Fred Hutchinson Cancer Research Center Uniform
FRED HUTCHINSON CANCER RESEARCH CENTER UNIFORM GUIDANCE FOR FEDERAL AWARDS Independent Auditor’s Report in Accordance with the Uniform Guidance for Federal Awards Year Ended June 30, 2020
FRED HUTCHINSON CANCER RESEARCH CENTER UNIFORM GUIDANCE FOR FEDERAL AWARDS
Table of Contents
Page(s)
Independent Auditors’ Report 1–2
Consolidated Financial Statements:
Statements of Financial Position 3
Statements of Activities 4–5
Statements of Cash Flows 6
Statements of Functional Expenses 7
Notes to Consolidated Financial Statements 8–30
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 31–32
Independent Auditors’ Report on Compliance for Each Major Federal Program; Report on Internal Control over Compliance; and Report on Schedule of Expenditures of Federal Awards Required by Uniform Guidance 33–34
Schedule of Expenditures of Federal Awards 35–41
Notes to the Schedule of Expenditures of Federal Awards 42
Schedule of Findings and Questioned Costs 43
KPMG LLP Suite 2900 1918 Eighth Avenue Seattle, WA 98101
Independent Auditors’ Report
The Board of Trustees Fred Hutchinson Cancer Research Center:
Report on the Financial Statements We have audited the accompanying consolidated financial statements of Fred Hutchinson Cancer Research Center (the Center) which comprise the consolidated statements of financial position as of June 30, 2020 and 2019, and the related consolidated statements of activities, cash flows, and functional expenses for the years then ended, and the related notes to the consolidated financial statements.
Management’s Responsibility for the Financial Statements Management is responsible for the preparation and fair presentation of these consolidated financial statements in accordance with U.S. generally accepted accounting principles; this includes the design, implementation, and maintenance of internal control relevant to the preparation and fair presentation of consolidated financial statements that are free from material misstatement, whether due to fraud or error.
Auditors’ Responsibility Our responsibility is to express an opinion on these consolidated financial statements based on our audits. We conducted our audits in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the consolidated financial statements are free from material misstatement.
An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the consolidated financial statements. The procedures selected depend on the auditors’ judgment, including the assessment of the risks of material misstatement of the consolidated financial statements, whether due to fraud or error. In making those risk assessments, the auditor considers internal control relevant to the entity’s preparation and fair presentation of the consolidated financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the consolidated financial statements.
We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion.
Opinion In our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the consolidated financial position of Fred Hutchinson Cancer Research Center as of June 30, 2020 and 2019, and the changes in its net assets, cash flows, and functional expenses for the years then ended in accordance with U.S. generally accepted accounting principles.
KPMG LLP, a Delaware limited liability partnership and a member firm of the KPMG global organization of independent member firms affiliated with KPMG International Limited, a private English company limited by guarantee.
Emphasis of Matter As discussed in Note 2(r) to the consolidated financial statements, on July 1, 2019, Fred Hutchinson Cancer Research Center adopted Accounting Standards Update (ASU) No. 2016-02, Leases (Topic 842). Our opinion is not modified with respect to this matter.
Other Reporting Required by Government Auditing Standards In accordance with Government Auditing Standards, we have also issued our report dated October 16, 2020 on our consideration of the Center’s internal control over financial reporting and on our tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements and other matters. The purpose of that report is solely to describe the scope of our testing of internal control over financial reporting and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the Center’s internal control over financial reporting or on compliance. That report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the Center’s internal control over financial reporting and compliance.
Seattle, Washington October 16, 2020
2 FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Statements of Financial Position June 30, 2020 and 2019 (In thousands)
Assets 2020 2019 Assets: Cash and cash equivalents $ 36,454 22,329 Restricted cash 20,000 6,104 Grants and contracts receivable, net 44,862 49,127 Notes and pledges receivable, net 17,600 13,680 Other receivables, net 16,989 14,537 Investments 573,687 617,708 Land, buildings, and equipment, net of accumulated depreciation of $442,946 and $414,148, respectively 409,697 380,597 Right of use asset 111,774 — Beneficial interest in perpetual trusts 28,941 29,937 Beneficial interest in net assets of SCCA 203,156 178,158 Other assets 6,594 6,593 Total assets $ 1,469,754 1,318,770
Liabilities and Net Assets Liabilities: Accounts payable and accrued liabilities $ 22,255 15,860 Accrued payroll and related costs 33,563 30,231 Deferred revenue 39,128 62,488 Lease liability 124,106 — Long-term debt 397,996 353,623 Deferred credit on cash flow hedges 56,131 32,428 Total liabilities 673,179 494,630 Net assets: Without donor restriction 607,635 647,192 With donor restriction 188,940 176,948 Total net assets 796,575 824,140 Total liabilities and net assets $ 1,469,754 1,318,770
See accompanying notes to consolidated financial statements.
3 FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Statement of Activities Year ended June 30, 2020 (In thousands)
2020 Without donor With donor restriction restriction Total Revenue and other support: Research grants and contracts $ 460,350 — 460,350 Contributions 42,311 29,690 72,001 Investment income 38,494 2,091 40,585 IP commercialization income 4,217 — 4,217 Clinical service fee revenue 20,462 — 20,462 Other income 57,003 — 57,003 Net assets released from restrictions 20,068 (20,068) — Total revenue 642,905 11,713 654,618 Expenses: Program services and research 558,525 — 558,525 Management and general 86,054 — 86,054 Fundraising 18,726 — 18,726 Total expenses 663,305 — 663,305 Change in net assets from operations (20,400) 11,713 (8,687) Other changes in net assets: Change in net unrealized fair value of investments 9,131 1,644 10,775 Change in net foreign currency translation (409) — (409) Loss on defeasance of debt (4,330) — (4,330) Change in value of split-interest agreements — (1,365) (1,365) Change in net unrealized fair value of swap instruments (23,549) — (23,549) Total other changes in net assets (19,157) 279 (18,878) Total changes in net assets (39,557) 11,992 (27,565) Net assets balance at beginning of year 647,192 176,948 824,140 Net assets balance at end of year $ 607,635 188,940 796,575
See accompanying notes to consolidated financial statements.
4 FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Statement of Activities Year ended June 30, 2019 (In thousands)
2019 Without donor With donor restriction restriction Total Revenue and other support: Research grants and contracts $ 465,852 — 465,852 Contributions 26,004 28,350 54,354 Investment income 41,868 2,027 43,895 IP commercialization income 73,689 — 73,689 Clinical service fee revenue 20,545 — 20,545 Other income 55,624 — 55,624 Net assets released from restrictions 42,945 (42,945) — Total revenue 726,527 (12,568) 713,959 Expenses: Program services and research 543,003 — 543,003 Management and general 88,174 — 88,174 Fundraising 17,726 — 17,726 Total expenses 648,903 — 648,903 Change in net assets from operations 77,624 (12,568) 65,056 Other changes in net assets: Change in net unrealized fair value of investments 45,056 2,421 47,477 Change in net foreign currency translation (118) — (118) Change in value of split-interest agreements — 96 96 Change in net unrealized fair value of swap instruments (13,902) — (13,902) Total other changes in net assets 31,036 2,517 33,553 Total changes in net assets 108,660 (10,051) 98,609 Net assets balance at beginning of year 538,532 186,999 725,531 Net assets balance at end of year $ 647,192 176,948 824,140
See accompanying notes to consolidated financial statements.
5 FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Statements of Cash Flows Years ended June 30, 2020 and 2019 (In thousands)
2020 2019 Cash flows from operating activities: Change in net assets $ (27,565) 98,609 Adjustments to reconcile change in net assets to net cash (used in) provided by operating activities: Depreciation and amortization 30,535 28,567 Equity in earnings of SCCA (24,998) (24,189) Change in net unrealized (gains) losses in fair value of investments (10,775) (47,258) Change in value of split-interest agreements 1,365 (96) Change in fair value of swap instruments 23,703 13,923 Net realized gains on investments (2,684) (6,727) Loss on defeasance of debt 4,330 — Noncash contributions (14,967) (26,652) Contributions with donor restrictions in perpetuity (14,507) (9,126) Changes in assets and liabilities: Grants and contracts receivable 4,265 (18,569) Notes and pledges receivable (3,920) 14,793 Other receivables (2,451) (3,094) Other assets (1) (978) Accounts payable and accrued liabilities 6,369 (2,771) Accrued payroll and related costs 3,332 1,313 Change in right of use assets and lease liability 12,332 — Deferred grant revenue (23,359) (13,861) Net cash (used in) provided by operating activities (38,996) 3,884 Cash flows from investing activities: Additions to land, buildings, equipment, and rental property (60,139) (29,176) Purchases of investments (69,541) (171,558) Sales of investments 125,627 147,555 Net cash used in investing activities (4,053) (53,179) Cash flows from financing activities: Proceeds from new debt 121,225 — Additions to deferred financing costs (1,409) — Repayment of debt (79,245) (585) Contributions restricted for long-term investment 29,474 35,777 Net cash provided by financing activities 70,045 35,192 Net increase (decrease) in cash and cash equivalents 26,996 (14,103) Cash, cash equivalents and restricted cash at beginning of year 30,111 44,214 Cash, cash equivalents and restricted cash at end of year $ 57,107 30,111
Supplemental disclosures of cash flow information: Interest paid $ 13,984 13,676 Capital expenditures in accounts payable 2,357 2,332
See accompanying notes to consolidated financial statements.
6 FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Statements of Functional Expenses Years ended June 30, 2020 and 2019 (In thousands)
Program services and Management research and general Fundraising Total 2020: Salaries and wages $ 251,691 39,735 7,999 299,425 Employee benefits 58,057 9,378 1,819 69,254 Subawards 90,577 — — 90,577 Purchased services 33,885 12,415 1,633 47,933 Supplies 42,971 1,782 135 44,888 Other 24,269 8,579 6,390 39,238 Rent, utilities, and maintenance 18,301 8,421 386 27,108 Interest and amortization 12,435 1,313 69 13,817 Depreciation 26,339 4,431 295 31,065 Total June 30, 2020 $ 558,525 86,054 18,726 663,305
2019: Salaries and wages $ 231,444 38,854 7,550 277,848 Employee benefits 55,496 9,437 1,776 66,709 Subawards 115,948 — — 115,948 Purchased services 35,729 18,842 2,124 56,695 Supplies 36,472 3,007 170 39,649 Other 22,275 6,318 5,087 33,680 Rent, utilities, and maintenance 9,136 6,317 678 16,131 Interest and amortization 11,866 1,253 66 13,185 Depreciation 24,637 4,146 275 29,058 Total June 30, 2019 $ 543,003 88,174 17,726 648,903
See accompanying notes to consolidated financial statements.
7 FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
(1) Organization Fred Hutchinson Cancer Research Center (the Center), a Washington not-for-profit corporation, is organized and operated exclusively for charitable, scientific, and educational purposes, within the meaning of Section 501(c)(3) of the Internal Revenue Code of 1986, as amended, including without limitation (i) eliminating cancer as a cause of human suffering and death; (ii) conducting investigations into the nature and causes of cancer and related medical and public health problems; (iii) investigating methods of prevention and treatment of cancer and related diseases; (iv) conducting education in all phases of cancer research; (v) performing research in all aspects of biomedical science that have a relationship to cancer; (vi) disseminating knowledge acquired pursuant to the foregoing activities; and (vii) maintaining facilities for cancer and related biomedical research. The Center is designated by the National Cancer Institute as a comprehensive cancer research center.
(a) Controlled Affiliates of the Center Hutchinson Centre Research Institute in Uganda Limited (HCRIU) is a Uganda not-for-profit corporation. It is organized and operated for the purpose of researching, detecting, treating, and preventing infection-related cancers in Uganda and throughout the world. The Center is the sole member of HCRIU. The income and property of HCRIU are restricted to be used in meeting its organizational objectives. The net assets of HCRIU of $(10,774) and $(8,908) as of June 30, 2020 and 2019, respectively, are not considered pledged assets under debt covenants.
Hutchinson Centre Research Institute of South Africa (HCRISA) is a South Africa not-for-profit corporation. It is organized and operated for the purpose of promoting and conducting clinical, laboratory, and other research aimed at the prevention, early detection, diagnosis, and treatment of HIV/AIDS, Tuberculosis, and other infectious diseases and cancer in South Africa and throughout the world. The Center is the sole member of HCRISA. The income and property of HCRISA are restricted to be used in meeting its organizational objectives. The net assets of HCRISA of $7,184 and $5,585 as of June 30, 2020 and 2019, respectively, are not considered pledged assets under debt covenants.
Seattle Vaccine Research Fund (SVRF), a Washington State not-for-profit corporation, is exempt from federal taxes under Section 501(c)(3). It is operated for the purpose of providing anti retrovirals to eligible participants of HIV Trials Network. The net assets of SVRF of $2,860 and $543 as of June 30, 2020 and 2019, respectively, are not considered pledged assets (obligations) under debt covenants.
(2) Summary of Significant Accounting Policies (a) Basis of Presentation The consolidated financial statements include the accounts of the Center and its controlled affiliates, collectively referred to as the Center. All significant intercompany balances and transactions between the Center and its controlled affiliates have been eliminated in consolidation.
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(b) Use of Estimates The preparation of financial statements in conformity with U.S. generally accepted accounting principles (GAAP) requires management to make estimates and assumptions that affect the reported amounts of assets and liabilities and disclosure of contingent assets and liabilities at the date of the financial statements and the reported amounts of revenue and expenses during the reporting period. Actual results could differ from those estimates.
(c) Cash and Cash Equivalents Included in cash and cash equivalents are cash equivalents of approximately $584 and $14,873 as of June 30, 2020 and 2019, respectively, which are invested in money market funds and highly liquid debt instruments with original maturities of three months or less.
The Center maintains cash and cash equivalents on deposit at financial institutions, which, at times exceed the limits insured by the Federal Deposit Insurance Corporation. This exposes the Center to potential risk of loss in the event that the financial institution becomes insolvent.
The amount of cash held in investment accounts was $653 and $1,678 as of June 30, 2020 and 2019. The Center does not include cash equivalents included within investments in the statement of cash flows given the long-term nature.
2020 2019
Cash and cash equivalents $ 36,454 22,329 Restricted cash 20,000 6,104 Cash included within investments 653 1,678 Total cash and cash equivalents $ 57,107 30,111
(d) Restricted Cash Restricted cash includes trustee held funds and posted collateral funds. Trustee held funds are in U.S. government and agency obligations held for the purpose of debt funded capital projects. Posted collateral funds are held with the counterparty to comply with the terms of swap agreements, as further discussed in note 18.
(e) Investments Investments, including board-designated funds and donor restricted funds, carried at fair value include cash and cash equivalents, equity securities, debt securities, and alternative investments.
(f) Land, Buildings, and Equipment Land, buildings, and equipment acquisitions are recorded at cost. Depreciation is provided over the estimated useful life of each class of depreciable asset and is computed using the straight-line method. Interest costs incurred on borrowed funds during the period of construction of capital assets are
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capitalized as a component of the cost of acquiring those assets. Improvements and replacements of land, buildings, and equipment are capitalized; maintenance and repairs costs are expensed.
In accordance with Financial Accounting Standards Board (FASB) Accounting Standards Codification (ASC) Topic 360, Property, Plant, and Equipment, long-lived assets, such as property, plant, and equipment, are reviewed for impairment whenever events or changes in circumstances indicate that the carrying amount of the long-lived asset may not be recoverable.
The Center receives reimbursement for a portion of its property, plant, and equipment through direct and indirect cost reimbursement primarily from the federal government in connection with federal grants.
(g) Leases The Center is a lessee in several noncancelable operating leases, primarily for lab and office space. The Center accounts for leases in accordance with Topic 842, Leases which was effective July 1, 2019. The Center determines if an arrangement is or contains a lease at inception. The Center recognizes a right-of-use (ROU) asset and a lease liability at the lease commencement date. The Center has no finance leases as of June 30, 2020.
The ROU asset is initially measured at cost, which comprises the initial amount of the lease liability adjusted for lease payments made at or before the lease commencement date, plus any initial direct costs incurred less any lease incentives received. The ROU asset is subsequently measured throughout the lease term at the carrying amount of the lease liability, plus (minus) and prepaid (accrued) lease payments, less the unamortized balance of lease incentives received.
The lease liability is initially and subsequently measured at the present value of the unpaid lease payments at the lease commencement date.
The Center has elected not to recognize ROU assets and lease liabilities for short-term leases of transportation equipment that have a lease term of 12 months or less. The Center has elected not to apply the short-term lease recognition and measurement exemption for other classes of leased assets.
(h) Beneficial Interest in Net Assets of SCCA The Center accounts for its 33% ownership interest in Seattle Cancer Care Alliance (SCCA) using the equity method of accounting, as further discussed in note 15.
(i) Research Grants and Contracts Revenue The Center recognizes revenue from grants and contracts on the research it performs. Grantors include both federal and nonfederal sponsors with approximately 75% and 74% of the Center's research revenue derived from federal agencies for the years ended June 30, 2020 and 2019, respectively.
Research grants and contracts without performance obligations are recognized as revenue as the costs are incurred in accordance with the terms of the grant or contract.
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Research grants and contracts with performance obligations are treated as exchange transactions. Revenue is recognized over the term of the grants and contracts as performance obligations are satisfied either by incurring costs or achieving milestones.
Total grants and contracts revenue was $460,350 and $465,852 for the years ended June 30, 2020 and 2019, respectively.
Research funding that does not include conditions or performance obligations is recognized as contribution revenue.
(j) Deferred Revenue and Grants and Contracts Receivable Deferred revenue represents grant and contract funds received in advance for research to be performed by the Center in future periods. The Center recognizes these amounts as revenue as the research is performed in accordance with the terms.
The balance in grants and contracts receivable represents expenditures made in accordance with the terms of provisions of the grants and contracts not yet reimbursed by cash.
(k) Donor-Restricted Contributions Unconditional promises to give cash and other assets to the Center are reported at fair value at the date the promise is received. Conditional promises to give are reported at fair value at the date the gift is received or when the conditions are met. The gifts are reported as donor restricted contributions if the donor stipulates either a time or purpose restriction. When a time restriction expires or a purpose restriction is fulfilled, the donor restricted net assets are reclassified as without donor restrictions and reported in the statements of activity as net assets released from restrictions. Donor-restricted contributions whose restrictions are met within the same year as received are reported as without donor restrictions in the accompanying consolidated financial statements.
(l) Perpetual Trusts and Charitable Remainder Trusts The Center is the beneficiary of irrevocable perpetual trusts and charitable remainder trusts for which the Center is not the trustee. These funds held in trust by others represent resources neither in the possession nor under the control of the Center and are administered by third-party trustees.
When the Center is notified of the existence of an irrevocable perpetual trust and can reasonably value its interest, the Center recognizes its beneficial interest in the outside trust at fair value as a contribution. The contribution is classified as an increase in donor restricted net assets based on restrictions placed by the donor. The changes in the fair value of the irrevocable perpetual trusts are reflected as investment changes restricted by donors in restricted net assets on the consolidated statement of activity.
When the Center is notified of an irrevocable charitable remainder trust for which it is not the trustee, the Center recognizes its beneficial interest in the outside trust as a contribution at fair value, which is measured as the present value of the estimated expected future benefits to be received. The contribution is classified as an increase in restricted net assets based on restrictions placed by the donor upon the Center’s beneficial interest. Periodic adjustments recorded to the beneficial interest to
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reflect changes in the fair value, life expectancy, and discount rate are recognized based on information from outside trustees. Any charitable remainder trusts for which the Center is not the trustee are reflected as a receivable from trusts and are included in other receivables in the accompanying consolidated statements of financial position. These amounts as of June 30, 2020 and 2019 were $1,121 and $1,100, respectively.
(m) Foreign Currency Translation and Transaction Gains and Losses The consolidated financial statements include foreign currency amounts attributable to foreign operations. The foreign currency amounts have been translated into U.S. dollars using year-end exchange rates for certain assets and liabilities, historical rates for net assets and average monthly rates for revenues and expenditures. Unrealized gains or losses arising from fluctuations in the year-end exchange rates of non-U.S. dollar assets and liabilities are recorded as net asset adjustments from foreign currency translation, and gains or losses resulting from actual foreign exchange transactions are recorded in revenue and expenses in the consolidated statements of activities.
(n) Net Assets With Donor Restrictions Donor restricted net assets include amounts restricted for time or purpose, and amounts that are restricted in perpetuity. The Center’s net assets restricted in perpetuity consist of various endowment funds and the Center’s interest in perpetual trusts. Income earned on funds restricted in perpetuity is used for operations in accordance with the terms of each endowment fund and the Uniform Prudent Management of Institutional Funds Act (UPMIFA).
(o) Statement of Activities The statement of activities describes the results of financial events that are included in presenting the change in the Center’s net assets. Contributions received by the Center are recorded either with or without donor restrictions. Investment income may be donor restricted or without donor restriction. Research grants and contracts revenue generated by the Center and related expenses incurred are unrestricted. Changes in asset values resulting from “mark-to-market” adjustments are shown as unrealized gains and losses under other changes in net assets. A total increase or decrease in net assets for each net asset grouping is shown to roll forward the beginning of the year balance to the end of the year balance.
(p) Commercialization Income The Center actively works to develop scientific discoveries into new products and services. Revenue is generated from licensing agreements, partnerships, and royalty streams, and new businesses are reported as Commercialization Income.
(q) Federal Income Taxes The Center has obtained a determination letter from the Internal Revenue Service that it is exempt from federal income taxes under Section 501(c)(3), except for unrelated business income. Unrelated business income typically is trade or business activity regularly carried on and is not related to furthering the exempt purpose of the Center.
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(r) Recent Accounting Pronouncements In May 2014, the FASB issued Accounting Standards Update (ASU) No. 2014-09, Revenue from Contracts with Customers, which requires an entity to recognize revenue to depict the transfer of promised goods or services to customers in an amount that reflects the consideration to which the entity expects to be entitled in exchange for those goods or services. An entity also should disclose sufficient quantitative and qualitative information to enable users of financial statements to understand the nature, amount, timing, and uncertainty of revenue and cash flows arising from contracts with customers. ASU No. 2014-09 is effective for the Center for annual periods in fiscal years beginning after December 15, 2018 (as amended in August 2015 by ASU No. 2015-14, Deferral of the Effective Date). The Center implemented the provisions of ASU No. 2014-09 as of July 1, 2018, and performed a detailed analysis of its relevant revenue streams (commercialization income, clinical service fee income, and other income). The Center determined that in all cases this would not change the current method in which revenue is recognized for each of the major revenue streams.
In February 2016, the FASB issued ASU No. 2016-02, Leases (Topic 842), which supersedes FASB ASC Topic 84, Leases, and makes other conforming amendments to U.S. GAAP. ASU No. 2016-02 requires, among other changes to the lease accounting guidance, lessees to recognize most leases on-consolidated statements of financial position via a right-of-use asset and lease liability and additional qualitative and quantitative disclosures. ASU No. 2016-02 is effective for the Center for annual periods in fiscal years beginning after December 15, 2018 and mandates a modified retrospective transition method. The Center has adopted this standard effective July 1, 2019 and recorded both a right-of-use asset of $117,692 and corresponding liability of $126,181.
In November 2016, the FASB issued ASU No. 2016-18, Statement of Cash Flows (Topic 230): Restricted Cash, which requires companies to include cash and cash equivalents that have restrictions on withdrawal or use in total cash and cash equivalents on the statement of cash flows. The guidance is effective for fiscal years beginning after December 15, 2018 and early adoption is permitted. The Center has adopted the provisions of ASU No. 2016-18 as of July 1, 2019.
In June 2018, the FASB issued ASU No. 2018-08, Not-For-Profit Entities (Topic 958). This ASU contains the following key aspects: (1) guidance on determining whether transactions should be accounted for as contributions (nonreciprocal transactions) within the scope of Topic 958, Not-for-Profit Entities, or as exchange (reciprocal) transactions subject to other guidance and (2) determining whether a contribution is conditional. The guidance is effective for fiscal years beginning after December 15, 2018 and early adoption is permitted. The Center has adopted the provisions of ASU No. 2018-08 as of July 1, 2019. The Center has determined that this would not have a material effect on the method in which revenue is recognized. The Center has estimated that contingent contributions that do not meet the requirements for revenue recognition are estimated at $355,000 as of June 30, 2020.
(s) Reclassifications Certain reclassifications have been made to the prior year amounts in order to conform to the current year presentation.
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(3) Due from Government Agencies The Center incurs facilities and administrative (F&A) costs to support its government sponsored research activities. Sponsors are charged for these costs through an F&A cost rate, which is applied to modified total direct research costs. Both direct and F&A costs are recovered by the Center from research programs supported by federal and other grant revenue.
The fixed federal F&A rate for grant and contract supported programs is determined by prospective negotiation with the Department of Health and Human Services (DHHS) based on an estimate of the costs that will be incurred during the period to which the rate applies. Any difference between the costs recovered through the fixed F&A cost rate and actual F&A costs incurred represents an estimated F&A settlement with the federal government, which will be included in future rates. No estimated settlement was recorded as of June 30, 2020 or 2019.
(4) Availability and Liquidity The Center regularly monitors its ability to meet its cash flow requirements and operating needs. The availability of financial assets is primarily affected by management’s designation and external limitations imposed by donors. The following financial assets on the statement of financial position are expected to be readily available to be used for general expenditures of the Center with one year:
Financial Assets: 2020 2019 Cash and cash equivalents $ 36,454 22,329 Accounts receivables (a) 79,802 77,678 Investments 573,687 617,708
Total financial assets, at year-end 689,943 717,715 Less: those unavailable for general expenditures within
one year: Accounts receivables (b) 16,970 9,723 Investments (c) 81,614 69,411 Total unavailable for general expenditures within one year 98,584 79,134
Financial assets available for general expenditures within one year $ 591,359 638,581
(a) Accounts receivable includes grants and contracts receivable, notes and pledges receivable, other receivables and VAT recoverable, at net values.
(b) Accounts receivable of $16,970 and $9,723 as of June 30, 2020 and 2019, respectively, are classified as unavailable within one year. This amount includes $6,904 and $4,147 pledges for donor restricted endowments, $5,818 and $3,032 pledges to be collected beyond one year, as well as $4,247 and $2,517 distributions from charitable remainder trusts anticipated to happen beyond one year.
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(c) Investments totaling $81,614 and $69,411 as of June 30, 2020 and 2019, respectively, are considered unavailable within one year. This amount includes $3,562 and $3,756 required reserves for charitable annuities, donor restricted endowment funds, net of appropriations for expenditures in 2021 and 2020 in the amount of $78,052 and $65,656 respectively.
As part of the Center’s liquidity management, it makes financial assets available based on forecasts of general expenditures, liabilities, and other obligations. The Center invests cash in excess of current requirements in short-term investments available for short-term liquidity needs. The Center also periodically evaluates future cash requirements and can increase the liquidity from long-term investments if needed.
(5) Investments Investments are carried at fair value and include cash and cash equivalents, equity securities, debt securities, and alternative investments. FASB ASC Topic 820-10-50, Fair Value Measurement, provides a fair value hierarchy that prioritizes the inputs to valuation techniques used to measure fair value. The hierarchy gives the highest priority to unadjusted quoted prices in active markets for identical assets or liabilities (Level 1 measurements) and the lowest priority to unobservable inputs (Level 3 measurements). The three levels of the fair value hierarchy are described below:
• Level 1 – Inputs to the valuation methodology are unadjusted quoted prices in active markets for identical investments that the Center has the ability to access. • Level 2 – Inputs to the valuation inputs are quoted prices for similar instruments in active markets, quoted prices for identical or similar instruments in inactive markets, inputs other than quoted prices that are observable for the asset or liability, and inputs that are derived principally from or corroborated by observable market data by correlation or other means. • Level 3 – Inputs that are derived principally from or corroborated by observable market data by correlation or other means.
The level in the fair value hierarchy within which a fair value measurement in its entirety falls is based on the lowest-level input that is significant to the fair value measurement in its entirety.
(a) Fair Value Calculation Methodology The following methods and assumptions were used to estimate the fair value of each class of financial instruments for which it is practicable to estimate that value:
Cash and cash equivalents – The carrying amount of cash designated for investment approximates fair value due the short-term maturity of those instruments (90 days or less).
Investments and trusts – Investments in equity and debt securities, beneficial interest in charitable remainder trusts and perpetual trusts are measured at fair value based on quoted market prices, if available, or estimated using quoted market prices for similar securities. Alternative investments are measured at fair value based on each fund’s net asset value (NAV) as a practical expedient. Other equity securities, which are shares held in a nonpublic entity, are measured at fair value based on management’s valuation model. Management’s model utilizes data and assumptions that are not observable to market participants.
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Long-term debt – The carrying amount of long-term debt with variable interest rates approximates fair value because interest rates are adjusted either daily or weekly for the variable rate demand bonds. The carrying amount of the fixed rate debt is calculated based upon the net present value of the future cash outflows of the associated fixed rate debt discounted at the interest rates in effect as of June 30, 2020.
Cash flow hedges – The carrying amounts of the interest rate swaps are at estimated fair values based on the net present value of the associated variable cash flows, adjusted for the Center’s and the respective counterparty’s nonperformance risk.
(b) Fair Value Hierarchy In accordance with ASC Subtopic 820-10, certain investments that were measured at NAV per share (or its equivalent) have not been classified in the fair value hierarchy. The fair value amounts presented in this table are intended to permit reconciliation of the fair value hierarchy to the line items presented in the statements of financial position.
The following tables present assets and liabilities that are measured at fair value on a recurring basis at June 30, 2020 and 2019:
2020 June 30, 2020 Level 1 Level 2 Level 3
Investments measured by fair value level: Cash and cash equivalents $ 743 743 — — Global equity securities and mutual funds 278,035 276,308 1,727 — Governments, mortgage, and corporate debt funds 196,642 168,703 27,939 — Commodity investments and funds 7,918 7,918 — — Other equity securities 34,733 34,509 — 224 Total investments by fair value level 518,071 488,181 29,666 224
Investments measured using NAV: Global equity securities and mutual funds 33,744 Global real estate funds 44 Private equity and venture capital funds 3,148 Directional hedge securities 18,680
Total investments measured using NAV 55,616 Total investments $ 573,687
16 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
2020 June 30, 2020 Level 1 Level 2 Level 3
Other receivables: Beneficial interest in charitable remainder trusts $ 2,413 — — 2,413 Beneficial interest in perpetual trusts 28,941 — — 28,941 Restricted cash 20,000 20,000 — — Liabilities: Deferred credit on cash flow hedges (56,131) — (56,131) —
2019 June 30, 2019 Level 1 Level 2 Level 3
Investments measured by fair value level: Cash and cash equivalents $ 3,758 3,758 — — Global equity securities and mutual funds 305,979 303,623 2,356 — Governments, mortgage, and corporate debt funds 211,660 185,796 25,864 — Commodity investments and funds 8,944 8,944 — — Other equity securities 34,706 34,336 — 370 Total investments by fair value level 565,047 536,457 28,220 370
Investments measured using NAV: Global equity securities and mutual funds 32,135 Global real estate funds 50 Private equity and venture capital funds 722 Directional hedge securities 19,754
Total investments measured using NAV 52,661 Total investments $ 617,708
17 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
2019 June 30, 2019 Level 1 Level 2 Level 3 Other receivables: Beneficial interest in charitable remainder trusts $ 3,505 — — 3,505 Beneficial interest in perpetual trusts 29,937 — — 29,937 Restricted cash 6,104 — 6,104 — Liabilities: Deferred credit on cash flow hedges (32,428) — (32,428) —
There was no material activity in Level 3 investments during the current or prior year. Two charitable remainder trusts were added during the year ended June 30, 2020 resulting in an increase in Level 3 other receivables of $173.
The Center’s interests in certain nonreadily marketable alternative investments, such as hedge funds and private equity limited partnerships, are stated at fair value based on NAV estimates used as a practical expedient reported to the Center by investment fund managers. The valuation method for investments measured using NAV per share (or its equivalent) is presented in the following table.
June 30, June 30, Redemption Days Unfunded 2020 2019 or liquidation notice commitment
Global equity securities and $ 33,744 32,135 Monthly 30 N/A mutual funds Global real estate funds 44 50 Quarterly 90 N/A Private equity and venture capital funds 3,148 722 N/A N/A 12,956 Qtrly – Every Directional hedge securities 18,680 19,754 2 years 30–184 N/A
Total investments measured using NAV $ 55,616 52,661
Global equity securities and mutual funds: This investment category includes public equity investments in separately managed accounts, long-only comingled funds, and passive market indices. Fair values have been determined using the NAV per share of the investments. All of the investments in this category can be redeemed within a year in both 2020 and 2019.
Global real estate funds – This category includes real estate, natural resources and other hard assets. Fair values have been determined using the NAV per share (or its equivalent) of the ownership in the partners’ capital. All investments will be redeemed in 2020.
18 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
Private equity and venture capital funds – This category includes buyout, venture, and special situation funds. Fair values have been determined using the NAV per share (or its equivalent) of the ownership interest in partners’ capital. These investments can never be redeemed with the funds with the exception of one investment. Distributions from each fund will be received as the underlying investments are liquidated. It is expected that the majority of the underlying assets of the funds will be liquidated over the next 15 years.
Directional hedge securities – The categories include public equity investments in separately managed accounts, long and short comingled funds. Fair values have been determined using the NAV per share (or its equivalent) of the ownership in the partners’ capital or the investment fund. Approximately 11% of the investments in this category can be redeemed within next year and 89% can be redeemed in two years.
The Center’s investments contain endowment funds with donor restrictions for research and other related purposes. As required by GAAP, net assets associated with endowment funds are classified and reported based on the existence or absence of donor-imposed restrictions. The Center’s board-designated investments include funds designated by the board of trustees to function as endowments. The board of trustees may also elect to remove designations on funds previously designated.
(c) Components of Investment Income for the years ended June 30 are as follows: 2020 2019
Interest $ 2,239 2,831 Dividends 11,233 10,604 Net realized gains 2,684 6,726 Equity in earnings of SCCA investment 24,998 24,189 41,154 44,350 Less investment management fees (569) (455) $ 40,585 43,895
(6) Endowments (a) Return Objectives and Risk Parameters The Center has adopted investment and spending policies for its endowment that will provide resources to programs supported by the endowment. The endowment includes donor-restricted funds as well as board-designated investments. Under this policy, as approved by the investment committee of the Center’s board of trustees, the primary objective of the investment of the endowment is to provide a rate of total return, including all gains and losses, realized and unrealized, which exceeds the rate of inflation (as represented by the Consumer Price Index-All Urban Consumers) plus 5% over the long term. The Center defines the long term as five years and more. Consistent returns are to be emphasized over individual year results. The endowment should experience risk (volatility and variability of return) no greater than that of the market. The Center defines the market as the portfolio’s
19 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
asset allocation policy applied to the Russell 3000 Index, the Morgan Stanley Capital Europe, Australia, Far East (EAFE) Index or its equivalent, and the Bloomberg Barclays U.S. Aggregate Bond Index.
(b) Strategies Employed for Achieving Objectives The Center relies on a total return strategy in which investment returns are achieved through both capital appreciation (realized and unrealized) and current yield (interest and dividends) to achieve its long-term rate of return objectives. The Center utilizes an efficient frontier approach to establish the appropriate asset allocation balancing long-term return objectives within prudent risk constraints. The investment committee of the Center’s board of trustees reviews the Center’s asset allocation at least once a year.
(c) Spending Policies and How the Investment Objectives Relate to Spending Policies The Center’s spending policy for individual endowment funds is to appropriate for distribution each year 5% of the endowment fund’s average fair value over the prior three years, provided that the fair value of the endowment fund exceeds the corpus. For a portion of the Center’s board-designated funds, the Center does not appropriate for distribution any amount of investment return as all of the return earned is held to grow the fund for future obligations and repayment of long-term debt. For the remaining endowment funds, the Center makes all investment return available for expenditure to support research.
(d) Funds with Deficiencies Unless otherwise agreed with the donor, the Center’s policy has been to maintain the value of the original corpus of each individual donor-restricted endowment fund. From time to time, the fair value of assets in such endowment funds may fall below this level or such other level as may have been agreed to by the donor or required by law. Losses on donor-restricted endowment funds reduce net assets with donor restrictions. As of June 30, 2020, the fair market value of the underwater endowments total was $1,393. The original endowment contribution amount was $1,402 leaving a small deficiency amount.
The following tables show the net asset composition of the Center’s endowment funds by type of fund as of June 30, 2020 and 2019:
2020 Without With donor restrictions donor Time or purpose Perpetually restrictions restricted restricted Total
Donor-restricted endowment funds $ — 15,225 70,645 85,870 Board-designated endowment funds 354,535 — — 354,535 Total $ 354,535 15,225 70,645 440,405
20 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
2019 Without With donor restrictions donor Time or purpose Perpetually restrictions restricted restricted Total
Donor-restricted endowment funds $ — 15,423 60,189 75,612 Board-designated endowment funds 411,510 — — 411,510 Total $ 411,510 15,423 60,189 487,122
The following tables show the activity that has occurred within the endowment net asset accounts for the years ended June 30, 2020 and 2019:
2020 Without With donor restrictions donor Time or purpose Perpetually restrictions restricted restricted Total
Endowment net assets, beginning of year $ 411,510 15,423 60,189 487,122
Investment return: Investment income 7,901 1,479 — 9,380 Net realized gain 714 120 — 834 Net unrealized gain 7,532 1,594 — 9,126
Total investment return 16,147 3,193 — 19,340
Contributions — 218 10,456 10,674 Distributions — (896) — (896) Board transfers in/out (71,240) — — (71,240) Appropriation of endowment assets for expenditure (1,882) (2,713) — (4,595)
Endowment net assets, end of year $ 354,535 15,225 70,645 440,405
21 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
2019 Without With donor restrictions donor Time or purpose Perpetually restrictions restricted restricted Total
Endowment net assets, beginning of year $ 325,099 14,881 52,001 391,981
Investment return: Investment income 7,554 1,323 — 8,877 Net realized gain 1,042 190 — 1,232 Net unrealized gain 12,946 2,194 — 15,140
Total investment return 21,542 3,707 — 25,249
Contributions — 47 8,188 8,235 Distributions — (938) — (938) Board transfers in/out 66,706 — — 66,706 Appropriation of endowment assets for expenditure (1,837) (2,274) — (4,111)
Endowment net assets, end of year $ 411,510 15,423 60,189 487,122
Contributions to the endowment are only recognized when cash is received; pledges are recorded outside of the endowment until collected.
(7) Land, Buildings, and Equipment Summaries of land, buildings, and equipment at cost as of June 30 are as follows:
2020 2019 Land $ 52,389 52,389 Buildings and improvements 544,205 536,341 Equipment 218,470 198,851 Construction in progress 37,579 7,164 852,643 794,745 Less accumulated depreciation (442,946) (414,148) $ 409,697 380,597
22 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
Buildings are depreciated on a straight-line basis over 45 years, while improvements and equipment are depreciated over 3 to 30 years, depending on the nature of the asset. Interest expense on borrowed funds during construction is a component of the cost of assets. The amount capitalized represents interest on funds expended for construction. Capitalization of interest ceases when the asset is placed in service. The Center had no capitalized interest in 2020 or 2019.
(8) Notes and Pledges Receivable Components of notes and pledges receivable as of June 30 are as follows:
2020 2019
Amounts due in: Less than one year $ 6,825 7,421 One to five years 11,198 6,300 Less: Unamortized discount (417) (35) Allowance for uncollectible pledges (6) (6) Notes and pledges receivable, net $ 17,600 13,680
As of June 30, 2020 and 2019, the gross notes and pledges receivable balances include donor pledges of $16,645 and $12,311, respectively. The discounts on pledges are computed at the rate commensurate with the risks applicable to the year in which the promise is received. Notes and pledges have been discounted using a rate ranging from 1.2% to 1.7%.
23 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
(9) Long-Term Debt Summaries of long-term debt as of June 30 are as follows:
2020 2019
Series 2011A Revenue Bonds secured by a deed of trust due in varying amounts through 2035 plus interest at varying rates $ — 76,440 Series 2015 Revenue Bonds secured by a deed of trust due in varying amounts through 2033 plus interest at varying rates 78,220 78,295 Series 2017A Revenue Bonds secured by a deed of trust due in varying amounts though 2047 plus interest at fixed rate 19,015 19,015 Series 2017B Revenue Bonds secured by a deed of trust due in varying amounts through 2042 plus interest at varying rates 92,110 92,110 Series 2017C Revenue Bonds secured by a deed of trust due in varying amounts through 2042 plus interest at varying rates 85,715 85,715 Series 2020 Revenue Bonds secured by a deed of trust due in varying amounts through 2050 plus interest at a fixed rate 121,225 —
396,285 351,575 Deferred financing costs (3,011) (2,571) Unamortized premium 4,722 4,619 $ 397,996 353,623
On May 7, 2020, the Center issued taxable bonds with a par amount of $121,225 and a maturity date of January 1, 2050. The bonds are in varying amounts with a fixed average coupon rate of 3.95%. The proceeds were used to defease the Series 2011A Revenue Bonds. The 2020 Bonds were issued under a public bond placement and the Center uses a third-party to administrator interest and principal payments.
On March 30, 2017, the Center issued $196,840 of tax-exempt revenue bonds Series 2017 A, B, C. The 2017A Bond consists of $19,015 and is a fixed rate bond with a coupon rate of 5.00%. The proceeds were used to reimburse the Center for future capital costs on the Center’s campus. The 2017B Bond consists of $92,110 and is a variable rate bond with interest ranging from 1.6% –2.0% for the year ended June 30, 2020. The proceeds were used to refund Series 2010, 2012A, 2014, and 2015B Revenue bonds. The 2017C Bond consists of $85,715 and is a variable rate bond with interest ranging from 1.5% –1.8% for the year ended June 30, 2020. The proceeds were used to refund Series 2012B Revenue bonds. The 2017 Bonds were all issued under a public bond placement and the Center uses a third-party to administrator interest and principal payments.
On July 8, 2015, the Center issued $78,510 of tax-exempt revenue bonds Series 2015 (2015 Bonds). The 2015 Bonds are fixed rate bonds, with interest ranging from 3.00% to 6.00%, used to advance refund and defease a portion of the 2009A Bonds. The 2009A Bonds were placed into escrow along with the proceeds
24 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
of the 2015 bonds and center funds to fund principal and interest payments that will be made to bondholders through the call date, July 1, 2019.
On June 30, 2011, the Center issued $84,150 of tax-exempt revenue bonds Series 2011A (2011A Bonds). The 2011A Bonds are fixed rate bonds issued under the Center’s credit rating with interest rates ranging from 0.50% to 6.00% used to refund a portion of the 2001A Bonds and the 2009B Bonds. These bonds were defeased in May 2020 with the proceeds from the 2020 Revenue Bonds.
The bond documents for the 2009A Bonds, 2010 Bonds, 2011A Bonds, 2012A Bonds, 2012B Bonds, and the 2015 Bonds have covenants that require the Center to provide to the Authority, pursuant to a deed of trust, a mortgage and security interest in substantially all of the real estate and improvements owned by the Center, a security interest in the funds held by the trustees, and in the gross receivables and equipment owned by the Center. The bond documents for the 2 012A Bonds and 2012B Bond require the Center to maintain unrestricted and unencumbered cash, cash equivalents, and marketable debt and equity securities of at least 80 days of cash operating expenses less subaward expenses and net income available for debt service must exceed 150% of the debt service in the same year. The bond documents for the 2009A Bonds require the establishment and maintenance of a debt service reserve fund. Additional covenants include a restriction on the creation of additional liens on the Center’s property, a restriction on the issuance of additional debt, and requirements on financial ratios, including debt service coverage exceeding 125% of debt service and a cushion ratio of 150% of debt service.
The following schedule shows future long-term maturities by year:
2021 $ 5,575 2022 5,880 2023 5,745 2024 9,835 2025 10,015 Thereafter 359,235 $ 396,285
(10) Retirement Plan The Center has a 403(b) defined-contribution plan for its salaried employees. Employees are generally eligible after one year of service. The Center contributes 7% of each employee’s compensation up to the Social Security wage base limit and 12% on compensation above that limit. For certain management employees, the Center contributes 10% of compensation up to the Social Security wage base limit and 15% above the limit.
Retirement plan contributions for the years ended June 30, 2020 and 2019 were $21,201 and $18,251, respectively.
25 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
(11) Annuities The Center administers gift annuities for which it makes periodic distributions to the annuitants. When contributed assets are initially received, the assets are recorded at fair value within the investments balance, and contribution revenue is recorded equal to the value of the contributed assets received less the annuity liability. The present value of distributions to annuitants totaled $2,372 and $2,597 at June 30, 2020 and 2019, respectively. The reserve fund requirement as determined by actuarial means was $2,145 and $2,174 at June 30, 2020 and 2019, respectively. The liability is revalued annually based upon actuarially computed present values and recorded in accrued liabilities. Present values are based on life expectancy and discount rates ranging between 4% and 10%. The Center maintains segregated funds that exceed the actuarial value of the annuity liability as required by law.
(12) Leases The Center has several noncancelable operating leases, primarily for lab and office that expire over the next twenty years. These leases generally contain renewal options for periods ranging from two to ten years. Because the Center is reasonably certain to exercise these renewal options, the options are considered in determining the lease term, and associated payments are included in lease payments. The Center’s leases generally do not include termination options for either party to the lease or restrictive financial or other covenants. Payments due under the lease contracts include fixed payments plus market rate adjustments. The leases do not include any variable lease costs.
The components of the lease cost for the year ended June 30, 2020 were as follows:
2020
Operating lease cost $ 9,288 Short-term lease cost 753 Total lease costs $ 10,041
The Center has decided to use an incremental borrowing rate (IBR) as the discount rate for the leases. The Center considers the lease term and the lease start date when applying the appropriate IBR. The weighted average of IBR rate used as the discount rate for determining the lease liability is 2.91%. The weighted average of remaining lease term is 17.8 years as of June 30, 2020. The cash paid for amounts included in lease costs was $6,078 during the year ended June 30, 2020.
The Center records a right of use asset and lease liability for all leases with a lease term greater than 12 months. At the lease commencement date, the Center measures and records a lease liability equal to the present value of the lease payments.
26 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
Maturities of lease liabilities under noncancelable leases as of June 30, 2020 are as follows:
2021 $ 7,952 2022 8,167 2023 8,605 2024 8,738 2025 8,451 Thereafter 120,314 162,227 Less amounts related to interest (38,121) Total lease liability $ 124,106
The related future minimum rental payments for the operating leases with noncancelable terms in excess of one year as of June 30, 2019 (prior to adoption of ASU No 2016-02 Leases) were as follows:
2020 13,360 2021 10,270 2022 9,662 2023 9,616 2024 9,449 Thereafter 114,280 $ 166,637
(13) Contingencies (a) Litigation and Compliance with Laws and Regulations The Center is subject to litigation and regulatory investigations arising in the normal course of its business. After consultation with legal counsel, management estimates that these matters will be resolved without material adverse effect on the Center’s future financial position or results from operations.
The research industry is subject to numerous federal, state, and local laws and regulations. Some of these laws govern licensure, accreditation, and government program participation requirements. Government agencies are actively conducting investigations concerning possible violations of these statutes and regulations by research facilities. Violations of these laws and regulations could result in expulsion from government programs, together with the imposition of significant fines and penalties. Management believes that the Center is in material compliance with all applicable laws and regulations. Compliance with laws and regulations is subject to future government review and interpretation of such laws and regulations as well as regulatory actions unknown or unasserted at this time.
27 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
(b) Contingent Liability The Center received federal grant funding for a portion of the construction of its South Lake Union Campus. Because the Center received federal grant funding for a portion of its campus, the government retains an interest in the net proceeds received if portions of the campus are sold. The Center has not recorded any liability related to this interest as it is contingent upon the sale of the facility, and management has determined the probability of this transaction occurring to be remote.
(c) Impact from COVID-19 The impacts from the COVID-19 pandemic continue to be evolving and management is continuing to monitor and act to mitigate the impacts on the Center. COVID-19 has had a broad impact on commerce and financial markets around the world. Future impacts whether positive or negative will depend on certain developments, including the duration and spread of the outbreak and its impact on funding agencies, donors, employees and vendors, all of which cannot be determined. Accordingly, the extent to which COVID-19 may impact the consolidated financial position and changes in net assets and cash flows of the Center remains uncertain and the accompanying consolidated financial statements include no adjustments relating to any potential future effects of this pandemic beyond June 30, 2020.
(14) Professional Liability Insurance The Center has claims-made professional and general liability insurance for 2020 and 2019. The Center has accrued an actuarial estimate of unreported instances and claims as of June 30, 2020, which is included in accounts payable and accrued liabilities.
(15) Related-Party Transactions In June 1998, the SCCA was formed. The SCCA is a joint venture between the University of Washington Academic Medical Center (UWMC), Seattle Children’s Hospital (Seattle Children’s), and the Center. As a separately incorporated nonprofit corporation, the SCCA is organized for the purpose of developing and offering a comprehensive program of integrated cancer care services in the Northwest that will enhance the cancer research, teaching, and clinical programs of the Center, UWMC, and Seattle Children’s. The SCCA is one of several Medicare-designated cancer hospitals in the United States. Members of the SCCA share equally in capital contributions and in the results of operations. The SCCA began operations in January 2001. The SCCA coordinates adult inpatient services with the UWMC and pediatric inpatient services with Seattle Children’s, while operating its own ambulatory cancer care service facility. The Center is accounting for its interest in the SCCA under the equity method.
Under the terms of the Members’ Agreement, the Center has certain financial obligations to the SCCA, including funding its share of capital contributions. From 1998 through 2001, the Center contributed a total of $13,562 in cash capital contributions, which have been recorded as beneficial interest in net assets of SCCA on the consolidated statement of financial position. The Center’s obligations to the SCCA were fully paid as of June 30, 2001. In addition, in 2001 the Center contributed its existing outpatient cancer care program valued at $12,124, equipment, supplies, and other assets valued at $1,800, and a ground lease valued at $3,600 to the SCCA. The Center records the amortization of these contributed assets in investment income.
28 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
The following is a summary of the SCCA’s financial position and results as of and for the years ended June 30, 2020 and 2019:
2020 2019 Assets $ 1,020,161 753,311
Liabilities 382,910 190,945 Net assets 637,251 562,366 Total liabilities and net assets $ 1,020,161 753,311
2020 2019
Revenue $ 803,002 737,339 Less expenses (734,933) (684,666) Plus nonoperating income 5,138 17,779 Increase in unrestricted net assets $ 73,207 70,452
The Center has entered into service agreements to provide support services to the SCCA. The service agreements are for administrative services, facilities usage, and patient care housing. The Center recognized $31,438 and $30,646 of other income for the years ended June 30, 2020 and 2019, respectively, as a result of these agreements.
The Center recognized clinical service fee revenue (note 16) for the years ended June 30, 2020 and 2019, respectively, for fees associated with licenses, data collection, and research and development services provided by the Center to the SCCA.
(16) Other Income Other income includes income from noncore sources, including service agreements, related-party transactions (note 15), professional services, core resources, rent, parking, and similar activities. The Center had $57,003 and $55,624 of other income for the years ended June 30, 2020 and 2019, respectively.
(17) Clinical Service Fee Revenue The Center has entered into inpatient service agreements with UWMC, Seattle Children’s, and the SCCA for which the Center receives various payments related to research and development support, data collection and analysis, physician assistant services, consulting services, and license rights to use the Center’s name in connection with the inpatient cancer services program. Fees for services during the years ended June 30, 2020 and 2019 from UWMC total $11,462 and $11,621, respectively, from Seattle Children’s total $688 and $685, respectively, and from the SCCA total $8,312 and $8,239, respectively. Of these amounts, $8,801 and $5,710 is included in other receivables as of June 30, 2020 and 2019, respectively.
29 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER Consolidated Financial Statements June 30, 2020 and 2019 (In thousands)
(18) Accounting for Derivative Instruments and Hedging Activities Accounting principles require that every derivative instrument (including certain derivative instruments embedded in other contracts) be recorded on the statement of financial position as either an asset or liability measured at its fair value. These principles require that changes in the derivative instrument’s fair value be recognized currently.
(a) Interest Rate Swaps The Center has entered into two interest rate swap agreements to mitigate the risks associated with variable rate bond issues. This agreement has been amended in December 2017. The duration of the swaps in extended to 2042 to match up the duration of the existing underlying variable rate bonds. The first swap has a notional amount of $56,577. The interest rate paid by the Center is fixed at 3.60% while the counterparty pays the Center an indexed rate plus 0.20%. The second swap has notional value of $52,723. The interest rate paid by the Center is fixed at 3.53% while the counterparty pays the Center 67% of an indexed rate plus 0.64%.
The fair value is the estimated amount the counterparties would receive or pay to terminate the swap agreements at the reporting date based on current interest rates and the current creditworthiness of the swap counterparties. The fair value of the swaps, recorded as deferred credits on cash flow hedges, was $56,131 and $32,428 at June 30, 2020 and 2019, respectively.
(b) Collateral Posted with Swap Counterparty The swap agreements contain terms that require the Center to post collateral with the counterparty if certain conditions are met, including when the fair value amount to terminate the swaps exceeds $40,000 and $40,000 as of June 30, 2020 and 2019, respectively. Collateral amounts of $20,000 and $0 was posted as of June 30, 2020 and 2019, respectively.
(c) Currency hedge activity The Center purchases forward contracts for South African Rand (ZAR) currency. This allows the Center to mitigate currency risk related to HCRISA research activities in South Africa. Outstanding forward contracts that obligate the center to purchase ZAR at June 30, 2020 was R 73,000 ($4,414).
(19) Subsequent Events On July 28, 2020, the Center entered into 80-year reciprocal long-term ground leases with a related party. The Center is the lessor of property valued at $30,000 and is the lessee on a separate property valued at $29,500. Including an equalization payment, annual lease payments fully offset.
30 KPMG LLP Suite 2900 1918 Eighth Avenue Seattle, WA 98101
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
The Board of Directors Fred Hutchinson Cancer Research Center:
We have audited, in accordance with the 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 Fred Hutchinson Cancer Research Center (the Center), which comprise the consolidated statement of financial position as of June 30, 2020, and the related consolidated statements of activities, cash flows, and functional expenses for the year then ended, and the related notes to the consolidated financial statements, and have issued our report thereon dated October 16, 2020.
Internal Control Over Financial Reporting In planning and performing our audit of the consolidated financial statements, we considered Center’s internal control over financial reporting (internal control) as a basis for designing audit procedures that are appropriate in the circumstances for the purpose of expressing our opinion on the consolidated financial statements, but not for the purpose of expressing an opinion on the effectiveness of Center’s internal control. Accordingly, we do not express an opinion on the effectiveness of Center’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 Center’s consolidated 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 financial statements. 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.
31 KPMG LLP, a Delaware limited liability partnership and a member firm of the KPMG global organization of independent member firms affiliated with KPMG International Limited, a private English company limited by guarantee.
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 Center’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 Center’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose.
Seattle, Washington October 16, 2020
32 KPMG LLP Suite 2900 1918 Eighth Avenue Seattle, WA 98101
Independent Auditors’ Report on Compliance for Each Major Federal Program; Report on Internal Control Over Compliance; and Report on Schedule of Expenditures of Federal Awards Required by the Uniform Guidance
The Board of Directors Fred Hutchinson Cancer Research Center:
Report on Compliance for Each Major Federal Program We have audited Fred Hutchinson Cancer Research Center’s (the Center’s) 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 Center’s major federal programs for the year ended June 30, 2020. The Center’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 Center’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 Center’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 Center’s compliance.
Opinion on Each Major Federal Program In our opinion, the Center 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, 2020.
Report on Internal Control Over Compliance Management of the Center 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 Center’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
KPMG LLP, a Delaware limited liability partnership33 and a member firm of the KPMG global organization of independent member firms affiliated with KPMG International Limited, a private English company limited by guarantee. 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 Center’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 a 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.
Report on Schedule of Expenditures of Federal Awards Required by the Uniform Guidance We have audited the consolidated financial statements of the Center as of and for the year ended June 30, 2020, and have issued our report thereon dated October 16, 2020, which contained an unmodified opinion on those consolidated financial statements. Our audit was conducted for the purpose of forming an opinion on the consolidated financial statements as a whole. The accompanying schedule of expenditures of federal awards is presented for purposes of additional analysis as required by the Uniform Guidance and is not a required part of the consolidated financial statements. Such information is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the consolidated financial statements. The information has been subjected to the auditing procedures applied in the audit of the consolidated financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the consolidated financial statements or to the consolidated financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the schedule of expenditures of federal awards is fairly stated in all material respects in relation to the consolidated financial statements as a whole.
Seattle, Washington October 16, 2020
34 FRED HUTCHINSON CANCER RESEARCH CENTER
Schedule of Expenditures of Federal Awards
Year ended June 30, 2020
Federal CFDA Passed-through or Grant Funding Agency Federal grant/Pass-through grantor/program title to subrecipients Expenditures
DIRECT RESEARCH AND DEVELOPMENT AWARDS: DEPARTMENT OF HEALTH AND HUMAN SERVICES / NATIONAL INSTITUTES OF HEALTH: 93.XX CENTERS FOR DISEASE CONTROL AND PRV NOT APPLICABLE $ — 92,776 93.989 FOGARTY INTERNATIONAL CENTER INTERNATIONAL RESEARCH AND RESEARCH TRAINING — 261,954 93.353 NATIONAL CANCER INSTITUTE 21ST CENTURY CURES ACT – BEAU BIDEN CANCER MOONSHOT 1,096,597 5,473,299 93.393 NATIONAL CANCER INSTITUTE CANCER CAUSE AND PREVENTION RESEARCH 4,873,201 22,034,774 93.394 NATIONAL CANCER INSTITUTE CANCER DETECTION AND DIAGNOSIS RESEARCH 3,440,727 16,547,055 93.395 NATIONAL CANCER INSTITUTE CANCER TREATMENT RESEARCH 6,207,739 24,701,042 93.396 NATIONAL CANCER INSTITUTE CANCER BIOLOGY RESEARCH 221,409 6,939,229 93.397 NATIONAL CANCER INSTITUTE CANCER CENTERS SUPPORT GRANTS 3,775,407 16,350,898 93.398 NATIONAL CANCER INSTITUTE CANCER RESEARCH MANPOWER 55,847 2,942,731 93.399 NATIONAL CANCER INSTITUTE CANCER CONTROL — 507,980 93.XX NATIONAL CANCER INSTITUTE NOT APPLICABLE 110,609 11,993,861 93.361 NATIONAL INSTITUTE OF NURSING RESEARCH NURSING RESEARCH 64,711 312,636 93.273 NATIONAL INSTITUTE ON ALCOHOL ABUSE & AL ALCOHOL RESEARCH PROGRAMS 27,000 106,342 93.279 NATIONAL INSTITUTE ON DRUG ABUSE DRUG ABUSE AND ADDICTION RESEARCH PROGRAMS 921,216 2,492,700 93.307 NATIONAL INSTITUTE ON MINORITY HEALTH MINORITY HEALTH AND HEALTH DISPARITIES RESEARCH 1,504 428,461 93.837 NATL HEART, LUNG AND BLOOD INSTITUTE CARDIOVASCULAR DISEASES RESEARCH 439,350 2,958,262 93.839 NATL HEART, LUNG AND BLOOD INSTITUTE BLOOD DISEASES AND RESOURCES RESEARCH 2,057,246 9,164,049 93.XX NATL HEART, LUNG AND BLOOD INSTITUTE NOT APPLICABLE 1,725,164 10,667,861 93.172 NATL HUMAN GENOME RESEARCH INSTITUTE HUMAN GENOME RESEARCH — 742,207 93.XX NATL INST OF ALLERGY AND INFECTIOUS DSE NOT APPLICABLE — 65,335 93.855 NATL INST OF ALLERGY AND INFECTIOUS DSE ALLERGY AND INFECTIOUS DISEASES RESEARCH 30,590,964 143,472,745 93.XX NATL INST OF ALLERGY AND INFECTIOUS DSE NOT APPLICABLE 127,065 2,355,581 93.846 NATL INST OF ARTH AND MUSC SKIN AND DSE ARTHRITIS, MUSCULOSKELETAL AND SKIN DISEASES RESEARCH — 912,713 93.865 NATL INST OF CHILD HEALTH & HUMAN DEV CHILD HEALTH AND HUMAN DEVELOPMENT EXTRAMURAL RESEARCH 1,070,949 2,246,809 93.121 NATL INST OF DENTAL CRANIO RESEARCH ORAL DISEASES AND DISORDERS RESEARCH 428,342 1,314,089 93.839 NATL INST OF DIAB AND DIGST AND KDNY DSE BLOOD DISEASES AND RESOURCES RESEARCH — 276,314 93.847 NATL INST OF DIAB AND DIGST AND KDNY DSE DIABETES, DIGESTIVE, AND KIDNEY DISEASES EXTRAMURAL RESEARCH 365,780 4,644,356 93.113 NATL INST OF ENVIRONMENTAL HEALTH SCI ENVIRONMENTAL HEALTH 118,743 1,320,888 93.859 NATL INST OF GENERAL MEDICAL SCIENCES BIOMEDICAL RESEARCH AND RESEARCH TRAINING 808,922 11,910,144 93.242 NATL INST OF MENTAL HEALTH MENTAL HEALTH RESEARCH GRANTS — 3,619 93.853 NATL INST OF NEURO DISORDERS AND STROKE EXTRAMURAL RESEARCH PROGRAMS IN THE NEUROSCIENCES AND NEUROLOGICAL DISORDERS 366,059 1,775,996 93.173 NATL INST ON DEAFNESS AND COMM DISORDER RESEARCH RELATED TO DEAFNESS AND COMMUNICATION DISORDERS 84,520 1,747,742 93.866 NATL INSTITUTE ON AGING AGING RESEARCH 436,896 1,135,679 93.351 OFFICE OF THE DIRECTOR, NIH RESEARCH INFRASTRUCTURE PROGRAMS — 10,064 DIRECT FUNDING / OTHER FEDERAL AGENCIES: 12.431 DEPARTMENT OF DEFENSE – ARMY COMMAND BASIC SCIENTIFIC RESEARCH 192,814 1,207,444 12.420 DEPARTMENT OF DEFENSE – USA MEDICAL MILITARY MEDICAL RESEARCH AND DEVELOPMENT 360,202 6,406,762 47.041 NATIONAL SCIENCE FOUNDATION ENGINEERING GRANTS — 101,924 47.049 NATIONAL SCIENCE FOUNDATION MATHEMATICAL AND PHYSICAL SCIENCES — 115,525 47.070 NATIONAL SCIENCE FOUNDATION COMPUTER AND INFORMATION SCIENCE AND ENGINEERING — 65,685 47.074 NATIONAL SCIENCE FOUNDATION BIOLOGICAL SCIENCES — 384,350 64.XX US DEPARTMENT OF VETERANS AFFAIRS NOT APPLICABLE — 44,334 64.XX VA PUGET SOUND HEALTH CARE SYSTEM NOT APPLICABLE — 124,119 Grant Total – Direct Research and Development Funds $ 59,968,983 316,360,334
12.000 DEPARTMENT OF DEFENSE $ 553,016 7,614,206 47.000 NATIONAL SCIENCE FOUNDATION — 667,484 64.000 US DEPARTMENT OF VETERANS AFFAIRS — 168,454 93.000 DEPARTMENT OF HEALTH AND HUMAN SERVICES / NATIONAL INSTITUTES OF HEALTH 59,415,967 307,910,190
35 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER
Schedule of Expenditures of Federal Awards Year ended June 30, 2020
Federal CFDA Passed-through entity or Passed-through or Grant Pass-through Funds – Department of Health and Human Services and Other Federal Agencies award identifying number to subrecipients Expenditures ADAPTIVE BIOTECHNOLOGIES CORPORATION: ALASKA NATIVE TRIBAL HEALTH CONSORTIUM: 93.859 EXPLORING RISK FACTORS FOR COLORECTAL CANCER AMONG ALASKA NATIVE PEOPLE 19-U-275417 $ — 2,226 ALBERT EINSTEIN COLLEGE OF MEDICINE: 93.837 COMPREHENSIVE PEDIATRIC HYPERTENSION DIAGNOSIS AND MANAGEMENT 311257 — 52,382 93.855 DRUG AT THE RIGHT PLACE AND CONCENTRATION: OPTIMIZING COMBINATION VAGINAL RING PREP 31103A — 79,458 ALTIUS INSTITUTE FOR BIOMEDICAL SCIENCE: 93.172 ENCODE MAPPING CENTER – A COMPREHENSIVE CATALOG OF DNASE I HYPERSENSITIVE PF5232 — 169,598 93.172 ENCODE MAPPING CENTER – A COMPREHENSIVE CATALOG OF DNASE I HYPERSENSITIVE SITES PF7125 — 14,336 AMERICAN PUBLIC HEALTH ASSOCIATION: 93.XX AN EVALUATION OF THE POTENTIAL ECONOMIC RETURN FROM INVESTMENTS IN CANCER SURVIVORSHIP INTERVENTIONS IN THE UNITED STATES NA — 138,108 ARIZONA STATE UNIVERSITY: 93.393 COUPLE COMMUNICATION IN CANCER: A MULTI-METHOD EXAMINATION 17-132 — 208,818 93.393 MODELING NEOPLASTIC PROGRESSION IN BARRETT’S ESOPHAGUS 16-838 — 3,440 BAYLOR COLLEGE OF MEDICINE: 93.394 BIOMARKERS FOR EARLY DETECTION OF COLORECTAL CANCER IN ULCERATIVE COLITIS 7000000904 — 48,274 93.394 EARLY DETECTION OF PANCREATIC CANCER IN DIABETICS 7000000889 — 56,500 BECKMAN RESEARCH INSTITUTE -CITY OF HOPE: 93.394 ALTERING INTAKE AND MANAGING SYMPTOMS IN RECTAL CANCER SURVIVORS: A MULTIMODAL DIET MODIFICATION INTERVENTION FOR BOWEL DYSFUNCTION 60723.2006384.669302 — 13,970 93.395 CMVPEPVAX TO PROTECT HCT RECIPIENTS FROM CYTOMEGALOVIRUS INFECTION 51443.2000555.669302 — 34,408 93.859 CYCLOPHOSPHAMIDE PHARMACOKINETICS AND PHARMACOMETABOLOMICS 60584.2005439.669301 — 35,974 93.395 OPTIMIZING BUSULFAN: EFFICACY TOXICITY AND PHARMACOMETABOLOMICS 60053.2003607.669301 — 55,536 93.396 PD-L1 INTERACTS WITH CD80 AND PD-1 TO REGULATE GVHD AND GVL ACTIVITY $60374.2004933.669301 — 6,460 93.855 ROLE OF AUTOREACTIVITY IN THE PATHOGENESIS OF CHRONIC GVHD 52228.2001967.669201 — 14,706 BENAROYA RESEARCH INSTITUTE: 93.855 IMMUNE TOLERANCE NETWORK FY19ITN235 — 145,226 93.855 IMMUNE TOLERANCE NETWORK FY20ITN235 — 77,890 BETH ISRAEL DEACONESS MEDICAL CENTER: 93.396 DETERMINING AND EXPLOITING MECHANISMS OF AR-MEDIATED SUPPRESSION OF CELL PROLIFERATION AND SURVIVAL 01061455 — 250,580 93.396 PROJECT 1: DETERMINING AND EXPLOITING MECHANISMS OF AR-MEDIATD SUPPRESSION OF CELL PROLIFERATION AND SURVIVAL AWOA — 24,994 BOARD OF REGENTS OF UNIV OF WISCONSIN SY: 93.867 MACULAR PIGMENT IN AGING AND DISEASE 610K330 — 33,872 BOSTON CHILDREN’S HOSPITAL: 93.855 CURING HIV THROUGH ALLOGENEIC HEMATOPOIETIC STEM CELL TRANSPLANTATION GENFD0001550422 — 14,670 93.839 FA PPG PROJECT 3: PRECLINICAL STUDIES OF MARROW FAILURE AND CLONAL EVOLUTION IN FANCONI ANEMIA GENFD0001792996 — 84,950 93.395 GENETIC TESTING TO GUIDE PEDIATRIC CANCER CARE AND FOLLOW UP: USING ANTHRACYCLINE-ASSOCIATED CARDIAC TOXICITY AS A MODEL FOR THE FUTURE GENFD0001714353 — 66,796 BOSTON UNIVERSITY: 93.393 VARIATIONS IN NEEDS AFTER COLORECTAL CANCER DIAGNOSIS 4500002270 — — BRIGHAM & WOMEN’S HOSPITAL: 93.121 LONG TERM ORAL HEALTH OUTCOMS IN THE CHRONIC GVHD CONSORTIUM 121660 — 34,462 CASE WESTERN RESERVE UNIVERSITY: 93.393 BIOMARKERS FOR REDUCING MORTALITY OF CANCERS OF THE COLON AND ESOPHAGUS RES514212 — 90,694 93.393 BIOMARKERS FOR REDUCING MORTALITY OF CANCERS OF THE COLON AND ESOPHAGUS RES514793 — 166,944 93.393 BIOMARKERS FOR REDUCING MORTALITY OF CANCERS OF THE COLON AND ESOPHAGUS RES515198 — 31,702 93.393 BIOMARKERS FOR REDUCING MORTALITY OF CANCERS OF THE COLON AND ESOPHAGUS – EDRN CORE RES515200 — 125,150 93.393 BIOMARKERS FOR REDUCING MORTALITY OF CANCERS OF THE COLON AND ESOPHAGUS – SET-ASIDE RES514213 — 34,748 93.393 BIOMARKERS FOR REDUCING MORTALITY OF CANCERS OF THE COLON AND ESOPHAGUS – SET-ASIDE RES515199 — 2,238 93.397 GENETIC DETERMINATION OF BARRETT’S ESOPHAGUS AND ESOPHAGEAL ADENOCARCINOMA RES514249 — 15,300 93.397 GENETIC DETERMINATION OF BARRETT’S ESOPHAGUS AND ESOPHAGEAL ADENOCARCINOMA RES515267 — 7,118 93.855 RESISTANCE TO MTB INFECTION IN HIV INFECTED INDIVIDUALS IN UGANDAN AND S. AFRICA RES510938 — 81,312 CEDARS-SINAI MEDICAL CENTER: 93.394 MULTIPLEXED PROTEIN BIOMARKER ASSAY FOR THE DETECTION OF BLADDER CANCER 0001594778 — 101,010 CENTER FOR INFECTIOUS DISEASE RESEARCH: CHILDREN’S HOSPITAL & RES CENTER OAKLAND: 93.846 THE PREGNANCY TRANSCRIPTOME IN RHEUMATOID ARTHRITIS 12.7808_FRED_01 — 3,930 93.846 THE PREGNANCY TRANSCRIPTOME IN RHEUMATOID ARTHRITIS JAWAHEER D_807808.FHCRC — 17,294 CHIMEROCYTE, INC: 93.394 HIGHLY SENSITIVE CHIMERISM TESTING TO DETECT EARLY LEUKEMIA RELAPSE AFTER TRANSPLANTATION FH0001 — 81,664 COLUMBIA UNIVERSITY MEDICAL CENTER: 93.393 CONTROLLING ESOPHAGEAL CANCER: A COLLABORATIVE MODELING APPROACH 2(GG012814-01) — 38,350 93.393 CONTROLLING ESOPHAGEAL CANCER: A COLLABORATIVE MODELING APPROACH 2(GG012814-02) — 242,042 93.394 COOK FOR YOUR LIFE: MAINTAINING DIET AND PHYSICAL ACTIVITY CHANGES IN LATINA BREAST CANCER SURVIVORS 3(GG008439-01) — 195,872 93.394 EARLY DETECTION OF OVARIAN CANCER THROUGH EPIGENETIC FACTORS IN THE WHI 1(GG008466) — 24,740 93.393 MULTICENTER TRIAL OF DECISION SUPPORT FOR BREAST CANCER CHEMOPREVENTION 2(GG015020-01) — 10,722 93.067 POPULATION-BASED HIV IMPACT ASSESSMENTS IN RESOURCE-CONSTRAINED SETTINGS UNDER PEPFAR (PHIA) NA — 2,428 93.855 REGULATORY T CELLS TO PROMOTE MIXED CHIMERISM FOR TOLERANCE TO ISLETS AND KIDNEYS FROM DECEASED AND LIVING DONORS 1(GG011631-10) — 38,528 93.855 REGULATORY T CELLS TO PROMOTE MIXED CHIMERISM FOR TOLERANCE TO ISLETS AND KIDNEYS FROM DECEASED AND LIVING DONORS 1(GG011631-16) — 264,192 93.394 STAFF ASSIGNMENT (EMPLOYEE LEASING AGREEMENT): HEATHER GREENLEE NA — 55,600 CORNELL UNIVERSITY: 93.393 DEFINING THE CELLULAR ONCOGENOME OF KAPOSI SARCOMA 200390 — 7,682 93.XX EFFECT OF CALCIUM AND VITAMIN D SUPPLEMENTATION ON CLONAL HEMATOPOIESIS AND RISK OF HEMATOLOGICAL MALIGNANCIES 202457 — 131,272 93.855 ENDOTHELIAL CELL TRANSPLANTATION FOR MULTI-ORGAN REPAIR TO COUNTER RADIATION INJURY 192222-1 — 130,578 93.855 ENDOTHELIAL CELL TRANSPLANTATION FOR MULTI-ORGAN REPAIR TO COUNTER RADIATION INJURY AWOA — 91,196 93.394 PRECISION MEDICINE APPROACH TO PROSTATE CANCER ACTIVE SURVEILLANCE 183677-02 — 26,288 CRDF GLOBAL: 47.079 TRAINING IN BIOINFORMATICS, GENOMIC EPIDEMIOLOGY, AND THE NEXTSTRAIN PLATFORM TO AID ONGOING EBOLA RESPONSE IN THE DRC FOGX-19-90402-1 — 13,534 DANA-FARBER CANCER INSTITUTE: 93.394 BIOMARKER SCREENING ALGORITHMS FOR THE EARLY IMPROVED DETECTION OF HEPATOCELLULAR CARCINOMA 1308602 $ — 2,882 93.397 EVOLUTION AND TREATMENT RESPONSE OF BRAIN, BREAST AND HEMATOLOGIC MALIGNANCIES 1287904 — 6,930 93.397 EVOLUTION AND TREATMENT RESPONSE OF BRAIN, BREAST, AND HEMATOLOGIC MALIGNANCIES 1271505 — 32,118 93.397 EVOLUTION AND TREATMENT RESPONSE OF BRAIN, BREAST, AND HEMATOLOGIC MALIGNANCIES ADMIN CORE 1271405 — 6,320
36 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER
Schedule of Expenditures of Federal Awards Year ended June 30, 2020
Federal CFDA Passed-through entity or Passed-through or Grant Pass-through Funds – Department of Health and Human Services and Other Federal Agencies award identifying number to subrecipients Expenditures 93.397 EVOLUTION AND TREATMENT RESPONSE OF BRAIN, BREAST, AND HEMATOLOGIC MALIGNANCIES EDUCATION/OUTREACH UNIT 1271505 — 13,848 93.397 EVOLUTION AND TREATMENT RESPONSE OF BRAIN, BREAST, AND HEMATOLOGIC MALIGNANCIES PROJECT 2-MPI 1271005 — 309,410 DEUTSCHES KREBSFORSCHUNGSZENTRUM: 12.420 PREDICT: THE PROSPECTIVE EARLY DETECTION CONSORTIUM FOR OVARIAN CANCER C020-ID4316-SUB.1 — 10,950 DUKE UNIVERSITY: 93.855 CENTERS FOR AIDS RESEARCH (CFAR) 2037432 — 1,666 93.855 FUNCTION PROFILE TO HIV VACCINE ELICITED ANTIBODIES IN INFANTS A031186 — 7,870 93.855 FUNCTIONAL PROFILE TO HIV VACCINE ELICITED ANTIBODIES IN INFANTS A031186 — 22,654 93.855 NEUTRALIZING AND NON-NEUTRALIZING ANTIBODY EFFECTOR FUNCTIONS IN HIV INFECTED CHILDREN A031494 — 169,912 93.855 NEUTRALIZING AND NON-NEUTRALIZING EFFECTOR FUNCTION IN HIV INFECTED CHILDREN A031493 — 40,668 ECOG-ACRIN CANCER RESEARCH GROUP: 93.395 PURCHASE SERVICE AGREEMENT BETWEEN ECOG-ACRIN AND FRED HUTCHINSON ECOG-ACRIN MASTER PS — 11,062 EMORY UNIVERSITY: 93.855 DYNAMICS AND EVOLUTION OF RECALL IMMUNE RESPONSES TO INFLUENZA VIRUSES A175542 — 64,970 93.394 EMORY, HARVARD AND UNIVERSITY OF WASHINGTON PROSTATE CANCER BIOMARKER CENTER A275049 — 41,450 93.394 EMORY, HARVARD AND UNIVERSITY OF WASHINGTON PROSTATE CANCER BIOMARKER CENTER A372419 — 11,532 93.855 LEADERSHIP GROUP FOR AN INFECTIOUS DISEASES CLINICAL RESEARCH CONSORTIUM A263483 — 99,238 93.855 LEADERSHIP GROUP FOR THE INFECTIOUS DISEASES CLINICAL RESEARCH CONSORTIUM – COVID 19 – SUPPLEMENT A309710 — 27,482 93.855 LEADERSHIP GROUP FOR THE INFECTIOUS DISEASES CLINICAL RESEARCH CONSORTIUM (IDCRCLG) – CORE A263496 — 65,678 93.855 QUANTIFYING THE EPIDEMIOLOGICAL IMPACT OF TARGETED INDOOR RESIDUAL SPRAYING ON AEDES-BORNE DISEASES A311589 — 720 ENTERPRISE SCIENCE AND COMPUTING: 93.XX ESAC DATA COORDINATING CENTER FOR CLINICAL PROTEOMIC TECHNOLOGIES FOR CANCER PROGRAM NCI-CPTAC3-02-OY2 — 13,532 93.XX ESAC DATA COORDINATING CENTER FOR CLINICAL PROTEOMIC TECHNOLOGIES FOR CANCER PROGRAM NCI-CPTAC3-02-OY3 — 22,550 EPICYPHER; 93.121 DEVELOPMENT OF NOVEL SPIKE-IN CONTROLS FOR QUANTITATIVE CHROMATIN-ASSOCIATED PROTEIN PROFILING NA — 73,750 FAMILY HEALTH INTERNATIONAL (FHI360): HARVARD UNIVERSITY: 93.837 A DEFEND AND DESTROY APPROACH TO CURING HIV 164592-5111970 — 62,776 HEALTH RESEARCH INC: 93.393 IDENTIFICATION OF GENE-GENE INTERACTIONS IN RELATION TO RISK OF ESOPHAGEAL ADENOCARCINOMA AND BARRETT’S ESOPHAGUS 307-01 — 5,378 HEALTH RESEARCH, INC. ROSWELL PARK DIVIS: 93.172 BIOCONDUCTOR: AN OPEN COMPUTING RESOURCE FOR GENOMICS 195-06 — 96,982 93.172 BIOCONDUCTOR: AN OPEN COMPUTING RESOURCE FOR GENOMICS 195-05 — 182,982 93.213 FLAXSEED EFFECTS ON GUT MICROBIAL METABOLISM AND CIRCULATING INFLAMMATION-RELATED METABOLIC PROFILES IN AFRICAN AMERICAN AND NON-HISPANIC WHITE WOMEN 315-01 — 237,952 HENNEPIN HEALTHCARE RESEARCH INSTITUTE: HENRY M. JACKSON FOUNDATION: 12.420 STATISTICAL AND DATA MANAGEMENT SUPPORT FOR ANALYSIS RELATED TO VACCINE TRIAL (RV144) AND ASSOCIATED TRIALS 792087 — 1,724 ICAHN SCHOOL OF MEDICINE AT MOUNT SINAI: 93.xx ASSESSING SPLIT-POOL BARCODING-BASED SEQUENCING ANALYSIS (SPLiT-SEG) OF CELLULAR PROTEIN AND TCR SEQUENCE FOR HIGH-THROUGHPUT SINGLE-CELL PROFILING OF VACCINE-SPECIFIC T CELL RESPONSES AWOA — 5,744 93.855 DISTINGUISHING FEATURES OF IMMUNE SIGNATURES OF BCG VACCINATION AT BIRTH AND REVACCINATION IN YOUNG ADULTHOOD 0255-C145-4609 — 201,216 93.855 HIGH DIMENSIONAL PROFILING OF NAIVE B CELL HETEROGENEITY TO IDENTIFY NOVEL RELATIONSHIPS WITH THE GENERATION OF BROADLY NEUTRALIZING ANTIBODIES 0255-8689-4609 — 173,716 93.855 IDENTIFICATION, STANDARDIZATION AND DISSEMINATION OF HIPC IMMUNE SIGNATURES 0255-8673-4609 — — 93.855 IDENTIFICATION, STANDARDIZATION AND DISSEMINATION OF HIPC IMMUNE SIGNATURES 0255-8689-4609 — 63,288 93.855 IDENTIFICATION, STANDARDIZATION AND DISSEMINATION OF HIPC IMMUNE SIGNATURES AWOA — 5,174 93.394 SYSTEMS BIOLOGY BASED PROTEOGENOMIC TRANSLATOR FOR CANCER MARKER DISCOVERY TOWARDS PRECISION MEDICINE 0255-2233-4609 — 2,458 93.394 SYSTEMS BIOLOGY BASED PROTEOGENOMIC TRANSLATOR FOR CANCER MARKER DISCOVERY TOWARDS PRECISION MEDICINE 0255-2235-4609 — 11,400 INDIANA UNIVERSITY-PURDUE UNIVERSITY IND: 93.242 STATISTICAL MODELS FOR MULTI-MODAL BRAIN IMAGING STUDIES OF HIV-ASSOCIATED COGNITIVE DECLINE IN4679720FH — 27,290 INTERNATIONAL AGENCY FOR RESEARCH ON CAN: 93.393 INTEGRATIVE ANALYSIS OF LUNG CANCER ETIOLOGY AND RISK – BIOMARKERS OF LUNG CANCER RISK (LC3-II) CRA/GEP/2020/1 — 13,354 JOHNS HOPKINS UNIVERSITY: KAISER FOUNDATION HEALTH PLAN OF WA: 93.XX VACCINE AND TREATMENT EVALUATION UNITS (VTEUS) HHSN272201300019I-FHCRC — 24,548 93.XX VACCINE AND TREATMENT EVALUATION UNITS (VTEUS): EVALUATION OF CONTROL MEASURES AGAINST INFECTIOUS DISEASES OTHER THAN AIDS (SANARIA-11-0042) HHSN272201300019I-FHCRC — 144,174 KAISER FOUNDATION RESEARCH INSTITUTE: 93.855 KAISER WASHINGTON VACCINE AND TREATMENT EVALUATION UNIT RNG210453-BUDG01-FHCRC-00 — 2,342 93.393 PREDICTORS OF CVD AMONG BREAST CANCER SURVIVORS IN AN INTEGRATED HEALTH SYSTEM RNG209338-FHCRC-01 — 132,170 93.213 USING AN IMPLEMENTATION SCIENCE FRAMEWORK TO ENHANCE PARTICIPATION IN MINDFULNESS RNG209933-BUDG01-FHCRC-00 — 15,036 93.213 USING AN IMPLEMENTATION SCIENCE FRAMEWORK TO ENHANCE PARTICIPATION IN MINDFULNESS PROGRAMS FOR PATIENTS WITH CHRONIC LOW BACK PAIN RNG209933-BUDG01-FHCRC-00 — 4,696 KENT HOSPITAL: 93.837 WHISH-2-PREVENT HEART FAILURE STUDY 5001381-TINKER — 148,356 LEIDOS BIOMEDICAL RESEARCH, INC: 93.XX PROTEO-GENOMIC DIAGNOSTIC ASSAYS TO ESTABLISH MORE ACCURATE PREDICTORS OF THERAPEUTIC RESPONSES FOR CANCER PATIENTS 417Q014 — 1,530,544 MAGEE-WOMEN’S RESEARCH INSTITUTE & FOUND: MASSACHUSETTS GENERAL HOSPITAL: 93.855 DISTINGUISHING IMMUNOMODULATORY INTESTINAL VIRUSES THROUGH EXAMINATION OF VIRUSES ATTACHED TO RIG-I AND MDA-5 233995 — 10,660 93.855 IMMUNE CORRELATES OF TUBERCULOSIS AND NON-TUBERCULOSIS INFECTIOUS MORBIDITY IN SOUTHERN AFRICAN HIV-EXPOSED, UNINFECTED INFANTS 234124 — 25,896 93.855 MOLECULAR NETWORKS OF HIV-SPECIFIC CD4 T CELL HELP TO B CELLS 226599 — (312) 93.394 PROTEOMIC, GENOMIC, AND LONGITUDINAL PATHS TO OVARIAN CANCER BIOMARKER DISCOVERY 227914 — 45,398 93.395 RANDOMIZED TRIAL INPATIENT PALLIATIVE CARE FOR PATIENTS WITH HEMATOLOGIC MALIGNANCIES UNDERGOING HEMATOPOIETIC STEM CELL TRANSPLANTATION 233094 — 108,686 McGILL UNIVERSITY: 93.855 QUANTIFYING THE BREADTH AND DURATION OF IMMUNITY INDUCED BY MENINGOCOCCAL B VACCINES PT 86060 — 5,044 MEDICAL COLLEGE OF WISCONSIN: 93.839 INCORPORATING PATIENT REPORTED OUTCOMES INTO INDIVIDUALIZED PROGNOSTICATION TOOLS FOR SURVIVAL AND QUALITY OF LIFE IN TRANSPLANT PATIENTS 6115642 — 12,616 93.395 STOPPING TYROSINE KINASE INHIBITORS IN CML PATIENTS (STOP-TKIS) 5R01CA184798-06/PO6152518 — 26,778 93.395 STOPPING TYROSINE KINASE INHIBITORS IN CML PATIENTS (STOP-TKIS) FP5514A_PO6070183 — 17,218 MONTANA STATE UNIVERSITY: 93.855 CYTOTOXIC IMMUNOCONJUGATES TO DEPLETE PERSISTENT HIV RESERVOIRS G173-18-W7010 $ — 227,892 NATIONAL CHILDHOOD CANCER FOUNDATION: NATIONAL MARROW DONOR PROGRAM: 93.839 CIBMTR STUDY NUMBER 17-SIBS: IDENTIFYING PREDICTORS OF POOR HEALTH-RELATED QUALITY-OF-LIFE AMONG PEDIATRIC HEMATOPOIETICS STEM CELL DONORS – FIXED PRICE 17-SIBS — 534 93.839 TRANSPLANT CENTER CLINICAL STUDY AGREEMENT NA — 83,906
37 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER
Schedule of Expenditures of Federal Awards Year ended June 30, 2020
Federal CFDA Passed-through entity or Passed-through or Grant Pass-through Funds – Department of Health and Human Services and Other Federal Agencies award identifying number to subrecipients Expenditures NEW YORK UNIVERSITY: 93.393 COLORECTAL CANCER RISKS IN PEOPLE <50 YEARS OF AGE 17-A1-00-006956-01 — 16,696 NORTHWESTERN UNIVERSITY: 93.395 A RETROSPECTIVE MONTE CARLO DOSIMETRY FOR LATE EFFECTS IN WILMS TUMOR PATIENTS 60047359 FHCRC — 371,322 12.XX INVESTIGATION OF GENETIC AND IMMUNE MECHANISMS OF RESPONSE TO BCG FOR NON-MUSCLE INVASIVE BLADDER CANCER: A TRANSLATIONAL STUDY OF S1602 60050177 FHCRC — 26,620 93.XX PHASE II MULTI-CENTER, PROSPECTIVE, RANDOMIZED, DOUBLE-BLIND STUDY OF NITAZOXANIDE IN ACUTE AND CHRONIC NOROVIIRUS IN HEMATOPOIETIC STEM CELL AND SOLID ORGAN TRANSPLANT RECIPIENTS SP0033779 60047201 FHCRC- — 1,660 93.XX TARGETED PHASE II MULTI-CENTER, PROSPECTIVE, RANDOMIZED, DOUBLE-BLIND STUDY OF NITAZOXANIDE IN ACUTE AND CHRONIC NOROVIRUS IN HEMATOPOIETIC STEM CELL AND SOLID ORGAN TRANSPLANT RECIPIENTS SP0033779 60044358 FHCRC — 19,314 NRG ONCOLOGY: 93.395 NRG ONCOLOGY FIXED PRICE SUBAWARD AGREEMENT NA — 6,560 93.395 NRG ONCOLOGY FOUNDATION – PURCHASED SERVICE AGREEMENT NRG ONCOLOGY PSA — 28,012 OHIO STATE UNIVERSITY RESEARCH FOUNDATION: 93.395 ITSC FOR LEUKEMIA: NOVEL MOLECULAR STRATEGIES FOR NCTN: INDIVIDUALIZED THERAPIES 60064453 — (5,866) 93.395 PILOT 3: ITSC FOR LEUKEMIA: NOVEL MOLECULAR STRATEGIES FOR NCTN INDIVIDUALIZED THERAPIES 60070853 — 35,334 93.395 SLC: ITSC FOR LEUKEMIA: NOVEL MOLECULAR STRATEGIES FOR NCTN "INDIVIDUALIZED" THERAPIES 60074865 — 5,728 93.395 SLC: ITSC FOR LEUKEMIA: NOVEL MOLECULAR STRATEGIES FOR NCTN INDIVIDUALIZED THERAPIES AWOA — 2,882 ONCORUS, INC: 93.396 DESIGN OF A MICRO-RNA ATTENUATED ARMED OHSV FOR THE TREATMENT OF GLIOBLASTOMA HOLLAND-CA246784-01 — 17,788 OREGON HEALTH & SCIENCE UNIVERSITY: 93.395 ANCILLARY STUDY TO EVALUATE PATIENT AND PHYSICIAN ATTITUDES, KNOWLEDGE, AND EXPECTATIONS RELATED TO RETURN OF GENOMIC RESULTS IN CANCER IN THE SWOG 1400 (S1400) CLINICAL TRIAL 9009627_FHCRC_A4_RAMSEY — (22,198) 93.855 DEVELOPMENT OF IMMUNOGENICITY AND EFFICACY OPTIMIZED CMV VECTORS FOR AN HIV/AIDS VACCINE 1009173_FHCRC — 64,442 93.395 EFFECT OF IMMUNE-ENHANCING NUTRITION ON RADICAL CYSTECTOMY OUTCOMES 1010653_FHCRC — 31,612 93.399 NCORP: CANCER CARE DELIVERY RESEARCH PROGRAM 1005019_FHCRC_TANGEN_CCDR 35,660 51,684 93.399 NCORP: CLINICAL TRIALS PROGRAM 1005019_FHCRC_TANGEN_NCOR 197,378 236,106 93.395 SWOG 1612 A RANDOMIZED PHASE II/III TRIAL OF NOVEL THERAPEUTIC(S) VERSUS AZACITIDINE IN NEWLY DIAGNOSED PATIENTS WITH ACUTE MYELOID LEUKEMIA AGE 60 OR OLDER 1013080007_FHCRC — 18,682 93.395 SWOG 1612 A RANDOMIZED PHASE II/III TRIAL OF NOVEL THERAPEUTIC(S) VERSUS AZACITIDINE IN NEWLY DIAGNOSED PATIENTS WITH ACUTE MYELOID LEUKEMIA AGE 60 OR OLDER 1013080-007_FHCRC — 39,524 93.399 SWOG NCORP RESEARCH BASE 1005019_FHCRC_NEUHOUSER — 2,810 93.399 SWOG NCORP RESEARCH BASE 1005019_FHCRC_RAMSEY — 714 93.399 SWOG NCORP RESEARCH BASE 10145262_FHCRC_RAMSEY — 9,170 93.399 SWOG NCORP RESEARCH BASE 1014562_FHCRC_NEUHOUSER — 34,472 93.395 SWOG NCORP RESEARCH BASE – EXECUTIVE COMMITTEE 1005019_FHCRC_LYMAN — 2,634 93.399 SWOG NCORP RESEARCH BASE – EXECUTIVE COMMITTEE 1014562_FHCRC_LYMAN — 46,564 93.399 SWOG NCORP RESEARCH BASE (CCDR) 1014562_FHCRC_UNGER 184,542 626,576 93.399 SWOG NCORP RESEARCH BASE (CTP) 1014562_FHCRC_TANGEN 1,081,715 1,827,542 93.395 SWOG NETWORK GROUP OPERATIONS CENTER FOR THE NCTN 1013080_FHCRC — 19,902 93.395 SWOG NETWORK GROUP OPERATIONS CENTER OF THE NCTN 1013080-017_FHCRC — 18,472 93.395 SWOG OHSU PURCHASE SERVICE AGREEMENT SWOG MASTER PSA — 17,568 PPD DEVELOPMENT LP: PROGRAM FOR APPROPRIATE TECHNOLOGY/PATH: RESEARCH INST @ NATIONWIDE CHILDRENS HOS: 93.394 SWOG BIOSPECIMEN BANK 700110-0320-03 — 71,056 RUTGERS, THE STATE UNIVERSITY: 93.172 PAGE III: POPULATION ARCHITECTURE USING GENOMICS AND EPIDEMIOLOGY 0736 — (85) 93.172 PAGE III: POPULATION ARCHITECTURE USING GENOMICS AND EPIDEMIOLOGY 1201_PO1277733 — 231,082 SEATTLE CHILDREN’S HOSPITAL: 93.350 ACCELERATE CELLULAR IMMUNOTHERAPY DEVELOPMENT OR TREATMENT OF LIFE-THREATENING CHILDHOOD DISORDERS 11880SUB — 27,932 93.350 ACCELERATE CELLULAR IMMUNOTHERAPY DEVELOPMENT OR TREATMENT OF LIFE-THREATENING CHILDHOOD DISORDERS 12152SUB — 95,190 93.XX CASCADE IMPAC-TB 12230SUB — 121,526 93.839 DEVELOPMENT OF CLINICALLY FEASIBLE ULTRASOUND-MEDIATED GENE THERAPY FOR HEMOPHILIA 11289SUB — (61) 93.855 DEVELOPMENT OF THE HIPC DATABASE AND RESEARCH PORTAL 11967SUB — 5,412 93.855 DEVELOPMENT OF THE HIPC DATABASE AND RESEARCH PORTAL 12135SUB — 808,270 93.847 FIT 5 KIDS SCREEN TIME REDUCTION CURRICULUM FOR LATINO PRESCHOOLERS: A RCT 11792SUB — 154,972 93.395 HIV INTEGRATION MODULATES IMMUNE REGULATION IN CANCER 11538SUB — 301,822 93.395 HIV INTEGRATION-MEDIATED MODULATION OF IMMUNE REGULATION IN HPV-ASSOCIATED CANCER – SUPPLEMENT 11975SUB — 68,562 93.855 IMMUNE RESPONSE TO MALARIA AND HIV INFECTION AND IMMUNIZATION – PROJECT 2 11966SUB — 4 93.855 IMMUNE RESPONSE TO MALARIA AND HIV INFECTION AND IMMUNIZATION – PROJECT 2 12133SUB — 372,822 93.855 IMMUNE RESPONSES TO MALARIA AND HIV INFECTION AND IMMUNIZATION – CLINICAL CORE 11965SUB — (54) 93.855 IMMUNE RESPONSES TO MALARIA AND HIV INFECTION AND IMMUNIZATION – CLINICAL CORE 12130SUB — 141,890 93.855 IMMUNE RESPONSES TO MALARIA AND HIV INFECTION AND IMMUNIZATION: DATA MANAGEMENT AND ANALYSIS CORE 11968SUB — (1,168) 93.855 IMMUNE RESPONSES TO MALARIA AND HIV INFECTION AND IMMUNIZATION: DATA MANAGEMENT AND ANALYSIS CORE 12134SUB — 450,014 93.855 IMPACT OF CUMULATIVE EXPOSURE TO RESPIRATORY VIRUSES AFTER ALLOGENEIC HEMATOPOIETIC CELL TRANSPLANTATION 12080SUB — 50,274 93.837 INTRAOSSEOUS DELIVERY OF LENTIVIRAL VECTORS FOR HEMOPHILIA A GENE THERAPY 11458SUB — 18,970 93.865 MECHANISMS CONTROLLING THE PERSISTENCE OF INFECTIOUS HIV RESERVOIRS IN CHILDREN 11667SUB — 79,866 93.855 MULTIPLEXED IMMUNO-SRM SCREENING FOR PRIMARY IMMUNODEFICIENCIES 11347SUB — 286,002 93.395 TESTICULAR EFFECTS OF MODERN CHEMOTHERAPY REGIMENS IN OSTEOSARCOMA SURVIVORS 11513SUB — 37,940 93.395 THE PROMOTING RESILIENCE IN STRESS MANAGEMENT (PRISM) INTERVENTION: A MULTI-SITE RANDOMIZED CONTROLLED TRIAL FOR ADOLESCENTS AND YOUNG ADULTS WITH ADVANCED CANCER 11991SUB — 16,528 93.395 THE PROMOTING RESILIENCE IN STRESS MANAGEMENT (PRISM) INTERVENTION: A MULTI-SITE RANDOMIZED CONTROLLED TRIAL FOR ADOLESCENTS AND YOUNG ADULTS RECEIVING HEMATOPOIETIC CELL TRANSPLANTATION 11908SUB — 21,124 93.855 VIRAL AND HOST BIOMARKERS OF HUMAN RHINOVIRUS DISEASE SEVERITY IN TRANSPLANTATION 11230SUB — 16,344 SEATTLE INST FOR BIOMEDICAL & CLIN RES: 93.393 IMPROVING PATIENT-IMPORTANT OUTCOMES WITH TESTOSTERONE REPLACEMENT IN HYPOGONADAL MEN WITH A PRIOR HISTORY OF CANCER AWOA — 2,882 93.393 IMPROVING PATIENT-IMPORTANT OUTCOMES WITH TESTOSTERONE REPLACEMENT IN HYPOGONADAL MEN WITH A PRIOR HISTORY OF CANCER GJ116-FHCRC-1 — 16,992 93.393 IMPROVING THE REACH AND EFFECTIVENESS OF SMOKING CESSATION SERVICES TARGETED TO VETERANS LIVING WITH HIV CK11-FHCRC-1 — 8,042 SLOAN-KETTERING INSTITUTE FOR CANCER RES: 93.839 SELECTION OF ALLOGENEIC HEMATOPOIETIC CELL DONOR BASED ON KIR AND HLA GENOTYPES BD520159C $ — 4,324 93.353 THE MSKCC-UW/FRED HUTCH PROSTATE CANCER DRUG RESISTANCE AND SENSITIVITY CENTER BD522513A — 12,638 93.353 THE MSKCC-UW/FRED HUTCH PROSTATE CANCER DRUG RESISTANCE AND SENSITIVITY CENTER BD522513B — 82,536 SOCIAL AND SCIENTIFIC SYSTEMS: ST JUDE CHILDRENS RESEARCH HOSPITAL: 93.395 CHILDHOOD CANCER SURVIVOR STUDY 111287250-7859260 — 4,354 93.395 CHILDHOOD CANCER SURVIVOR STUDY 111287250-7859281 — 362,464 93.395 CHILDHOOD CANCER SURVIVOR STUDY 11287260-7914877 — 555,276 93.395 CHILDHOOD CANCER SURVIVOR STUDY (CCSS) 111287260-7914876 — 3,314 93.855 DECODING THE INTERACTIONS BETWEEN T CELL RECEPTORS AND PEPTIDE-MHC 112404020-7890191 — 192,932
38 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER
Schedule of Expenditures of Federal Awards Year ended June 30, 2020
Federal CFDA Passed-through entity or Passed-through or Grant Pass-through Funds – Department of Health and Human Services and Other Federal Agencies award identifying number to subrecipients Expenditures 93.394 EHEALTH INTERVENTION FOR LATE EFFECTS OF CHILDHOOD CANCER 112539019-7908561 — 10,412 STANFORD UNIVERSITY: 93.837 THE WHI STRONG AND HEALTHY SILENT ATRIAL FIBRILLATION RECORDING STUDY (WHISH STAR) 61526612-125216 — 165,122 93.837 THE WHI STRONG AND HEALTHY SILENT ATRIAL FIBRILLATION RECORDING STUDY (WHISH STAR) 61526612-125216 — 50,938 93.837 TRANS-OMICS ELUCIDATION OF GENETIC ARCHITECTURE UNDERLYING CARDIOVASCULAR & OTHER COMPLEX DISEASES 62070755-131760 — 19,006 93.837 TRANS-OMICS ELUCIDATION OF GENETIC ARCHITECTURE UNDERLYING CARDIOVASCULAR AND OTHER COMPLEX DISEASES 62070755-131760 — 95,648 SWEDISH MEDICAL CENTER: 93.395 THE PACIFIC CANCER RESEARCH CONSORTIUM (PCRC), AND NCORP COMMUNITY SITE 907010 C.05 — 136 93.399 THE PACIFIC CANCER RESEARCH CONSORTIUM (PCRC), AND NCORP COMMUNITY SITE 907012 C.06 — 27,852 SYRACUSE_UNIVERSITY: 93.273 BRIEF ACCEPTANCE AND COMMITMENT THERAPY FOR HIV-INFECTED AT-RISK DRINKERS 29825-04959-S01 — 5,584 THE CHILDREN’S HOSPITAL OF PHILADELPHIA: 93.395 COG NCTN INTEGRATED TRANSLATIONAL SCIENCE CENTER FOR HEMATOPOIETIC MALIGNANCIES IN CHILDREN 20171052 — 15,352 93.395 COG NCTN INTEGRATED TRANSLATIONAL SCIENCE CENTER FOR HEMATOPOIETIC MALIGNANCIES IN CHILDREN PO20074108-RSUB — 35,912 93.395 COG NCTN NETWORK GROUP OPERATIONS CENTER AWOA — 7,860 93.395 COG NCTN NETWORK GROUP OPERATIONS CENTER NA — 44,660 93.395 COG SCIENTIFIC COUNCIL AWOA — 1,228 93.395 COG SCIENTIFIC COUNCIL FP00026529_SUB508_01 — 15,100 93.395 COMMITTEE LEADERSHIP: NIH NATIONAL CLINICAL TRIALS NETWORK (NCTN) GRANT PO2015296-RSUB-FP00026529 — 8,198 93.395 COMMITTEE LEADERSHIP: NIH NATIONAL CLINICAL NETWORK (NCTN) GRANT AWOA — 4,176 93.395 SCIENTIFIC COUNCIL: NIH NATIONAL CLINICAL TRIALS NETWORK (NCTN) GRANT PO20109089-RSUB-FP0002652 — 8,198 93.395 SCIENTIFIC COUNCIL: NIH NATIONAL CLINICAL TRIALS NETWORK (NCTN) GRANT PO20186618 — 5,220 THE EMMES COMPANY, LLC: 93.839 THE CURE SICKLE CELL INITIATIVE ECONOMIC ANALYSIS: AN EVALUATION OF THE POTENTIAL HEALTH PLAN BUDGET IMPACTS OF GENE THERAPY TO TREAT SICKLE CELL DISEASE IN THE UNITED STATES NA — (50) THE RESEARCH FOUNDATION OF SUNY: 93.859 A THREE-POPULATION THREE-SCALE SOCIAL NETWORK MODEL TO ASSESS DISEASE DISRUPTION R960241 — 11,980 THE SCRIPPS RESEARCH INSTITUTE: 93.855 CENTER FOR HIV/AIDS VACCINE IMMUNOLOGY AND IMMUNOGEN DISCOVERY (CHAVI-ID) 5-53731 — 45,136 93.855 CONSORTIUM FOR HIV/AIDS VACCINE DEVELOPMENT 5-54018 — 7,216 93.855 CONSORTIUM FOR HIV/AIDS VACCINE DEVELOPMENT 5-54023 — 635,402 93.855 CONSORTIUM FOR HIV/AIDS VACCINE DEVELOPMENT 5-54029 — 135,744 THE UNIVERSITY OF TEXAS: 93.394 A CLINICAL VALIDATION CENTER FOR EARLY DETECTION OF PANCREATIC CANCER 3001341904 — 120,582 93.394 A CLINICAL VALIDATION CENTER FOR EARLY DETECTION OF PANCREATIC CANCER 3001529467 — 6,450 93.394 A CLINICAL VALIDATION CENTER FOR EARLY DETECTION OF PANCREATIC CANCER (00011037) 3001529467 — 29,316 93.394 CIRCULATING BIOMARKERS AND IMAGING FOR EARLY DETECTION OF PANCREATIC CANCER 3001263835 — 54,334 93.847 CONSORTIUM FOR THE STUDY OF CHRONIC PANCREATITIS, DIABETES AND PANCREATIC CANCER: COORDINATING AND DATA MANAGEMENT CENTER (CSCPDPC-CDMC) 3001185096 — 154 93.847 CONSORTIUM FOR THE STUDY OF CHRONIC PANCREATITIS, DIABETES AND PANCREATIC CANCER: COORDINATING AND DATA MANAGEMENT CENTER (CSCPDPC-CDMC) 3001185096 — 496,578 93.847 CONSORTIUM FOR THE STUDY OF CHRONIC PANCREATITIS, DIABETES AND PANCREATIC CANCER: COORDINATING AND DATA MANAGEMENT CENTER (CSCPDPC-CDMC) PARENT GRANT 3001266321 — 54,138 93.393 DEVELOPMENT OF RISK AND EARLY DETECTION BIOMARKER FOR SMALL CELL LUNG CANCER 3001296954 — 2,872 93.393 DEVELOPMENT OF RISK AND EARLY DETECTION BIOMARKER FOR SMALL CELL LUNG CANCER 3001463134 — 57,280 93.394 INCORPORATING BIOMARKERS TO IMPROVE LUNG CANCER RISK PREDICTION 3001296950 — 14,852 TULANE UNIVERSITY: 93.855 USING COMBINATION ADJUVANTS TO DIRECT AND CONTROL IMMUNE RESPONSES AT THE INTESTINAL MUCOSA TUL-HSC-556986-18/19 — 20,526 93.855 USING COMBINATION ADJUVANTS TO DIRECT AND CONTROL IMMUNE RESPONSES AT THE INTESTINAL MUCOSA TUL-HSC-558001-19/20 — 7,146 TWINSTRAND BIOSCIENCES: 93.393 DEVELOPMENT OF A UNIVERSAL ASSAY FOR MINIMAL RESIDUAL DISEASE IN ACUTE MYELOID LEUKEMIA USING DUPLEX SEQUENCING R44CA233381-FH20180716 — 86,988 UNIVERSITY OF SOUTH FLORIDA: UNIVERSITY OF ALABAMA: 93.855 DEFINING THE BIOLOGICAL RELEVANCE OF HIV-1 ADAPTATION TO CD4 T CELL RESPONSES 000515868-001 — 51,014 UNIVERSITY OF ARIZONA: 93.866 THYMIC AND PERIPHERAL ASPECTS OF T CELL AGING AND REJUVENATION 413308 — 198,654 UNIVERSITY OF CALIFORNIA LOS ANGELES: 93.xx (ATTACK) 2: GENETIC ENGINEERING OF CELLULAR AND HUMORAL IMMUNITY TO CURE HIV: NHP CORE AWOA — 31,228 93.395 AIDS MALIGNANCY CONSORTIUM (AMC) AND ANCHOR 1560 G WB456 — 17,472 93.855 ANTI-HIV GENE THERAPY: DEFEND AND ATTACK 1559 G TA523 — 39,372 93.398 EPIGENETIC AGE AS A MARKER OF REPRODUCTIVE AGE AND MODIFIER OF INVASIVE BREAST CANCER RISK AMONG POSTMENOPAUSAL WOMEN 1935 G WA300 — 4,789 93.393 REDUCING ERRORS IN THE DIAGNOSIS OF MELANOMA AND MELANOCYTIC LESIONS 1557 G VC150 — 106,368 93.397 UCLA SPORE IN PROSTATE CANCER 2301 G XE827 — 9,880 UNIVERSITY OF CALIFORNIA, DAVIS: 93.855 HOW DID A VACCINE ENHANCE HIV ACQUISITION 201500664-01/A16-0049-S00 — 25,834 UNIVERSITY OF CALIFORNIA, SAN DIEGO: 93.866 SEDENTARY BEHAVIOUR INTERRUPTED: ACUTE, MEDIUM AND LONG-TERM EFFECTS ON BIOMAKERS OF HEALTHY AGING, PHYSICAL FUNCTION AND MORTALITY 98047373 — 24,796 93.393 THE ORGANIZATIONAL HUB AND WEB PORTAL FOR THE 4D NUCLEOME NETWORK 92547779 30,333 115,574 UNIVERSITY OF CALIFORNIA, SAN FRANCISCO: 93.859 HARC CENTER: HIV ACCESSORY AND REGULATORY COMPLEXES: CHARACTERIZATION OF SUPER RESTRICTION FACTORS AND PREDICTION OF HOST-HIV INTERFACES 10368SC — 59,786 93.859 HARC CENTER: HIV ACCESSORY AND REGULATORY COMPLEXES: PROJECT 7: CHARACTERIZATION OF SUPER RESTRICTION FACTORS AND PREDICTION OF HOST-HIV INTERFACES 10368SC — 385,086 93.350 PRIMARY IMMUNE DEFICIENCY TREATMENT CONSORTIUM 8406SC — 10,184 UNIVERSITY OF CHICAGO: 93.847 METABOLICALLY ACTIVATED MACROPHAGES IN OBESITY AND INSULIN RESISTANCE FP055409-B $ — 59,440 UNIVERSITY OF DELAWARE: 93.310 METABOLIC CARBOHYDRATE CELL WALL PROBES FOR BACTERIAL STRUCTURE AND IMMUNE RECOGNITION STUDIES 51180 — 4,862 93.310 METABOLIC CARBOHYDRATE CELL WALL PROBES FOR BACTERIAL STRUCTURE AND IMMUNE RECOGNITION STUDIES 54778 — 61,330 UNIVERSITY OF FLORIDA: 93.855 DESIGN AND ANALYSIS OF VACCINE TRIALS FOR EMERGING INFECTIOUS DISEASE THREATS UFDSP00012291 — 141,508 UNIVERSITY OF HAWAII: 93.393 TMAO, THE GUT MICROBIOME, AND COLORECTAL CANCER RISK IN THE MULTIETHNIC COHORT STUDY – (MPI) KA1063 — 96,926 UNIVERSITY OF MASSACHUSETTS MEDICAL SCH: 93.847 VIP: VISUAL-VALID DIETARY BEHAVIOR PATTERN RECOGNITION FOR LOCAL-NATIONAL TRIALS 30662-FHCR — 11,534 UNIVERSITY OF MELBOURNE: 93.393 COLON CANCER FAMILY REGISTRY COHORT GL058179-FH-Y2 — 620,578 93.393 COLON CANCER FAMILY REGISTRY COHORT GLO58179-FH-Y3 — 113,156
39 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER
Schedule of Expenditures of Federal Awards Year ended June 30, 2020
Federal CFDA Passed-through entity or Passed-through or Grant Pass-through Funds – Department of Health and Human Services and Other Federal Agencies award identifying number to subrecipients Expenditures 93.393 COLON CANCER FAMILY REGISTRY COHORT (SUPPLEMENT) – MPI GL058179-FH-Y1-1 — (1,704) UNIVERSITY OF MINNESOTA: 93.865 OPTIMIZING IMMUNITY AND MATERNAL HOST DEFENSE AGAINST CONGENITAL CYTOMEGALOVIRUS INFECTION N007639101 — 110,152 93.279 PHASE 1A/1B CLINICAL TRIALS OF MULTIVALENT OPIOID VACCINES COMPONENTS N007837501 — 17,276 93.395 PREVENTION OF BONE LOSS AFTER PEDIATRIC HEMATOPOIETIC CELL TRANSPLANTATION N004033801 — 78,162 93.855 QUANTIFYING THE BREADTH AND DURATION OF IMMUNITY INDUCED BY MENINGOCOCCAL B VACCINES P006591101 — 28,794 UNIVERSITY OF NORTH CAROLINA CHAPEL HILL: 93.865 ADOLESCENT MEDICINE TRIALS NETWORK FOR HIV/AIDS INTERVENTIONS (ATN) COORDINATING CENTER 5114024 — 21,556 93.859 BAYESIAN APPROACHES TO MODEL SELECTION FOR SURVIVAL DATA 5104925 — 81,228 93.855 CAUSAL INFERENCE IN INFECTIOUS DISEASE PREVENTION STUDIES 5100949 — 54,884 93.837 GENETIC STUDIES OF BLOOD CELL TRAITS IN MULTI-ETHNIC COHORTS 5105070 — 59,736 93.393 PHYSICAL ACTIVITY, SEDENTARY BEHAVIOR, AND CANCER INCIDENCE IN WOMEN 5115809 — 55,784 93.395 STATISTICAL METHODS FOR CANCER CLINICAL TRIALS 5102108 — 25,628 93.855 SYSTEMS IMMUNOGENETICS OF BIODEFENSE AND EMERGING PATHOGENS IN THE COLLABORATIVE CROSS 5111675 — 35,460 93.855 SYSTEMS IMMUNOGENETICS OF BIODEFENSE AND EMERGING PATHOGENS IN THE COLLABORATIVE CROSS 5114995 — 197,364 93.307 THE VAGINAL MICROBIOME AND RACIAL DISPARITY IN PRETERM DELIVERY 5106998 — 161,664 93.859 UNLOCKING COMPLEX CO-EXPRESSION NETWORK USING GRAPHICAL MODELS 5108277 — 98,600 UNIVERSITY OF PENNSYLVANIA: 93.855 ENGINEERING T CELLS TO PROVIDE DURABLE CONTROL OF HIV-1 REPLICATION AWOA — 36,344 47.049 LIBERATING T-CELL MEDIATED IMMUNITY TO PANCREATIC CANCER 569264 (4113585) — 460 93.226 PROSPECTIVE COMPARATIVE EFFECTIVENESS TRIAL FOR MALIGNANT BOWEL OBSTRUCTION 570265 26,651 64,772 UNIVERSITY OF PITTSBURGH: 93.395 ARMING ONCOLYTIC HSV VECTORS TO INDUCE ANTI-GBM IMMUNE RESPONSES IN SYNGENEIC MICE 0060636 (131596-1) — 93,520 93.395 CIRCUMVENTING BARRIERS TO EFFECTIVE ONCOLYTIC VIROTHERAPY OF MALIGNANT GILOMAS – PROJECT 1 AWD00000565 (415106-1) — 18,560 93.859 MIDAS COORDINATION CENTER AWD00000238 (132555-1) — 65,242 93.855 PROSPECTIVE EPIDEMIOLOGIC STUDY OF NOVEL ETIOLOGIC AGENTS OF PELVIC INFLAMMATORY DISEASE CNVA00060130 (131574-1) — 224,460 93.393 RANDOMIZED CLINICAL TRIAL OF LUNG CANCER CHEMOPREVENTION WITH SUFORAPHANE IN FORMER SMOKERS CNVA0056097(129912-1) — 15,106 UNIVERSITY OF RHODE ISLAND: 93.279 CAUSAL INFERENCE METHODS FOR HIV PREVENTION STUDIES AMONG NETWORKS OF PEOPLE WHO USE DRUGS 0006817/08152018 — 23,544 UNIVERSITY OF ROCHESTER: 93.855 MODELING MECHANISMS OF ADJUVANTED INFLUENZA VACCINE INDUCED IGG REPERTOIRE DIVERSITY AND HETEROSUBTYPIC IMMUNITY URF (AWD00001405) 417029-G/URFAOGR510616 — 98,394 93.XX NIAID CENTERS FOR EXCELLENCE IN INFLUENZA RESEARCH AND SURVEILLANCE/AWDC528132 417430G-GR510848 — 139,844 UNIVERSITY OF SOUTHERN CALIFORNIA: 93.839 NEXT GENERATION HSC GENE THERAPY FOR HIV CONTROL AND ERADICATION 64216477 — 782,122 93.839 NOVEL HEMATOPOIETIC STEM CELL ENGEERING AND TRANSPLANTATION APPROACHES FOR HIV CURE 133295422 — 34,204 UNIVERSITY OF TEXAS HEALTH SCIENCE CENTER: 93.839 ANALYSIS OF WHOLE GENOME SEQUENCE AND HEMOSTASIS PHENOTYPES SA0000529 — 68,776 UNIVERSITY OF UTAH: 93.393 METABOLOMIC STRATEGIES FOR DISCOVERY AND VALIDATION OF BIOMARKERS OF COLORECTAL CANCER RECURRENCE 10043057-01 — 126,324 93.859 MULTIMERIC TRIM INHIBITION OF HIV CAPSIDS s10044932-16 — 58,324 93.393 TRANSDISCIPLINARY TEAM SCIENCE IN COLORECTAL CANCER PROGNOSIS: THE COLOCARE STUDY 10039363-04 — 397,680 UNIVERSITY OF WASHINGTON: 93.847 A TWIN STUDY OF OBESITY PATHOGENESIS USING FMRI UWSC10853 — 139,984 93.393 BACTERIAL CORRELATES OF COLORECTAL CANCER SUBTYPES AND SURVIVAL UWSC10672 — 386,564 93.855 CENTER FOR AIDS RESEARCH (CFAR): CORE 1 – IMMUNOLOGY CORE – YR 33 UWSC10510 — 4,530 93.855 CENTER FOR AIDS RESEARCH (CFAR): CORE 1 – IMMUNOLOGY CORE UWSC10510 — 202,466 93.855 CFAR AIDS-ASSOCIATED INFECTIONS AND MALIGNANCIES CORE UWSC10495 — 189,922 93.865 CMV VIREMIA AND CLINICAL OUTCOMES IN HOSPITALIZED HIV-INFECTED CHILDREN UWSC10686 — 13,298 12.420 COMBINATION THERAPY OF JO-C AND PEGYLATED LIPOSOMAL DOXORUBICIN/DOXILTM IN OVARIAN CANCER PATIENTS UWSC9882 — 50,282 93.394 COMBINED METHYLATION AND MUTATION TO PREDICT RESPONSE TO PARP INHIBITORS UWSC11900 — 6,310 12.351 COMPUTATIONAL EPITOPE DESIGN FOR PROTECTIVE VACCINES UWSC10375 — 11,906 93.855 CURATIVE THERAPIES FOR HIV SCIENTIFIC WORKING GROUP UWSC10497 — 36,622 93.855 DETERMINING THE COMPONENT CAUSES OF SYSTEMIC IMMUNE ACTIVATION THAT MODERATE HIV ACQUISITION AND ESTABLISHMENT OF THE LATENT VIRAL RESERVOIR UWSC9612 — 8,704 93.396 DIGITAL PCR QUANTIFICATION OF BCR-ABL FOR CML DIAGNOSIS AND MONITORING IN A LMICS SETTING UWSC9861 — 88,090 93.855 DMPA USE AND VAGINAL BACTERIAL DIVERSITY AMONG AFRICAN WOMEN UWSC9652 — 30,744 93.361 EFFICACY AND MECHANISTIC TESTING OF A SELF-MANAGEMENT INTERVENTION FOR MANAGING CHRONIC PAIN WITH CANCER SURVIVORS UWSC10875 — 19,374 93.121 EFFICACY OF AN ENVIRONMENTAL INTERVENTION TO PREVENT DENTAL CARIES RELAPSE AMONG LATINO CHILDREN TREATED FOR EARLY CHILDHOOD CARIES UWSC10807 — 8,178 93.286 EMULSION DIGITAL PCR FOR TKI DISCONTINUATION STUDIES UWSC9418 — 80,808 93.855 EVALUATING THE RELATIONSHIP OF CD101 AND UBE2V1 TO GENITAL MUCOSAL INFLAMMATION UWSC10291 — 59,134 93.847 FOOD ENVIRONMENT, DIET QUALITY AND DISPARITIES IN OBESITY UWSC8957 — 11,494 93.859 GENES, THE ENVIRONMENT, AND ME: HEALTH AND STEM NETWORK (GEMNET) UWSC10099 — 3,598 93.173 GENETICS OF ZEBRAFISH HAIR CELL TOXICITY UWSC11042 — 18,030 93.173 GENETICS OF ZEBRAFISH HAIR CELL TOXICITY UWSC11042 — 82,390 93.395 IMMUNOBIOLOGY AND IMMUNE THERAPY FOR MERKEL CELL CARCINOMA UWSC11115 — 240,302 93.395 IMMUNOBIOLOGY AND IMMUNE THERAPY FOR MERKEL CELL CARCINOMA UWSC11116 — 307,968 93.395 IMMUNOBIOLOGY AND IMMUNE THERAPY FOR MERKEL CELL CARCINOMA UWSC11186 — 355,638 93.395 IMMUNOLOGY AND IMMUNE THERAPY FOR MERKEL CELL CARCINOMA UWSC11121 — 172,062
40 (Continued) FRED HUTCHINSON CANCER RESEARCH CENTER
Schedule of Expenditures of Federal Awards Year ended June 30, 2020
Federal CFDA Passed-through entity or Passed-through or Grant Pass-through Funds – Department of Health and Human Services and Other Federal Agencies award identifying number to subrecipients Expenditures
93.865 IMPACT OF PERICONCEPTUAL VAGINAL MICROBIOTA ON WOMENS RISK OF PRETERM BIRTH UWSC9487 $ — 409,282 93.865 INFANT IMMUNE MECHANISMS OF HIV RESERVOIR SIZE AND DECAY UWSC10078 — 266,578 93.350 INSTITUTE OF TRANSLATIONAL HEALTH SCIENCES UWSC9806 — 481,442 93.350 INSTITUTE OF TRNSLATIONAL HEALTH SCIENCES UWSC11771 — 38,910 93.859 MACHINE LEARNING TOOLS FOR DISCOVERY & ANALYSIS OF ACTIVE METABOLIC PATHWAYS UWSC9045 — 45,942 93.855 MALARIA EVOLUTION IN SOUTH ASIA (NIAID INTERNATIONAL CENTERS OF EXCELLENCE FOR MALARIA RESEARCH) UWSC9993 — 54,278 93.855 MALARIA EVOLUTION SOUTH ASIA (NIAID INTERNATIONAL CENTERS OF EXCELLENCE FOR MALARIA RESEARCH) UWSC99993 — 17,716 93.855 MALE URETHRITIS: NOVEL ETIOLOGIES AND NATURAL HISTORY – (MPI) UWSC7472 (759048) — 246,838 93.855 MECHANISM OF PROTECTIVE LOCAL IMMUNITY IN HUMAN FEMALE REPRODUCTIVE TRACT UWSC7474 (758795) — 9,380 93.859 MECHANISMS OF REGULATION OF RETINOIC ACID HOMEOSTASIS UWSC10746 — 8,432 93.855 MODELING OF HUMAN HSV INFECTION: DEVELOPMENT OF 3D SKIN-ON-CHIP WITH VASCULAR PERFUSION UWSC11742 — 11,524 93.859 MODELING THE EVOLUTIONARY AND PUBLIC HEALTH IMPACTS OF HIV ADAPTATION IN RESPONSE TO VACCINATION UWSC10195 — 36,264 93.855 MODULATION OF ANTIVIRAL RESPONSES AGAINST INFLUENZA INFECTION BY LONG NON-CODING RNAS UWSC11428 — 9,444 93.398 MOLECULARLY TARGETED THERAPY FOR LYMPHOMA UWSC7938 (763550) — 2 93.395 MUTAGENESIS AND INVASIVENESS OF GLIOBLASTOMA CELLS UWSC10857 — 4,214 93.350 OPTIMIZING CYTOMEGALOVIRUS PREVENTION AND TREATMENT STRATEGIES IN HEMATOPOIETIC STEM CELL TRANSPLANT RECIPIENTS UWSC9821 — 103,202 93.121 PATIENT-CENTERED OUTCOMES IN INFANTS AND YOUNG CHILDREN WITH CLEFT LIP AND PALATE UWSC11030 — 20,394 12.420 PHARMACOLOGIC INHIBITION OF LIPOGENESIS SUPPRESSES AR AND ITS SPLICE VARIANTS TO INHIBIT PROGRESSION OF CASTRATION RESISTANT PROSTATE CANCER UWSC10222 — 39,780 93.859 PROTEIN-ENHANCED ENTERAL NUTRITION AND METABOLOMICS IN CRITICALLY TRAUMA AND SURGICAL PATIENTS UWSC10725 — 30,668 93.XX REFINEMENT OF A PIG-TAIL MACAQUE MODEL OF GONOCOCCAL INFECTION UWSC11026 — 140,886 93.855 ROLE OF PROVIRAL LOCI IN HIV LATENCY UWSC9537 — 95,186 93.242 SCALING UP THE SYSTEMS ANALYSIS AND IMPROVEMENT APPROACH FOR PREVENTION OF MOTHER-TO-CHILD HIV TRANSMISSION IN MOZAMBIQUE (SAIA-SCALE) UWSC9736 — 16,650 93.853 SIGNALING PATHWAYS THAT MODULATE NEURONAL ACTIVITY UWSC11761 — 80,306 93.855 STATISTICAL ISSUES IN AIDS RESEARCH UWSC11040 — 169,594 93.859 STATISTICAL METHODS TO ENHANCE REPRODUCIBLE MICROBIOME DISCOVERY UWSC11334 — 52,544 93.855 STRUCTURAL AND DYNAMICS TRAITS UNDERLYING PHENOTYPIC VARIATION IN HIV-1 ENV UWSC11397 — 4,324 93.855 SYSTEMS AND CARCINOGENIC IMPACT ASSESSMENT OF TOPICAL MICROBICIDES ON HUMAN MUCOSA UWSC8461 — 67,296 93.866 THE DOGS AGING PROJECT: GENETIC AND ENVIRONMENTAL DETERMINANTS OF HEALTHY AGING IN COMPANION DOGS ,UWSC10989 — 9,756 93.866 THE DOGS AGING PROJECT: GENETIC AND ENVIRONMENTAL DETERMINANTS OF HEALTHY AGING IN COMPANION DOGS UWSC10989 — 275,840 93.394 THE EFFECTS OF MODERATE-TO-VIGOROUS EXERCISE ON BIOMARKERS OF ANGIOGENEIS, INVASION, AND CHRONIC STRESS IN OVARIAN CANCER SURVIVORS UWSC10665 — 73,808 93.855 UNIVERSITY OF WASHINGTON (UW) SEXUALLY TRANSMITTED INFECTIONS (STI) COOPERATIVE RESEARCH CENTER (CRC) SYPHILIS VACCINE TO PROTECT AGAINST LOCAL AND DISSEMINATED T. PALLIDUM INFECTION UWSC11421 — 190,884 93.855 UNIVERSITY OF WASHINGTON CENTER FOR AIDS RESEARCH UWSC10536 — 4,668 93.855 UNIVERSITY OF WASHINGTON CENTER FOR AIDS RESEARCH UWSC10541 — 24,532 93.855 UNIVERSITY OF WASHINGTON/FRED HUTCH CENTER FOR AIDS RESEARCH UWSC10502 — 6,584 93.855 UNIVERSITY OF WASHINGTON/FRED HUTCH CENTER FOR AIDS RESEARCH UWSC10504 — 163,654 93.855 UNIVERSITY OF WASHINGTON/FRED HUTCH CENTER FOR AIDS RESEARCH UWSC10702 — 58,028 93.855 UNIVERSITY OF WASHINGTON/FRED HUTCH CENTER FOR AIDS RESEARCH UWSC11415 — 17,892 93.855 UW STICR – MICROBIOME CORE UWSC7753 — (9,229) 93.855 UW STICR: PROJECT 2 – ESTABLISHING MICROBIAL AND BIOCHEMICAL THRESHOLDS FOR DEVELOPMENT AND PERSISTENCE OF BACTERIAL VAGINOSIS UWSC7811 — (14) 93.846 WELLSTONE MUSCULAR DYSTROPHY SPECIALIZED RESEARCH CENTER (SEATTLE) UWSC10831 — 214,556 UNIVERSITY OF WISCONSIN: 93.855 MECHANISMS OF INFLUENZA TRANSMISSION BOTTLENECKS: IMPACT ON VIRAL EVOLUTION 726K003 — 18,154 VAN ANDEL RESEARCH INSTITUTE: 93.394 DETECTION AND PROGNOSIS OF EARLY-STAGE PANCREATIC CANCER BY INTERDEPENDENT PLASMA MARKERS V544-CR1-1 — 43,534 VANDERBILT UNIVERSITY MEDICAL CENTER: 93.855 HIGH VS STANDARD DOSE FLU VACCINE IN ADULT STEM CELL TRANSPLANT RECIPIENTS VUMC62664 — 41,066 VIRGINIA COMMONWEALTH UNIVERSITY: 93.855 DR. JEKYLL OR MR HYDE? THE DUALITY OF STREPTOCOCCUS SANGUINIS AS FRIEND AND FOE FP00010217_SA001 — 26,320 WAKE FOREST UNIVERSITY HEALTH SCIENCES: 93.XX INVESTIGATING THE BIOLOGY OF COGNITIVE RESILIENCE IN WHIMS "APOE 4 ESCAPEES USING BLOOD EXOSOMES" WFUHS 330260 — 24,558 93.XX INVESTIGATING THE BIOLOGY OF COGNITIVE RESILIENCE IN WHIMS APOE E4 ESCAPEES 330260 — 11,492 93.XX INVESTIGATING THE BIOLOGY OF COGNITIVE RESILIENCE IN WHIMS APOE E4 ESCAPES WFUHS330259 — 44,554 93.233 WOMEN’S HEALTH INITIATIVE SLEEP HYPOXIA EFFECTS ON RESILIENCE (WHISPER) 100730-116050 — 46,240 93.837 WOMEN’S HEALTH INITIATIVE SLEEP HYPOXIA EFFECTS ON RESILIENCE (WHISPER) WFUHS 116049 — 242 WASHINGTON STATE UNIVERSITY: 93.307 NATIVE-CONTROLLING HYPERTENSION AND RISK THROUGH TECHNOLOGY (NATIVE-CHART) 127687 G003652 — 28,054 WESTAT: 93.XX PROSPECTIVE BLOOD METABOLOMIC PROFILE OF GLIOMA RISK: A COLLABORATIVE MULTI-COHORT STUDY P023412 — 41,386 YALE UNIVERSITY: 93.353 A RANDOMIZED TRIAL OF A MOBILE HEALTH AND SOCIAL MEDIA PHYSICAL ACTIVITY INTERVENTION AMONG ADOLESCENT AND YOUNG ADULT CHILDHOOD CANCER SURVIVORS GR108158 (CON-80002090) — 43,446 93.398 TRANSDISCIPLINARY RESEARCH IN ENERGETICS AND CANCER (TREC) TRAINING GRANT GR107220 (CON-80001860) — 99,324 Grant Total – Pass-through Research and Development Funds $ 1,556,279 30,846,564
12.000 DEPARTMENT OF DEFENSE $ — 141,260 47.000 NATIONAL SCIENCE FOUNDATION — 13,995 93.000 DEPARTMENT OF HEALTH AND HUMAN SERVICES / NATIONAL INSTITUTES OF HEALTH 1,556,279 30,691,309 Grant Total – Direct and Pass-through Research and Development Funds $ 61,525,262 347,206,898
See accompanying notes to schedule of expenditures of federal awards.
41 FRED HUTCHINSON CANCER RESEARCH CENTER UNIFORM GUIDANCE FOR FEDERAL AWARDS Notes to Schedule of Expenditures of Federal Awards Year ended June 30, 2020
(1) Basis of Presentation The accompanying schedule of expenditures of federal awards (the Schedule) includes the federal award activity of Fred Hutchinson Cancer Research Center (the Center) under programs of the federal government for the year ended June 30, 2020. The information in this Schedule is presented in accordance with the requirements of Title 2 U.S. Code of Federal Regulations Part 200 (2 CFR 200), Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the Schedule presents only a selected portion of the operations of the Center, it is not intended to and does not present the balance sheet, statement of operations, changes in net assets, or cash flows of the Center.
(2) Summary of Significant Accounting Policies Expenditures reported on the Schedule are reported on the accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the Schedule represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. The Center has elected not to use the 10-percent de minimis indirect cost rate allowed under the Uniform Guidance.
42 FRED HUTCHINSON CANCER RESEARCH CENTER UNIFORM GUIDANCE FOR FEDERAL AWARDS Schedule of Findings and Questioned Costs Year ended June 30, 2020
(1) Summary of Auditors’ Results Financial Statements
Type of auditors’ report issued: Unmodified
Internal control deficiencies over financial reporting disclosed by the audit of the consolidated financial statements:
• Material weaknesses: No • Significant deficiencies: None Reported
Noncompliance material to the financial statements: No
Federal Awards Internal control deficiencies over major programs disclosed by the audit:
• Material weaknesses: No • Significant deficiencies: None reported
Type of report issued on compliance for major programs: Unmodified
Audit findings that are required to be reported in accordance with 2 CFR 200.516(a): None
Major program:
• Research and Development Cluster – various CFDA numbers
a. Dollar threshold used to distinguish between Type A and Type B programs: $3,000,000
b. Auditee qualified as a low-risk auditee: Yes
(2) Findings Relating to the Financial Statements Reported in Accordance with Government Auditing Standards None
(3) Findings and Questioned Costs Relating to Federal Awards None
43