2021-05-12T10:03:59-05:00 2020-06-30 KPMG LLP 345 PARK AVENUE NEW YORK NY 10154 990 2019-07-01 060761704 UNIVERSITY OF NEW HAVEN % GEORGE S SYNODI UNIV 2039327000 300 BOSTON POST ROAD WEST HAVEN CT 06516 GEORGE S SYNODI VP FOR FINANCE 2039327223 2021-05-10 true DAVID M HIGHFILL P01517891 2127589700 2021-05-06 2019 2022-09-23 18:48:47Z GEORGE S SYNODI 300 BOSTON POST ROAD WEST HAVEN CT 06516 303259122 false X WWW.NEWHAVEN.EDU X 1920 CT THE UNIVERSITY OF NEW HAVEN IS A STUDENT- CENTERED COMPREHENSIVE UNIVERSITY WITH AN EMPHASIS ON EXCELLENCE IN LIBERAL ARTS AND PROFESSIONAL EDUCATION. SEE SCHEDULE O FOR DETAIL. 34 34 3076 146 0 0 9431609 14697034 269608697 268751654 4368646 5481463 3924328 3054953 287333280 291985104 91019449 100395612 0 0 104247207 106171736 0 0 2936670 86674202 77968485 281940858 284535833 5392422 7449271 398607936 400134913 190155948 185613939 208451988 214520974 X THE UNIVERSITY OF NEW HAVEN IS A STUDENT-CENTERED COMPREHENSIVE UNIVERSITY WITH AN EMPHASIS ON EXCELLENCE IN LIBERAL ARTS AND PROFESSIONAL EDUCATION. CONTINUED IN SCHEDULE O. false false 226049985 96733982 228884621 UNIVERSITY PROGRAM: THE UNIVERSITY OF NEW HAVEN IS A PRIVATE UNIVERSITY, FOUNDED IN 1920, WITH AN 82 ACRE MAIN CAMPUS AND SATELLITE CAMPUSES IN ORANGE, CT; PRATO, ITALY; AND ALBUQUERQUE, NM. THE UNIVERSITY HAS AN UNDERGRADUATE ENROLLMENT OF 4,912 STUDENTS WITH 54 PERCENT RESIDING IN UNIVERSITY HOUSING. THE UNIVERSITY OFFERS 56 UNDERGRADUATE DEGREES THROUGH ITS FIVE COLLEGES, IN INNOVATIVE FIELDS SUCH AS SPORTS MANAGEMENT, NUTRITION & DIETETICS, FORENSIC SCIENCE, MUSIC AND SOUND rECORDING, ENGINEERING, COMPUTER SCIENCE, FIRE SCIENCE AND CRIMINAL JUSTICE. THE UNIVERSITY ALSO OFFERS ITS STUDENTS A STUDY ABROAD PROGRAM THROUGH A VARIETY OF UNIQUE OFFERINGS. 26484115 3661630 32950247 GRADUATE SCHOOL: THE GRADUATE SCHOOL HAS AN ENROLLMENT OF 1,881 STUDENTS AND OFFERS 33 GRADUATE DEGREE OFFERINGS. THE GRADUATE SCHOOL HELPS STUDENTS ACHIEVE A MORE MEANINGFUL CAREER, THE BENEFITS OF LIFELONG LEARNING AND A SENSE OF RESPONSIBILITY AS A CITIZEN OF THE WORLD. 5257964 9845311 INTERNATIONAL PROGRAM: THE UNIVERSITY HAS AN INTERNATIONAL PROGRAM, DELIVERED ABROAD, WHICH OFFERS A FOUR-YEAR BACCALAUREATE DEGREE IN SECURITIES STUDIES. 257792064 true true false true false false false false false true true false false false true true false true true true true false true false true false false false true true true false false false false false false false false false false true false false false false true true true false false true 520 0 true 3076 true false true IT false false false true true false false false false true false X 34 34 false false false false false false false true true false true false true true true true true true true true false CT X X GEORGE S SYNODI 2039327273 300 BOSTON POST ROAD WEST HAVEN CT 06516 X STEPHEN H KAPLAN President 35.0 0.0 X 1148799 0 182781 Daniel Mabrey Assoc Provost 35.0 0.0 X 522023 0 16809 George S Synodi VP Finance 35.0 0.0 X 386354 0 91065 Gene Kline LECTURER 35.0 0.0 X 446602 0 24636 Michael Jenkins ASSOC PROFESSOR 35.0 0.0 X 414103 0 10149 Stephen Morin VP Institutional Adv 35.0 0.0 X 321000 0 59641 Brian Kench Dean 35.0 0.0 X 283974 0 73488 Daniel J May VP OF ACADEMIC AFFAIRS 35.0 0.0 X 269514 0 81939 Caroline Koziatek VP HUMAN RESOURCES 35.0 0.0 X 260957 0 70989 Ronald S Harichandran Dean 35.0 0.0 X 288034 0 41873 Mario T Gaboury INTERIM PROV.&SR.VP OF ACAD. 35.0 0.0 X 251546 0 68764 Hisham Akhonbay PROFESSOR 35.0 0.0 X 293201 0 4 TRACY MANUEL PROFESSOR 35.0 0.0 X 273965 0 7960 Carolyn Chamberlin VP MARKETING 35.0 0.0 X 239139 0 37287 Rebecca Johnson VP STDT AFFAIR & DEAN OF STDT 35.0 0.0 X 204991 0 53490 Louis C Annino Associate VP Facilities 35.0 0.0 X 215308 0 19121 Walter F Caffey VP Enrollment Management 35.0 0.0 X 182248 0 48108 David Schroeder INTERIM DEAN 35.0 0.0 X 176845 0 28077 Summer J MCGEE DEAN 35.0 0.0 X 180759 0 16294 Michael Rossi INTERIM DEAN 35.0 0.0 X 142586 0 30201 Gregory Eichorn VP Enrollment 35.0 0.0 X 127729 0 36711 Jean Husted VP CHIEF OF STAFF 35.0 0.0 X 150283 0 13526 Gayle Tagliatela Chief of Staff & Sec 35.0 0.0 X 93090 0 35294 Michael H Ambrose BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Philip H Bartels BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Marc N Benhuri BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Samuel S Bergami Jr BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Kenneth W Biermacher BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 William L Bucknall Jr CHAIR 2.0 0.0 X 0 0 0 Cecilia K Carter BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 K ONI Chukwu BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Roger J Cooper BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 RAPHAEL G CRAWFORD BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 John DeStefano Jr BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Eileen Eder BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Dolores J Ennico BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 John J Falconi BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Lawrence P Flanagan BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Rosa M Gatti BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Jeffery P Hazell BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 JENNIFER D JACKSON BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Robert M Lee BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Allen G Love Jr BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Dennis R McGough BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 JOSEPHINE MORAN BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Kevin A Myatt BOARD OF GOVS (THRU 06/30/20) 1.0 0.0 X 0 0 0 David J Peterson Jr BOARD OF GOVs (THRU 06/30/20) 1.0 0.0 X 0 0 0 Charles E Pompea VICE CHAIR 2.0 0.0 X 0 0 0 Michael J Quiello BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Anthony Scillia BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Ernest F Schaub BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Shelley A Stewart BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Stephen P Tagliatela BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Rowena Track BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 James P Zander BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 CAROLYN BREHM BOARD OF GOVS(Began 04/03/20) 1.0 0.0 X 0 0 0 Anil Shah BOARD OF GOVS (BEGAN 02/06/20) 1.0 0.0 X 0 0 0 Randal Thompson BOARD OF GOVS (BEGAN 09/20/19) 1.0 0.0 X 0 0 0 Prathibha Varkey BOARD OF GOVS (BEGAN 07/01/19) 1.0 0.0 X 0 0 0 6873050 0 1048207 251 false true false CONSIGLI CONSTRUCTION CO INC 72 SUMNER ST MILFORD MA 017571663 CONSTRUCTION 37284071 SODEXO INC PO BOX 3601470 PITTSBURGH PA 15251 FOOD SERVICE 15504939 MILESTONE CONSTRUCTION SERVICES LL 64 THOMPSON ST STE A-108 EAST HAVEN CT 06513 CONSTRUCTION 5464328 PAT MUNGER CONSTRUCTION CO INC 750 E MAIN STREET SUITE 1 BRANFORD CT 064052950 CONSTRUCTION 2729338 Education Dynamics LLC PO BOX 780276 PHILADELPHIA PA 191780276 STUD. MKTG RESEARCH 1125013 60 X 35650 6187804 8473580 633146 14697034 TUITION 611600 227814995 227814995 RESIDENCE FEES 721310 22200257 22200257 DINING FEES 722320 10829860 10829860 INTERNATIONAL PROGRAMS 611710 7629945 7629945 COMMISSIONS 900099 276597 276597 268751654 2764336 2764336 60025 60025 0 298362 179679 118683 0 118683 118683 13743941 11086839 2657102 2657102 2657102 15245 35650 7500 7745 7745 0 0 0 0 0 0 GRANT IDC 900099 824809 824809 AMORTIZATION OF CAPITAL CONTRIBUTIONS 900099 532380 532380 ATHLETIC & OTHER STUDENT REV 900099 598145 598145 973191 973191 2928525 291985104 271680179 5607891 0 0 95707791 95707791 4687821 4687821 0 6270451 1670951 3844193 755307 0 77433852 67144274 9175813 1113765 3899009 3186637 631159 81213 13159076 9822769 3121017 215290 5409348 4657774 669381 82193 89990 89990 1333552 1199555 133997 299230 275346 23884 119259 119259 0 432442 364134 68308 5601933 4416905 1168438 16590 695891 520322 174357 1212 5849615 4918080 849933 81602 3978273 3503676 460915 13682 0 3917603 3865881 51696 26 2538626 2220155 184302 134169 0 61606 55575 5495 536 4460966 4063493 397026 447 0 8586146 7821118 764168 860 3102572 3008635 93830 107 FOOD SERVICES 12244587 12126874 72469 45244 LEASE & RENTAL 5134647 4658557 195268 280822 OTHER SERVICE AGREEMENT 6165625 4689312 1371585 104728 REPAIRS AND MAINTENANCE 6091041 6025657 65280 104 7264881 6971523 284585 8773 284535833 257792064 23807099 2936670 435921 903801 36530491 17909062 5152958 4499563 4457670 3939225 0 0 0 0 1813882 903525 0 0 1249488 1507778 450178529 173825360 242978997 276353169 89759618 84053671 16228911 10065119 0 0 0 0 0 0 398607936 400134913 29732644 30095210 2666134 1599885 24454569 25116771 122201876 121383044 0 0 0 0 6811008 3480846 0 0 4289717 3938183 190155948 185613939 X 150853304 151020330 57598684 63500644 208451988 214520974 398607936 400134913 7449271 -1380285 X false true X true true true X 11539235 23472329 13948490 9431609 14697034 73088697 0 0 11539235 23472329 13948490 9431609 14697034 73088697 13652768 59435929 1245951 1210542 1771532 3157263 3122723 10508011 0 2538372 3298228 3832369 3845599 2928525 16443093 100039801 1283590011 0.59412 0.60910 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false false false false false false true 119259 false false 119259 false SCHEDULE C, PART II-B, LINE 1G LOBBYING ACTIVITY THE UNIVERSITY OF NEW HAVEN USES THE SERVICES OF 'THE NORMANDY GROUP'. 'THE NORMANDY GROUP' WORKS WITH THE UNIVERSITY TO ADVANCE ITS FEDERAL, LEGISLATIVE AGENDA AND OBTAIN FUNDING THROUGH THE VARIOUS FY20 APPROPRIATION BILLS. IN ADDITION, THE UNIVERSITY PAYS DUES TO VARIOUS PROFESSIONAL ORGANIZATIONS. AN IMMATERIAL AMOUNT OF THESE DUES ARE ATTRIBUTED TO LOBBYING EXPENSES. 66419712 1008670 1446474 710130 1245565 66919161 63793485 101480 3954168 887128 542293 66419712 47521985 13612687 4067022 508214 899995 63793485 43588303 1403835 4020339 867673 622819 47521985 44898458 1242766 -1587249 538821 426851 43588303 0.51340 0.32450 0.16210 false false 13264215 13264215 270398103 93498968 176899135 7364537 6849071 515466 71054229 60068004 10986225 88097445 13409317 74688128 276353169 0 POST RETIREMENT OBLIGATION 3938183 3938183 X 192389731 -1380285 -97782646 -99162931 291552662 432442 432442 291985104 186315801 382961 382961 185932840 432442 98170551 98602993 284535833 SCHEDULE D, PART V, LINE 4 USE OF ENDOWMENT FUNDS THE UNIVERSITY'S ENDOWMENT CONSISTS OF APPROXIMATELY 250 INDIVIDUAL FUNDS. THROUGH THE ENDOWMENTS INVESTMENT POLICY, FUNDS ARE AVAILABLE FOR SCHOLARSHIPS, PROFESSORSHIPS, EQUIPMENT, RESEARCH AND PROFESSIONAL DEVELOPMENT. SCHEDULE D, PART X, LINE 2 INCOME TAXES FOOTNOTE FROM CONSOLIDATED FINANCIAL STATEMENTS: THE UNIVERSITY AND LYME ACADEMY WERE GRANTED AN EXEMPT STATUS UNDER THE INTERNAL REVENUE CODE (IRC) SECTION 501(A), AS ORGANIZATIONS DESCRIBED IN SECTION 501(C)(3). UNDER IRC SECTION 501(A) THE UNIVERSITY AND LYME ACADEMY ARE GENERALLY EXEMPT FROM INCOME TAXES. THE UNIVERSITY AND LYME ACADEMY BELIEVE THEY HAVE NO SIGNIFICANT UNCERTAIN TAX POSITIONS. The University entered into an affiliation agreement effective July 31, 2014 with the Lyme Academy as its sole corporate member. Lyme Academy functioned as a separate academic unit of the University with its historical mission to be advanced by the University. The University ended the affiliation agreement effective June 30, 2019. SCHEDULE D, PART XI, LINE 2D RECONCILIATION OF AUDITED FINANCIAL STATEMENTS TO FORM 990 FINANCIAL AID $(98,170,551) FUNDRAISING EXPENSE $ 7,500 RENTAL EXPENSE $ 179,679 ADJUSTMENT FOR NON-CONSOLIDATED SUB $ 200,726 ---------------------------- TOTAL $ (97,782,646) SCHEDULE D, PART XII, LINE 2D RECONCILIATION OF AUDITED FINANCIAL STATEMENTS TO FORM 990 FUNDRAISING EXPENSE $7,500 RENTAL EXPENSE $179,679 ADJUSTMENT FOR NON-CONSOLIDATED SUB $195,782 ---------------------- TOTAL $382,961 SCHEDULE D, PART XII, LINE 4B FINANCIAL AID $98,170,551 true true true true true true true false false false false false false false false true false true SCHEDULE E, PART I, LINE 3 NON-DISCRIMINATION POLICY THE UNIVERSITY OF NEW HAVEN REFERENCES ITS NON-DISCRIMINATION POLICY IN ITS PUBLICATIONS INCLUDING COURSE CATALOGS, JOB APPLICATIONS, AND STUDENT APPLICATIONS AS WELL AS ON THE UNIVERSITY'S WEBSITE. SCHEDULE E, PART I, LINE 6A FINANCIAL AID FUNDS THE UNIVERSITY OF NEW HAVEN RECEIVES FINANCIAL AID FUNDS FOR DISBURSEMENT TO STUDENTS. FEDERAL FUNDS INCLUDE SEOG, PELL, PERKINS AND FEDERAL WORK STUDY. STATE FUNDS INCLUDE THE ROBERTA WILLS SCHOLARSHIP PROGRAM. FINANCIAL AID PROGRAMS THE UNIVERSITY OF NEW HAVEN IS COMMITTED TO ASSISTING STUDENTS IN FINANCING THEIR EDUCATION. THE UNIVERSITY OFFERS A COMPREHENSIVE FINANCIAL AID PROGRAM, WITH THE STUDENTS RECEIVING ASSISTANCE IN THE FORM OF GRANTS, SCHOLARSHIPS, STUDENT LOANS, AND PART-TIME EMPLOYMENT WHICH ARE AVAILABLE FROM FEDERAL AND STATE FUNDS, PRIVATE SPONSORS, AND FROM UNIVERSITY RESOURCES. MORE THAN 90% OF THE UNIVERSITY'S FULL-TIME UNDERGRADUATE STUDENTS RECEIVE SOME FORM OF FINANCIAL ASSISTANCE. IN CALCULATING NEED, THE FINANCIAL AID OFFICE ATTEMPTS TO CONSIDER ALL ASPECTS OF A STUDENT'S FINANCIAL CIRCUMSTANCES. NEED-BASED AWARDS ARE ONLY AVAILABLE TO U.S. CITIZENS OR ELIGIBLE NON-CITIZENS. SOME FUNDS ARE AVAILABLE ON A MERIT BASIS FOR STUDENTS WHO HAVE EXCEPTIONAL ACADEMIC RECORDS OR ATHLETIC ABILITY. STUDENTS MUST BE MAKING SATISFACTORY ACADEMIC PROGRESS AND BE IN GOOD ACADEMIC STANDING IN ORDER TO BE ELIGIBLE TO RECEIVE FINANCIAL AID. GRADUATE STUDENTS MUST SUCCESSFULLY COMPLETE ALL CREDITS FOR WHICH FINANCIAL AID HAS BEEN AWARDED, AS INDICATED ON THE STUDENT'S INDIVIDUAL FINANCIAL AID AWARD LETTER. true Europe (Including Iceland and Greenland) 1 27 Program Services INSTRUCTION 1669209 Middle East and North Africa 1 7 Program Services INSTRUCTION 2580932 Central America and the Caribbean Program Services STUDY ABROAD 21607 Russia and the Newly Independent States Program Services STUDY ABROAD 6442 Europe (Including Iceland and Greenland) Program Services STUDY ABROAD 57218 East Asia and the Pacific Program Services STUDY ABROAD 129957 East Asia and the Pacific Program Services RECRUITMENT 2000 Middle East and North Africa Program Services RECRUITMENT 58280 South Asia Program Services RECRUITMENT 847948 Central America and the Caribbean Grantmaking 290745 East Asia and the Pacific Grantmaking 537179 Europe (Including Iceland and Greenland) Grantmaking 417049 Middle East and North Africa Grantmaking 230806 North America Grantmaking 37343 Russia and the Newly Independent States Grantmaking 69334 South America Grantmaking 153511 South Asia Grantmaking 2528814 Sub-Saharan Africa Grantmaking 423040 2 34 2 34 9638374 423040 10061414 UNH INSTITUTIONAL AID Central America and the Caribbean 11 290745 ACCT CREDIT UNH INSTITUTIONAL AID East Asia and the Pacific 58 537179 ACCT CREDIT UNH INSTITUTIONAL AID Europe (Including Iceland and Greenland) 21 417049 ACCT CREDIT UNH INSTITUTIONAL AID Middle East and North Africa 19 230806 ACCT CREDIT UNH INSTITUTIONAL AID Russia and the Newly Independent States 6 69334 ACCT CREDIT UNH INSTITUTIONAL AID South America 13 153511 ACCT CREDIT UNH INSTITUTIONAL AID South Asia 460 2528814 ACCT CREDIT UNH INSTITUTIONAL AID Sub-Saharan Africa 49 423040 ACCT CREDIT UNH INSTITUTIONAL AID North America 3 37343 ACCT CREDIT false false false false false true SCHEDULE F, PART I METHOD OF ACCOUNTING THE ACCRUAL METHOD OF ACCOUNTING IS USED TO VALUE ALL EXPENDITURES LISTED ON SCHEDULE F, PART I. SCHEDULE F, PART I, LINE 2 PROCEDURES FOR MONITORING USE OF GRANTS THE UNIVERSITY OF NEW HAVEN IS COMMITTED TO ASSISTING STUDENTS IN FINANCING THEIR EDUCATION. THE UNIVERSITY OFFERS A COMPREHENSIVE FINANCIAL AID PROGRAM MADE UP OF ONLY INSTITUTIONAL AID, WITH THE STUDENTS RECEIVING ASSISTANCE IN THE FORM OF GRANTS, SCHOLARSHIPS, STUDENT LOANS, AND PART-TIME EMPLOYMENT. MORE THAN 90% OF THE UNIVERSITY'S FULL-TIME UNDERGRADUATE STUDENTS RECEIVE SOME FORM OF FINANCIAL ASSISTANCE. MOST FINANCIAL AID AWARDS ARE BASED ON AN INDIVIDUAL'S DEMONSTRATION OF NEED AFTER CAREFUL CONSIDERATION OF THE APPLICATION FOR ASSISTANCE. IN CALCULATING NEED, THE FINANCIAL AID OFFICE ATTEMPTS TO CONSIDER ALL ASPECTS OF A STUDENT'S FINANCIAL CIRCUMSTANCES. NEED-BASED AWARDS ARE ONLY AVAILABLE TO U.S. CITIZENS OR ELIGIBLE NON-CITIZENS. SOME FUNDS ARE AVAILABLE ON A MERIT BASIS FOR STUDENTS WHO HAVE EXCEPTIONAL ACADEMIC RECORDS OR ATHLETIC ABILITY. STUDENTS MUST BE MAKING SATISFACTORY ACADEMIC PROGRESS AND BE IN GOOD ACADEMIC STANDING IN ORDER TO BE ELIGIBLE TO RECEIVE FINANCIAL AID. GRADUATE STUDENTS MUST SUCCESSFULLY COMPLETE ALL CREDITS FOR WHICH FINANCIAL AID HAS BEEN AWARDED, AS INDICATED ON THE STUDENT'S INDIVIDUAL FINANCIAL AID AWARD LETTER. FEDERAL, STATE, PRIVATE GRANT FUNDS AND INSTITUTIONAL AID FUNDS ARE NORMALLY APPLIED AS CREDITS TO STUDENT ACCOUNTS. GOLF TOURNAMENT 50895 35650 15245 7500 0 50895 35650 15245 7500 7500 7745 true INSTITUTIONAL AID 5593 90932897 FEDERAL GRANTS 230 801521 STATE GRANTS 256 892770 PRIVATE GRANTS 338 844653 EMERGENCY AID TO STUDENTS 2033 2235950 SCHEDULE I, PART I, LINE 2 PROCEDURES FOR MONITORING USE OF GRANTS FINANCIAL AID PROGRAMS: THE UNIVERSITY OF NEW HAVEN IS COMMITTED TO ASSISTING STUDENTS IN FINANCING THEIR EDUCATION. THE UNIVERSITY OFFERS A COMPREHENSIVE FINANCIAL AID PROGRAM, WITH THE STUDENTS RECEIVING ASSISTANCE IN THE FORM OF GRANTS, SCHOLARSHIPS, STUDENT LOANS, AND PART-TIME EMPLOYMENT WHICH ARE AVAILABLE FROM FEDERAL AND STATE FUNDS, PRIVATE SPONSORS, AND FROM UNIVERSITY RESOURCES. MORE THAN 90% OF THE UNIVERSITY'S FULL-TIME UNDERGRADUATE STUDENTS RECEIVE SOME FORM OF FINANCIAL ASSISTANCE. MOST FINANCIAL AID AWARDS ARE BASED ON AN INDIVIDUAL'S DEMONSTRATION OF NEED AFTER CAREFUL CONSIDERATION OF THE APPLICATION FOR ASSISTANCE. IN CALCULATING NEED, THE FINANCIAL AID OFFICE ATTEMPTS TO CONSIDER ALL ASPECTS OF A STUDENT'S FINANCIAL CIRCUMSTANCES. NEED-BASED AWARDS ARE ONLY AVAILABLE TO U.S. CITIZENS OR ELIGIBLE NON-CITIZENS. SOME FUNDS ARE AVAILABLE ON A MERIT BASIS FOR STUDENTS WHO HAVE EXCEPTIONAL ACADEMIC RECORDS OR ATHLETIC ABILITY. STUDENTS MUST BE MAKING SATISFACTORY ACADEMIC PROGRESS AND BE IN GOOD ACADEMIC STANDING IN ORDER TO BE ELIGIBLE TO RECEIVE FINANCIAL AID. GRADUATE STUDENTS MUST SUCCESSFULLY COMPLETE ALL CREDITS FOR WHICH FINANCIAL AID HAS BEEN AWARDED, AS INDICATED ON THE STUDENT'S INDIVIDUAL FINANCIAL AID AWARD LETTER. FEDERAL, STATE, PRIVATE GRANT FUNDS AND INSTITUTIONAL AID FUNDS ARE NORMALLY APPLIED AS CREDITS TO STUDENT ACCOUNTS. SCHEDULE I, PART III, LINE 5 THE UNIVERSITY PROVIDED DIRECT EMERGENCY AID TO ELIGIBLE STUDENTS FOR THEIR EXPENSES RELATED TO THE DISRUPTION OF CAMPUS OPERATIONS DUE TO CORONAVIRUS, SUCH AS FOOD, HOUSING, COURSE MATERIALS, TECHNOLOGY, HEALTHCARE, AND CHILDCARE EXPENSES. $2,235,950 WAS FUNDED BY THE HIGHER EDUCATION EMERGENCY RELIEF FUND (HEERF) ESTABLISHED UNDER THE CORONAVIRUS AID, RELIEF, AND ECONOMIC SECURITY ACT (CARES ACT). X X true true X X X X false true false false false false false true false STEPHEN H KAPLAN President 688053 0 350000 0 110746 0 144000 0 38781 0 1331580 0 0 0 George S Synodi VP Finance 329277 0 52000 0 5077 0 44000 0 47065 0 477419 0 0 0 Stephen Morin VP Institutional Adv 290014 0 29500 0 1486 0 44349 0 15292 0 380641 0 0 0 Daniel J May VP OF ACADEMIC AFFAIRS 265467 0 0 0 4047 0 37895 0 44044 0 351453 0 0 0 Walter F Caffey VP Enrollment Management 154652 0 26000 0 1596 0 14977 0 33131 0 230356 0 0 0 Caroline Koziatek VP HUMAN RESOURCES 222729 0 36000 0 2228 0 21635 0 49354 0 331946 0 0 0 Carolyn Chamberlin VP MARKETING 212123 0 0 0 27016 0 18109 0 19178 0 276426 0 0 0 Rebecca Johnson VP STDT AFFAIR & DEAN OF STDT 198858 0 0 0 6133 0 18926 0 34564 0 258481 0 0 0 Brian Kench Dean 283344 0 0 0 630 0 25473 0 48015 0 357462 0 0 0 Ronald S Harichandran Dean 279120 0 2250 0 6664 0 41870 0 3 0 329907 0 0 0 Mario T Gaboury INTERIM PROV.&SR.VP OF ACAD. 245761 0 0 0 5785 0 21311 0 47453 0 320310 0 0 0 Louis C Annino Associate VP Facilities 212420 0 1500 0 1388 0 19118 0 3 0 234429 0 0 0 Daniel Mabrey Assoc Provost 182865 0 0 0 339158 0 16807 0 2 0 538832 0 0 0 Gene Kline LECTURER 240465 0 0 0 206137 0 22081 0 2555 0 471238 0 0 0 Summer J MCGEE DEAN 180520 0 0 0 239 0 16292 0 2 0 197053 0 0 0 Michael Jenkins ASSOC PROFESSOR 111833 0 0 0 302270 0 10148 0 1 0 424252 0 0 0 Gregory Eichorn VP Enrollment 127053 0 0 0 676 0 12150 0 24561 0 164440 0 0 0 Jean Husted VP CHIEF OF STAFF 150283 0 0 0 0 0 13526 0 0 0 163809 0 0 0 David Schroeder INTERIM DEAN 168500 0 2500 0 5845 0 16361 0 11716 0 204922 0 0 0 Hisham Akhonbay PROFESSOR 55000 0 0 0 238201 0 0 0 4 0 293205 0 0 0 Michael Rossi INTERIM DEAN 139419 0 2250 0 917 0 13898 0 16303 0 172787 0 0 0 TRACY MANUEL PROFESSOR 88117 0 0 0 185848 0 7956 0 4 0 281925 0 0 0 SCHEDULE J, PART I, LINE 1A & PART II, COLUMN (B)(III) HOUSING ALLOWANCE THE AMOUNT REPORTED IN COLUMN B(III) FOR STEVEN KAPLAN CONTAINS $85,000 WHICH REPRESENTS A HOUSING ALLOWANCE PROVIDED BY THE UNIVERSITY. THIS FORM OF COMPENSATION IS TYPICAL FOR A UNIVERSITY PRESIDENT AND THE AGREEMENT WAS APPROVED BY THE UNIVERSITY'S BOARD OF GOVERNORS. THE HOUSING ALLOWANCE PROVISION WAS CREATED UNDER THE UNIVERSITY'S COMPENSATION POLICY. A FORMALIZED WRITTEN EMPLOYMENT CONTRACT CONTAINING THE HOUSING ALLOWANCE WAS APPROVED BY THE BOARD OF GOVERNORS AND SIGNED BY THE CHAIRMAN. THE HOUSING ALLOWANCE IS INCLUDED IN THE PRESIDENT'S TAXABLE INCOME. TRAVEL FOR SPOUSE TRAVEL FOR A SPOUSE IS ONLY ALLOWED FOR THE PRESIDENT OF THE UNIVERSITY WHERE A BUSINESS PURPOSE EXISTS AND REQUIRES THE SPOUSE TO PARTICIPATE. DURING THE YEAR, THE UNIVERSITY INCURRED NO TRAVEL RELATED EXPENSES FOR THE PRESIDENT'S SPOUSE. INTERNATIONAL TRAVEL AND HOUSING AS PART OF AN EMPLOYMENT AGREEMENT, CERTAIN HIGHEST COMPENSATED EMPLOYEES WORK IN SAUDI ARABIA. HOUSING, TRAVEL AND OTHER COSTS ASSOCIATED WITH THE ARRANGEMENT ARE PAID BY THE UNIVERSITY AND INCLUDED IN THE EMPLOYEE'S TAXABLE INCOME. SCHEDULE J, PART I, LINE 4B & PART II, COLUMN (C) NON-QUALIFIED RETIREMENT PLAN STEVEN KAPLAN PARTICIPATED IN A NON-QUALIFIED RETIREMENT PLAN UNDER IRC SECTION 457(F). DURING THE YEAR, THE UNIVERSITY MADE PAYMENTS IN THE AMOUNT OF $100,000 TO HIS 457(F) PLAN. AS REQUIRED, THIS PAYMENT HAS BEEN REPORTED ON SCHEDULE J, PART II, COLUMN (C). SCHEDULE J, PART I, LINE 7 NON-FIXED PAYMENTS NON-FIXED PAYMENTS TO OFFICERS, KEY EMPLOYEES AND HIGHLY COMPENSATED EMPLOYEES ARE REPORTED IN SCHEDULE J, PART II, COLUMN B(II). A CHEFA 2018 SERIES K1 060806186 20774Y4T1 2018-05-01 97611168 REFINANCE PRIOR DEBT CHEFA SERIES false false false B CHEFA 2019 SERIES K3 060806186 20774Y6K8 2018-11-28 26904071 CONSTRUCT ACADEMIC BUILDING false false false A 0 0 97611168 0 0 0 1004718 0 0 0 96606450 0 2015 true false true true B 0 0 26904071 0 0 0 531301 0 0 0 26372770 0 false false false true A false true false false 0.00310 0.00000 0.00310 false false false true B false false false false 0.00000 0.00000 0.00000 false false false true A false true true false false false 0 false 0 false true B false true false false false false 0 false 0 false true A true B true SCHEDULE K, PART II, LINE 11 OTHER SPENT PROCEEDS - 2018 SERIES K1 OF THE SPENT PROCEEDS, $96,098,090 WAS USED TO REFUND BONDS ISSUED 8/11/2010, 10/11/2013 AND 11/22/2013. OF THE SPENT PROCEEDS, $508,360 WAS A QUALIFIED HEDGE TERMINATION PAYMENT. SCHEDULE K, PART III, LINE 3A MANAGEMENT AND SERVICE CONTRACTS ALL MANAGEMENT AND SERVICE CONTRACTS IN THIS BOND FINANCED SPACE FALL UNDER THE SAFE HARBOR PROVIDED BY REVENUE PROCEDURE 2016-44 AND WILL NOT RESULT IN PRIVATE BUSINESS USE. SCHEDULE K, PART IV, LINE 2B ARBITRAGE CALCULATION - 2018 SERIES K1 THE ORGANIZATION MET THE EIGHTEEN MONTH SPENDING EXCEPTION; THEREFORE NO REBATE CALCULATION IS REQUIRED. X 7 633146 MARKET VALUE false true false SCHEDULE M, PART I, COLUMN B NUMBER OF CONTRIBUTIONS THE AMOUNT IN COLUMN B INDICATES THE NUMBER OF INDIVIDUAL CONTRIBUTIONS. FORM 990, PART I, LINE 1 AND PART III, LINE 1 ORGANIZATION'S MISSION OUR MISSION IS TO PREPARE OUR STUDENTS TO LEAD PURPOSEFUL AND FULFILLING LIVES IN A GLOBAL SOCIETY BY PROVIDING THE HIGHEST-QUALITY EDUCATION THROUGH EXPERIENTIAL, COLLABORATIVE, AND DISCOVERY-BASED LEARNING. Form 990, Part VI, section b, Line 10a Branches THE UNIVERSITY OPERATES THE FOLLOWING CAMPUSES: WEST HAVEN, CT; ORANGE, CT; PRATO, ITALY; SAN FRANCISCO, CA; ALBUQUERQUE, NM; AND NEW LONDON, CT. Form 990, Part VI, Line 11b FORM 990 REVIEW PROCESS A COMPLETED COPY OF THE FORM 990 WAS MADE AVAILABLE TO ALL BOARD MEMBERS VIA A SECURE WEB PORTAL FOR REVIEW, COMMENT AND QUESTIONS PRIOR TO SUBMISSION TO THE INTERNAL REVENUE SERVICE. FORM 990, PART VI, SECTION B, LINE 12C CONFLICT OF INTEREST POLICY THE CONFLICT OF INTEREST POLICY WAS CREATED TO COMPLY WITH THE CONNECTICUT REVISED NON-STOCK CORPORATION ACT WHICH MEETS THE REQUIREMENTS OF THE INTERNAL REVENUE SERVICE. THE POLICY IDENTIFIES WHAT CONSTITUTES A CONFLICT OF INTEREST FOR A BOARD MEMBER AND WHAT IS REQUIRED OF A BOARD MEMBER IF A CONFLICT WERE TO ARISE. THE UNDERLYING PRINCIPLES OF THE POLICY ARE AIMED AT INSURING A FULL AND TIMELY DISCLOSURE MADE BY A BOARD MEMBER REGARDING ANY CONFLICT OF INTEREST THAT MAY EXIST. BOARD MEMBERS WITH CONFLICTS ARE NOT TO BE INVOLVED IN ANY BOARD DELIBERATIONS OR VOTE ON THE MATTER. IN ADDITION, IF THE TRANSACTION IS TO BE APPROVED AT THE UNIVERSITY STAFF LEVEL, THEN, THE BOARD MEMBER SHALL HAVE NO INVOLVEMENT IN THE STAFF DECISION MAKING PROCESS. THE PROCEDURES REGARDING THE IMPLEMENTATION OF THE CONFLICTS POLICY CONTAINS THREE STEPS; SUBMISSION OF THE ANNUAL CONFIRMATION FORM, REPORTING OF SUBSEQUENT CONFLICTS OF INTEREST AND THE SECRETARY'S ROLE IN REPORTING CONFLICTS TO THE ETHICS SUBCOMMITTEE OF THE BOARD'S EXECUTIVE COMMITTEE. THE SCOPE OF THIS POLICY COVERS CURRENT BOARD MEMBERS, AND IS REVIEWED AND MONITORED WITH THE SUBMISSION OF THE ANNUAL CONFIRMATION FORM BEING SUBMITTED TO THE EXECUTIVE ASSISTANT TO THE PRESIDENT. AN ADDITIONAL CONFIRMATION IS SECURED WITH A REVIEW OF THE ANNUAL CONFIRMATION FORMS BY THE UNIVERSITY ADMINISTRATION. FORM 990, PART VI, SECTION B, LINES 15A AND 15B COMPENSATION POLICY AND PROCEDURES THERE ARE TWO SEQUENTIAL STEPS TAKEN EACH FISCAL YEAR AT THE UNIVERSITY OF NEW HAVEN WITH REGARD TO THE DECISIONS MADE BY THE BOARD OF GOVERNORS IN CONNECTION WITH THE COMPENSATION AWARDED TO THE TOP MANAGEMENT OFFICIALS AT THE UNIVERSITY. SENIOR OFFICERS CONSIST OF: (I) THE PRESIDENT; (II) THE PROVOST; AND (111) THE VICE PRESIDENTS. THE FIRST STEP INVOLVES A SPECIAL COMMITTEE OF THE BOARD OF GOVERNORS, THE COMPENSATION COMMITTEE (THE "COMMITTEE"), WHICH IS COMPRISED OF FIVE MEMBERS: (I) THE BOARD CHAIR AND VICE CHAIR; AND (II) THREE OTHER BOARD MEMBERS. THE MEMBERS OF THE COMMITTEE ARE SELECTED BY THE BOARD CHAIR; AND THE COMMITTEE HAS BEEN AUTHORIZED BY THE BOARD TO ACT IN ITS SPECIAL CAPACITY. THE MEMBERS OF THE COMMITTEE ARE INDEPENDENT PERSONS WITH NO CONFLICTS OF INTEREST, AND WHO ARE ABLE TO CONDUCT THE COMPENSATION REVIEW AT "ARMS' LENGTH". WITH REGARD TO THE UNIVERSITY'S 7/1/19 -6/30/20 FISCAL YEAR, THE COMMITTEE CONDUCTED AN IN-DEPTH REVIEW AND DISCUSSION, AT THE COMMITTEE LEVEL REGARDING FOUR RELEVANT MATTERS. FIRST, IT REVIEWED THE VARIOUS ELEMENTS OF THE COMPENSATION FOR EACH SENIOR OFFICER, INCLUDING BASE SALARY, BONUS INCENTIVES, STANDARD ERISA-QUALIFIED HEALTH AND RETIREMENT PLANS, TAXABLE ALLOWANCES, AND OTHER BENEFITS. SECOND, THE COMMITTEE REVIEWED APPROPRIATE COMPENSATION COMPARABILITY DATA BASED ON THE GEOGRAPHIC LOCATION, ACADEMIC PROGRAMS OFFERED AND THE FINANCIAL RESOURCES OF OTHER UNIVERSITIES. THIRD, THE REASONABLENESS OF THIS DATA WAS SUBSTANTIATED WITH BENCHMARKING EACH SENIOR OFFICER'S POSITION WITH MARKET NORMS. FOURTH, AND FINALLY, THE LEVELS OF RESPONSIBILITY AND OVERALL QUALIFICATIONS OF EACH OF THE SENIOR OFFICERS RELATIVE TO MARKET COMPARABLE POSITIONS, AND ALSO EACH SENIOR OFFICER'S JOB PERFORMANCE, WERE ALSO REVIEWED. (AS IS PRUDENT, THE COMMITTEE'S DELIBERATIONS AND DECISIONS WERE DOCUMENTED BY CONTEMPORANEOUSLY-PREPARED MINUTES BY A COMMITTEE MEMBER WHO IS A PRACTICING CONNECTICUT ATTORNEY.) THE FINAL STEP IN THE COMPENSATION ANNUAL REVIEW AND APPROVAL PROCESS COMMENCED WITH THE COMMITTEE'S PRESENTATION OF ITS ANNUAL REPORT AND RECOMMENDATIONS AT A MEETING OF THE BOARD OF GOVERNORS WITH REGARD TO:(I) THE DATA THAT THE COMMITTEE HAD REVIEWED; AND (II) ITS COMPENSATION RECOMMENDATIONS TO THE BOARD. (IN THIS CONTEXT, ALL MEMBERS OF THE BOARD ARE INDEPENDENT PERSONS WITH NO CONFLICTS OF INTEREST, AND WHO ARE ABLE TO CONDUCT THE COMPENSATION REVIEW AT "ARMS' LENGTH.") THE BOARD THEN DISCUSSED THIS DATA FROM THE COMMITTEE AND ALSO THE COMMITTEE'S RECOMMENDATIONS. THERE UPON, A RESOLUTION WAS ADOPTED BY A MAJORITY OF THE BOARD IN ITS APPROVAL OF THE PARTICULAR COMPENSATION AMOUNTS TO BE AWARDED TO EACH OF THE SENIOR OFFICERS. (AS IS PRUDENT, THE BOARD'S DELIBERATIONS AND DECISIONS WERE DOCUMENTED BY CONTEMPORANEOUSLY-PREPARED MINUTES BY A BOARD MEMBER WHO IS A PRACTICING CONNECTICUT ATTORNEY.) IN ADDITION, COMPENSATION FOR KEY EMPLOYEES IS CALCULATED IN A SIMILAR FASHION AS PROVIDED ABOVE BUT DOES NOT REQUIRE COMMITTEE OR BOARD REVIEW OR APPROVAL. THEREFORE, THE UNIVERSITY OF NEW HAVEN HAS DETERMINED THAT ITS POLICIES AND PROCEDURES FOR DETERMINING THE COMPENSATION OF ITS TOP MANAGEMENT OFFICIALS AND ALL OTHER OFFICERS AND KEY EMPLOYEES OF THE UNIVERSITY, MEET THE REQUIREMENTS OF THE ATTRIBUTABLE PRESUMPTION OF REASONABLENESS. FORM 990, PART VI, LINE 19 PUBLIC DISCLOSURE POLICY THE UNIVERSITY ALLOWS ACCESS TO IMPORTANT DOCUMENTS OF PUBLIC INTEREST THROUGH THE UNIVERSITY'S WEB SITE. THE UNIVERSITY'S TAX RETURN (FORM 990) AND AUDITED FINANCIAL STATEMENTS ARE MADE AVAILABLE FOR PUBLIC INSPECTION. EFFECTS OF COVID-19 FORM 990, PART VIII, LINE 1E The University received $2,235,950 in HEERF/CARES Act funding for distribution to students as prescribed by the Department of Education. FORM 990, PART VIII, LINES 2B & 2C In March 2020, due to the COVID19 pandemic, the University had to close its on campus residence and meal plan operations. As a result, the University issued $1,293,655 in refunds to students. HENRY C LEE INST OF FORENSIC SCIENCE 300 BOSTON POST ROAD WEST HAVEN CT 06516 061629144 EDUCATION CT 501(C) (3) 12A(I) UNH true UNIVERSITY OF NEW HAVEN DENTAL CENTER 300 BOSTON POST ROAD WEST HAVEN CT 06516 061629143 INACTIVE CORP CT 501(C) (3) 12A(i) UNH true CHARITABLE REMAINDER TRUSTS (2) Charitable Trust CT NA T true false false false false false false false false false false false false true true false false true true HENRY C LEE INSTITUTE OF FORENSIC SCIENCE N 371671 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE O 253543 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE R 346168 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE S 187613 FMV