2020-07-15T09:21:54-05:00 2019-06-30 KPMG LLP 345 PARK AVENUE NEW YORK NY 10154 990 2018-07-01 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 2020-07-13 true Devin L Duncan P01249521 2127589700 2020-07-13 199.207.253.96 06014420201975000016 2020-07-15 P 4F27BE72452CBE2C9CC2DE6A9BF72F36BBCEB5E7 A58D02BD638CC3F5B233D5004A52721338703954 2018 2021-01-29 14:40:06Z GEORGE S SYNODI 300 BOSTON POST ROAD WEST HAVEN CT 06516 299664989 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. 32 32 3137 113 0 0 13948490 9431609 261119394 269608697 2575882 4368646 3513757 3924328 281157523 287333280 86359320 91019449 0 0 100445822 104247207 0 0 3400482 83729337 86674202 270534479 281940858 10623044 5392422 363244797 398607936 162161568 190155948 201083229 208451988 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 211227910 78831283 235655227 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 ENDROLLMENT OF 5,092 STUDENTS WITH 54 PERCENT RESIDING IN UNIVERSITY HOUSING. THE UNIVERSITY OFFERS 57 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. 33427446 12188166 29405245 GRADUATE SCHOOL: THE GRADUATE SCHOOL HAS AN ENROLLMENT OF 1,755 STUDENTS AND OFFERS 32 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. 4975943 8393824 INTERNATIONAL PROGRAM: THE UNIVERSITY HAS AN INTERNATIONAL PROGRAM, DELIVERED ABROAD, WHICH OFFERS A FOUR-YEAR BACCALAUREATE DEGREE IN SECURITIES STUDIES. 249631299 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 538 0 true 3137 true false true IT false false false true true false false false false false false X 32 32 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 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 1.0 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 GOVS (BEGAN 9/28/18) 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 GOVS (BEGAN 1/31/19) 1.0 0.0 X 0 0 0 Janet Jensen BOARD OF GOVS (THRU 8/16/18) 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 GOVS (BEGAN 1/31/19) 1.0 0.0 X 0 0 0 Kevin A Myatt BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 David J Peterson Jr BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Charles E Pompea VICE CHAIR 1.0 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 GOVS (BEGAN 7/1/18) 1.0 0.0 X 0 0 0 Astrid G Schroeder de Farkas Horan BOARD OF GOVS (THRU 8/17/18) 1.0 0.0 X 0 0 0 Shelley A Stewart BOARD OF GOVS (BEGAN 9/28/18) 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 GOVS (BEGAN 1/31/19) 1.0 0.0 X 0 0 0 STEPHEN H KAPLAN President 35.0 0.0 X 1083603 0 187643 George S Synodi VP Finance 35.0 0.0 X 404185 0 87813 Stephen Morin VP Institutional Adv 35.0 0.0 X 320121 0 51386 Daniel J May Provost 35.0 0.0 X 293798 0 89196 Walter F Caffey VP Enrollment Management 35.0 0.0 X 269626 0 68573 Caroline Koziatek VP Human Resources 35.0 0.0 X 255983 0 67873 Carolyn Chamberlin VP MARKETING 35.0 0.0 X 235982 0 37428 Rebecca Johnson VP STDT AFFAIR & DEAN OF STDT 35.0 0.0 X 207315 0 56030 Gayle Tagliatela Chief of Staff & Sec 35.0 0.0 X 90943 0 40414 Brian Kench Dean 35.0 0.0 X 279541 0 70045 Ronald S Harichandran Dean 35.0 0.0 X 271967 0 40818 Mario T Gaboury Dean 35.0 0.0 X 222172 0 67815 Louis C Annino Associate VP Facilities 35.0 0.0 X 209718 0 18755 Lourdes M Alvarez Dean 35.0 0.0 X 140367 0 17775 Summer J MCGEE DEAN 35.0 0.0 X 189171 0 16818 Daniel Mabrey Assoc Provost 35.0 0.0 X 478860 0 15754 Gene Kline Professor 35.0 0.0 X 332237 0 27470 Kevin Phillips Assoc VP Enrollment 35.0 0.0 X 254103 0 33613 Shobi Sivadasan SR Assoc VP admissions 35.0 0.0 X 245532 0 23987 Michael Jenkins ASSOC PROFESSOR 35.0 0.0 X 284174 0 5165 6069398 0 1024371 349 false true false CONSIGLI CONSTRUCTION CO INC 72 SUMNER ST MILFORD MA 017571663 CONSTRUCTION 30790058 SODEXO INC PO BOX 3601470 PITTSBURGH PA 15251 FOOD SERVICE 15459640 MILESTONE CONSTRUCTION SERVICES LL 64 THOMPSON ST STE A-108 EAST HAVEN CT 06513 CONSTRUCTION 4595396 PAT MUNGER CONSTRUCTION CO INC 750 E MAIN STREET SUITE 1 BRANFORD CT 064052950 CONSTRUCTION 3140109 EducationDynamics LLC ASLANIAN MARKET RESEARCH HOBOKEN NJ 07030 STUD. MKTG RESEARCH 1198488 72 69070 5073891 4288648 261887 9431609 TUITION 611600 219594086 219594086 RESIDENCE FEES 721310 28086633 28086633 DINING FEES 722320 13085768 13085768 INTERNATIONAL PROGRAMS 611710 8393824 8393824 COMMISSIONS 900099 307686 307686 140700 140700 269608697 2867353 2867353 69163 69163 0 220747 155918 64829 0 64829 64829 13560766 12128636 1432130 1432130 1432130 61055 69070 47155 13900 13900 0 0 0 0 0 0 GRANT IDC 900099 1064709 1064709 AMORTIZATION OF CAPITAL CONTRIBUTIONS 900099 1284464 1284464 ATHLETIC REVENUE 900099 503561 503561 992865 992865 3845599 287333280 273454296 4447375 0 0 87866013 87866013 3153436 3153436 0 5281469 1173127 3388753 719589 0 77909272 64654238 12009151 1245883 5672202 4416425 1156561 99216 10104243 8590947 1343468 169828 5280021 4383484 810070 86467 100520 100520 837131 106376 730755 272620 42343 230277 124325 124325 0 432625 371681 60944 6964393 5220142 1589516 154735 2363487 1894572 462833 6082 5238987 3905053 1225611 108323 4214813 2511291 1650645 52877 0 5236445 4650365 584569 1511 3295277 2941793 312471 41013 0 102502 96373 4629 1500 3923436 3550293 334304 38839 0 8540102 7806504 648197 85401 2496057 2457935 33684 4438 REPAIRS AND MAINTENANCE 14744312 14498943 243647 1722 FOOD SERVICES 13350835 13237874 112961 LEASE AND RENTAL 5443751 4625787 428829 389135 BAD DEBT EXPENSE 2293705 2293705 6698879 4957754 1547202 193923 281940858 249631299 28909077 3400482 X 140033 435921 51927554 36530491 7082711 5152958 832007 4457670 0 0 0 0 2612060 1813882 0 0 2436734 1249488 407457468 164478471 207131728 242978997 84540416 89759618 6541554 16228911 0 0 0 0 0 0 363244797 398607936 21887684 29732644 2666134 2666134 26466524 24454569 96491300 122201876 0 0 0 0 10137863 6811008 0 0 4512063 4289717 162161568 190155948 X 145207432 150853304 35061074 36616992 20814723 20981692 201083229 208451988 363244797 398607936 X 5392422 2367103 -390766 X false true X true true true X 10262185 11539235 23472329 13948490 9431609 68653848 0 0 10262185 11539235 23472329 13948490 9431609 68653848 12953194 55700654 697555 1245951 1210542 1771532 3157263 8082843 0 1192589 2538372 3298228 3832369 3845599 14707157 91443848 1255746333 0.60912 0.67550 X 0.00000 RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED false false false false false false true 124325 false false 124325 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 FY19 APPROPRIATION BILLS. IN ADDITION, THE UNIVERSITY PAYS DUES TO VARIOUS PROFESSIONAL ORGANIZATIONS. AN IMMATERIAL AMOUNT OF THESE DUES ARE ATTRIBUTED TO LOBBYING EXPENSES. 63793485 101480 3954168 887128 542293 66419712 47521985 13612687 4067022 508214 899995 63793485 43588303 1403835 4020339 867673 622819 47521985 44898458 1242766 -1587249 538821 426851 43588303 31432131 12946670 1189095 486862 182576 44898458 0.49600 0.17000 0.33400 false false 12905229 12905229 253391639 88366535 165025104 7035895 6809411 226484 68622297 57335654 11286643 65502408 11966871 53535537 242978997 0 POST RETIREMENT OBLIGATION 4289717 4289717 X 198589171 2367103 -90678587 -88311484 286900655 432625 432625 287333280 191061177 572393 572393 190488784 432625 91019449 91452074 281940858 SCHEDULE D, PART V, LINE 4 USE OF ENDOWMENT FUNDS THE UNIVERSITY'S ENDOWMENT CONSISTS OF APPROXIMATELY 200 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. RECONCILIATION OF AUDITED FINANCIAL STATEMENTS TO FORM 990 SCHEDULE D, PART XI, LINE 2D FINANCIAL AID $(91,019,449) FUNDRAISING EXPENSE 47,155 RENTAL EXPENSE 155,918 ADJUSTMENT FOR NON-CONSOLIDATED SUB 528,555 LOSS ON CHANGE IN ACCOUNTING PRINCIPLE (390,766) ---------------------------- TOTAL $ (90,678,587) SCHEDULE D, PART XII, LINE 2D FUNDRAISING EXPENSES $47,155 RENTAL EXPENSES $155,918 ADJUSTMENT FOR NON-CONSOLIDATED SUB $369,320 ---------------------- TOTAL $572,393 SCHEDULE D, PART XII, LINE 4B FINANCIAL AID $91,019,449 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 23 Program Services INSTRUCTION 1625221 Middle East and North Africa 1 13 Program Services INSTRUCTION 2930004 Europe (Including Iceland and Greenland) Program Services STUDY ABROAD 607366 Central America and the Caribbean Program Services STUDY ABROAD 41207 Russia and the Newly Independent States Program Services STUDY ABROAD 23341 Middle East and North Africa Program Services RECRUITMENT 14000 East Asia and the Pacific Program Services RECRUITMENT 7000 South Asia Program Services RECRUITMENT 543600 Europe (Including Iceland and Greenland) Grantmaking 361247 Middle East and North Africa Grantmaking 207280 Central America and the Caribbean Grantmaking 183940 Russia and the Newly Independent States Grantmaking 40514 East Asia and the Pacific Grantmaking 653802 Sub-Saharan Africa Grantmaking 134372 South Asia Grantmaking 1406900 South America Grantmaking 142157 North America Grantmaking 23224 2 36 2 36 8945175 8945175 UNH INSTITUTIONAL AID Central America and the Caribbean 6 183940 ACCT CREDIT UNH INSTITUTIONAL AID East Asia and the Pacific 64 653802 ACCT CREDIT UNH INSTITUTIONAL AID Europe (Including Iceland and Greenland) 18 361247 ACCT CREDIT UNH INSTITUTIONAL AID Middle East and North Africa 21 207280 ACCT CREDIT UNH INSTITUTIONAL AID Russia and the Newly Independent States 3 40514 ACCT CREDIT UNH INSTITUTIONAL AID South America 9 142157 ACCT CREDIT UNH INSTITUTIONAL AID South Asia 315 1406900 ACCT CREDIT UNH INSTITUTIONAL AID Sub-Saharan Africa 25 134372 ACCT CREDIT UNH INSTITUTIONAL AID North America 2 23224 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 130125 69070 61055 11895 35260 0 130125 69070 61055 11895 35260 47155 13900 true INSTITUTIONAL AID 5195 85663703 FEDERAL GRANTS 211 715829 STATE GRANTS 242 780869 PRIVATE GRANTS 282 705612 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. X X true true X X X X false true false false false false false true false STEPHEN H KAPLAN President 647547 0 325000 0 111056 0 149179 0 38464 0 1271246 0 0 0 George S Synodi VP Finance 318503 0 82500 0 3182 0 43547 0 44266 0 491998 0 0 0 Stephen Morin VP Institutional Adv 288644 0 30000 0 1477 0 37000 0 14386 0 371507 0 0 0 Daniel J May Provost 261775 0 28000 0 4023 0 43332 0 45864 0 382994 0 0 0 Walter F Caffey VP Enrollment Management 241232 0 26000 0 2394 0 23122 0 45451 0 338199 0 0 0 Caroline Koziatek VP Human Resources 218808 0 35000 0 2175 0 21196 0 46677 0 323856 0 0 0 Carolyn Chamberlin VP MARKETING 208175 0 22000 0 5807 0 19374 0 18054 0 273410 0 0 0 Rebecca Johnson VP STDT AFFAIR & DEAN OF STDT 195191 0 6500 0 5624 0 18819 0 37211 0 263345 0 0 0 Brian Kench Dean 278911 0 0 0 630 0 24957 0 45088 0 349586 0 0 0 Ronald S Harichandran Dean 268661 0 0 0 3306 0 40796 0 22 0 312785 0 0 0 Mario T Gaboury Dean 219750 0 0 0 2422 0 21311 0 46504 0 289987 0 0 0 Louis C Annino Associate VP Facilities 208360 0 0 0 1358 0 18752 0 3 0 228473 0 0 0 Lourdes M Alvarez Dean 131654 0 0 0 8713 0 12923 0 4852 0 158142 0 0 0 Daniel Mabrey Assoc Provost 175027 0 0 0 303833 0 15752 0 2 0 494614 0 0 0 Gene Kline Professor 274408 0 0 0 57829 0 24926 0 2544 0 359707 0 0 0 Kevin Phillips Assoc VP Enrollment 220566 0 18000 0 15537 0 20863 0 12750 0 287716 0 0 0 Shobi Sivadasan SR Assoc VP admissions 208268 0 0 37264 0 19177 0 4810 0 269519 0 0 0 Summer J MCGEE DEAN 166163 0 0 0 23008 0 16816 0 2 0 205989 0 0 0 Michael Jenkins ASSOC PROFESSOR 55000 0 0 0 229174 0 5164 0 1 0 289339 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 $87,449 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 BY FOLLOWING 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 $1,770 IN TRAVEL RELATED EXPENSES FOR THE PRESIDENT'S SPOUSE. THIS PAYMENT HAS BEEN REPORTED ON SCHEDULE J, PART II, COLUMN (D). 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 UNIVERSITY OF NEW HAVEN 2018 SERIES K1 060806186 20774Y4T1 2018-05-01 97611168 Refund 2010 & 2013 series bonds false false false B CHEFA UNIVERSITY OF NEW HAVEN 2018 SERIES K3 060806186 20774Y6K8 2018-11-01 26904071 CONSTRUCT ACADEMIC BLDG 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 0.00310 false false 0.00000 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 false B false true false false false false 0 false 0 false false A true B false 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 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 IV, LINE 2B ARBITRAGE CALCULATION - 2018 SERIES K1 THE ORGANIZATION MET THE EIGHTEEN MONTH SPENDING EXCEPTION; THEREFORE NO REBATE CALCULATION IS REQUIRED. X 4 261887 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 IN THE FOLLOWING CAMPUSES: WEST HAVEN, CT; ORANGE, CT; PRATO, ITALY; AND ALBUQUERQUE, NM. FORM 990, PART VI, SECTION B, 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 (III) 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 7/1/18-6/30/19 FISCAL YEAR, THE COMMITTEE CONDUCTED AN IN-DEPTH REVIEW, AND DISCUSSION, OF 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. (HAD 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. THEREUPON, 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 POLICY 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 REBUTTABLE 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. FORM 990, PART XI, LINE 9 OTHER CHANGE IN NET ASSETS LOSS ON CHANGE IN ACCOUNTING PRINCIPLE $ (390,766) FORM 990, PART X, LINES 27-29 NET ASSET CLASSIFICATION THE FASB ISSUED ACCOUNTING STANDARDS UPDATE (ASU) 2016-14 NOT-FOR-PROFIT ENTITIES (TOPIC 958), PRESENTATION OF FINANCIAL STATEMENTS OF NOT-FOR-PROFIT ENTITIES, WHICH AMONG OTHER THINGS, CHANGES HOW NOT-FOR-PROFIT ENTITIES REPORT NET ASSET CLASSES. THE SIGNIFICANT REQUIREMENTS OF ASU 2016-14 INCLUDE REDUCTION IN THE NUMBER OF NET ASSET CLASSES FROM THREE TO TWO: WITH DONOR RESTRICTIONS (FORMERLY REPORTED AS TEMPORARILY RESTRICTED NET ASSETS AND PERMANENTLY RESTRICTED NET ASSETS) AND WITHOUT DONOR RESTRICTIONS (FORMERLY REPORTED AS UNRESTRICTED NET ASSETS). THE 2018 FORM 990, PART X WAS NOT UPDATED TO REFLECT THE CHANGE IN NET ASSET CLASS TERMINOLOGY; THEREFORE, THE UNIVERSITY HAS REPORTED NET ASSETS WITHOUT DONOR RESTRICTION AS UNRESTRICTED NET ASSETS AND NET ASSETS WITH DONOR RESTRICTIONS AS TEMPORARILY RESTRICTED NET ASSETS AND PERMANENTLY RESTRICTED NET ASSETS, RESPECTIVELY. 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 LYME ACADEMY COLLEGE OF FINE ARTS INC 84 LYME STREET OLD LYME CT 06371 060942210 EDUCATION CT 501(C) (3) 2 UNH true CHARITABLE REMAINDER TRUSTS (2) Charitable Trust CT NA 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 336307 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE O 398596 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE R 503165 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE S 187613 FMV LYME ACADEMY COLLEGE OF FINE ARTS INC O 2377651 FMV LYME ACADEMY COLLEGE OF FINE ARTS INC R 6202289 FMV LYME ACADEMY COLLEGE OF FINE ARTS INC S 3824638 FMV