2019-05-15T16:27:15-05:00 2018-06-30 KPMG LLP 345 PARK AVENUE NEW YORK NY 10154 990 2017-07-01 060761704 UNIVERSITY OF NEW HAVEN % GEORGE SYNODI UNIV 2039327000 300 BOSTON POST ROAD WEST HAVEN CT 06516 GEORGE SYNODI VP FOR FINANCE 2039327223 2019-05-15 true MARY-EVELYN ANTONETTI P00431862 2127589700 2019-05-14 167.68.102.5 06014420191355000029 2019-05-15 P 3334E7B7F03F731422ECC73C4D529CE40FFEDC8C 3334E7B7F03F731422ECC73C4D529CE40FFEDC8C 2017 2019-02-21 02:37:17Z X GEORGE SYNODI 300 BOSTON POST ROAD WEST HAVEN CT 06516 295633375 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. 27 27 3081 109 0 6767 23472329 13948490 242005519 261119394 1952107 2575882 8481009 3513757 275910964 281157523 77714682 86359320 0 0 97369191 100445822 0 0 2402106 74488165 83729337 249572038 270534479 26338926 10623044 351341759 363244797 168473408 162161568 182868351 201083229 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 205139217 75328339 225371137 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; NEW LONDON, CT; PRATO, ITALY; SAN FRANCISCO, CA; and ALBUQUERQUE, NM. THE UNIVERSITY HAS AN UNDERGRADUATE ENROLLMENT OF 5,079 STUDENTS WITH 54 PERCENT RESIDING IN UNIVERSITY HOUSING. THE UNIVERSITY OFFERS MORE THAN 54 UNDERGRADUATE DEGREES THROUGH ITS FOUR COLLEGES, IN INNOVATIVE FIELDS SUCH AS SPORTS MANAGEMENT, NUTRITION & DIETETICS, FORENSIC SCIENCE, MUSIC & SOUND RECORDING, ENGINEERING, COMPUTER SCIENCE, FIRE SCIENCE AND CRIMINAL JUSTICE. UNH ALSO OFFERS ITS STUDENTS A STUDY ABROAD PROGRAM THROUGH A VARIETY OF UNIQUE OFFERINGS. 30704667 11030981 33941375 GRADUATE SCHOOL: THE GRADUATE SCHOOL HAS AN ENROLLMENT OF 1,766 STUDENTS AND OFFERS 31 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. 4536750 5639251 INTERNATIONAL PROGRAM: THE UNIVERSITY HAS AN INTERNATIONAL PROGRAM, DELIVERED ABROAD, WHICH OFFERS A FOUR-YEAR BACCALAUREATE DEGREE IN SECURITIES STUDIES. 240380634 true true false true false false false false false true true false false false true true true 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 548 0 true 3081 true false true IT false false false true true false false false false X 27 27 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 SYNODI 2039327273 300 BOSTON POST ROAD WEST HAVEN CT 06516 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 GOVS (as of 7/1/2017) 1.0 0.0 X 0 0 0 William L Bucknall Jr VICE CHAIRMAN 2.0 0.0 X 0 0 0 Cecilia K Carter BOARD OF GOVERNORS 1.0 0.0 X 0 0 0 Oni K Chukwu BOARD OF GOVS (as of 7/1/2017) 1.0 0.0 X 0 0 0 Roger J Cooper 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 GOVS (as of 7/1/2017) 1.0 0.0 X 0 0 0 Janet Jensen 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 Kevin 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 CHAIRMAN START-1/26/2018 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 Stephen 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 Stephen Kaplan President 35.0 0.0 X 705830 0 438268 George S Synodi VP Finance 35.0 0.0 X 344345 0 78386 Stephen Morin VP Institutional Adv 35.0 0.0 X 318009 0 53826 Daniel J May Provost 35.0 0.0 X 292804 0 74322 Walter F Caffey VP Enrollment Management 35.0 0.0 X 292210 0 57368 Caroline Koziatek VP Human Resources 35.0 0.0 X 253865 0 56612 Carolyn Chamberlin VP for Marketing 35.0 0.0 X 217764 0 33449 Rebecca Johnson VP STDT AFFAIR & DEAN OF STDT 35.0 0.0 X 211203 0 48131 Gayle Tagliatela Chief of Staff & Sec 35.0 0.0 X 90216 0 33306 Brian Kench Dean 35.0 0.0 X 283650 0 77578 Ronald S Harichandran Dean 35.0 0.0 X 270205 0 40550 Mario T Gaboury Dean 35.0 0.0 X 225159 0 33000 Louis C Annino Associate VP Facilities 35.0 0.0 X 204048 0 18248 Lourdes M Alvarez Dean 35.0 0.0 X 199899 0 31788 Daniel Mabrey Assoc Provost 35.0 0.0 X 527902 0 26217 Mark Johnstone Assoc Project Mgr 35.0 0.0 X 384682 0 86689 Gene Kline Professor 35.0 0.0 X 329029 0 12078 Kevin Phillips Assoc VP Enrollment 35.0 0.0 X 245647 0 51980 Shobi Sivadasan SR Assoc VP Admiss 35.0 0.0 X 224941 0 27770 5621408 0 1279566 349 false true false SODEXO INC PO BOX 3601470 PITTSBURGH PA 15251 FOOD SERVICE 15357299 MILESTONE CONSTRUCTION SERVICES LL 64 THOMPSON ST STE A-108 EAST HAVEN CT 06513 CONSTRUCTION 3733350 CONSIGLI CONSTRUCTION CO INC 72 SUMNER ST MILFORD MA 017571663 CONSTRUCTION 7383429 PAT MUNGER CONSTRUCTION CO INC 750 E MAIN STREET SUITE 1 BRANFORD CT 064052950 CONSTRUCTION 4750173 SVIGALS PARTNERS LLP 84 ORANGE STREET NEW HAVEN CT 06508 ARCHITECTURAL 1504535 58 202448 5981867 7764175 3740847 13948490 TUITION 611600 214317576 214317576 RESIDENCE FEES 721310 27119662 27119662 DINING FEES 722320 13308680 13308680 INTERNATIONAL PROGRAMS 611710 5639251 5639251 COMMISSIONS 900099 411734 411734 322491 322491 261119394 1632625 1632625 64371 64371 0 74536 128247 -53711 0 -53711 -53711 14843954 5000 13968808 1260 875146 3740 878886 878886 112636 202448 377537 -264901 -264901 0 0 0 0 0 0 GRANT IDC 900099 1487066 1487066 AMORTIZATION OF CAPITAL CONTRIBUTIONS 900099 1248749 1248749 ATHLETIC REVENUE 900099 305613 305613 790941 790941 3832369 281157523 264951763 2257270 0 85552070 85552070 807250 807250 0 79335985 63876556 14260668 1198761 0 0 6008729 4206573 1711645 90511 9819254 7849920 1794563 174771 5281854 4220760 978223 82871 102050 102050 909276 71812 837464 298692 298692 149527 147319 2208 0 375152 333885 41267 10368148 8817683 1245613 304852 1569908 1157691 401777 10440 6345348 5919686 299349 126313 4857095 4322815 485710 48570 0 4475215 3985225 443617 46373 2443558 2259024 160222 24312 0 85315 80686 2248 2381 4271443 3801584 427145 42714 0 8402276 7478026 840228 84022 2687387 1673923 1013464 FOOD SERVICE 13714701 13589241 94895 30565 REPAIRS AND MAINTENANCE 8607670 8597200 10470 BAD DEBT EXPENSE 1792865 1792865 LEASE AND RENTAL 4153415 3892011 167675 93729 8120296 5844779 2234596 40921 270534479 240380634 27751739 2402106 62201901 52067587 0 0 12950417 7082711 5551865 832007 0 0 0 0 2377122 2612060 0 0 2112272 2436734 363089409 155957681 196516951 207131728 60042761 84540416 9588470 6541554 0 0 0 0 0 0 351341759 363244797 18981321 21887684 3453060 2666134 22901923 26466524 103622720 96491300 0 0 0 0 0 10137863 0 0 19514384 4512063 168473408 162161568 X 129711652 145207432 35037044 35061074 18119655 20814723 182868351 201083229 351341759 363244797 X 10623044 3779865 3811969 X false true X true true true X 9650122 10262185 11539235 23472329 13948490 68872361 0 0 9650122 10262185 11539235 23472329 13948490 68872361 6996090 61876271 638018 697555 1245951 1210542 1608188 5400254 0 887500 1192589 2538402 8737277 3978051 17333819 91606434 1204731409 0.67546 0.53007 X false false false false false false true 149527 false false 149527 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 FY18 APPROPRIATION BILLS. 47521985 13612687 4067022 508214 899995 63793485 43588303 1403835 4020339 867673 622819 47521985 44898458 1242766 -1587249 538821 426851 43588303 31432131 12946670 1189095 486862 182576 44898458 26935410 581753 4530387 415480 199939 31432131 0.45200 0.38700 0.16100 false false 12497424 12497424 243966015 83601664 160364351 7054954 6799524 255430 65974877 54731703 11243174 33596139 10824790 22771349 207131728 0 POST RETIREMENT OBLIGATION 4512063 4512063 X 203130490 3779865 -81431748 -77651883 280782373 375150 375150 281157523 184582271 -85577058 -85577058 270159329 375150 375150 270534479 SCHEDULE D, PART V, LINE 4 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 XI, LINE 2D FINANCIAL AID $(86,368,182) INTEREST RATE SWAP $3,805,664 FUNDRAISING EXPENSE $377,537 RENTAL EXPENSE $128,247 ADJUSTMENT FOR NON-CONSOLIDATED SUB $624,986 ---------- TOTAL $(81,431,748) SCHEDULE D,PART XII, LINE 2D FINANCIAL AID $(86,368,182) FUNDRAISING EXPENSE $377,537 RENTAL EXPENSE $128,247 LEE INSTITUTE EXPENSE $285,344 ---------- TOTAL $(85,577,058) SCHEDULE D, PART XI, LINE 2 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. ON DECEMBER 22, 2017, THE PRESIDENT SIGNED INTO LAW H.R. 1, ORIGINALLY KNOWN AS THE TAX CUTS AND JOBS ACT. THE NEW LAW INCLUDES SEVERAL PROVISIONS THAT RESULT IN SUBSTANTIAL CHANGES TO THE TAX TREATMENT OF TAX-EXEMPT ORGANIZATIONS AND THEIR DONORS. THE UNIVERSITY HAS REVIEWED THESE PROVISIONS AND THE POTENTIAL IMPACT AND CONCLUDED THE ENACTMENT OF H.R. 1 WILL NOT HAVE A MATERIAL EFFECT ON THE OPERATIONS OF THE ORGANIZATION KNOWN AS THE TAX CUTS AND JOBS ACT. THE NEW LAW INCLUDES SEVERAL PROVISIONS THAT RESULT IN SUBSTANTIAL CHANGES TO THE TAX TREATMENT OF TAX-EXEMPT ORGANIZATIONS AND THEIR DONORS. THE UNIVERSITY HAS REVIEWED THESE PROVISIONS AND THE POTENTIAL IMPACT AND CONCLUDED THE ENACTMENT OF H.R. 1 WILL NOT HAVE A MATERIAL EFFECT ON THE OPERATIONS OF THE ORGANIZATION. 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 18 Program Services INSTRUCTION 1484634 Middle East and North Africa 1 5 Program Services INSTRUCTION 2319053 Central America and the Caribbean Program Services STUDY ABROAD 59219 Europe (Including Iceland and Greenland) Program Services STUDY ABROAD 250394 Middle East and North Africa Program Services RECRUITMENT 8000 South Asia Program Services RECRUITMENT 257860 Sub-Saharan Africa Program Services RECRUITMENT 2000 Central America and the Caribbean Grantmaking 8000 East Asia and the Pacific Grantmaking 33000 Europe (Including Iceland and Greenland) Grantmaking 85500 Middle East and North Africa Grantmaking 33000 Russia and the Newly Independent States Grantmaking 19000 South America Grantmaking 135000 South Asia Grantmaking 414250 Sub-Saharan Africa Grantmaking 79500 2 23 2 23 5188410 5188410 UNH INSTITUTIONAL AID Central America and the Caribbean 1 8000 ACCT CREDIT UNH INSTITUTIONAL AID East Asia and the Pacific 2 33000 ACCT CREDIT UNH INSTITUTIONAL AID Europe (Including Iceland and Greenland) 6 85500 ACCT CREDIT UNH INSTITUTIONAL AID Middle East and North Africa 3 33000 ACCT CREDIT UNH INSTITUTIONAL AID Russia and the Newly Independent States 1 19000 ACCT CREDIT UNH INSTITUTIONAL AID South America 8 135000 ACCT CREDIT UNH INSTITUTIONAL AID South Asia 33 414250 ACCT CREDIT UNH INSTITUTIONAL AID Sub-Saharan Africa 5 79500 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. SCHOLARSHIP BAL 201239 153308 47931 0 3000 0 73968 11000 209860 GOLF TOURNAMENT 113845 49140 64705 0 8089 30458 0 0 41162 0 0 0 0 0 0 0 0 0 0 315084 202448 112636 0 11089 30458 73968 11000 251022 377537 -264901 true INSTITUTIONAL AID 5510 83148164 FMV FEDERAL GRANTS 171 601260 FMV STATE GRANTS 264 852285 FMV PRIVATE GRANTS 87 143112 FMV SCHEDULE I,PART IV 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 Kaplan President 591085 0 10000 0 104745 0 407750 0 30518 0 1144098 0 0 George S Synodi VP Finance 297393 0 44000 0 2952 0 44032 0 34354 0 422731 0 0 Stephen Morin VP Institutional Adv 291554 0 19000 0 7455 0 42493 0 11333 0 371835 0 0 Daniel J May Provost 260839 0 28000 0 3965 0 42484 0 31838 0 367126 0 0 Walter F Caffey VP Enrollment Management 263850 0 26000 0 2360 0 22820 0 34548 0 349578 0 0 Caroline Koziatek VP Human Resources 251734 0 0 0 2131 0 20815 0 35797 0 310477 0 0 Carolyn Chamberlin VP for Marketing 204810 10000 2954 19026 14423 251213 Rebecca Johnson VP STDT AFFAIR & DEAN OF STDT 193371 12300 5532 18573 29558 259334 Brian Kench Dean 280020 0 3000 0 630 0 42494 0 35084 0 361228 0 0 Ronald S Harichandran Dean 263913 0 4500 0 1792 0 40369 0 181 0 310755 0 0 Mario T Gaboury Dean 218288 0 4500 0 2371 0 0 0 33000 0 258159 0 0 Louis C Annino Associate VP Facilities 202734 0 0 0 1314 0 18246 0 2 0 222296 0 0 Lourdes M Alvarez Dean 194599 0 4000 0 1300 0 18087 0 13701 0 231687 0 0 Daniel Mabrey Assoc Provost 527902 0 0 0 0 0 26214 0 3 0 554119 0 0 Mark Johnstone Assoc Project Mgr 382126 0 0 0 2556 0 17135 0 69554 0 471371 0 0 Gene Kline Professor 329029 0 0 0 0 0 11870 0 208 0 341107 0 0 Kevin Phillips Assoc VP Enrollment 217499 0 27622 0 526 0 20496 0 31484 0 297627 0 0 Shobi Sivadasan SR Assoc VP Admiss 189312 0 0 0 35629 0 17388 0 10382 0 252711 0 0 SCHEDULE J, PART I, LINE 7 NON-FIXED PAYMENTS TO OFFICERS, KEY EMPLOYEES AND HIGHLY COMPENSATED EMPLOYEES ARE REPORTED IN SCHEDULE J, PART II, COLUMN B(II). SCHEDULE J, 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 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 $1,460.50 IN TRAVEL RELATED EXPENSES FOR THE PRESIDENT'S SPOUSE. THIS PAYMENT HAS BEEN REPORTED ON SCHEDULE J, PART II, COLUMN (D). SCHEDULE J, 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 $365,000 TO HIS 457(F) PLAN. AS REQUIRED, THIS PAYMENT HAS BEEN REPORTED ON SCHEDULE J, PART II, COLUMN (C). A CHEFA UNIVERSITY OF NEW HAVEN 2018 SERIES K 060806186 20774Y4T1 2018-05-01 97611168 REFINANCE 2010 & 2013 BOND ISSUES false false false A 0 0 97611168 0 0 0 1004718 0 0 0 96606450 0 2015 true false true true A false true true true false 0.00310 0.00310 false false false false A false false true false false false 0 false 0 false false A true 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. PART II, LINE 11, OTHER SPENT PROCEEDS 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. PART IV, LINE 2B THE ORGANIZATION MET THE EIGHTEEN MONTH SPENDING EXCEPTION; THEREFORE NO REBATE CALCULATION IS REQUIRED. X 5 1740847 MARKET VALUE X 1 2000000 APPRAISED 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 III, LINE 1 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 THE UNIVERSITY OPERATES IN THE FOLLOWING CAMPUSES: WEST HAVEN, CT; ORANGE, CT; PRATO, ITALY; SAN FRANCISCO, CA; ALBUQUERQUE, NM; AND NEW LONDON, CT. 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, 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 PROCEDURE 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 FOUR MEMBERS: (I) THE BOARD CHAIR AND VICE CHAIR; AND (II) TWO 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 7/1/17-6/30/18 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 BOARD'S DELIBERATIONS AND DECISIONS WERE DOCUMENTED BY CONTEMPORANEOUSLY-PREPARED MINUTES BY A BOARD 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 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. 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 BOARDS' 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. 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 SWAP $ 3,805,664 ENDOWMENT SPEND $ 6,305 -------------- TOTAL $ 3,811,969 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 TRUST true false 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 395823 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE O 396151 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE R 526017 FMV HENRY C LEE INSTITUTE OF FORENSIC SCIENCE S 141586 FMV LYME ACADEMY COLLEGE OF FINE ARTS INC O 2024220 FMV LYME ACADEMY COLLEGE OF FINE ARTS INC R 6982268 FMV LYME ACADEMY COLLEGE OF FINE ARTS INC S 4369017 FMV