SEATTLE CHILDREN S HOSPITAL...Sep 30, 2017 · Accrued salaries, wages, and benefits 75,725 62,717 Due to brokers for securities purchased 48,084 48,267 Other payables 37,897 29,985

SEATTLE CHILDREN’S HOSPITAL

EIN No. 91-0564748 OMB Uniform Guidance

Supplementary Financial Report

Year ended September 30, 2017

(With Independent Auditors’ Report Thereon)


Table of Contents

Page

Independent Auditors’ Report 1

Balance Sheets 3

Statements of Operations and Changes in Net Assets 4

Statements of Cash Flows 6

Notes to Financial Statements 7

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 28

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 30

Schedule of Expenditures of Federal Awards 32

Notes to Schedule of Expenditures of Federal Awards 50

Schedule of Findings and Questioned Costs 51

KPMG LLP is a Delaware limited liability partnership and the U.S. member firm of the KPMG network of independent member firms affiliated with KPMG International Cooperative (“KPMG International”), a Swiss entity.

KPMG LLPSuite 29001918 Eighth AvenueSeattle, WA 98101

Independent Auditors’ Report

The Board of Trustees

Seattle Children’s Hospital:

Report on the Financial Statements

We have audited the accompanying financial statements of Seattle Children’s Hospital (a Washington not-for-

profit corporation and a controlled affiliate of Seattle Children’s Healthcare System) (the Hospital), which

comprise the balance sheets as of September 30, 2017 and 2016, and the related statements of operations

and changes in net assets and cash flows for the year then ended, and the related notes to the financial

statements.

Management’s Responsibility for the Financial Statements

Management is responsible for the preparation and fair presentation of these 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 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 financial statements based on our audit. We conducted our

audit 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 financial statements are free from material misstatement.

An audit involves performing procedures to obtain audit evidence about the amounts and disclosures in the

financial statements. The procedures selected depend on the auditors’ judgment, including the assessment of

the risks of material misstatement of the 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 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 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 financial statements referred to above present fairly, in all material respects, the financial

position of the Hospital as of September 30, 2017 and 2016, and the changes in its net assets and its cash

flows for the year then ended in accordance with U.S. generally accepted accounting principles.

Other Matter

Our audit was conducted for the purpose of forming an opinion on the 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, and is not a required part of the 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 financial statements. The information has been

subjected to the auditing procedures applied in the audit of the financial statements and certain additional

procedures, including comparing and reconciling such information directly to the underlying accounting and

other records used to prepare the financial statements or to the 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 financial statements as a whole.

Other Reporting Required by Government Auditing Standards

In accordance with Government Auditing Standards, we have also issued our report dated December 21, 2017

on our consideration of the Hospital’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 Example NFP’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 Hospital’s internal control over financial

reporting and compliance.

December 21, 2017

2


Balance Sheets

September 30, 2017 and 2016

(In thousands of dollars)

Assets 2017 2016

Current assets:Cash and cash equivalents $ 60,168 43,520Accounts receivable, net of allowance for uncollectible accounts of $1,606 in

2017 and $1,819 in 2016 226,611 185,581Other current assets 111,397 65,612Current portion of assets whose use is limited 22,796 19,860

Total current assets 420,972 314,573

Assets whose use is limited:Investments 914,762 895,504Pooled investments held at Seattle Children’s Healthcare System (SCHS) 576,020 490,145Investments under bond indentures and other agreements, noncurrent portion 69,701 2,264

1,560,483 1,387,913

Beneficial interest in SCHS 150,859 138,187Land, buildings, and equipment, at cost, net 1,103,367 1,021,051Other assets, net 23,521 30,088

Total assets $ 3,259,202 2,891,812

Liabilities and Net Assets

Current liabilities:Current portion of long-term debt $ 9,345 8,955Interest payable 13,518 10,905Accounts payable 67,004 65,539Accrued salaries, wages, and benefits 75,725 62,717Due to brokers for securities purchased 48,084 48,267Other payables 37,897 29,985

Total current liabilities 251,573 226,368

Long-term debt, net of current portion 715,789 602,566Other long-term liabilities 32,477 40,559

Total liabilities 999,839 869,493

Net assets:Unrestricted 1,803,308 1,618,581Temporarily restricted 182,177 139,915Permanently restricted 273,878 263,823

Total net assets 2,259,363 2,022,319

Total liabilities and net assets $ 3,259,202 2,891,812

See accompanying notes to financial statements.

3


Statements of Operations and Changes in Net Assets

Years ended September 30, 2017 and 2016


2017 2016

Operating revenues:Net patient service revenues (net of contractual allowances

and discounts) $ 1,184,425 1,136,802Provision for uncollectible accounts (1,168) (2,901)

Net patient service revenues 1,183,257 1,133,901

Research revenues 92,251 80,962Other operating revenues 118,900 113,978

Total operating revenues 1,394,408 1,328,841

Operating expenses:Salaries, wages, and benefits 651,797 586,778Purchased services 281,578 246,619Supplies and other expenses 259,525 231,213Depreciation 80,068 73,439Interest and amortization 25,062 25,179

Total operating expenses 1,298,030 1,163,228

Operating income 96,378 165,613

Nonoperating income (expense):Interest and dividend income 26,188 16,492Realized gains on trading securities, net 13,231 1,687Unrealized gains on trading securities, net 37,016 27,496Change in valuation of interest rate swap agreements 8,252 (1,823)Gain on forgiveness of debt — 19,740Other nonoperating expense, net (499) (1,461)

Net nonoperating income 84,188 62,131

Excess of revenues over expenses $ 180,566 227,744

4 (Continued)


Statements of Operations and Changes in Net Assets (continued)



2017 2016

Excess of revenues over expenses, brought forward $ 180,566 227,744Other changes in unrestricted net assets:

Net assets released from restriction for capital and other 3,865 1,304Other 296 25,596

Increase in unrestricted net assets 184,727 254,644

Changes in temporarily restricted net assets:Investment return, net 32,242 23,737Restricted contributions 67,575 53,930Net assets released from restriction (61,607) (55,297)Change in beneficial interest in SCHS 4,052 1,457

Increase in temporarily restricted net assets 42,262 23,827

Changes in permanently restricted net assets:Restricted contributions 1,435 4,562Change in beneficial interest in SCHS 8,620 4,453

Increase in permanently restricted net assets 10,055 9,015

Increase in net assets 237,044 287,486

Net assets, beginning of year 2,022,319 1,734,833

Net assets, end of year $ 2,259,363 2,022,319


5


Statements of Cash Flows



2017 2016

Cash flows from operating activities:Increase in net assets $ 237,044 287,486Adjustments to reconcile increase in net assets to net cash

provided by operating activities:Depreciation 80,068 73,439Transfer from SCHS — (35,528)Provision for uncollectible accounts 1,168 2,901Realized gains on investments, net (26,234) (14,124)Unrealized gains on investments, net (51,436) (33,755)Restricted contributions (1,435) (4,562)Equity earnings on investments in joint venture,

net of cash distributions — 222Change in beneficial interest in SCHS (12,672) (5,910)Change in valuation of interest rate swap agreements (8,252) 1,823Gain on forgiveness of debt — (19,740)Changes in assets and liabilities:

Accounts receivable and other assets (52,638) 113Payables and other liabilities 15,943 844

Net cash provided by operating activities 181,556 253,209

Cash flows from investing activities:Capital expenditures (155,541) (91,596)Proceeds from sale of investments 1,562,110 1,551,197Purchases of investments (1,688,907) (1,694,798)

Net cash used in investing activities (282,338) (235,197)

Cash flows from financing activities:Restricted contributions 1,435 4,562Repayment of long-term debt (8,955) (8,575)Proceeds from long-term debt 126,646 —Payment of deferred financing costs (1,696) —

Net cash provided by (used in) financing activities 117,430 (4,013)

Net increase in cash and cash equivalents 16,648 13,999

Cash and cash equivalents, beginning of year 43,520 29,521

Cash and cash equivalents, end of year $ 60,168 43,520

Supplemental disclosure of cash flow information:Cash paid during the year for interest (net of capitalized interest) $ 29,141 27,266Construction in process included in accounts payable 9,565 —


6

SEATTLE CHILDREN’S HOSPITAL Notes to Financial Statements September 30, 2017 and 2016


7 (Continued)

(1) Organization and Summary of Significant Accounting Policies (a) Organization

Seattle Children’s Hospital (the Hospital) is a nonprofit regional pediatric medical center and research institute.

The Hospital is a member of a group of controlled corporations that have common management and representation on certain boards of governance. The membership of the Board of Trustees (the Board) of the Hospital and Seattle Children’s Healthcare System (SCHS) are identical.

The following are affiliates of the Hospital, each of which is a 501(c)(3) and a Washington nonprofit corporation, with the exception of the Children’s Clinically Integrated Network which is structured as a Washington limited liability corporation (LLC):

Seattle Children’s Healthcare System (SCHS) – The parent corporation of the Hospital and affiliated-controlled corporate entities.

Seattle Children’s Hospital Foundation (the Foundation) – A corporation established to support SCHS and its affiliates, primarily the Hospital, through fundraising activities.

Seattle Children’s Hospital Guild Association (the Guild Association) – A corporation established to support SCHS and its affiliates, primarily the Hospital, through fundraising events and memberships.

Seattle Children’s Retail (Retail) – A corporation established to support SCHS, through the operation of thrift stores.

Children’s Clinically Integrated Network – A LLC established to develop, coordinate and administer a clinically integrated pediatric network to promote collaboration to enhance the quality and cost effectiveness of pediatric care.

Substantially all the net fundraising revenues and support raised by the Foundation, the Guild Association and Retail are transferred to the Hospital or to SCHS on a discretionary basis. Contributions are distributed to the Hospital and are classified to comply with the purposes specified by donors. During 2017 and 2016, the Foundation, the Guild Association, and Retail transferred contributions of $80,268 and $70,386 to the Hospital, respectively.

The 1915 Terry property was transferred from SCHS to the Hospital in 2016. This resulted in an intercompany equity transfer from SCHS to the Hospital of $35,528 reflected in unrestricted net assets in the line item other.

(b) Tax Exemption The Internal Revenue Service has granted the Hospital, and each of the affiliated corporations listed above, exemption from federal income taxes under Section 501(a) of the Internal Revenue Code (IRC) as an organization described in Section 501(c)(3) of the IRC formed to operate a hospital for charitable,



8 (Continued)

educational, scientific, and medical purposes. During 2017 and 2016, the Hospital did not record any liability for unrecognized tax benefits.

(c) Use of Estimates The preparation of financial statements in conformity with U.S. generally accepted accounting principles 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 revenues and expenses during the reporting period. Actual results could differ from those estimates.

(d) Cash and Cash Equivalents Cash and cash equivalents including highly liquid instruments that are readily convertible to known amounts of cash are recorded at cost, which approximates fair value. This includes money market funds and deposits held by creditworthy, high-quality financial institutions with original maturities of three months or less.

(e) Assets Whose Use Is Limited and Investments Assets whose use is limited includes unrestricted assets designated by the Board of Trustees for future capital and various program purposes, over which the Board of Trustees retains control and may, at its discretion, subsequently use for other purposes. Assets whose use is limited also includes temporarily and permanently restricted assets, based on donor restriction, and assets held by trustees under bond indentures and other agreements.

Investments under bond indentures and other agreements primarily include assets held by trustees under the terms of the revenue bonds. Amounts required to meet current liabilities of the Hospital have been classified as current assets in the accompanying balance sheets at September 30, 2017 and 2016.

Investments are stated at fair value. The Hospital classifies its investment portfolio as a trading portfolio, and as such, all unrestricted net unrealized gains or losses are recorded in nonoperating income in the accompanying statements of operations and changes in net assets in the period in which they occur.

Investment income (which includes interest and dividends and realized and unrealized gains and losses) is included in nonoperating income in the accompanying statements of operations and changes in net assets, unless the income or gain (loss) is restricted by donor. Restricted investment income is included in the increase (decrease) in temporarily restricted net assets in the accompanying statements of operations and changes in net assets.

Investment securities, in general, are exposed to various risks, such as interest rate, credit, and overall market volatility. Due to the level of risks associated with certain investment securities, it is reasonably possible that changes in the value of investments could occur in the near term and that such changes could materially affect the amounts reported in the accompanying balance sheets.



9 (Continued)

The Hospital accounts for its investments on a trade-date basis. Investment sales and purchases initiated prior to the balance sheet date and settled subsequent to the balance sheet date result in amounts due from and to brokers. Changes in these assets and liabilities represent noncash investing activities excluded from the statements of cash flows. The cost of investments sold is determined in accordance with the specific identification method, and realized gains and losses are included in investment income in the accompanying statements of operations and changes in net assets. As of September 30, 2017 and 2016, the Hospital recorded payables of $48,084 and $48,267, respectively, for investments purchased but not settled as due to brokers for securities purchased in the accompanying balance sheets. As of September 30, 2017 and 2016, the Hospital recorded a receivable of $28,778 and $0, for investments sold but not settled and interest receivable, included in other current assets in the accompanying balance sheet.

Pooled Investments Held at SCHS

Pooled investments held at SCHS represent the Hospital’s interest in a pool of investments held and managed by SCHS, which are recorded at fair value. Investment income, net and unrealized gains or losses from the SCHS investment pool were allocated between SCHS and the Hospital based upon respective investment balances. The Hospital recognizes the changes in its interest in the SCHS investment pool using a method that approximates the equity method of accounting.

(f) Pledges Receivable Pledges receivable consist of private gifts and grants promised from individuals, corporations, foundations or other organizations and are reported at fair value at the date the promise is received. Restricted promises are reported as either temporarily or permanently restricted net assets if they are received with donor stipulations that limit the use of the donated assets to a specific time period or purpose.

The schedule of future pledge payments, which are included in other current assets and other assets, in the accompanying balance sheets were as follows at September 30:

2017 2016

Receivable in:Less than one year $ 5,356 2,736 One to five years 13,950 3,574 Over five years 300 —

19,606 6,310

Less discount and allowance (784) (374)

$ 18,822 5,936



10 (Continued)

(g) Land, Buildings, and Equipment Land, buildings, and equipment are stated at cost, less accumulated depreciation. Maintenance and repairs are expensed as incurred. Interest costs incurred during the time required to ready the asset for its intended use are capitalized. Interest costs of $4,418 and $2,412 were capitalized in 2017 and 2016, respectively. Depreciation is computed using the straight-line method, which allocates the cost of the asset ratably over its estimated useful life. An estimated life of up to 40 years is used for buildings and 8 to 15 years for building and land improvements. Various lives ranging from 3 to 20 years are used for furniture and equipment. Leasehold improvements are depreciated over the shorter of the remaining life of the lease or the useful life of the asset.

(h) Other Current Assets Other current assets primarily include prepaid expenses, nonpatient accounts receivable, receivables for securities sold but not settled, and inventories. Inventories are measured at the lower of cost or market value. At September 30, 2017 and 2016, SCH had $12,843 and $12,551, respectively, in inventories.

(i) Joint Ventures The equity method of accounting is used for joint ventures in which the Hospital has significant influence, but does not have control. Significant influence is deemed to exist when the ownership interest in the investee is at least 20% and not more than 50% of net assets, although other factors may be considered in determining whether the equity method of accounting is appropriate.

(j) Deferred Financing Costs Deferred financing costs are included as a direct deduction from the carrying amount of the Hospital’s long-term debt in the accompanying balance sheets and are amortized using the effective-interest method over the term of the related outstanding obligation.

(k) Net Assets Contributions are reported at fair value at the date of donation. Such amounts are reported as unrestricted, temporarily restricted, or permanently restricted net assets, based on donor stipulations (if any) that limit the use of the donated assets. When a donor restriction expires, that is, when a stipulated time restriction ends or purpose restriction is accomplished, temporarily restricted net assets are reclassified as unrestricted net assets and reported in the accompanying statements of operations and changes in net assets as other operating revenues and net assets released from restriction.

Endowment fund balances, including funds functioning as endowments, are classified and reported as permanently restricted, temporarily restricted, or unrestricted net assets in accordance with Board or donor specifications. Funds functioning as endowments include Board-designated named endowments and other Board-designated funds.



11 (Continued)

(l) Net Patient Service Revenues and Patient Accounts Receivable Net patient service revenues are reported at the estimated net realizable amounts from patients and third-party payers. Retroactive adjustments, under reimbursement agreements with third-party payers, are estimated and accrued in the period in which the related services are rendered, and adjusted in future periods as final settlements are determined.

Patient accounts receivable are recorded on an accrual basis at established billing rates. The allowances for contractual allowances and discounts and uncollectible accounts are recorded on an accrual basis, using established billing and contracted rates and historical experience. In evaluating the collectibility of patient accounts receivable, the Hospital estimates the allowance for uncollectible accounts by major payer type based on historical experience for each payer type. Primary collection risks relate to uninsured patients and the portion of the bill which is the patients’ responsibility, primarily copayments and deductibles. For uninsured patients who do not qualify for the Hospital’s charity care, the Hospital provides a discount from its standard rates. The Hospital regularly reviews data about the major payer sources of revenues in evaluating the sufficiency of the allowance for contractual allowances and discounts and uncollectible accounts.

(m) Other Operating Revenues Other operating revenues primarily include revenues from a federal graduate medical education grant, Hospital’s equity earnings from its participation in a joint venture, amounts received from Children’s University Medical Group (CUMG), net assets released from restriction for operations, and other.

(n) Excess of Revenues over Expenses The accompanying statements of operations and changes in net assets include excess of revenues over expenses. Changes in unrestricted net assets, which are excluded from excess of revenues over expenses, are primarily net assets released from restriction for capital in 2017, and include the transfer of the 1915 Terry property in 2016.

(o) Reclassifications Prior period financial statement amounts have been reclassified to conform to current period presentation.

(p) Subsequent Events The Hospital has performed an evaluation of subsequent events through December 21, 2017, which is the date these financial statements were issued.

(q) New and Pending Accounting Pronouncements In May 2014, the Financial Accounting Standards Board (FASB) issued Accounting Standards Update (ASU) No. 2014-09, Revenue from Contracts with Customers. ASU No. 2014-09 provides for a single comprehensive principles-based standard for the recognition of revenue across all industries through the application of the following five-step process:

Step 1: Identify the contract(s) with a customer.



12 (Continued)

Step 2: Identify the performance obligations in the contract.

Step 3: Determine the transaction price.

Step 4: Allocate the transaction price to the performance obligations in the contract.

Step 5: Recognize revenue when (or as) the entity satisfies a performance obligation.

Among other provisions and in addition to expanded disclosure about the nature, amount, timing, and uncertainty of revenue, as well as certain additional quantitative and qualitative disclosures, ASU No. 2014-09 changes the health care industry’s specific presentation guidance previously under ASU No. 2011-07, Presentation and Disclosure of Patient Service Revenue, Provision for Bad Debts, and the Allowance for Doubtful Accounts for Certain Health Care Entities. ASU No. 2014-09 is now effective for fiscal years beginning after December 15, 2017, and interim periods thereafter. Early application is permitted only for fiscal years beginning after December 15, 2016, including interim periods within that reporting period, but has now been delayed one year by ASU No. 2015-14, Revenue from Contracts with Customers (Topic 606). The Hospital is evaluating this guidance and the impact that the adoption of this ASU will have on its consolidated financial statements and related disclosures.

In March 2015, the FASB issued ASU No. 2015-03, Simplifying the Presentation of Debt Issuance Costs. This ASU changes the presentation of debt issuance costs in the financial statements. Under the ASU, an entity presents such costs in the consolidated balance sheet as a direct deduction from the recognized liability rather than as an asset. Amortization of the costs is reported as interest expense. The ASU is effective for fiscal years beginning after December 15, 2015. The Hospital adopted the standard effective October 1, 2016 and the prior year debt issuance costs of $4,351 have been reclassified from other assets, net to long-term debt, net of current portion in the accompanying balance sheets.

In February 2016, the FASB issued ASU No. 2016-02, Leases (Topic 842), which requires lessees to recognize a lease liability and a right of use asset for all lease obligations with exception to short-term leases. The lease liability will represent the lessee’s obligation to make lease payments arising from the lease measured on a discounted basis and the right to use asset will represent the lessee’s right to use or control the use of a specified asset for a lease term. The lease guidance also simplifies accounting for sale leaseback transactions. The guidance is effective for fiscal years beginning after December 15, 2019. The Hospital is evaluating this guidance and the impact that the adoption of this ASU will have on its financial statements and related disclosures.

In August 2016, the FASB issued ASU No. 2016-14, Presentation of Financial Statements of Not-for-Profit Entities, to reduce diversity in reporting practice, reduce complexity, and enhance understandability of not-for-profit (NFP) financial statements. This ASU contains the following key aspects: (A) Reduces the number of net asset classes presented from three to two: with donor restrictions and without donor restrictions; (B) Requires all NFPs to present expenses by their functional and their natural classifications in one location in the financial statements; (C) Requires NFPs to provide quantitative and qualitative information about management of liquid resources and availability of financial assets to meet cash needs within one year of the balance sheet date; and (D) Retains the option to present operating cash flows in the statement of cash flows using either the



13 (Continued)

direct or indirect method. The guidance is effective for fiscal years beginning after December 15, 2017. The Hospital is evaluating this guidance and the impact, including the methods of implementation, that the adoption of this ASU will have on its financial statements and related disclosures.

In November 2016, the FASB issued ASU No. 2016-18, Statement of Cash Flows (Topic 230): Restricted Cash, which requires organizations 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 Hospital is evaluating this guidance and the impact that the adoption of this ASU will have on its financial statements and related disclosures.

(2) Uncompensated and Undercompensated Care The Hospital is committed to caring for all children in its service area irrespective of ability to pay. The estimated costs of that care were as follows for the years ended September 30:

2017 2016

Medicaid payment shortfall $ 155,437 116,471 Charity care 9,168 10,212

Total uncompensated and undercompensatedcare $ 164,605 126,683

Medicaid is a government sponsored healthcare program for low income individuals. The Medicaid payment shortfall represents the estimated cost of providing services to patients covered under Medicaid in excess of payments received. The estimated cost of services provided to Medicaid patients is estimated based on the ratio of Hospital patient care costs to Hospital patient care charges applied to charges related to services provided to Medicaid patients. Funds received to offset or subsidize charity and Medicaid payment shortfalls were $14,113 and $15,612 for the years ended September 30, 2017 and 2016, respectively.

Charity care represents the estimated cost of care provided to patients who are uninsured or underinsured and whose families cannot afford to pay for their medical care. The Hospital provides charity care in accordance with its charity care policy based on family need and maintains records to identify the level of charity it provides. The determination of family need is evaluated during a patient’s course of care and can be updated after care is complete. Because the Hospital does not pursue collection of amounts determined to qualify as charity care, these amounts are not reported as revenue. The estimated cost of charity care provided is estimated based on the ratio of Hospital total patient care costs to Hospital total patient care charges applied to gross charges related to charity care services.



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(3) Assets Whose Use Is Limited As of September 30, the fair value of assets whose use is limited was as follows:

2017 2016

Board-designated investments $ 504,903 527,363 Pooled investments held at SCHS 576,020 490,145 Board-designated endowments 221,065 194,915 Donor-restricted endowments 188,794 173,226 Investments held under bond indentures and other 92,497 22,124

$ 1,583,279 1,407,773

(4) Investments and Fair Value Measurements In determining the fair value of investments, the Hospital utilizes valuation techniques to maximize the use of observable market data and minimize the use of unobservable inputs. Inputs refer broadly to the assumptions that market participants would use in pricing the asset or liability, including assumptions about risk. Inputs may be observable or unobservable. Observable inputs are inputs that reflect the assumptions market participants would use in pricing the asset or liability developed based upon market data obtained from sources independent of the reporting entity. Unobservable inputs are inputs that reflect the Hospital’s own assumptions about the assumptions market participants would use in pricing the asset or liability developed based on the best information available.

Assets and liabilities that are recorded at fair value are grouped into three levels based on the markets in which assets and liabilities are traded and the observability of the inputs used to determine fair value. The three levels are as follows:

Level 1 – Quoted prices in active markets for identical assets or liabilities. An active market for the asset or liability is a market in which transactions for the asset or liability occur with sufficient frequency and volume to provide pricing information on an ongoing basis.

Level 2 – Pricing inputs other than quoted prices included in Level 1 that are observable for the asset or liability, either directly or indirectly, and the fair value is determined through the use of models or other valuation methodologies.

Level 3 – Significant unobservable inputs, including assets and liabilities that are traded infrequently.

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. The fair value hierarchy does not necessarily correspond to a financial instrument’s relative liquidity in the market or to its level of risk.



15 (Continued)

The following tables present assets and liabilities that were measured at fair value on a recurring basis (including items that were required to be measured at fair value and items for which the fair value option was elected) at September 30:

Fair value measurements atreporting date using

2017 Level 1 Level 2 Level 3

Assets:Investments:

Money market and other $ 115,785 66,031 49,754 — Commercial paper 17,444 — 17,444 — U.S. equity securities 4,786 4,786 — — U.S. corporate fixed-income

securities 294,908 — 294,406 502 Foreign corporate fixed-income

securities 161,941 — 161,941 — Notes issued by the

U.S. government andU.S. government agencies 54,834 54,834 — —

Mutual funds:Global (U.S. and foreign)

equity funds 790 790 — — U.S. corporate fixed income

funds 264,202 264,202 — — Other 2,391 2,391 — —

Pooled investments 576,020 — — 576,020 Trustee-held funds 90,178 90,178 — —

Total assets $ 1,583,279 483,212 523,545 576,522

Liabilities:Interest rate swap agreements $ 17,789 — 17,789 —

Total liabilities $ 17,789 — 17,789 —



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Fair value measurements atreporting date using

2016 Level 1 Level 2 Level 3

Assets:Investments:

Money market and other $ 120,430 95,704 24,726 — Commercial paper 39,036 — 39,036 — U.S. equity securities 4,822 4,822 — — U.S. corporate fixed-income

securities 307,980 — 307,476 504 Foreign corporate fixed-income

securities 155,650 — 155,650 — Notes issued by the

U.S. government andU.S. government agencies 54,444 47,443 7,001 —

U.S. municipal securities 2,341 — 2,341 — Mutual funds:

Global (U.S. and foreign)equity funds 552 552 — —

U.S. corporate fixed incomefunds 210,249 210,249 — —

Other 2,264 2,264 — — Pooled investments 490,145 — — 490,145 Trustee-held funds 19,860 19,860 — —

Total assets $ 1,407,773 380,894 536,230 490,649

Liabilities:Interest rate swap agreements $ 26,041 — 26,041 —

Total liabilities $ 26,041 — 26,041 —

There were no transfers between Level 1 and Level 2 during 2017 or 2016.

Pooled investments held at SCHS are recorded at the Hospital’s share of the fair value of the SCHS investment pool. The SCHS investment pool was invested as follows at September 30 (in percentages):

2017 2016

Mutual funds:Global (U.S. and Foreign) equity 24% 20%U.S. corporate fixed income 8 9

Alternative investments 68 71

100% 100%



17 (Continued)

Alternative investments included within pooled investments held at SCHS, include limited partnerships, limited liability corporations, investment trusts, institutional funds, and offshore investment funds. Included in these funds are certain types of financial instruments, including, among others, futures and forward contracts, options, swaps, and securities sold not yet purchased, intended to hedge against changes in the fair value of investments. These financial instruments involve varying degrees of risk. Because alternative investments are not readily marketable, their estimated value is subject to uncertainty and, therefore, may differ from the value that would have been used had a ready market for such investments existed. Such differences could be material.

The following table presents the Hospital’s activity for assets measured at fair value on a recurring basis using significant unobservable inputs (Level 3) for the years ended September 30, 2017 and 2016:

Pooledinvestments Other Total 2017

Beginning balance at September 30, 2016 $ 490,145 504 490,649 Investment income and unrealized gain,

net 67,718 (2) 67,716 Additions 25,000 — 25,000 Other changes (6,843) — (6,843)

Ending balance at September 30, 2017 $ 576,020 502 576,522

Pooledinvestments Other Total 2016

Beginning balance at September 30, 2015 $ 423,445 — 423,445 Investment income and unrealized gain,

net 38,954 4 38,958 Additions 32,000 — 32,000 Purchases — 500 500 Other changes (4,254) — (4,254)

Ending balance at September 30, 2016 $ 490,145 504 490,649

Net unrealized gains (losses) included in income, in the table above, relating to assets held at September 30, 2017, were $42,851 and ($2) for pooled investment and other, respectively. Net unrealized gains (losses) included income relating to assets held at September 30, 2016 were $15,498 and $4 for pooled investment and other, respectively.

The carrying amounts reported on the accompanying balance sheets for cash and cash equivalents, patient accounts receivable, other current assets, accounts payable, and accrued expenses approximate the fair value because of their short-term nature.



18 (Continued)

The fair value of long-term debt, estimated based on the quoted market prices for similar issues, considered a Level 2 measurement, was $741,870 and $646,000 at September 30, 2017 and 2016, respectively.

(5) Beneficial Interest in Seattle Children’s Healthcare System The Hospital recognizes an interest in a portion of the net assets of SCHS representing certain temporarily and permanently restricted funds that will ultimately benefit the Hospital. At September 30, 2017 and 2016, the Hospital recorded a beneficial interest in SCHS of $150,859 and $138,187, respectively, which corresponds to temporarily and permanently restricted net assets held by SCHS on the Hospital’s behalf. The Hospital recognizes changes in this beneficial interest as a change in temporarily and permanently restricted net assets.

(6) Land, Buildings, and Equipment Land, buildings, and equipment consist of the following at September 30:

2017 2016

Land and improvements $ 232,991 218,239 Buildings and improvements 973,128 902,218 Furniture and equipment 492,775 472,190 Construction in progress 101,251 83,170

1,800,145 1,675,817

Less accumulated depreciation (696,778) (654,766)

$ 1,103,367 1,021,051

The Hospital has commitments for construction contracts totaling $61,521 as of September 30, 2017.

(7) Endowment Funds and Temporarily and Permanently Restricted Net Assets The endowment funds consist of numerous individual funds established for a variety of purposes. They include donor-restricted endowments and funds functioning as endowments, which include board-designated named endowments and other board-designated endowments. Net assets associated with these funds are classified and reported based on the existence or absence of donor-imposed restrictions.

The Hospital has interpreted the Washington State Uniform Prudent Management of Institutional Funds Act (WA-UPMIFA) as requiring the preservation of the fair value of the original gift as of the gift date of the donor-restricted endowment funds absent explicit donor stipulations to the contrary. As a result of this interpretation, the Hospital classifies as permanently restricted net assets (a) the original value of gifts donated to the permanent endowment; (b) the original value of subsequent gifts donated to the permanent endowment; and (c) accumulations to the permanent endowment made in accordance with the direction of the applicable donor gift instrument at the time the accumulation is added to the fund.



19 (Continued)

The remaining portion of the donor-restricted endowment funds that is not classified in permanently restricted net assets is classified as temporarily restricted net assets until those amounts are appropriated for expenditure by the Hospital in a manner consistent with the standards of prudence prescribed by WA-UPMIFA.

In making a determination to appropriate or accumulate donor-restricted endowment funds, the Hospital considers (a) the duration and preservation of the fund, (b) the purposes of SCHS and the donor-restricted endowment, (c) general economic conditions, (d) the appreciation of endowment investments; (e) other resources of the Hospital, and (f) the investment policy of the Hospital. From time to time, the fair value of assets associated with individual donor-restricted endowment funds may fall below the level that the donor or WA-UPMIFA requires the Hospital to retain as a fund of perpetual duration. Deficiencies of this nature are reflected as a reduction in unrestricted net assets.

The Hospital has adopted investment and spending policies for endowment assets that attempt to provide a predictable stream of funding to programs supported by its endowments while seeking to maintain the purchasing power of the endowment assets. To satisfy its long-term rate-of-return objectives, the Hospital 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). The Hospital targets a diversified asset allocation intended to achieve its long term return objectives within prudent risk constraints.

The Hospital has a spending policy of appropriating 5% of its endowment funds’ 12-quarter average market value of donor-restricted and board-designated named endowments. In establishing this policy, the Hospital considered the long-term expected return on its endowment funds.

The endowment net assets composition by type as of September 30, 2017 and 2016 were as follows:

Temporarily PermanentlyUnrestricted restricted restricted Total

September 30, 2017:Donor-restricted $ (57) 47,775 141,076 188,794 Board-designated:

Named endowment funds 9,968 — — 9,968

Other endowment funds 211,097 — — 211,097

Total funds $ 221,008 47,775 141,076 409,859

September 30, 2016:Donor-restricted $ (353) 33,985 139,594 173,226 Board-designated:

Named endowment funds 9,196 — — 9,196

Other endowment funds 185,719 — — 185,719

Total funds $ 194,562 33,985 139,594 368,141



20 (Continued)

The changes in endowment net assets for 2017 and 2016 were as follows:

September 30, 2017Temporarily Permanently

Unrestricted restricted restricted Total

Endowment net assets,September 30, 2016 $ 194,562 33,985 139,594 368,141

Investment return:Net interest and dividends 2,238 2,115 — 4,353 Net appreciation (realized

and unrealized) 24,799 20,205 — 45,004

Total investment return 27,037 22,320 — 49,357

Contributions 2 — 1,522 1,524

Appropriation of endowmentassets for expenditure:

Donor-restricted (128) (8,530) (40) (8,698) Board-designated named (465) — — (465)

Total appropriations (593) (8,530) (40) (9,163)

Endowment net assets,

September 30, 2017 $ 221,008 47,775 141,076 409,859



21 (Continued)

September 30, 2016Temporarily Permanently

Unrestricted restricted restricted Total

Endowment net assets,September 30, 2015 $ 179,154 28,633 135,020 342,807

Investment return:Net interest and dividends 2,256 2,169 — 4,425 Net appreciation (realized

and unrealized) 13,778 11,272 — 25,050

Total investment return 16,034 13,441 — 29,475

Contributions — — 4,574 4,574

Appropriation of endowmentassets for expenditure:

Donor-restricted (163) (8,089) — (8,252) Board-designated named (463) — — (463)

Total appropriations (626) (8,089) — (8,715)

Endowment net assets,

September 30, 2016 $ 194,562 33,985 139,594 368,141

Temporarily restricted net assets were available for the following purposes at September 30:

2017 2016

Healthcare services:Purpose restrictions $ 60,321 38,647 Unappropriated endowment earnings 47,775 33,984

Research 71,604 65,948 Capital projects 2,477 1,336

$ 182,177 139,915

Permanently restricted net assets were restricted to investments in perpetuity, the income from which is expendable to support the following at September 30:

2017 2016

Healthcare services $ 132,654 124,034 Research 141,224 139,789

$ 273,878 263,823



22 (Continued)

(8) Long-Term Debt Long-term debt obligation consisted of the following at September 30:

Maturing Interest Unpaid principalthrough rates 2017 2016

Revenue Bonds Fixed:

Series 2009 2020 5.00 – 5.625% $ 3,095 4,025 Series 2010A 2041 5.00% 75,000 75,000 Series 2010B 2023 5.00% 23,075 26,305 Series 2012A 2043 5.00% 46,335 46,335 Series 2012B 2035 4.00 – 5.00% 27,895 27,935 Series 2015A 2046 4.00 – 5.00% 100,000 100,000 Series 2015B 2039 3.00 – 5.00% 167,315 167,350 Series 2017A 2048 3.00 – 5.00% 114,080 —

Total fixed 556,795 446,950

Variable:Series 2012C 2029 1.32 – 1.85% 60,370 62,045 Series 2012D 2032 0.97 – 1.47% 61,915 64,960

Total variable 122,285 127,005

Unpaid principal,long-term debt 679,080 573,955

Unamortized premiums, discounts and debtissuance costs, net 46,054 37,566

Long-term debt, includingpremiums, discounts, and debtissuance costs 725,134 611,521

Less current portion 9,345 8,955

Long-term debt, net of currentportion $ 715,789 602,566

The Revenue Bonds are collateralized by a pledge of gross revenues and secured by interests in certain bond funds.



23 (Continued)

Scheduled principal repayments as of September 30, 2017 on the long-term debt are due as follows:

2018 $ 9,345 2019 11,000 2020 11,455 2021 11,940 2022 12,465 Thereafter 622,875

679,080

Add unamortized premiums, discountsand debt issuance costs, net 46,054

$ 725,134

In 2017, the Hospital issued $114,080 of Series 2017A Bonds, refinanced $60,400 in Series 2012C Bonds, and $61,900 in Series 2012D Bonds.

In 2008, SCHS entered into a New Markets Tax Credit financing to develop and construct a portion of the Hospital’s research facility. The compliance period of the transaction ended 2016. As a result of the completion of the compliance period, the Hospital recorded $19,740 as a noncash gain on forgiveness of debt in 2016, in nonoperating income (expense) in the accompanying statements of operations and changes in net assets.

The members of the Obligated Group established under the Master Indenture include the Hospital and SCHS. As of September 30, 2017, total assets, total liabilities, and total unrestricted net assets of the Obligated Group constituted approximately 100%, 100%, and 100%, respectively, of the respective SCHS’s consolidated totals. For 2017, the total operating revenues, operating income, and excess of revenues over expenses, from all sources attributable to the Obligated Group were 99%, 100%, and 100%, respectively, of the respective SCHS’s consolidated totals.

Under the terms of the Revenue Bonds and related indenture agreements, the Obligated Group is required to comply with various covenants, including income available for debt service.

Accounting for Derivative Instruments

Interest rate swap contracts are used to manage the net exposure to interest rate changes in attempting to reduce the overall cost of borrowing over time. The Hospital records these derivative instruments on the accompanying balance sheet as an asset or liability measured at its individual fair market value – the fair value of interest rate swap contracts is included in other long-term liabilities on the accompanying balance sheet. Changes in the derivative instrument’s fair market value are recognized in earnings unless certain specific hedge accounting criteria are met. The Hospital has not designated its interest rate swap agreements as cash flow hedges, and all changes in the valuation of the interest rate swaps are recognized in other nonoperating expenses, net, in the accompanying consolidated statements of operations and changes in net assets. Interest rate swaps not designated as hedges represented liabilities of $17,789 and $26,041 as of September 30, 2017 and 2016, respectively.



24 (Continued)

The Hospital has two swap agreements (Swap Agreements) with two separate counterparties. Under each Swap Agreement, the Hospital is obligated to pay a fixed rate per annum (3.48% on the Series 2012C Bonds and 3.69% on the Series 2012D Bonds) on a notional amount equal to the outstanding principal amount of the applicable series of bonds and receives a variable payment computed as 68% of the one-month LIBOR. The bonds’ variable-rate coupons are based upon rates calculated as a percentage of one-month LIBOR plus a credit spread as defined in the respective financing agreements. The two Credit Support Annexes for the interest rate swaps require either party to post collateral if the fair market value of the swap is negative to them and exceeds the minimum threshold as defined in each respective Credit Support Annex. The amount of collateral required to be posted is equal to the difference of the fair market value over the minimum threshold. As of September 30, 2017, the Hospital was not required to post collateral for either Swap Agreement.

(9) Net Patient Service Revenues and Concentrations of Credit Risks A significant portion of the Hospital’s patient service revenues is derived from Medicaid programs, including Medicaid managed care (Medicaid). Payments from Medicaid for services provided to inpatients are based upon prospective diagnosis related groups and other payment programs, while Medicaid outpatient payments are based upon prospective enhanced ambulatory payment groups and other payment programs. Commercial insurer payments are based upon terms of contractual agreements.

The following table summarizes gross patient revenue by payer for the years ended September 30:

2017 2016

Commercial Insurers:Premera Blue Cross 12% 13%Regence Blue Shield 13 12Other 20 22

Medicaid managed care organizations:Community Health Plan of Washington 7 7Molina Healthcare 17 16Other 13 11

Medicaid 11 13Other 7 6

100% 100%



25 (Continued)

The concentrations of credit risk by payer as measured by gross patient accounts receivable were as follows at September 30:

2017 2016

Commercial Insurers:Premera Blue Cross 11% 9%Regence Blue Shield 11 11Other 23 26

Medicaid managed care organizations 33 29Medicaid 14 16Other 8 9

100% 100%

(10) Hospital Safety Net Assessment The state of Washington provides for supplemental Medicaid payments to certain hospitals funded by assessments paid by these hospitals as well as matching federal funds (the safety net program). The supplemental payments include fee-for-service payments received directly from Washington State as well as payments processed through managed care organizations.

The following revenue and expense are recognized in the accompanying statements of operations and changes in net assets for the years ended September 30:

Revenues2017 2016 2017 2016

Fee-for-service segment of the program $ 14,892 17,001 6,707 6,580 Managed care segment of the program 20,225 24,784 12,541 12,189

Total $ 35,117 41,785 19,248 18,769

Expenses

Supplemental payments are recorded in net patient service revenues and assessments are recorded in supplies and other expenses in the accompanying statements of operations and changes in net assets.

(11) Related-Party Transactions The Hospital and SCHS participate in joint ventures with organizations that engage in the delivery of healthcare-related services. The Hospital participates in a joint venture with Providence Health & Services – Washington (PHSW), which is owned by Providence St. Joseph Health (PSJH). PHSW owns and operates Providence Regional Medical Center Everett located in Everett, Washington. The Hospital and PHSW each own a 50% interest in Providence-Children’s Neonatal Services, LLC (PCNS). SCHS and the University of Washington (UW) jointly control CUMG, which is a pediatric practice plan that employs and manages the clinical practices of its members who are medical staff at both the Hospital and faculty at the UW. SCHS has a 33% ownership interest in the Seattle Cancer Care Alliance (SCCA), a nonprofit corporation, organized by SCHS, the UW, and Fred Hutchinson Cancer Research Center to provide a



26 (Continued)

comprehensive program of integrated cancer care services. The Hospital and SCHS account for their respective ownership interests in these joint ventures under the equity method of accounting.

During 2017 and 2016, healthcare services provided, at cost, by the Hospital to these joint ventures totaled $9,952 and $9,608, respectively. The revenues from these services were included in other operating revenues in the accompanying statements of operations and changes in net assets. The Hospital purchased healthcare services of $120,993 and $104,012 in 2017 and 2016, respectively from their joint ventures. The expenses were included in purchased services in the accompanying statements of operations and changes in net assets. As of September 30, 2017 and 2016, the Hospital’s investment in the PCNS joint venture totaled $5,825, and is included in other assets in the accompanying balance sheets.

(12) Retirement Plan and Deferred Compensation The Hospital provides a defined-contribution plan to substantially all of its employees. The Hospital’s contribution to the plan is discretionary. For 2017 and 2016, the discretionary Hospital contribution based on participants’ years of vested service was 4.0% of eligible compensation for less than five years and 6.0% of eligible compensation for more than five years. The Hospital also offers a match of up to 25% of the first 4% of employee compensation. Retirement plan contribution expense during 2017 and 2016 totaled $26,276 and $24,512, respectively.

(13) Self-Insurance The Hospital has purchased professional and general liability insurance on a claims-made basis. The Hospital is self-insured for the deductible portion of its insurance coverage and for unreported incidents and accrues an actuarial estimate for claims within its deductible portion and for unreported incidents. At September 30, 2017 and 2016, the estimated gross liability before insurance receivable for future costs of professional and general liability claims was $8,800 and $9,196, respectively. At September 30, 2017 and 2016, $7,099 and $7,321, respectively, of this liability was included as long-term within other long-term liabilities with the remainder within other payables in the accompanying balance sheets.

(14) Commitments and Contingencies (a) Operating Leases

The Hospital leases various equipment and facilities under operating leases expiring at various dates. Total rental expense in 2017 and 2016 was $12,737 and $12,752, respectively, and was included in the supplies and other expense in the accompanying statements of operations and changes in net assets.



27

Operating lease commitments for future years are as follows:

2018 $ 10,930 2019 11,550 2020 10,289 2021 10,082 2022 8,888 Thereafter 40,635

$ 92,374

(b) Labor Organizations Approximately 27% of the Hospital’s employees are represented by labor organizations. None of the labor agreements expire within one year.

(c) Regulatory Environment and Litigation The healthcare industry is subject to numerous laws and regulations of federal, state, and local governments. These laws and regulations include, but are not necessarily limited to, matters such as licensure, accreditation, government healthcare program participation requirements, reimbursement for patient services, and Medicare and Medicaid fraud and abuse. Government activity has continued with respect to investigations and allegations concerning possible violations of fraud and abuse statutes and regulations by healthcare providers. Violations of these laws and regulations could result in expulsion from government healthcare programs together with the imposition of significant fines and penalties, as well as significant repayments for patient services previously billed.

Management believes that the Hospital, in all material respects, is in compliance with the fraud and abuse regulations, as well as other applicable government laws and regulations. Compliance with such laws and regulations can be subject to future government review and interpretation, as well as regulatory actions unknown or unasserted at this time. The Hospital is subject to litigation arising in the normal course of business. After consultation with legal counsel, management believes that these matters will be resolved without material adverse effect on the Hospital’s future financial position or results of operations.

(15) Functional Expenses Functional expenses were as follows for the years ended September 30:

2017 2016

Healthcare services $ 1,033,650 934,606 Research 172,545 145,099 General and administrative 92,334 84,984

$ 1,298,529 1,164,689



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


Seattle Children’s Hospital

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 financial statements of Seattle Children’s Hospital (the Hospital),

which comprise the balance sheet as of September, 30, 2017, and the related statement of operations and

changes in net assets and cash flow for the year then ended, and the related notes to the financial statements,

and have issued our report thereon dated December 21, 2017.

Internal Control Over Financial Reporting

In planning and performing our audit of the financial statements, we considered the Hospital’s internal control

over financial reporting (internal control) to determine the audit procedures that are appropriate in the

circumstances for the purpose of expressing our opinion on the financial statements, but not for the purpose of

expressing an opinion on the effectiveness of the Hospital’s internal control. Accordingly, we do not express an

opinion on the effectiveness of the Hospital’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 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 Hospital’s financial statements are free from

material misstatement, we performed tests of its compliance with certain provisions of laws, regulations,

contracts, and grant agreements, noncompliance with which could have a direct and material effect on the

determination of financial statement amounts. However, providing an opinion on compliance with those

provisions was not an objective of our audit, and accordingly, we do not express such an opinion. The results of

our tests disclosed no instances of noncompliance or other matters that are required to be reported under

Government Auditing Standards.

28

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 Hospital’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 Hospital’s internal control and compliance. Accordingly, this communication is not

suitable for any other purpose.

Seattle, Washington

December 21, 2017

29



30

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


Seattle Children’s Hospital:

Report on Compliance for Each Major Federal Program

We have audited Seattle Children’s Hospital’s (the Hospital) 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 Hospital’s major federal programs for the year ended September 30, 2017. The Hospital’s major

federal program is 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 Hospital’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 Hospital’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 Hospital’s compliance.

Opinion on Each Major Federal Program

In our opinion, the Hospital 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 September 30, 2017.

Other Matters

The results of our auditing procedures disclosed instances of noncompliance, which are required to be reported

in accordance with the Uniform Guidance and which are described in the accompanying schedule of findings

and questioned costs as item 17-001. Our opinion on each major federal program is not modified with respect

to this matter.

31

The Hospital’s response to the noncompliance finding identified in our audit is described in the accompanying

schedule of findings and questioned costs. The Hospital’s response was not subjected to the auditing

procedures applied in the audit of compliance and, accordingly, we express no opinion on the response.

Report on Internal Control over Compliance

Management of the Hospital 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 Hospital’s internal control over compliance with the types of requirements

that could have a direct and material effect on each major federal program to determine the auditing

procedures that are appropriate in the circumstances for the purpose of expressing an opinion on compliance

for each major federal program and to test and report on internal control over compliance in accordance with

the Uniform Guidance, but not for the purpose of expressing an opinion on the effectiveness of internal control

over compliance. Accordingly, we do not express an opinion on the effectiveness of the Hospital’s internal

control over compliance.

A deficiency in internal control over compliance exists when the design or operation of a control over

compliance does not allow management or employees, in the normal course of performing their assigned

functions, to prevent, or detect and correct, noncompliance with a type of compliance requirement of a federal

program on a timely basis. A material weakness in internal control over compliance is a deficiency, or

combination of deficiencies, in internal control over compliance, such that there is a reasonable possibility that

material noncompliance with a type of compliance requirement of a federal program will not be prevented, or

detected and corrected, on a timely basis. A significant deficiency in internal control over compliance is a

deficiency, or a combination of deficiencies, in internal control over compliance with a type of compliance

requirement of a federal program that is less severe than a material weakness in internal control over

compliance, yet important enough to merit attention by those charged with governance.

Our consideration of internal control over compliance was for the limited purpose described in the first

paragraph of this section and was not designed to identify all deficiencies in internal control over compliance

that might be material weaknesses or significant deficiencies and therefore, material weaknesses or significant

deficiencies may exist that were not identified. We did not identify any deficiencies in internal control over

compliance that we consider to be material weaknesses. However, we identified certain deficiencies in internal

control over compliance, as described in the accompanying schedule of findings and questioned costs as item

17-001 that we consider to be a significant deficiency.

The Hospital’s response to the internal control over compliance finding identified in our audit is described in the

accompanying schedule of findings and questioned costs. The Hospital’s response was not subjected to the

auditing procedures applied in the audit of compliance and, accordingly, we express no opinion on the

response.

The purpose of this report on internal control over compliance is solely to describe the scope of our testing of

internal control over compliance and the results of that testing based on the requirements of the Uniform

Guidance. Accordingly, this report is not suitable for any other purpose.

December 21, 2017


Schedule of Expenditures of Federal Awards


Pass-Through Grantor’s Pass-through toActivity Federal grantor/pass-through grantor/program title Number Number Grant number subrecipients Expenditures

Research and Development Awards:University of Washingon:

412820160101 Development of Cell Therapies for FSGS 12.420 UWSC9566/BPO19992 W18XWH-16-1-0248 $ — 9,136

Subtotal - 12.420 Military Medical Research and Development — 9,136

University of Washingon:412620430101 Multiplexable Autonomous Disposables for Nucleic Amplification Tests for Low Resource Settings 12.910 UWSC6969/BPO11786 HR0011-11-0007 — 10,167

Subtotal - 12.910 Research and Technology Development — 10,167

University of Washingon:415050070101 Interdisciplinary Evaluation of Child Custody Decision-Making among IPV Families 15.560 UWSC8971/BPO14497 2015-VA-CX-0073 — 18,327

Subtotal - 15.560 SECURE Water Act – Research Agreements — 18,327

Food and Drug Administration:416720010301 Phase 2 Study of Abatacept with Calcineurin Inhibition and Methotrexate for GVHD 93.103 4 R01 FD004099-04 4 R01 FD004099-04 — (8,137) 416720010401 Phase 2 Study of Abatacept with Calcineurin Inhibition and Methotrexate for GVHD 93.103 5 R01 FD004099-05 R01FD004099 137,742 309,968 416720011401 Phase 2 Study of Abatacept with Calcineurin Inhibition and Methotrexate for

GVHD - SUPPLEMENT 93.103 5 R01 FD004099-05 R01FD004099 — 83,027 413350260201 Triiodothyronine Supplementation in Young Infants After Cardiopulmonary Bypass IND55367 93.103 5 R01 FD004362-02 5 R01 FD004362-02 26,400 26,400 413350260301 Phase 3 Triiodothyronine Supplementation for Infants After Cardiopulmonary Bypass 93.103 5 R01 FD004362-03 5 R01 FD004362-03 — 340,128 413350260401 Phase 3 Triiodothyronine Supplementation for Infants After Cardiopulmonary Bypass 93.103 5 R01 FD004362-04 R01 FD994362-04 — 43,347

Children's Research Institute:417060020101 Quality Management System 93.103 30003062-02 4P50FD004895-03 — 40,784

John Hopkins University:412870140101 Covered Cheatham Platinum Stent for Preventions or Treatment of Aortic Wall Injury

Associated with Aortic Coarctation (COAST II) 93.103 PO 2001286996 MOD 3 5 R01 FD003898-02 — 538 University of Florida:

413510360101 Phase 3 Trial of DCA in PDC Deficiency IND 028.625 93.103 UFDSP00011689 R01FD005407 — 1,881 University Of Michigan:

415410050101 Phase 3 Study of Standard versus Reduced IV Fat for the Prevention of Parenteral NutritionAssociated Cholestasis (PNAC) 93.103 3003826476 R01FD005085 — 33,146

Subtotal - 93.103 Food and Drug Administration Research 164,142 871,082

Health Resources and Services Administration:415010040101 Promoting Adolescent Health through Personlized Feedback 93.110 1 R40 MC26817-01-00 1 R40 MC26817-01-00 — — 415010040301 Promoting Adolescent Health through Personlized Feedback 93.110 5 R40 MC26817-03-00 5 R40 MC26817-03-00 20,143 141,196

University of Washington:414290070201 Pediatric Pulmonary Center Training Center 93.110 UWSC8638 MOD 3/BPO17084 5T72MC00007-26-00 — 13,022 414290070101 Pediatric Pulmonary Center (PPC) Training Grant UW/HRSA 93.110 UWSC8638 MOD 2/BPO17084 5T72MC00007-26-00 — 31,846 415010030501 Leadership Education in Adolescent Health 93.110 TBD 5T71MC24210-01-00 — — 415050080201 Leadership Education in Adolescent Health renewal 93.110 UWSC9877/BPO24899 2T71MC242100600 — 34,557 414170011101 Pediatric Pulmonary Training Center 93.110 UWSC8638/BPO8852 2 T72MC00007-25-00 — (94)

Subtotal - 93.110 Maternal and Child Health Federal Consolidated Programs 20,143 220,527

National Institute of Environmental Health Sciences:415230090101 Prenatal Environmental Exposure and Reproductive Hormone Concentrations (PERCH) 93.113 5 R21 ES023883-02 5 R21 ES023883-02 — 1,273

Mount Sinai Medical Center:415230100201 Phthalate Exposure and Gender-related Development 93.113 0255-8271-4609 R01ES025169-01 — 65,825 415230100301 Phthalate Exposure and Gender-related Development 93.113 0255-8271-4609 5 R01 ES025169-03 — 85,773

Subtotal - 93.113 Environmental Health — 152,871

National Institute of Dental and Craniofacial Research:417370010201 Interaction of Genotype and Dietary Vitamin A in Cleft Lip and/or Palate 93.121 5F32DE025519-02 5F32DE025519-02 — 35,315 412510120101 Single Suture Craniosynostosis: Candidate Gene and Pathway Discovery 93.121 R01DE018227 R01DE018227 — (18,022) 412510120201 Single Suture Craniosynostosis: Candidate Gene and Pathway Discovery 93.121 R01DE018227 R01DE018227 240,458 639,258

413680088401 CFM: Longitudinal Outcomes in Children pre-Kindergarten (CLOCK) 93.121 5 R01 DE022438-04 5 R01 DE022438-04 $ — 119 413680088402 CFM: Longitudinal Outcomes in Children pre-Kindergarden (CLOCK) 93.121 5 R01 DE022438-04 5 R01 DE022438-04 12,120 11,130 413680088501 CFM: Longitudinal Outcomes in Children pre-Kindergarden (CLOCK) 93.121 R01 DE022438 R01 DE022438 — 271,440

32 (Continued)





413680088502 CFM: Longitudinal Outcomes in Children pre-Kindergarden (CLOCK) 93.121 R01 DE022438 R01 DE022438 75,045 89,320 414050030401 CFM: Longitudinal Outcomes in Children pre-Kindergarten (CLOCK) 93.121 5 R01 DE022438-04 5 R01 DE022438-04 64,900 64,900 414050030501 CFM: Longitudinal Outcomes in Children pre-Kindergarten (CLOCK) 93.121 R01 DE022438 R01 DE022438 89,831 350,290 414070050201 Genetic and developmental pathways causing midface Hypoplasia 93.121 4 R01 DE022561-05 4 R01 DE022561-05 3,535 243,006 414890061501 Oral Pathogenesis and Host Interactions of KSHV Infection 93.121 5 P01 DE021954-05 P01 DE021954 — 143,337 414890062401 Oral Pathogenesis and Host Interactions of KSHV Infection 93.121 5 P01 DE021954-04 P01 DE021954 — (4,306) 414890062501 Oral Pathogenesis and Host Interactions of KSHV Infection 93.121 5 P01 DE021954-05 P01 DE021954 8,791 13,348 414890063501 Oral Pathogenesis and Host Interactions of KSHV Infection 93.121 5 P01 DE021954-05 P01 DE021954 — 41,568 414890068301 Oral Pathogenesis and Host Interactions of KSHV Infection 93.121 5 P01 DE021954-05 P01 DE021954 58,061 58,061 416010020501 Oral Pathogenesis and Host Interactions of KSHV Infection 93.121 5 P01 DE021954-05 P01 DE021954 — 36,906 416010030501 Oral Pathogenesis and Host Interactions of KSHV Infection 93.121 5 P01 DE021954-05 P01 DE021954 — 87,510 416240010201 Maternal Alcohol Exposure: Impact on Genetic Control of Craniofacial Phenotype 93.121 5 R00 DE021417-05 5 R00 DE021417-05 — — 416240020101 Inbred Mice Strains: Untapped Resouce for Genome-Wide Quantitative Association Study For

Craniofacial Shape 93.121 1R03DE027110-01 1R03DE027110-01 — 53,938 417610010101 The Role of Hyaluronic Acid in Regulating Palate Morphogenesis During Secondary Palate Closure 93.121 5 R03 DE025077-02 REVISED — 124,370 417880010101 Child Dental BPA Study (BPARCS) 93.121 5 R01 DE025229-03 5 R01 DE025229-03 89,076 361,090

Boston University:413680070101 Hemifacial Microsomia: Psychosocial and other Sequelae 93.121 4500000355 5 R01 DE011939-16 — 26,421

University of Southern California:416860010301 Clinical Effectiveness of Late Maxillary Protraction for Cleft Lip and Palate 93.121 63913293 5 U01 DE022937-03 — (13,256) 416860010401 Clinical Effectiveness of Late Maxillary Protraction for Cleft Lip and Palate 93.121 63913293/50461720 4U01DE022937-04 — 62,698 416860010501 Clinical Effectiveness of Late Maxillary Protraction for Cleft Lip and Palate 93.121 63913293 /PO# 50584240 UO1DE022937 — 4,958

University of Washington:412510130101 Ontology-Based Integration, Visualization, and Exploration of Craniofacial Data 93.121 U01DE024417 U01DE024417 — 43,262 415230110101 The Bisphenol A and Dental Restoration Clinical Study in Children (BPARCS) 93.121 UWSC8448 / BPO6710 1 R01 DE025229-01 — (15) 414050040101 Patient -Centered Outcomes in Infants and Young Children with Cleft Lip and Palate 93.121 UWSC8249/BPO4298 R01 DE024986-01 — 164,254

Subtotal - 93.121 Oral Diseases and Disorders Research 641,817 2,890,900

Family Health International 360:417550030101 Multi-level Outcome Evaluation of the CDC Head Up Concussion Initiative in Youth Sports 93.136 PO16001828A 1 U01CE002642-01 — 46,429

Subtotal - 93.136 Injury Prevention and Control Research and State and CommunityBased Programs — 46,429

University of Washington:417490010101 Northwest Pediatric Environmental Health Specialty Unit 93.161 UWSC8351/BPO10256 U6 ITS000238-01 — 1,654

Subtotal - 93.161 Health Program for Toxic Substances and Disease Registry — 1,654

National Human Genome Research Institute:417670010101 Genomics and Native Communities: Perspectives, Ethics, and Engagement 93.172 1 K01 HG008818-01 — 166,758

Kaiser Foundation;415340110101 Exome Sequencing in Diverse Populations in Colorado and Oregon 93.172 OOS100285-SHC UO1HG007292 — 30,278 415340070401 Clinical Implementation of Carrier Testing using NGS 93.172 OOS100285-SCH UM1 HG007292-04 — 112,397 415340070501 Clinical Implementation of Carrier Testing using NGS 93.172 OOS100285-SCH UM1HG007292-05 — 29,220

Subtotal - 93.172 Human Genome Research — 338,653

National Institute on Deafness and Other Communication Disorders:416290010201 Phenotype and Genomic Characterization of Microtia in the Andean Population 93.173 5 R00 DC011282-04 5 R00 DC011282-04 5,987 131,684

University of Washington:416990010101 Special and Temporal Resolution in Infants with Cochlear Implants 93.173 UWSC7539 MOD 3/BPO2634 K23 DC013055-04 — 14,074

Subtotal - 93.173 Research Related to Deafness and Communication Disorders 5,987 145,758

Centers for Disease Control and Prevention:412620340601 Enhanced Surveillance for New Vaccine Preventable Disease 93.185 U01IP001050 — 145,984

412620340701 Enhanced Surveillance for New Vaccine Preventable Disease 93.185 U01IP001050 $ — 36,881 412620340501 Enhanced Surveillance for New Vaccine Preventable Disease 93.185 U01IP000457 U01IP000457 — 9,306

Subtotal - 93.185 Immunization Research, Demonstration, Public Information andEducation Training and Clinical Skills Improvement Projects — 192,171

33 (Continued)





Agency for Healthcare Research and Quality:415030170101 Pediatric Hospital Care Improvement Project 93.226 U18 HS025291-01 U18 HS025291-01 297,345 516,516 415030170201 Pediatric Hospital Care Improvement Project 93.226 U18HS025291 U18HS025291 — 117 415050040201 Improving Teen Care with HIT 93.226 5R01HS023383-02 R01 HS023383 8,683 10,334 415050040301 Improving Teen Care with HIT 93.226 5 R01HS023383-03 5 R01 HS023383-03 29,211 272,166 415050040401 Improving Teen Care with HIT 93.226 5 R01HS023383-04 5 R01HS023383-04 — 264 417170040101 Tailored Influenza Vaccination Screening and Communication for Hospitalized Children and Families 93.226 K08HS025470 K08HS025470 — 10,124 415030080401 Center of Excellence on Quality of Care Measures for Children with Complex Needs 93.226 5 U18 HS020506-04 5 U18 HS020506-04 (92) (92) 416890020101 Web-based Care Plans for Children with Medical Complexity 93.226 K08 HS24299-01 REVISED K08 HS24299-01 — — 416890020201 Web-Based Care Plans for Children with Medical Complexity 93.226 K08 HS24299-02 K08 HS24299-02 — 145,604

Children's Hospital Cincinnati:413730060201 Reduction of Nephrotoxic Medication-Associated Acute Kidney Injury in Children 93.226 134795/3100468286 5R18HS023763-02 — 10,688 413730060301 Reduction of Nephrotoxic Medication-Associated Acute Kidney Injury in Children 93.226 134795/3100517277 5R18HS023763-03 — 5,260

Columbia University;417170020201 SINC: Synchronized Immunization Notifications 93.226 1(GG011687-02)/PO G11439 5R01HS023582-02 — 19,394 417170020301 SINC: Synchronized Immunization Notifications 93.226 1(GG011687-03)/PO G11439 5R01HS023582-03 — 6,874

University of Vermont:415930050101 Adolenscents with Special Health Care Needs in Patient- Centered Medical Homes: Utilization

and Transition Outcomes in All-Payer Claims Data 93.226 30305 SUB52024 1 R03 HS024575-01 — 2,960 University of Washington:

417100010301 Patients as Safeguards: Understanding the Information Needs of Hospitalized Patients inVoicing Safety Concerns 93.226 UWSC7673/BPO17286 R01 HS022894 — 10,924

Subtotal - 93.226 Research on Healthcare Costs, Quality and Outcomes 335,147 1,011,133

Brigham and Women's Hospital:417210010101 Multi-center Trial of Limiting PGY2&3 Resident Work Hours on Patient Safety - CCC 93.233 108591 5 U01 HL111478-03 REVISED — (5,394) 417210010201 Multi-center Trial of Limiting PGY2&3 Resident Work Hours on Patient Safety - CCC 93.233 TBD U01 HL111478 — (5,882) 417210010301 Multi-center Trial of Limiting PGY2&3 Resident Work Hours on Patient Safety - CCC 93.233 113170 U01HL111478 — 32,962 417210010401 Multi-center Trial of Limiting PGY2&3 Resident Work Hours on Patient Safety - CCC 93.233 113170 MOD 5 U01HL111478-05 — 34,419

Subtotal - 93.233 National Center on Sleep Disorders Research — 56,105

National Institute of Mental Health:414850060101 Mosaic Xlr3 Gene Expression in the Female Embryonic Mouse Brain 93.242 5 R21 MH099628-02 REVISED 5 R21 MH099628-02 REVISED — (1,512) 415380050101 Eyeblink conditioning in school-aged children with ASD 93.242 5 R01 MH100887-04 5 R01 MH100887-04 247,892 554,793 415540052101 New models of lateral habenula function in pathways regulating anxiety and mood 93.242 5 R01 MH093667-05 5 R01 MH093667-05 — 433,457 416780010101 Sequencing Treatments for Mothers with ADHD & Their At-Risk Children: A SMART Pilot 93.242 1 R34 MH099208-01A1 1 R34 MH099208-01A1 — 16,892 417540010101 Protein Interaction Network Analysis to Test the Synaptic Hypothesis of Autism 93.242 5R00MH102244-05 5RMH102244-05 — 156,827 417960010101 Neural Correlates of Biological Motion Perception in Children with ASD 93.242 5K01MH104739-04 K01MH104739 — 210,060

Children's Hospital Cincinnati:416780050101 Neurobehavioral Effects of Abrupt Methyphenidate Discontinuation 93.242 134256 AMD 2 5 R01 MH105425-03 — 180,420

George Washington University:415980040201 Mulimodal Developmental Neurogenetics of Femails with ASD 93.242 16-M110; PO1000213297 7R01MH100028-05REVISED — 284,121

OWL Insights:418060030101 Leveraging Health Information Technology to Improve School-Based Mental Health 93.242 0001.SCRI 1R41MH112230-01A1 — 3,226

University of Colorado Boulder:416530050101 Sleep and the Neural Basis of Emotion Processing in Childhood 93.242 1000726296 RMH110765A — 18,429

University of South Carolina:417960050101 Emergence, Stability, and Predictors of Anxiety in Fragile X Syndrome 93.242 17-3231 1R01MH107573-01A1 — 8,497

University of Washington:417180010101 A Screen-Refer-Treat (SRT) Model to Promote Earlier Access to ASD Intervention 93.242 UWSC7837/BPO2135 1 R01 MH104302-04 — 62,374

34 (Continued)





Yale University:415980030201 1/5-The Autism Biomarkers Consortium for Clinical Trails (DAAC) 93.242 M16A12227 (A10703) 5U19MH108206-02 $ — 406,654 415980030301 1/5-The Autism Biomarkers Consortium for Clinical Trails (DAAC) 93.242 GR100250(CON-80000782) 5U19MH108206-03 — 139,870 417960030101 A Multimedia Screening System for Early ASD Identification in Diverse Populations 93.242 M17A12550 (A10276) R21MH103550 — 11,665

Subtotal - 93.242 Mental Health Research Grants 247,892 2,485,773

Northwest Portland Area Indian Health Board:416610100101 Northwest Portland Area Indian Health Board Contract 93.243 PO 27065 118-00-16 — 74,082

Subtotal - 93.243 Substance Abuse and Mental Health Services Projects of Regional andNational Significance — 74,082

National Institute on Alcohol Abuse and Alcoholism:415050060101 Web-Supported Adolescent Motivational Enhancement to Reduce Alcohol Use 93.273 5R21AA023050-02 REVISED 5R21AA023050-02 REVISED 11,176 119,495 416610090101 SM BASICS: Development and Testing of a Social Media Enhanced Intervention 93.273 1R34AA025159-01 1R34AA025159-01 30,632 157,604

University of Rochester:414230080101 Development and Evaluation of an Evidence-Based Mobile Health Intervention for FASD 93.273 417074 1U01AA026104-01 — 5,323

Subtotal - 93.273 Alcohol Research Programs 41,808 282,422

National Institute on Drug Abuse:415540060101 Functional studies of the medial habenula in models of reward and mood disorders 93.279 5R01 DA035838-04 REVISED R01DA035838 — 344,531 416160040101 Development of novel viral vector tools for pathway specific targeting of CreTTC 93.279 5 R21 DA036343-02 R21 DA036343 — (2,355) 416160050101 Role of specific cortico-basal ganglia pathways in animal models of addiction 93.279 5 R01 DA036582-04 REVISED 5 R01 DA036582-04 REVISED — 325,668 416160052201 Role of specific cortico-basal ganglia pathways in animal models of addiction 93.279 3 R01 DA036582-02S1 3 R01 DA036582-02S1 — 55,591 416610010101 Using media to explore mechanisms of behavior change among college students 93.279 5 R01 DA031580-06 5R01 DA031580-06 — 738

Fred Hutchinson Cancer Research Center:412660620101 Defining Critical Events in Early HIV Infection: Effects of Alcohol and Early ART 93.279 895624 R01DA040532 — 4,481 412660620201 Modulating the Impact of Critical Events in Early HIV Infection: Effect of Early ART Initiation

and Alcohol Use 93.279 895624 5R01DA040532 — 1,466 Oregon Research Institute;

416310030101 Evaluating an Online parenting Support System Disseminated by Pediatric Practices 93.279 2 R01 DA021307 SUB MOD 3 2 R01 DA021307 — 116,809 University of Michigan:

416160060101 Dynamic control of cue-driven behavior via the paraventricular thalamic nucleus 93.279 3003460500 1 R01 DA038599-01A1 — 28,205 Washington University:

416610040101 Implications of Social Media Content and Engagement for Alcohol and Marijuana Use 93.279 WU-15-125 MOD2/2922586Y 5 R01 DA039455-02 — 14,851

Subtotal - 93.279 Drug Abuse and Addiction Research Programs — 889,985

University of Washington:417790010101 Digital LAMP as a Point of Care Assay for HPV Detection 93.286 UWSC9003 / BPO14938 1 R01 EB021150-02 — 93,332

Subtotal - 93.286 Discovery and Applied Research for Technological Innovations toImprove Human Health — 93,332

National Institute on Minority Health and Health Disparities:417300020101 Text2Breathe: Enhance Parent Communication to Reduce Pediatric Asthma Disparities 93.307 5 R01 MD007740-04 REVISED 5 R01 MD007740-04 REVISED 116,079 390,465

Subtotal - 93.307 Minority Health and Health Disparities Research 116,079 390,465

New York University:415230130101 NYU Pediatric Obesity, Metabolism and Kidney Cohort Center 93.310 M170017730 1UG3OD023305-01 — 60,067

University of Washington:415230120101 Prenatal and Early Childhood Pathways to Health: An Integrated Model of Chemical and Social

Exposures, Biological Mechanisms, and Sex-Specific Effects on Neurodevelopment andRespiratory Outcomes 93.310 UWSC9403/BPO18361 1UG3OD023271-01 — 135,425

Subtotal - 93.310 Trans-NIH Research Support — 195,492

Centers for Disease Control and Prevention:413810070301 Comp B-Seattle Children's Care and Outcomes Registry for Spina Bifida 93.315 5 U01 DD001065-04 — 66,576 413810070401 Comp B-Seattle Children's Care and Outcomes Registry for Spina Bifida 93.315 5 U01 DD001065-03 — 3,311

413810080401 Comp C-Eval of Best Urologic Management for Newborns with SB 93.315 5 U01 DD001064-04 $ — 982 413810070201 Comp B-Seattle Children's Care and Outcomes Registry for Spina Bifida 93.315 5 U01 DD001065-02 5 U01 DD001065-02 — (3)

35 (Continued)





413810080201 Comp C-Eval of Best Urologic Management for Newborns with SB 93.315 5 U01 DD001064-02 5 U01 DD001064-02 — (1) 413810080301 Comp C-Eval of Best Urologic Management for Newborns with SB 93.315 5 U01 DD001064-03 5 U01 DD001064-03 — 14,688

Subtotal - 93.315 Rare Disorders: Research, Surveillance, Health Promotion, and Education — 85,553

University of Washington:415260010901 Institutional Clinical and Translational Science Award 93.350 UWSC6690/BPO8024 5 UL1 TR000423 — 20 415260011001 Institutional Clinical and Translational Science Award 93.350 UWSC6690/BPO16205 4UL1TR000423-10 — 533,558 415260011901 Instutional Clinical & Translational Science Award (CTSA) Y9 93.350 UWSC6690/BPO8024 UL1 TR000423 — — 415260012001 Instutional Clinical & Translational Science Award (CTSA)Y10 93.350 UWSC6690/BPO16205 4UL1TR000423-10 — 359,406 415260131101 ITHS Institutional Clinical and Translational Science Award U54 93.350 UWSC9804/BPO23735 UL1TR002319-01 — 523,407 416370130101 Institute of Translational Health Sciences (ITHS) 93.350 UWSC9795/BPO23923 1KL2TR002317-01 — 31,912

Subtotal - 93.350 National Center for Advancing Translational Sciences — 1,448,303

Office of the Director, National Institutes of Health:415760080101 New transgenic tools for mammalian fibrosis and regenerative repair research 93.351 1R21OD023838 — 41,837 414110040201 Engaging Families to Enhance Science Learning and Interest in STEM Careers 93.351 4 R25 OD010499-05 4 R25 OD010499-05 — 138,010

Subtotal - 93.351 Research Infrastructure Programs — 179,847

Children's Hospital of Philadelphia:412770050101 Pediatric Palliative Care Research Network Share Project 93.361 R01NR016223 R01NR016223 — 24,628 412770050201 Pediatric Palliative Care Research Network Share Project 93.361 R01NR016223 R01NR016223 — 26,107

Subtotal - 93.361 Nursing Research — 50,735

National Cancer Institute:414470190101 Structural & Programmatic Effects of Bus Rapid Transit on Physical Activity 93.393 5 R01 CA178343-04 5 R01 CA178343-04 124,622 361,014 415080030101 HPV E6 and NFX1-123 in Gene Regulation, Differentiation and Cancer 93.393 5 R01 CA172742-02 R01 CA172742-02 — 371,678

Subtotal - 93.393 Cancer Cause and Prevention Research 124,622 732,692

National Cancer Institute:416610070101 Adolescent Tanning and Social Media 93.394 5 R03 CA201953-02 REVISED 5 R03 CA201953-02 REVISED — 58,856 416730020201 Evaluation of a Walking School Bus Program: A Cluster Randomized Controlled Trial 93.394 4 R01 CA163146-05 4 R01 CA163146-05 65,703 375,419 415360080101 Preschoolers Learning & Active in Play (PLAY) 93.394 1R21CA218592-01 — 17,644

Childrens's Hospital Los Angeles:413310330101 Molecular Diagnostics for Risk Stratification and Monitoring in Neuroblastoma 93.394 P2014-0041 1 R01 CA182633-01 — 6,807

Subtotal - 93.394 Cancer Detection and Diagnosis Research 65,703 458,726

National Cancer Institute:413910160101 Impact of Chlorhexidine Bathing on Reducing Infections in Children with Cancer 93.395 1 R01 CA163394-03 1 R01 CA163394-03 — (2,218) 413910160201 Impact of Chlorhexidine Bathing on Reducing Infections in Children with Cancer 93.395 5 R01 CA163394-05 R01 CA163394 14,123 389,190 415570060101 Testicular effects of modern chemotherapy regimens in osteosarcoma survivors 93.395 5 R01 CA175216-02 5 R01 CA175216-02 130,105 329,199 416470040101 Mechanisms mediating resistance to ibrutinib in Non-Hodgkin's Lymphoma - BENCH 93.395 1R01CA201135-01A1 2,006 293,906 416470048001 Mechanisms mediating resistance to ibrutinib in Non-Hodgkin's Lymphoma (Clinical portion) 93.395 1R01CA201135-01A1 — 7,305 412660640101 HIV Integration-Mediated Modulation of Immune Regulation in HPV-Associated Cancers 93.395 R01CA206466-02 R01CA206466-02 316,220 465,858

Childrens's Hospital Los Angeles:413310030101 NANT Protocol 2012-01 Phase I Study of Difluoromethylornithine and Celecoxib with

Cyclophosphamide/ Topetecan for Patients with Relapsed or Refractory Neuroblastoma 93.395 CA81403 2 P01 CA081403-11 — 1,271 413310030201 NANT 2011-01 Randomized Phase II Study of 1311 MBG vs 1311 MBG with Vincristine

and Irinotecan vs. 1311 MBG with Vorinostat for Resistant Relapsed Neuroblastoma 93.395 NANT 2011-01 1R01CA172067-01 — (16,473) Children's Hospital of Philadelphia:

416370100101 Scientific Leadership: COG NCORP Research Base 93.395 961907 RSUB — (1,337) 412760500101 STUDY CHAIR: NIH National Clinical Trials Network (NCTN) Grant (U10CA180886) successor to

NIH COG Chair Grant (U10CA098543) 93.395 FP00015221_SUB461_01 U10 CA180886 — 8,582 412760510301 Scientific Leadership: NIH National Clinical Trials Network Grant successor to NIH COG

Chair Grant 93.395 962162-RSUB/9500080217-XX MOD2 U10CA180886 — 18,843

412760520101 COG ChOutcomes 93.395 9500080215-13C U01 CA180886 $ — 54,472 412760530101 COG Chair PCR Work order Per Case Reimbursement NIH NCTN Grant (U10CA180886)

Successor to NIH COG Chair Grant (U10CA098543) 93.395 9500080215-12C U10 CA180886 — 260,746 412760580101 Per Case Reimbursement: COG NCORP Research Base 93.395 WO: FP00017458_SUB67_01 1 UG1 CA189955-01 — 18,427

36 (Continued)





412760650101 COG Per Case Reimbursement NIH NCTN BIQSFT Grant U10CA180886-02S7 93.395 95000080216-S7XX U10 CA180866-02S7 — 134 412760740101 Committee Leadership: NIH National Clinical Trials Network (NCTN) Grant (U10CA180886) 93.395 FP00015221_SUB744 U10CA180886 — 53,565 413310240501 Scientific Leadership: NIH National Clinical Trials Network Grant 93.395 U10CA180886 U10CA180886 — 22,609 413310240601 Scientific Leadership: NIH National Clinical Trials Network Grant 93.395 U10CA180886 U10CA180886 — 24,829 413310260101 Institutional Support: NIH COG Phase 1 Grant (UM1CA097452) 93.395 UM1 CA097452 UM1 CA097452 — 31,620 413310270101 COG-ADVL 0912, A Phase 1/2 Study of PF-02341066, an Oral Small Molecule Inhibitor of

Anaplastic Lymphoma Kinase (ALK) and c-MET, in Children with Relapsed/Refractory SolidTumors and Anaplastic Large Cell Lymphoma 93.395 UM1 CA097452 UM1 CA097452 — 39,904

413570130101 CHOP, COG Work Order: Dignostic Imaging Review: NIH (NCTN) Grant (U10CA180886)successor to NIH COG Chair Grant (U10CA098543) 93.395 WO: FP00015221_SUB495_01 U10 CA180886 — 3,239

415290050101 Dignostic Imaging Review: NIH COG Chair Grant 93.395 U10CA098543 U10 CA180886 — 3,259 417330040101 Study Chair: NIH National Clinical Trials Network (NCTN) Grant Successor to NIH COG

Chair Grant 93.395 FP15221_SUB555_01 U01 CA180886 — — 417330040201 Study Chair: NIH National Clinical Trials Network (NCTN) Grant Successor to NIH COG

Chair Grant 93.395 FP15221_SUB555_01 5U01 CA180886-03 — 5,821 417330120101 Committee Leadership: NIH National Clinical Trials Network (NCTN) Grant (U10CA180886) 93.395 FP00015221_SUB743_01 U10CA180886 — 8,683 415870290101 Committee Leadership: NIH National Clinical Trials Network (NCTN) Grant (U10CA180886) 93.395 FP15221_SUB12_01 U10CA180886 — 3,704 415910040101 Committee Leadership: NIH National Clinical Trials Network (NCTN) Grant (U10CA180886) 93.395 UCA180886A 5U10CA180886-03 — 1,348

Fred Hutchinson Cancer Research Center:415890140101 Targeted therapy of B cell malignancies with CAR-T cells of definced composition 93.395 814756 2 R01 CA136551-06A1 — (410) 415890140201 Targeted therapy of B cell malignancies with CAR-T cells of definced composition 93.395 843937 R01 CA136551 — (20,036) 415890140301 Targeted therapy of B cell malignancies with CAR-T cells of definced composition 93.395 891329 5 R01 CA136551-08 — 250,492 416720090101 Hematopoietic Chimerism after Stem Cell Allografts 93.395 815601 2P01CA078902-16 — (245)

Subtotal - 93.395 Cancer Treatment Research 462,454 2,256,287

National Institutes of Health Clinical Center:416520010101 NK Cell-Myeloid Cell Crosstalk in Patients with Cancer 93.396 5 R00 CA151412-05 5 R00 CA151412-05 — 1,150 417420030101 Regulaton of Tumor Metastsis by E-Cadherin Activation and Hippo Signaling 93.396 1R01CA207115-01 R01CA207115 — 444,680

Subtotal - 93.396 Cancer Biology Research — 445,830

City of Hope:415890110201 City of Hope Lymphoma SPORE 93.397 51430.1916790.669301 5 P50 CA107399-09 — (3,068) 415890110301 City of Hope Lymphoma SPORE 93.397 51430.1916790.669301 5P50CA107399-10 — (2,916)

Fred Hutchinson Cancer Research Center:415890150301 Cancer Center Support Grant (Comprehensive) 93.397 894472 5P30CA015704-42 — 30,302 412760230801 Cancer Consortium Clinical Protocol and Data Management 93.397 P30CA015704 P30CA015704 — 9,491 412760230901 Cancer Consortium Clinical Protocol and Data Management 93.397 P30CA015704 P30CA015704 — 16,042 415870180101 Cancer Clinical Investigator Team Leadership Award FY16 93.397 870222 P30 CA015704 — 15,606 415870180201 Cancer Clinical Investigator Team Leadership Award 93.397 900344 5P30CA015704-42 — 38,497 415890150101 FH/UW of Regional and National Significance 93.397 826910 MOD 1 2 P30 CA015704-40 — (1,058) 415890150201 FH/UW Cancer Consortium Leadership and Administration 93.397 857275 2P30CA015704-41 — 9,682 416730030201 FH/UW Cancer Consortium Staff Investigator- Jason Mendoza 93.397 857369 P30CA015704 — 12,875 416730030301 FH/UW Cancer Consortium Staff Investigator- Jason Mendoza 93.397 893895 P30CA015704 — 26,105 417360020101 Harnessing CD2 Costimulatory Signals to Abrogate CD8 T Cell Exhaustion 93.397 877138 5P30CA015704-41 — 29,037 417360020201 Harnessing CD2 Costimulatory Signals to Abrogate CD8 T Cell Exhaustion 93.397 900217 5P30CA015704-42 — 70,464

Subtotal - 93.397 Cancer Centers Support Grants — 251,059

National Cancer Institute:417580010101 Regulation of glioma stem cell malignancy by neural activity in the tumor niche 93.398 1 F32 CA199717-01 1 F32 CA199717-01 — (643) 417580010201 Regulation of glioma stem cell malignancy by neural activity in the tumor niche 93.398 5F32CA199717-02 5F32CA199717-02 — 42,611

Fred Hutchinson Cancer Research Center:

37 (Continued)





417640020101 The Contribution of IL-17 Producing Cells to Acute Graft-Versus-Host Disease:A Systems Approach 93.398 891081 2K12CA076930-16A1 $ — 135,553

Subtotal - 93.398 Cancer Research Manpower — 177,521

Centers for Disease Control and Prevention:412620341601 Enhanced Surveillance for New Vaccine Preventable Disease 93.533 U01IP001050 — 650,329 412620341501 Enhanced Surveillance for New Vaccine Preventable Disease 93.533 U01IP000457 U01IP000457 — 22,304 412620342501 Enhanced Surveillance for New Vaccine Preventable Disease 93.533 U01IP000457 U01IP000457 — 124,731

Subtotal - 93.533 Prevention and Public Health Fund (Affordable Care Act): EnhancedSurveillance for New Vaccine Preventable Disease — 797,364

Office of the Director, National Institutes of Health:414110060101 Mobile Laboratory Coalition (MLC) Annual Meeting 93.651 5 R13 OD021977-02 1 R13 OD021977-01 — 16,388

Subtotal - 93.651 Transforming Clinical Practice Initiative (TCPI) – Support and AlignmentNetwork (SAN) 2.0 — 16,388

National Heart, Lung, and Blood Institute:416870010301 Involvement of glia in sighs generation 93.837 5 F32 HL121939-03 5 F32 HL121939-03 — 16,687 412540180101 Dysregulated Airway Epithelial Signaling as a Driver of Airway Remodeling in Asthmatic Children 93.837 R56HL128361 R56HL128361 15,991 (14,681) 413110120101 Direct in vivo bone marrow transfer of lentiviral vector to correct hemophilia A 93.837 1 R56 HL123326-01 — (10,777) 414260040101 Mosaic: Post-Zygotic Mutations in Vascular and Lymphatic Development Disorders 93.837 1 R01 HL130996-01A1 — 41,031 415360060201 Study of Preschoolers' Outdoor Time and Physical Activity at Child Care 93.837 4K23HL112950-04 4K23HL112950-04 — 185,390 415490030101 Metabolic regulation of O-GlcNAc and cardiac function during hypertrophy 93.837 5 R01 HL122546-02 5 R01 HL122546-02 63,598 601,934 415530030101 Resident Progenitor Cells in the Adventitia 93.837 5 R01 HL123650 HL123650 123,479 659,244 415770110101 Mosaic: Post-Zygotic Mutations in Vascular and Lymphatic Development Disorders 93.837 1 R01 HL130996 251,069 597,647 416600050101 Parent Risk Communication 93.837 K01 HL130413 K01 HL130413 — 140,635 417090010101 Regulation Mechanisms of Thyroid Hormone Receptors in the Heart 93.837 K01 HL120886-04 K01 HL120886-04 — 159,814 417850010101 A prospective trial of oral azithromycin when added to inhaled tobramycin in CF 93.837 7R01HL124053-02 7R01HL124053-02 147,538 529,353

Children's Hospital Cincinnati:414250120101 National Biological Sample and Data Repository for PAH 93.837 109363 AMEND 5 5 R24 HL105333-05 — 4,190

Children's Hospital Philadelphia:413920130101 Impact of Hypothermia on Midazolam and Morphine Pharmacokinetics 93.837 FP11498_A1_17_07/ 961811-RSUB R01 HL112745 — 333

Fred Hutchinson Cancer Research Center:416720110101 Next Generation HSC Gene Therapy for HIV Control and Eradication. Project 1: Defining HIV

sanctuary sites during autologous and allogeneic transplantation 93.837 856840 U19HL129902 — (7,234) 416720110201 Next Generation HSC Gene Therapy for HIV Control and Eradication Project 1: Defining HIV

Sanctuary Sites During Autologous and Allogenic Transplantation 93.837 875991 U19HL129902 — 333,177 National Jewish Health:

415710180101 Prospective trial of oral azithromycin when added to inhaled tobramycin in CF 93.837 2020101501 1 R01 HL124053-01A1 — (501) New England Research Institutes:

417510020101 Fontan Udenafil Exercise Longitudinal Assessment Trial 93.837 U10 HL068270 — 74,469 417510030101 A Phase III Safety Extension Study of Udenafil in Adolescent with Single Ventricle Physiology

after Fontan Palliation (FUEL extension) 93.837 PHN FUEL OLE 01/FEB/2017 U10HL068270 — 19,416 Northwestern University:

415710240201 Pseudomonas Genomic Signatures Associated with Persistence in Cystic Fibrosis 93.837 60041342 SCH/PUR1095909 5R21HL129930-02 — 37,862 University of California, San Diego:

414470200101 CRIME-PA: CRIme Measures Evaluations for Physical Activity 93.837 50027213-002/S9000583 5 R01 HL117884-02 — 31,560 University of Kentucky:

415530060101 Adventital-medial interactions in thoracic aortic diseases 93.837 3200000617-17-010/7800003422 1R01HL133723-01 — 65,250 University of North Carolina:

413450051201 Genetic Disorders of Mucociliary Clearance 93.837 5050198 MOD 1 U54 HL096458-12 — (4,511) 413450051301 Genetic Disorders of Mucociliary Clearance 93.837 5050198 MOD 2 U54 HL096458-13 — 10,393

University of Colorado Denver:415530040101 Reprogramming of mature smooth muscle cells to vascular progenitor cells 93.837 FY16.731.001 AMD2 R01 HL121877-03 — 120,419

University of Michigan:413920105101 Therapeutic Hypothermia after Pediatric Cardiac Arrest (THAPCA) Trials- Scientific Application 93.837 3001621716 U01 HL094345 — 460

University of Washington:415710130301 Proof of Principal Evaluation of IV Gallium Nitrate (Ganite) in Patients with Cystic Fibrosis $

38 (Continued)





(IGNITE) 93.837 BPO16347/UWSC7473 UM1HL119073 579,278 1,501,960 415710138001 Proof of Principal Evaluation of IV Gallium Nitrate (Ganite) in Patients with Cystic Fibrosis

(IGNITE) 93.837 757468 1 UM1 HL119073-01 54,272 67,437 418090010101 Benign Hematology and Transfusion Medicine Clinical Research Career Development Program 93.837 UWSC9513/BPO21302 4K12HL087165-10 — 106,485

Subtotal - 93.837 Cardiovascular Diseases Research 1,235,225 5,267,442

National Heart, Lung, and Blood Institute:417850010201 A prospective trial of oral azithromycin when added to inhaled tobramycin in CF 93.838 R01HL124053 R01HL124053 — 99,969 417930010101 The role of Dbx1-derived medullary neurons for rhythm generation in the intact

respiratory network 93.838 F32HL134207 F32HL134207 — 49,797 417930010201 The role of Dbx1-derived medullary neurons for rhythm generation in the intact

respiratory network 93.838 F32HL134207 F32HL134207 — 6,304 412540190101 Dysregulated Airway Epithelial Signaling as a Driver of Airway Remodeling in Asthmatic Children 93.838 R56HL128361 R56HL128361 77,337 390,398 413391870301 OPTIMIZing Treatment for Early Pseudomonas Aeruginosa infection in Cystic Fibrosis: The

OPTIMIZE Multicenter Randomized Trial - Clinical Conditioning Center 93.838 5 U01 HL114623-03 5 U01 HL114623-03 2,614 2,635 413391870401 OPTIMIZing Treatment for Early Pseudomonas Aeruginosa Infection in Cystic Fibrosis: The

OPTIMIZE Multicenter Randomized Trial - Clinical Coordinating Center 93.838 4U01 HL114623-04 4U01 HL114623-04 619,078 1,123,909 413391870501 OPTIMIZE - CCC- Lead Application 93.838 5U01HL114623-05 5U01HL114623-05 18,761 114,415 413391878001 OPTIMIZing Treatment for Early Pseudomonas Aeruginosa Infection in Cystic Fibrosis: The OPTIMIZE

Multicenter Randomized Trial - Clinical Coordinating Center 93.838 1 U01 HL114623-01A1 U01 HL114623 179,996 179,656 415030110101 Pediatric Respiratory Illness Inpatient Measurement System (PRIMES) Study 93.838 5 R01 HL121067-02 5 R01 HL121067-02 355,904 698,374 415330070101 Unraveling respiratory rhythm generation in the medullary network 93.838 1 R01 HL126523-01 1 R01 HL126523-01 — 720,467 415640030101 Development of a Vaccine for Viral Exacerbation of Asthma 93.838 5 R01 HL111589-04 REV 5 R01 HL111589-04 REV — (1,352) 415640030201 Development of a Vaccine for Viral Exacerbation of Asthma **G to P** 93.838 5 R01 HL111589-05 5 R01 HL111589-05 — 239,375 415710090301 OPTIMIZE - DCC 93.838 5 U01 HL114589-03 5 U01 HL114589-03 — (21,958) 415710090401 OPTIMIZE - DCC 93.838 5U01HL114589-04 4U01HL114589-04 — 536,732 415710090501 OPTIMIZE - DCC 93.838 5U01HL114589-05 4U01HL114589-05 — 167,012 416420050101 Airway epithelial regulation of fibroblast hyaluronan and versican production in

asthmatic airway inflammation 93.838 K08HL135266-01 K08HL135266-01 13,408 416510030101 Genetic analysis of an asthma-related trait in mice 93.838 5 R01 HL105849-03 5 R01 HL105849-03 — (10,041) 415260068001 OPTIMIZing Treatment for Early Pseudomonas Aeruginosa Infection in Cystic Fibrosis: The

OPTIMIZE Multicenter Randomized Trial - Clinical Coordinating Center 93.838 1 U01 HL114623-01A1 U01 HL114623 — 30,442 University of Chicago:

415330040501 Integrative Consequences of Hypoxia 93.838 FP037781-A MOD 4 P01 HL090554-10 — 196,017 University of Rochester:

415740040301 Biorepository for Investigation of Neonatal Diseases of Lung-Normal 93.838 416651G MOD 2 U01 HL122700 — 46,590 415740040401 Biorepository for Investigation of Neonatal Diseases of Lung-Normal 93.838 417058G U01 HL122700 — 28,881

Subtotal - 93.838 Lung Diseases Research 1,253,690 4,611,030

National Heart, Lung, and Blood Institute:413110130101 Development of clinically feasible Ultrasound-mediated gene therapy for hemophilia 93.839 5 R01 HL128139-03 5 R01 HL128139-03 75,710 435,785 413110150101 Direct in vivo bone marrow transfer of lentiviral vector to correct hemophilia A 93.839 5 R01 HL123326-02 5 R01 HL123326-02 — 506,386 416060020101 Critical role of chymase in the regulation of inflammation and survival in sepsis 93.839 5 R01 HL113351-04 5 R01 HL113351-04 — (23,211) 416060020201 Critical role of chymase in the regulation of inflammation and survival in sepsis 93.839 4 R01 HL113351-05 4 R01 HL113351-05 4,998 367,925 416470010101 In Vivo Role of Btk-mediated Inhibition of Wnt/B-catenin Signaling During Hematopoiesis 93.839 5 R00 HL103768-05 5 R00 HL103768-05 — 1,601 416720020101 Novel Biologic Therapies for BMT: Mechanistic Evaluation in Rhesus Macaques 93.839 7 R01 HL095791-05 7 R01 HL095791-05 — (5,615) 416720150101 Novel Biologic Therapies for BMT: Mechanistic Evaluation in Rhesus Macaques 93.839 2 R01 HL095791-06 2 R01 HL095791-06 130,787 658,337 413110160101 Intraosseous delivery of lentiviral vectors for hemophilia A gene therapy 93.839 1R01HL134321-01 1R01HL134321-01 104,575 682,453

Fred Hutchinson Cancer Research Center:413410430101 Core A: Immune Function Studies 93.839 843677 1 P01 HL122173-01A1 — (2,558) 413410430201 Cell and Gene Therapy for Nonmalignant Blood Disorders: Core A: Immune Function Studies 93.839 878500 5P01HL122173-02 — 89,894 413540250101 Novel Gene Editing Approaches for Hemoglobinopathies 93.839 893498 1R01HL136135-01 — 187,959

39 (Continued)





Washington University:413920140101 Age of Blood in Children in Pediatric Intensive Care Units 93.839 WU-14-105 MOD1 5 U01 HL116383-02 $ — 2,979

Subtotal - 93.839 Blood Diseases and Resources Research 316,070 2,901,935

National Institute of Arthritis and Musculoskeletal and Skin Diseases:416450020101 Regulation of muscle fiber type and resistance to muscular dystrophy 93.846 1 R03 AR065760-01 1 R03 AR065760-01 — 71,259 416450030101 Using the dmd zebrafish animal model for identifying drug combination therapies and biomarkers 93.846 1 R21 AR068536-01 1 R21 AR068536-01 — 224,222

Duke Clinical Research Institute:415280220101 Comparison of Methotrexate and Biologics in JIA (COMPARE-JIA 93.846 203-8307 U34AR066294 — 74,599

State University of New York, Buffalo:413820425101 Microarray - Based Biomarkers in Juvenile Idiopathic Arthritis 93.846 R839741, MOD 1 7 R01 AR060604-04 — (185)

University of North Carolina:415280210101 Enhancing Clinical Meaningfulness and Usefulness of PROMIS Pediatric Measures Via Validation

in Children and Adolescent with Rheumatic Disease, or Inflammatory Bowel Disease 93.846 5103368MOD3 U19 AR069522 — 27,646 University of Washington:

413570110301 Sean Paul D. Wellstone Muscular Dystrophy Cooperative Research Center: Seattle 93.846 UWSC9711/BPO22430 5U54AR065139-03 — 56,109 413570110401 Sean Paul D. Wellstone Muscular Dystrophy Cooperative Research Center: Seattle 93.846 UWSC9711 MOD1/BPO23012 U54AR065139 — 42,685

Subtotal - 93.846 Arthritis, Musculoskeletal and Skin Diseases Research — 496,335

National Institute of Diabetes and Digestive and Kidney Diseases:412380470501 Translational Research Center to Expedite Novel Therapies in Cystic Fibrosis 93.847 P30DK089507 P30DK089507 — (836) 412380470601 Translational Research Center to Expedite Novel Therapies in Cystic Fibrosis 93.847 P30DK089507 P30DK089507 — (1,288) 412820130101 Recombinant Erythropoietin for Protection of Infant Renal Disease 93.847 R01DK103608 R01DK103608 445,251 605,670 412820131101 Recombinant Erythropoietin for Protection of Infant Renal Disease 93.847 R01DK103608 R01DK103608 — 45,879 413190250301 Continuation of the Childhood Liver Disease Research and Education Network Clinical Center in Seattle 93.847 5U01DK084575-08 5U01DK084575-08 — 192,060 413190250302 Continuation of the Childhood Liver Disease Research and Education Network Clinical Center in Seattle 93.847 5U01DK084575-08 5U01DK084575-08 — 1,871 413190250401 Continuation of the Childhood Liver Disease Research and Education Network Clinical Center in Seattle 93.847 5U01DK084575-09 5U01DK084575-09 — 80,166 413190250402 Continuation of the Childhood Liver Disease Research and Education Network Clinical Center in Seattle 93.847 5U01DK084575-09 5U01DK084575-09 — 1,343 413391740101 Baby Observational and Nutritional Study of Cystic Fibrosis 93.847 1 R01 DK095738-03 R01 DK095738-03 — 53,181 413410450101 An Integrated Strategy to Define the Functional and Synergistic Impact of T1D Causal Variants 93.847 1DP3DK111802-01 1DP3DK111802-01 112,890 723,876 413650100101 Subclinical Viral Infection and Renal Allograft Injury 93.847 5 R01 DK088914-05 5 R01 DK088914-05 83,326 224,963 414470230101 Parents as peer interventionists in treatment for pediatric weight management 93.847 1 R01 DK104863-01A1 1 R01 DK104863-01A1 78,491 731,681 414770090101 Brain systems and behaviors underlying response to obesity treatment in children 93.847 5R01 DK098466-03 5R01 DK098466-03 172,026 536,495 414770100101 Glucagon-like peptide-1 agonist effects on energy balance in hypothalamic obesity 93.847 5R01DK104936-03 5R01DK104936-03 233,039 500,177 415260030701 Translational Research Center to Expedite Novel Therapies in Cystic Fibrosis 93.847 5 P30 DK089507-07 5 P30 DK089507-07 979,362 1,050,437 415260030801 Translational Research Center to Expedite Novel Therapies in Cystic Fibrosis 93.847 5 P30 DK089507-08 5 P30 DK089507-08 — 30,322 415260037101 Translational Research Center to Expedite Novel Therapies in Cystic Fibrosis 93.847 5 P30 DK089507-07 5 P30 DK089507-07 — 81,385 415260038101 Translational Research Center to Expedite Novel Therapies in Cystic Fibrosis 93.847 5P30DK089507-08 — 34,400 417120470701 Translational Research Center to Expedite Novel Therapies in Cystic Fibrosis 93.847 5 P30 DK089507-07 P30 DK089507 — 43,370 417120470801 Translational Research Center to Expedite Novel Therapies in Cystic Fibrosis 93.847 5P30DK089507-08 5P30 DK089507-08 — 20,908

Arbor Research Collaborative for Health:413190330101 Childhood Liver Disease Research Network (ChildReN) FibroScan in Pediatric Cholestatic Liver

Disease (FORCE) 93.847 3 U01 DK062456 — 2,601 Baylor University:

416730050101 Developmental and Validation of an Automated Measurement of Child ScreenMedia Use: FLASH 93.847 7000000349 1 R01 DK113269-01 — 8,703

Benaroya Research Institute at Virginia Mason:413410300301 Defining the functional impact of T1D genes in mouse and man: a unified strategy 93.847 FY15105801 1 DP3 DK097672-01 — (8,257) 413410340101 Defining the Functional Impact of T1D Genes in Mouse and Man - A Unified Study 93.847 FY13115801 3 DP3 DK097672-OS1 — (1,213)

Brigham and Women's Hospital:416510040401 Mutant mapping and identification in zebrafish by next generation sequencing 93.847 108586 MOD 4 R01 DK095721-04 — (3,909)

Children's Mercy Kansas City:414740040101 Chronic Renal Insufficiency in NAPRTCS Patients 93.847 13-0019 2 U01 DK066143-11 — 45,133

John Hopkins University:413190190601 Immunologic and Virologic Correlates of the Age-Related Decrease in HBV DNA in Children 93.847 U01DK082916 U01DK082916 — 96,753 413190190701 Immunologic and Virologic Correlates of the Age-Related Decrease in HBV DNA in Children 93.847 U01DK082916 U01DK082916 — 37,801

413190191601 Immunologic and Virologic Correlates of the Age-Related Decrease in HBV DNA in Children 93.847 U01DK082916 U01DK082916 $ — 920 413190191701 Immunologic and Virologic Correlates of the Age-Related Decrease in HBV DNA in Children 93.847 U01DK082916 U01DK082916 — 34

40 (Continued)





Kaiser Permanente:414470210101 Health and Economic Effects of Light Rail Lines: Two Natural Experiments 93.847 OOS100313-SCH R01 DK103385 — 9,515 414470210201 Health and Economic Effects of Light Rail Lines: A Natural Experiment 93.847 OOS100313-SCH R01 DK103385 — 4,871

Mayo Clinic:415830140101 The Exocrine and Endocrine Pancreas in Type 2 Diabetes, Pancreatitis and Cancer 93.847 SEA-229500 5U01DK108288-02REVISED — 17,263

McGill University Health Center Research Institute:413650160101 Teen Adherence in Kidney Transplant Improving Tracking to Optimize Outcomes 93.847 R01DK110737/PO CC394 R01DK110737/PO CC394 — 34,571

Swedish Hospital:413190290301 Clinical Research Network on Non-Alcoholic Steatohepatis 93.847 610038 A.03 5 U01DK061728-16 — 8,144

Syracuse University:414770060101 Testing Oral Delivery of the Appetite Suppressing Peptide PYY3-36 Through the Vitamin B12

Uptake Pathway in Rats 93.847 26632-03474-S01 1 R15 DK097675-01A1 — (1,118) University of Iowa:

416630020201 Consortium for the Study of Chronic Pancreatitis, Diabetes and Pancreatic Cancer: Coordinatingand Data Management Center (CSCPDPC-CDMA) 93.847 W000936996?PO 1001814336 3U01DK108328-02S1 — 6,887

University of North Carolina:413340250101 SEARCH Nutrition Ancillary Study 2 93.847 5034498 2R01DK077949-06 2,683 10,872

University of Michigan:413190230201 The Evaluation of the Intestinal Bile Acid Transport (1BAT) Inhibitor LUM001 in the Reduction of

Pruritus in Alagille Syndrome, A Cholestatic Liver Disease 93.847 U01DK062456 U01DK062456 — (1,798) 412820140101 Nephrotic Syndrome Rare Disease Clinical Research Network 93.847 U54DK083912 U54DK083912 — 2,443 412820140201 Nephrotic Syndrome Rare Disease Clinical Research Network 93.847 U54DK083912 U54DK083912 — 6,670 413190230101 The Evaluation of the Intestinal Bile Acid Transport (1BAT) Inhibitor LUM001 in the Reduction of

Pruritus in Alagille Syndrome, A Cholestatic Liver Disease 93.847 U01DK062456 U01DK062456 — 3,286 413190280101 A Multicenter Extension Study to Evaluate the Long-Term Safe and Durability of the Therapeutic

Effect of LUM001, an Apical, Sodium-Dependent Bile Acid Transporter Inhibitor (ASBTI)in Treatment 93.847 U01DK062456 U01DK062456 — 18,997

413190280201 A Multicenter Extension Study to Evaluate the Long-Term Safe and Durability of the TherapeuticEffect of LUM001, an Apical, Sodium-Dependent Bile Acid Transporter Inhibitor (ASBTI)in Treatment 93.847 U01DK062456 U01DK062456 — 192

University of Pennsylvania:412820120201 Primary Outcomes in Glomerulonephritis Study 93.847 UM1DK100846 UM1DK100846 — (51) 412820120301 Primary Outcomes in Glomerulonephritis Study 93.847 UM1DK100846 UM1DK100846 — 7,932 412820120401 Primary Outcomes in Glomerulonephritis Study 93.847 UM1DK100846 UM1DK100846 — 673

University of Pittsburgh:414130030501 A Multi-Center Group to Study Acute Liver Failure in Children 93.847 0019927(124826-5) 5 U01 DK072146-10 — 152,886

University of South Florida:413340050201 TrialNet Clinic Agreement Affiliate #307 93.847 20090630 LOA, PO#145832 1 U01 DK61055 — 35,516

Wake Forest University Health Sciences:413340280101 Limited Competition for the Continuation of the SEARCH for Diabetes in Youth Cohort Study

(UC4) SEARCH for Diabetes in Youth Cohort Study 93.847 WFUHS114580 1UC4DK108173 — 713 413340280201 Limited Competition for the Continuation of the SEARCH for Diabetes in Youth Cohort Study

(UC4) - SEARCH for Diabetes in Youth Cohort Study 93.847 WFUHS114580 MOD1 UC4DK108173 — 394,262

Subtotal - 93.847 Diabetes, Digestive, and Kidney Diseases Extramural Research 2,107,068 5,847,352

National Institute of Diabetes and Digestive and Kidney Diseases:412560020206 Molecular Mechanisms in Renal Inters Fib 93.848 R01DK054500 R01DK054500 — —

Subtotal - 93.848 Digestive Diseases — —

National Institute of Neurological Disorders and Stroke:416960010201 Unraveling Respiratory Rhythmic Integration from Rhythm Generation to Motor Output 93.853 1F31NS087828-02 1F31NS087828-02 — (10,976) 416960010301 Unraveling Respiratory Rhythmic Integration from Rhythm Generation to Motor Output 93.853 5F31NS087828-03 5F31NS087828-03 — 19,128 414850070101 Intermediate Neuronal Progenitors in Neocortical Development 93.853 1 R01 NS085081-02 R01 NS085081-02 — — 414850070201 Intermediate Neuronal Progenitors in Neocortical Development 93.853 5R01NS085081-05 5R01NS085081-05 — 438,569

414850080101 Development and Malformations of the Dentate Gyrus 93.853 5R01 NS092339-02 5R01 NS092339-02 $ — 502,407 415380020101 Central Rhythmogenesis and Behavior 93.853 5 R01 NS031224-19 REVISED 5 R01 NS031224-19 REVISED — (234) 415380060101 Central Rhythmogenesis and Behavior 93.853 5R01NS031224-22 5R01NS031224-22 — 590,585 415760040101 Dorsal Midline Patterning in the Vertebrate CNS 93.853 5 R01 NS072441-05 5 R01 NS072441-05 — (19,034) 415760060101 Congenital Brain Malformations Caused by Aberrant Head Mesenchymal signaling 93.853 5 R01 NS080390-03 5 R01 NS080390-03 — (18,633)

41 (Continued)





415760060201 Congenital brain malformations caused by aberrant head mesenchymal signaling 93.853 4R01NS080390-05 4R01NS080390-05 — 220,069 415760090101 Mouse Models of Pik3ca Brain Overgrowth Disorders 93.853 1 R01 NS099027-01A1 — 206,776 415770010601 The genetic basis of Dandy-Walker and other mid-brain malformations 93.853 2R01NS050375-11 2R01NS050375-11 — 593,362 415770100101 Megalencephaly and segmental brain overgrowth in humans 93.853 5R01NS092772-03 R01NS092772 — 572,078 415930040101 Targeting the CSF microbiota to optimize CSF shunt infection treatment 93.853 5R01NS095979-02REV NS095979 166,830 370,652 417520010101 Genes and pathways underlying brain overgrowth and focal cortical malformations 93.853 5K08NS092898-03 5K08NS092898-03 — 215,292 417590010101 Psychosocial and Family Risk in Pediatric Chronic Migraine 93.853 5 K23 NS089966-03 5 K23 NS089966-03 — 151,984 417590011101 Supplement: Psychosocial and Family Risk in Pediatric Chronic Migraine 93.853 3K23N089966-02S1 3K23N089966-02S1 — 10,532 415760070101 Oathological Mechanisms of Human Cerebeller Malformations 93.853 1R01NS095733-02 1R01NS095733-02 54,799 582,804 416620040101 Mechanisms of epilepsy-related death in Leigh Syndrome 93.853 R01NS102796 R01NS102796 — 97,884

Columbia University:413510140501 North American Mitochonidrial Disease Consortium (NAMDC) 93.853 GG010312 U54NS078059 — 410 413510150301 Natural American Mitochondrial Disease Consortium (NAMDC) P3 Alpers 2015-16 93.853 TBD U54 NS078059 — (7,212)

Massachusetts General Hospital:415430040201 Genetic Modifiers of Predict-HD Phenotypes 93.853 223024 MOD 2 U01 NS082079-02 — (1,805) 415430040301 Genetic Modifiers of Predict-HD Phenotypes 93.853 223024 MOD 3 5U01NS082079-03 — (890)

Massachusetts Institute of Technology:416090070101 Fiber Inspired Neutral Probes for the Multifunctional Dynamic Brain Mapping 93.853 571000 1 R01 NS086804-01A1 — (366)

University of California, San Francisco:416230090101 The Vascular Effects of Infection in Pediatric Stroke (VIPS II) Study 93.853 9695SC R56NS062820-06A1 REV — 426 415770090101 ACC: Callosal Agenesis as a Window Into Common Neurodevelop mental Disorders 93.853 8877SC 5 R01NS058721-08 — 179,036 415770090201 ACC: Callosal Agenesis as a Window Into Common Neurodevelop mental Disorders 93.853 8877SC 5R01NS058721 — —

University of California, San Francisco School of Medicine:413050070101 HEAL Study (High-Dose Erythropoletin for Asphyxia and Encephalopathy) 93.853 9679SC 1U01NS092764-01A1 — 13,410

University of Washington:413050060401 Preterm Epo Neuroprotection Trial (PENUT Trial) 93.853 UWSC7087 MOD4/BPO16814 U01 NS077953 — 1,150 413570090401 Preterm Epo Neuroprotection Trial (PENUT TRIAL) 93.853 UWSC7087/BPO16814 5 U01 NS077953 — 23,059 413570090501 Preterm Epo Neuroprotection Trial (PENUT TRIAL) 93.853 UWSC7087/BPO24232 U01NS077953 — 22,341 416090060101 Activity-Dependent Spinal Stimulation for Motor Recovery After Spinal Cord Injury 93.853 762763/BPO2138 1R56NS088597-01 — (863)

Subtotal - 93.853 Extramural Research Programs in the Neurosciences andNeurological Disorders 221,629 4,751,941

National Institute of Allergy and Infectious Diseases:412620470101 Point-of-Care Diagnostics and Surveillance of Known and Emerging Influenza Viruses 93.855 R01AI111303 R01AI111303 — 67,571 412660400201 HIV-1 Evolution in the Female Genital Tract and Trafficking to the Blood 93.855 R01AI091550 R01AI091550 16,271 113,368 412660460101 Drug Resistance Testing in Kenya to Improve ART Suppression of HIV Replication 93.855 R01AI100037 R01AI100037 86,147 354,994 412660462101 Drug Resistance Testing in Kenya to Improve ART Suppression of HIV Replication 93.855 R01AI100037 R01AI100037 7,311 4,464 412660530101 A rapid point-of-treatment diagnostic assay for HIV-resistance to 1st-line ART 93.855 5 R01 AI110375-02 5 R01 AI110375-02 244,853 477,336 413410070301 Lentiviral Gene Therapy of X-Linked Agammaglobulinemia 93.855 5 R01 AI084457-07 REVISED 5 R01 AI084457-07 REVISED — 231,807 413410071301 Lentiviral Gene Therapy of X-Linked Agammaglobulinemia 93.855 3 R01 AI084457-08S1 3 R01 AI084457-08S1 — (3,227) 413410290301 Project: Preclinical Modeling of Foamy Viral Gene Therapy for Murine and Human SCID-X1 93.855 5 P01 AI097100-03 5 P01 AI097100-03 — (8,817) 413410290304 Administrative Core 93.855 5 P01 AI097100-03 P01 AI097100 — (1,804) 413410290401 Foamy Viral Gene Therapy for X-linked Severe Combined Immune Deficiency 93.855 P01AI097100 P01AI097100 — (10,780) 413410290403 Foamy Viral Gene Therapy for X-Linked Severe Combined Immune Deficiency 93.855 P01AI097100 P01AI097100 2,353 2,353 413410290404 Foamy Viral Gene Therapy for X-linked Severe Combined Immune Deficiency 93.855 P01AI097100 P01AI097100 — (2,411) 413410290406 Foamy Viral Gene Therapy for X-linked Severe Combined Immune Deficiency 93.855 P01AI097100 P01AI097100 (88) (88) 413410420101 Engineering T-cells with optimized anti-HIV chimeric antigen receptors and CCR5 disruption as

a strategy to target HIV- infected Cells 93.855 5R01AI118500-03 — 90,775 413410470101 Mechanisms underlying TACI-DEPENDENT ACTIVATION of immature transitional B cells in

BAFF-driven humoral autoimmunity 93.855 1R21AI123818-01A1 1R21AI123818-01 — 1,471 414020090301 Immune Function Studies 93.855 5 P01 AI097100-03 5 P01 AI097100 — (7,537) 414020090401 Foamy Viral Gene Therapy for X-linked Severe Combined Immune Defiency 93.855 5 P01 AI097100-04 5 P01 AI097100-04 — (8,090)

414610030101 GBS mediated in utero fetal injury 93.855 1 R01 AI100989-02 1 R01 AI100989-02 $ — (22,197) 414610030201 GBS mediated in utero fetal injury 93.855 4R01AI100989-05 4R01AI100989-05 226,015 456,238 414610032101 GBS mediated in utero fetal injury 93.855 3 R01 AI100989-03S1 3 R01 AI100989-03S1 — (1,464) 414610040101 Environmental Signals that Regulate GBS Virulence 93.855 5 R21 AI109222-02 5 R21 AI109222-02 — 76,292 414610050101 Role of an Ornithine Rhamnolipid Pigment in GBS Virulence 93.855 1 R01 AI112619-01 1 R01 AI112619-01 — 500,146 414610070101 Role of Human Cervical Mucus Plugs in Ascending GBS Infection 93.855 1 R21 AI25907-02 — 191,091 414610090101 Role of the hyaluronidase in GBS Virulence 93.855 1R01AI133976-01 R01AI133976 — 36,516

42 (Continued)





414620140101 Multiplex Test for Primary Immunodeficiencies by Affinity Column Coupled to MS/MS 93.855 1 R56 AI106784-01A1 1 R56 AI106784-01A1 2,211 (6,336) 414620190101 Multiplexed Immuno-SRM Screening for Primary Immunodeficiencies 93.855 1R01AI123135-01 1R01AI123135-01 157,118 746,035 414890080101 Point-of-Care Diagnostics and Surveillance of Known and Emerging Influenza Viruses 93.855 1 R01 AI111303-02 1 R01 AI111303-02 350,961 788,162 414910080101 Engineering T-cells with optimized anti-HIV chimeric antigen receptors and CCR5 disruption as

a strategy to target HIV- infected cells 93.855 5R01 AI118500-03 R01 AI118500A 6,895 371,126 415550060101 Role of S1P1 in the function of Regulatory T cells in Autoimmune Encephalomyeliti 93.855 1 R56 AI113906-01 1 R56 AI113906-01 — (9,294) 415550070101 Role of Dock 8 in EAE 93.855 1 R21 AI124735-02 — 282,801 415550090101 Role of IL-15 and IL-23 in colitis 93.855 R01AI133885 R01AI133885 — 29,369 415640040101 Pre-Transplant vaccination against pulmonary viral infection 93.855 1 R21 AI115474-01 1-R21 AI115474-01 — 168,191 416360040101 B cell-intrinsic cytokine regulation and B cell-targeted therapies in murine lupus 93.855 5 K08 AI112993-04 K08 AI112993 — 198,814 416720080101 Curing HIV through Allogenic Hematopoletic Stem Cell Transplantation 93.855 1 R21 AI116184-01 1 R21 AI116184-01 8,503 (14,055) 416720080201 Curing HIV through Allogenic Hematopoletic Stem Cell Transplantation 93.855 1 R21 AI116184-03 I R21 AI116184-03 159,166 416,557 417000020101 Immune Responses to HSV-2 Recurrence Replenish HIV Tissue Reservoirs During ART 93.855 1R01AI124770-01A1 1R01AI124770-01A1 47,172 312,270 417120020101 The role of mycobacterial efflux pumps in virulence and antibiotic tolerance 93.855 1K08AI116908 1K08AI116908 — 209,165 417130040101 Mucosal microbiome and vaccine reponses in HIV-exposed African infants 93.855 1R01AI20714-01A1 1R01AI20714-01A1 117,959 335,201 417130060101 Mucosal Injury from sexual practices: Behaviour and Biology of South African adolescents 93.855 1R01AI128792-01 AI128792 — 35,474 417260010101 Viral and Host Biomarkers of Human Rhinovirus Disease Severity in Transplantation 93.855 1 K23 AI114844-02 1 K23 AI114844-02 60,660 184,507 417350010101 CD8 T Cell Intrinsic Role of MicroRNA-17-92 in TCR Signaling 93.855 7 R03 AI113803-02 7 R03 AI113803-02 — 39,253 417350020101 Regulation of CD8 T cell memory by Autocrine IL-2 93.855 7 R03AI113635-02 R03AI113635 — 91,568 417360030101 Adjuvanting Vaccine-induced CD8 T Cell Memory Quality Using Regulatory T Cells 93.855 1R21AI131171-01 — 188,260 413410290501 Preclinical Modeling of Foamy Viral Gene Therapy for X-linked Severe Combined

Immune Deficiency 93.855 4P01AI097100-05 4P01AI097100-05 — 373,990 413410290502 Project 2: Foamy Virus Mediated Gene Therapy in the Canine SCID-X1 Model 93.855 4P01AI097100-05 4P01AI097100-05 693,759 693,759 413410290503 Project 3: Second Generation Approaches to Foamy Virus (FV) Vector SCID-X1 Gene Therapy 93.855 4P01AI097100-05 4P01AI097100-05 240,161 240,161 413410290504 Foamy Viral Gene Therapy fir X-linked Severe Combined Immune Deficiency 93.855 4P01AI097100-05 4P01AI097100-05 — 64,493 413410290505 Core B - Vector Production 93.855 4P01AI097100-05 4P01AI097100-05 539,582 539,582 413410290506 Core D - Vector Integration and Tracking 93.855 4P01AI097100-05 4P01AI097100-05 414,197 414,197 414020090501 Foamy Viral Gene Therapy for X-linked Severe Combined Immune Deficiency 93.855 5 P01 AI097100-05 5 P01 AI097100-05 — 220,717

National Institutes of Health Clinical Center:Defining HIV Reservoirs that Rebound Following Suspension of ART Subward for Ghent Univ - no

412660730101 vendor # available 93.855 1R01AI134419-01 — 2,749 Benaroya Research Institute at Virginia Mason:

412540200101 Project 1-Epithelial Regulation of ECM and Leukocyte Adhesion in Viral-Triggered Asthma 93.855 U19AI125378 U19AI125378 — 155,716 412540200201 Project 1 - Epithelial Regulation of ECM and Leukocyte Adhesion in Viral-Triggered Asthma 93.855 0118402S01 5U19AI125378-02 — 39,973 412540210101 Core B-Human Airway and Epithelial Cell Culture Core 93.855 U19AI125378 U19AI125378 — 132,764 412540210201 Core B - Epithelial cell culture and airway translational core 93.855 FY17121701 5U19AI125378-02 — 65,229 412540150501 TSLP and the Pathophysiology of Asthma 93.855 R01AI068731 R01AI068731 — 17,959 413110140101 Defining the Role of Altered Cytokine Signaling Pathways on Autoimmunity CSGASP Pilot

Project: Generation and Characterization of Regulatory T Cells for Adoptive Therapy toTreat Congenital and Acquired Hemophilia A 93.855 U01AI101990 U01AI101990 — (11,664)

413110140201 Defining the role of altered cytokine signaling pathways on Autoimmunity CSGASP PilotProject: Generation and Characterization of Regulatory T Cells for Adoptive Therapy toTreat Congenital and Acquired Hemophilia A 93.855 U01AI101990 U01AI101990 — 58,335

413950270101 Defining the Role of Altered Cytokine Signaling Pathways on Autoimmunity CSGADP PilotProject: PD1 Agonist Binders for Autommune Disease 93.855 FY15109841 5U01AI101990-04 — (41,974)

413950270201 Defining the Role of Altered Cytokine Signaling Pathways on Autoimmunity 93.855 010985S12 MOD 1 4U01AI101990-05 — 84,505 416470030101 Impat of BANK1 SLE risk variants on BAFF Pathway Function 93.855 FY14109810 5 U01 AI101990-02REV — (1,005)

Brigham and Women's Hospital:412660660101 Single-Cell Analysis of HIV Latency Reversal 93.855 115136 1R21AI127079-01 6,951

Childrens's Hospital Los Angeles:

412660510101 Laboratory Center-IMPAACT Leadership Group 93.855 UM1AI106716 UM1AI106716 $ — (983) 412660510201 Laboratory Center-IMPAACT Leadership Group 93.855 UM1AI106716 UM1AI106716 — (4,756) 412660510301 Laboratory Center-IMPAACT Leadership Group 93.855 UM1AI106716 UM1AI106716 — (3,412)

Duke Clinical Research Institute:417310010101 Multi-Center Studies to Improve Diagnosis and Treatment of Pediatric Candidiasis 93.855 PROTOCOL 00045657 5 R01 AI103315-02 — 3,271

Emory University:416720040401 Transplant Tolerance in Non-Human Primates 93.855 T683921 AMEDNDMENT 4 4 U19 AI051731-15 — 562,885 416720042301 Transplant Tolerance in Non-Human Primates - Subject: Core B Transplant Tole 93.855 T484298 2 U19 AI051731-14 — 94

Fred Hutchinson Cancer Research Center:

43 (Continued)





412660650101 Cell and Gene Therapy for HIV Cure 93.855 UM1AI126623 UM1AI126623 — 137,955 412660650201 Cell and Gene Therapy for HIV Cure 93.855 UM1AI126623 UM1AI126623 — 3,667 413410460101 CCR5-Disrupted Anti-HIV CAR+ T-Cells as a Strategy to Cure HIV 93.855 888349 1 UM1 AI26623-01 — 200,400 413410460201 CCR5-Disrupted Anti-HIV CAR+ T-Cells as a Strategy to Cure HIV 93.855 911635 5 UM1 AI26623-02 — 47,378 414910100101 CCR5-Disrupted Anti-HIV CAR+ T-Cells as a Strategy to Cure HIV 93.855 888349 1 UM1 AI26623-01 — 201,634 414910100201 CCR5-Disrupted Anti-HIV CAR+ T-Cells as a Strategy to Cure HIV 93.855 911635 5 UM1 AL126623-02 — 8,880 416720060201 Kean Collaboratory 93.855 812309 5 U19 AI096111-04 — — 413410370101 Eliciting VRC01-Like bNAbs by Specifically Designed Env Immunogens Project 2-Preclinical

Evaluation of Envelope Immunogens Optimized to Elicit VRC01-Class Antibodies 93.855 U19AI109632 U19AI109632 — (2,149) 413410370201 Eliciting VRC01-Like bNAbs by Specifically Designed Env Immunogens Project 2-Preclinical

Evaluation of Envelope Immunogens Optimized to Elicit VRC01-Class Antibodies 93.855 U19AI109632 U19AI109632 — (1,850) 413410370301 Eliciting VRC01-Like bNAbs by Specifically Designed Env Immunogens Project 2-Preclinical

Evaluation of Envelope Immunogens Optimized to Elicit VRC01-Class Antibodies 93.855 U19AI109632 U19AI109632 — 173,604 413410371501 Eliciting VRC01-Like bNAbs by Specifically Designed Env Immunogens Project 2-Preclinical

Evaluation of Envelope Immunogens Optimized to Elicit VRC01-Class Antibodies 93.855 U19AI109632 U19AI109632 — (3,160) 416720060301 Core A: Non Human Primate Core - Jerom/Klem U19 SUB 93.855 798539 5 U19 AI096111-06 — (88)

George Washington University:416720140101 BELIEVE: Bench to Bed Enhanced Lymphocyte Infusions to Engineer Viral Eradication 93.855 16-M92 UM1 AI126617 — 212,190 416720140201 BELIEIVE: Bench to Bed Enhanced Lymphocyte Infusions to Engineer Viral Eradication 93.855 17-M37 5UM1AI126617-02 — 12,040

ID Genomics:413910210101 Clonotyping Technology for Prediction of Antibotic Resistance 93.855 R42 AI116114 R42 AI116114 — 3,883 413910210201 Clonotyping Technology for Prediction of Antibotic Resistance 93.855 IDG_SCH_02 5 R42 AI116114-03 — 10,108

John Hopkins University:412660560201 Maternal Pediatric Adolescent AIDS Clinical Trials Group 93.855 UM1AI068632 UM1AI068632 — (48) 412660560101 Maternal Pediatric Adolescent AIDS Clinical Trials Group 93.855 UM1AI068632 UM1AI068632 — (199)

John Hopkins Hospital:415320080101 ILOC-IMPAACT Leadership Group TO 9 93.855 2003062041 5 UM1 AI068632-10 — 17,650 415320080201 ILOC-IMPAACT Leadership Group TO 9 93.855 2003062041/LDR09 5 UM1 AI068632-10 — 26,241 414910110101 LOC - IMPAACT Leadership Group 93.855 PST#LDR08 5UM1AI068632-10 — 27,476

Kineta, Inc.:413950330101 Therapeutic Potential of the Potassium Channel Inhibitor SHK-186 for Pediatric Lupus 93.855 SUBCONTRACT NO. 8539 MOD 1 1R41AI22566-01 — 93,683

Massachusetts General Hospital:416580010401 Prospective Cohort Study of Severe Bronchiolitis and Risk of Recurrent Wheezing 93.855 219473 MOD 3 5 U01 AI087881-05 — (231) 418130010101 Infant Specific-IgE, Rhinovirus-C Bronchiolitis, and Incident Asthma in MARC-35 93.855 225488 5R01AI114552-03 — 15,339

Medical College of Wisconsin:414020110101 GILD in CVID 93.855 1526030 1 R34 AI106570-01A1 — (470)

Stanford University:417130070101 Impact of HIV Exposure, Feeding Status, and Microbiome on Immune Ontogeny and Vaccine

Responses in Infants 93.855 61459199-125455 1U01AI131302 — 5,810 University of California, Los Angeles:

412660630101 International Maternal Pediatric Adolescent AIDS Clinical Trials (IMPAACT) Laboratory Center 93.855 UM1AI106716 UM1AI106716 — 49,459 412660630201 International Maternal Pediatric Adolescent AIDS Clinical Trials (IMPAACT) Laboratory Center 93.855 UM1AI106716 UM1AI106716 — 86,026

University of California, San Francisco:413410380101 Primary Immune Deficiency Treatment Consortium- Enrollment 93.855 8525 2 U54 AI082973-06 — (2,324) 413410380201 Primary Immune Deficiency Treatment Consortium 93.855 8525SC U54AI082973 — (2,325) 413410385101 Primary Immune Deficiency Treatment Consortium 93.855 8525SC MOD3 5 U54 AI082973-08 — 6,040 417280030101 Primary Immune Defiency Treatment Consortium 93.855 9638SC 5U54AI082973-08 — 47,786

44 (Continued)





University of Wisconsin-Milwaukee:416720050101 Measuring Protective Immune Responses in Rhesus Macaques 93.855 499K483 5 U01 AI102456-02 $ — —

University of Washington:412660380501 Immunological and Virological Events in Early HIV Infection 93.855 P01AI057005 P01AI057005 — (5,147) 412660680101 Role of Proviral Loci in HIV Latency 93.855 UWSC9546/BPO19925 1 R01 AI125026-01 — 216,010 412620350101 A 2DPN-Based High-Sensitivity Low-Cost Mutiplexed POC Immunoassay Platform 93.855 R01AI096184 R01AI096184 — (4,111) 412660490201 University of Washington Center for AIDS Research 93.855 P30AI027757 P30AI027757 — (282) 412660490301 University of Washington Center for AIDS Research 93.855 P30AI027757 P30AI027757 — (533) 412660490401 University of Washington Center for AIDS Research 93.855 P30AI027757 P30AI027757 — 20,780 412660520101 Mechanisms of Formation and Persistence of Active HIV Reservoirs 93.855 R01AI111806 R01AI111806 — 179,803 412660610101 Improving Diagnosis, Treatment & Detection of Drug Resistance in HIV-2 Infection 93.855 UWSC8446/BPO22020 R01AI120765-03 — 6,232 412660670101 Combined Phylogenetic and Epidemiological Analysis to Identify HIV Transmission Sources

in Seattle, WA 93.855 UWSC9496/BPO19199 1 R01 AI127232-01 — 4,842 414910070101 University of Washington Center for Aids Research 93.855 UWSC8010/BPO 2628 3 P30 AI027757-27S1 — (4,618) 415550080101 Center for the Study of Immune Mechanisms of Flavivirus Control 93.855 UWSC9669 / BPO21768 5U19AI083019-09 — 15,341 417000010101 Immune Responses to HSV-2 Recurrence Replenish HIV Tissue Reservoirs During ART 93.855 UWSC7905/BPO2593 P30AI027757-27 — 35,718 417600010101 University of Washington Sexually Transmitted Infections Cooperative Research 93.855 UWSC8560/BPO8521 5 U19 AI113173-02 — 53,991

Vanderbilt University:412620550101 Comparison of High vs. Standard Dose Flu Vaccine in Pediatric Stem Cell Transplant Recipients 93.855 U01AI125135 U01AI125135 — 74,759

Subtotal - 93.855 Allergy and Infectious Diseases Research 3,381,206 12,485,801

National Institute of General Medical Sciences:414970070101 Anesthetic Neurotoxicity is controlled by ER stress 93.859 1R01GM118514-01A1 — 159,935 414980030101 A Mouse Model Linking Anesthetic Sensitivity To Mitochondrial Function 93.859 5 R01 GM105696-02 5 R01 GM105696-02 — 500,397 417420010101 Cadherin Regulation of Epithelial Barriers 93.859 7 R01GM106659-04 7 R01GM106659-04 — 498,382 417420020101 Cadherin-Catenin Mediated Contact Inhibition of Cell Growth 93.859 7 R01GM098615-05 7 R01GM098615-05 — (3,094) 417420040101 Regulation of Cell Junctions and Cell Contact Dependant Signalling in Tissue Development

and Physiology 93.859 R35GM122467 R35GM122467 — 61,567 University of Washington:

415230140101 Developmental Regulation of Drug Metabolism by Targeting the Gut Microbiome 93.859 UWSC9589/BPO20527 5R01GM111381-03 — 34,360

Subtotal - 93.859 Biomedical Research and Research Training — 1,251,547

National Heart, Lung, and Blood Institute:416530030101 Healthy Sleep Intervention for Preschool Children 93.865 5 R01 HD071937-03 5 R01 HD071937-03 19,425 582,507

Eunice Kennedy Shriver National Institute of Child Health and Human Development:412340090101 Muscle Performance and Walking in Cerebral Palsy: Short-Burst Interval Training 93.865 R21HD077186 R21HD077186 4,381 79,422 412430100201 Promoting Optimal Parenting 93.865 R01HD068478 R01HD068478 15,955 210,675 412660373401 Academic Pediatric Infectious Disease 93.865 T32HD007233 T32HD007233 — (10,516) 412660373501 Academic Pediatric Infectious Disease 93.865 T32HD007233 T32HD007233 — 213,109 413920150101 Life After Pediatric Sepsis Evaluation, LAPSE 93.865 5 R01 HD073362-02 5 R01 HD073362-02 (21,581) (21,581) 413920150201 Life After Pediatric Sepsis Evaluation, LAPSE 93.865 5 R01 HD073362-05 5 R01 HD073362-05 384,832 669,136 414570050101 Long-Term Outcomes in Children with Positional Plagiocephaly/Brachycephaly 93.865 5 R01 HD080462-03 5 R01 HD080462-03 12,516 353,147 414620130101 Peptide Immunioaffinity Enriched LC-MRM-MS Analysis for Cystinosis/Wilson's Disease 93.865 5 R21 HD069890-02 5 R21 HD069890-02 — (939) 414640040101 Increasing Child Immunization Rates via Improved Provider-Parent Communication 93.865 5 K23 HD069467-05 K23 HD069467 — (15) 414640060101 Use of a Novel Parent-Report Measure to Improve Childhood Vaccine Uptake 93.865 5R21 HD083770-02 5R21 HD083770-02 196,127 266,948 415030130101 Dialogue Around Respiratory Illness Treatment 93.865 5 R01 HD084547-03 5 R01 HD084547-03 503,570 601,393 415830020201 Innovations in Pediatric Pain Research 93.865 5 K24 HD060068-10 5 K24 HD060068-08 — 198,432 415830030101 An Internet CBT Intervention for Pediatric Chronic Pain and Disability 93.865 5 R01 HD062538-05 5 R01 HD062538-05 — — 416510020101 Mutagenesis and Murine Embryonic Development 93.865 5 R01 HD036404-16 5 R01 HD036404-16 — 2,614 416510050101 Mutagenesis and Murine Embryonic Development 93.865 5R01HD036404-18 5R01HD036404-18 — 571,945 417020010101 Sedation Strategy and Cognitive Outcome after Critical Illness in Early Childhood 93.865 5 R01 HD074757-06 5 R01 HD074757-06 196,889 509,729 417070010101 Targeted Inpatient Navigation to Improve Care for Minority Children and Families 93.865 5 K23 HD078507-04 5 K23 HD078507-04 — 149,242 417080010101 Pain and Health-Related Quality of Life in Children After Surgery 93.865 K23 HD078239-01A1 K23 HD078239-01A1 — 122,631 417130010101 Assessing feeding practices, immune activation, and HIV risk in African infants 93.865 7 K08 HD069201-05 7 K08 HD069201-05 13,416 24,257 417890040101 Well-Child Care Clinical Practice Redesign: A Parent Coach Led Model of Care for Young Children 93.865 7R01HD088586-02 HD088586 — 58,420 415050090101 Collaborative Care Model for the Treatment of Persistent Symptoms after Concussion Among Youth 93.865 R01RHD090230 R01RHD090230 — 108,033

415830120101 iCanCope with Sickle Cell Disease 93.865 1R01HD086978-01A1 1R01HD086978-01A1 $ 68,967 183,567 416310040101 Collaborative Care Model for the Treatment of Persistent Symptoms after Concussion Among Youth 93.865 R01RHD090230 R01RHD090230 62,217 225,283

45 (Continued)





Duke Clinical Research Institute:414320330201 Study of Oxytocin in Autism to Improve Reciprocal Social Behaviors (SOARS-B) 93.865 2035283 7 U01 HD073984 — 164,907

John Hopkins University:412890040101 Hirschsprung Disease Research Collaborative (HDRC) ("Study") 93.865 HDRC SEATTLE CHILDREN'S R37 HD08088 — (3,462)

Oregon Health and Science University:415830090101 Maternal Chronic Pain: Risk for Pain and Poor Outcomes in Children 93.865 1006408_SCRI 5R01HD082200-02 — 56,575 415830070401 Chronic Pain in Pediatric Primary Care 93.865 1004769-MOD 3 5 K23HC071946-06 — 10,344

Tulane University:417970010201 Pediatric HIV/AIDS Cohort Study (PHACS) Coordinating Center (CC) 93.865 TUL-HSC-555762-17/18 5U01HD052104-13 — 2,175 417970010101 Pediatric HIV/AIDS Cohort Study (PHACS) Coordinating Center (CC) 93.865 TUL-HSC-554726-16/17 5 U01 HD052104-12 — 13,416

University of California, Los Angeles:414830160101 Disorders of Sex Development: Platform for Basic and Translational Research 93.865 1440 G PB804 MOD 4 R01 HD068138-01A1 — (2)

University of Cape Town:417130020101 Mechanisms of altered immune responses in HIV exposed infants 93.865 IRMA 22845 R21 HD083344 — 66,078 417130030101 Hormone induced mucosal susceptibility and HIV risk in South African adolescents 93.865 IRMA 22844 1 R01 HD083040-01 — 112,680 417130030201 Hormone induced mucosal susceptibility and HIV risk in South African adolescents 93.865 IRMA 27973 5 R01 HD083040-02 — 80,814

University of Pittsburgh:417870010101 Rehabilitation Medicine Scientist Training (RMST) Program 93.865 0024922 (127439-12) 4K12HD001097-20 — 77,190

University of Washington:417130050101 Effects of Hormonal Contraceptives on Genital Immunity and HIV Susceptibility 93.865 UWSC9590 MOD 1/BPO20518 R01HD089831-02 — 41,532 412660540101 Evaluation of mHealth Strategies to Optimize Adherence and Efficacy of PMTC/ART 93.865 UWSC7849/BPO1876 5 R01 HD080460-04 — 5,472 414070040501 Laboratory of Developmental Biology 93.865 UWSC5453 MOD1/BPO1789 5 R24 HD000836-51 — 34,453

Vanderbilt University:415830080201 Predicting Treatment Response in Pediatric Functional Abdominal Pain 93.865 VUMC 43459 MOD2 R01HD076983 — 3,450 415830080301 Predicting Treatment Response in Pediatric Functional Abdominal Pain 93.865 VUMC 43459 R01 HD076983 — 22,515 415830080401 Predicting Treatment Response in Pediatric Functional Abdominal Pain 93.865 VUMC 43459 R01 HD076983 — 22,264

Subtotal - 93.865 Child Health and Human Development Extramural Research 1,456,714 5,807,840

Hebrew Senior Life:416540020101 An RCT of an Educational Video to Improve Nursing Home Care in End-Stage Dementia 93.866 90055 MOD 4 R01 AG043440-03 — 23,474 416540080101 Trial to Reduce Antimicrobial Use in Nursing Home Residents with Alzheimer's Disease and

Other Dementias (TRAIN-AD) 93.866 90076 2R01AG032982-06 — 28,815

Subtotal - 93.866 Aging Research — 52,289

Jaeb Clinic:417030040101 Pediatric Eye Disease Investigator Group (PEDIG) ATS18 Protocol Chair 93.867 PEDIG (5U10 EY011751-20) 5U10 EY011751-20 — 11,772 416260010101 Pediatric Eye Disease Investigator Group 93.867 U10 EY11751 MOD3 U10 EY11751 — 5,395

University of Southern California:417480010101 The Pediatric Eye Disease Consortium: a Pooled Analysis of Individual-Participant Data from

Population-based Studies 93.867 62985656/PO# 50325643 1 R21 EY025313-01 — 24,410

Subtotal - 93.867 Vision Research — 41,577

Stanford University:415340100101 Beyond Consent: Patient Preferences for Governance of Use of Clinical Data and

Samples (VALUES) 93.879 61341706-115795 5R01LM012180-03 — 36,921

Subtotal - 93.879 Medical Library Assistance — 36,921

Centers for Disease Control and Prevention:413340270101 Search for Diabetes in Youth Registry Study, Phase 4: Washington Center 93.945 U18DP006136 U18DP006136 11,257 22,208 413340270301 Search for Diabetes in Youth Registry Study, Phase 4: Washington Center 93.945 U18DP006136 U18DP006136 — 176 413340271101 Search for Diabetes in Youth Registry Study, Phase 4: Washington Center 93.945 U18DP006136 U18DP006136 — 1,336 413340272101 Search for Diabetes in Youth Registry Study, Phase 4: Washington Center 93.945 U18DP006136 U18DP006136 — 38,148 413340273101 Search for Diabetes in Youth Registry Study, Phase 4: Washington Center 93.945 U18DP006136 U18DP006136 — 19

46 (Continued)





413340270201 Search for Diabetes in Youth Registry Study, Phase 4: Washington Center 93.945 U18DP006136 U18DP006136 $ 29,878 327,050

Subtotal - 93.945 Assistance Programs for Chronic Disease Prevention and Control 41,135 388,937

University of Washington:416230070301 NINDS Stroke Trials Network Regional Coordinating Stroke Center 93.953 BPO14340 1 U01 NS086525 — 2,953

Subtotal - 93.953 — 2,953

Agency for Healthcare Research and Quality:415030150101 National Quality Forum Submission 93.RD HHSP233201550090A/AHR161795 68 167 415030160101 COE4CCN NQF Measure Submission 93.RD HSP2332016600162A 31,185 92,143

Children's Hospital of Philadelphia;412760710101 Reducing Risk of Anthracycline-related Heart Failure after Childhood Cancer ALTE1621 93.RD ALTE1621 R01CA196854 — 493 412760540101 Cancer Trials Support Unit (CTSU): Phase II Supplemental Payments 93.RD FP00015898_SUB43_01 N02-CM-62212 — 12,725

Duke Clinical Research Institute:417210020101 Propective Observational Study of the Risk Factors for Hospital-Acquired and

Ventilator-Associated Bacterial Pneumonia (HABP/VABP) 93.RD 218708 HHSN-275201000003I — 18,968 414740170101 Pharmacokinetics of Understudied Drugs Administered to Children per Standard of Care 93.RD 206993 HHSN275200100003I-TO43 — 9,241

Group Health:415790040101 A targeted Approach to Safer Use of Antipsychotics in Youth ("SUAY") 93.RD 628331_2016149090_SUB_SCR HHSN271201600002C — 25,234 415790040201 Targeted Approach to a Safer Use of Antipsychotics in Youth ("SUAY") 93.RD 2017102861/HHSN271201600002C HHSN271201600002C — 95,636

Minneapolis Medical Research Foundation;413650140301 Scientific Registry of Transplant Recipients (SRTR) Funding option period one 93.RD HHSH250201500009C OPT 2 HHSH250201500009C OPT 2 — 1,267 413650140201 Scientific Registry of Transplant Recipients (SRTR) Funding option period one 93.RD HHSH250201500009C HHSH250201500009C — 52,701

Social & Scientific Systems, Inc.:417210030101 Immune Plasma for the Treatment of Severe Influenza 93.RD CRB-SSS-S-16-004924 — 6,175

University of Washington:415050080101 Leadership Education in Adolescent Health 93.RD UWSC6709 MOD 2/ BPO16126 5T71MC24210-01-00 — 100,426 416370065301 Institute of Translational Health Sciences- Research Funds 93.RD UWSC7751/BPO16212 5KL2TR000421-08 — 125,797

WESTAT:412660690101 IMPAACT - PROMISE Resistance Research 93.RD 6101-PO-048 HHSN275201400003C — 77,852 412660700101 IMPAACT - Aniretroviral Drug Resistance Antenatally and During Breastfeeding in 1077BF 93.RD 6101-PO-049 HHSN275201400003C — 77,143 415320040101 NICHD International & Domestic Pediatric & Maternal HIV Studies Coordinating Center 93.RD 6101-S006 MOD 16 HHSN275201300003C 22,401 195,189 415320045101 NICHD International & Domestic Pediatric & Maternal HIV Studies Coordinating Center 93.RD 6101-S006 MOD 16 HHSN275201300003C — 18,742

Subtotal – 93.RD Health and Human Services 53,654 909,899

Total Research and Development Awards 12,292,185 62,130,568

Other Federal Awards:City of Seattle

FINI - Food Insecurity Nutrition Incentive 10.331 MOA 20160824 — 58,320

Subtotal - 10.331 Food Insecurity Nutrition Incentive Grants Program — 58,320 King County Mental Health Division:

505330410401 OBCC - SKCPH - WIC - 2015-16 10.557 CHS3794 — 6,402 505330410501 OBCC - SKCPH - WIC - 2017 WIC c 10.557 CHS3794 1612 CHS - AM1 — 99,993

Subtotal - 10.557 WIC Special Supplemental Nutrition Program for Women, Infants,and Children — 106,395

King County Development Disabilities:505630101101 King County Birth to Three 84.181 5769873 — 13,548

Subtotal - 84.181 Special Education-Grants for Infants and Families — 13,548

Washington State Department of Health:505180051101 CSHCN General Fund Contract 93.110 N22298 D70MC27552 — 8,114

Virginia Commonwealth University:505770200101 Multi-Omic Analysis Pregnancy 93.310 PT109100-SC104884 1U54DE023786-01 — 44,779

Subtotal - 93.310 Trans-NIH Research Support — 52,893

47 (Continued)





Washington State Department of Health:505050310101 Life Jacket Compliance 93.127 N20685 5H33MC0668309-00 $ — (1,989)

Subtotal - 93.127 Emergency Medical Services for Children — (1,989)

Washington State Department of Health:505050340101 Safest Ride Campaign 93.136 N20961 5U17CE002039-03 — 530

Subtotal - 93.136 Injury Prevention and Control Research and State and CommunityBased Programs — 530

Washington State Department of Health:SCH 16422 NHSN-AU Incentive Funding 93.251 N22785 6 NU50CK000388-03-01 — 27,000

505630231101 Universial Newborn Hearing 16/ 93.251 N21888 H61MC0084 — 5,136 Research Corporation of the University of Hawaii:

505180190101 HAWAII BABY HEARS 14/15 93.251 S 15-527-H-000416-14-115 — (355) 505180190201 Hawaii Baby HEARS 15/16 93.251 S 15-527-H-000416-156-115 — (147) 505180190301 Hawaii Baby HEARS 16/17 93.251 S 14-527-H000416-16-115 — 3,564

Subtotal - 93.251 Universal Newborn Hearing Screening — 35,198

Center for Substance Abuse Prevention:506080090301 NE SEATTLE DRUG FREE YR4 93.276 H79 SP017044-04 H79 SP017044-04 — (10) 506080090401 NE Seattle Drug Free Yr 5 93.276 H79 SP017044-05 H79 SP017044-05 — (2,425) 506080090501 NE Seattle Drug Free Yr 6 93.276 H79 SP017044-06 H79 SP017044-06 — 1,081 506080090601 NE SEATTLE DRUG FREE YR7 93.276 H79 SP017044-07 H79 SP017044-07 — 82,477

Subtotal - 93.276 Drug-Free Communities Support Program Grants — 81,123

King County Mental Health Division:505050330101 PHIC Community Service Contract 93.331 CDIP3825 5 1U58DP005663-01 — (2,101) 505050330201 PHIC Comm Ser Contract YR2 93.331 CDIP3825 5 NU58DP005663-02 — (886) 505050330301 PICH Comm Ser Contract YR3 93.331 1042 CDIP A-3 5 NU58DP005663-03 — 152,724

Subtotal - 93.331 Partnerships to Improve Community Health — 149,737

University of California, Los Angeles Department of Pediatrics:550020010101 UCLA Early Head Start 93.600 1640 G UA668 09CH9171-02-02 — 12,176 550020010201 UCLA Early Head Start No IDC 93.600 1640 G UA668 09CH9171-03-00 — 8,748

Subtotal - 93.600 Head Start — 20,924

Department of Health and Human Services:506400030101 PPIC Grant YR1 93.610 1C1CMS331341-01-00 — (12,166) 506400030201 PPIC Grant YR2 93.610 1C1CMS331341-03-00 — (26,726) 506400030301 PPIC Grant YR3 93.610 1C1CMS331341-03-00 — 1,807,155

Subtotal - 93.610 Health Care Innovation Awards (HCIA) — 1,768,263

Washington State Department of Health:505180051101 CSHCN General Fund Contract 93.638 N22298 1L1331455 — 50,000

University of Washington:550030010101 WWAMI Region Practice Transformation Network 93.638 UWSC8659 MOD 2/BPO19878 1L1CMS331445-02-00 — 6,606

Subtotal - 93.638 ACA-Transforming Clinical Practice Initiative: Practice TransformationNetworks (PTNs) — 56,606

Centers for Disease Control and Prevention:506530010101 CTG Transforming S King County - Reduce Health Inequities 93.737 1H75DP004595-01 — (5,782)

Subtotal - 93.737 PPHF: Community Transformation Grants-Small Communities Programfinanced solely by Public Prevention and Health Funds — (5,782)

Alaska State Department of Health:506200180101 Alaska Mental Health Primary Care Provider 93.778 0614076 — 3,550

48 (Continued)

49





Washington State Department of Health:506200030101 Mental Health Medication Review 93.778 1132-43898 $ — 345,500506200040101 Mental Health Medication Review 93.778 1132-41614 — 116,138

— 465,188

Washington State Department of Health:505180051101 CSHCN General Fund Contract 93.994 N22298 Bo4MC30649 — 215,211505180051001 CSHCN General Fund Contract 93.994 N21707 U90TP000559 — 13,894505180050901 CSHCN General Fund Contract 93.994 N20074 D70MC27552 — (5,776)

SCH 13366 Washington State Genetics Clinics 93.994 N21795 — 56,642

Subtotal - 93.994 Maternal and Child Health Services Block Grant to the States — 279,971

PCI:505770210101 GAPPS - EP-Scale 98.001 PCI-1282-SG-4001-02 AID-OAA-A-14-00049 25,000 372,236

Subtotal - 98.001 USAID Foreign Assistance for Programs Overseas 25,000 372,236

Total Other Federal Awards 25,000 3,453,161

Total Federal Awards $ 12,317,185 65,583,729


EIN No. 91-0564748

OMB Uniform Guidance

Notes to Schedule of Expenditures of Federal Awards


50

(1) Basis of Presentation

The accompanying schedule of expenditures of federal awards (the Schedule) includes the federal grant

activity of Seattle Children’s Hospital (the Hospital) for the fiscal year ended September 30, 2017. This

Schedule has been prepared on the accrual basis of accounting. The information in this schedule is

presented in accordance with the requirements of Office of Management and Budget Title 2 U.S. Code of

Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards (Uniform Guidance).

(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 Hospital has elected not to use 10% de minimis indirect cost rate allowed

under the Uniform Guidance.


EIN No. 91-0564748


Schedule of Findings and Questioned Costs


51 (Continued)

(1) Summary of Auditors’ Results

(a) Type of report issued on whether the financial statements were prepared in accordance with generally

accepted accounting principles: Unmodified

(b) Internal control deficiencies over financial reporting disclosed by the audit of the financial statements:

Material weakness(es) identified?: No

Significant deficiency(ies) identified that are not considered to be material weakness(es)?: None

reported

(c) Noncompliance material to the financial statements: No

(d) Internal control deficiencies over major programs disclosed by the audit:

Material weakness(es) identified?: No

Significant deficiency(ies) identified that are not considered to be material weakness(es)?: Yes

(e) Type of report issued on compliance for major programs: Unmodified

(f) Audit findings that are required to be reported in accordance with 2 CFR 200.516(a): Yes

(g) Major programs:

Research and Development Cluster – various CFDA numbers

(h) Dollar threshold used to distinguish between Type A and Type B programs: $1,948,891

(i) Auditee qualified as a low-risk auditee: Yes

(2) Findings Relating to the Financial Statements Reported in Accordance with Government Auditing

Standards

None noted

(3) Findings and Questioned Costs Relating to Federal Awards

Finding 17-001

(a) Federal Program

Extramural Research Programs in the Neurosciences and Neurological Disorders, CFDA No. 93.853,

Award No. 1-R01NS092772-03

(b) Federal Agency

U.S. Department of Health and Human Services


EIN No. 91-0564748




52 (Continued)

(c) Federal Award Year

July 1, 2016 to June 30, 2017

(d) Federal Program

Cancer Research Manpower, CFDA No. 93.398, Award No. 2K12CA076930-16A1

(e) Federal Agency

U.S. Department of Health and Human Services

(f) Federal Award Year

July 1, 2016 to June 30, 2017

(g) Criteria

Non-Federal entities other than States, including those operating Federal programs as subrecipients of

States, must follow the procurement standards set out at 2 CFR Sections 200.318 through 200.326.

Per 2 CFR Section 200.319, procurement expenditures require documentation over the bidding

process.

(h) Statement of Condition

During our testwork over the research and development cluster, we identified for each of the two

selections in our procurement testwork, the Hospital contracted with vendors for services that

exceeded the $25,000 threshold and did not retain documentation for the bidding process for these

services. The Hospital’s controls over management authorization for services procurement were not

operating effectively and the proper documentation was not retained.

(i) Cause and Effect

The Hospital procured services that included multiple invoices with the same vendor that exceeded the

small purchase threshold, yet it did not document the bidding and sole source justification process it

went through with these vendors. The Hospital should have controls designed and operating effectively

to ensure that procured services above the small purchase threshold document the appropriate bidding

or sole source justification process.

(j) Questioned Costs

None

(k) Was the Sampling Statistically Valid?

The sample was not intended to be, and was not, a statistically valid sample.


EIN No. 91-0564748




53

(l) Repeat Finding?

Yes

(m) Recommendation

We recommend that the Hospital strengthen its controls related to procurement, specifically for

amounts exceeding the small purchase threshold of $25,000, to ensure that the expenditures go

through the bidding and sole source justification process and are adequately documented.

(n) View of Responsible Officials

We agree with the finding regarding procurement for items over an anticipated expenditure of $25,000.

Management has conducted an assessment of our current policy and processes and confirmed the

procurement standards from the CFR are incorporated into the Hospital's policy. Management will

continue implementation of these improvements to our processes that meet CFR procurement

requirements.

Documents

SEATTLE CHILDREN S HOSPITAL...Sep 30, 2017 · Accrued salaries, wages, and benefits 75,725 62,717 Due to brokers for securities purchased 48,084 48,267 Other payables 37,897 29,985