 - Mental Health Research Grants 3P50MH106934-03S1 93.242 165,178 - Mental Health Research Grants 5R21MH107853-02 93.242 166,626 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-10

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Mental Health Research Grants 5K01MH104739-02 93.242 168,387 - Mental Health Research Grants 5K01MH099232-04 93.242 168,660 - Mental Health Research Grants 5R21MH100939-02 93.242 174,567 17,820 Mental Health Research Grants 3U01MH081902-07S1 93.242 183,512 58,575 Mental Health Research Grants 5K23MH101498-03 93.242 184,521 - Mental Health Research Grants 2R01MH093354-05 93.242 193,526 - Mental Health Research Grants 2U01MH081902-06A1 93.242 198,622 205,347 Mental Health Research Grants 1R34MH107633 93.242 202,462 - Mental Health Research Grants 5R01MH067073-09 93.242 210,591 - Mental Health Research Grants 5R01MH096957-03 93.242 213,162 153,031 Mental Health Research Grants 1U01MH105630-01 93.242 214,029 48,546 Mental Health Research Grants 5R34MH100456-03 93.242 216,978 - Mental Health Research Grants 5R00MH099093-05 93.242 220,665 - Mental Health Research Grants 5R25MH071584-09 93.242 222,623 - Mental Health Research Grants 5R21MH104460-02 93.242 222,859 - Mental Health Research Grants 5R25MH077823-09 93.242 245,633 - Mental Health Research Grants 5T32MH062994-14 93.242 247,914 - Mental Health Research Grants 5R01MH077681-10 93.242 252,220 - Mental Health Research Grants 4P30MH062294-14 93.242 255,123 - Mental Health Research Grants 5R01MH091037-05 93.242 256,510 - Mental Health Research Grants 5R01MH091537-04 93.242 266,266 - Mental Health Research Grants 5T32MH014276-41 93.242 267,000 - Mental Health Research Grants 5R21MH103550-02 93.242 269,358 - Mental Health Research Grants 5R01MH099045-04 93.242 274,385 - Mental Health Research Grants 5R01MH107426-02 93.242 275,242 - Mental Health Research Grants 5R01MH005286-49 93.242 281,439 - Mental Health Research Grants 5R01MH096810-04 93.242 284,299 22,261 Mental Health Research Grants 5R01MH100173-03 93.242 315,234 - Mental Health Research Grants 5R01MH095789-04 93.242 324,327 - Mental Health Research Grants 5R01MH095790-04 93.242 326,691 - Mental Health Research Grants 2T32MH018268-31 93.242 329,825 - Mental Health Research Grants 5R01MH077945-06 93.242 333,824 218,354 Mental Health Research Grants 5R01MH070902-10 93.242 337,103 - Mental Health Research Grants 5DP1MH110065-02 93.242 338,973 - Mental Health Research Grants 5R01MH107513-02 93.242 377,549 - Mental Health Research Grants 5R01MH085740-05 93.242 382,057 - Mental Health Research Grants 5U01MH106874-02 93.242 388,373 20,102 Mental Health Research Grants 5R33MH092664-05 93.242 406,129 - Mental Health Research Grants 1U01MH106874-01 93.242 416,751 55,689 Mental Health Research Grants 5R01MH093897-05 93.242 425,820 - Mental Health Research Grants 5R01MH106906-02 93.242 435,026 - Mental Health Research Grants 1U01MH106876-01 93.242 441,603 118,935 Mental Health Research Grants 5T32MH020031-17 93.242 446,310 - Mental Health Research Grants 5R01MH100064-03 93.242 451,004 - Mental Health Research Grants 5R01MH100068-03 93.242 474,354 - Mental Health Research Grants 5R01MH078143-08 93.242 476,861 337,837 Mental Health Research Grants 5U01MH106876-02 93.242 489,044 57,608

Page 53: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-11

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Mental Health Research Grants 5R01MH104459-02 93.242 509,149 - Mental Health Research Grants 5U01MH082022-07 93.242 558,074 - Mental Health Research Grants 5R01MH102365-03 93.242 565,700 - Mental Health Research Grants 5R01MH100688-03 93.242 571,349 - Mental Health Research Grants 5R01MH105910-03 93.242 581,299 - Mental Health Research Grants 5R01MH103616-02 93.242 582,370 - Mental Health Research Grants 5R01MH101514-03 93.242 585,804 - Mental Health Research Grants 5R01MH100078-03 93.242 608,014 - Mental Health Research Grants 5R01MH077939-07 93.242 633,814 - Mental Health Research Grants 5U01MH103365-02 93.242 646,985 55,650 Mental Health Research Grants 5R01MH105203-03 93.242 660,144 403,667 Mental Health Research Grants 5R01MH100182-03 93.242 672,626 - Mental Health Research Grants 5R01MH100028-03 93.242 686,750 723,572 Mental Health Research Grants 5R01MH097796-02 93.242 702,817 96,850 Mental Health Research Grants 5R01MH102342-02 93.242 709,176 100,796 Mental Health Research Grants 5U01MH081902-07 93.242 755,979 364,922 Mental Health Research Grants 5R01MH106324-02 93.242 801,579 578,751 Mental Health Research Grants 5R01MH103831-03 93.242 806,271 297,900 Mental Health Research Grants 5R01MH100914-03 93.242 864,508 177,107 Mental Health Research Grants 5U01MH103339-02 93.242 1,214,697 115,538 Mental Health Research Grants 5P50MH106934-02 93.242 1,242,323 144,488 Mental Health Research Grants 5P30MH062294-13 93.242 1,380,525 27,690 Mental Health Research Grants 5U01MH105972-02 93.242 1,600,296 - Mental Health Research Grants 5R01MH100028-04 93.242 1,819,505 889,216 Mental Health Research Grants 1U19MH108206-01 93.242 4,545,336 2,106,330

43,630,815 7,995,834 Substance Abuse and Mental Health Services Projects of Regional and National Significance 1H79TI026330-01 93.243 77,676 6,444 Substance Abuse and Mental Health Services Projects of Regional and National Significance 5U79SM061282-03 93.243 159,870 8,280 Substance Abuse and Mental Health Services Projects of Regional and National Significance 5U79SM061282-04 93.243 423,559 -

661,105 14,724 Geriatric Academic Career Awards 5K01HP20507-05 93.250 11,976 - Occupational Safety and Health Program 5R21OH010494-02 93.262 7,258 - Occupational Safety and Health Program 5R21OH010438-02 93.262 58,942 - Occupational Safety and Health Program 5K01OH010681-02 93.262 93,618 - Occupational Safety and Health Program 5T03OH008607-11 93.262 134,370 -

306,164 - Health Systems Strengthening and HIV/AIDS Prevention, Care and Treatment under the President's Emergency Plan for AIDS Relief 5R21HS023897-02 93.266 106,368 - Health Systems Strengthening and HIV/AIDS Prevention, Care and Treatment under the President's Emergency Plan for AIDS Relief 5K12HS023000-02 93.266 542,274 -

648,642 - Alcohol Research Career Development Awards for Scientists and Clinicians 5K01AA019694-05 93.271 25,672 -

25,672 - Alcohol Research Programs 1R01AA024466-01 93.273 222 - Alcohol Research Programs 5P50AA012870-12 93.273 800 - Alcohol Research Programs 5K05AA014715-10 93.273 2,088 - Alcohol Research Programs 1R21AA024404-01 93.273 3,126 1,877

Page 54: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-12

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Alcohol Research Programs 5R01AA011330-13 93.273 6,676 - Alcohol Research Programs 5R03AA022232-02 93.273 13,222 - Alcohol Research Programs 5P50AA012870-13 93.273 14,463 14,463 Alcohol Research Programs 3R01AA020388-04S1 93.273 19,047 - Alcohol Research Programs 3R01AA018923-01S1 93.273 19,749 - Alcohol Research Programs 4R01AA021984-04 93.273 22,727 - Alcohol Research Programs 1R21AA023237-01A1 93.273 23,299 - Alcohol Research Programs 1R13AA024046-01 93.273 28,760 - Alcohol Research Programs 5R01AA018944-05 93.273 32,983 3,905 Alcohol Research Programs 5F31AA024673-02 93.273 33,205 - Alcohol Research Programs 7F32AA023699-02 93.273 45,860 - Alcohol Research Programs 5R01AA020388-04 93.273 49,606 - Alcohol Research Programs 5R21AA022870-02 93.273 50,330 - Alcohol Research Programs 5R21AA021866-02 93.273 55,945 - Alcohol Research Programs 5U13AA022864-03 93.273 70,055 - Alcohol Research Programs 5R03AA022500-02 93.273 75,101 - Alcohol Research Programs 5R21AA021380-02 93.273 75,594 - Alcohol Research Programs 5R21AA023068-02 93.273 83,085 - Alcohol Research Programs 5R01AA018923-05 93.273 85,593 - Alcohol Research Programs 5R21AA020319-02 93.273 98,046 - Alcohol Research Programs 5K08AA017921-06 93.273 102,808 - Alcohol Research Programs 2P50AA012870-16 93.273 105,973 - Alcohol Research Programs 5R21AA024257-02 93.273 109,917 - Alcohol Research Programs 1U01AA021724-01A1 93.273 116,799 20,933 Alcohol Research Programs 5R21AA023150-02 93.273 126,077 - Alcohol Research Programs 5R01AA021449-03 93.273 129,575 - Alcohol Research Programs 5K01AA023321-02 93.273 129,837 - Alcohol Research Programs 5R21AA023599-02 93.273 133,038 - Alcohol Research Programs 5R01AA023549-02 93.273 139,501 113,739 Alcohol Research Programs 5K08AA023545-02 93.273 165,112 - Alcohol Research Programs 5R01AA020095-05 93.273 168,393 - Alcohol Research Programs 5K23AA020000-05 93.273 175,803 - Alcohol Research Programs 5R01AA023733-02 93.273 176,064 - Alcohol Research Programs 5U01AA020790-05 93.273 179,642 144,682 Alcohol Research Programs 5R01AA022285-03 93.273 194,746 - Alcohol Research Programs 5P50AA012870-14 93.273 222,110 220,331 Alcohol Research Programs 5U24AA020794-04 93.273 226,484 99,891 Alcohol Research Programs 5U24AA022001-04 93.273 241,217 140,835 Alcohol Research Programs 5U24AA022001-03 93.273 263,235 213,142 Alcohol Research Programs 5U10AA020795-04 93.273 275,532 191,884 Alcohol Research Programs 5U01AA020790-04 93.273 283,532 278,800 Alcohol Research Programs 5R01AA017535-05 93.273 310,105 154,247 Alcohol Research Programs 5U01AA021724-02 93.273 339,447 - Alcohol Research Programs 5R24AA022057-05 93.273 346,312 53,401 Alcohol Research Programs 5U10AA020795-05 93.273 352,906 136,312 Alcohol Research Programs 5R01AA020504-04 93.273 446,394 - Alcohol Research Programs 5R01AA022083-03 93.273 565,644 -

Page 55: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-13

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Alcohol Research Programs 5R01AA013892-12 93.273 599,042 - Alcohol Research Programs 5R01AA021818-03 93.273 629,445 - Alcohol Research Programs 5R01AA021984-03 93.273 703,370 - Alcohol Research Programs 5U24AA020794-05 93.273 708,088 30,322

9,575,730 1,818,764 Drug Abuse and Addiction Research Programs 5U01DA033267-03 93.279 - 1,132 Drug Abuse and Addiction Research Programs 5T32DA019426-10 93.279 39 - Drug Abuse and Addiction Research Programs 5R03DA033178-02 93.279 66 - Drug Abuse and Addiction Research Programs 5R01DA033733-02 93.279 321 322 Drug Abuse and Addiction Research Programs 2T32DA022975-06A1 93.279 378 - Drug Abuse and Addiction Research Programs 5T32DA031104-04 93.279 855 - Drug Abuse and Addiction Research Programs 5K24DA017072-10 93.279 2,146 - Drug Abuse and Addiction Research Programs 5R01DA017294-09 93.279 2,814 2,814 Drug Abuse and Addiction Research Programs 1R56DA040699-01A1 93.279 2,888 - Drug Abuse and Addiction Research Programs 3R01DA034243-04S1 93.279 4,177 - Drug Abuse and Addiction Research Programs 5R01DA029330-05 93.279 4,995 - Drug Abuse and Addiction Research Programs 2P50DA009241-21S 93.279 5,175 - Drug Abuse and Addiction Research Programs 1R21DA040782 93.279 5,205 - Drug Abuse and Addiction Research Programs 1F30DA041247-01A1 93.279 6,801 - Drug Abuse and Addiction Research Programs 3R01DA033679-04S1 93.279 7,927 - Drug Abuse and Addiction Research Programs 1R21DA040454-01A1 93.279 8,195 - Drug Abuse and Addiction Research Programs 5R01DA024695-04 93.279 8,215 8,215 Drug Abuse and Addiction Research Programs 5K01DA029040-05 93.279 11,018 - Drug Abuse and Addiction Research Programs 5P50DA033945-03 93.279 12,626 - Drug Abuse and Addiction Research Programs 4K02DA031750-05 93.279 15,867 - Drug Abuse and Addiction Research Programs 5R01DA035001-03S1 93.279 15,942 - Drug Abuse and Addiction Research Programs 3R01DA030768-02S1 93.279 16,078 4,276 Drug Abuse and Addiction Research Programs 1R01DA039136-01A1 93.279 18,405 - Drug Abuse and Addiction Research Programs 1R21DA041953-01 93.279 19,228 - Drug Abuse and Addiction Research Programs 3R01DA035058-01A1S2 93.279 19,459 - Drug Abuse and Addiction Research Programs 1R01DA039924-01A1 93.279 22,526 - Drug Abuse and Addiction Research Programs 5F30DA037665-02 93.279 26,901 - Drug Abuse and Addiction Research Programs 5F30DA039716-02 93.279 28,436 - Drug Abuse and Addiction Research Programs 5R01DA011744-12 93.279 35,053 - Drug Abuse and Addiction Research Programs 1K01DA039299-01A1 93.279 37,835 - Drug Abuse and Addiction Research Programs 5R21DA040852-02 93.279 38,396 - Drug Abuse and Addiction Research Programs 3R01DA030369-04S1 93.279 40,426 - Drug Abuse and Addiction Research Programs 4R01DA016750-13 93.279 41,873 - Drug Abuse and Addiction Research Programs 5R21DA034875-02 93.279 42,019 - Drug Abuse and Addiction Research Programs 5R01DA025613-04 93.279 48,908 - Drug Abuse and Addiction Research Programs 3R01DA034678-02S1 93.279 51,213 16,490 Drug Abuse and Addiction Research Programs 5K12DA000167-23 93.279 69,695 - Drug Abuse and Addiction Research Programs 5R21DA035924-02 93.279 73,919 - Drug Abuse and Addiction Research Programs 5R01DA026414-04 93.279 76,514 48,747 Drug Abuse and Addiction Research Programs 3R01DA030768-05S1 93.279 76,963 - Drug Abuse and Addiction Research Programs 5R21DA038253-02 93.279 79,668 - Drug Abuse and Addiction Research Programs 5P30DA018343-12 93.279 90,082 -

Page 56: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-14

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Drug Abuse and Addiction Research Programs 5R21DA039038-02 93.279 90,306 - Drug Abuse and Addiction Research Programs 5R21DA038821-02 93.279 91,895 - Drug Abuse and Addiction Research Programs 5R03DA031592-02 93.279 93,216 - Drug Abuse and Addiction Research Programs 3U01DA033267-03S1 93.279 95,416 - Drug Abuse and Addiction Research Programs 4P50DA033945-05 93.279 97,528 - Drug Abuse and Addiction Research Programs 5R01DA029910-05 93.279 99,638 56,441 Drug Abuse and Addiction Research Programs 5R01DA041067-02 93.279 101,693 - Drug Abuse and Addiction Research Programs 5K01DA029643-05 93.279 101,792 - Drug Abuse and Addiction Research Programs 5R21DA037690-02 93.279 101,863 12,117 Drug Abuse and Addiction Research Programs 5K02DA031750-04 93.279 107,539 - Drug Abuse and Addiction Research Programs 5K01DA038207-02 93.279 109,070 1,936 Drug Abuse and Addiction Research Programs 1R01DA038832-01A1 93.279 109,496 - Drug Abuse and Addiction Research Programs 5K25DA040032-02 93.279 116,027 - Drug Abuse and Addiction Research Programs 5R21DA034815-02 93.279 125,685 14,971 Drug Abuse and Addiction Research Programs 5R21DA037657-02 93.279 125,869 - Drug Abuse and Addiction Research Programs 5T32DA031104-05 93.279 127,325 - Drug Abuse and Addiction Research Programs 5K08DA029641-05 93.279 129,711 - Drug Abuse and Addiction Research Programs 4K12DA033312-04 93.279 130,140 - Drug Abuse and Addiction Research Programs 3R01DA029330-05S1 93.279 136,820 - Drug Abuse and Addiction Research Programs 5R03DA039745-02 93.279 138,358 - Drug Abuse and Addiction Research Programs 5K01DA038529-03 93.279 150,050 - Drug Abuse and Addiction Research Programs 3R01DA035058-02A1S1 93.279 154,423 52,700 Drug Abuse and Addiction Research Programs 3R01DA023999-07S1 93.279 158,247 - Drug Abuse and Addiction Research Programs 4R01DA033679-05 93.279 165,683 116,430 Drug Abuse and Addiction Research Programs 5K23DA033858-04 93.279 167,817 - Drug Abuse and Addiction Research Programs 5K08DA037525-03 93.279 172,882 17,603 Drug Abuse and Addiction Research Programs 5K02DA032322-05 93.279 175,513 - Drug Abuse and Addiction Research Programs 5R01DA030369-03 93.279 176,209 - Drug Abuse and Addiction Research Programs 5K01DA034125-04 93.279 183,289 - Drug Abuse and Addiction Research Programs 7R01DA032080-06 93.279 189,331 31,970 Drug Abuse and Addiction Research Programs 5K12DA031050-05 93.279 193,648 - Drug Abuse and Addiction Research Programs 5R01DA016750-12 93.279 198,591 - Drug Abuse and Addiction Research Programs 5R01DA035775-03 93.279 198,847 19,612 Drug Abuse and Addiction Research Programs 5K01DA037826-03 93.279 203,167 - Drug Abuse and Addiction Research Programs 4DP1DA036463-04 93.279 217,666 - Drug Abuse and Addiction Research Programs 5T32DA007238-25 93.279 241,958 - Drug Abuse and Addiction Research Programs 5R01DA029888-05 93.279 242,055 111,291 Drug Abuse and Addiction Research Programs 5R01DA029577-04 93.279 251,482 - Drug Abuse and Addiction Research Programs 5R21DA038048-02 93.279 254,323 32,184 Drug Abuse and Addiction Research Programs 5R01DA027194-05 93.279 257,783 19,254 Drug Abuse and Addiction Research Programs 5R01DA038807-02 93.279 271,289 84,440 Drug Abuse and Addiction Research Programs 5R01DA007259-22 93.279 294,450 - Drug Abuse and Addiction Research Programs 5R01DA015577-09 93.279 300,826 - Drug Abuse and Addiction Research Programs 5R01DA035616-03 93.279 307,197 - Drug Abuse and Addiction Research Programs 5R01DA034678-03 93.279 310,109 85,285 Drug Abuse and Addiction Research Programs 5R01DA030768-05 93.279 314,734 224,692 Drug Abuse and Addiction Research Programs 5R01DA030420-05 93.279 321,463 6,213

Page 57: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-15

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Drug Abuse and Addiction Research Programs 5R01DA031275-05 93.279 323,756 62,733 Drug Abuse and Addiction Research Programs 4R01DA030369-04 93.279 329,108 - Drug Abuse and Addiction Research Programs 5T32DA022975-07 93.279 338,169 - Drug Abuse and Addiction Research Programs 5R01DA015969-13 93.279 352,975 - Drug Abuse and Addiction Research Programs 5T32DA019426-11 93.279 360,654 - Drug Abuse and Addiction Research Programs 5R01DA038709-02 93.279 364,008 - Drug Abuse and Addiction Research Programs 5R01DA014241-13 93.279 393,089 - Drug Abuse and Addiction Research Programs 5R01DA037974-02 93.279 397,702 63,866 Drug Abuse and Addiction Research Programs 5K12DA033312-03 93.279 398,313 - Drug Abuse and Addiction Research Programs 5R01DA037566-03 93.279 445,586 - Drug Abuse and Addiction Research Programs 5R01DA030762-05 93.279 448,576 59,766 Drug Abuse and Addiction Research Programs 5R01DA027405-05 93.279 455,616 144,640 Drug Abuse and Addiction Research Programs 5R01DA017294-11 93.279 456,769 112,631 Drug Abuse and Addiction Research Programs 5R01DA035001-03 93.279 460,312 - Drug Abuse and Addiction Research Programs 5R01DA023248-07 93.279 462,702 - Drug Abuse and Addiction Research Programs 5K12DA000167-24 93.279 467,525 - Drug Abuse and Addiction Research Programs 5R01DA039132-02 93.279 475,155 - Drug Abuse and Addiction Research Programs 5R01DA035058-03 93.279 480,125 - Drug Abuse and Addiction Research Programs 5R01DA029910-07 93.279 513,675 13,383 Drug Abuse and Addiction Research Programs 5R01DA026797-05 93.279 514,285 57,332 Drug Abuse and Addiction Research Programs 5R01DA033679-04 93.279 543,424 259,617 Drug Abuse and Addiction Research Programs 2P50DA009241-21 93.279 620,845 335,943 Drug Abuse and Addiction Research Programs 5R01DA023999-08 93.279 675,065 77,939 Drug Abuse and Addiction Research Programs 5DP1DA036463-03 93.279 709,252 84,528 Drug Abuse and Addiction Research Programs 5R01DA034243-04 93.279 905,267 - Drug Abuse and Addiction Research Programs 5R01DA012690-13 93.279 965,483 221,310 Drug Abuse and Addiction Research Programs 5P50DA033945-04 93.279 1,049,476 - Drug Abuse and Addiction Research Programs 2P30DA018343-11A1 93.279 1,063,470 5,065 Drug Abuse and Addiction Research Programs 5P50DA009241-22 93.279 2,056,466 402,260

26,398,514 2,870,148 Mental Health Research Career/Scientist Development Awards 5K01MH092681-05 93.281 111,529 -

111,529 - Mental Health National Research Service Awards for Research Training 5T32MH019961-18 93.282 303 - Mental Health National Research Service Awards for Research Training 5F31MH099706-03 93.282 3,746 - Mental Health National Research Service Awards for Research Training 5T32MH014235-40 93.282 209,515 - Mental Health National Research Service Awards for Research Training 5T32MH019961-19 93.282 252,005 -

465,569 - Discovery and Applied Research for Technological Innovations to Improve Human Health 5R01EB000487-21 93.286 - 3,075 Discovery and Applied Research for Technological Innovations to Improve Human Health 5R01EB011968-04 93.286 1,532 - Discovery and Applied Research for Technological Innovations to Improve Human Health 1R03EB021430-01 93.286 20,230 - Discovery and Applied Research for Technological Innovations to Improve Human Health 5F31EB018720-02 93.286 35,698 - Discovery and Applied Research for Technological Innovations to Improve Human Health 5K08EB018978-02 93.286 185,018 - Discovery and Applied Research for Technological Innovations to Improve Human Health 5R01EB012289-05 93.286 234,779 - Discovery and Applied Research for Technological Innovations to Improve Human Health 5R01EB014861-04 93.286 271,272 - Discovery and Applied Research for Technological Innovations to Improve Human Health 5R01EB016978-03 93.286 449,209 - Discovery and Applied Research for Technological Innovations to Improve Human Health 5R01EB016629-03 93.286 914,763 321,741

2,112,501 324,816

Page 58: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-16

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

National Community Centers of Excellence in Women's Health 5CCEWH111021-05-01 93.290 331,034 26,435 331,034 26,435

Minority Health and Health Disparities Research 3U24MD006938-05S1 93.307 48,225 - Minority Health and Health Disparities Research 5R01MD005879-05 93.307 215,252 113,607 Minority Health and Health Disparities Research 5U24MD006938-04 93.307 311,953 264,001 Minority Health and Health Disparities Research 5U24MD006938-05 93.307 635,002 332,299

1,210,432 709,907 Trans-NIH Research Support 5UH3TR000967-03 93.310 16,787 - Trans-NIH Research Support 3UH3TR000960-02S1 93.310 27,797 - Trans-NIH Research Support 1DP2OD008624-01 93.310 39,814 - Trans-NIH Research Support 5U01MH104984-03 93.310 57,374 - Trans-NIH Research Support 4DP1AG047744-04 93.310 61,551 - Trans-NIH Research Support 5DP1DK098058-05 93.310 73,688 - Trans-NIH Research Support 5UH3TR000960-03 93.310 84,098 - Trans-NIH Research Support 1U01EB21232-01 93.310 236,423 - Trans-NIH Research Support 5DP1CA174418-05 93.310 279,111 - Trans-NIH Research Support 5U01MH104984-02 93.310 343,405 - Trans-NIH Research Support 5DP5OD012109-04 93.310 372,913 - Trans-NIH Research Support 5R01DK094934-04S1 93.310 430,494 126,805 Trans-NIH Research Support 1DP2GM114830-01 93.310 533,557 - Trans-NIH Research Support 5R33GM114257-02 93.310 545,532 - Trans-NIH Research Support 1DP2CA186575-01 93.310 580,400 - Trans-NIH Research Support 4UH3TR000960-02 93.310 690,904 - Trans-NIH Research Support 1DP2GM105456-01 93.310 767,186 - Trans-NIH Research Support 5DP1AG047744-03 93.310 829,897 - Trans-NIH Research Support 1DP2OD008429-01 93.310 969,909 - Trans-NIH Research Support 4UH3TR000967-02 93.310 2,827,137 2,354,212

9,767,977 2,481,017 National Center for Advancing Translational Sciences 5UL1TR000142-09 93.350 85 - National Center for Advancing Translational Sciences 5UL1TR000142-09 93.350 1,291 - National Center for Advancing Translational Sciences 5KL2TR000140-09 93.350 2,568 - National Center for Advancing Translational Sciences 5TL1TR000141-09 93.350 8,910 - National Center for Advancing Translational Sciences 5TL1TR000141-10 93.350 327,122 -

339,976 - Research Infrastructure Programs 4R24OD016474-04 93.351 50,393 9,340 Research Infrastructure Programs 7R21OD012387-03 93.351 112,158 - Research Infrastructure Programs 1S10OD019967-01 93.351 135,183 - Research Infrastructure Programs 5R25OD011112-05 93.351 214,085 - Research Infrastructure Programs 1S10OD020045-01 93.351 431,250 - Research Infrastructure Programs 5R24OD016474-03 93.351 691,703 508,327 Research Infrastructure Programs S10OD018521-01 93.351 889,813 - Research Infrastructure Programs 1S10OD018527-01 93.351 1,999,998 -

4,524,583 517,667 Nursing Research 5P20NR014126-03 93.361 2,969 - Nursing Research 5R21NR013970-02 93.361 29,656 24,141 Nursing Research 5K23NR014107-03 93.361 69,072 - Nursing Research 5K23NR014661-03 93.361 136,640 -

Page 59: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-17

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Nursing Research 5R21NR014318-02 93.361 141,037 - Nursing Research 5R00NR014675-04 93.361 189,459 - Nursing Research 5P20NR014126-04 93.361 248,199 - Nursing Research 5T32NR008346-12 93.361 273,980 - Nursing Research 5R01NR016191-02 93.361 440,486 5,675 Nursing Research 5R01NR013520-03 93.361 942,286 111,915

2,473,784 141,731 National Center for Research Resources 5KL2RR024138-10 93.389 803,840 - National Center for Research Resources 5UL1TR000142-10 93.389 1,277,158 - National Center for Research Resources 5UL1TR000142-10 93.389 2,533,734 - National Center for Research Resources 5UL1TR000142-10 93.389 4,651,805 -

9,266,537 - Cancer Cause and Prevention Research 1R01CA206465-01 93.393 6,243 - Cancer Cause and Prevention Research 5R03CA173810-02 93.393 7,268 - Cancer Cause and Prevention Research 5R01CA134276-05 93.393 21,447 - Cancer Cause and Prevention Research 5R03CA167765-02 93.393 25,617 - Cancer Cause and Prevention Research 4R01CA169103-05 93.393 26,763 - Cancer Cause and Prevention Research 4R01CA129037-09 93.393 35,792 - Cancer Cause and Prevention Research 1R21CA200506-01 93.393 37,296 - Cancer Cause and Prevention Research 5R01CA116753-09 93.393 38,575 - Cancer Cause and Prevention Research 5R21CA191383-02 93.393 45,494 - Cancer Cause and Prevention Research 3U01CA164252-02S1 93.393 46,906 - Cancer Cause and Prevention Research 5R03CA182984-02 93.393 53,821 - Cancer Cause and Prevention Research 5R21CA163160-02 93.393 54,018 - Cancer Cause and Prevention Research 4R01CA029303-35 93.393 59,860 - Cancer Cause and Prevention Research 5R01CA098727-13 93.393 65,423 - Cancer Cause and Prevention Research 5R01CA154653-04 93.393 65,750 - Cancer Cause and Prevention Research 4R01CA168733-04 93.393 90,010 - Cancer Cause and Prevention Research 5R01CA141479-05 93.393 113,927 - Cancer Cause and Prevention Research 4R01CA116753-10 93.393 136,407 - Cancer Cause and Prevention Research 5R21CA198187-02 93.393 157,054 - Cancer Cause and Prevention Research 1R01CA202816-01 93.393 157,847 - Cancer Cause and Prevention Research 5R01CA157461-05 93.393 163,668 - Cancer Cause and Prevention Research 2R01CA102703-11 93.393 173,536 - Cancer Cause and Prevention Research 4R01CA168635-04 93.393 202,642 - Cancer Cause and Prevention Research 5R21CA182280-02 93.393 232,457 - Cancer Cause and Prevention Research 1R01CA193300-01 93.393 246,872 - Cancer Cause and Prevention Research 5R01CA168733-03 93.393 261,743 - Cancer Cause and Prevention Research 5R01CA168635-03 93.393 269,786 - Cancer Cause and Prevention Research 5R01CA129037-08 93.393 273,649 - Cancer Cause and Prevention Research 4R01CA098727-14 93.393 279,185 - Cancer Cause and Prevention Research 5R01CA156689-05 93.393 361,786 164,736 Cancer Cause and Prevention Research 5R01CA029303-34 93.393 378,620 - Cancer Cause and Prevention Research 5R01CA169103-04 93.393 425,479 51,299 Cancer Cause and Prevention Research 5R01CA190017-03 93.393 463,595 - Cancer Cause and Prevention Research 5R01CA151933-04 93.393 473,399 34,292 Cancer Cause and Prevention Research 5R01CA195654-02 93.393 513,179 -

Page 60: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-18

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Cancer Cause and Prevention Research 5R01CA037157-33 93.393 603,169 - Cancer Cause and Prevention Research 5P01CA016038-42 93.393 703,868 -

7,272,151 250,327 Cancer Detection and Diagnosis Research 5R01CA135110-06 93.394 26,967 - Cancer Detection and Diagnosis Research 1R01CA197486-01A1 93.394 31,215 - Cancer Detection and Diagnosis Research 5R01CA140102-05 93.394 84,724 - Cancer Detection and Diagnosis Research 5R01CA195493-02 93.394 184,393 - Cancer Detection and Diagnosis Research 1R33CA196411-01 93.394 219,768 107,818 Cancer Detection and Diagnosis Research 5R01CA142774-04 93.394 236,103 - Cancer Detection and Diagnosis Research 7R01CA160771-05 93.394 428,949 72,618 Cancer Detection and Diagnosis Research 5R01CA155196-05 93.394 647,613 186,792

1,859,732 367,228 Cancer Treatment Research 1UM1CA186689-01 93.395 - 34,056 Cancer Treatment Research 2R01CA149128-06A1 93.395 17,295 - Cancer Treatment Research 3UM1CA186689-03S1 93.395 33,185 - Cancer Treatment Research 4R01CA161048-05 93.395 45,714 - Cancer Treatment Research 5R01CA138556-05 93.395 47,019 469 Cancer Treatment Research 1R21CA02525-01 93.395 88,547 - Cancer Treatment Research 5R01CA161048-04 93.395 159,779 - Cancer Treatment Research 5U10CA180826-03 93.395 160,397 - Cancer Treatment Research 5R01CA149128-05 93.395 172,715 - Cancer Treatment Research 5R21CA187862-02 93.395 172,974 - Cancer Treatment Research 5R01CA175577-03 93.395 174,146 - Cancer Treatment Research 5R21CA198561-02 93.395 199,660 - Cancer Treatment Research 5UM1CA186689-03 93.395 232,763 - Cancer Treatment Research 5R01CA188359-02 93.395 234,059 - Cancer Treatment Research 5R01CA154460-05 93.395 313,892 - Cancer Treatment Research 5R01CA170741-04 93.395 389,883 226,101 Cancer Treatment Research 5R01CA177719-02 93.395 405,090 121,650 Cancer Treatment Research 5R01CA172391-03 93.395 407,368 - Cancer Treatment Research 5R01CA199004-02 93.395 426,124 - Cancer Treatment Research 5R01CA158167-05 93.395 454,087 41,799 Cancer Treatment Research 5U10CA180826-02 93.395 507,803 - Cancer Treatment Research 5R01CA178254-03 93.395 530,349 - Cancer Treatment Research 1R35CA197589-01 93.395 849,926 - Cancer Treatment Research 5UM1CA186689-02 93.395 864,423 132,832 Cancer Treatment Research 5P01CA154295-05 93.395 1,044,985 100,478

7,932,183 657,385 Cancer Biology Research 7R03CA187021-03 93.396 16,056 - Cancer Biology Research 5R01CA126801-06 93.396 17,397 - Cancer Biology Research 1R01CA196566-01A1 93.396 23,643 - Cancer Biology Research 7R01CA112552-11 93.396 42,237 - Cancer Biology Research 1R01CA196660-01A1 93.396 47,744 - Cancer Biology Research 7U01CA155758-04 93.396 47,849 47,849 Cancer Biology Research 5R03CA194967-02 93.396 73,907 - Cancer Biology Research 3R01CA168670-02S1 93.396 80,544 - Cancer Biology Research 1R21CA201986-01 93.396 91,794 -

Page 61: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-19

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Cancer Biology Research 4R01CA069408-20 93.396 92,260 - Cancer Biology Research 4R01CA106802-11 93.396 93,834 - Cancer Biology Research 7R01CA149258-06 93.396 95,858 17,155 Cancer Biology Research 1R21CA195077-01A1 93.396 120,342 - Cancer Biology Research 5U01CA155758-05 93.396 136,971 89,547 Cancer Biology Research 5R21CA197758-02 93.396 140,694 - Cancer Biology Research 5R01CA133346-06 93.396 141,078 - Cancer Biology Research 5U01CA155758-06 93.396 144,405 - Cancer Biology Research 5R21CA187863-02 93.396 174,925 - Cancer Biology Research 1R01CA200919 93.396 181,731 - Cancer Biology Research 4R01CA133346-07 93.396 183,586 - Cancer Biology Research 5R21CA177393-03 93.396 197,456 99,601 Cancer Biology Research 5R21CA191548-02 93.396 198,466 - Cancer Biology Research 5R21CA191364-02 93.396 215,754 - Cancer Biology Research 5R01CA149109-05 93.396 216,809 - Cancer Biology Research 5R21CA185192-02 93.396 231,358 - Cancer Biology Research 5R01CA069408-19 93.396 235,525 - Cancer Biology Research 5R01CA166376-04 93.396 235,762 - Cancer Biology Research 5R01CA106802-10 93.396 286,634 - Cancer Biology Research 5R01CA080830-18 93.396 342,191 110,887 Cancer Biology Research 5R01CA191489-02 93.396 379,611 - Cancer Biology Research 5U01CA176067-03 93.396 401,966 3,751 Cancer Biology Research 1R01CA198164-01 93.396 405,269 - Cancer Biology Research 5R01CA168670-03 93.396 473,428 - Cancer Biology Research 5R01CA195720-02 93.396 651,657 -

6,418,741 368,790 Cancer Centers Support Grants 5P50CA121974-08 93.397 366,363 - Cancer Centers Support Grants 1P50CA196530-01 93.397 1,691,821 76,311 Cancer Centers Support Grants 5P50CA121974-09 93.397 1,869,431 - Cancer Centers Support Grants 5P30CA016359-36 93.397 3,126,415 -

7,054,030 76,311 Cancer Research Manpower 5F31CA180775-02 93.398 1,034 - Cancer Research Manpower 5R25CA177553-02 93.398 4,757 2,168 Cancer Research Manpower 5T32CA105666-10 93.398 6,448 - Cancer Research Manpower 5F32CA165705-03 93.398 9,516 - Cancer Research Manpower 1F31CA203254-01 93.398 9,843 - Cancer Research Manpower 4F31CA183571-03 93.398 10,246 - Cancer Research Manpower 1K08CA191019-01A1 93.398 15,661 - Cancer Research Manpower 1F31CA203488-01 93.398 15,763 - Cancer Research Manpower 5F31CA183571-02 93.398 16,651 - Cancer Research Manpower 5K99CA187594-02 93.398 19,021 - Cancer Research Manpower 5F31CA177153-02 93.398 19,946 - Cancer Research Manpower 4K08CA169005-04 93.398 23,546 - Cancer Research Manpower 5F31CA174324-02 93.398 24,712 - Cancer Research Manpower 5F31OCA196089-02 93.398 26,727 - Cancer Research Manpower 5F30CA192899-02 93.398 27,433 - Cancer Research Manpower 5F30CA196191-02 93.398 27,720 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-20

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Cancer Research Manpower 5F32CA174265-03 93.398 30,323 - Cancer Research Manpower 5F30CA196020-02 93.398 36,490 - Cancer Research Manpower 5F30CA183530-03 93.398 45,734 - Cancer Research Manpower 5F30CA186626-02 93.398 48,415 - Cancer Research Manpower 5F30CA180591-03 93.398 50,277 - Cancer Research Manpower 5K08CA151645-05 93.398 55,985 - Cancer Research Manpower 5K08CA169005-03 93.398 80,831 - Cancer Research Manpower 5K99CA190886-02 93.398 89,392 - Cancer Research Manpower 5K08CA172580-04 93.398 144,735 - Cancer Research Manpower 5K01CA168977-04 93.398 148,000 - Cancer Research Manpower 5K24CA172123-03 93.398 192,215 - Cancer Research Manpower 5K24CA111717-10 93.398 244,262 42,726 Cancer Research Manpower 5R25CA177553-03 93.398 277,667 109,281

1,703,350 154,175 Child Abuse and Neglect Discretionary Activities 90CA1833-01-01 93.670 43,877 - Child Abuse and Neglect Discretionary Activities 90CA183302 93.670 125,441 -

169,318 - Cardiovascular Diseases Research 5R21HL103463-02 93.837 325 - Cardiovascular Diseases Research 1R56HL117064-01A1 93.837 491 - Cardiovascular Diseases Research 5R21HL107768-02 93.837 611 - Cardiovascular Diseases Research 5T32HL007950-14 93.837 3,454 - Cardiovascular Diseases Research 3R01HL118346-02S1 93.837 5,361 - Cardiovascular Diseases Research 5R01HL081190-10 93.837 8,406 - Cardiovascular Diseases Research 1F32HL132475-01 93.837 10,670 - Cardiovascular Diseases Research 4K23HL114868-05 93.837 11,361 - Cardiovascular Diseases Research 4K23HL118147-04 93.837 11,800 - Cardiovascular Diseases Research 4R01HL115148-04 93.837 13,554 - Cardiovascular Diseases Research 1F32HL131270-01 93.837 18,441 - Cardiovascular Diseases Research 5T32HL098069-05 93.837 19,949 - Cardiovascular Diseases Research 5F21HL129563-02 93.837 25,341 - Cardiovascular Diseases Research 4R01HL062289-18 93.837 26,862 - Cardiovascular Diseases Research 5R01HL105297-04 93.837 27,419 7,907 Cardiovascular Diseases Research 1R01HL133018-01 93.837 30,813 - Cardiovascular Diseases Research 3R01HL116742-02S1 93.837 31,265 - Cardiovascular Diseases Research 4R01HL116742-04S1 93.837 36,212 - Cardiovascular Diseases Research 5R21HL118611-02 93.837 38,242 35,939 Cardiovascular Diseases Research 5F30HL123238-02 93.837 40,465 - Cardiovascular Diseases Research 4U01HL116323-04 93.837 44,362 - Cardiovascular Diseases Research 5R01HL111504-04 93.837 45,684 - Cardiovascular Diseases Research 4R01HL116705-04 93.837 46,868 - Cardiovascular Diseases Research 5F30HL120497-03 93.837 49,056 - Cardiovascular Diseases Research 4R01HL114820-04 93.837 51,171 - Cardiovascular Diseases Research 5F32HL119147-03 93.837 56,431 - Cardiovascular Diseases Research 5K23HL103720-05 93.837 57,051 - Cardiovascular Diseases Research 1R01HL125850-01A1 93.837 57,803 - Cardiovascular Diseases Research 5F32HL127948-02 93.837 59,294 - Cardiovascular Diseases Research 1UH2HL123886-01 93.837 63,174 20,902

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-21

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Cardiovascular Diseases Research 5R01HL115295-03 93.837 64,406 - Cardiovascular Diseases Research 1R01HL131793-01 93.837 64,676 - Cardiovascular Diseases Research 1R01HL128406-01A1 93.837 78,715 - Cardiovascular Diseases Research 1R01HL126933-01 93.837 85,770 - Cardiovascular Diseases Research 4R01HL086418-09 93.837 98,137 - Cardiovascular Diseases Research 5R21HL120783-02 93.837 104,931 - Cardiovascular Diseases Research 5U01HL098162-06 93.837 105,522 64,890 Cardiovascular Diseases Research 5K23HL116641-03 93.837 110,378 - Cardiovascular Diseases Research 5R01HL106815-06 93.837 110,991 - Cardiovascular Diseases Research 4R01HL112992-04 93.837 116,029 2,632 Cardiovascular Diseases Research 5R01HL128973-02 93.837 120,952 - Cardiovascular Diseases Research 5K01HL125514-02 93.837 126,356 - Cardiovascular Diseases Research 5R01HL081153-05 93.837 127,104 - Cardiovascular Diseases Research 5U01HL116323-02 93.837 128,644 64,091 Cardiovascular Diseases Research 2R56HL095498-06 93.837 131,439 - Cardiovascular Diseases Research 1K99HL125895-01 93.837 131,759 - Cardiovascular Diseases Research 1R01HL131952-01 93.837 132,124 - Cardiovascular Diseases Research 5K23HL114868-04 93.837 132,778 - Cardiovascular Diseases Research 5R01HL109455-04 93.837 134,220 - Cardiovascular Diseases Research 5R01HL085416-10 93.837 137,645 - Cardiovascular Diseases Research 5K01HL125474-02 93.837 137,814 - Cardiovascular Diseases Research 4R33HL120783-03 93.837 145,665 - Cardiovascular Diseases Research 2T32HL098069-06 93.837 154,275 - Cardiovascular Diseases Research 5U01HL105270-04 93.837 154,845 1,348 Cardiovascular Diseases Research 5K23HL118147-03 93.837 157,263 48,289 Cardiovascular Diseases Research 2R01HL107953-06A1 93.837 163,115 - Cardiovascular Diseases Research 5R01HL115148-03 93.837 163,494 - Cardiovascular Diseases Research 1R56HL123998-01 93.837 165,495 - Cardiovascular Diseases Research 5R01HL107953-05 93.837 172,943 - Cardiovascular Diseases Research 2R01HL108430-05 93.837 175,919 - Cardiovascular Diseases Research 5R21HL119975-02 93.837 178,773 - Cardiovascular Diseases Research 5R01HL051014-22 93.837 197,757 - Cardiovascular Diseases Research 5R21HL125125-02 93.837 200,248 - Cardiovascular Diseases Research 1UH2HL123876-01 93.837 200,292 198,119 Cardiovascular Diseases Research 1R01HL127386-01A1 93.837 204,134 - Cardiovascular Diseases Research 4R01HL113352-04 93.837 210,424 19,266 Cardiovascular Diseases Research 1R56HL119511-01A1 93.837 218,306 28,748 Cardiovascular Diseases Research 4R01HL115295-05 93.837 220,748 - Cardiovascular Diseases Research 5R21HL126001-02 93.837 224,261 - Cardiovascular Diseases Research 1R01HL130246-01 93.837 232,862 - Cardiovascular Diseases Research 5R21HL126025-02 93.837 236,583 - Cardiovascular Diseases Research 5R01HL112992-03 93.837 243,461 45,790 Cardiovascular Diseases Research 2R01HL051014-23 93.837 244,184 - Cardiovascular Diseases Research 5R00HL098695-05 93.837 250,195 - Cardiovascular Diseases Research 5R01HL083895-09 93.837 250,916 29,845 Cardiovascular Diseases Research 5R01HL125587-02 93.837 280,092 - Cardiovascular Diseases Research 5R01HL109420-04 93.837 289,086 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-22

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Cardiovascular Diseases Research 5R01HL113352-03 93.837 302,524 44,243 Cardiovascular Diseases Research 5R01HL128602-02 93.837 306,422 197,513 Cardiovascular Diseases Research 5R01HL062289-17 93.837 323,501 - Cardiovascular Diseases Research 5R01HL122560-02 93.837 324,977 - Cardiovascular Diseases Research 1R01HL130669-01A1 93.837 337,334 - Cardiovascular Diseases Research 5R01HL036003-30 93.837 340,701 - Cardiovascular Diseases Research 5R01HL116705-03 93.837 348,422 - Cardiovascular Diseases Research 5U01HL116323-03 93.837 353,662 213,675 Cardiovascular Diseases Research 5R01HL064793-15 93.837 354,995 - Cardiovascular Diseases Research 5T32HL007950-15 93.837 366,389 - Cardiovascular Diseases Research 5R01HL086418-08 93.837 375,470 - Cardiovascular Diseases Research 5R01HL119529-03 93.837 385,533 - Cardiovascular Diseases Research 5R01HL114703-04 93.837 393,018 - Cardiovascular Diseases Research 5R01HL114820-03 93.837 406,016 - Cardiovascular Diseases Research 5R01HL125815-02 93.837 434,177 - Cardiovascular Diseases Research 5R01HL105945-06 93.837 435,158 - Cardiovascular Diseases Research 5R01HL091013-08 93.837 443,683 - Cardiovascular Diseases Research 5R01HL118430-03 93.837 472,329 - Cardiovascular Diseases Research 2UM1HL098162-07 93.837 484,624 35,046 Cardiovascular Diseases Research 5R01HL128069-02 93.837 492,640 - Cardiovascular Diseases Research 5R01HL106063-06 93.837 500,615 - Cardiovascular Diseases Research 5R01HL122830-03 93.837 504,909 - Cardiovascular Diseases Research 5R01HL127349-02 93.837 528,310 102,466 Cardiovascular Diseases Research 5R01HL123949-03 93.837 529,398 - Cardiovascular Diseases Research 1R01HL128973-01 93.837 548,819 - Cardiovascular Diseases Research 5R01HL125811-02 93.837 571,112 - Cardiovascular Diseases Research 5R18HL108788-04 93.837 572,389 30,866 Cardiovascular Diseases Research 5R37HL061371-18 93.837 596,760 - Cardiovascular Diseases Research 5R01HL084619-11 93.837 612,433 - Cardiovascular Diseases Research 5R01HL053793-21 93.837 626,172 - Cardiovascular Diseases Research 5R01HL125885-02 93.837 669,341 - Cardiovascular Diseases Research 5R01HL122822-02 93.837 746,370 11,538 Cardiovascular Diseases Research 4P01HL107205-05 93.837 829,969 - Cardiovascular Diseases Research 5R01HL121226-03 93.837 872,336 140,538 Cardiovascular Diseases Research 5R01HL124402-02 93.837 931,359 - Cardiovascular Diseases Research 5R01HL125918-02 93.837 997,705 180,815 Cardiovascular Diseases Research 5P01HL107205-04 93.837 1,173,892 - Cardiovascular Diseases Research 5R01HL085757-09 93.837 1,209,448 193,142 Cardiovascular Diseases Research 5UH2HL123876-02 93.837 1,250,504 639,933 Cardiovascular Diseases Research 5UH2HL123886-02 93.837 1,430,587 21,630 Cardiovascular Diseases Research 5R01HL115295-04 93.837 2,357,068 10,966

34,348,733 2,390,137 Lung Diseases Research 5T32HL007778-20 93.838 289 - Lung Diseases Research 1F32HL132532-01 93.838 7,574 - Lung Diseases Research 4R01HL113005-05 93.838 8,802 - Lung Diseases Research 5U01HL112702-03 93.838 10,052 - Lung Diseases Research 5R01HL093004-05 93.838 11,012 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-23

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Lung Diseases Research 4R01HL120465-04 93.838 20,294 - Lung Diseases Research 4R01HL118419-04 93.838 38,577 - Lung Diseases Research 4R01HL118346-04 93.838 43,050 - Lung Diseases Research 4T35HL007649-30 93.838 57,554 - Lung Diseases Research 5U01HL108642-04 93.838 65,689 66,406 Lung Diseases Research 5T35HL007649-29 93.838 184,487 - Lung Diseases Research 4R01HL116742-04 93.838 247,683 - Lung Diseases Research 5R01HL120465-03 93.838 250,553 - Lung Diseases Research 4U01HL111016-05 93.838 257,854 59,955 Lung Diseases Research 5R01HL116742-03 93.838 323,017 - Lung Diseases Research 5R01HL125897-02 93.838 347,291 - Lung Diseases Research 1R56HL126519-01A1 93.838 354,517 - Lung Diseases Research 5U01HL111016-04 93.838 368,928 120,971 Lung Diseases Research 5R01HL113005-04 93.838 370,157 - Lung Diseases Research 5R01HL109233-05 93.838 378,643 25,253 Lung Diseases Research 5R01HL118419-03 93.838 385,848 - Lung Diseases Research 5R01HL125892-02 93.838 430,842 - Lung Diseases Research 5R01HL126094-02 93.838 477,275 17,637 Lung Diseases Research 2T32HL007778-21 93.838 545,161 - Lung Diseases Research 5R01HL116235-04 93.838 635,255 46,474 Lung Diseases Research 5R01HL118346-03 93.838 845,130 -

6,665,534 336,696 Blood Diseases and Resources Research 5R01HL104070-05S 93.839 19,818 - Blood Diseases and Resources Research 5F31HL117597-03 93.839 24,992 - Blood Diseases and Resources Research 5R01HL106184-04 93.839 35,521 - Blood Diseases and Resources Research 5R01HL065448-12 93.839 49,215 - Blood Diseases and Resources Research 4T32HL007974-15 93.839 61,317 - Blood Diseases and Resources Research 5R01HL063776-14 93.839 118,956 - Blood Diseases and Resources Research 2R01HL075092-11A1 93.839 138,134 - Blood Diseases and Resources Research 5R01HL108430-04 93.839 166,790 - Blood Diseases and Resources Research 5R01HL115247-04 93.839 255,456 - Blood Diseases and Resources Research 5T32HL007974-14 93.839 281,077 - Blood Diseases and Resources Research 5R01HL122815-02 93.839 310,725 - Blood Diseases and Resources Research 5R01HL104070-05 93.839 382,403 - Blood Diseases and Resources Research 5R01HL126076-03 93.839 547,966 15,432 Blood Diseases and Resources Research 5R01HL128064-02 93.839 615,174 141,903

3,007,544 157,335 Arthritis, Musculoskeletal and Skin Diseases Research 5F32AR063574-02 93.846 4,480 - Arthritis, Musculoskeletal and Skin Diseases Research 1R13AR069961-01 93.846 13,046 - Arthritis, Musculoskeletal and Skin Diseases Research 1R01AR069088-01A1 93.846 15,229 - Arthritis, Musculoskeletal and Skin Diseases Research 5R21AR063787-02 93.846 20,145 - Arthritis, Musculoskeletal and Skin Diseases Research 1R21AR068518-01A1 93.846 21,788 - Arthritis, Musculoskeletal and Skin Diseases Research 5T32AR007107-40 93.846 49,394 - Arthritis, Musculoskeletal and Skin Diseases Research 1R01AR067755-01A1 93.846 67,959 - Arthritis, Musculoskeletal and Skin Diseases Research 4R01AR049610-14 93.846 80,680 - Arthritis, Musculoskeletal and Skin Diseases Research 5K01AR067892-02 93.846 114,428 - Arthritis, Musculoskeletal and Skin Diseases Research 5K08AR066790-03 93.846 121,344 -

Page 66: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-24

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Arthritis, Musculoskeletal and Skin Diseases Research 5T32AR007016-41 93.846 121,479 - Arthritis, Musculoskeletal and Skin Diseases Research 5R01AR050498-10 93.846 129,019 - Arthritis, Musculoskeletal and Skin Diseases Research 5R21AR066691-02 93.846 174,118 - Arthritis, Musculoskeletal and Skin Diseases Research 5R21AR064137-02 93.846 184,545 12,205 Arthritis, Musculoskeletal and Skin Diseases Research 5R01AR060295-05 93.846 184,916 - Arthritis, Musculoskeletal and Skin Diseases Research 5P30AR053495-08 93.846 186,985 - Arthritis, Musculoskeletal and Skin Diseases Research 4R01AR060295-06 93.846 188,661 - Arthritis, Musculoskeletal and Skin Diseases Research 5K24AR060231-05 93.846 215,326 - Arthritis, Musculoskeletal and Skin Diseases Research 5T32AR007107-41 93.846 238,946 - Arthritis, Musculoskeletal and Skin Diseases Research 5R21AR068662-02 93.846 263,160 - Arthritis, Musculoskeletal and Skin Diseases Research 5R01AR059687-05 93.846 298,560 - Arthritis, Musculoskeletal and Skin Diseases Research 5R01AR049610-13 93.846 347,334 - Arthritis, Musculoskeletal and Skin Diseases Research 5R01AR062111-05 93.846 349,570 - Arthritis, Musculoskeletal and Skin Diseases Research 5R01AR063663-04 93.846 380,509 - Arthritis, Musculoskeletal and Skin Diseases Research 5R01AR060322-05 93.846 385,863 - Arthritis, Musculoskeletal and Skin Diseases Research 5P30AR053495-09 93.846 392,678 - Arthritis, Musculoskeletal and Skin Diseases Research 5R01AR068392-02 93.846 451,087 - Arthritis, Musculoskeletal and Skin Diseases Research 5R01AR066003-02 93.846 485,457 26,563

5,486,706 38,768 Diabetes, Digestive, and Kidney Diseases Extramural Research 5T32DK007017-38 93.847 84 - Diabetes, Digestive, and Kidney Diseases Extramural Research 2P30DK079310-06 93.847 112 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K12DK094714-04 93.847 592 - Diabetes, Digestive, and Kidney Diseases Extramural Research 2T32DK007058-40 93.847 725 - Diabetes, Digestive, and Kidney Diseases Extramural Research 1R13DK111049-01 93.847 1,616 - Diabetes, Digestive, and Kidney Diseases Extramural Research 3P30DK079310-08S1 93.847 2,000 - Diabetes, Digestive, and Kidney Diseases Extramural Research 3U01DK104331-02S1 93.847 2,247 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5F31DK100145-02 93.847 2,452 - Diabetes, Digestive, and Kidney Diseases Extramural Research 1F32DK104495-01 93.847 8,366 - Diabetes, Digestive, and Kidney Diseases Extramural Research 1F30DK109582-01 93.847 8,861 - Diabetes, Digestive, and Kidney Diseases Extramural Research 3P30DK034989-32S1 93.847 12,852 - Diabetes, Digestive, and Kidney Diseases Extramural Research 3P30DK079310-07S1 93.847 14,445 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K01DK099402-03 93.847 16,235 - Diabetes, Digestive, and Kidney Diseases Extramural Research 4R01DK097566-04 93.847 16,853 - Diabetes, Digestive, and Kidney Diseases Extramural Research 3P30DK090744-05S1 93.847 23,842 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5T32DK101019-02 93.847 24,790 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5F30DK102333-03 93.847 26,182 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5F30DK104596-02 93.847 28,492 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK085577-05 93.847 30,575 - Diabetes, Digestive, and Kidney Diseases Extramural Research 1R56DK105381-01 93.847 34,497 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R03DK101847-02 93.847 36,395 - Diabetes, Digestive, and Kidney Diseases Extramural Research 4R01DK099097-04 93.847 36,455 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5T32DK097718-03 93.847 36,637 - Diabetes, Digestive, and Kidney Diseases Extramural Research 4R01DK100592-04 93.847 37,547 - Diabetes, Digestive, and Kidney Diseases Extramural Research 4R01DK099315-04 93.847 40,696 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R03DK100709-02 93.847 42,153 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5U01DK085466-08 93.847 42,942 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5T35DK104689-02 93.847 42,986 -

Page 67: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-25

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Diabetes, Digestive, and Kidney Diseases Extramural Research 5R03DK104008-02 93.847 43,723 - Diabetes, Digestive, and Kidney Diseases Extramural Research 2R56DK090489-06 93.847 43,771 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K01DK089006-05 93.847 50,170 - Diabetes, Digestive, and Kidney Diseases Extramural Research 2R56DK076674-06 93.847 52,037 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK082600-05 93.847 55,172 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5F32DK103489-02 93.847 60,189 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK040936-27 93.847 72,116 - Diabetes, Digestive, and Kidney Diseases Extramural Research 4K24DK090203-05 93.847 75,295 - Diabetes, Digestive, and Kidney Diseases Extramural Research 4R01DK092882-05 93.847 84,570 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K99DK101585-02 93.847 86,677 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R25DK101408-03 93.847 91,953 - Diabetes, Digestive, and Kidney Diseases Extramural Research 4R01DK096096-04 93.847 94,953 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK089098-05 93.847 96,911 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5T32DK097718-04 93.847 97,977 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K23DK092279-05 93.847 99,916 - Diabetes, Digestive, and Kidney Diseases Extramural Research 4R37DK033793-33 93.847 103,111 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K24DK090203-04 93.847 110,828 - Diabetes, Digestive, and Kidney Diseases Extramural Research 1R56DK099470-01A1 93.847 115,667 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R24DK085638-05 93.847 120,401 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5U01DK082185-07 93.847 120,426 113,597 Diabetes, Digestive, and Kidney Diseases Extramural Research 1DP3DK104092-01 93.847 121,138 - Diabetes, Digestive, and Kidney Diseases Extramural Research 4R01DK093924-04 93.847 122,063 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK098994-03 93.847 134,479 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K23DK102874-02 93.847 138,859 - Diabetes, Digestive, and Kidney Diseases Extramural Research 1R01DK10551-01A1 93.847 139,514 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK071754-08 93.847 146,311 - Diabetes, Digestive, and Kidney Diseases Extramural Research 4R01KD098994-04 93.847 149,447 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K24DK070052-10 93.847 153,611 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K23DK097201-05 93.847 155,879 8,515 Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK049230-15 93.847 157,147 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K23DK101694-03 93.847 157,303 - Diabetes, Digestive, and Kidney Diseases Extramural Research 1T35DK104689-01 93.847 162,911 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5P30DK090744-05 93.847 165,882 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K08DK099412-02 93.847 167,964 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K23DK098286-03 93.847 176,601 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK083294-07 93.847 177,016 - Diabetes, Digestive, and Kidney Diseases Extramural Research 1DP3DK101122-01 93.847 177,763 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K08DK092281-05 93.847 178,861 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5T32DK101019-03 93.847 180,015 - Diabetes, Digestive, and Kidney Diseases Extramural Research 1R01DK102648-01A1 93.847 183,394 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5P30DK079310-07 93.847 193,220 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK090489-05 93.847 196,773 - Diabetes, Digestive, and Kidney Diseases Extramural Research 1U01DK104331-01 93.847 199,809 181,983 Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK092606-05 93.847 202,202 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5U01DK085466-07 93.847 224,593 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK054021-16 93.847 225,245 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK107916-02 93.847 225,795 -

Page 68: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-26

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK104046-02 93.847 228,681 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK103176-02 93.847 241,861 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R00DK093711-05 93.847 244,731 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK093770-04 93.847 246,856 104,018 Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK092882-04 93.847 259,435 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK100858-03 93.847 262,955 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5T32DK007017-39 93.847 263,579 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK096096-03 93.847 273,254 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK090556-05 93.847 284,866 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK054053-10 93.847 290,774 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK093629-04 93.847 294,468 - Diabetes, Digestive, and Kidney Diseases Extramural Research 1U01DK106908-01 93.847 297,146 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK093924-03 93.847 299,186 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK057846-13 93.847 308,089 - Diabetes, Digestive, and Kidney Diseases Extramural Research 2P01DK057751-16 93.847 312,085 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5U01DK104331-02 93.847 314,206 68,035 Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK107293-02 93.847 316,780 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK099315-03 93.847 317,986 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK097566-03 93.847 322,951 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK072614-26 93.847 325,593 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK082700-07 93.847 326,612 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5T32DK007356-37 93.847 333,076 - Diabetes, Digestive, and Kidney Diseases Extramural Research 54U01DK082185-08 93.847 334,982 116,993 Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK092808-04 93.847 338,724 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5T32DK007058-41 93.847 350,725 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5K12DK094714-05 93.847 363,568 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK079005-08 93.847 363,770 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5T32DK007276-38 93.847 364,590 - Diabetes, Digestive, and Kidney Diseases Extramural Research 2R01DK092661-03A1 93.847 371,249 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK077065-08 93.847 373,245 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK101528-02 93.847 376,498 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK099504-03 93.847 379,779 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK102889-03 93.847 380,533 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK100592-03 93.847 388,518 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK094934-04 93.847 396,909 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK099097-03 93.847 396,989 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK098824-03 93.847 411,364 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK020495-39 93.847 425,778 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R37DK033793-32 93.847 435,360 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK100500-03 93.847 466,697 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK098492-03 93.847 537,397 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK041544-24 93.847 594,941 155,819 Diabetes, Digestive, and Kidney Diseases Extramural Research 4P30DK045735-24 93.847 611,135 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK101984-03 93.847 621,478 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK027044-39 93.847 662,315 - Diabetes, Digestive, and Kidney Diseases Extramural Research 1U54DK106857-01 93.847 689,784 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R01DK099039-03 93.847 732,002 -

Page 69: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-27

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Diabetes, Digestive, and Kidney Diseases Extramural Research 5U24DK059635-10 93.847 823,333 - Diabetes, Digestive, and Kidney Diseases Extramural Research 1UC4DK104205-01 93.847 931,299 376,200 Diabetes, Digestive, and Kidney Diseases Extramural Research 5P30DK034989-32 93.847 1,013,685 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R37DK025636-39 93.847 1,062,894 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5P01DK057751-15 93.847 1,093,265 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5P30DK045735-23 93.847 1,223,574 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5P30DK079310-08 93.847 1,242,798 - Diabetes, Digestive, and Kidney Diseases Extramural Research 5P01DK017433-42 93.847 1,699,227 -

33,684,862 1,125,160 Tracking Electronic Health Record Adoption and Capturing Related Insights in U.S. Hospitals 1S10OD021845-01 93.851 300,000 -

300,000 - Extramural Research Programs in the Neurosciences and Neurological Disorders 1R01NS097728-01 93.853 189 - Extramural Research Programs in the Neurosciences and Neurological Disorders T32NS007224-31A1 93.853 756 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS070824-05 93.853 1,638 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5U01NS044876-07 93.853 1,986 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS071837-05 93.853 2,150 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5F31NS080628-03 93.853 4,640 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS081786-02 93.853 4,701 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS064963-05 93.853 5,612 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS056443-09 93.853 6,977 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS084911-02 93.853 7,483 6,476 Extramural Research Programs in the Neurosciences and Neurological Disorders 3R01NS026143-27S1 93.853 12,774 - Extramural Research Programs in the Neurosciences and Neurological Disorders 7R21NS077858-03 93.853 19,711 - Extramural Research Programs in the Neurosciences and Neurological Disorders 1R01NS094253-01 93.853 23,863 - Extramural Research Programs in the Neurosciences and Neurological Disorders 4R01NS076558-05 93.853 24,418 - Extramural Research Programs in the Neurosciences and Neurological Disorders 2R01NS036918-19A1 93.853 25,630 - Extramural Research Programs in the Neurosciences and Neurological Disorders 4R01NS084911-04 93.853 26,858 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5F31NS090767-02 93.853 27,402 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R33NS079306-03 93.853 27,549 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS085776-02 93.853 29,640 - Extramural Research Programs in the Neurosciences and Neurological Disorders 1R01NS097928-01 93.853 31,733 - Extramural Research Programs in the Neurosciences and Neurological Disorders 1F32NS093952-01 93.853 45,742 - Extramural Research Programs in the Neurosciences and Neurological Disorders 1R01NS095930-01 93.853 48,303 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS084024-02 93.853 50,577 22,202 Extramural Research Programs in the Neurosciences and Neurological Disorders 5F32NS090727-02 93.853 51,446 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5P01NS047399-10 93.853 52,124 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS091865-03 93.853 53,833 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5F32NS090820-02 93.853 54,072 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5F32NS090812-02 93.853 55,512 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS048476-10 93.853 57,755 - Extramural Research Programs in the Neurosciences and Neurological Disorders 1R21NS094971-01A1 93.853 59,007 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R25NS079193-04 93.853 59,422 - Extramural Research Programs in the Neurosciences and Neurological Disorders 1R01NS094607-01 93.853 61,661 - Extramural Research Programs in the Neurosciences and Neurological Disorders 1R01NS095817-01 93.853 71,792 - Extramural Research Programs in the Neurosciences and Neurological Disorders 3R01NS014841-35S1 93.853 74,257 - Extramural Research Programs in the Neurosciences and Neurological Disorders 4R01NS080388-05 93.853 74,410 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5P01NS062686-05 93.853 75,442 55,267

Page 70: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-28

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS066974-04 93.853 79,160 - Extramural Research Programs in the Neurosciences and Neurological Disorders 4R01NS055829-09 93.853 82,649 - Extramural Research Programs in the Neurosciences and Neurological Disorders 1R21NS095147-01 93.853 88,365 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS055829-08 93.853 114,021 - Extramural Research Programs in the Neurosciences and Neurological Disorders 1R56NS081217-01A1 93.853 115,230 - Extramural Research Programs in the Neurosciences and Neurological Disorders 7R01NS039422-14 93.853 119,253 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS082667-02 93.853 120,556 26,698 Extramural Research Programs in the Neurosciences and Neurological Disorders 1R01NS093704-01A1 93.853 138,989 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS091637-02 93.853 155,958 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS088854-02 93.853 156,670 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS064129-05 93.853 158,643 - Extramural Research Programs in the Neurosciences and Neurological Disorders 4R01NS011613-40 93.853 159,237 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS088641-02 93.853 160,321 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS011613-39 93.853 163,192 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5K08NS078110-05 93.853 164,766 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS014841-35 93.853 178,853 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS074319-05 93.853 185,716 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS087511-02 93.853 196,417 - Extramural Research Programs in the Neurosciences and Neurological Disorders 4R01NS026143-30 93.853 200,307 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS085136-04 93.853 212,609 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS088411-02 93.853 225,474 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS089439-02 93.853 242,108 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS036918-18 93.853 247,094 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS088972-02 93.853 253,686 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS083783-02 93.853 254,578 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS060803-08 93.853 256,404 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS094219-02 93.853 259,427 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS086329-03 93.853 264,254 34,855 Extramural Research Programs in the Neurosciences and Neurological Disorders 1R01NS088321-01A1 93.853 267,710 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS084911-03 93.853 270,583 44,150 Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS085078-03 93.853 280,770 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS057756-10 93.853 285,135 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS076558-04 93.853 303,775 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS035193-17 93.853 307,204 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS083706-03 93.853 313,643 - Extramural Research Programs in the Neurosciences and Neurological Disorders 1R21NS093510-01A1 93.853 318,354 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS089662-03 93.853 319,654 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5U01NS084495-02 93.853 320,574 304,846 Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS091300-02 93.853 324,767 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS080388-04 93.853 328,735 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS089734-03 93.853 342,445 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R21NS092302-02 93.853 348,718 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS028695-25 93.853 350,246 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS026143-29 93.853 359,549 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS091070-02 93.853 377,933 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS087568-03 93.853 395,210 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS014624-37 93.853 408,880 -

Page 71: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-29

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS021501-31 93.853 414,086 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS086932-03 93.853 423,420 177,776 Extramural Research Programs in the Neurosciences and Neurological Disorders 5R37NS036251-20 93.853 436,383 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5T32NS041228-15 93.853 441,558 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS086736-03 93.853 464,894 18,733 Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS057756-09 93.853 482,957 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS083846-03 93.853 514,760 23,025 Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS081746-03 93.853 522,141 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R01NS088257-03 93.853 552,079 373,340 Extramural Research Programs in the Neurosciences and Neurological Disorders 5P30NS052519-08 93.853 644,622 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5R37NS045876-13 93.853 708,785 - Extramural Research Programs in the Neurosciences and Neurological Disorders 1U01NS094358-01 93.853 1,166,328 - Extramural Research Programs in the Neurosciences and Neurological Disorders 5U01NS084495-03 93.853 1,332,656 1,095,741 Extramural Research Programs in the Neurosciences and Neurological Disorders 5U01NS044876-10 93.853 1,511,913 512,676

22,025,469 2,695,785 Allergy and Infectious Diseases Research 5R01AI073904-07 93.855 3 - Allergy and Infectious Diseases Research 5R01AI101441-02 93.855 339 - Allergy and Infectious Diseases Research 5R01AI087925-05 93.855 396 - Allergy and Infectious Diseases Research 5T32AI007640-12 93.855 541 - Allergy and Infectious Diseases Research 5R37AI049200-13S 93.855 609 - Allergy and Infectious Diseases Research 5U01AI102011-03 93.855 632 29,635 Allergy and Infectious Diseases Research 5R01AI049561-24 93.855 693 - Allergy and Infectious Diseases Research 3R01AI089824-06S1 93.855 2,352 - Allergy and Infectious Diseases Research 1F31AI18233-01A1 93.855 4,746 - Allergy and Infectious Diseases Research 5F32AI104334-03 93.855 7,707 - Allergy and Infectious Diseases Research 5T32AI055403-13 93.855 9,193 - Allergy and Infectious Diseases Research 4T32AI007640-14 93.855 10,502 - Allergy and Infectious Diseases Research 1K23AI115001-01 93.855 10,594 - Allergy and Infectious Diseases Research 1F31AI118233-01A1 93.855 12,301 - Allergy and Infectious Diseases Research 2R01AI097206-05 93.855 12,583 - Allergy and Infectious Diseases Research 5T32AI007210-33 93.855 14,082 - Allergy and Infectious Diseases Research 1F32AI122864-01A1 93.855 14,514 - Allergy and Infectious Diseases Research 5R37AI041699-20S2 93.855 15,354 - Allergy and Infectious Diseases Research 3U01AI115595-02S1 93.855 17,708 - Allergy and Infectious Diseases Research 5R01AI052473-11 93.855 18,382 - Allergy and Infectious Diseases Research 1K01AI119603-01A1 93.855 18,723 - Allergy and Infectious Diseases Research 5T32AI007174-34 93.855 19,705 - Allergy and Infectious Diseases Research 1F32AI118315-01A1 93.855 21,518 - Allergy and Infectious Diseases Research 1R56AI105409-01 93.855 21,596 - Allergy and Infectious Diseases Research 1R21AI124055-01 93.855 22,083 - Allergy and Infectious Diseases Research 5R21AI100696-02 93.855 22,275 22,275 Allergy and Infectious Diseases Research 1F31A120486-01 93.855 22,279 - Allergy and Infectious Diseases Research 2R56AI079022-06A1 93.855 22,719 - Allergy and Infectious Diseases Research 5T32A1007517-14 93.855 25,091 - Allergy and Infectious Diseases Research 5F30AI112218-02 93.855 26,916 - Allergy and Infectious Diseases Research 5R01AI079222-04 93.855 27,538 - Allergy and Infectious Diseases Research 1F31AI116322-01A1 93.855 28,200 -

Page 72: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-30

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Allergy and Infectious Diseases Research 5F30AI114090-02 93.855 28,509 - Allergy and Infectious Diseases Research 5F31AI114245-02 93.855 28,774 - Allergy and Infectious Diseases Research 5R01AI041440-15 93.855 28,989 - Allergy and Infectious Diseases Research 5R21Al102756-02 93.855 31,649 25,337 Allergy and Infectious Diseases Research 1R21AI23984-01 93.855 31,869 - Allergy and Infectious Diseases Research 4R37AI032524-25 93.855 32,356 - Allergy and Infectious Diseases Research 4R01AI101112-05 93.855 32,374 - Allergy and Infectious Diseases Research 5T32AI007404-23 93.855 33,061 - Allergy and Infectious Diseases Research 4R01AI055472-23 93.855 34,828 - Allergy and Infectious Diseases Research 5R21AI101456-02 93.855 37,128 - Allergy and Infectious Diseases Research 5F32I114095-02 93.855 51,380 - Allergy and Infectious Diseases Research 1R13AI125048-01 93.855 53,142 - Allergy and Infectious Diseases Research 5F32AI114132-02 93.855 53,827 - Allergy and Infectious Diseases Research 5F32AI114196-02 93.855 53,965 - Allergy and Infectious Diseases Research 5T32Al007019-39 93.855 54,630 - Allergy and Infectious Diseases Research 5R01AI122797-03 93.855 55,370 8,498 Allergy and Infectious Diseases Research 5T32AI007174-35 93.855 56,778 - Allergy and Infectious Diseases Research 5T32AI089704-05 93.855 61,490 - Allergy and Infectious Diseases Research 15F32AI114097-02 93.855 66,696 - Allergy and Infectious Diseases Research 5R01AI051584-10 93.855 76,387 - Allergy and Infectious Diseases Research 5R21AI097695-03 93.855 77,399 16,991 Allergy and Infectious Diseases Research 4R01AI02876-04 93.855 78,254 - Allergy and Infectious Diseases Research 5R01AI064705-10 93.855 80,645 - Allergy and Infectious Diseases Research 1R56AI114780-01 93.855 84,403 - Allergy and Infectious Diseases Research 4R37AI041699-21 93.855 86,671 - Allergy and Infectious Diseases Research 2R01AI087925-06 93.855 90,676 - Allergy and Infectious Diseases Research 5R01AI038204-20 93.855 91,596 - Allergy and Infectious Diseases Research 5R01AI093775-04 93.855 92,261 43,750 Allergy and Infectious Diseases Research 5R01AI081774-05 93.855 94,429 - Allergy and Infectious Diseases Research 5T32AI007210-34 93.855 96,930 - Allergy and Infectious Diseases Research 5K99AI120845-02 93.855 105,454 - Allergy and Infectious Diseases Research 5R01AI062428-10 93.855 105,901 - Allergy and Infectious Diseases Research 5K23AI089260-05 93.855 106,867 - Allergy and Infectious Diseases Research 5R01AI089771-05 93.855 109,818 - Allergy and Infectious Diseases Research 1R21AI122384-01 93.855 113,839 - Allergy and Infectious Diseases Research 5R21AI109263-02 93.855 120,962 21,257 Allergy and Infectious Diseases Research 1R56AI110458-01 93.855 121,347 - Allergy and Infectious Diseases Research 4R01AI102778-04 93.855 121,850 47,581 Allergy and Infectious Diseases Research 5K08AI119142-02 93.855 147,615 - Allergy and Infectious Diseases Research 5R01AI089826-05 93.855 149,823 - Allergy and Infectious Diseases Research 5K08AI119139-03 93.855 151,175 - Allergy and Infectious Diseases Research 5U01AI115595-02 93.855 151,403 - Allergy and Infectious Diseases Research 5K08AI095318-06 93.855 152,659 - Allergy and Infectious Diseases Research 5R21AI109163-02 93.855 156,380 - Allergy and Infectious Diseases Research 1R56AI110449-01A1 93.855 157,879 15,377 Allergy and Infectious Diseases Research 5R21AI119837-02 93.855 163,492 - Allergy and Infectious Diseases Research 5R21A109486-02 93.855 163,755 -

Page 73: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-31

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Allergy and Infectious Diseases Research 5T32AI007404-24 93.855 164,667 - Allergy and Infectious Diseases Research 2R01AI04956-25A1 93.855 167,694 - Allergy and Infectious Diseases Research 5R21AI119119-02 93.855 169,372 - Allergy and Infectious Diseases Research 5R01AI028798-25 93.855 172,714 - Allergy and Infectious Diseases Research 5T32AI055403-12 93.855 174,832 - Allergy and Infectious Diseases Research 5R21AI117333-02 93.855 179,353 - Allergy and Infectious Diseases Research ` 93.855 181,693 15,079 Allergy and Infectious Diseases Research 5R21AI110776-02 93.855 190,326 24,112 Allergy and Infectious Diseases Research 5R21AI112938-02 93.855 192,638 19,342 Allergy and Infectious Diseases Research 5R01AI071087-09 93.855 194,963 - Allergy and Infectious Diseases Research 5R21AI114953-03 93.855 198,429 8,728 Allergy and Infectious Diseases Research 4R01AI066232-12 93.855 198,451 - Allergy and Infectious Diseases Research 5R21AI119813-02 93.855 203,889 - Allergy and Infectious Diseases Research 4R01AI044616-18 93.855 209,046 - Allergy and Infectious Diseases Research 1R01AI114780-01A1 93.855 209,097 - Allergy and Infectious Diseases Research 5T32AI007640-13 93.855 214,636 - Allergy and Infectious Diseases Research 1R01AI121207-01 93.855 223,599 - Allergy and Infectious Diseases Research 5R21AI112810-02 93.855 224,797 - Allergy and Infectious Diseases Research 5R01AI055472-22 93.855 226,645 - Allergy and Infectious Diseases Research 5R01AI112970-02 93.855 228,441 39,932 Allergy and Infectious Diseases Research 5R21AI113606-02 93.855 233,248 - Allergy and Infectious Diseases Research 5R01AI048770-15 93.855 236,506 - Allergy and Infectious Diseases Research 5T32A1007517-15 93.855 239,635 - Allergy and Infectious Diseases Research 5R01AI113103-04 93.855 242,899 - Allergy and Infectious Diseases Research 5R37AI066232-11 93.855 243,856 - Allergy and Infectious Diseases Research 5R01AI102778-03 93.855 260,397 143,280 Allergy and Infectious Diseases Research 1R56AI124356-01 93.855 263,120 - Allergy and Infectious Diseases Research 5R21AI120113-02 93.855 269,845 - Allergy and Infectious Diseases Research 5R01AI044616-17 93.855 275,407 - Allergy and Infectious Diseases Research 5R37A1046688-15 93.855 276,043 - Allergy and Infectious Diseases Research 5R21AI115066-02 93.855 276,385 - Allergy and Infectious Diseases Research 2R01AI028798-26 93.855 279,510 26,714 Allergy and Infectious Diseases Research 5R01AI059167-12 93.855 281,919 - Allergy and Infectious Diseases Research 5R37AI032524-24 93.855 285,534 - Allergy and Infectious Diseases Research 5U01AI088752-05 93.855 301,012 156,632 Allergy and Infectious Diseases Research 2R56AI042310-17 93.855 311,060 - Allergy and Infectious Diseases Research 5R01AI097064-05 93.855 317,120 - Allergy and Infectious Diseases Research 5R01AI122448-02 93.855 319,458 - Allergy and Infectious Diseases Research 4R01AI0701087-10 93.855 320,305 - Allergy and Infectious Diseases Research 1U01AI115648-01 93.855 327,535 98,591 Allergy and Infectious Diseases Research 5P01AI039671-19 93.855 342,222 273,145 Allergy and Infectious Diseases Research 4R01AI068041-10 93.855 348,587 - Allergy and Infectious Diseases Research 2R56AI042236-17A1 93.855 355,447 - Allergy and Infectious Diseases Research 5R01AI101112-04 93.855 356,418 - Allergy and Infectious Diseases Research 5U01AI115648-02 93.855 359,840 73,715 Allergy and Infectious Diseases Research 5R01AI110452-03 93.855 361,260 - Allergy and Infectious Diseases Research 5R01AI110325-03 93.855 366,604 -

Page 74: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-32

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Allergy and Infectious Diseases Research 5R01Al097206-04 93.855 378,934 - Allergy and Infectious Diseases Research 5R01AI118855-02 93.855 385,524 14,974 Allergy and Infectious Diseases Research 5R01AI102876-03 93.855 391,666 - Allergy and Infectious Diseases Research 5R37AI041699-20 93.855 392,905 - Allergy and Infectious Diseases Research 5R01AI104739-03 93.855 401,587 46,076 Allergy and Infectious Diseases Research 5R01AI112438-04 93.855 401,944 103,405 Allergy and Infectious Diseases Research 5R37AI049200-15 93.855 402,524 - Allergy and Infectious Diseases Research 5R01AI054359-12 93.855 410,676 - Allergy and Infectious Diseases Research 5R33AI100191-05 93.855 414,594 191,824 Allergy and Infectious Diseases Research 1R56AI120369-01 93.855 416,248 - Allergy and Infectious Diseases Research 5R01AI097218-04 93.855 416,959 150,579 Allergy and Infectious Diseases Research 5T32Al007019-40 93.855 423,386 - Allergy and Infectious Diseases Research 5R01AI16313-02 93.855 423,983 - Allergy and Infectious Diseases Research 5R01AI108829-03 93.855 425,021 - Allergy and Infectious Diseases Research 1R56AI114859-01 93.855 434,216 100,395 Allergy and Infectious Diseases Research 5R37AI030492-28 93.855 438,232 - Allergy and Infectious Diseases Research 5R01AI048120-12 93.855 444,296 - Allergy and Infectious Diseases Research 5R01AI114760-02 93.855 456,898 - Allergy and Infectious Diseases Research 5R01AI083146-06 93.855 464,687 48,889 Allergy and Infectious Diseases Research 5R01AI105097-02 93.855 466,875 - Allergy and Infectious Diseases Research 5R01AI108834-02 93.855 489,764 - Allergy and Infectious Diseases Research 5R01AI113040-03 93.855 492,569 - Allergy and Infectious Diseases Research 5R01AI114618-02 93.855 527,417 - Allergy and Infectious Diseases Research 5R37AI026109-28 93.855 541,988 - Allergy and Infectious Diseases Research 5R01AI089824-06 93.855 547,923 - Allergy and Infectious Diseases Research 5R01AI104824-04 93.855 556,202 329,198 Allergy and Infectious Diseases Research 1U01AI115595-01 93.855 616,161 184,591 Allergy and Infectious Diseases Research 5R01AI112443-03 93.855 662,894 - Allergy and Infectious Diseases Research 5R01A1068932-08 93.855 710,033 17,977 Allergy and Infectious Diseases Research 5U01AI102011-04 93.855 742,405 189,607 Allergy and Infectious Diseases Research 5U19AI089992-05 93.855 766,374 181,018

31,529,898 2,668,504 Biomedical Research and Research Training 5R01GM099563-03 93.859 - 64,230 Biomedical Research and Research Training 5T32GM008283-27 93.859 265 - Biomedical Research and Research Training 4R01GM061221-17 93.859 281 - Biomedical Research and Research Training 5T32GM007324-38 93.859 1,115 - Biomedical Research and Research Training 5T32GM067543-12 93.859 2,753 - Biomedical Research and Research Training 3R01GM100411-03S1 93.859 3,079 - Biomedical Research and Research Training 5T32GM007223-40 93.859 3,619 - Biomedical Research and Research Training 3R01GM099990-04S1 93.859 4,398 - Biomedical Research and Research Training 1F30GM119198-01 93.859 6,818 - Biomedical Research and Research Training 5T32GM007499-38 93.859 6,882 - Biomedical Research and Research Training 1R01GM115636-01A1 93.859 7,927 - Biomedical Research and Research Training 5R13GM090574-05 93.859 11,071 - Biomedical Research and Research Training 1F32GM115097-01A1 93.859 11,450 - Biomedical Research and Research Training 1F32GM119286-01 93.859 13,573 - Biomedical Research and Research Training 2U01GM087719-06 93.859 16,727 16,727

Page 75: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-33

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Biomedical Research and Research Training 4R01GM104047-04 93.859 17,210 - Biomedical Research and Research Training 5R01GM099149-04 93.859 20,235 20,235 Biomedical Research and Research Training 2R01GM090000-06 93.859 24,767 - Biomedical Research and Research Training 4R01GM054051-20 93.859 25,132 - Biomedical Research and Research Training 3R01GM043301-24S1 93.859 25,464 - Biomedical Research and Research Training 5R01GM094780-05 93.859 26,380 - Biomedical Research and Research Training 4R01GM105718-04 93.859 30,484 - Biomedical Research and Research Training 4R37GM068649-15 93.859 31,854 - Biomedical Research and Research Training 5F31GM116463-02 93.859 33,223 - Biomedical Research and Research Training 1F31GM115223-01 93.859 36,351 - Biomedical Research and Research Training 1R01GM117386-01A1 93.859 42,499 - Biomedical Research and Research Training 5F32GM108411-02 93.859 42,926 - Biomedical Research and Research Training 4R01GM105672-04 93.859 46,929 - Biomedical Research and Research Training 5F32GM116336-02 93.859 47,210 - Biomedical Research and Research Training 4R01GM065835-13 93.859 48,359 - Biomedical Research and Research Training 5R01GM097348-04 93.859 48,729 - Biomedical Research and Research Training 5F32GM116605-02 93.859 49,185 - Biomedical Research and Research Training 5F32GM116426-02 93.859 49,394 - Biomedical Research and Research Training 5F32GM106628-03 93.859 50,310 - Biomedical Research and Research Training 5F32GM116279-02 93.859 53,034 - Biomedical Research and Research Training 5F32GM109637-04 93.859 53,084 - Biomedical Research and Research Training 5F32GM112454-02 93.859 53,887 - Biomedical Research and Research Training 5F32GM113456-02 93.859 54,193 - Biomedical Research and Research Training 5R01GM032136-32 93.859 54,582 - Biomedical Research and Research Training 7R01GM072024-09 93.859 54,582 - Biomedical Research and Research Training 5F32GM114880-02 93.859 54,864 - Biomedical Research and Research Training 5R01GM026154-44 93.859 55,133 - Biomedical Research and Research Training 7R01GM107435-04 93.859 56,247 - Biomedical Research and Research Training 5R01GM069559-13 93.859 57,765 - Biomedical Research and Research Training 4R01GM068600-14 93.859 59,083 - Biomedical Research and Research Training 5R01GM095766-04 93.859 59,680 - Biomedical Research and Research Training 4R01GM053756-21 93.859 60,023 - Biomedical Research and Research Training 4U01GM105627-04 93.859 74,041 - Biomedical Research and Research Training 4R01GM105947-04 93.859 75,084 - Biomedical Research and Research Training 1K99GM112877-01 93.859 78,089 - Biomedical Research and Research Training 5U01GM087719-08 93.859 80,505 - Biomedical Research and Research Training 5R01GM103574-03 93.859 80,716 - Biomedical Research and Research Training 2R01GM080616-09 93.859 83,881 - Biomedical Research and Research Training 1R35GM118084-01 93.859 87,547 - Biomedical Research and Research Training 5R01GM083050-08 93.859 93,408 - Biomedical Research and Research Training 5K99GM11430-02 93.859 93,673 - Biomedical Research and Research Training 5R01GM100930-03 93.859 96,127 - Biomedical Research and Research Training 5R01GM101136-03 93.859 96,630 - Biomedical Research and Research Training 4R01GM106189-04 93.859 97,644 - Biomedical Research and Research Training 5R01GM047214-24 93.859 101,099 - Biomedical Research and Research Training 2R01GM083050-09 93.859 101,965 - Biomedical Research and Research Training 1R01GM114401-01A1 93.859 102,290 -

Page 76: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-34

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Biomedical Research and Research Training 4R01GM101044-04 93.859 102,965 - Biomedical Research and Research Training 5R01GM099990-04 93.859 106,507 - Biomedical Research and Research Training 5R01GM106189-03 93.859 114,105 - Biomedical Research and Research Training 5R01GM059507-14 93.859 114,547 - Biomedical Research and Research Training 5R01GM073857-08 93.859 115,479 114,814 Biomedical Research and Research Training 5R01GM098931-04 93.859 116,817 - Biomedical Research and Research Training 4R01GM057814-16 93.859 118,206 - Biomedical Research and Research Training 2R01GM073857-09A1 93.859 123,927 17,887 Biomedical Research and Research Training 1R01GM112778-01A1 93.859 138,058 - Biomedical Research and Research Training 5R01GM014642-48 93.859 157,426 - Biomedical Research and Research Training 2R01GM032136-33 93.859 159,705 - Biomedical Research and Research Training 5R01GM090000-05 93.859 160,070 - Biomedical Research and Research Training 5R01GM100283-04 93.859 162,552 - Biomedical Research and Research Training 5R01GM099801-04 93.859 165,358 15,841 Biomedical Research and Research Training 5T32GM086287-07 93.859 171,745 - Biomedical Research and Research Training 5R01GM100411-04 93.859 172,485 - Biomedical Research and Research Training 5R01GM110506-02 93.859 174,250 - Biomedical Research and Research Training 5R01GM057814-15 93.859 178,617 - Biomedical Research and Research Training 5R25GM114000-02 93.859 180,755 38,629 Biomedical Research and Research Training 4R01GM101136-04 93.859 180,764 - Biomedical Research and Research Training 5R01GM054839-17 93.859 181,161 51,211 Biomedical Research and Research Training 5T32GM100884-03 93.859 182,445 - Biomedical Research and Research Training 5R21GM109466-02 93.859 186,436 - Biomedical Research and Research Training 4R01GM099563-04 93.859 188,467 - Biomedical Research and Research Training 5U01GM105627-03 93.859 191,204 - Biomedical Research and Research Training 5R01GM073863-08 93.859 191,368 - Biomedical Research and Research Training 5R01GM112781-02 93.859 193,789 53,371 Biomedical Research and Research Training 5R01GM117230-02 93.859 204,366 - Biomedical Research and Research Training 5R01GM105718-03 93.859 208,720 - Biomedical Research and Research Training 5R01GM098498-03 93.859 211,206 - Biomedical Research and Research Training 5R01GM105672-03 93.859 212,651 - Biomedical Research and Research Training 5R01GM068600-13 93.859 219,410 - Biomedical Research and Research Training 5R01GM080616-08 93.859 227,030 - Biomedical Research and Research Training 5R01GM102251-04 93.859 230,430 - Biomedical Research and Research Training 5R01GM095532-04 93.859 230,470 - Biomedical Research and Research Training 1R01GM114250-01A1 93.859 239,123 68,990 Biomedical Research and Research Training 5R01GM065835-12 93.859 248,291 - Biomedical Research and Research Training 4R01GM100930-04 93.859 251,555 - Biomedical Research and Research Training 5R01GM108663-03 93.859 253,208 - Biomedical Research and Research Training 5R01GM102262-04 93.859 255,998 - Biomedical Research and Research Training 4R01GM103574-04 93.859 264,784 - Biomedical Research and Research Training 5R25GM104553-03 93.859 273,016 - Biomedical Research and Research Training 5R01GM101044-03 93.859 281,407 - Biomedical Research and Research Training 5R01GM107092-03 93.859 286,085 - Biomedical Research and Research Training 2R01GM097348-05A1 93.859 288,751 - Biomedical Research and Research Training 5R01GM053756-20 93.859 289,170 - Biomedical Research and Research Training 5R01GM065313-12 93.859 294,519 -

Page 77: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-35

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Biomedical Research and Research Training 5R01GM111667-02 93.859 296,222 - Biomedical Research and Research Training 5R01GM050313-21 93.859 299,890 - Biomedical Research and Research Training 5R01GM110386-03 93.859 308,564 - Biomedical Research and Research Training 5R01GM112182-08 93.859 310,203 - Biomedical Research and Research Training 5R01GM096403-06 93.859 312,827 - Biomedical Research and Research Training 5R01GM105947-03 93.859 316,146 - Biomedical Research and Research Training 5R01GM116654-02 93.859 317,474 16,582 Biomedical Research and Research Training 5R01GM114205-02 93.859 321,295 - Biomedical Research and Research Training 5R01GM106121-03 93.859 321,971 - Biomedical Research and Research Training 2R01GM069559-14 93.859 325,052 - Biomedical Research and Research Training 5R37GM068649-14 93.859 328,425 - Biomedical Research and Research Training 5R01GM114358-02 93.859 329,334 - Biomedical Research and Research Training 5R01GM114513-02 93.859 331,228 - Biomedical Research and Research Training 5R01GM102815-04 93.859 346,797 29,261 Biomedical Research and Research Training 5R01GM105772-03 93.859 352,149 - Biomedical Research and Research Training 5T32GM007324-39 93.859 358,180 - Biomedical Research and Research Training 5R01GM095658-04 93.859 360,417 - Biomedical Research and Research Training 5R01GM107385-03 93.859 363,833 - Biomedical Research and Research Training 5R01GM110530-03 93.859 363,946 - Biomedical Research and Research Training 5R01GM049551-23 93.859 365,543 - Biomedical Research and Research Training 5R01GM112766-02 93.859 367,256 - Biomedical Research and Research Training 5R01GM108954-03 93.859 371,815 - Biomedical Research and Research Training 5R01GM115710-02 93.859 373,008 - Biomedical Research and Research Training 5R01GM054051-19 93.859 379,349 - Biomedical Research and Research Training 5R01GM114621-02 93.859 383,296 - Biomedical Research and Research Training 5R01GM103789-04 93.859 383,901 - Biomedical Research and Research Training 5T32GM067543-13 93.859 406,421 - Biomedical Research and Research Training 5R01GM081602-08 93.859 410,539 - Biomedical Research and Research Training 5R37GM046904-26 93.859 418,835 - Biomedical Research and Research Training 5R01GM050422-20 93.859 422,327 - Biomedical Research and Research Training 5R01GM026132-39 93.859 428,804 - Biomedical Research and Research Training 5R01GM104047-03 93.859 428,898 231,473 Biomedical Research and Research Training 5R01GM093341-07 93.859 429,464 - Biomedical Research and Research Training 5R01GM083257-08 93.859 430,164 - Biomedical Research and Research Training 5R01GM061221-16 93.859 436,301 - Biomedical Research and Research Training 5R01GM047850-24 93.859 442,447 91,187 Biomedical Research and Research Training 5U01GM087719-07 93.859 453,022 223,655 Biomedical Research and Research Training 5R01GM101108-04 93.859 453,692 - Biomedical Research and Research Training 5R01GM109487-03 93.859 456,220 - Biomedical Research and Research Training 5R01GM114068-02 93.859 463,002 59,524 Biomedical Research and Research Training 4R01GM022854-41 93.859 463,115 - Biomedical Research and Research Training 5T32GM008283-28 93.859 471,904 - Biomedical Research and Research Training 5R01GM072194-11 93.859 513,764 - Biomedical Research and Research Training 5T32GM007499-39 93.859 634,398 - Biomedical Research and Research Training 52R01GM094780-07 93.859 639,801 - Biomedical Research and Research Training 5R01GM043301-25 93.859 651,311 - Biomedical Research and Research Training 5R01GM026338-38 93.859 691,195 33,834

Page 78: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-36

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Biomedical Research and Research Training 5R01GM071458-12 93.859 772,384 - Biomedical Research and Research Training 5P01GM022778-40 93.859 969,356 - Biomedical Research and Research Training 5R01GM022854-40 93.859 973,489 - Biomedical Research and Research Training 2T32GM007223-41 93.859 1,367,889 - Biomedical Research and Research Training 2T32GM007205-41 93.859 2,328,226 -

37,499,942 1,147,451 Child Health and Human Development Extramural Research 5K12HD047018-10 93.865 100 - Child Health and Human Development Extramural Research 5P01HD054713-05 93.865 890 - Child Health and Human Development Extramural Research 5R21HD066230-02 93.865 2,709 1,632 Child Health and Human Development Extramural Research 5R01HD040787-15 93.865 3,339 - Child Health and Human Development Extramural Research 4R25HD072591-05 93.865 3,574 - Child Health and Human Development Extramural Research 5R13HD063166-03 93.865 6,421 6,290 Child Health and Human Development Extramural Research 4R01HD074253-05 93.865 6,818 - Child Health and Human Development Extramural Research 4R01HD076422-05 93.865 8,949 - Child Health and Human Development Extramural Research 1R01HD085836-01 93.865 20,568 - Child Health and Human Development Extramural Research 5K99HD071968-02 93.865 24,921 - Child Health and Human Development Extramural Research 5F31HD082956-02 93.865 29,746 - Child Health and Human Development Extramural Research 4T32HD007149-39 93.865 32,537 - Child Health and Human Development Extramural Research 5R01HD062080-05 93.865 35,417 - Child Health and Human Development Extramural Research 1U01DK106962-01 93.865 55,538 - Child Health and Human Development Extramural Research 5R21HD071873-02 93.865 55,645 33,890 Child Health and Human Development Extramural Research 5R01HD076422-04 93.865 85,466 - Child Health and Human Development Extramural Research 5K02HD070324-05 93.865 94,884 - Child Health and Human Development Extramural Research 5R25HD072591-04 93.865 95,439 - Child Health and Human Development Extramural Research 4R01HD074078-05 93.865 96,752 - Child Health and Human Development Extramural Research 5R21HD076173-02 93.865 100,322 - Child Health and Human Development Extramural Research 4R01HD075822-04 93.865 109,555 - Child Health and Human Development Extramural Research 5R21HD078851-02 93.865 111,269 - Child Health and Human Development Extramural Research 5R37HD042012-13 93.865 130,859 - Child Health and Human Development Extramural Research 5K08HD071010-04 93.865 133,202 - Child Health and Human Development Extramural Research 5R01HD059909-05 93.865 170,858 - Child Health and Human Development Extramural Research 4R37HD042012-14 93.865 203,306 - Child Health and Human Development Extramural Research 4R00HD079659-02 93.865 211,091 - Child Health and Human Development Extramural Research 5K12HD001401-15 93.865 222,620 - Child Health and Human Development Extramural Research 5T32HD007094-39 93.865 235,793 - Child Health and Human Development Extramural Research 5R01HD067517-05 93.865 267,086 - Child Health and Human Development Extramural Research 5R01HD057834-05 93.865 272,973 173,706 Child Health and Human Development Extramural Research 5T32HD007149-38 93.865 282,039 - Child Health and Human Development Extramural Research 5R01HD075822-03 93.865 289,452 - Child Health and Human Development Extramural Research 5T32HD068201-05 93.865 299,366 - Child Health and Human Development Extramural Research 5R01HD072120-03 93.865 307,520 288,033 Child Health and Human Development Extramural Research 5R01HD049446-10 93.865 323,892 - Child Health and Human Development Extramural Research 2K12HD047018-11 93.865 326,376 - Child Health and Human Development Extramural Research 5R01HD070740-05 93.865 340,680 121,437 Child Health and Human Development Extramural Research 5U10HD055925-07 93.865 341,890 8,248 Child Health and Human Development Extramural Research 5R01HD081355-04 93.865 352,025 106,315 Child Health and Human Development Extramural Research 5R01HD074253-04 93.865 387,012 162,765

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-37

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Child Health and Human Development Extramural Research 5R01HD074078-04 93.865 413,112 13,760 Child Health and Human Development Extramural Research 5U10HD055925-07 93.865 426,741 262,768 Child Health and Human Development Extramural Research 5R01HD028016-21 93.865 447,486 5,253 Child Health and Human Development Extramural Research 5R01HD076248-03 93.865 477,001 29,859 Child Health and Human Development Extramural Research 1DP2HD083992-01 93.865 572,165 - Child Health and Human Development Extramural Research 5R01HD070821-04 93.865 623,433 - Child Health and Human Development Extramural Research 5R01HD081379-03 93.865 709,028 - Child Health and Human Development Extramural Research 5U10HD055925-08 93.865 1,194,158 298,064

10,942,023 1,512,020 Aging Research 5R01AG045712-02 93.866 - 3,176 Aging Research 5T32AG019134-14 93.866 1,830 - Aging Research 1F31AG047777-01 93.866 3,660 - Aging Research 4K07AG043587-04 93.866 5,128 - Aging Research 5K07AG030093-05 93.866 8,191 - Aging Research 4K01AG042450-04 93.866 9,361 - Aging Research 5P30AG021342-12 93.866 9,627 - Aging Research 5K01AG044435-02 93.866 10,534 - Aging Research 5F31AG046965-02 93.866 14,569 - Aging Research 2R01AG034924-06A1 93.866 16,474 - Aging Research 1T35AAG049685-01A1 93.866 17,143 - Aging Research 4K24AG042489-05 93.866 23,199 - Aging Research 4R01AG047632-17 93.866 24,070 - Aging Research 5P30AG034420-08 93.866 40,594 - Aging Research 5R21AG045148-02 93.866 42,756 - Aging Research 2T32AG019134-16 93.866 45,181 - Aging Research 1K07AG050096-01 93.866 51,785 - Aging Research 5R21AG043702-02 93.866 55,899 - Aging Research 5R03AG046941-02 93.866 56,009 - Aging Research 4R01AG043430-04 93.866 58,023 - Aging Research 5R01AG043608-04S1 93.866 59,730 - Aging Research 5R01AG034924-05 93.866 86,292 - Aging Research 5R21AG049293-02 93.866 89,600 - Aging Research 5R01AG023686-10 93.866 99,260 - Aging Research 2R56AG028069-06A1 93.866 101,782 - Aging Research 5K01AG042450-03 93.866 115,142 - Aging Research 5K24AG042489-04 93.866 120,579 - Aging Research 5R01AG032284-04 93.866 135,255 3,394 Aging Research 5R03AG050874-02 93.866 137,364 - Aging Research 5R00AG042596-04 93.866 140,714 - Aging Research 5P50AG047270-02 93.866 144,487 - Aging Research 5K23AG048359-02 93.866 160,098 - Aging Research 5R03AG048920-02 93.866 186,019 - Aging Research 5K07AG043587-03 93.866 188,765 - Aging Research 5K23AG048331-03 93.866 190,110 - Aging Research 5T32AG019134-15 93.866 213,032 - Aging Research 5R01AG028082-09 93.866 233,562 - Aging Research 5R01AG047891-02 93.866 239,214 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-38

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

Aging Research 5R21AG048181-02 93.866 243,737 - Aging Research 5R01AG047632-16 93.866 257,812 - Aging Research 5R37AG017560-15 93.866 268,568 - Aging Research 5R01AG040236-05 93.866 346,180 - Aging Research 5R01AG041153-04 93.866 360,655 - Aging Research 5R01AG043608-05 93.866 387,500 - Aging Research 1DP2AG050461-01 93.866 517,919 - Aging Research 5P30AG034420-07 93.866 589,753 42,844 Aging Research 5R01AG043430-03 93.866 631,031 - Aging Research 5P30AG021342-13 93.866 1,242,464 - Aging Research 1P50AG047270-01A1 93.866 1,577,643 -

9,558,300 49,414 Vision Research 5R01EY021195-03 93.867 7,304 - Vision Research 1F32EY024851-01 93.867 8,366 - Vision Research 4T32EY022312-05 93.867 17,697 - Vision Research 1R01EY026555-01 93.867 22,956 - Vision Research 7R21EY021688-03 93.867 33,594 - Vision Research 1R01EY024986-01A1 93.867 36,666 - Vision Research 1F31EY025968-01 93.867 39,096 - Vision Research 4R01EY021502-05 93.867 56,305 - Vision Research 4R01EY022951-04 93.867 81,290 - Vision Research 5T32EY022312-04 93.867 91,033 - Vision Research 4R01EY023105-04 93.867 93,285 - Vision Research 5R01EY014990-13S 93.867 117,780 - Vision Research 1R21EY026776-01 93.867 145,343 45,123 Vision Research 5R01EY025103-02 93.867 149,622 - Vision Research 7R01EY011490-16 93.867 178,180 - Vision Research 1R01EY026065-01 93.867 179,766 - Vision Research 5R01EY014990-13 93.867 197,133 - Vision Research 5R01EY023105-03 93.867 239,057 - Vision Research 5R01EY015788-11 93.867 252,094 - Vision Research 5R01EY021195-05 93.867 284,531 - Vision Research 5R01EY021502-04 93.867 337,995 - Vision Research 5R01EY025979-02 93.867 370,889 - Vision Research 5R01EY022951-03 93.867 386,899 - Vision Research 5R01EY014454-13 93.867 419,917 - Vision Research 5R01EY017353-10 93.867 429,777 - Vision Research 5R01EY002593-30 93.867 719,290 118,671

4,895,865 163,794 Medical Library Assistance 5R01LM010142-04 93.879 10,040 - Medical Library Assistance 5T15LM007056-28 93.879 15,254 - Medical Library Assistance 5T15LM007056-29 93.879 787,653 -

812,947 - Alcohol Research Center Grants 5P50AA012870-15 93.891 1,853,485 492,832

1,853,485 492,832 Special Projects of National Significance 6H97HA24963-03-02 93.928 78,136 38,261

78,136 38,261

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-39

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesDirect: (continued)

International Research and Research Training 3R25TW007700-05S1 93.989 2,257 - International Research and Research Training 5R03TW008709-03 93.989 10,669 - International Research and Research Training 5R03TW008755-03 93.989 38,742 29,472 International Research and Research Training 5R03TW009444-03 93.989 40,982 28,521 International Research and Research Training 5K01TW008764-06 93.989 45,437 - International Research and Research Training 5K01TW008764-05 93.989 83,696 - International Research and Research Training 1K01TW009995-01A1 93.989 99,236 - International Research and Research Training 4D34TW007391-09 93.989 108,323 40,536 International Research and Research Training 5D34TW007391-08 93.989 153,637 58,943 International Research and Research Training 5R25TW007700-05 93.989 202,574 29,019 International Research and Research Training 5D43TW006589-13 93.989 212,460 130,997 International Research and Research Training 5D43TW009087-05 93.989 219,187 95,786 International Research and Research Training 5D43TW001028-15 93.989 331,140 33,619 International Research and Research Training 5R01TW009504-04 93.989 446,251 192,544

1,994,591 639,437 Subtotal - Department of Health & Human Services - Direct 377,813,010 36,037,747

Passed-through:Vanderbilt University Medical Center - Department Of Health And Human Services Patient Care Expenses 93.RD 550 - Vanderbilt University Medical Center - Department Of Health And Human Services Salary Only 93.RD 671 - University of Michigan - Department Of Health And Human Services MA.32 93.RD 1,650 - Dartmouth College - Department Of Health And Human Services Subcontractor #1B 93.RD 3,064 - HealthPartners Institute For Educ. & Res. - Department Of Health And Human Services 85285270 X1223700 93.RD 4,774 - GE Global Research Center - Department Of Health And Human Services 401020044 93.RD 5,576 - Icahn School of Medicine at Mount Sinai - Department Of Health And Human Services U19AI118626 93.RD 6,496 - Duke University - Department Of Health And Human Services 178785 93.RD 6,713 - New England Research Institute - Department Of Health And Human Services Parents Connect-R43DK098857 93.RD 7,574 - Immunetics, Inc. - Department Of Health And Human Services Research Agreement 93.RD 7,875 - University of Iowa - Department Of Health And Human Services Iowa R01 Sub 93.RD 11,180 - Harvard Univ. School of Medicine - Department Of Health And Human Services 150172.5083653 93.RD 14,242 - Feinstein Institute for Medical Research (The) - Department Of Health And Human Services PO GRT29834 93.RD 20,638 - American Psychiatric Assn - Department Of Health And Human Services APA 93.RD 24,312 - Quality Biological, Inc. - Department Of Health And Human Services QBI Contract 93.RD 27,235 - Harvard School of Public Health - Department Of Health And Human Services 116532-508653 93.RD 29,975 - Harvard University - Department Of Health And Human Services 150125.5051724.0402 93.RD 38,030 - Connecticut Women's Education & Legal Fund - Department Of Health And Human Services CWEALF 93.RD 40,263 - Research Foundation for Mental Hygiene - Department Of Health And Human Services P.O. #121445 93.RD 43,954 - Leidos Biomedical Research, Inc. (formerly SAIC-Fr - Department Of Health And Human Services 14X080Q3 93.RD 45,333 - Leidos Biomedical Research, Inc. (formerly SAIC-Fr - Department Of Health And Human Services 14X080 Task 2 93.RD 51,411 - GE Global Research Center - Department Of Health And Human Services 401020044 93.RD 52,390 - Massachusetts General Hospital - Department Of Health And Human Services MGH # 220539 93.RD 57,953 - Leidos Biomedical Research, Inc. (formerly SAIC-Fr - Department Of Health And Human Services 15X147 93.RD 61,538 - Lumme Inc. - Department Of Health And Human Services SBIR Agreement 93.RD 77,507 - Harvard Univ. School of Medicine - Department Of Health And Human Services 150172.5083653 93.RD 78,383 - NORC at the University of Chicago - Department Of Health And Human Services 7699.YALE_UNIV.01 93.RD 78,610 - Wayne State University - Department Of Health And Human Services WSU16009 93.RD 86,684 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-40

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesPassed-through: (continued)

Mount Sinai School of Medicine - Department Of Health And Human Services 0258-3611-4609 93.RD 101,709 - Research Foundation for Mental Hygiene - Department Of Health And Human Services PO# 120503 93.RD 104,662 - CT Dept. of Mental Health and Addiction Services - Department Of Health And Human Services 15MHA1012 93.RD 157,151 - University of Iowa - Department Of Health And Human Services Iowa R01Sub 93.RD 337,062 - Leidos Biomedical Research, Inc. (formerly SAIC-Fr - Department Of Health And Human Services 14X080T2 93.RD 340,814 -

1,925,979 - Philanjalo - Global AIDS ICF 93.067 56,229 - Philanjalo - Global AIDS Improving Isoniazid Prevention 93.067 128,453 -

184,682 - Georgetown University - Family Smoking Prevention and Tobacco Control Act Regulatory Research 410886_GR409740-YU 93.077 80,072 - Georgetown University - Family Smoking Prevention and Tobacco Control Act Regulatory Research 410886_GR409740-YU 93.077 157,426 -

237,498 - University of Massachusetts - Blood Disorder Program: Prevention, Surveillance, and Research WA00388230/OSP2016141 93.080 20,865 -

20,865 - Harvard School of Public Health - Prevention of Disease, Disability, and Death by Infectious Diseases 116532-508653 93.084 60,862 -

60,862 - Univ. of Tennessee - Food and Drug Administration Research 003709 Yale 93.103 1,450 -

1,450 - Village for Families & Children, Inc. (The) - Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances (SED) SM061193 93.104 77,754 - Rhode Island Dept. of Children, Youth and Families - Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances (SED) SAMHSA/System of Care-Yr. 3 93.104 103,491 -

181,245 - Mt. Sinai School of Medicine - Maternal and Child Health Federal Consolidated Programs 0253-6543-4609 93.110 7,561 - University of New Hampshire - Maternal and Child Health Federal Consolidated Programs 13-075(B) 93.110 9,832 - Mt. Sinai School of Medicine - Maternal and Child Health Federal Consolidated Programs 0253-6544-4609 93.110 16,196 - Brown University. - Maternal and Child Health Federal Consolidated Programs 00000772 93.110 33,595 - Mt. Sinai School of Medicine - Maternal and Child Health Federal Consolidated Programs 0253-6544-4609 93.110 7,443,195 -

7,510,379 - Boston Medical Center - Environmental Health 2267 93.113 6,657 - Harvard School of Public Health - Environmental Health 1144445071114 93.113 11,068 - Johns Hopkins University - Environmental Health PO 201196592 93.113 27,786 - University of California at Berkeley - Environmental Health 00009025 93.113 51,279 -

96,790 - University of Arizona - Oral Diseases and Disorders Research 266624 93.121 20,189 -

20,189 - The University of South Florida - Centers for Research and Demonstration for Health Promotion and Disease Prevention 6416-1014-00-B/PO#0000219628 93.135 20,330 - University of South Florida - Centers for Research and Demonstration for Health Promotion and Disease Prevention 6416-1014-10-B 93.135 46,639 -

66,969 - Community Health Center Assoc. of CT - Coordinated Services and Access to Research for Women, Infants, Children, and Youth CHCACT 93.153 3,065 - University of CT Health Center - Coordinated Services and Access to Research for Women, Infants, Children, and Youth UCHC6-55622807 93.153 7,409 - University of CT Health Center - Coordinated Services and Access to Research for Women, Infants, Children, and Youth UCHC6-65503483 93.153 75,388 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-41

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesPassed-through: (continued)

85,862 - Stanford University - Human Genome Research 60172443-106232-B 93.172 16,412 - University of Pittsburgh - Human Genome Research 9011110 93.172 19,042 - University of Massachusetts - Human Genome Research WA00226503/RFS2015054 93.172 36,835 - Wellcome Trust - Human Genome Research 2186-05 93.172 40,754 - Jackson Lab - Human Genome Research SUB#HG007497-02/PO#204077 93.172 40,954 - University of Washington - Human Genome Research 762382-BP01787 93.172 53,300 - University of Pittsburgh - Human Genome Research 9011110(125779-1) 93.172 143,448 - Wellcome Trust - Human Genome Research 2186-05 93.172 144,638 - Stanford University - Human Genome Research 60172443-106232 93.172 198,003 - Jackson Lab - Human Genome Research SUB HG007497 (PO#205108) 93.172 215,015 - University of Massachusetts - Human Genome Research WA00343850/RFS2016060 93.172 382,507 - University of Washington - Human Genome Research UWSC7307(BP07678) 93.172 698,476 -

1,989,384 - John B Pierce Lab - Research Related to Deafness and Communication Disorders sub#192-B 93.173 11,594 - Research Foundation for SUNY - Research Related to Deafness and Communication Disorders P.O. R931454 93.173 12,243 - Research Foundation for SUNY - Research Related to Deafness and Communication Disorders P.O. R937454 93.173 18,757 - Stanford University - Research Related to Deafness and Communication Disorders 61032282-42421 93.173 34,722 - Johns Hopkins University - Research Related to Deafness and Communication Disorders Crair Auditory 93.173 44,991 - John B Pierce Lab - Research Related to Deafness and Communication Disorders SUB #232 93.173 110,932 -

233,239 - Mt. Sinai School of Medicine - Immunization Research, Demonstration, Public Information and Education Training and Clinical Skills Improvement Projects 0258-3461/200-2011-41919 93.185 19,761 -

19,761 - The Rockefeller University - Research and Training in Complementary and Integrative Health 5R01AT007671-04 93.213 239,544 -

239,544 - Children's Hospital of Philadelphia, The - Research on Healthcare Costs, Quality and Outcomes 321018 PO#961737RSUB 93.226 998 - New York University School of Medicine - Research on Healthcare Costs, Quality and Outcomes 15-A0-00-003674/ PO#M150058115 93.226 5,736 - New York University School of Medicine - Research on Healthcare Costs, Quality and Outcomes M150058115 93.226 11,778 - Cambridge Health Alliance - Research on Healthcare Costs, Quality and Outcomes CHA 93.226 43,318 -

61,830 - University of North Carolina - Mental Health Research Grants 5034176 93.242 361 - Vanderbilt University Medical Center - Mental Health Research Grants VUMC 43850 93.242 2,320 - Palo Alto Veterans Institute for Research (PAVIR) - Mental Health Research Grants WIS0001-03 93.242 2,327 - Florida International University - Mental Health Research Grants 800003286-01/FIU01-0000131224 93.242 3,780 - Texas Biomedical Research Institute - Mental Health Research Grants 12-4370.002 93.242 4,127 - Emory University - Mental Health Research Grants T558844 93.242 4,441 - Vanderbilt University - Mental Health Research Grants VUMC43850 93.242 4,640 - Mount Sinai School of Medicine - Mental Health Research Grants 0255-7631-4609 93.242 5,555 - University of Hawaii - Mental Health Research Grants KA150003 93.242 6,413 - University of Pittsburgh - Mental Health Research Grants 0043524(125800-1) 93.242 7,274 - Mount Sinai School of Medicine - Mental Health Research Grants 0255-7631-4609 93.242 9,437 - TeleSage, Inc. - Mental Health Research Grants 4R44MH094023-02 93.242 10,442 - SUNY - Mental Health Research Grants TBD 93.242 12,927 - UCLA - Mental Health Research Grants 1350 G TC885 93.242 15,564 - Hartford Hospital - Mental Health Research Grants 126315SY 93.242 18,329 - Columbia University - Mental Health Research Grants 1 (GG010999) 93.242 20,025 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-42

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesPassed-through: (continued)

Vanderbilt University - Mental Health Research Grants VUMC43850 93.242 20,881 - Butler Hospital - Mental Health Research Grants 9141-8321 93.242 26,770 - University of Texas Rio Grande Valley - Mental Health Research Grants 7R01MH107248(2) 93.242 33,297 - Kennedy Krieger Research Institute - Mental Health Research Grants 7R01MH098073-04 93.242 33,999 - Women & Infants Hospital of Rhode Island - Mental Health Research Grants 9365 93.242 34,375 - Florida International University - Mental Health Research Grants 800006165-01UG 93.242 36,513 - Florida International University - Mental Health Research Grants 800002198-01 93.242 37,925 - Johns Hopkins University - Mental Health Research Grants PO 2001570223 93.242 40,541 - University of Hawaii - Mental Health Research Grants KA150003 93.242 40,683 - Brown University. - Mental Health Research Grants 00000706 93.242 40,820 - Florida International University - Mental Health Research Grants 800003286-01 93.242 45,696 - Mind Research Network (The) - Mental Health Research Grants Subaward #6169 SubN1 93.242 50,044 - Mount Sinai School of Medicine - Mental Health Research Grants sub#0255-8152-4609 93.242 52,268 - University of Minnesota - Mental Health Research Grants N004289102 93.242 55,806 - Duke University - Mental Health Research Grants 12-NIH-1108 93.242 60,638 - Women & Infants Hospital of Rhode Island - Mental Health Research Grants 9365 93.242 60,818 - Mount Sinai School of Medicine - Mental Health Research Grants 0255-7631-4609 93.242 62,090 - University of North Carolina - Mental Health Research Grants 5034176 93.242 72,399 - Duke University - Mental Health Research Grants Sub # 303-4362 93.242 72,689 - SUNY - Mental Health Research Grants 1087883/54246 93.242 79,320 - University of California - San Francisco - Mental Health Research Grants 6899sc 93.242 82,816 - Emory University - Mental Health Research Grants T117235 93.242 93,598 - Electrical Geodesics, Inc. - Mental Health Research Grants R44NS093889 Phase 2 93.242 101,496 - UCLA - Mental Health Research Grants 2000 G QA712 93.242 111,694 - Hartford Hospital - Mental Health Research Grants #126265 93.242 158,723 - Massachusetts General Hospital - Mental Health Research Grants HHSN27100005 SUB#223109 93.242 176,547 - New York University - Mental Health Research Grants F7437-02 - PO#UW826114 93.242 190,301 - Icahn School of Medicine at Mount Sinai - Mental Health Research Grants 0255-7931-4609 93.242 237,506 - Boston University - Mental Health Research Grants 4500001654 93.242 279,265 - New York University - Mental Health Research Grants F7437-02 - PO UW691960-2 93.242 289,990 -

2,807,470 - Icahn School of Medicine at Mount Sinai - Occupational Safety and Health Program 0254-5743-4609 93.262 388 - University of Washington - Occupational Safety and Health Program UWSC7398_ PO# BPO002392 93.262 5,334 - Icahn School of Medicine at Mount Sinai - Occupational Safety and Health Program 0254-5744-4609 93.262 5,798 - University of Washington - Occupational Safety and Health Program UWSC7553_BPO9624 93.262 21,798 - Stanford University - Occupational Safety and Health Program Sub# 28915640-48844-A 93.262 24,449 - University of Washington - Occupational Safety and Health Program UWSC7398/BP010268 93.262 30,266 -

88,033 - Columbia University - Alcohol Research Programs 1 (GG011014-01) 93.273 1,643 - University of North Carolina - Alcohol Research Programs 5104589 93.273 2,028 - Brown University. - Alcohol Research Programs 00000605 93.273 7,679 - New York University - Alcohol Research Programs PO#M130022864;12-02329;101932 93.273 8,308 - Indiana University - Alcohol Research Programs IN4687232YALE 93.273 9,098 - University of North Carolina - Alcohol Research Programs 5-33488 93.273 9,601 - University of Iowa - Alcohol Research Programs P.O.1001364895 93.273 17,713 - Virginia Commonwealth University - Alcohol Research Programs PT106380-SC102751 93.273 21,789 - University of North Carolina - Alcohol Research Programs 5033488 93.273 23,377 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-43

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesPassed-through: (continued)

New York University - Alcohol Research Programs PO M130022864 93.273 33,294 - Kennedy Krieger Research Institute - Alcohol Research Programs 20-3250-9200-113063-0816-01 93.273 38,759 - Brown University. - Alcohol Research Programs 00000605 93.273 40,371 - Columbia University - Alcohol Research Programs 1(GG007573-03) 93.273 117,587 - University of Pittsburgh - Alcohol Research Programs 0037731 (124672-2) 93.273 202,969 -

534,216 - UCLA - Drug Abuse and Addiction Research Programs 1350GQC331 93.279 2,339 - University of Connecticut - Drug Abuse and Addiction Research Programs PO#8098-1KFS#5637020 93.279 6,718 - University of Connecticut - Drug Abuse and Addiction Research Programs PSA79845, KFS#5632990 93.279 9,628 - Research Triangle Inst - Drug Abuse and Addiction Research Programs P.O. #52102L 93.279 17,756 - University of California, San Diego - Drug Abuse and Addiction Research Programs 61060340/S9001015 93.279 24,795 - Boston University - Drug Abuse and Addiction Research Programs Activity#0475401/PO11039426-S 93.279 35,015 - Hutchinson Cancer Research Center - Drug Abuse and Addiction Research Programs 0000831994 93.279 38,031 - University of Connecticut - Drug Abuse and Addiction Research Programs PO#8098-1 KFS#5615070 93.279 44,520 - Real-Time Analyzers, Inc. - Drug Abuse and Addiction Research Programs 594003SC01 93.279 49,036 - Baylor College of Medicine - Drug Abuse and Addiction Research Programs 102156294 93.279 50,081 - American University - Drug Abuse and Addiction Research Programs 31098-04 93.279 51,555 - McLean Hospital - Drug Abuse and Addiction Research Programs Agreement 401108 93.279 51,898 - University of Pennsylvania - Drug Abuse and Addiction Research Programs SUB#562926_PO#3379535 93.279 57,440 - George Mason University - Drug Abuse and Addiction Research Programs E2029921 93.279 63,127 - University of California, San Diego - Drug Abuse and Addiction Research Programs 61060340/S9001015 93.279 76,005 - University of Vermont - Drug Abuse and Addiction Research Programs 28476SUB51644 93.279 88,583 - Baylor College of Medicine - Drug Abuse and Addiction Research Programs 5600922302 93.279 91,259 22,151 Stanford University - Drug Abuse and Addiction Research Programs 60317528-26345-E 93.279 91,904 - The Rockefeller University - Drug Abuse and Addiction Research Programs 5P30DA035756-03 93.279 97,388 - University of Maryland College Park - Drug Abuse and Addiction Research Programs Z027801 93.279 137,112 - The Rockefeller University - Drug Abuse and Addiction Research Programs 5P01DA010044-20 93.279 176,478 - McLean Hospital - Drug Abuse and Addiction Research Programs McLean #400579 93.279 283,402 173,271 McLean Hospital - Drug Abuse and Addiction Research Programs #401108 93.279 379,542 - University of North Carolina - Drug Abuse and Addiction Research Programs 5030996 93.279 416,492 - Baylor College of Medicine - Drug Abuse and Addiction Research Programs 102141981 93.279 680,538 -

3,020,642 195,422 University of Massachusetts - Centers for Disease Control and Prevention Investigations and Technical Assistance WA00269566/RFS015138 93.283 5,594 -

CT Dept. of Public Health - Centers for Disease Control and Prevention Investigations and Technical Assistance 2012-0167-Year 4 93.283 1,067,391 -

CT Dept. of Public Health - Centers for Disease Control and Prevention Investigations and Technical Assistance 2012-0167-4 93.283 1,122,423 - 2,195,408 -

Columbia University - Discovery and Applied Research for Technological Innovations to Improve Human Health 1 (GG007773-04) 93.286 646 - Applikate Technologies, LLC - Discovery and Applied Research for Technological Innovations to Improve Human Health Research Agreement 93.286 34,484 -

Columbia University - Discovery and Applied Research for Technological Innovations to Improve Human Health 1(GG012366-02)_PO#G10531 93.286 323,588 - 358,718 -

Stanford University - Trans-NIH Research Support 60538603-33465 93.310 11,478 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-44

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesPassed-through: (continued)

UCLA - Trans-NIH Research Support 1350 G TB970 93.310 19,458 - University of Southern California - Trans-NIH Research Support CTAFYN041 93.310 169,277 -

200,213 - Pro-Change Behavior Systems, Inc. - National Center for Advancing Translational Sciences Pro-Change 93.350 14,310 -

14,310 - Mount Sinai School of Medicine - Nursing Research 0255-5681-4609 93.361 34,605 - Icahn School of Medicine at Mount Sinai - Nursing Research 0255-5681-4609 93.361 39,204 -

73,809 - University of Miami - Cancer Cause and Prevention Research 661289 93.393 1,996 - University of Washington - Cancer Cause and Prevention Research UWSC7149/PO#14274 93.393 3,647 - Kaiser Foundation Research Institute - Cancer Cause and Prevention Research RNG20029-1 93.393 8,128 - Roswell Park Cancer Inst Corp - Cancer Cause and Prevention Research PO255005AD36 - 141-01 93.393 9,897 - John B Pierce Lab - Cancer Cause and Prevention Research 249-B 93.393 11,594 - Massachusetts General Hospital - Cancer Cause and Prevention Research 217238 93.393 21,769 - University of Washington - Cancer Cause and Prevention Research UWSC8642*BPO15827 93.393 24,388 - University of Southern California - Cancer Cause and Prevention Research 54281828_PO#10235400 93.393 26,167 - John B Pierce Lab - Cancer Cause and Prevention Research 249 93.393 29,570 - Rush University Medical Center - Cancer Cause and Prevention Research 5R21CA178733-02 93.393 30,294 18,195 University of Washington - Cancer Cause and Prevention Research UWSC7149 & BPO001486 93.393 34,934 - Lawrence Berkeley Nat'l Laboratories (LBNL) - Cancer Cause and Prevention Research 6815127 93.393 98,654 - University of California - San Francisco - Cancer Cause and Prevention Research 6686sc 93.393 99,998 - University of Southern California - Cancer Cause and Prevention Research 65978930 93.393 116,209 - Medical University of South Carolina - Cancer Cause and Prevention Research MUSC15-094 93.393 161,994 - University of Southern California - Cancer Cause and Prevention Research 8370sc 93.393 175,412 - University of Michigan - Cancer Cause and Prevention Research 3003750930 93.393 185,144 - Kaiser Foundation Research Institute - Cancer Cause and Prevention Research 115-9568-1 93.393 203,171 - University of Miami - Cancer Cause and Prevention Research 661289 93.393 220,678 - University of Hawaii - Cancer Cause and Prevention Research KA0070 93.393 366,045 -

1,829,689 18,195 Weill Medical College of Cornell Univ. - Cancer Detection and Diagnosis Research PO#4100213048/4100231199 93.394 8,587 - Eigen - Cancer Detection and Diagnosis Research YALE-6414 93.394 15,384 - Stanford University - Cancer Detection and Diagnosis Research 60391439-110008-A 93.394 17,242 - University of Minnesota - Cancer Detection and Diagnosis Research H004548302 93.394 22,732 - Hutchinson Cancer Research Center - Cancer Detection and Diagnosis Research 0000836229 93.394 25,376 -

89,321 - American College of Radiology - Cancer Treatment Research ECOG - 4470 93.395 1,089 - Children's Hospital of Philadelphia, The - Cancer Treatment Research PO#961770-RSUB 93.395 2,180 - Children's Hospital of Philadelphia, The - Cancer Treatment Research PO # 961770-RSUB 93.395 2,501 - University of Pennsylvania - Cancer Treatment Research 564467 PO #3423029 93.395 3,451 - Hutchinson Cancer Research Center - Cancer Treatment Research 0000817659 93.395 4,174 - Vanderbilt University - Cancer Treatment Research VUMC39949 93.395 9,010 - Hutchinson Cancer Research Center - Cancer Treatment Research 0000816605 93.395 9,304 - ECOG-ACRIN Medical Research Foundation, Inc. - Cancer Treatment Research U10CA180820-01-YALE1 93.395 9,898 - ECOG-ACRIN Medical Research Foundation, Inc. - Cancer Treatment Research U10CA180820-01-YALE1 93.395 13,220 - Albany Medical College - Cancer Treatment Research 515473-Yale 93.395 14,401 - L2 Diagnostics, LLC - Cancer Treatment Research 1R41CA195908-01A1 93.395 17,218 - Children's Hospital of Philadelphia, The - Cancer Treatment Research 320813-PO961998-RSUB 93.395 19,326 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-45

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesPassed-through: (continued)

Oregon Health Science Univ. - Cancer Treatment Research 9009627_YALE 93.395 23,697 - Vanderbilt University - Cancer Treatment Research VUMC39949 93.395 37,917 - Bessor Pharma, LLC - Cancer Treatment Research BPL 93.395 40,878 - Oregon Health Science Univ. - Cancer Treatment Research 9009627_YALE 93.395 42,369 - University of Minnesota - Cancer Treatment Research H004627902 93.395 47,294 - Foundation for Children's Oncology Group - Cancer Treatment Research 19685 - 98543-1222-CCRN-COG 93.395 61,896 - Gynecologic Oncology Group - Cancer Treatment Research 267469-107 93.395 71,028 - Children's Hospital of Philadelphia, The - Cancer Treatment Research PO#961893-RSUB/9500008012S7XX 93.395 117,644 - Children's Hospital of Philadelphia, The - Cancer Treatment Research PO960236RSUB 93.395 239,417 -

787,912 - Emory University - Cancer Biology Research T182715 93.396 2,797 - Emory University - Cancer Biology Research T233311 93.396 2,847 - SUNY - Cancer Biology Research 72432-1127175-2 93.396 5,854 - University of Colorado - Cancer Biology Research Proj2-5-65447 FY15.570.004AMD4 93.396 6,050 - University of Southern California - Cancer Biology Research PO#50447946 93.396 6,774 - University of Vermont - Cancer Biology Research 24160 93.396 7,803 - Mayo Clinic of Rochester - Cancer Biology Research YAL-204191/P.O.#64234455 93.396 18,816 - Univ. of Wisconsin-Madison - Cancer Biology Research 341K095 93.396 49,406 - University of Southern California - Cancer Biology Research 65275013 93.396 84,968 - Jackson Lab - Cancer Biology Research PO # 206325 93.396 195,897 -

381,212 - University of Pennsylvania - Cancer Centers Support Grants 566992 PO #3573448 93.397 7,792 - Dana Farber Cancer Inst - Cancer Centers Support Grants 1271302 93.397 8,991 - University of Pennsylvania - Cancer Centers Support Grants 566992/PO 3573448 93.397 46,727 - Harvard School of Public Health - Cancer Centers Support Grants 111115-5086284 93.397 92,697 - Dana Farber Cancer Inst - Cancer Centers Support Grants 1271301 93.397 122,910 -

279,117 - CT Dept. of Social Services - The Affordable Care Act Medicaid Incentives for Prevention of Chronic Disease Demonstration Project 093YU-MED-01/11DSS1202DF 93.536 58,526 - CT Dept. of Social Services - The Affordable Care Act Medicaid Incentives for Prevention of Chronic Disease Demonstration Project 11DSS1202DF/093YU-MED-01 93.536 211,026 -

269,552 - Rhode Island Dept. of Children, Youth and Families - Assistance Payments-Research Rhode Island Evaluation 93.562 56,551 -

56,551 - Foundation for California Community College-FKA Ci - Health Care Innovation Awards (HCIA) TC004-13 93.610 135,982 -

135,982 - Rhode Island Dept. of Children, Youth and Families - Adoption Opportunities HHS-2013-ACF-ACYF-CO-0593-Yr 3 93.652 87,682 -

87,682 - New England Research Institute - Cardiovascular Diseases Research Bench to Bassinet 93.837 1,663 - Regents of the University of Michigan - Cardiovascular Diseases Research 3003946084 93.837 2,136 - New England Research Institute - Cardiovascular Diseases Research MGEN Lifton NERI Subcontract 93.837 2,741 - Vanderbilt University Medical Center - Cardiovascular Diseases Research VUMC44130 93.837 4,845 - University of Cincinnati - Cardiovascular Diseases Research RPTA No. SPR116595 93.837 6,283 - Children's Hospital Cincinnati - Cardiovascular Diseases Research SPR116595 93.837 9,177 - Research Institute at Nationwide Children's Hosp.. - Cardiovascular Diseases Research 82115616 93.837 10,079 - Duke University - Cardiovascular Diseases Research 179452/208268 93.837 14,434 - University of Massachusetts - Cardiovascular Diseases Research TBD 93.837 15,341 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-46

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesPassed-through: (continued)

University of Pennsylvania - Cardiovascular Diseases Research Therapeutic Efficacy 93.837 16,126 - University of Florida - Cardiovascular Diseases Research UFDSP00010118 93.837 19,046 - Mayo Clinic of Rochester - Cardiovascular Diseases Research Dovidio/Mayo/Physician Trainee 93.837 29,227 - Vanderbilt University - Cardiovascular Diseases Research PO# 4016024481/Sub# VUMC 44130 93.837 32,942 - Mount Sinai School of Medicine - Cardiovascular Diseases Research 0255-3115-4609 93.837 39,276 - University of Virginia - Cardiovascular Diseases Research GB10026-146001 93.837 42,985 - Vanderbilt University - Cardiovascular Diseases Research VUMC 56160 93.837 54,516 - Research Institute at Nationwide Children's Hosp.. - Cardiovascular Diseases Research 946915/PO# WX00259802 93.837 59,294 - New England Research Institute - Cardiovascular Diseases Research U01HL098188-CHD GENES 93.837 65,647 29,999 University of Texas Rio Grande Valley - Cardiovascular Diseases Research 7R01HL113323-04(01) 93.837 72,630 - University of Massachusetts - Cardiovascular Diseases Research WA00314706/RFS2015016 93.837 108,886 - Rensselaer Polytechnic Institute - Cardiovascular Diseases Research A12533-P0136963 93.837 152,275 - University of Virginia - Cardiovascular Diseases Research GB10026 146001 93.837 189,141 - Dartmouth College - Cardiovascular Diseases Research 1585R57 93.837 195,138 - University of Pennsylvania - Cardiovascular Diseases Research PO #3491854 93.837 236,089 -

1,379,917 29,999 Regents of the University of California - Lung Diseases Research 8022sc 93.838 156 - Brown University - Lung Diseases Research 00000714 93.838 756 - Seattle Children's Hospital - Lung Diseases Research 11133SUB 93.838 2,663 - University of Pittsburgh - Lung Diseases Research 0022948 (125904-2) 93.838 8,015 - Brigham & Women's Hospital - Lung Diseases Research 112067 93.838 8,928 - University of Pittsburgh - Lung Diseases Research 0446691 (126729-4) 93.838 9,021 - Children's Hospital (Boston) - Lung Diseases Research 1U01HL107681-02/Sub#74159 93.838 10,873 - Duke University - Lung Diseases Research 203-8675 93.838 14,582 - Regents of the University of California - Lung Diseases Research 8903sc 93.838 14,700 - Johns Hopkins University - Lung Diseases Research 2001869618 93.838 41,644 - Univ. of Alabama at Birmingham - Lung Diseases Research 000503442-002 93.838 53,092 - University of Pittsburgh - Lung Diseases Research 0050513 (126976) 93.838 60,221 - Brown University. - Lung Diseases Research 00000750 93.838 67,695 - Johns Hopkins University - Lung Diseases Research 2001869617 93.838 190,412 - Univ. of Alabama at Birmingham - Lung Diseases Research 000503442-002 93.838 220,123 - University of Pittsburgh - Lung Diseases Research 9008508 (125279-7) 93.838 924,527 575,292

1,627,408 575,292 University of Pittsburgh - Blood Diseases and Resources Research 0048591 (125771-1) 93.839 9,426 - University of South Florida - Blood Diseases and Resources Research 6119-1397-00-A 93.839 27,510 - University of Michigan - Blood Diseases and Resources Research 3003664562 93.839 32,035 -

68,971 - Rensselaer Polytechnic Institute - Arthritis, Musculoskeletal and Skin Diseases Research A12208 93.846 1,008 - Brigham & Women's Hospital - Arthritis, Musculoskeletal and Skin Diseases Research 108036 93.846 13,850 - University of Virginia - Arthritis, Musculoskeletal and Skin Diseases Research UV 93.846 23,163 - Mount Sinai School of Medicine - Arthritis, Musculoskeletal and Skin Diseases Research 0255-6501-4609 93.846 48,609 - Johns Hopkins University - Arthritis, Musculoskeletal and Skin Diseases Research 2002704986 93.846 83,856 - Beth Israel Hospital & Med Center - Arthritis, Musculoskeletal and Skin Diseases Research 01026412 93.846 111,115 - Icahn School of Medicine at Mount Sinai - Arthritis, Musculoskeletal and Skin Diseases Research 0255-6501-4609 93.846 208,831 -

490,432 - University of Colorado - Diabetes, Digestive, and Kidney Diseases Extramural Research FY12.601.002 93.847 1,244 - University of Texas SW Medical Center - Diabetes, Digestive, and Kidney Diseases Extramural Research #160225 93.847 1,472 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-47

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesPassed-through: (continued)

University of Texas SW Medical Center - Diabetes, Digestive, and Kidney Diseases Extramural Research 160225-STOP ALF/RGC000000834 93.847 2,372 - Augusta University (formerly Georgia Regents Univ.) - Diabetes, Digestive, and Kidney Diseases Extramural Research 25034-58 93.847 2,478 - University of Pittsburgh - Diabetes, Digestive, and Kidney Diseases Extramural Research 0032208(123894-1) 93.847 2,564 - Augusta University (formerly Georgia Regents Univ.) - Diabetes, Digestive, and Kidney Diseases Extramural Research 25034-91 93.847 3,164 - Augusta University (formerly Georgia Regents Univ.) - Diabetes, Digestive, and Kidney Diseases Extramural Research 25732-72 93.847 3,225 - University of Florida - Diabetes, Digestive, and Kidney Diseases Extramural Research SUB#UFDSP000010473Prj#00106839 93.847 4,530 - Wake Forest Univ. - Diabetes, Digestive, and Kidney Diseases Extramural Research WFUHS 110857 93.847 5,517 - Vanderbilt University - Diabetes, Digestive, and Kidney Diseases Extramural Research VUMC 41104 93.847 12,103 - University of Illinois - Diabetes, Digestive, and Kidney Diseases Extramural Research 2011-06843-01-00 93.847 12,346 - Augusta University (formerly Georgia Regents Univ.) - Diabetes, Digestive, and Kidney Diseases Extramural Research 25730-3 93.847 14,051 - The George Washington University - Diabetes, Digestive, and Kidney Diseases Extramural Research S-GRD1314-EA37 93.847 14,107 - Vanderbilt University - Diabetes, Digestive, and Kidney Diseases Extramural Research VUMC 41104 93.847 15,917 - Case Western Reserve University - Diabetes, Digestive, and Kidney Diseases Extramural Research RES509476 93.847 17,709 - The George Washington University - Diabetes, Digestive, and Kidney Diseases Extramural Research 12-D21 93.847 18,299 - University of South Florida - Diabetes, Digestive, and Kidney Diseases Extramural Research PO 0000139692 93.847 20,574 - Case Western Reserve University - Diabetes, Digestive, and Kidney Diseases Extramural Research RES509476 93.847 20,614 - University of Texas SW Medical Center - Diabetes, Digestive, and Kidney Diseases Extramural Research GMO-111133 93.847 22,858 - Wake Forest Univ. - Diabetes, Digestive, and Kidney Diseases Extramural Research WFUHS 110857 93.847 26,517 - Cornell University - Diabetes, Digestive, and Kidney Diseases Extramural Research Wang T Subaward-Cornell resub 93.847 28,473 - Case Western Reserve University - Diabetes, Digestive, and Kidney Diseases Extramural Research RES508622 93.847 28,689 - Mt. Sinai School of Medicine - Diabetes, Digestive, and Kidney Diseases Extramural Research 0255-7242-4609 93.847 31,985 - The George Washington University - Diabetes, Digestive, and Kidney Diseases Extramural Research S-GRD1415-EA37 93.847 33,552 94,648 Johns Hopkins University - Diabetes, Digestive, and Kidney Diseases Extramural Research 2002754731 93.847 36,139 - L2 Diagnostics, LLC - Diabetes, Digestive, and Kidney Diseases Extramural Research 1R43DK104522-01 93.847 51,395 - Augusta University (formerly Georgia Regents Univ.) - Diabetes, Digestive, and Kidney Diseases Extramural Research 25732-50 93.847 56,130 - University of Texas SW Medical Center - Diabetes, Digestive, and Kidney Diseases Extramural Research 161122-PO RGC000000760 93.847 76,065 - Case Western Reserve University - Diabetes, Digestive, and Kidney Diseases Extramural Research RES509273 93.847 76,077 - Harvard University - Diabetes, Digestive, and Kidney Diseases Extramural Research TBD 93.847 80,449 - UCLA - Diabetes, Digestive, and Kidney Diseases Extramural Research 1564 G SA388 93.847 91,695 81,873 University of California, Santa Barbara - Diabetes, Digestive, and Kidney Diseases Extramural Research KK1525 93.847 93,563 - University of Miami - Diabetes, Digestive, and Kidney Diseases Extramural Research 665706 - PO #MS99505 93.847 95,831 - Icahn School of Medicine at Mount Sinai - Diabetes, Digestive, and Kidney Diseases Extramural Research 0255-7243-4609 93.847 104,501 - University of CT Health Center - Diabetes, Digestive, and Kidney Diseases Extramural Research UCHC6-34633213 PO#111944 93.847 125,418 - Epigen Biosciences, Inc. - Diabetes, Digestive, and Kidney Diseases Extramural Research 2R44DK092005-02A1 93.847 144,854 - Mount Sinai School of Medicine - Diabetes, Digestive, and Kidney Diseases Extramural Research 0255-8161-4609 93.847 151,445 - Case Western Reserve University - Diabetes, Digestive, and Kidney Diseases Extramural Research RES510026/PO 523307-0-RSUB 93.847 157,687 - Columbia University - Diabetes, Digestive, and Kidney Diseases Extramural Research 1 (GG010269)/POG03624 93.847 193,380 - L2 Diagnostics, LLC - Diabetes, Digestive, and Kidney Diseases Extramural Research 5R42DK095639-03 93.847 207,348 - The George Washington University - Diabetes, Digestive, and Kidney Diseases Extramural Research 13-D17 93.847 252,788 - Cornell University - Diabetes, Digestive, and Kidney Diseases Extramural Research 15101670_PO#4100330712 93.847 284,733 - UCLA - Diabetes, Digestive, and Kidney Diseases Extramural Research 1564GSA388 93.847 311,464 154,218 University of Colorado - Diabetes, Digestive, and Kidney Diseases Extramural Research PO# 1000572783 93.847 341,103 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-48

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesPassed-through: (continued)

Maine Medical Center - Diabetes, Digestive, and Kidney Diseases Extramural Research ROSEN R24-01 93.847 347,441 - The George Washington University - Diabetes, Digestive, and Kidney Diseases Extramural Research S-GRD1516-MW37 93.847 434,715 184,981

4,058,581 515,720

Johns Hopkins University - Extramural Research Programs in the Neurosciences and Neurological Disorders 2002327486 93.853 6,327 - John B Pierce Lab - Extramural Research Programs in the Neurosciences and Neurological Disorders 258-B 93.853 15,393 - University of California San Francisco - Extramural Research Programs in the Neurosciences and Neurological Disorders 9093sc 93.853 15,798 - University of Minnesota - Extramural Research Programs in the Neurosciences and Neurological Disorders N003439210 93.853 23,872 -

Johns Hopkins University - Extramural Research Programs in the Neurosciences and Neurological Disorders PO 2000795134 93.853 24,871 - John B Pierce Lab - Extramural Research Programs in the Neurosciences and Neurological Disorders #243-B 93.853 25,854 - John B Pierce Lab - Extramural Research Programs in the Neurosciences and Neurological Disorders 258-B 93.853 28,106 - Brown University. - Extramural Research Programs in the Neurosciences and Neurological Disorders #00000698 93.853 29,077 - Massachusetts General Hospital - Extramural Research Programs in the Neurosciences and Neurological Disorders 221901 93.853 29,106 - Brown University. - Extramural Research Programs in the Neurosciences and Neurological Disorders 00000757 93.853 30,392 -

Electrical Geodesics, Inc. - Extramural Research Programs in the Neurosciences and Neurological Disorders YU-1R44NS093889-01 93.853 49,542 - Rutgers State University of New Jersey - Extramural Research Programs in the Neurosciences and Neurological Disorders 8000 93.853 55,447 - Massachusetts General Hospital - Extramural Research Programs in the Neurosciences and Neurological Disorders 1U01NS084495-01A1 93.853 57,559 - Beth Israel Deaconess Med Center - Extramural Research Programs in the Neurosciences and Neurological Disorders 01025970-01026743-01027587 93.853 59,236 - Rutgers State University of New Jersey - Extramural Research Programs in the Neurosciences and Neurological Disorders CREST: Long Term Follow 93.853 61,044 - University of Miami - Extramural Research Programs in the Neurosciences and Neurological Disorders 664291 93.853 78,562 - University of Utah - Extramural Research Programs in the Neurosciences and Neurological Disorders PO#0000153972 93.853 105,836 - Boston University - Extramural Research Programs in the Neurosciences and Neurological Disorders 4500001954 93.853 123,666 - Columbia University - Extramural Research Programs in the Neurosciences and Neurological Disorders SUB#1(GG011485)_PO#G05835 93.853 234,287 - Columbia University - Extramural Research Programs in the Neurosciences and Neurological Disorders 3(GGO010209-01) 93.853 354,491 - Brown University. - Extramural Research Programs in the Neurosciences and Neurological Disorders #00000698 93.853 396,397 -

1,804,863 - Mayo Clinic of Rochester - Allergy and Infectious Diseases Research P.O. #64006461 93.855 638 - Massachusetts General Hospital - Allergy and Infectious Diseases Research sub#216621 93.855 1,280 - University of CT Health Center - Allergy and Infectious Diseases Research UCHC6-74492361 93.855 1,837 - Benaroya Research Institute at Virginia Mason - Allergy and Infectious Diseases Research FY15109847 93.855 2,324 - Mt. Sinai School of Medicine - Allergy and Infectious Diseases Research 0255-1359-4609 93.855 3,316 - University of Maryland College Park - Allergy and Infectious Diseases Research 31589-Z0670001 93.855 3,697 - Dana Farber Cancer Inst - Allergy and Infectious Diseases Research 100617 93.855 4,956 - Benaroya Research Institute at Virginia Mason - Allergy and Infectious Diseases Research FY16ITN162 93.855 5,177 - Massachusetts General Hospital - Allergy and Infectious Diseases Research 219762 93.855 6,787 - Institute for Clinical Research, Inc. - Allergy and Infectious Diseases Research M08-NE-025-0704-2 93.855 9,966 - Brigham & Women's Hospital - Allergy and Infectious Diseases Research 110009 93.855 10,753 - Benaroya Research Institute at Virginia Mason - Allergy and Infectious Diseases Research FY161TN183 93.855 11,426 - Mt. Sinai School of Medicine - Allergy and Infectious Diseases Research 0255-1359-4609 93.855 12,486 -

Page 91: Yale University New Haven, Connecticut · Yale University . New Haven, Connecticut . Entity Identification Number: 06-0646973 . Report on Federal Financial Assistance Programs in

Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-49

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesPassed-through: (continued)

Icahn School of Medicine at Mount Sinai - Allergy and Infectious Diseases Research 022-8395-4609 93.855 12,680 - Dana Farber Cancer Inst - Allergy and Infectious Diseases Research 1277001 93.855 12,746 - Brigham & Women's Hospital - Allergy and Infectious Diseases Research Hafler_TIM3 PPG 93.855 12,910 - Duke University - Allergy and Infectious Diseases Research 2038647 93.855 14,015 - Benaroya Research Institute at Virginia Mason - Allergy and Infectious Diseases Research FY15109842 93.855 14,308 - Benaroya Research Institute at Virginia Mason - Allergy and Infectious Diseases Research 0109805s06 93.855 15,234 - Texas Tech University - Allergy and Infectious Diseases Research 14EM0107NR2 93.855 16,327 - Massachusetts General Hospital - Allergy and Infectious Diseases Research 226292 93.855 16,481 - Duke University - Allergy and Infectious Diseases Research 2038091 93.855 19,620 - Columbia University - Allergy and Infectious Diseases Research 2(GG011022-01) 93.855 21,219 - Benaroya Research Institute at Virginia Mason - Allergy and Infectious Diseases Research FYITN162 93.855 23,237 - Massachusetts General Hospital - Allergy and Infectious Diseases Research 224628 93.855 23,598 - University of Richmond - Allergy and Infectious Diseases Research PA-10-070 93.855 25,726 - Benaroya Research Institute at Virginia Mason - Allergy and Infectious Diseases Research FYITN162 93.855 26,090 - Benaroya Research Institute at Virginia Mason - Allergy and Infectious Diseases Research FY15ITN141 93.855 27,551 - Albany Medical College - Allergy and Infectious Diseases Research 515469-Yale 93.855 27,960 - Albany Medical College - Allergy and Infectious Diseases Research 515477-YALE 93.855 31,949 - Brigham & Women's Hospital - Allergy and Infectious Diseases Research 110009 93.855 32,544 - Johns Hopkins University - Allergy and Infectious Diseases Research 2001315236 93.855 35,453 - West Virginia University - Allergy and Infectious Diseases Research 15-215-YU 93.855 36,565 - Stanford University - Allergy and Infectious Diseases Research 60869269-114020 93.855 37,703 - Massachusetts General Hospital - Allergy and Infectious Diseases Research 226434 93.855 39,255 - Univ. of Wisconsin-Madison - Allergy and Infectious Diseases Research 548K181 93.855 41,498 - New York Medical College - Allergy and Infectious Diseases Research 41-270-1 93.855 43,479 - SUNY - Allergy and Infectious Diseases Research R994624 93.855 44,926 - Mayo Clinic of Rochester - Allergy and Infectious Diseases Research PO#63551929/64006561 93.855 45,002 - Veterans Medical Research Foundation - Allergy and Infectious Diseases Research 08775002-313415 93.855 47,635 - Dana Farber Cancer Inst - Allergy and Infectious Diseases Research 1006717 93.855 50,301 - Icahn School of Medicine at Mount Sinai - Allergy and Infectious Diseases Research 0255-8385-4609 93.855 53,257 - Sloan-Kettering Inst for Cancer Research - Allergy and Infectious Diseases Research BD519787 93.855 59,058 - Mayo Clinic of Rochester - Allergy and Infectious Diseases Research PO# 63826357 93.855 63,793 - Mt. Sinai School of Medicine - Allergy and Infectious Diseases Research 0254-6909-4609 93.855 69,119 - Stanford University - Allergy and Infectious Diseases Research 60983306-112085 93.855 70,631 - Benaroya Research Institute at Virginia Mason - Allergy and Infectious Diseases Research FY14109808 93.855 77,874 - BioIncept, LLC - Allergy and Infectious Diseases Research 1R41AI120546-01 93.855 80,929 - L2 Diagnostics, LLC - Allergy and Infectious Diseases Research 1R41AI114064-02 93.855 86,024 - Mayo Clinic of Rochester - Allergy and Infectious Diseases Research 63887119 93.855 86,397 - Mt. Sinai School of Medicine - Allergy and Infectious Diseases Research 0255-1359-4609 93.855 89,603 - Univ. of Wisconsin-Madison - Allergy and Infectious Diseases Research 294K652 93.855 90,163 - Johns Hopkins University - Allergy and Infectious Diseases Research 2001315236 93.855 90,901 - SUNY - Allergy and Infectious Diseases Research R876178 93.855 95,608 - Duke University - Allergy and Infectious Diseases Research 203-4116 93.855 96,963 - Mayo Clinic of Rochester - Allergy and Infectious Diseases Research PO #63826357 93.855 108,321 - Scripps Research Inst - Allergy and Infectious Diseases Research 5-52182 93.855 108,839 - Benaroya Research Institute at Virginia Mason - Allergy and Infectious Diseases Research FY15109815 93.855 112,683 - Stanford University - Allergy and Infectious Diseases Research 60869269-114020 Yr. 2 93.855 117,543 - Benaroya Research Institute at Virginia Mason - Allergy and Infectious Diseases Research 0109805s07 93.855 123,265 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-50

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesPassed-through: (continued)

FluGen Inc. - Allergy and Infectious Diseases Research FLUSUB--AGRI5-037 93.855 126,100 - Benaroya Research Institute at Virginia Mason - Allergy and Infectious Diseases Research 0109805s02 93.855 128,572 - Mayo Clinic of Rochester - Allergy and Infectious Diseases Research PO# 64004557 93.855 130,671 - L2 Diagnostics, LLC - Allergy and Infectious Diseases Research 1R41AI112133-02 93.855 132,930 - Dana Farber Cancer Inst - Allergy and Infectious Diseases Research 1006717 93.855 146,737 - Mayo Clinic of Rochester - Allergy and Infectious Diseases Research PO#64260471(Prev#63715727) 93.855 162,430 - Duke University - Allergy and Infectious Diseases Research 203-3942 93.855 179,449 - Brigham & Women's Hospital - Allergy and Infectious Diseases Research 112668 93.855 205,503 - L2 Diagnostics, LLC - Allergy and Infectious Diseases Research 2R44AI096598-02 93.855 288,221 - L2 Diagnostics, LLC - Allergy and Infectious Diseases Research 5R44AI085725-04 93.855 293,998 - Icahn School of Medicine at Mount Sinai - Allergy and Infectious Diseases Research 0254-6909-4609 93.855 343,148 -

4,689,385 - Dartmouth College - Microbiology and Infectious Diseases Research 1618R56 93.856 5,128 -

5,128 - University of Washington - Biomedical Research and Research Training BPO1481 93.859 3,327 - University of Pennsylvania - Biomedical Research and Research Training 568295 93.859 3,641 - Columbia University - Biomedical Research and Research Training SUBAWARD#1(GG009716)_PO#G05471 93.859 3,962 - Nanoprobes, Inc. - Biomedical Research and Research Training 1R41GM117974-01 93.859 4,617 - Health Research, Inc. - Biomedical Research and Research Training 5314-01 93.859 8,035 - New York University School of Medicine - Biomedical Research and Research Training 12-90486; PO M160055510 93.859 8,323 - University of Pittsburgh - Biomedical Research and Research Training 0029564 (124946-9) 93.859 11,098 - Mount Sinai School of Medicine - Biomedical Research and Research Training 0255-4911-4609 93.859 12,333 - University of Rochester - Biomedical Research and Research Training 416522-G 93.859 13,310 - New York University School of Medicine - Biomedical Research and Research Training PO #M140031696 93.859 24,968 - Drexel University - Biomedical Research and Research Training 232634 93.859 32,343 38,970 University of Utah - Biomedical Research and Research Training 10027535-13-M-PO 0000168111 93.859 35,712 - Sanford-Burnham Medical Research Institute - Biomedical Research and Research Training 56344-11735-YU-04 93.859 38,745 - University of Texas Health Science Center - Biomedical Research and Research Training 0010605B 93.859 44,632 - University of Pittsburgh - Biomedical Research and Research Training 0029564 (126332-7) 93.859 89,319 - Harvard University - Biomedical Research and Research Training 114182-5092642 93.859 91,324 - Harvard School of Public Health - Biomedical Research and Research Training 114182-5092642 93.859 93,965 - University of Utah - Biomedical Research and Research Training 10027535-13-M 93.859 108,000 - Massachusetts General Hospital - Biomedical Research and Research Training 227786 93.859 119,701 - Princeton University - Biomedical Research and Research Training SUB0000021 93.859 122,866 - Sanford-Burnham Medical Research Institute - Biomedical Research and Research Training 56344-11735-YU-05 93.859 225,894 - Health Research, Inc. - Biomedical Research and Research Training 4478-01 93.859 236,464 - Drexel University - Biomedical Research and Research Training 232672-Yale/ PO#U0050585 93.859 295,323 56,850 Stanford University - Biomedical Research and Research Training 28783000-51576A- PO60126866 93.859 594,970 -

2,222,872 95,820 University of CT Health Center - Child Health and Human Development Extramural Research UCHC6-64566741 93.865 478 - University of CT Health Center - Child Health and Human Development Extramural Research UCHC6-72212973 93.865 656 - Boston University - Child Health and Human Development Extramural Research 4500001496 93.865 670 - Cornell University - Child Health and Human Development Extramural Research 77319-10683 93.865 1,660 - Icahn School of Medicine at Mount Sinai - Child Health and Human Development Extramural Research 0254-3524-4609 93.865 3,473 - Research Institute at Nationwide Children's Hosp.. - Child Health and Human Development Extramural 975214 PO#WX00243085 93.865 5,198 - Icahn School of Medicine at Mount Sinai - Child Health and Human Development Extramural Research 0254-3514-4609 93.865 7,975 - Ann & Robert H. Lurie Children's Hospital - Child Health and Human Development Extramural Research 901461-Yale 93.865 12,029 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-51

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesPassed-through: (continued)

Nemours Children's Clinic - Child Health and Human Development Extramural Research NCC 93.865 38,111 - Haskins Laboratories, Inc. - Child Health and Human Development Extramural Research Neurobiological Predicators 93.865 39,660 - Florida State University - Child Health and Human Development Extramural Research R01785-CARRYOVER 93.865 47,929 - Washington University - Child Health and Human Development Extramural Research WU-16-145 PO#2928727A 93.865 54,011 - Sloan-Kettering Inst for Cancer Research - Child Health and Human Development Extramural Research BD516939 93.865 55,304 - University of Nebraska (Board of Regents) - Child Health and Human Development Extramural Research 36-5507-2087-017 93.865 56,546 - Boston University - Child Health and Human Development Extramural Research 4500001122 93.865 64,028 - University of CT Health Center - Child Health and Human Development Extramural Research UCHC6-41445776 PO#135609 93.865 85,265 - University of Nebraska (Board of Regents) - Child Health and Human Development Extramural Research 36-5507-2087-016 93.865 85,549 - University of Colorado - Child Health and Human Development Extramural Research FY14.571.001 AMD3 (YALE) 93.865 88,076 - Sloan-Kettering Inst for Cancer Research - Child Health and Human Development Extramural Research BD516939A 93.865 92,017 - Florida State University - Child Health and Human Development Extramural Research R01784 93.865 99,834 - University of California - Davis - Child Health and Human Development Extramural Research 201015626-02 93.865 108,839 - University of California - San Francisco - Child Health and Human Development Extramural Research 7266sc 93.865 121,194 - Washington University - Child Health and Human Development Extramural Research WU-15-181 93.865 124,885 - Nemours Children's Clinic - Child Health and Human Development Extramural Research NCCJ/PO 523307-0-RSUB 93.865 267,663 -

1,461,050 - University of Florida - Aging Research LIFE Study 93.866 7 - Beckman Res Inst City of Hope - Aging Research 23030.914940.669306-3000003929 93.866 997 - University of California, San Diego - Aging Research ADC-046-INI 93.866 1,650 - Axerion Therapeutics, Inc. - Aging Research PrPc Alzheimer's 93.866 2,567 - Vanderbilt University Medical Center - Aging Research VUMC38326 93.866 6,015 - Hebrew Rehabilitation Center for the Aged - Aging Research 10.10.90063 93.866 6,914 - Vanderbilt University Medical Center - Aging Research VUMC38326 93.866 7,089 - Research Foundation for SUNY - Aging Research 71400-2-1124766 93.866 7,348 - University of Massachusetts - Aging Research WA00234385/RFS2015083 93.866 9,612 - University of Southern California - Aging Research ADC-046-INI 93.866 14,247 - University of Massachusetts - Aging Research WA00398759/OSP2016163 93.866 14,955 - University of Washington - Aging Research UWSC8613/BPO7381 93.866 15,316 - Beckman Res Inst City of Hope - Aging Research 23030.914940.669306-3000003929 93.866 17,492 - Wake Forest Univ. - Aging Research WFUHS 110918 Zapata 93.866 21,542 - Northern Calif Inst for Research & Education - Aging Research SHL1947-02 93.866 21,676 - Vanderbilt University - Aging Research 2312-015255 93.866 22,625 - Icahn School of Medicine at Mount Sinai - Aging Research 0255-7691-4609 93.866 26,174 - University of California, San Diego - Aging Research AG024904/ADC-039 93.866 42,874 - University of Pennsylvania - Aging Research 563249 93.866 57,825 - Medical University of South Carolina - Aging Research MUSC-14-078 93.866 71,024 - Brigham & Women's Hospital - Aging Research 111014 93.866 72,038 - University of Florida - Aging Research Sub#UFDSP00010692/Prj#00120769 93.866 74,161 5,950 University of California, San Diego - Aging Research #58369268/ADZ0530 93.866 82,029 - University of Southern California - Aging Research 65941833 93.866 130,653 - University of California, San Diego - Aging Research 45889503 93.866 178,795 - University of Florida - Aging Research SUB#UFDSP00010693/PRJ#00120769 93.866 204,279 - University of California, San Diego - Aging Research 46178022 93.866 223,979 - Stanford University - Aging Research 28722540-45510-F 93.866 264,997 - Brigham & Women's Hospital - Aging Research 111014-Peduzzi 93.866 816,275 - Brigham & Women's Hospital - Aging Research 111014-Gill 93.866 872,171 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-52

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of Health & Human ServicesPassed-through: (continued)

3,287,326 5,950 University of Texas Health Science Center - Vision Research 0011494A 93.867 22,105 - University of Maryland College Park - Vision Research 33882-Z0680001 93.867 24,804 - University of Maryland College Park - Vision Research 18840-Z0553001 93.867 184,258 -

231,167 - University of Texas Health Science Center - Fogarty International Research Collaboration Award 156630 93.934 38,570 -

38,570 - CT Dept. of Public Health - Epidemiologic Research Studies of Acquired Immunodeficiency Syndrome (AIDS) and Human Immunodeficiency Virus (HIV) Infection in Selected Population Groups 2015-0102 (Year 1) 93.943 18,079 - CT Dept. of Public Health - Epidemiologic Research Studies of Acquired Immunodeficiency Syndrome (AIDS) and Human Immunodeficiency Virus (HIV) Infection in Selected Population Groups 2015-0102 (Year 2) 93.943 111,026 -

129,105 - Vanderbilt University Medical Center - International Research and Research Training VUMC 56160 93.989 4,304 - University of California at Berkeley - International Research and Research Training 00008943 93.989 15,590 - Research Foundation of CUNY on Behalf of Hunter Co - International Research and Research Training 41898-A 93.989 36,198 - University of California at Berkeley - International Research and Research Training 00007901/PO #BB00031282 93.989 38,360 36,360 University of California at Berkeley - International Research and Research Training SUB#00007901/PO#BB00031282 93.989 84,262 3,990 University of California at Berkeley - International Research and Research Training 00007901 93.989 200,362 -

379,076 40,350 Subtotal - Department of Health & Human Services - Pass Through 48,020,216 1,476,748

Subtotal - Department of Health & Human Services 425,833,226 37,514,495

Department of Homeland SecurityDirect:

Homeland Security Research, Development, Testing, Evaluation, and Demonstration of Technologies Related to 2011-DN-077-ARI047-05 97.077 176,316 - 176,316 -

Subtotal - Department of Homeland Security - Direct 176,316 - Subtotal - Department of Homeland Security 176,316 -

Department of JusticeDirect:

Department of Justice 2012-IJ-CX-0045 16.RD 157,682 5,023 Department of Justice 2013-DN-BX-K023 16.RD 288,834 -

446,516 5,023 National Institute of Justice Research, Evaluation, and Development Project Grants 2015-DN-BX-K023 16.560 27,829 - National Institute of Justice Research, Evaluation, and Development Project Grants 2014-DN-BX-K030 16.560 139,530 -

167,359 - Economic High-Tech and Cyber Crime Prevention 2015-RY-BX-K002 16.752 49,463 -

49,463 - Subtotal - Department of Justice - Direct 663,338 5,023

Passed-through:Research Foundation - CUNY - Community-Based Violence Prevention Program 49274A 16.123 307,014 -

307,014 - Subtotal - Department of Justice - Pass Through 307,014 - Subtotal - Department of Justice 970,352 5,023

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-53

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

Department of StatePassed-through:

Institute of International Education - Academic Exchange Programs - Scholars S-ECAGD-13-CA-149 (DT) 19.401 38,241 - 38,241 -

Subtotal- Department of State - Pass Through 38,241 -

Subtotal - Department of State 38,241 -

Environmental Protection AgencyDirect:

Science To Achieve Results (STAR) Research Program 83542101 66.509 57,739 24,804 Science To Achieve Results (STAR) Research Program RD83587101 66.509 275,261 106,006

333,000 130,810 Science To Achieve Results (STAR) Fellowship Program FP-91761001-0 66.514 2,912 - Science To Achieve Results (STAR) Fellowship Program FP-91765001-0 66.514 3,630 -

6,542 - Subtotal - Environmental Protection Agency - Direct 339,542 130,810

Passed-through:Harvard University - Science To Achieve Results (STAR) Research Program 23520.112422 66.509 8,012 - University of Michigan - Science To Achieve Results (STAR) Research Program 3002918112 66.509 15,052 - University of Florida - Science To Achieve Results (STAR) Research Program Sub2104-1198-00-CPrime83556901 66.509 38,112 - Arizona State University - Science To Achieve Results (STAR) Research Program 14-496 66.509 81,324 -

142,500 - Subtotal - Environmental Protection Agency - Pass Through 142,500 -

Subtotal - Environmental Protection Agency 482,042 130,810

National Aeronautics & Space AdministrationDirect:

Science NNX13AM15H 43.001 4,000 - Science NNX13AO29H 43.001 6,951 - Science NNX12AC01G 43.001 7,846 7,889 Science NNX15AR64G 43.001 9,250 - Science NNX16AE72G 43.001 11,680 - Science NNX15AW68G 43.001 13,370 - Science NNX16AE65G 43.001 15,099 - Science NNX12AO80G 43.001 16,837 - Science NNX13AP11H 43.001 17,925 - Science NNX15AP03H 43.001 25,120 - Science NNX15AP11H 43.001 25,638 - Science NNX14AP10H 43.001 27,000 - Science NNX14AL07H 43.001 29,103 - Science NNX14AL76H 43.001 32,636 - Science NNX15AE22G 43.001 33,687 - Science NNX16AD55G 43.001 36,970 - Science NNX14AQ24G (2 of 2) 43.001 37,800 - Science NNX15AJ40G 43.001 51,807 - Science NNX15AQ34H 43.001 61,593 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-54

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

National Aeronautics & Space AdministrationDirect: (continued)

Science NNX13AF25G 43.001 66,497 - Science NNX13AJ36G 43.001 71,851 17,881 Science NNX14AP08G 43.001 92,954 - Science NNX14AQ24G (1 of 2) 43.001 98,240 - Science NNX13AE70G 43.001 109,348 - Science NNX15AF02G 43.001 138,228 - Science NNX14AP41G 43.001 159,926 - Science NNX11AP72G 43.001 196,957 69,778 Science NNX15AD43G 43.001 307,025 95,324

1,705,338 190,872 Space Operations NNX11AP43A 43.007 167,641 -

167,641 - Education NNX13AR88H 43.008 50,699 - Education NNX12AM46H 43.008 60,864 -

111,563 - Cross Agency Support NNX14AO55G 43.009 171,766 -

171,766 - Subtotal - National Aeronautics & Space Administration - Direct 2,156,308 190,872

Passed-through:Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-13745.001-A 43.RD 434 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-14088.011-A 43.RD 487 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-13470.003-A 43.RD 1,031 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-13008.04-A 43.RD 1,259 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-12957.04-A 43.RD 1,320 - University of Hartford - National Aeronautics & Space Administration 896 43.RD 2,000 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-13449.01-A 43.RD 3,168 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-AR-13240.008-A 43.RD 3,295 - University of Hartford - National Aeronautics & Space Administration P-890 43.RD 3,692 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-12896.02-A 43.RD 6,772 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-12523.02-A 43.RD 8,050 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-14114.001-A 43.RD 8,991 - University of Hartford - National Aeronautics & Space Administration P-891 43.RD 10,000 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-13792-002-A 43.RD 11,251 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-AR-14304-.001-A 43.RD 13,778 - JPL Jet Propulsion Lab - National Aeronautics & Space Administration 1529618 43.RD 17,446 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-13767.011-A 43.RD 17,487 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-13682.001-A 43.RD 19,181 - JPL Jet Propulsion Lab - National Aeronautics & Space Administration #1526867 43.RD 19,375 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-HF2-51337.001-A 43.RD 28,316 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-13776.0036-A 43.RD 31,707 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-13871.001-A 43.RD 32,015 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-13681-001-A 43.RD 33,661 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-AR-13252.07-A 43.RD 55,668 - JPL Jet Propulsion Lab - National Aeronautics & Space Administration 1527258 43.RD 57,879 - Space Telescope Science Institute - National Aeronautics & Space Administration STSCI-PO 49367 43.RD 67,742 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-55

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

National Aeronautics & Space AdministrationPassed-through: (continued)

Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-13845.002-A 43.RD 75,476 - Smithsonian Astrophysical Observatory - National Aeronautics & Space Administration PF4-150128 43.RD 95,464 - Space Telescope Science Institute - National Aeronautics & Space Administration HST-GO-13872.001-A 43.RD 201,619 -

828,564 - University of Illinois - Science 2013-02991-02-00 43.001 12,460 - Smithsonian Astrophysical Observatory - Science G06-17093X 43.001 13,487 - Smithsonian Astrophysical Observatory - Science AR6-17017B 43.001 13,593 - Smithsonian Astrophysical Observatory - Science GO5-16112X 43.001 14,161 - Smithsonian Astrophysical Observatory - Science G04-15097 A 43.001 14,957 - Arizona State University - Science 14-390 43.001 15,040 - Space Telescope Science Institute - Science HST-HF-51316.01-A 43.001 16,066 - Planetary Science Institute - Science 1374 43.001 21,021 - University of California, Riverside - Science S-000681 43.001 22,259 - Smithsonian Astrophysical Observatory - Science TM4-15007X 43.001 29,037 - University of Washington - Science UWSC6921/PO# BPO1485 43.001 47,902 - Case Western Reserve University - Science RES509124; Parent RES125070 43.001 52,547 - University of California at Berkeley - Science 00008921_PO#BB00645294 43.001 63,899 - Smithsonian Astrophysical Observatory - Science GO3-14150C 43.001 81,535 - MIT Mass Institute of Tech - Science 5710003369 43.001 111,119 - University of California Riverside - Science S-000730 43.001 326,057 -

855,140 - University of Hartford - Education P-776 43.008 7 - University of Hartford - Education P843 43.008 53 - University of Hartford - Education P-959 43.008 381 - University of Hartford - Education P-954 43.008 843 - University of Hartford - Education P-988 43.008 877 - University of Hartford - Education P-963 43.008 943 - University of Hartford - Education P-953 43.008 999 - University of Hartford - Education P-903 43.008 1,000 - University of Hartford - Education # 961 43.008 1,000 - University of Hartford - Education P-1001 43.008 3,000 -

9,103 - Subtotal - National Aeronautics & Space Administration - Pass Through 1,692,807 -

Subtotal - National Aeronautics & Space Administration 3,849,115 190,872 National Science FoundationDirect:

Engineering Grants 1562587 47.041 235 - Engineering Grants ECCS-1309898 47.041 1,016 - Engineering Grants CBET-1066904 47.041 1,600 - Engineering Grants CBET-1603806 47.041 4,496 - Engineering Grants CBET-1133484 47.041 5,402 - Engineering Grants ECCS-1509508 47.041 5,863 - Engineering Grants CBET-0954985 47.041 6,193 - Engineering Grants CBET-1232619 47.041 8,452 - Engineering Grants 1550859 47.041 12,557 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-56

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

National Science FoundationDirect: (continued)

Engineering Grants CBET-1460426 47.041 15,979 - Engineering Grants CBET-1436423 47.041 16,964 - Engineering Grants CBET1622389 47.041 19,530 - Engineering Grants CBET-1552993 47.041 21,358 - Engineering Grants CBET-1256286 47.041 28,607 - Engineering Grants CBET-1335934 47.041 28,875 - Engineering Grants CBET-1509687 47.041 30,351 - Engineering Grants CBET-1133484 47.041 33,339 - Engineering Grants CBET-1503409 47.041 34,632 - Engineering Grants CBET-0954985 47.041 35,883 - Engineering Grants ECCS-1503751 47.041 38,223 - Engineering Grants CBET-1066904 47.041 40,642 - Engineering Grants CBET-1403433 47.041 41,439 - Engineering Grants ECCS-1068642 47.041 42,655 - Engineering Grants CBET-1264698 47.041 44,340 - Engineering Grants ECCS-1509361 47.041 46,299 - Engineering Grants CBET-1523263 47.041 48,327 - Engineering Grants ECCS-1128542 47.041 52,279 - Engineering Grants 1552461 47.041 66,848 - Engineering Grants ECCS-1408279 47.041 68,030 - Engineering Grants CBET-1438564 47.041 76,015 - Engineering Grants CBET-1403224 47.041 79,808 - Engineering Grants ECCS-1309809 47.041 80,738 - Engineering Grants ECCS-0846919 47.041 81,038 - Engineering Grants CBET-1542809 47.041 82,327 - Engineering Grants CBET-1351443 47.041 83,859 - Engineering Grants CBET-1431135 47.041 84,605 - Engineering Grants CBET-1236086 47.041 88,789 - Engineering Grants 1525316 47.041 93,831 - Engineering Grants CBET-1437630 47.041 99,529 - Engineering Grants CMMI-1334406 47.041 118,902 - Engineering Grants CBET-1454301 47.041 125,279 - Engineering Grants CMMI-1309858 47.041 127,831 - Engineering Grants CBET-1439048 47.041 128,082 - Engineering Grants CMMI-1335383 47.041 137,079 - Engineering Grants CBET-1264246 47.041 139,127 - Engineering Grants CBET-1437965 47.041 147,335 - Engineering Grants CMMI-1462439 47.041 152,267 - Engineering Grants CBET-1336121 47.041 190,248 - Engineering Grants CBET-1258654 47.041 208,146 - Engineering Grants CMMI-1246804 47.041 310,027 85,009 Engineering Grants EFMA-1542815 47.041 419,408 196,256

3,854,684 281,265 Mathematical and Physical Sciences DMR-1007974 47.049 389 - Mathematical and Physical Sciences PHY-1505868 47.049 1,363 - Mathematical and Physical Sciences PHY-1019147 47.049 2,138 - Mathematical and Physical Sciences 1564365 47.049 2,150 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-57

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

National Science FoundationDirect: (continued)

Mathematical and Physical Sciences DMS-1149054 47.049 2,305 - Mathematical and Physical Sciences 1564365 47.049 3,073 - Mathematical and Physical Sciences PHY-1506068 47.049 3,664 - Mathematical and Physical Sciences DMS-1209191 47.049 3,898 - Mathematical and Physical Sciences DMS - 1311844 47.049 4,348 - Mathematical and Physical Sciences 1610313 47.049 6,667 - Mathematical and Physical Sciences DMS-1534545 47.049 7,510 - Mathematical and Physical Sciences AST-1458915 47.049 7,742 - Mathematical and Physical Sciences DMS-1001633 47.049 9,452 - Mathematical and Physical Sciences AST-1009444 47.049 9,766 - Mathematical and Physical Sciences PHY-1505863 47.049 10,000 - Mathematical and Physical Sciences AST-1458915 47.049 18,630 - Mathematical and Physical Sciences CHE-1150826 47.049 18,919 - Mathematical and Physical Sciences DMR-1206399 47.049 19,071 - Mathematical and Physical Sciences DMR-0955916 47.049 30,069 - Mathematical and Physical Sciences DMS-1300120 47.049 34,635 - Mathematical and Physical Sciences DMS-1360740 47.049 34,659 - Mathematical and Physical Sciences DMR-1506371 47.049 35,302 - Mathematical and Physical Sciences PHY-1417402 47.049 36,825 - Mathematical and Physical Sciences AST-1108948 47.049 37,407 - Mathematical and Physical Sciences CHE-1151563 47.049 41,060 - Mathematical and Physical Sciences AST-1105930 47.049 43,982 - Mathematical and Physical Sciences AST-1514676 47.049 46,924 - Mathematical and Physical Sciences CHE1465085 47.049 50,368 - Mathematical and Physical Sciences DMS-1463897 47.049 53,767 - Mathematical and Physical Sciences AST-1516962 47.049 54,416 - Mathematical and Physical Sciences AST-1311825 47.049 57,223 - Mathematical and Physical Sciences PHY-1410545 47.049 64,225 - Mathematical and Physical Sciences DMS-1404257 47.049 67,754 - Mathematical and Physical Sciences DMR-1506800 47.049 68,369 - Mathematical and Physical Sciences AST-1517148 47.049 69,008 - Mathematical and Physical Sciences CHE-1465108 47.049 69,089 - Mathematical and Physical Sciences DMS-1500944 47.049 70,771 - Mathematical and Physical Sciences DMR-1408916 47.049 70,987 - Mathematical and Physical Sciences DMS-1065872 47.049 74,568 - Mathematical and Physical Sciences DMR-1104974 47.049 76,313 - Mathematical and Physical Sciences CHE-1213751 47.049 77,882 - Mathematical and Physical Sciences DMR-1307632 47.049 78,498 - Mathematical and Physical Sciences DMS-1149054 47.049 80,003 - Mathematical and Physical Sciences DMS-1507511 47.049 80,965 - Mathematical and Physical Sciences CHE-1213634 47.049 83,253 - Mathematical and Physical Sciences DMS-1209191 47.049 84,990 - Mathematical and Physical Sciences PHY-1350180 47.049 86,015 - Mathematical and Physical Sciences DMS-1301776 47.049 87,332 - Mathematical and Physical Sciences DMR-1410157 47.049 93,730 - Mathematical and Physical Sciences DMS-1361673 47.049 93,947 - Mathematical and Physical Sciences PHY-1522467 47.049 104,796 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-58

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

National Science FoundationDirect: (continued)

Mathematical and Physical Sciences PHY-1309996 47.049 105,878 - Mathematical and Physical Sciences CHE-1465017 47.049 110,552 - Mathematical and Physical Sciences DMR-1410568 47.049 114,111 - Mathematical and Physical Sciences DMR-1307712 47.049 114,116 - Mathematical and Physical Sciences DMS-1265695 47.049 114,565 - Mathematical and Physical Sciences DMR-1310274 47.049 116,594 - Mathematical and Physical Sciences AST-1312376 47.049 116,642 - Mathematical and Physical Sciences 1404162 47.049 119,216 - Mathematical and Physical Sciences DMR-1436268 47.049 120,284 - Mathematical and Physical Sciences CHE-1507385 47.049 120,661 - Mathematical and Physical Sciences DMR-1402600 47.049 125,504 - Mathematical and Physical Sciences CHE1464957 47.049 134,551 - Mathematical and Physical Sciences DMS-1307797 47.049 137,784 - Mathematical and Physical Sciences PHY-1305509 47.049 144,234 - Mathematical and Physical Sciences AST-1412768 47.049 146,076 - Mathematical and Physical Sciences CHE-1413096 47.049 152,199 - Mathematical and Physical Sciences CHE-1465100 47.049 153,523 - Mathematical and Physical Sciences DMR-1301798 47.049 155,621 - Mathematical and Physical Sciences DMS-1311844 47.049 155,969 - Mathematical and Physical Sciences DMR-1205307 47.049 175,676 - Mathematical and Physical Sciences AST-1332858 47.049 183,551 - Mathematical and Physical Sciences PHY-1429454 47.049 187,644 87,569 Mathematical and Physical Sciences DMR-1309868 47.049 193,045 - Mathematical and Physical Sciences PHY-1457995 47.049 202,403 - Mathematical and Physical Sciences CHE-1464129 47.049 214,042 - Mathematical and Physical Sciences DMR-1410171 47.049 215,479 - Mathematical and Physical Sciences DMR-1206612 47.049 247,426 - Mathematical and Physical Sciences AST-1509436 47.049 255,484 - Mathematical and Physical Sciences PHY-1362305 47.049 399,023 - Mathematical and Physical Sciences AST-1429365 47.049 800,858 - Mathematical and Physical Sciences PHY-1404146 47.049 893,902 552,405 Mathematical and Physical Sciences CHE-1339637 47.049 1,060,118 768,406 Mathematical and Physical Sciences DMR-1119826 47.049 2,126,475 205,957

11,883,423 1,614,337 Geosciences EAR-1416842 47.050 987 - Geosciences EAR-1434983 47.050 1,004 - Geosciences OCE-1335261 47.050 1,500 - Geosciences OCE-1536604 47.050 2,400 - Geosciences EAR-1150722 47.050 3,000 - Geosciences EAR-1619535 47.050 6,449 - Geosciences OCE-1232413 47.050 7,041 - Geosciences EAR-1053247 47.050 8,476 - Geosciences EAR-1053247 47.050 10,991 - Geosciences EAR-1520006 47.050 11,321 - Geosciences OCE-1347310 47.050 17,776 - Geosciences EAR-1321956 47.050 19,399 - Geosciences EAR1551348 47.050 22,505 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-59

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

National Science FoundationDirect: (continued)

Geosciences OCE-1426700 47.050 27,277 - Geosciences EAR-1361327 47.050 28,886 - Geosciences EAR-1150722 47.050 34,202 - Geosciences OCE-1536604 47.050 41,889 - Geosciences EAR-1251515 47.050 43,090 - Geosciences EAR-1520684 47.050 44,612 10,532 Geosciences EAR-1411609 47.050 48,744 - Geosciences ICER 1540984 47.050 49,480 - Geosciences OCE-1335261 47.050 53,036 - Geosciences EAR-1504430 47.050 59,477 - Geosciences AGS-1203163 47.050 64,630 - Geosciences EAR-1464003 47.050 68,016 - Geosciences EAR-0955824 47.050 83,708 - Geosciences EAR-1358325 47.050 84,860 - Geosciences AGS-1515960 47.050 104,181 - Geosciences EAR-1250269 47.050 108,200 - Geosciences EAR-1445356 47.050 127,372 - Geosciences AGS-1253222 47.050 131,435 6,107 Geosciences OCE-1417327 47.050 138,373 - Geosciences AGS-1352417 47.050 142,602 - Geosciences AGS-1405272 47.050 155,678 - Geosciences EAR-1360369 47.050 159,730 - Geosciences NSF 47.050 160,441 - Geosciences PLR-1341661 47.050 167,298 - Geosciences AGS-1338655 47.050 181,661 - Geosciences PLR-1350046 47.050 185,454 - Geosciences EAR-1344538 47.050 216,285 -

2,823,466 16,639 Computer and Information Science and Engineering IIS-1139078 47.070 625 - Computer and Information Science and Engineering 1614491 47.070 1,412 - Computer and Information Science and Engineering CNS-1419869 47.070 1,869 - Computer and Information Science and Engineering CCF-1248100 47.070 3,870 - Computer and Information Science and Engineering CCF-1553168 47.070 4,496 - Computer and Information Science and Engineering IIS-1064412 47.070 6,000 - Computer and Information Science and Engineering 151523 47.070 6,521 - Computer and Information Science and Engineering CCF-1515943 47.070 7,127 - Computer and Information Science and Engineering CNS-1524680 47.070 14,695 - Computer and Information Science and Engineering CNS-1633282 47.070 18,151 - Computer and Information Science and Engineering IIS-1249722 47.070 21,649 - Computer and Information Science and Engineering ITS-1317976 47.070 23,075 - Computer and Information Science and Engineering CCF-1248100 47.070 25,768 - Computer and Information Science and Engineering CCF-1319671 47.070 31,919 - Computer and Information Science and Engineering CCF-1215808 47.070 56,381 - Computer and Information Science and Engineering IIS-1064412 47.070 69,620 - Computer and Information Science and Engineering CNS-1218457 47.070 70,168 - Computer and Information Science and Engineering CCF-1248100 47.070 71,307 - Computer and Information Science and Engineering 151523 47.070 73,121 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-60

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

National Science FoundationDirect: (continued)

Computer and Information Science and Engineering CNS-1544986 47.070 74,178 - Computer and Information Science and Engineering CNS-1419869 47.070 76,083 - Computer and Information Science and Engineering CNS-1409599 47.070 80,856 - Computer and Information Science and Engineering CNS-1407454 47.070 97,818 - Computer and Information Science and Engineering CCF-1550879 47.070 97,989 - Computer and Information Science and Engineering CNS-1527090 47.070 130,327 - Computer and Information Science and Engineering IIS-1527118 47.070 140,856 - Computer and Information Science and Engineering IIS-1218515 47.070 143,451 - Computer and Information Science and Engineering ACI-1440745 47.070 148,928 - Computer and Information Science and Engineering CCF-1302327 47.070 151,873 - Computer and Information Science and Engineering CCF-1111257 47.070 186,768 - Computer and Information Science and Engineering CCF-1217023 47.070 211,133 - Computer and Information Science and Engineering IIS-1302267 47.070 221,780 - Computer and Information Science and Engineering ACI-1339804 47.070 238,048 - Computer and Information Science and Engineering IIS-1317976 47.070 357,278 - Computer and Information Science and Engineering CNS-1065451 47.070 485,877 - Computer and Information Science and Engineering IIS-1139078 47.070 988,661 -

4,339,678 - Biological Sciences EF-1304931 47.074 24 - Biological Sciences 1558568 47.074 339 - Biological Sciences EF-1304931 47.074 1,728 - Biological Sciences DEB-1354762-002 47.074 2,000 - Biological Sciences DEB-1026764 47.074 2,042 - Biological Sciences DEB-1403550 47.074 2,181 - Biological Sciences EF-1340749 47.074 2,692 - Biological Sciences IOS-0965420 47.074 2,771 - Biological Sciences DEB-1354053 47.074 3,021 - Biological Sciences DEB-1457515 47.074 4,235 - Biological Sciences EF-1305027 47.074 4,959 - Biological Sciences DEB-1145606 47.074 7,963 6,883 Biological Sciences DEB-1404120 47.074 8,684 - Biological Sciences IOS-1146933 47.074 10,251 10,251 Biological Sciences MCB-1410079 47.074 10,520 - Biological Sciences DBI-1203483 47.074 10,854 - Biological Sciences DEB-1257645 47.074 11,600 - Biological Sciences DEB-1457614 47.074 12,322 - Biological Sciences DEB-1445578 47.074 12,612 - Biological Sciences DEB1551387 47.074 12,644 - Biological Sciences DEB-1405135 47.074 13,132 - Biological Sciences DEB-1050803 47.074 13,405 - Biological Sciences EF-1304941 47.074 15,822 - Biological Sciences DEB-1500798 47.074 17,661 - Biological Sciences DEB-1547874 47.074 18,149 - Biological Sciences IOS-1256706 47.074 18,210 - Biological Sciences DEB-1501188 47.074 19,978 - Biological Sciences MCB-1243671 47.074 20,144 - Biological Sciences DEB-1343920 47.074 25,541 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-61

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

National Science FoundationDirect: (continued)

Biological Sciences IOS-1353691 47.074 26,816 - Biological Sciences EF-1241870 47.074 29,844 - Biological Sciences 1557059 47.074 31,503 - Biological Sciences 1458495 47.074 33,336 - Biological Sciences EF-1305027 47.074 46,160 - Biological Sciences DEB-1457549 47.074 46,221 - Biological Sciences IOS-1557917 47.074 48,237 - Biological Sciences DBI-1458609 47.074 49,342 - Biological Sciences DBI-1458262 47.074 55,947 - Biological Sciences IOS-1457044 47.074 57,897 - Biological Sciences DEB-1464389 47.074 64,112 55,221 Biological Sciences DBI-1458609 47.074 80,241 - Biological Sciences DEB-1514673 47.074 94,514 - Biological Sciences DEB-1257645 47.074 99,875 - Biological Sciences DEB-1145606 47.074 108,139 10,206 Biological Sciences EF-1209149 47.074 135,288 10,262 Biological Sciences IOS-1354389 47.074 136,597 39,709 Biological Sciences DEB-1464866 47.074 137,618 115,052 Biological Sciences DBI-1349111 47.074 140,492 - Biological Sciences MCB-1121372 47.074 145,791 - Biological Sciences IOS-1548538 47.074 150,569 - Biological Sciences DEB-1354053 47.074 157,082 - Biological Sciences DEB-1354762 47.074 182,587 - Biological Sciences IOS-1353845 47.074 183,673 - Biological Sciences DBI-1049728 47.074 191,475 - Biological Sciences DEB-1441737 47.074 219,879 - Biological Sciences 1262600 47.074 324,324 - Biological Sciences EF-1340749 47.074 437,149 20,000 Biological Sciences IOS-0965420 47.074 519,767 345,271 Biological Sciences IOS-1127017 47.074 2,117,696 1,658,559

6,337,655 2,271,414 Social, Behavioral, and Economic Sciences SES-1324382 47.075 2,089 - Social, Behavioral, and Economic Sciences BCS-1443490 47.075 2,165 - Social, Behavioral, and Economic Sciences SES-1556710 47.075 2,907 - Social, Behavioral, and Economic Sciences BCS-1423872 47.075 3,261 - Social, Behavioral, and Economic Sciences SES-1227593 47.075 3,740 - Social, Behavioral, and Economic Sciences BCS-1534094 47.075 4,637 - Social, Behavioral, and Economic Sciences BCS-1356136 47.075 5,000 - Social, Behavioral, and Economic Sciences SES-1519151 47.075 6,804 - Social, Behavioral, and Economic Sciences BCS-1503753 47.075 7,039 - Social, Behavioral, and Economic Sciences SES-1322934 47.075 7,483 - Social, Behavioral, and Economic Sciences BCS-1464039 47.075 7,718 - Social, Behavioral, and Economic Sciences BCS-1541275 47.075 7,985 - Social, Behavioral, and Economic Sciences SES-1327008 47.075 8,323 - Social, Behavioral, and Economic Sciences BCS-1503753 47.075 8,480 - Social, Behavioral, and Economic Sciences BCS1528386 47.075 8,898 - Social, Behavioral, and Economic Sciences BCS-1357163 47.075 9,551 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-62

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

National Science FoundationDirect: (continued)

Social, Behavioral, and Economic Sciences SES-1426800 47.075 10,034 - Social, Behavioral, and Economic Sciences BCS-1440671 47.075 12,293 - Social, Behavioral, and Economic Sciences SES-1427027 47.075 12,947 - Social, Behavioral, and Economic Sciences BCS-1424052 47.075 14,076 - Social, Behavioral, and Economic Sciences BCS-1548143 47.075 16,400 - Social, Behavioral, and Economic Sciences BCS-1423711 47.075 16,453 - Social, Behavioral, and Economic Sciences BCS-152895 47.075 17,917 - Social, Behavioral, and Economic Sciences BCS-1551043 47.075 21,742 - Social, Behavioral, and Economic Sciences SES-1456134 47.075 23,358 - Social, Behavioral, and Economic Sciences BCS-1437074 47.075 23,866 - Social, Behavioral, and Economic Sciences BCS-1437074 47.075 26,685 - Social, Behavioral, and Economic Sciences SES-1529983 47.075 27,972 - Social, Behavioral, and Economic Sciences SES-1124057 47.075 33,396 - Social, Behavioral, and Economic Sciences SES-1459899 47.075 34,270 - Social, Behavioral, and Economic Sciences BCS-1255547 47.075 39,767 - Social, Behavioral, and Economic Sciences SES-1255298 47.075 39,805 - Social, Behavioral, and Economic Sciences SES-1227390 47.075 44,171 - Social, Behavioral, and Economic Sciences 1558497 47.075 49,244 - Social, Behavioral, and Economic Sciences BCS-1423711 47.075 51,661 - Social, Behavioral, and Economic Sciences SES-1156266 47.075 53,158 - Social, Behavioral, and Economic Sciences SES-1459158 47.075 54,444 - Social, Behavioral, and Economic Sciences SES-1258258 47.075 54,452 - Social, Behavioral, and Economic Sciences BCS-1464039 47.075 57,329 - Social, Behavioral, and Economic Sciences SES-1530564 47.075 59,441 - Social, Behavioral, and Economic Sciences SES-1459872 47.075 70,662 - Social, Behavioral, and Economic Sciences SES-1530528 47.075 72,553 - Social, Behavioral, and Economic Sciences SES-1151449 47.075 76,169 - Social, Behavioral, and Economic Sciences SES-1355504 47.075 77,301 - Social, Behavioral, and Economic Sciences BCS-1356136 47.075 101,486 21,964 Social, Behavioral, and Economic Sciences BCS-1423872 47.075 136,465 - Social, Behavioral, and Economic Sciences BCS-1309260 47.075 177,802 - Social, Behavioral, and Economic Sciences BCS-1444279 47.075 181,060 -

1,784,459 21,964 Education and Human Resources DUE-1432037 47.076 - - Education and Human Resources 1561143 47.076 5,096 - Education and Human Resources DUE-1432037 47.076 10,637 - Education and Human Resources HRD-1310757 47.076 99,938 - Education and Human Resources IOS-1453167 47.076 161,904 - Education and Human Resources DUE-1323258 47.076 400,276 - Education and Human Resources DGE-1122492 47.076 4,836,995 -

5,514,846 - Polar Programs ARC-1219390 47.078 4,015 - Polar Programs ARC-1107623 47.078 12,924 - Polar Programs ARC-1219390 47.078 58,372 -

75,311 - Subtotal - National Science Foundation - Direct 36,613,522 4,205,619

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-63

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

National Science FoundationPassed-through:

Supercool Metals LLC - Engineering Grants SBIR Research Agreement 47.041 4,456 - Rice University - Engineering Grants R3F80C 47.041 423,246 -

427,702 - University of Colorado - Mathematical and Physical Sciences SPO#1000088447/CU1547627 47.049 2,438 - Brown University - Mathematical and Physical Sciences 00000567-PO#P282098 47.049 7,105 - Whitman College - Mathematical and Physical Sciences WC 47.049 7,658 - University of California, San Diego - Mathematical and Physical Sciences 44092521-PO#S9000446 47.049 123,187 - University of Washington - Mathematical and Physical Sciences UWSC7961_PO# BPO 2150 47.049 133,979 -

274,367 - Futurearth Research for Global Sustainability - Geosciences Futurearth 47.050 1,166 - The Pennsylvania State University - Geosciences 4756-YU-NSF-0507 47.050 9,167 - Futurearth Research for Global Sustainability - Geosciences Futurearth 47.050 22,238 - Woods Hole Oceanographic - Geosciences A101246 47.050 28,142 - Johns Hopkins University - Geosciences PO 2001377410 47.050 86,902 -

147,615 - Gallaudet University - Computer and Information Science and Engineering Subaward 0000024365 47.070 16,855 - Woods Hole Research Center - Computer and Information Science and Engineering WHRC-MG0917-02 47.070 30,900 -

47,755 - University of Florida - Biological Sciences UFDSP00010845_PRIME#00123459 47.074 4,065 - University of Georgia - Biological Sciences RR272-210/4895106 47.074 6,603 - Chicago Botanic Garden - Biological Sciences DEB-1348456 47.074 13,095 - Tulane Univ. - Biological Sciences TUL-572-13/14 47.074 16,576 - Arizona State University - Biological Sciences 14-373 47.074 28,327 - University of Rhode Island - Biological Sciences 4451/110315 47.074 45,360 - Michigan State University - Biological Sciences RC062075YU 47.074 47,860 - Arizona State University - Biological Sciences Sub#15-574 (Prime#1414374) 47.074 69,261 - Research Foundation-CUNY - Biological Sciences 40F39-A 47.074 89,574 -

320,721 - George Mason University - Education and Human Resources E2033332-participant support 47.076 26,490 - George Mason University - Education and Human Resources E2033332-prime 47.076 44,384 -

70,874 - University of Minnesota - Office of International Science and Engineering A003418202-participant support 47.079 30,000 - University of Minnesota - Office of International Science and Engineering A003418202-prime 47.079 80,128 - University of Minnesota - Office of International Science and Engineering A003418202 47.079 137,500 -

247,628 - Subtotal - National Science Foundation - Pass Through 1,536,662 -

Subtotal - National Science Foundation 38,150,184 4,205,619

U.S. Agency for International DevelopmentPassed - Through:

Research Institute at Nationwide Children's Hosp.. - Agency for International Development 973115 98.RD 5,037 - Research Institute at Nationwide Children's Hosp.. - Agency for International Development 973115 98.RD 10,373 - Tetra Tech ARD - Agency for International Development ARD-YU-1072-1503 98.RD 55,081 - Family Health International (FHI 360) - Agency for International Development 100225.001.005.002/PO#US00271 98.RD 69,321 - Global Environment & Technology Foundation - Agency for International Development GETF-Last Mile 98.RD 85,438 - Eastern Virginia Med School - Agency for International Development MAPS-15-045 98.RD 100,050 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-64

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

I. Research and Development Cluster

U.S. Agency for International DevelopmentPassed - Through: (continued)

325,300 - College of William & Mary, The - USAID Foreign Assistance for Programs Overseas 740681-Q 98.001 1,843 - College of William & Mary, The - USAID Foreign Assistance for Programs Overseas 740681-W 98.001 34,989 -

36,832 - Subtotal - U.S. Agency for International Development - Pass Through 362,132 -

Subtotal - U.S. Agency for International Development 362,132 -

Total Research & Development Cluster 504,312,784 44,889,819 II. Student Financial Assistance Cluster

Department of EducationFederal Supplemental Education Opportunity Grant ProgramDirect:

Federal Supplemental Educational Opportunity Grants P007A150809 84.007 1,282,560 - 1,282,560 -

Subtotal - Federal Supplemental Education Opportunity Grant Program 1,282,560 -

Federal Work Study ProgramDirect:

Federal Work-Study Program P033A150809 84.033 1,242,704 - 1,242,704 -

Subtotal - Federal Work Study Program 1,242,704 -

Federal Perkins Loan Program Outstanding loans as of July 1, 2015 84.038 29,287,071 - New loans issued during 2016 84.038 4,908,720 - Administrative cost allowance 84.038 372,152 -

34,567,943 - Subtotal - Federal Perkins Loan Program 34,567,943 -

Federal Pell Grant ProgramDirect:

Federal Pell Grant Program P063P151232 84.063 3,477,713 - 3,477,713 -

Subtotal - Federal Pell Grant Program 3,477,713 -

Federal Direct Student Loan ProgramDirect:

Federal Direct Student Loan 84.268 61,191,715 - 61,191,715 -

Subtotal - Federal Direct Student Loan Program 61,191,715 -

Subtotal - Department of Education 101,762,635 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-65

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

II. Student Financial Assistance Cluster

Department of Health & Human ServicesHealth Professions Student Loans, Including Primary Care Loans/Loans for Disadvantaged StudentsDirect:

Primary Care Loan Outstanding loans as of July 1, 2015 93.342 351,041 - Loans for Disadvantaged Students Outstanding loans as of July 1, 2015 93.342 1,405,845 - Health Professions Student Loans Outstanding loans as of July 1, 2015 93.342 13,571 -

Subtotal - Health Professions Student Loans, Including Primary Care Loans/Loans for Disadvantaged Students 1,770,457 -

Nursing Student Loan ProgramDirect:

Nursing Student Loan Outstanding loans as of July 1, 2015 93.364 1,665,418 - New loans issued during 2016 93.364 325,280 -

Subtotal - Nursing Student Loan Program 1,990,698 -

Subtotal - Department of Health & Human Services 3,761,155 -

Total Student Financial Assistance Cluster 105,523,790 -

III. Hurricane Sandy Relief Cluster HHS Programs for Disaster Relief Appropriations Act - Non-Construction

Department of Health & Human ServicesDirect:

HHS Programs for Disaster Relief Appropriations Act - Non Construction 3R01HL107953-04S1 93.095 4,776 - 4,776 -

Subtotal - Department of Health & Human Services - Direct 4,776 -

Passed-through:CT Dept. of Social Services - HHS Programs for Disaster Relief Appropriations Act - Non Construction 093 YU-HSF-01/14DSS8802DF 93.095 924,676 621,210

924,676 621,210 Subtotal - Department of Health & Human Services - Pass Through 924,676 621,210

Total Hurricane Sandy Relief Cluster 929,452 621,210

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-66

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

IV. Other Federal Assistance

Department of AgricultureDirect:

Department of Agriculture EQIP 2008 74110612051 10.U01 3,454 - 3,454 -

Cooperative Forestry Assistance 16-DG-11132540-002 10.664 5,000 - Cooperative Forestry Assistance 13-DG-11132544-404 10.664 428,758 -

433,758 - Forest Stewardship Program CT-12-DG-11420004-065 10.678 51,699 -

51,699 - Subtotal - Department of Agriculture - Direct 488,911 -

Subtotal - Department of Agriculture 488,911 -

Department of EducationDirect:

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 84.015 224,264 -

224,264 - National Resource Centers Program P015A100134 84.015A 750 - National Resource Centers Program P015A100190-13 84.015A 12,142 - National Resource Centers Program P015A100021 84.015A 37,195 - National Resource Centers Program P015A140027-15 84.015A 187,423 - National Resource Centers Program P015A140030 84.015A 268,324 -

505,834 - National Resource Centers Program P015B140179-16 84.015B 275,548 - National Resource Centers Program P015B140030-16 84.015B 392,281 -

667,829 - Gaining Early Awareness and Readiness for Undergraduate Programs P334A110229-14 84.334 1,627,526 207,627 Gaining Early Awareness and Readiness for Undergraduate Programs 5 P334A080071-12 84.334 89,202 14,024

1,716,728 221,651 Subtotal - Department of Education - Direct 3,114,655 221,651

Passed-through:Education Development Center, Inc. - Investing in Innovation (i3) Fund 11870 84.411 43,849 -

43,849 - Subtotal - Department of Education - Pass Through 43,849 -

Subtotal - Department of Education 3,158,504 221,651

Environmental Protection AgencyDirect:

Science To Achieve Results (STAR) Fellowship Program FP-91751501-0 66.514 3,508 - Science To Achieve Results (STAR) Fellowship Program FP-917500001-0 66.514 5,796 - Science To Achieve Results (STAR) Fellowship Program FP-91748001-0 66.514 6,124 - Science To Achieve Results (STAR) Fellowship Program FP-91750301-2 66.514 9,159 -

24,587 - Subtotal - Environmental Protection Agency - Direct 24,587 - Subtotal - Environmental Protection Agency 24,587 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-67

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

IV. Other Federal Assistance

Department of Health & Human ServicesDirect:

Maternal and Child Health Federal Consolidated Programs 5T20MC21953-04-00 93.110 3,336 89 Maternal and Child Health Federal Consolidated Programs 4T20MC21953-05-01 93.110 7,925 4,559

11,261 4,648 Substance Abuse and Mental Health Services Projects of Regional and National Significance 1H79TI025889-01 93.243 120,183 58,958 Substance Abuse and Mental Health Services Projects of Regional and National Significance 1U79TI025362-01 93.243 299,612 28,937 Substance Abuse and Mental Health Services Projects of Regional and National Significance 5H79TI025889-02 93.243 331,196 86,284

750,991 174,179 Health Care Innovation Awards (HCIA) 1C1CMS331356-02-00 93.610 1,105,546 -

1,105,546 - Special Projects of National Significance 5H97HA24963-04-00 93.928 278,812 71,349

278,812 71,349

PPHF Geriatric Education Centers 1U1QHP28745-01-00 93.969 530,882 - 530,882 -

Subtotal - Department of Health & Human Services - Direct 2,677,492 250,176

Passed-through:Philanjalo - Department Of Health And Human Services TBD 93.U02 2,998 - CT Dept. of Mental Health and Addiction Services - Department Of Health And Human Services 15MHA1199 93.U03 68,711 - CT Dept. of Children & Family Services - Department Of Health And Human Services 15DCF6738AA 93.U04 76,456 -

148,165 - Philanjalo - Global AIDS Integration of HIV TB & dru 93.067 32,110 - Clinton Health Access Initiative - Global AIDS CHETHIOEHMI1_6325 93.067 50,170 - Clinton Health Access Initiative - Global AIDS CHETHIOEHMI1 6325 93.067 102,595 -

184,875 - CT Dept. of Social Services - HHS Programs for Disaster Relief Appropriations Act - Non Construction 15DSS8802DF/093-2DF-HSF-1 93.095 847,637 -

847,637 - CT Dept. of Children & Family Services - Comprehensive Community Mental Health Services for Children with Serious Emotional Disturbances (SED) P.S.15DCF6732AA 93.104 94,986 -

94,986 - Mt. Sinai School of Medicine - Maternal and Child Health Federal Consolidated Programs 0253-6545-4609 93.110 1,521 - Mt. Sinai School of Medicine - Maternal and Child Health Federal Consolidated Programs 340B Program 93.110 853,150 -

854,671 - University of Massachusetts - AIDS Education and Training Centers WA00252269/RFS015020 93.145 22,991 - University of Massachusetts - AIDS Education and Training Centers WA00359550/OSP201609 93.145 279,550 -

302,541 - American Psychiatric Assn - Substance Abuse and Mental Health Services Projects of Regional and National Significance APA/MFP 93.243 4,338 -

4,338 - Icahn School of Medicine at Mount Sinai - Occupational Safety and Health Program 0254-5841-4609 93.262 1,349 -

1,349 - CT Dept. of Public Health - Immunization Cooperative Agreements Vaccines - Non Cash Assistance 93.268 59,923 -

59,923 -

Michigan Dept. of Licensing & Regulatory Affairs - ACA Nationwide Program for National and State Background BHCS/CMS 2013-2016 93.506 101,798 - 101,798 -

Boston University - Affordable Care Act (ACA) Public Health Training Centers Program 4500001663 93.516 35,358 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-68

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

IV. Other Federal Assistance

Department of Health & Human ServicesPassed-through: (continued)

Boston University - Affordable Care Act (ACA) Public Health Training Centers Program 45000001905 93.516 101,934 - 137,292 -

University of CT Health Center - ACA - State Innovation Models: Funding for Model Design and Model Testing UCHC6-71711892 93.624 13,125 - 13,125 -

American College of Emergency Physicians - ACA-Transforming Clinical Practice Initiative: Support and 1L1CMS331479-01-00 93.639 46,348 - 46,348 -

CT Dept. of Public Health - Preventive Health and Health Services Block Grant funded solely with Prevention and Public Health Funds (PPHF) 2013-0185-3 93.758 49,171 - CT Dept. of Public Health - Preventive Health and Health Services Block Grant funded solely with Prevention and Public Health Funds (PPHF) 2013-0185-4 93.758 89,923 -

139,094 - New Haven City of - HIV Emergency Relief Project Grants 2011-12-763 93.914 2,289 - New Haven City of - HIV Emergency Relief Project Grants A16-0551 93.914 280,361 - New Haven City of - HIV Emergency Relief Project Grants A15-0425 PO #60150236 93.914 368,365 - New Haven City of - HIV Emergency Relief Project Grants A015-0425 PO #60150236 93.914 912,719 878,191

1,563,734 878,191 Liberty Community Service Inc. - Block Grants for Prevention and Treatment of Substance Abuse LCS Van Service 93.959 52,885 -

52,885 - Subtotal - Department of Health & Human Services - Pass Through 4,552,761 878,191

Subtotal - Department of Health & Human Services 7,230,253 1,128,367

Department of Housing and Urban DevelopmentPassed-through:

Liberty Community Service Inc. - Supportive Housing Program Van Service 14.235 20,823 - 20,823 -

Subtotal - Department of Housing and Urban Development - Pass Through 20,823 -

Subtotal - Department of Housing and Urban Development 20,823 -

Department of InteriorDirect:

Cultural Resource Management L14AC00270 15.224 3,824 - 3,824 -

Native American Graves Protection and Repatriation Act P15AP00422 15.922 4,666 - 4,666 -

Cultural Resources Management P15AC00325 15.946 28,494 - 28,494 -

National Park Service Conservation, Protection, Outreach, and Education P15AC01488 15.954 29,778 - 29,778 -

Subtotal - Department of Interior - Direct 66,762 -

Passed-through:National Audubon Society, Inc. - National Fish and Wildlife Foundation Grant 904 15.663 794 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-69

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

IV. Other Federal Assistance

Department of InteriorPassed-through: (continued)

794 - Subtotal - Department of Interior - Pass Through 794 -

Subtotal - Department of Interior 67,556 -

Department of JusticeDirect:

National Institute of Justice Research, Evaluation, and Development Project Grants 2013-ZD-CX-0001 16.560 675,722 91,424 675,722 91,424

Public Safety Partnership and Community Policing Grants 2012CKWXK039 16.710 65,761 - 65,761 -

Subtotal - Department of Justice - Direct 741,483 91,424 Passed-through:

CT Judicial Dept. - Crime Victim Assistance 04-1101-17_PO#321465 16.575 133,410 - 133,410 -

Illinois Criminal Justice Info Authority - Project Safe Neighborhoods 114207 16.609 19,548 - Illinois Criminal Justice Info Authority - Project Safe Neighborhoods 114007 16.609 50,656 -

70,204 - International Assoc. of Chiefs of Police - Children Exposed to Violence 2012-CV-BX-K056 16.818 54,565 -

54,565 - Subtotal - Department of Justice - Pass Through 258,179 -

Subtotal - Department of Justice 999,662 91,424

Department of StateDirect:

International Programs to Support Democracy, Human Rights and Labor S-LMAQM-12-GR-1097 19.345 29,011 - 29,011 -

Subtotal - Department of State - Direct 29,011 -

Subtotal - Department of State 29,011 -

Institute of Museum and Library ServicesDirect:

Museums for America MA-30-13-0549-13 45.301 2,641 - Museums for America MA-30-14-0347-14 45.301 2,916 - Museums for America MA-30-15-0414-15 45.301 14,196 - Museums for America MA-10-15-0427-15 45.301 45,161 - Museums for America MA-10-13-0503-13 45.301 52,238 -

117,152 - Subtotal - Institute of Museum and Library Services - Direct 117,152 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-70

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

IV. Other Federal Assistance

Institute of Museum and Library ServicesPassed-through:

University of California at Berkeley - National Leadership Grants PO#BB00169265/Sub#00008060 45.312 29,252 - 29,252 -

Subtotal - Institute of Museum and Library Services - Pass Through 29,252 -

Subtotal - Institute of Museum and Library Services 146,404 -

National Endowment for the ArtsDirect:

Promotion of the Arts Grants to Organizations and Individuals 16-4400-7055 45.024 2,803 - 2,803 -

Subtotal - National Endowment for the Arts - Direct 2,803 - Subtotal - National Endowment for the Arts 2,803 -

National Endowment for the HumanitiesDirect:

Promotion of the Humanities Division of Preservation and Access PR-234484-16 45.149 25,279 - 25,279 -

Promotion of the Humanities Research RQ-50671-12 45.161 12,649 - Promotion of the Humanities Research RQ-230397-15 45.161 47,987 - Promotion of the Humanities Research RQ-230464-15 45.161 60,375 - Promotion of the Humanities Research RQ-230479-15 45.161 77,106 - Promotion of the Humanities Research RQ-50742-13 45.161 87,610 - Promotion of the Humanities Research RQ-50849-14 45.161 127,141 -

412,868 - Promotion of the Humanities Professional Development AQ-50950-13 45.163 11,471 -

11,471 - Promotion of the Humanities Office of Digital Humanities HD-51421-11 45.169 3,034 -

3,034 - Subtotal - National Endowment for the Humanities - Direct 452,652 -

Passed-through:Rhizome Communications - Promotion of the Humanities Office of Digital Humanities Researching Digital Culture 45.169 13,964 -

13,964 - Subtotal - National Endowment for the Humanities - Pass Through 13,964 - Subtotal - National Endowment for the Humanities 466,616 -

National Gallery of ArtDirect:

National Gallery of Art Extension Service NGA 68.001 3,152 - 3,152 -

Subtotal - National Gallery of Art - Direct 3,152 -

Subtotal - National Gallery of Art 3,152 -

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Yale UniversitySchedule of Expenditures of Federal AwardsYear Ended June 30, 2016

The accompanying notes are an integral part of this scheduleII-71

Federal 2016CFDA 2016 Subrecipient

Federal Agency Pass-Through Entity/Program Title Direct / Pass-Through Number Number Expenditures Expenditures

IV. Other Federal Assistance

National Historical Publications and Records CommissionDirect:

National Historical Publications and Records Grants NAR15-PD-50001-15 89.003 154,893 - 154,893 -

Subtotal - National Historical Publications and Records Commission - Direct 154,893 -

Subtotal - National Historical Publications and Records Commission 154,893 -

U.S. Agency for International DevelopmentPassed-through:

Institute of International Education - USAID Foreign Assistance for Programs Overseas DFG-5-TOC-YALE 98.001 1 1,533 Management Sciences for Health (MSH) - USAID Foreign Assistance for Programs Overseas LMG-12-03 98.001 185,433 - University of California - Davis - USAID Foreign Assistance for Programs Overseas 201121454-01 98.001 279,594 275,103

465,028 276,636

Subtotal - U.S. Agency for International Development - Pass Through 465,028 276,636

Subtotal - U.S. Agency for International Development 465,028 276,636

Total Other Federal Assistance 13,258,203 1,718,078

V. CCDF ClusterDepartment of Health & Human ServicesPassed-through:

University of Florida - Child Care and Development Block Grant UFDSP00011148 93.575 10,498 - Subtotal - Department of Health & Human 10,498 -

Subtotal - Department of Health & Human Services 10,498 -

Total CCDF Cluster 10,498 -

Total Federal Expenditures 624,034,727$ 47,229,107$

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Yale University Notes to Schedule of Expenditures of Federal Awards Year Ended June 30, 2016

II-72

1. Significant Accounting Policies Basis of Presentation The schedule of expenditures of federal awards is a statement, prepared on the accrual basis, of 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 those cost principles, certain types of expenditures are not allowable or are limited as to reimbursement. In addition, 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. Noncash Assistance The University received $59,923 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.

2. Student Loan Programs The following schedule presents new loans processed by the University for eligible students under federal student loan programs and federally guaranteed loan programs for the year ended June 30, 2016:

CFDA Year End

Loan Balance Perkins 84.038 29,557,724 Primary Care Loan (PCL) 93.342 302,679 Nursing Student Loan (NSL) 93.364 1,698,672 Loans for Disadvantaged Students (LDS) 93.342 1,357,224 Health Professions Student Loans (HPSL) 93.342 3,158

The Perkins Program, Primary Care Loan (PCL) Program, Nursing Student Loan (NSL) Program, Loans for Disadvantaged Students (LDS) Program, and Health Professions Student Loans (HPSL) Program are administered by the University and balances and transactions are included in the University’s financial statements.

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PART III

REPORTS ON INTERNAL CONTROL AND COMPLIANCE

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Independent Auditors’ Report 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 (the “University”), which comprise the consolidated statement of financial position as of June 30, 2016, and the related consolidated statements 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 21, 2016. 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.

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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 21, 2016

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Independent Auditors’ Report 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 OMB Uniform Guidance

To the President and Fellows of Yale University:

Report on Compliance for Each Major Federal Program

We have audited Yale University’s (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, 2016. The University’s major federal programs are identified in the summary of auditors’ 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, the University 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, 2016.

Other Matters

The results of our auditing procedures disclosed an instance of noncompliance, which is required to be reported in accordance with the OMB Uniform Guidance and which is described in the accompanying

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schedule of findings and questioned costs as item 16-001. 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 as 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.

October 21, 2016

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PART IV

SCHEDULE OF FINDINGS AND QUESTIONED COSTS

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Yale University Schedule of Findings and Questioned Costs For the Year Ended June 30, 2016

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 are

not 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 are

not 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 OMB Uniform Guidance? x yes no Identification of major programs: CFDA Number(s) Name of Federal Program or Cluster Various

93.610 Research and Development

Centers for Medicare and Medicaid Services Dollar threshold used to distinguish between type A and type B programs:

$3,000,000

Auditee qualified as low-risk auditee? x yes no

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Yale University Schedule of Findings and Questioned Costs For the Year Ended June 30, 2016

IV-2

Section II – Financial Statement Findings

No findings were identified related to the financial statements that are required to be reported.

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Yale University Schedule of Findings and Questioned Costs For the Year Ended June 30, 2016

IV-3

Section III – Federal Financial Assistance Findings and Questioned Costs

Federal Financial Assistance Findings and Questioned Costs Finding No. 16-001 – Standard Term and Provision – Key Personnel

Award Information Cluster: R&D Agency: National Institute of Health (NIH) CFDA Number: 93.837 Cardiovascular Diseases Research (A10246) and 93.838 Lung Diseases Research (A07769) Award Year: June 1, 2015 – May 31, 2016 (A10246) and January 1, 2010 – December 31, 2015 (A07769) Criteria

Per review of Notice of Award (“NOA”) for A10246 and A07769, the key personnel clause, states that any absence or replacement of the Principal Investigator (“PI”) and other identified key personnel requires prior written approval from the awarding agency. NIH manual Part II A section 8.1.2.6 states the following: The recipient is required to submit a prior approval request to the GMO if The PD/PI or other Senior/Key Personnel specifically named in the NoA will withdraw from the project entirely, be absent from the project during any continuous period of 3 months or more, or reduce time devoted to the project by 25 percent or more from the level that was approved at the time of initial competing year award. Condition

We selected 36 key personnel within the R&D cluster and noted two selections that were not in compliance with the standard term listed within the notice of awards. The standard terms were as follows:

a.) A10246 - In addition to the PI, any absence, replacement, or substantial reduction in effort of the following individual(s) below, requires written prior approval of the National Institutes of Health awarding component: identified key personnel. The identified key personnel, left the University in June 2015, however the National Institute of Health (NIH) was not notified of their departure until June 2016. The University did not notify the NIH until the standard term to the award was selected for the current year audit.

b.) A07769 - In addition to the PI, any absence, replacement, or substantial reduction in effort of the following individual(s) below, requires written prior approval of the National Institutes of Health awarding component – PI and three other key personnel listed on the award. The PI and an identified key personnel in the NOA reduced their effort on the award by more than 25% during FY 16 and did not get prior approval from the NIH.

Upon bringing this to management’s attention, they promptly notified the NIH of the departure of the key personnel. We understand management received retroactive approval on June 10, 2016.

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Yale University Schedule of Findings and Questioned Costs For the Year Ended June 30, 2016

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Cause

The department’s business office did not direct the PI’s on how to handle PI/key personnel reduction in effort and/or departure from the University. The Operations Managers did not remind the PI’s that prior approval is required for a change or reduction in effort for PI’s and key personnel on an award.

Effect

Deficiencies in the controls surrounding compliance over standard 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 surrounding the accounting and tracking of standard terms and provisions surrounding key personnel. Upon bringing this to management’s attention, they promptly notified the NIH of the departure of the key personnel. The reduction in effort of the PI and key personnel was communicated to the NIH subsequently through the submission of the final federal financial report.

Views of Responsible Officials and Planned Corrective Action Plan

See the University's views and corrective action plan.

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Yale Finance STEPHEN C. MURPHY Vice President for Finance and Chief Financial Officer P.O. Box 208304 New Haven, CT 06520-8304 T 203 436-4488 F 203 432-0130 [email protected] courier/deliveries 6th Floor, Room 610 25 Science Park 150 Munson Street New Haven, CT 06511

Management’s Views and Corrective Action Plan Finding No. 16-001 – Standard Term and Provision – Key Personnel

The University concurs with the finding that sponsor prior approval from the National Institutes of Health (NIH) was not requested prior to the June 2015 changes in key personnel for the two awards noted in the finding. The University did, however, receive retroactive sponsor approval in June 2016 for the withdrawal of key personnel from award A10246.

As awards are received by the University, the Office of Sponsored Projects (OSP) provides departments with a notification for each award of any special terms and conditions contained within the Notice of Award (NOA). Departments are responsible for reviewing the NOA, understanding the special terms and conditions and discussing them with the PI.

The corrective action plan is complete. In both instances, the departments have reviewed their internal process for managing key personnel and have taken steps to ensure that assigned personnel review the Notice of Award (NOA), identify and track special terms and discuss the special terms with the Principal Investigator.

Contact Person: Lucy Lucker (203-432-1343) University Controller and Chief Accounting Officer

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Yale Finance STEPHEN C. MURPHY Vice President for Finance and Chief Financial Officer P.O. Box 208304 New Haven, CT 06520-8304 T 203 436-4488 F 203 432-0130 [email protected] courier/deliveries 6th Floor, Room 610 25 Science Park 150 Munson Street New Haven, CT 06511

Summary Schedule of the Status of Prior Audit Findings (June 30, 2015) There are no findings from prior years related to the federal awards that are required to be updated and reported.