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The Trustees of Columbia University in the City of New York Report on Federal Awards in Accordance with OMB Uniform Guidance June 30, 2019 Employer Identification Number 13-5598093 The Trustees of Columbia University in the City of New York Index June 30, 2019 Page(s) Report of Independent Auditors .............................................................................................................. 1-2 Consolidated Financial Statements Balance Sheets ............................................................................................................................................... 3 Statements of Activities ................................................................................................................................... 4 Statements of Cash Flows .............................................................................................................................. 5 Notes to Financial Statements .................................................................................................................. 6–47 Supplemental Schedule Schedule of Expenditures of Federal Awards.......................................................................................48–363 Notes to Schedule of Expenditures of Federal Awards ......................................................................364–365 Report of Independent Auditors on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance With Government Auditing Standards.........................................................................366–367 Report of Independent Auditors on Compliance with Requirements That Could Have a Direct and Material Effect on Each Major Program and on Internal Control Over Compliance in Accordance With the Uniform Guidance.....................................................................368–370 Summary of Independent Auditors’ Results................................................................................................ 371 Schedule of Findings and Questioned Costs.............................................................................................. 372 Summary Schedule of Prior Audit Findings .............................................................................................373 Management’s Views and Corrective Action Plan ..................................................................................374 Report of Independent Auditors To The Trustees of Columbia University in the City of New York We have audited the accompanying consolidated financial statements of The Trustees of Columbia University in the City of New York and its subsidiaries (the “University”), which comprise the consolidated statements of financial position as of June 30, 2019 and 2018 and the related consolidated statements of activities for the year ended June 30, 2019 and of cash flows for the years ended June 30, 2019 and 2018. Management’s Responsibility for the Consolidated Financial Statements Management is responsible for the preparation and fair presentation of the consolidated financial statements in accordance with accounting principles generally accepted in the United States of America; this includes the design, implementation and maintenance of internal control relevant to the preparation and fair presentation of consolidated financial statements that are free from material misstatement, whether due to fraud or error. Auditors’ Responsibility Our responsibility is to express an opinion on the consolidated financial statements based on our audits. We conducted our audits in accordance with auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards, issued by the Comptroller General of the United States. Those standards require that we plan and perform the audit to obtain reasonable assurance about whether the consolidated financial statements are free from material misstatement. An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the consolidated financial statements. The procedures selected depend on our judgment, including the assessment of the risks of material misstatement of the consolidated financial statements, whether due to fraud or error. In making those risk assessments, we consider internal control relevant to the University’s preparation and fair presentation of the consolidated financial statements in order to design audit procedures that are appropriate in the circumstances, but not for the purpose of expressing an opinion on the effectiveness of the University’s internal control. Accordingly, we express no such opinion. An audit also includes evaluating the appropriateness of accounting policies used and the reasonableness of significant accounting estimates made by management, as well as evaluating the overall presentation of the consolidated financial statements. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our audit opinion. Opinion In our opinion, the consolidated financial statements referred to above present fairly, in all material respects, the financial position of The Trustees of Columbia University in the City of New York as of June 30, 2019 and 2018, and the changes in their net assets for the year ended June 30, 2019 and their cash flows for the years ended June 30, 2019 and 2018 in accordance with accounting principles generally accepted in the United States of America. Emphasis of Matter As discussed in Note 2 to the consolidated financial statements, the University changed the manner in which it accounts for net assets and reports certain aspects of its financial statements as a not-for-profit entity, and the manner in which it accounts for net periodic benefit cost in 2019. Our opinion is not modified with respect to this matter. Other Matters Other Matter We previously audited the consolidated statement of financial position as of June 30, 2018, and the related PricewaterhouseCoopers LLP, PricewaterhouseCoopers Center, 300 Madison Avenue, New York, NY 10017 T: (646) 471 3000, F: (813) 286 6000, www.pwc.com/us consolidated statements of activities and of cash flows for the year then ended (not presented herein), and in our report dated October 9, 2018, we expressed an unmodified opinion on those consolidated financial statements. In our opinion, the information set forth in the accompanying summarized financial information as of June 30, 2018 and for the year then ended is consistent, in all material respects, with the audited consolidated financial statements from which it has been derived. Other Information Our audit was conducted for the purpose of forming an opinion on the consolidated financial statements as a whole. The accompanying schedule of expenditures of federal awards is presented for purposes of additional analysis as required by Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance) and is not a required part of the consolidated financial statements. The information is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the consolidated financial statements. The information has been subjected to the auditing procedures applied in the audit of the consolidated financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the consolidated financial statements or to the consolidated financial statements themselves, and other additional procedures, in accordance with auditing standards generally accepted in the United States of America. In our opinion, the schedule of expenditures of federal awards is fairly stated, in all material respects, in relation to the consolidated financial statements taken as a whole. Other Reporting Required by Government Auditing Standards In accordance with Government Auditing Standards, we have also issued our report dated October 8, 2019 on our consideration of The Trustees of Columbia University in the City of New York’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 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 Trustees of Columbia University in the City of New York’s internal control over financial reporting and compliance October 8, 2019 New York, New York 2 The Trustees of Columbia University in the City of New York Consolidated Statements of Financial Position At June 30, 2019 and 2018 (in thousands of dollars) June June 2019 2018 Assets Cash and cash equivalents $814,040 $1,006,998 Accounts receivable, net 569,328 563,214 Receivable for securities sold 60,694 112,837 Cash and securities held in trust by others 36,457 112,071 Pledges receivable, net 664,840 727,213 Investments, at fair value 11,562,591 11,194,432 Institutional
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